[Title 10 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 2010 Edition]
[From the U.S. Government Printing Office]



[[Page i]]

          

          10


          Parts 200 to 499

                         Revised as of January 1, 2010


          Energy
          



________________________

          Containing a codification of documents of general 
          applicability and future effect

          As of January 1, 2010
          With Ancillaries
                    Published by:
                    Office of the Federal Register
                    National Archives and Records
                    Administration
                    A Special Edition of the Federal Register

[[Page ii]]

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[[Page iii]]




                            Table of Contents



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

  Title 10:
          Chapter II--Department of Energy                           3
  Finding Aids:
      Table of CFR Titles and Chapters........................     673
      Alphabetical List of Agencies Appearing in the CFR......     693
      List of CFR Sections Affected...........................     703

[[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, 2010), 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, 2001, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, 1973-1985, or 1986-2000, published in eleven separate 
volumes. For the period beginning January 1, 2001, 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.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed 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 202-741-6010.

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 Authorities 
and Rules. A list of CFR titles, chapters, subchapters, 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.
    A List of CFR Sections Affected (LSA) is published monthly, keyed to 
the revision dates of the 50 CFR titles.




[[Page vii]]



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 202-741-6000 
or write to the Director, Office of the Federal Register, National 
Archives and Records Administration, Washington, DC 20408 or e-mail 
[email protected].

SALES

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ELECTRONIC SERVICES

    The full text of the Code of Federal Regulations, the LSA (List of 
CFR Sections Affected), The United States Government Manual, the Federal 
Register, Public Laws, Public Papers, Daily Compilation of Presidential 
Documents and the Privacy Act Compilation are available in electronic 
format via Federalregister.gov. For more information, contact Electronic 
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[email protected].
    The Office of the Federal Register also offers a free service on the 
National Archives and Records Administration's (NARA) World Wide Web 
site for public law numbers, Federal Register finding aids, and related 
information. Connect to NARA's web site at www.archives.gov/federal-
register. The NARA site also contains links to GPO Access.

    Raymond A. Mosley,
    Director,
    Office of the Federal Register.
    January 1, 2010.







[[Page ix]]



                               THIS TITLE

    Title 10--Energy is composed of four volumes. The parts in these 
volumes are arranged in the following order: parts 1-50, 51-199, 200-499 
and part 500-end. The first and second volumes containing parts 1-199 
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 XIII--Nuclear Waste Technical 
Review Board, 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, 2010.

    For this volume, Bonnie Fritts was Chief Editor. The Code of Federal 
Regulations publication program is under the direction of Michael L. 
White, assisted by Ann Worley.

[[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
                      SUBCHAPTER B--CLIMATE CHANGE
300             Voluntary Greenhouse Gas Reporting Program: 
                    General Guidelines......................          80
                         SUBCHAPTER C [RESERVED]
                    SUBCHAPTER D--ENERGY CONSERVATION
400-417

[Reserved]

420             State energy program........................         102
430             Energy Conservation Program for consumer 
                    products................................         116
431             Energy efficiency program for certain 
                    commercial and industrial equipment.....         377
433             Energy efficiency standards for the design 
                    and construction of new Federal 
                    commercial and multi-family high-rise 
                    residential buildings...................         481

[[Page 4]]

434             Energy code for new Federal commercial and 
                    multi-family high rise residential 
                    buildings...............................         483
435             Energy efficiency standards for new Federal 
                    low-rise residential buildings..........         545
436             Federal energy management and planning 
                    programs................................         551
440             Weatherization assistance for low-income 
                    persons.................................         577
445

[Reserved]

451             Renewable energy production incentives......         598
452             Production incentives for cellulosic 
                    biofuels................................         603
455             Grant programs for schools and hospitals and 
                    buildings owned by units of local 
                    government and public care institutions.         607
456

[Reserved]

470             Appropriate Technology Small Grants Program.         638
473             Automotive propulsion research and 
                    development.............................         643
474             Electric and Hybrid Vehicle Research, 
                    Development, and Demonstration Program; 
                    petroleum-equivalent fuel economy 
                    calculation.............................         647
490             Alternative fuel transportation program.....         648
491-499

[Reserved]

[[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

Sec.
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.
205.199H Actions not subject to administrative appeal.

[[Page 7]]

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 Sec. Sec. 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

[[Page 10]]

the chief executive officer of such office.
    (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 with 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

[[Page 14]]

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 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

[[Page 15]]

(a)(6) of this section), those designated as DOE or FEO forms (see 
paragraph (a)(7) of this section), and ``Surplus 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

[[Page 16]]

of Energy, 111 Pine Street, San Francisco, California 94111.

                                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, act or transaction that 
is the subject of the request and to the DOE action

[[Page 18]]

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 inconsistent with the 
amended regulation or ruling.

[[Page 19]]

    (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 accompanied 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 
possessor of the confidential information shall serve the filing with 
any

[[Page 25]]

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.



Sec. Sec. 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 Order is issued to establish an 
escrow account or take other measures to

[[Page 30]]

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.

Subparts 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.



Sec. Sec. 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 to those situations in which the Department of 
Energy is unable to readily identify persons who are entitled to

[[Page 33]]

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 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

[[Page 34]]

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 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

[[Page 35]]

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 Sec. Sec. 205.300 
through 205.309, attention is directed to the provisions of Sec. Sec. 
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.



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

[[Page 36]]

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.



Sec. 205.304  Other information.

    Where the application is for authority to export less than 1,000,000 
kilowatt hours annually, applicants need

[[Page 37]]

not furnish the information called for in Sec. Sec. 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 Sec. Sec. 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 Sec. Sec. 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 Sec. Sec. 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 Sec. Sec. 
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, unless 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 Sec. Sec. 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 rate schedules or to negotiate 
mutually satisfactory rates for the proposed

[[Page 47]]

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 promptly 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: 15 U.S.C. 787 et seq.; 15 U.S.C. 791 et seq.; E.O. 11790, 
39 FR 23185; 28 U.S.C. 2461 note.

    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 recital that energy information is requested under the authority of 
ESECA.

[[Page 49]]

    (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 violation if the DOE 
has reason to believe that a violation has occurred, is continuing, or 
is about to occur.

[[Page 50]]

    (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.
    (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

[[Page 51]]

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 $2,750 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.

[40 FR 18409, Apr. 28, 1975, as amended at 62 FR 46183, Sept. 2, 1997]

    Effective Date Note: At 74 FR 66032, Dec. 14, 2009, Sec. 207.7 was 
amended by revising the first sentence of paragraph (c)(1), effective 
Jan. 13, 2010. For the convenience of the user, the revised text is set 
forth as follows:



Sec. 207.7  Sanctions.

                                * * * * *

    (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 $4,000 for each violation. * * *

                                * * * * *



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

[[Page 52]]

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.



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

[[Page 53]]

(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 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,

[[Page 54]]

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 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

[[Page 55]]

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 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

[[Page 56]]

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 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

[[Page 57]]

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 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 Sec. Sec. 211.67(a)(5)(ii); 211.89; 211.109, 211.127; and 211.223 of 
part 211; and in Sec. Sec. 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); 
``Fi t''; 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

[[Page 58]]

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 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

[[Page 59]]

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
    (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

[[Page 60]]

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.
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

[[Page 61]]

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.
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)

[[Page 62]]

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.
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.

[[Page 63]]

 
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.
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.

[[Page 64]]

 
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
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




Subparts 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.

[[Page 65]]

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.



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

[[Page 66]]

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 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: Sec. 104 of the Energy Policy and Conservation Act (EPCA) 
Pub. L. 94-163, 89 Stat. 871; section 101(c) of the Defense Production 
Act of 1950 (DPA), 50 U.S.C. App. 2071(c); E.O. 12919, 59 FR 29525 (June 
7, 1994); E.O. 13286, 68 FR 10619 (March 5, 2003); 15 CFR part 700; 
Defense Priorities and Allocations System Delegation No. 2 (August 6, 
2002), as amended at 15 CFR part 700.

    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)(2)(A) of the Defense Production Act 
of 1950, as amended, 50 U.S.C. app. 2071(c)(2)(A) (DPA). Section 101(c) 
authorizes the allocation of, or priority performance under contracts or 
orders (other than contracts

[[Page 67]]

of employment) relating to, materials and equipment, services, or 
facilities in order to maximize domestic energy supplies if the findings 
described in section 101(c)(2) are made. Among these findings are that 
such supplies of materials and equipment, services, or facilities are 
critical and essential to maintain or further exploration, production, 
refining, transportation or the conservation of energy supplies or for 
the construction or maintenance of energy facilities. The function of 
finding that supplies are critical and essential was delegated to the 
Secretary of Energy pursuant to E.O. 12919 (59 FR 29525, June 7, 1994) 
and Department of Commerce Defense Priorities and Allocations System 
Delegation No. 2, 15 CFR part 700.
    (b) The purpose of these regulations is to establish the procedures 
and criteria to be used by DOE in determining whether programs or 
projects maximize domestic energy supplies and whether or not supplies 
of materials and equipment, services, or facilities are critical and 
essential, as required by DPA section 101(c)(2)(A). The critical and 
essential finding will be made only for supplies of materials and 
equipment, services, or facilities 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, 
services, or facilities are critical and essential to maintain or 
further the exploration, production, refining, transportation or 
conservation of energy supplies or for the construction or maintenance 
of energy facilities, such determination and finding will be 
communicated to the Department of Commerce (DOC). If not, the applicant 
will be so informed. If the determination and finding described in this 
paragraph are made, DOC, pursuant to DPA section 101(c) and section 203 
of E.O. 12919, will find whether or not: The supplies of materials and 
equipment, services, or facilities in question are scarce; and 
maintenance or furtherance of exploration, production, refining, 
transportation, or conservation of energy supplies or the construction 
or maintenance of energy facilities cannot be reasonably accomplished 
without exercising the authority specified in DPA section 101(c). If 
these additional two findings are made, DOC 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 DOC, 15 CFR part 700.

[73 FR 10983, Feb. 29, 2008]



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) DHS means the Department of Homeland Security.
    (f) DOC means the Department of Commerce.
    (g) DOE means the Department of Energy.
    (h) Defense Priorities and Allocations System Coordination Office 
means the Department of Energy, Office of Electricity and Energy 
Assurance, OE-30.
    (i) Eligible energy program or project means a designated activity 
which maximizes domestic energy supplies by furthering the exploration, 
production, refining, transportation or conservation of energy supplies 
or construction or maintenance of energy facilities within the meaning 
of DPA section 101(c), as determined by DOE.
    (j) Facilities means all types of buildings, structures, or other 
improvements to real property (but excluding farms, churches or other 
places of worship, and private dwelling houses), and services relating 
to the use of any such building, structure, or other improvement.

[[Page 68]]

    (k) Materials and equipment means: (1) Any raw materials (including 
minerals, metals, and advanced processed materials), commodities, 
articles, components (including critical components), products, and 
items of supply; and
    (2) Any technical information or services ancillary to the use of 
such raw materials, commodities, articles, components, products, or 
items.
    (l) National Defense means programs for military and energy 
production or construction, military assistance to any foreign nation, 
stockpiling, space, and any directly related activity. Such term also 
includes emergency preparedness activities conducted pursuant to title 
VI of the Robert T. Stafford Disaster Relief and Emergency Assistance 
Act (42 U.S.C. 5195, et seq.) and critical infrastructure protection and 
restoration.
    (m) Person means an individual, corporation, partnership, 
association, or any other organized group of persons, or legal successor 
or representative thereof, or any state or local government or agency 
thereof.
    (n) Services include any effort that is needed for or incidental to:
    (1) The development, production, processing, distribution, delivery, 
or use of an industrial resource, or critical technology item; or
    (2) The construction of facilities.

[43 FR 6212, Feb. 14, 1978, as amended at 51 FR 8311, Mar. 11, 1986; 73 
FR 10983, Feb. 29, 2008]



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 and equipment, 
services, or facilities identified in the application are critical and 
essential for a purpose identified in section 101(c). The application 
shall be sent to: U.S. Department of Energy, Attn: Office of Electricity 
and Energy Assurance, OE-30, 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 and 
equipment, services, or facilities in question.
    (4) A statement explaining why the materials and equipment, 
services, or facilities 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, services, or facilities 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 and equipment, services, or facilities).
    (6) A detailed description of the sources of supply, including: The 
name of the regular supplying company or companies, other companies 
capable of supplying the materials and equipment, services, or 
facilities; location of supplying plants or plants capable of supplying 
the needed materials and equipment, services, or facilities; possible 
suppliers for identical or substitutable materials and equipment, 
services, or facilities and possible foreign sources of supply.
    (7) A detailed description of the delivery situation, 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, services, or facilities in 
question

[[Page 69]]

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, services, or facilities in the 
usual course of business.
    (10) Any known conflicts with rated orders already issued pursuant 
to the DPA for supplies of the described materials and equipment, 
services, or facilities.
    (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; 73 
FR 10983, Feb. 29, 2008]



Sec. 216.4  Evaluation by DOE of applications.

    (a) Based on the information provided by the applicant and other 
available information, DOE will:
    (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, 
services, or facilities are critical 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, services, or facilities are allegedly required; and
    (5) Established national energy policies.
    (c) In finding whether the supplies of materials and equipment, 
services, or facilities 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 and equipment, 
services, or facilities; and
    (2) Impact of the nonavailability of the specific supplies of 
materials and equipment, services, or facilities on the furtherance or 
timely completion of the approved energy program or project.
    (d) Increased costs which may be associated with obtaining materials 
and equipment, services, or facilities without assistance shall not be 
considered a valid reason for finding the materials and equipment, 
services, or facilities 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.

[43 FR 6212, Feb. 14, 1978, as amended at 73 FR 10984, Feb. 29, 2008]



Sec. 216.5  Notification of findings.

    (a) DOE will notify DOC if it finds that supplies of materials and 
equipment, services, or facilities for which an applicant requested 
assistance are critical and essential to an eligible energy program or 
project, and in such cases will forward to 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, services, or facilities for

[[Page 70]]

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 for specific materials and equipment, services, or 
facilities pursuant to the provisions of the DOC's DPAS regulation.

[73 FR 10984, Feb. 29, 2008]



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, services, or facilities 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. 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. 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; 73 
FR 10984, Feb. 29, 2008]



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 the conflict to reschedule deliveries or 
otherwise accommodate the competing demands. If acceptable solutions 
cannot be agreed upon by the claimant agencies DHS will attempt to 
resolve theconflicts.

[43 FR 6212, Feb. 14, 1978, as amended at 51 FR 8312, Mar. 11, 1986; 73 
FR 10984, Feb. 29, 2008]



Sec. 216.8  Communications.

    All written communications concerning these regulations shall be 
addressed to: U.S. Department of Energy, Attention: Office of 
Electricity and Energy Assurance, OE-30, Forrestal Building, 1000 
Independence Avenue, SW., Washington, DC 20585.

[73 FR 10984, Feb. 29, 2008]



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.

[[Page 71]]

218.42 Sanctions.
218.43 Injunctions.

    Authority: 15 U.S.C. 751 et seq.; 15 U.S.C. 787 et seq.; 42 U.S.C. 
6201 et seq.; 42 U.S.C. 7101 et seq.; E.O. 11790, 39 FR 23185; E.O. 
12009, 42 FR 46267; 28 U.S.C. 2461 note.

    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:
    (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).

[[Page 72]]

    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 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 mutually 
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.

[[Page 73]]



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, 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

[[Page 74]]

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--
    (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

[[Page 75]]

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 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 $5,500 for each violation.

[[Page 76]]

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

[44 FR 27972, May 14, 1979, as amended at 62 FR 46183, Sept. 2, 1997]

    Effective Date Note: At 74 FR 66032, Dec. 14, 2009, Sec. 218.42 was 
amended by revising paragraph (b)(1), effective Jan. 13, 2010. For the 
convenience of the user, the revised text is set forth as follows:



Sec. 218.42  Sanctions.

                                * * * * *

    (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 $8,000 for each violation.

                                * * * * *



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.

[[Page 77]]



                            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.
    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;

[[Page 78]]

    (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 
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-

[[Page 79]]

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 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]]



                       SUBCHAPTER B_CLIMATE CHANGE





PART 300_VOLUNTARY GREENHOUSE GAS REPORTING PROGRAM: GENERAL
GUIDELINES--Table of Contents




Sec.
300.1 General.
300.2 Definitions.
300.3 Guidance for defining and naming the reporting entity.
300.4 Selecting organizational boundaries.
300.5 Submission of an entity statement.
300.6 Emissions inventories.
300.7 Net emission reductions.
300.8 Calculating emission reductions.
300.9 Reporting and recordkeeping requirements.
300.10 Certification of reports.
300.11 Independent verification.
300.12 Acceptance of reports and registration of entity emission 
          reductions.
300.13 Incorporation by reference.

    Authority: 42 U.S.C. 7101, et seq., and 42 U.S.C. 13385(b).

    Source: 71 FR 20805, Apr. 21, 2006, unless otherwise noted.



Sec. 300.1  General.

    (a) Purpose. The General Guidelines in this part and the Technical 
Guidelines incorporated by reference in Sec. 300.13 govern the 
Voluntary Reporting of Greenhouse Gases Program authorized by section 
1605(b) of the Energy Policy Act of 1992 (42 U.S.C. 13385(b)). The 
purpose of the guidelines is to establish the procedures and 
requirements for filing voluntary reports, and to encourage 
corporations, government agencies, non-profit organizations, households 
and other private and public entities to submit annual reports of their 
greenhouse gas emissions, emission reductions, and sequestration 
activities that are complete, reliable and consistent. Over time, it is 
anticipated that these reports will provide a reliable record of the 
contributions reporting entities have made toward reducing their 
greenhouse gas emissions.
    (b) Reporting under the program. (1) Each reporting entity, whether 
or not it intends to register emissions as described in paragraph (c) of 
this section, must:
    (i) File an entity statement that meets the appropriate requirements 
in Sec. 300.5(d) through (f) of this part;
    (ii) Use appropriate emission inventory and emission reduction 
calculation methods specified in the Technical Guidelines (incorporated 
by reference, see Sec. 300.13), and calculate and report the weighted 
average quality rating of any emission inventories it reports;
    (iii) Comply with the record keeping requirements in Sec. 300.9 of 
this part; and
    (iv) Comply with the certification requirements in Sec. 300.10 of 
this part;
    (2) Each reporting entity, whether or not it intends to register 
emissions as described in paragraph (c) of this section, may report 
offset reductions achieved by other entities outside their boundaries as 
long as such reductions are reported separately and calculated in 
accordance with methods specified in the Technical Guidelines. The 
third-party entity that achieved these reductions must agree to their 
being reported as offset reductions, and must also meet all of the 
requirements of reporting that would apply if the third-party entity 
reported directly under the 1605(b) program.
    (3) An entity that intends to register emissions and emission 
reductions must meet the additional requirements referenced in paragraph 
(c) of this section.
    (4) An entity that does not intend to register emissions and 
emission reductions may choose to report its emissions and/or emission 
reductions on an entity-wide basis or for selected elements of the 
entity, selected gases or selected sources.
    (5) An entity that does not intend to register emissions may report 
emission inventories for any year back to 1990 and may report emission 
reductions for any year back to 1991, relative to a base period of one 
to four years, ending no earlier than 1990.
    (c) Registration requirements. Entities that seek to register 
reductions must meet the additional requirements in this paragraph; 
although these requirements differ depending on whether the entity is a 
large or small emitter.
    (1) To be eligible for registration, a reduction must have been 
achieved after 2002, unless the entity has committed under the Climate 
Leaders or

[[Page 81]]

Climate VISION programs to reduce its entity-wide emissions relative to 
a base period that ends earlier 2002, but no earlier than 2000.
    (2) A large emitter must submit an entity-wide emission inventory 
that meets or exceeds the minimum quality requirements specified in 
Sec. 300.6(b) and the Technical Guidelines (incorporated by reference, 
see Sec. 300.13). Registered reductions of a large emitter must be 
based on an entity-wide assessment of net emission reductions, 
determined in accordance with Sec. 300.8 and the Technical Guidelines.
    (3) A small emitter must also submit an emission inventory that 
meets minimum quality requirements specified in Sec. 300.6(b) and the 
Technical Guidelines (incorporated by reference, see Sec. 300.13) and 
base its registered reductions on an assessment of annual changes in net 
emissions. A small emitter, however, may restrict its inventory and 
assessment to a single type of activity, such as forest management, 
building operations or agricultural tillage.
    (4) Reporting entities may, under certain conditions, register 
reductions achieved by other entities:
    (i) Reporting entities that have met the requirements for 
registering their own reductions may also register offset reductions 
achieved by other entities if:
    (A) They have an agreement with the third-party entities to do so 
and these third-party entities have met all of the requirements for 
registration; or
    (B) They were the result of qualified demand management or other 
programs and are calculated in accordance with the action-specific 
method identified in Sec. 300.8(h)(5).
    (ii) Small emitters that serve as an aggregator may register offset 
reductions achieved by non-reporting entities without reporting on their 
own emissions, as long as they have an agreement with the third-party 
entities to do so and these third-party entities have met all of the 
requirements for registration.
    (d) Forms. Annual reports of greenhouse gas emissions, emission 
reductions, and sequestration must be made on forms or software made 
available by the Energy Information Administration of the Department of 
Energy (EIA).
    (e) Status of reports under previous guidelines. EIA continues to 
maintain in its Voluntary Reporting of Greenhouse Gases database all 
reports received pursuant to DOE's October 1994 guidelines. Those 
guidelines are available from EIA at http://www.eia.doe.gov/oiaf/1605/
guidelns.html.
    (f) Periodic review and updating of General and Technical 
Guidelines. DOE intends periodically to review the General Guidelines 
and the Technical Guidelines (incorporated by reference, see Sec. 
300.13) to determine whether any changes are warranted; DOE anticipates 
these reviews will occur approximately once every three years. These 
reviews will consider any new developments in climate science or policy, 
the participation rates of large and small emitters in the 1605(b) 
program, the general quality of the data submitted by different 
participants, and any changes to other emissions reporting protocols. 
Possible changes may include, but are not limited to:
    (1) The addition of greenhouse gases that have been demonstrated to 
have significant, quantifiable climate forcing effects when released to 
the atmosphere in significant quantities;
    (2) Changes to the minimum, quantity-weighted quality rating for 
emission inventories;
    (3) Updates to emission inventory methods, emission factors and 
other provisions that are contained in industry protocols or standards. 
The review may also consider updates to any government-developed and 
consensus-based emission factors for which automatic updating is not 
provided in the Technical Guidelines;
    (4) Modifications to the benchmarks or emission conversion factors 
used to calculate avoided and indirect emissions; and
    (5) Changes in the minimum requirements for registered emission 
reductions.



Sec. 300.2  Definitions.

    This section provides definitions for commonly used terms in this 
part.
    Activity of a small emitter means, with respect to a small emitter, 
any single category of anthropogenic production,

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consumption or other action that releases emissions or results in 
sequestration, the annual changes of which can be assessed generally by 
using a single calculation method.
    Aggregator means an entity that reports to the 1605(b) program on 
behalf of non-reporting entities. An aggregator may be a large or small 
emitter, such as a trade association, non-profit organization or public 
agency.
    Anthropogenic means greenhouse gas emissions and removals that are a 
direct result of human activities or are the result of natural processes 
that have been affected by human activities.
    Avoided emissions means the greenhouse gas emission reductions that 
occur outside the organizational boundary of the reporting entity as a 
direct consequence of changes in the entity's activity, including but 
not necessarily limited to the emission reductions associated with 
increases in the generation and sale of electricity, steam, hot water or 
chilled water produced from energy sources that emit fewer greenhouse 
gases per unit than other competing sources of these forms of 
distributed energy.
    Base period means a period of 1-4 years used to derive the average 
annual base emissions, emissions intensity or other values from which 
emission reductions are calculated.
    Base value means the value from which emission reductions are 
calculated for an entity or subentity. The value may be annual 
emissions, emissions intensity, kilowatt-hours generated, or other value 
specified in the 1605(b) guidelines. It is usually derived from actual 
emissions and/or activity data derived from the base period.
    Biogenic emissions mean emissions that are naturally occurring and 
are not significantly affected by human actions or activity.
    Boundary means the actual or virtual line that encompasses all the 
emissions and carbon stocks that are to be quantified and reported in an 
entity's greenhouse gas inventory, including de minimis emissions. 
Entities may use financial control or another classification method 
based on ownership or control as the means of determining which sources 
or carbon stocks fall within this organizational boundary.
    Carbon dioxide equivalent means the amount of carbon dioxide by 
weight emitted into the atmosphere that would produce the same estimated 
radiative forcing as a given weight of another radiatively active gas. 
Carbon dioxide equivalents are computed by multiplying the weight of the 
gas being measured by its estimated global warming potential.
    Carbon stocks mean the quantity of carbon stored in biological and 
physical systems including: trees, products of harvested trees, 
agricultural crops, plants, wood and paper products and other 
terrestrial biosphere sinks, soils, oceans, and sedimentary and 
geological sinks.
    Climate Leaders means the EPA sponsored industry-government 
partnership that works with individual companies to develop long-term 
comprehensive climate change strategies. Certain Climate Leaders 
Partners have, working with EPA, set a corporate-wide greenhouse gas 
reduction goal and have inventoried their emissions to measure progress 
towards their goal.
    Climate VISION means the public-private partnership initiated 
pursuant to a Presidential directive issued in 2002 that aims to 
contribute to the President's goal of reducing greenhouse gas intensity 
through voluntary frameworks with industry. Climate VISION partners have 
signed an agreement with DOE to implement various climate-related 
actions to reduce greenhouse gas emissions.
    De minimis emissions means emissions from one or more sources and of 
one or more greenhouse gases that, in aggregate, are less than or equal 
to 3 percent of the total annual carbon dioxide (CO2) 
equivalent emissions of a reporting entity.
    Department or DOE means the U.S. Department of Energy.
    Direct emissions are emissions from sources within the 
organizational boundaries of an entity.
    Distributed energy means electrical or thermal energy generated by 
an entity that is sold or otherwise exported outside of the entity's 
boundaries for use by another entity.

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    EIA means the Energy Information Administration within the U.S. 
Department of Energy.
    Emissions means the direct release of greenhouse gases to the 
atmosphere from any anthropogenic (human induced) source and certain 
indirect emissions (releases) specified in this part.
    Emissions intensity means emissions per unit of output, where output 
is defined as the quantity of physical output, or a non-physical 
indicator of an entity's or subentity's productive activity.
    Entity means the whole or part of any business, institution, 
organization, government agency or corporation, or household that:
    (1) Is recognized under any U.S. Federal, State or local law that 
applies to it;
    (2) Is located and operates, at least in part, in the United States; 
and
    (3) The emissions of such operations are released, at least in part, 
in the United States.
    First reduction year means the first year for which an entity 
intends to register emission reductions; it is the year that immediately 
follows the start year.
    Fugitive emissions means uncontrolled releases to the atmosphere of 
greenhouse gases from the processing, transmission, and/or 
transportation of fossil fuels or other materials, such as HFC leaks 
from refrigeration, SF6 from electrical power distributors, and methane 
from solid waste landfills, among others, that are not emitted via an 
exhaust pipe(s) or stack(s).
    Greenhouse gases means the gases that may be reported to the 
Department of Energy under this program. They are:
    (1) Carbon dioxide (CO2)
    (2) Methane (CH4)
    (3) Nitrous oxide (N2O)
    (4) HydrofluorocarbonsHFC-23 [trifluoromethane-(CHF3]HFC-
32 [trifluoromethane-CH2F2], 
CH2CF3, CH3F, 
CHF2CF3, CH2FCF3, 
CH3FCF3, CHF2CH2F, 
CF3CH3, CH2FCH2F, 
CH3CHF2, CH3CH2F, 
CF3CHFCF3, 
CH2FCF3CF3, 
CHF2CHFCF3, 
CF3CH2CF3, 
CH2FCF2CHF2, 
CHF2CH2CF3, 
CF3CH2CF2CH3, CH3 
CHFCHFCF2)
    (5) Perfluorocarbons (perfluoromethane-CF4, 
perfluoroethane-C2F6, C3F8, 
C4F10, c-C4F8, 
C5F12, C6F14)
    (6) Sulfur hexafluoride (SF6)
    (7) Chlorofluorocarbons (CFC-11 [trichlorofluoromethane-
CCl3F], CCl2F2, CClF3, 
CCl2FCClF2, CClF2CClF2, 
ClF3CClF2,)
    (8) Other gases or particles that have been demonstrated to have 
significant, quantifiable climate forcing effects when released to the 
atmosphere in significant quantities and for which DOE has established 
or approved methods for estimating emissions and reductions. (Note: As 
provided in Sec. 300.6(i), chlorofluorcarbons and other gases with 
quantifiable climate forcing effects may be reported to the 1605(b) 
program if DOE has established an appropriate emission inventory or 
emission reduction calculation method, but reductions of these gases may 
not be registered.)
    Incidental lands are entity landholdings that are a minor component 
of an entity's operations and are not actively managed for production of 
goods and services, including:
    (1) Transmission, pipeline, or transportation right of ways that are 
not managed for timber production;
    (2) Land surrounding commercial enterprises or facilities; and
    (3) Land where carbon stock changes are determined by natural 
factors.
    Indirect emissions means greenhouse gas emissions from stationary or 
mobile sources outside the organizational boundary that occur as a 
direct consequence of an entity's activity, including but not 
necessarily limited to the emissions associated with the generation of 
electricity, steam and hot/chilled water used by the entity.
    Large emitter means an entity whose annual emissions are more than 
10,000 metric tons of CO2 equivalent, as determined in 
accordance with Sec. 300.5(c).
    Net emission reductions means the sum of all annual changes in 
emissions, eligible avoided emissions and sequestration of the 
greenhouse gases specifically identified in Sec. 300.6(i), and 
determined to be in conformance with Sec. Sec. 300.7 and 300.8 of this 
part.
    Offset means an emission reduction that is included in a 1605(b) 
report and

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meets the requirements of this part, but is achieved by an entity other 
than the reporting entity. Offset reductions must not be reported or 
registered by any other entity and must appear as a separate and 
distinct component of an entity's report. Offsets are not integrated 
into the reporting entity's emissions or net emission reductions.
    Registration means the reporting of emission reductions that the EIA 
has determined meet the qualifications for registered emission 
reductions set forth in the guidelines.
    Reporting entity means an entity that has submitted a report under 
the 1605(b) program that has been accepted by the Energy Information 
Administration.
    Reporting year means the year that is the subject of a report to 
DOE.
    Sequestration means the process by which CO2 is removed 
from the atmosphere, either through biologic processes or physical 
processes.
    Simplified Emission Inventory Tool (SEIT) is a computer-based 
method, to be developed and made readily accessible by EIA, for 
translating common physical indicators into an estimate of greenhouse 
gas emissions.
    Sink means an identifiable discrete location, set of locations, or 
area in which CO2 or some other greenhouse gas is 
sequestered.
    Small emitter means an entity whose annual emissions are less than 
or equal to 10,000 metric tons of CO2 equivalent, as 
determined in accordance with Sec. 300.5(c), and that chooses to be 
treated as a small emitter under the guidelines.
    Source means any land, facility, process, vehicle or activity that 
releases a greenhouse gas.
    Start year means the year upon which the initial entity statement is 
based and the last year of the initial base period(s).
    Subentity means a component of any entity, such as a discrete 
business line, facility, plant, vehicle fleet, or energy using system, 
which has associated with it emissions of greenhouse gases that can be 
distinguished from the emissions of all other components of the same 
entity and, when summed with the emissions of all other subentities, 
equal the entity's total emissions.
    Total emissions means the total annual contribution of the 
greenhouse gases (as defined in this section) to the atmosphere by an 
entity, including both direct and indirect entity-wide emissions.
    United States or U.S. means the 50 States, the District of Columbia, 
the Commonwealth of Puerto Rico, the Commonwealth of the Northern 
Mariana Islands, Guam, American Samoa, and any other territory of the 
United States.



Sec. 300.3  Guidance for defining and naming the reporting entity.

    (a) A reporting entity must be composed of one or more businesses, 
public or private institutions or organizations, households, or other 
entities having operations that annually release emissions, at least in 
part, in the United States. Entities may be defined by, as appropriate, 
a certificate of incorporation, corporate charter, corporate filings, 
tax identification number, or other legal basis of identification 
recognized under any Federal, State or local law or regulation. If a 
reporting entity is composed of more than one entity, all of the 
entities included must be responsible to the same management hierarchy 
and all entities that have the same management hierarchy must be 
included in the reporting entity.
    (b) All reporting entities are strongly encouraged to define 
themselves at the highest level of aggregation. To achieve this 
objective, DOE suggests the use of a corporate-level definition of the 
entity, based on filings with the Securities and Exchange Commission or 
institutional charters. While reporting at the highest level of 
aggregation is encouraged, DOE recognizes that certain businesses and 
institutions may conclude that reporting at some lower level is 
desirable. Federal agencies are encouraged to report at the agency or 
departmental level, but distinct organizational units (such as a 
Department of the Interior Fish and Wildlife Service National Wildlife 
Refuge) may report directly if authorized by their department or agency. 
Once an entity has determined the level of corporate or institutional 
management at which it will report (e.g., the holding

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company, subsidiary, regulated stationary source, state government, 
agency, refuge, etc.), the entity must include all elements of the 
organization encompassed by that management level and exclude any 
organizations that are managed separately. For example, if two 
subsidiaries of a parent company are to be covered by a single report, 
then all subsidiaries of that parent company must also be included. 
Similarly, if a company decides to report on the U.S. and Canadian 
subsidiaries of its North American operations unit, it must also report 
on any other subsidiaries of its North American unit, such as a Mexican 
subsidiary.
    (c) A name for the defined entity must be specified by all 
reporters. For entities that intend to register reductions, this should 
be the name commonly used to represent the activities being reported, as 
long as it is not also used to refer to substantial activities not 
covered by the entity's reports. While DOE believes entities should be 
given considerable flexibility in defining themselves at an appropriate 
level of aggregation, it is essential that the name assigned to an 
entity that intends to register reductions corresponds closely to the 
scope of the operations and emissions covered by its report. If, for 
example, an individual plant or operating unit is reporting as an 
entity, it should be given a name that corresponds to the specific plant 
or unit, and not to the responsible subsidiary or corporate entity. In 
order to distinguish a parent company from its subsidiaries, the name of 
the parent company generally should not be incorporated into the name of 
the reporting subsidiary, but if it is, the name of the parent company 
usually should be secondary.



Sec. 300.4  Selecting organizational boundaries.

    (a) Each reporting entity must disclose in its entity statement the 
approach used to establish its organizational boundaries, which should 
be consistent with the following guidelines:
    (1) In general, entities should use financial control as the primary 
basis for determining their organizational boundaries, with financial 
control meaning the ability to direct the financial and operating 
policies of all elements of the entity with a view to gaining economic 
or other benefits from its activities over a period of many years. This 
approach should ensure that all sources, including those controlled by 
subsidiaries, that are wholly or largely owned by the entity are covered 
by its reports. Sources that are under long-term lease of the entity 
may, depending on the provisions of such leases, also be considered to 
be under the entity's financial control. Sources that are temporarily 
leased or operated by an entity generally would not be considered to be 
under its financial control.
    (2) Entities may establish organizational boundaries using 
approaches other than financial control, such as equity share or 
operational control, but must disclose how the use of these other 
approaches results in organizational boundaries that differ from those 
resulting from using the financial control approach.
    (3) Emissions from facilities or vehicles that are partially-owned 
or leased may be included at the entity's discretion, provided that the 
entity has taken reasonable steps to assure that doing so does not 
result in the double counting of emissions, sequestration or emission 
reductions. Emissions reductions or sequestration associated with land, 
facilities or other sources not owned or leased by an entity may not be 
included in the entity's reports under the program unless the entity has 
long-term control over the emissions or sequestration of the source and 
the owner of the source has agreed that the emissions or sequestration 
may be included in the entity's report.
    (4) If the scope of a defined entity extends beyond the United 
States, the reporting entity should use the same approach to determining 
its organizational boundaries in the U.S. and outside the U.S.
    (b) Each reporting entity must keep separate reports on emissions or 
emission reductions that occur within its defined boundaries and those 
that occur outside its defined boundaries. Entities must also keep 
separate reports on emissions and emission reductions that occur outside 
the United

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States and those that occur within the United States.
    (c) An entity that intends to register its entity-wide emissions 
reductions must document and maintain its organizational boundary for 
accounting and reporting purposes.



Sec. 300.5  Submission of an entity statement.

    (a) Determining the type of reporting entity. The entity statement 
requirements vary by type of reporting entity. For the purposes of these 
guidelines, there are three types of entities:
    (1) Large emitters that intend to register emission reductions;
    (2) Small emitters that intend to register emission reductions; and
    (3) Emitters that intend to report, but not register emission 
reductions.
    (b) Choosing a start year. The first entity statement describes the 
make-up, operations and boundaries of the entity, as they existed in the 
start year.
    (1) For all entities, it is the year immediately preceding the first 
year for which the entity intends to register emission reductions and 
the last year of the initial base period(s).
    (2) For entities intending to register emission reductions, the 
start year may be no earlier than 2002, unless the entity has made a 
commitment to reduce its entity-wide emissions under the Climate Leaders 
or Climate VISION program. An entity that has made such a commitment may 
establish a start year derived from the base period of the commitment, 
as long as it is no earlier than 2000.
    (i) For a large emitter, the start year is the first year for which 
the entity submits a complete emissions inventory under the 1605(b) 
program.
    (ii) The entity's emissions in its start year or its average annual 
emissions over a period of up to four years ending in the start year 
determine whether it qualifies to begin reporting as a small emitter.
    (3) For entities not intending to register reductions, the start 
year may be no earlier than 1990.
    (c) Determining and maintaining large or small emitter reporting 
status. (1) Any entity that intends to register emission reductions can 
choose to participate as a large emitter, but only an entity that has 
demonstrated that its annual emissions are less than or equal to 10,000 
metric tons of CO2 equivalent may participate as a small 
emitter. To demonstrate that its annual emissions are less than or equal 
to 10,000 metric tons of CO2 equivalent, an entity must 
submit either an estimate of its emissions during its chosen start year 
or an estimate of its average annual emissions over a continuous period 
not to exceed four years of time ending in its chosen start year, as 
long as the operations and boundaries of the entity have not changed 
significantly during that period.
    (2) An entity must estimate its total emissions using methods 
specified in Chapter 1 of the Technical Guidelines (incorporated by 
reference, see Sec. 300.13) or by using the Simplified Emission 
Inventory Tool (SEIT) provided by EIA and also discussed in Chapter 1. 
The results of this estimate must be reported to EIA. [Note: emission 
estimates developed using SEIT may not be used to prepare, in whole or 
part, entity-wide emission inventories required for the registration of 
reductions.]
    (3) After starting to report, each small emitter must annually 
certify that the emissions-related operations and boundaries of the 
entity have not changed significantly since the previous report. A new 
estimate of total emissions must be submitted after any significant 
increase in emissions, any change in the operations or boundaries of the 
small emitter, or every five years, whichever occurs first. Small 
emitters with estimated annual emissions of over 9,000 metric tons of 
CO2 equivalent should re-estimate and submit their emissions 
annually. If an entity determines that it must report as a large 
emitter, then it must continue to report as a large emitter in all 
future years in order to ensure a consistent time series of reports. 
Once a small emitter becomes a large emitter, it must begin reporting in 
conformity with the reporting requirements for large emitters.
    (d) Entity statements for large emitters intending to register 
reductions. When a large emitter intending to register emission 
reductions first reports under these guidelines, it must provide the

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following information in its entity statement:
    (1) The name to be used to identify the participating entity;
    (2) The legal basis of the named entity;
    (3) The criteria used to determine:
    (i) The organizational boundaries of the entity, if other than 
financial control; and
    (ii) The sources of emissions included or excluded from the entity's 
reports, such as sources excluded as de minimis emissions;
    (4) The names of any parent or holding companies the activities of 
which will not be covered comprehensively by the entity's reports;
    (5) The names of any large subsidiaries or organizational units 
covered comprehensively by the entity's reports. All subsidiaries of the 
entity must be covered by the entity's reports, but only large 
subsidiaries must be specifically identified in the entity statement;
    (6) A list of each country where operations occur, if the entity is 
including any non-U.S. operations in its report;
    (7) A description of the entity and its primary U.S. economic 
activities, such as electricity generation, product manufacturing, 
service provider or freight transport; for each country listed under 
paragraph (d)(6) of this section, the large emitter should describe the 
economic activity in that country.
    (8) A description of the types of emission sources or sinks to be 
covered in the entity's emission inventories, such as fossil fuel power 
plants, manufacturing facilities, commercial office buildings or heavy-
duty vehicles;
    (9) The names of other entities that substantially share the 
ownership or operational control of sources that represent a significant 
part of the reporting entity's emission inventories, and a certification 
that, to the best of the certifier's knowledge, the direct greenhouse 
gas emissions and sequestration in the entity's report are not included 
in reports filed by any of these other entities to the 1605(b) program; 
and
    (10) Identification of the start year.
    (e) Entity statements for small emitters intending to register 
reductions. When a small emitter intending to register emission 
reductions first reports under these guidelines, it must provide the 
following information in its entity statement:
    (1) The name to be used to identify the participating entity;
    (2) The legal basis of the named entity;
    (3) An identification of the entity's control over the activities 
covered by the entity's reports, if other than financial control;
    (4) The names of any parent or holding companies the activities of 
which will not be covered comprehensively by the entity's reports;
    (5) An identification or description of the primary economic 
activities of the entity, such as agricultural production, forest 
management or household operation; if any of the economic activities 
covered by the entity's reports occur outside the U.S., a listing of 
each country in which such activities occur;
    (6) An identification or description of the specific activity (or 
activities) and the emissions, avoided emissions or sequestration 
covered by the entity's report, such as landfill gas recovery or forest 
sequestration;
    (7) A certification that, to the best of the certifier's knowledge, 
the direct greenhouse gas emissions and sequestration in the entity's 
report are not included in reports filed by any other entities reporting 
to the 1605(b) program; and
    (8) Identification of the start year.
    (f) Entity statements for reporting entities not registering 
reductions. When a participant not intending to register emission 
reductions first reports under this part, it must, at a minimum, provide 
the following information in its entity statement:
    (1) The name to be used to identify the reporting entity;
    (2) The legal basis of the entity;
    (3) An identification of the entity's control over the activities 
covered by the entity's reports, if other than financial control;
    (4) A description of the entity and its primary economic activities, 
such as electricity generation, product manufacturing, service provider, 
freight transport, agricultural production, forest management or 
household operation; if any of the economic activities covered by the 
entity's reports occur

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outside the United States, a listing of each country in which such 
activities occur; and
    (5) A description of the types of emission sources or sinks, such as 
fossil fuel power plants, manufacturing facilities, commercial office 
buildings or heavy-duty vehicles, covered in the entity's reports of 
emissions or emission reductions.
    (g) Changing entity statements. (1) Reporting entities are required 
to annually review and, if necessary, update their entity statements.
    (2) From time to time, a reporting entity may choose to change the 
scope of activities included within the entity's reports or the level at 
which the entity wishes to report. A reporting entity may also choose to 
change its organizational boundaries, its base period, or other elements 
of its entity statement. For example, companies buy and sell business 
units, or equity share arrangements may change. In general, DOE 
encourages changes in the scope of reporting that expand the coverage of 
an entity's report and discourages changes that reduce the coverage of 
such reports unless they are caused by divestitures or plant closures. 
Any such changes should be reported in amendments to the entity 
statement, and major changes may warrant or require changes in the base 
values used to calculate emission reductions and, in some cases, the 
entity's base periods. Changes in the scope of reporting made on or 
before May 31 of a given calendar year must be reflected in the report 
submitted covering emissions and reductions for the following calendar 
year. Reporting entities may choose to postpone incorporating changes in 
the scope of reporting made after May 31 until submitting the report 
covering emissions and reductions for the year after the following 
calendar year. However, in no case should there be an interruption in 
the annual reports of entities registering emission reductions. Chapter 
2 of the Technical Guidelines (incorporated by reference, see Sec. 
300.13) provides more specific guidance on how such changes should be 
reflected in entity statements, reports, and emission reduction 
calculations.
    (h) Documenting changes in amended entity statements. A reporting 
entity's entity statement in subsequent reports should focus primarily 
on changes since the previous report. Specifically, the subsequent 
entity statement should report the following information:
    (1) For significant changes in the reporting entity's scope or 
organizational boundaries, the entity should document:
    (i) The acquisition or divestiture of discrete business units, 
subsidiaries, facilities, and plants;
    (ii) The closure or opening of significant facilities;
    (iii) The transfer of economic activity to or from specific 
subentities covered by the entity's reports, such as the transfer of 
operations to non-U.S. subsidiaries;
    (iv) Significant changes in land holdings (applies to entities 
reporting on greenhouse gas emissions or sequestration related to land 
use, land use change, or forestry);
    (v) Whether the reporting entity is reporting at a higher level of 
aggregation than it did in the previous report, and if so, a listing of 
the subsidiary entities that are now aggregated under a revised 
conglomerated entity, including a listing of any non-U.S. operations to 
be added and the specific countries in which these operations are 
located; and
    (vi) Changes in its activities or operations (e.g., changes in 
output, contractual arrangements, equipment and processes, outsourcing 
or insourcing of significant activities) that are likely to have a 
significant effect on emissions, together with an explanation of how it 
believes the changes in economic activity influenced its reported 
emissions or sequestrations.



Sec. 300.6  Emissions inventories.

    (a) General. The objective of an emission inventory is to provide a 
full accounting of an entity's emissions for a particular year, 
including direct emissions of the first six categories of gases listed 
in the definition of ``greenhouse gases'' in Sec. 300.2, indirect 
emissions specified in paragraph (e) of this section, and all 
sequestration or other changes in carbon stocks. An emission

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inventory must be prepared in accordance with Chapter 1 of the Technical 
Guidelines (incorporated by reference, see Sec. 300.13). An inventory 
does not include avoided emissions or any offset reductions, and is not 
subsequently adjusted to reflect future acquisitions, divestitures or 
other changes to the reporting entity (although a reporting entity often 
makes these types of adjustments when calculating emission reductions 
under the guidelines). Entity-wide inventories are a prerequisite for 
the registration of emission reductions by entities with average annual 
emissions of more than 10,000 metric tons of CO2 equivalent. 
Entities that have average annual emissions of less than or equal to 
10,000 metric tons of CO2 equivalent are eligible to register 
emission reductions associated with specific activities without also 
reporting an inventory of the total emissions, but such entities should 
inventory and report the emissions associated with the specific 
activity(ies) they do cover in their reports.
    (b) Quality requirements for emission inventories. The Technical 
Guidelines (incorporated by reference, see Sec. 300.13) usually 
identify more than one acceptable method of measuring or estimating 
greenhouse gas emissions. Each acceptable method is rated A, B, C or D, 
with A methods usually corresponding to the highest quality method 
available and D methods representing the lowest quality method that may 
be used. Each letter is assigned a numerical rating reflecting its 
relative quality, 4 for A methods, 3 for B methods, 2 for C methods and 
1 for D methods. Entities that intend to register emission reductions 
must use emission inventory methods that result in a quantity-weighted 
average quality rating of at least 3.0.
    (1) Entities may at any time choose to modify the measurement or 
estimation methods that they use for their current or future year 
emission inventories. Such modifications would enable entities to 
gradually improve the quality of the ratings over time, but prior year 
inventories may be modified only to correct significant errors.
    (2) Entities that have had their emission quantities and the 
quantity-weighted quality rating of their emissions inventory 
independently verified may report their emissions and average quality 
ratings by greenhouse gas, indirect emissions and sequestration, rather 
than by source or sink category.
    (3) Entities that certify that they have used only A or B methods, 
may forego indicating in their reports the quality ratings of the 
methods used and may forego calculating the quantity-weighted average 
quality of their emission inventories.
    (c) Using estimation methods not included in the Technical 
Guidelines. An entity may obtain DOE approval for the use of an 
estimation method not included in the Technical Guidelines (incorporated 
by reference, see Sec. 300.13) if the method covers sources not 
described in the Technical Guidelines, or if the method provides more 
accurate results for the entity's specific circumstances than the 
methods described in the Technical Guidelines. If an entity wishes to 
propose the use of a method that is not described in the Technical 
Guidelines, the entity must provide a written description of the method, 
an explanation of how the method is implemented (including data 
requirements), empirical evidence of the method's validity and accuracy, 
and a suggested rating for the method to DOE's Office of Policy and 
International Affairs (with a copy to EIA). DOE reserves the right to 
deny the request, or to assign its own rating to the method. By 
submitting this information, the entity grants permission to DOE to 
incorporate the method in a future revision of the Technical Guidelines.
    (d) Direct emissions inventories. Direct greenhouse gas emissions 
that must be reported are the emissions resulting from stationary or 
mobile sources within the organizational boundaries of an entity, 
including but not limited to emissions resulting from combustion of 
fossil fuels, process emissions, and fugitive emissions. Process 
emissions (e.g., PFC emissions from aluminum production) must be 
reported along with fugitive emissions (e.g., leakage of greenhouse 
gases from equipment).
    (e) Inventories of indirect emissions associated with purchased 
energy. (1) To provide a clear incentive for the users

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of electricity and other forms of purchased energy to reduce demand, an 
entity must include the indirect emissions from the consumption of 
purchased electricity, steam, and hot or chilled water in the entity's 
inventory as indirect emissions. To avoid double counting among 
entities, the entity must report all indirect emissions separately from 
its direct emissions. Entities should use the methods for quantifying 
indirect emissions specified in the Technical Guidelines (incorporated 
by reference, see Sec. 300.13).
    (2) Entities may choose to report other forms of indirect emissions, 
such as emissions associated with employee commuting, materials consumed 
or products produced, although such other indirect emissions may not be 
included in the entity's emission inventory and may not be the basis for 
registered emission reductions. All such reports of other forms of 
indirect emissions must be distinct from reports of indirect emissions 
associated with purchased energy and must be based on emission 
measurement or estimation methods identified in the Technical Guidelines 
(incorporated by reference, see Sec. 300.13) or approved by DOE.
    (f) Entity-level inventories of changes in terrestrial carbon 
stocks. Annual changes in managed terrestrial carbon stocks should be 
comprehensively assessed and reported across the entity, and the net 
emissions resulting from such changes included in the entity's emissions 
inventory. Entities should use the methods for estimating changes in 
managed terrestrial carbon stocks specified in the Technical Guidelines 
(incorporated by reference, see Sec. 300.13).
    (g) Treatment of de minimis emissions and sequestration. (1) 
Although the goal of the entity-wide reporting requirement is to provide 
an accurate and comprehensive estimate of total emissions, there may be 
small emissions from certain sources that are unduly costly or otherwise 
difficult to measure or reliably estimate annually. An entity may 
exclude particular sources of emissions or sequestration if the total 
quantities excluded represent less than or equal to 3 percent of the 
total annual CO2 equivalent emissions of the entity. The 
entity must identify the types of emissions excluded and provide an 
estimate of the annual quantity of such emissions using methods 
specified in the Technical Guidelines (incorporated by reference, see 
Sec. 300.13) or by using the Simplified Emissions Inventory Tool 
(SEIT). The results of this estimate of the entity's total excluded 
annual emissions must be reported to DOE together with the entity's 
initial entity statement.
    (2) After starting to report, each reporting entity that excludes 
from its annual reports any de minimis emissions must re-estimate the 
quantity of excluded emissions after any significant increase in such 
emissions, or every five years, whichever occurs sooner.
    (h) Separate reporting of domestic and international emissions. Non-
U.S. emissions included in an entity's emission inventory must be 
separately reported and clearly distinguished from emissions originating 
in the U.S. Entities must identify any country-specific factors used in 
the preparation of such reports.
    (i) Covered gases. Entity-wide emissions inventories must include 
the emissions of the first six categories of named gases listed in the 
definition of ``greenhouse gases'' in Sec. 300.2. Entities may report 
chlorofluorocarbons and other greenhouse gases with quantifiable climate 
forcing effects as long as DOE has established a method for doing so, 
but such gases must be reported separately and emission reductions, if 
any, associated with such other gases are not eligible for registration.
    (j) Units for reporting. Emissions and sequestration should be 
reported in terms of the mass (not volume) of each gas, using metric 
units (e.g., metric tons of methane). Entity-wide and subentity 
summations of emissions and reductions from multiple sources must be 
converted into CO2 equivalent units using the global warming 
potentials for each gas in the International Panel on Climate Change's 
Third Assessment (or most recent) Report, as specified in the Technical 
Guidelines (incorporated by reference, see Sec. 300.13). Entities 
should specify the units used (e.g., kilograms, or metric tons). 
Entities may need to use the standard conversion factors specified in 
the Technical Guidelines to

[[Page 91]]

convert existing data into the common units required in the entity-level 
report. Emissions from the consumption of purchased electricity must be 
calculated by region (from the list provided by DOE in the Technical 
Guidelines) or country, if outside the United States. Consumption of 
purchased steam or chilled/hot water must be reported according to the 
type of system and fuel used to generate it (from the list provided by 
DOE in the Technical Guidelines). Entities must convert purchased energy 
to CO2 equivalents using the conversion factors in the 
Technical Guidelines. Entities should also provide the physical 
quantities of each type of purchased energy covered by their reports.



Sec. 300.7  Net emission reductions.

    (a) Entities that intend to register emission reductions achieved 
must comply with the requirements of this section. Entities may 
voluntarily follow these procedures if they want to demonstrate the 
achievement of net, entity-wide reductions for years prior to the 
earliest year permitted for registration. Only large emitters must 
follow the requirements of paragraph (b) of this section, but small 
emitters may do so voluntarily. Only entities that qualify as small 
emitters may use the special procedures in paragraph (c) of this 
section. Entities seeking to register emission reductions achieved by 
other entities (offsets) must certify that these emission reductions 
were calculated in a manner consistent with the requirements of 
paragraph (d) of this section and use the emission reduction calculation 
methods identified in Sec. 300.8. All entities seeking to register 
emission reductions must comply with the requirements of paragraph (e) 
of this section. Only reductions in the emissions of the first six 
categories of gases listed in the definition of ``greenhouse gases'' in 
Sec. 300.2 are eligible for registration.
    (b) Assessing net emission reductions for large emitters. (1) 
Entity-wide reporting is a prerequisite for registering emission 
reductions by entities with average annual emissions of more than 10,000 
metric tons of CO2 equivalent. Net annual entity-wide 
emission reductions must be based, to the maximum extent practicable, on 
a full assessment and sum total of all changes in an entity's emissions, 
eligible avoided emissions and sequestration relative to the entity's 
established base period(s). This assessment must include all entity 
emissions, including the emissions associated with any non-U.S. 
operations covered by the entity statement, although the reductions 
achieved by non-U.S. operations must be separately totaled prior to 
being integrated with the net emission reductions achieved by U.S. 
operations. It must include the annual changes in the total emissions of 
the entity, including the total emissions of each of the subentities 
identified in its entity statement. All changes in emissions, avoided 
emissions, and sequestration must be determined using methods that are 
consistent with the guidelines described in Sec. 300.8 of this part.
    (2) If it is not practicable to assess the changes in net emissions 
resulting from certain entity activities using at least one of the 
methods described in Sec. 300.8 of this part, the entity may exclude 
them from its estimate of net emission reductions. The entity must 
identify as one or more distinct subentities the sources of emissions 
excluded for this reason and describe the reasons why it was not 
practicable to assess the changes that had occurred. DOE believes that 
few emission sources will be excluded for this reason, but has 
identified at least two situations where such an exclusion would be 
warranted. For example, it is likely to be impossible to assess the 
emission changes associated with a new manufacturing plant that produces 
a product for which the entity has no historical record of emissions or 
emissions intensity (emissions per unit of product output). However, 
once the new plant has been operational for at least a full year, a base 
period and base value(s) for the new plant could be established and its 
emission changes assessed in the following year. Until the emission 
changes of this new subentity can be assessed, it should be identified 
in the entity's report as a subentity for which no assessment of 
emission changes is practicable. The other example involves a subentity 
that has reduced its

[[Page 92]]

output below the levels of its base period. In such a case, the 
subentity could not use the absolute emissions method and may also be 
unable to identify an effective intensity metric or other method.
    (3) In calculating its net annual emission reductions, an entity 
should exclude any emissions or sequestration that have been excluded 
from the entity's inventory. The entity should also exclude all de 
minimis and biogenic emissions that are excluded from the entity's 
inventory of greenhouse gas emissions from its assessments of emission 
changes.
    (c) Assessing emission reductions for entities with small emissions. 
(1) Entities with average annual emissions of less than or equal to 
10,000 metric tons of CO2 equivalent are not required to 
inventory their total emissions or assess all changes in their 
emissions, eligible avoided emissions and sequestration to qualify for 
registered reductions. These entities may register emission reductions 
that have occurred since 2002 and that are associated with one or more 
specific activities, as long as they:
    (i) Perform a complete assessment of the annual emissions and 
sequestration associated with each of the activities upon which they 
report, using methods that meet the same quality requirements applicable 
to entity-wide emission inventories; and
    (ii) Determine the changes in the emissions, eligible avoided 
emissions or sequestration associated with each of these activities.
    (2) An entity reporting as a small emitter must report on one or 
more specific activities and is encouraged, but not required to report 
on all activities occurring within the entity boundary. Examples of 
small emitter activities include: vehicle operations; product 
manufacturing processes; building operations or a distinct part thereof, 
such as lighting; livestock operations; crop management; and power 
generation. For example, a farmer managing several woodlots and also 
producing a wheat crop may report emission reductions associated with 
managing an individual woodlot. However, the farmer must also assess and 
report the net sequestration resulting from managing all the woodlots 
within the entity's boundary. The small emitter is not required to 
report on emissions or reductions associated with growing the wheat 
crop.
    (3) A small emitter must certify that the reductions reported were 
not caused by actions likely to cause increases in emissions elsewhere 
within the entity's operations. This certification should be based on an 
assessment of the likely direct and indirect effects of the actions 
taken to reduce greenhouse gas emissions.
    (d) Net emission reductions achieved by other entities (offset 
reductions or emission reductions submitted by aggregators). A reporting 
entity or aggregator under certain conditions may report or register all 
or some of the net emission reductions achieved by entities that choose 
not to report under the section 1605(b) program. In all cases, an 
agreement must exist between the reporting entity or aggregator and the 
other entity that specifies the quantity of the emission reductions (or 
increases) achieved by the other entity that may be reported or 
registered as an offset reduction by the reporting entity or aggregator. 
A large emitter that is reporting on behalf of other entities must meet 
all of the requirements applicable to large emitters, including 
submission of an entity statement, an emissions inventory, and an 
entity-wide assessment of emission reductions. If an aggregator is a 
small emitter, it may choose to report only on the activities, emissions 
and emission reductions of the entities on behalf of which it is 
reporting and not to report on any of its own activities or emission 
reductions. The reporting entity or aggregator must include in its 
report all of the information on the other entity, including an entity 
statement, an emissions inventory (when required), and an assessment of 
emission reductions that would be required if the other entity were 
directly reporting to EIA. The net emissions reductions (or increases) 
of each other entity will be evaluated separately by EIA to determine 
whether they are eligible for registration in accordance with the 
guidelines of this part. Those registered reductions (or increases) 
assigned by the

[[Page 93]]

other entity, by agreement, to a reporting entity or aggregator will be 
included in EIA's summary of all registered offset reductions for that 
entity or aggregator. If the agreement between the reporting entity and 
other entity is discontinued, for any reason, the reporting entity must 
inform EIA and must identify any emission reductions previously reported 
that could be attributable to an increase in the carbon stocks of the 
other entity. Such reductions will be removed by EIA from the records of 
the reporting entity's offset reductions.
    (e) Net emission reductions to be reported by other entities as 
offset reductions. Entities must identify in their report the quantity 
of any net emission reductions covered by the report, if any, that 
another entity will report as an offset reduction, including the name of 
the other entity;
    (f) Adjusting for year-to-year increases in net emissions. (1) 
Normally, net annual emission reductions for an entity are calculated by 
summing the net annual changes in emissions, eligible avoided emissions 
and sequestration, as determined using the calculation methods 
identified in Sec. 300.8 and according to the procedures described in 
paragraph (b) of this section for large emitters, paragraph (c) for 
small emitters of this section for small emitters, and paragraph (d) of 
this section for offsets. However, if the entity experienced a net 
increase in emissions for one or more years, these increases must be 
reported and taken into account in calculating any future year 
reductions. If the entity subsequently achieves net annual emission 
reductions, the net increases experienced in the preceding year(s) must 
be more than offset by these reductions before the entity can once again 
register emission reductions. For example, if an entity achieved a net 
emission reduction of 5,000 metric tons of CO2 equivalent in 
its first year, a net increase of 2,000 metric tons in its second year, 
and a net reduction of 3,000 metric tons in its third year, it would be 
able to register a 5,000 metric ton reduction in its first year, no 
reduction in its second year, and a 1,000 metric ton reduction in its 
third year (3,000-2,000). The entity must file full reports for each of 
these three years. Its report for the second year would indicate the net 
increase in emissions and this increase would be noted in EIA's summary 
of the entity's report for that year and for any future year, until the 
emissions increase was entirely offset by subsequent emission 
reductions. If this same entity achieved a net reduction of only 1,000 
metric tons in its third year, it would not be able to register 
additional reductions until it had, in some future year, offset more 
than its second year increase of 2,000 metric tons.
    (2) [Reserved]



Sec. 300.8  Calculating emission reductions.

    (a) Choosing appropriate emission reduction calculation methods. (1) 
An entity must choose the method or methods it will use to calculate 
emission reductions from the list provided in paragraph (h) of this 
section. Each of the calculation methods has special characteristics 
that make it applicable to only certain types of emissions and 
activities. An entity should select the appropriate calculation method 
based on several factors, including:
    (i) How the entity's subentities are defined;
    (ii) How the reporter will gather and report emissions data; and
    (iii) The availability of other types of data that might be needed, 
such as production or output data.
    (2) For some entities, a single calculation method will be 
sufficient, but many entities may need to apply more than one method 
because discrete components of the entity require different calculation 
methods. In such a case, the entity will need to select a method for 
each subentity (or discrete component of the entity with identifiable 
emission or reductions). The emissions and output measure (generally a 
physical measure) of each subentity must be clearly distinguished and 
reported separately. Guidance on the selection and specification of 
calculation methods is provided in Chapter 2 of the Technical Guidelines 
(incorporated by reference, see Sec. 300.13).

[[Page 94]]

    (b) Identifying subentities for calculating reductions. If more than 
one calculation method is to be used, an entity must specify the portion 
of the entity (the subentity) to which each method will be applied. Each 
subentity must be clearly identified. From time to time, it may be 
necessary to modify existing or create new subentities. The entity must 
provide to EIA a full description of such changes, together with an 
explanation of why they were required.
    (c) Choosing a base period for calculating reductions. In general, 
the base period used in calculating emission reductions is the single 
year or up to four-year period average immediately preceding the first 
year of calculated emission reductions.
    (d) Establishing base values. To calculate emission reductions, an 
entity must establish a base value against which to compare reporting 
year performance. The minimum requirements for base values for each type 
of calculation method are specified in Chapter 2 of the Technical 
Guidelines (incorporated by reference, see Sec. 300.13). In most cases, 
an historic base value, derived from emissions or other data gathered 
during the base period, is the minimum requirement specified. Entities 
may, however, choose to establish base values that are more stringent 
than the base values derived from the methods specified in Chapter 2 of 
the Technical Guidelines as long as their report indicates the rationale 
for the alternative base value and demonstrates that it would result in 
a smaller quantity of emission reductions.
    (e) Emission reduction and subentity statements. For each subentity, 
an entity must submit to EIA the following information:
    (1) An identification and description of the method used to 
calculate emission reductions, including:
    (i) The type of calculation method;
    (ii) The measure of output used (if any); and
    (iii) The method-specific base period for which any required base 
value will be calculated.
    (2) The base period used in calculating reductions. When an entity 
starts to report, the base period used in calculating reductions must 
end in the start year. However, over time the reporting entity may find 
it necessary to revise or establish new base periods and base values in 
response to significant changes in processes or output of the subentity.
    (3) A description of the subentity and its primary economic activity 
or activities, such as electricity generation, product manufacturing, 
service provider, freight transport, or household operation; and
    (4) A description of the emission sources or sinks covered, such as 
fossil fuel power plants, manufacturing facilities, commercial office 
buildings or heavy-duty vehicles.
    (f) Changes in calculation methods, base periods and base values. 
When significant changes occur in the composition or output of reporting 
entities, a reporting entity may need to change previously specified 
calculation methods, base periods or base values. A reporting entity 
should make such changes only if necessary and it should fully document 
the reasons for any changes. The Technical Guidelines (incorporated by 
reference, see Sec. 300.13) describe when such changes should be made 
and what information on such changes must be provided to DOE. In 
general, such changes should not result in any alterations to previously 
reported or registered emission reductions. A reporting entity may alter 
previously reported or registered emission reductions only if necessary 
to correct significant errors.
    (g) Continuous reporting. To ensure that the summation of entity 
annual reports accurately represents net, multi-year emission 
reductions, an entity must submit a report every year, beginning with 
the first reduction year. An entity may use a specific base period to 
determine emission reductions in a given future year only if the entity 
has submitted qualified reports for each intervening year. If an 
interruption occurs in the annual reports of an entity, the entity must 
subsequently report on all missing years prior to qualifying for the 
registration of additional emission reductions.

[[Page 95]]

    (h) Calculation methods. An entity must calculate any change in 
emissions, avoided emissions or sequestration using one or more of the 
methods described in this paragraph and in the Technical Guidelines 
(incorporated by reference, see Sec. 300.13).
    (1) Changes in emissions intensity. An entity may use emissions 
intensity as a basis for determining emission reductions as long as the 
entity selects a measure of output that is:
    (i) A reasonable indicator of the output produced by the entity;
    (ii) A reliable indicator of changes in the entity's activities;
    (iii) Related to emissions levels; and
    (iv) Any appropriate adjustments for acquisitions, divestitures, 
insourcing, outsourcing, or changes in products have been made, as 
described in the Technical Guidelines (incorporated by reference, see 
Sec. 300.13).
    (2) Changes in absolute emissions. An entity may use changes in the 
absolute (actual) emissions (direct and/or indirect) as a basis for 
determining net emission reductions as long as the entity makes only 
those adjustments required by the Technical Guidelines (incorporated by 
reference, see Sec. 300.13). An entity intending to register emission 
reductions may use this method only if the entity demonstrates in its 
report that any reductions derived from such changes were not achieved 
as a result of reductions in the output of the entity, and certifies 
that emission reductions are not the result of major shifts in the types 
of products or services produced. Entities may report, but not register, 
such reductions even if the output associated with such emissions is 
declining.
    (3) Changes in carbon storage (for actions within entity 
boundaries). An entity may use changes in carbon storage as a basis for 
determining net emission reductions as long as the entity uses 
estimation and measurement methods that comply with the Technical 
Guidelines (incorporated by reference, see Sec. 300.13), and has 
included an assessment of the net changes in all sinks in its inventory.
    (4) Changes in avoided emissions (for actions within entity 
boundaries). An entity may use changes in avoided emissions to determine 
its emission reductions. Avoided emissions eligible to be included in 
the calculation of net emission reductions that qualify for registration 
include those associated with the sale of electricity, steam, hot water 
or chilled water generated from non-emitting or low-emitting sources as 
a basis for determining net emission reductions as long as:
    (i) The measurement and calculation methods used comply with the 
Technical Guidelines (incorporated by reference, see Sec. 300.13);
    (ii) The entity certifies that any increased sales were not 
attributable to the acquisition of a generating facility that had been 
previously operated, unless the entity's base period includes generation 
values from the acquired facility's operation prior to its acquisition; 
and
    (iii) Generators of distributed energy that have net emissions in 
their base period and intend to report reductions resulting from changes 
in eligible avoided emissions, use a method specified in the Technical 
Guidelines (incorporated by reference, see Sec. 300.13) that integrates 
the calculation of reductions resulting from both changes in emissions 
intensity and changes in avoided emissions.
    (5) Action-specific emission reductions (for actions within entity 
boundaries). A number of source- or situation-specific methods are 
provided in the Technical Guidelines and these methods must be used to 
assess the annual changes in emissions for the specific sources or 
situation addressed by these methods. In addition, a generic action-
specific method is identified in the Technical Guidelines. An entity 
intending to register reductions may use the generic action-specific 
approach only if it is not possible to measure accurately emission 
changes by using one of the methods identified in paragraphs (h)(1) 
through (h)(4) of this section. Entities that intend to register 
reductions and that use the generic action-specific approach must 
explain why it is not possible to use any of these other methods. An 
entity not intending to register reductions may use the generic action-
specific method to determine emission reductions, as long as the entity 
demonstrates that the estimate is based on analysis that:

[[Page 96]]

    (i) Uses output, utilization and other factors that are consistent, 
to the maximum extent practicable, with the action's actual performance 
in the year for which reductions are being reported;
    (ii) Excludes any emission reductions that might have resulted from 
reduced output or were caused by actions likely to be associated with 
increases in emissions elsewhere within the entity's operations; and
    (iii) Uses methods that are in compliance with the Technical 
Guidelines (incorporated by reference, see Sec. 300.13).
    (i) Summary description of actions taken to reduce emissions. Each 
reported emission reduction must be accompanied by an identification of 
the types of actions that were the likely cause of the reductions 
achieved. Entities are also encouraged to include in their reports 
information on the benefits and costs of the actions taken to reduce 
greenhouse gas emissions, such as the expected rates of return, life 
cycle costs or benefit to cost ratios, using appropriate discount rates.
    (j) Emission reductions associated with plant closings, voluntary 
actions and government (including non-U.S. regulatory regimes) 
requirements. (1) Each report of emission reductions must indicate 
whether the reported emission reductions were the result, in whole or in 
part, of plant closings, voluntary actions, or government requirements. 
EIA will presume that reductions that were not the result of plant 
closings or government requirements are the result of voluntary actions.
    (2) If emission reductions were, in whole or in part, the direct 
result of plant closings that caused a decline in output, the report 
must identify the reductions as such; these reductions do not qualify 
for registration. EIA will presume that reductions calculated using the 
emissions intensity method do not result from a decline in output.
    (3) If the reductions were associated, in whole or part, with U.S. 
or non-U.S. government requirements, the report should identify the 
government requirement involved and the effect these requirements had on 
the reported emission reductions. If, as a result of the reduction, a 
non-U.S. government issued to the reporting entity a credit or other 
financial benefit or regulatory relief, the report should identify the 
government requirement involved and describe the specific form of 
benefit or relief provided.
    (k) Determining the entity responsible for emission reductions. The 
entity that EIA will presume to be responsible for emission reduction, 
avoided emission or sequestered carbon is the entity with financial 
control of the facility, land or vehicle which generated the reported 
emissions, generated the energy that was sold so as to avoid other 
emissions, or was the place where the sequestration action occurred. If 
control is shared, reporting of the associated emission reductions 
should be determined by agreement between the entities involved so as to 
avoid double-counting; this agreement must be reflected in the entity 
statement and in any report of emission reductions. EIA will presume 
that an entity is not responsible for any emission reductions associated 
with a facility, property or vehicle excluded from its entity statement.



Sec. 300.9  Reporting and recordkeeping requirements.

    (a) Starting to report under the guidelines. An entity may report 
emissions and sequestration on an annual basis beginning in any year, 
but no earlier than the base period of 1987-1990 specified in the Energy 
Policy Act of 1992. To be recognized under these guidelines, all reports 
must conform to the measurement methods established by the Technical 
Guidelines (incorporated by reference, see Sec. 300.13).
    (b) Revisions to reports submitted under the guidelines. (1) Once 
EIA has accepted a report under this part, it may be revised by the 
reporting entity only under the circumstances specified in this 
paragraph and related provisions of the Technical Guidelines 
(incorporated by reference, see Sec. 300.13). In general:
    (i) Revised reports may be submitted to correct errors that have a 
significant effect on previously estimated emissions or emission 
reductions; and
    (ii) Emission inventories may be revised in order to create a 
consistent time series based on improvements in

[[Page 97]]

the emission estimation or measurement techniques used.
    (2) Reporting entities must provide the corrected or improved data 
to EIA, together with an explanation of the significance of the change 
and its justification.
    (3) If a change in calculation methods (for inventories or 
reductions) is made for a particular year, the reporting entity must, if 
feasible, revise its base value to assure methodological consistency 
with the reporting year value.
    (c) Definition and deadline for annual reports. Entities must report 
emissions on a calendar year basis, from January 1 to December 31. To be 
included in the earliest possible EIA annual report of greenhouse gas 
emissions reported under this part, entity reports that have not been 
independently verified must be submitted to DOE no later than July 1 for 
emissions occurring during the previous calendar year. Reports that have 
been independently verified must be submitted by September 1 for 
emissions occurring during the previous year.
    (d) Recordkeeping. Entities intending to register reductions must 
maintain adequate supporting records of base period data for the 
duration of their participation in the 1605(b) program. Supporting 
records for all reporting year data must be maintained for at least 
three years subsequent to the relevant reporting year to enable 
verification of all information reported. The records should document 
the basis for the entity's report to EIA, including:
    (1) The content of entity statements, including the identification 
of the specific facilities, buildings, land holding and other operations 
or emission sources covered by the entity's reports and the legal, 
equity, operational and other bases for their inclusion;
    (2) Information on the identification and assessment of changes in 
entity boundaries, processes or products that might have to be reported 
to EIA;
    (3) Any agreements or relevant communications with other entities or 
third parties regarding the reporting of emissions or emission 
reductions associated with sources the ownership or operational control 
of which is shared;
    (4) Information on the methods used to measure or estimate 
emissions, and the data collection and management systems used to gather 
and prepare this data for inclusion in reports;
    (5) Information on the methods used to calculate emission 
reductions, including the basis for:
    (i) The selection of the specific output measures used, and the data 
collection and management systems used to gather and prepare output data 
for use in the calculation of emission reductions;
    (ii) The selection and modification of all base years, base periods 
and baselines used in the calculation of emission reductions;
    (iii) Any baseline adjustments made to reflect acquisitions, 
divestitures or other changes;
    (iv) Any models or other estimation methods used; and
    (v) Any internal or independent verification procedures undertaken.
    (e) Confidentiality. DOE will protect trade secret and commercial or 
financial information that is privileged or confidential as provided in 
5 U.S.C. 552(b)(4). An entity must clearly indicate in its 1605(b) 
report the information for which it requests confidentiality. DOE will 
handle requests for confidentiality of information submitted in 1605(b) 
reports in accordance with the process established in DOE's Freedom of 
Information regulations at 10 CFR Sec. 1004.11.



Sec. 300.10  Certification of reports.

    (a) General requirement and certifying official: All reports 
submitted to EIA must include a certification statement, as provided in 
paragraph (b) of this section, signed by a certifying official of the 
reporting entity. A household report may be certified by one of its 
members. All other reports must be certified by the chief executive 
officer, agency head, or an officer or employee of the entity who is 
responsible for reporting the entity's compliance with environmental 
regulations.
    (b) Certification statement requirements. All entities, whether 
reporting or registering reductions, must certify the following:
    (1) The information reported is accurate and complete;

[[Page 98]]

    (2) The information reported has been compiled in accordance with 
this part; and
    (3) The information reported is consistent with information 
submitted in prior years, if any, or any inconsistencies with prior 
year's information are documented and explained in the entity statement.
    (c) Additional requirements for registering. The certification 
statement of an entity registering reductions must also certify that:
    (1) The entity took reasonable steps to ensure that direct 
emissions, emission reductions, and/or sequestration reported are 
neither double counted nor reported by any other entity. Reasonable 
steps include telephone, fax, letter, or e-mail communications to ensure 
that another entity does not intend to report the same emissions, 
emission reductions, and/or sequestration to DOE. Direct communications 
of this kind with participants in demand-side management or other 
programs directed at very small emitters are not required;
    (2) Any emission reductions reported or registered by the entity 
that were achieved by another entity (other than a very small emitter 
that participated in a demand-side management or other program) are 
included in the entity's report only if:
    (i) The other entity does not intend to report or register theses 
reductions directly;
    (ii) There exists a written agreement with each other entity 
providing that the reporting entity is the entity entitled to report or 
register these emission reductions; and
    (iii) The information reported on the other entity would meet the 
requirements of this part if the entity were reporting directly to DOE;
    (3) None of the emissions, emission reductions, or sequestration 
reported were produced by shifting emissions to other entities or to 
non-reporting parts of the entity;
    (4) None of any reported changes in avoided emissions associated 
with the sale of electricity, steam, hot or chilled water generated from 
non-emitting or low-emitting sources are attributable to the acquisition 
of a generating facility that has been previously operated, unless the 
entity's base period includes generation values from the acquiring 
facility's operation prior to its acquisition;
    (5) The entity maintains records documenting the analysis and 
calculations underpinning the data reported on this form and records 
documenting the analysis and calculations underpinning the base values 
used in calculating annual reductions are maintained in accordance with 
Sec. 300.9(d) of this part; and
    (6) The entity has, or has not, obtained independent verification of 
the report, as described in Sec. 300.11.



Sec. 300.11  Independent verification.

    (a) General. Entities are encouraged to have their annual reports 
reviewed by independent and qualified auditors, as described in 
paragraphs (b), (c), and (f) of this section.
    (b) Qualifications of verifiers. (1) DOE envisions that independent 
verification will be performed by professional verifiers (i.e., 
individuals or companies that provide verification or ``attestation'' 
services). EIA will consider a report to the program to be independently 
verified if:
    (i) The lead individual verifier and other members of the 
verification team are accredited by one or more independent and 
nationally-recognized accreditation programs, described in paragraph (c) 
of this section, for the types of professionals needed to determine 
compliance with DOE's 1605(b) guidelines;
    (ii) The lead verifier has experience managing an auditing or 
verification process, including the recruitment and allocation of other 
individual verifiers, and has been empowered to make decisions relevant 
to the provision of a verification statement; and
    (iii) All members of a verification team have education, training 
and/or professional experience that matches the tasks performed by the 
individual verifiers, as deemed necessary by the verifier accreditation 
program.
    (2) As further guidance, all members of the verification team should 
be familiar with:
    (i) The subject matter covered by the scope of the verification;
    (ii) The requirements of this part;

[[Page 99]]

    (iii) Greenhouse gas emission and emission reduction quantification;
    (iv) Data and information auditing sampling methods; and
    (v) Risk assessment and methodologies and materiality analysis 
procedures outlined by other domestic and international standards.
    (3) An individual verifier should have a professional degree or 
accreditation in engineering (environmental, industrial, chemical), 
accounting, economics, or a related field, supplemented by specific 
training and/or experience in emissions reporting and accounting, and 
should have his or her qualifications and continuing education 
periodically reviewed by an accreditation program. The skills required 
for verification are often cross-disciplinary. For example, an 
individual verifier reviewing a coal electric utility should be 
knowledgeable about mass balance calculations, fuel purchasing 
accounting, flows and stocks of coals, coal-fired boiler operation, and 
issues of entity definition.
    (4) Companies that provide verification services must use 
professionals that possess the necessary skills and proficiency levels 
for the types of entities for which they provide verification services. 
Continuing training may be required to ensure all individuals have up-
to-date knowledge regarding the tasks they perform.
    (c) Qualifications of organizations accrediting verifiers. 
Organizations that accredit individual verifiers must be nationally 
recognized certification programs. They may include, but are not limited 
to the: American Institute of Certified Public Accountants; American 
National Standards Institute's Registrar Accreditation Board program for 
Environmental Management System auditors (ANSI-RAB-EMS); Board of 
Environmental, Health and Safety Auditor Certification: California 
Climate Action Registry; Clean Development Mechanism Executive Board; 
and the United Kingdom Accreditation Scheme.
    (d) Scope of verification. (1) As part of any independent 
verification, qualified verifiers must use their expertise and 
professional judgment to verify for accuracy, completeness and 
consistency with DOE's guidelines of:
    (i) The content of entity statements, annual reports and the 
supporting records maintained by the entity;
    (ii) The representation in entity statements (or lack thereof) of 
any significant changes in entity boundaries, products, or processes;
    (iii) The procedures and methods used to collect emissions and 
output data, and calculate emission reductions (for entities with widely 
dispersed operations, this process should include on-site reviews of a 
sample of the facilities);
    (iv) Relevant personnel training and management systems; and
    (v) Relevant quality assurance/quality control procedures.
    (2) DOE expects qualified verifiers to refer to the growing body of 
literature on methods of evaluating the elements listed in paragraph 
(d)(1) of this section, such as the California Climate Action Registry 
Certification Protocol, the Climate Leaders Inventory Management Plan 
Checklist, and the draft ISO 14064.3 Protocol for Validation, 
Verification and Certification.
    (e) Verification statement. Both the verifier and, if relevant, an 
officer of the company providing the verification service must sign the 
verification statement. The verification statement shall attest to the 
following:
    (1) The verifier has examined all components listed in paragraph (d) 
of this section;
    (2) The information reported in the verified entity report and this 
verification statement is accurate and complete;
    (3) The information reported by the entity has been compiled in 
accordance with this part;
    (4) The information reported on the entity report is consistent with 
information submitted in prior years, if any, or any inconsistencies 
with prior year's information are documented and explained in the entity 
statement;
    (5) The verifier used due diligence to assure that direct emissions, 
emission reductions, and/or sequestration reported are not reported by 
any other entity;
    (6) Any emissions, emission reductions, or sequestration that were

[[Page 100]]

achieved by a third-party entity are included in this report only if 
there exists a written agreement with each third party indicating that 
they have agreed that the reporting entity should be recognized as the 
entity entitled to report these emissions, emission reductions, or 
sequestration;
    (7) None of the emissions, emission reductions, or sequestration 
reported was produced by shifting emissions to other entities or to non-
reporting parts of the entity;
    (8) No reported changes in avoided emissions associated with the 
sale of electricity, steam, hot or chilled water generated from non-
emitting or low-emitting sources are attributable to the acquisition of 
a generating facility that has been previously operated, unless the base 
year generation values are derived from records of the facility's 
operation prior to its acquisition;
    (9) The verifying entity has procedures in place for the maintenance 
of records that are sufficient to document the analysis and calculations 
underpinning this verification. The verifying entity shall maintain such 
records related to base period data submitted by the reporting entity 
for the duration of the reporting entity's participation in the 1605(b) 
program and records related to all other verified data for a period of 
no less than three years; and
    (10) The independent verifier is not owned in whole or part by the 
reporting entity, nor provides any ongoing operational or support 
services to the entity, except services consistent with independent 
financial accounting or independent certification of compliance with 
government or private standards.
    (f) Qualifying as an independent verifier. An independent verifier 
may not be owned in whole or part by the reporting entity, nor may it 
provide any ongoing operational or support services to the entity, 
except services consistent with independent financial accounting or 
independent certification of compliance with government or private 
standards.



Sec. 300.12  Acceptance of reports and registration of entity emission
reductions.

    (a) Acceptance of reports. EIA will review all reports to ensure 
they are consistent with this part and with the Technical Guidelines 
(incorporated by reference, see Sec. 300.13). EIA will also review all 
reports for completeness, internal consistency, arithmetic accuracy and 
plausibility. Subject to the availability of adequate resources, EIA 
intends to notify entities of the acceptance or rejection of any report 
within six months of its receipt.
    (b) Registration of emission reductions. EIA will review each 
accepted report to determine if emission reductions were calculated 
using an acceptable base period (usually ending no earlier than 2002), 
and to confirm that the report complies with the other provisions of 
this part. EIA will also review its records to verify that the reporting 
entity has submitted accepted annual reports for each year between the 
establishment of its base period and the year covered by the current 
report. EIA will notify the entity that reductions meeting these 
requirements have been credited to the entity as ``registered 
reductions'' which can be held by the reporting entity for use 
(including transfer to other entities) in the event a future program 
that recognizes such reductions is enacted into law.
    (c) Rejection of reports. If EIA does not accept a report or if it 
determines that emission reductions intended for registration do not 
qualify, EIA will return the report to the sender with an explanation of 
its inadequacies. The reporting entity may resubmit a modified report 
for further consideration at any time.
    (d) EIA database and summary reports. The Administrator of EIA will 
establish a publicly accessible database composed of all reports that 
meet the definitional, measurement, calculation, and certification 
requirements of these guidelines. EIA will maintain separate subtotals 
of direct emissions, indirect emissions and carbon fluxes. A portion of 
the database will provide summary information on the emissions and 
registered emission reductions of each reporting entity.

[[Page 101]]



Sec. 300.13  Incorporation by reference.

    The Technical Guidelines for the Voluntary Reporting of Greenhouse 
Gases (1605(b)) Program (January 2007), referred to throughout this part 
as the ``Technical Guidelines,'' 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. You may obtain a copy of the Technical 
Guidelines from the Office of Policy and International Affairs, U.S. 
Department of Energy, 1000 Independence Ave., SW., Washington, DC 20585, 
or by visiting the following Web site: http://www.policy.energy.gov/
enhancingGHGregistry/technicalguidelines/. The Technical Guidelines also 
are available for inspection at the National Archives and Record 
Administration (NARA). For more information on the availability of this 
material at NARA, call 202-741-6030, or go to: http://www.archives.gov/
federal--register/code--of--federal--regulations/ibr--locations.html.

[71 FR 20805, Apr. 21, 2006, as amended at 72 FR 4413, Jan. 31, 2007]



                         SUBCHAPTER C [RESERVED]



[[Page 102]]



                    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 amendments to State plans.
420.14 Review and approval of annual State applications and amendments 
          to 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.
420.38 Special projects expenditure prohibitions and limitations.

    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.

    Editorial Note: Nomenclature changes to part 420 appear at 64 FR 
46114, Aug. 24, 1999.



    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 and Renewable Energy or any official to whom the Assistant 
Secretary's

[[Page 103]]

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.
    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 any process which identifies and specifies the 
energy and cost savings which are likely to be realized through the 
purchase and installation of particular energy efficiency measures or 
renewable energy measures.
    Energy efficiency measure means any capital investment that reduces 
energy costs in an amount sufficient to recover the total cost of 
purchasing and installing such measure over an appropriate period of 
time and maintains or reduces non-renewable energy consumption.
    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)).
    Manufactured home means any dwelling covered by the Federal 
Manufactured Home Construction and Safety Standards, 24 CFR part 3280.
    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

[[Page 104]]

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 Office Director means the director of a DOE Regional 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 any capital investment that reduces 
energy costs in an amount sufficient to recover the total cost of 
purchasing and installing such measure over an appropriate period of 
time and that results in the use of renewable energy to replace the use 
of non-renewable energy.
    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

[[Page 105]]

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 activities such as carpools, vanpools, public transportation 
usage, and/or telecommuting.

[61 FR 35895, July 8, 1996, as amended at 62 FR 26726, May 14, 1997]



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 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 
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 National 
Archives and Records Administration (NARA). For information on the 
availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/federal--register/code--of--federal--
regulations/ibr--locations.html.
    (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.

[61 FR 35895, July 8, 1996, as amended at 69 FR 18803, Apr. 9, 2004]

[[Page 106]]



                   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 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, 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

[[Page 107]]

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 totaling 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 subpart.

[61 FR 35895, July 8, 1996, as amended at 64 FR 46114, Aug. 24, 1999]



Sec. 420.13  Annual State applications and amendments to State plans.

    (a) To be eligible for financial assistance under this subpart, a 
State shall submit to the cognizant Regional Office Director an original 
and two copies of the annual application executed by the Governor, 
including an amended State plan or any amendments to the State plan 
needed to reflect changes in the activities the State is planning to 
undertake for the fiscal year concerned. 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 this subpart, a goal, 
consisting of an improvement of 25 percent or more in the efficiency of 
use of energy in the State concerned in the calendar year 2012, 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 State plan 
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 have been implemented and are 
being maintained.
    (5) If any of the activities being undertaken by the State in its 
plan have environmental impacts, 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) If a State is undertaking 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.
    (7) A reasonable assurance to DOE that it has established policies 
and procedures designed to assure that Federal financial assistance 
under this subpart 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 subpart;
    (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

[[Page 108]]

    (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 Office 
Director not less than 15 days prior to the annual submission date. The 
extension shall be granted only if, in the cognizant Regional Office 
Director's judgment, acceptable and substantial justification is shown, 
and the extension would further objectives of the Act.
    (d) The Secretary, or a designee, shall, at least once every three 
years from the submission date of each State plan, invite the Governor 
of the State to review and, if necessary, revise the energy conservation 
plan of such State. Such reviews should consider the energy conservation 
plans of other States within the region, and identify opportunities and 
actions that may be carried out in pursuit of common energy conservation 
goals.

[61 FR 35895, July 8, 1996, as amended at 62 FR 26727, May 14, 1997; 64 
FR 46114, Aug. 24, 1999; 71 FR 57887, Oct. 2, 2006]



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

    (a) After receipt of an application for financial assistance under 
this subpart and for approval of an amendment, if any, to a State plan, 
the cognizant Regional 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 subparts A and B of this part. The cognizant 
Regional 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 
or to bring it into compliance, the cognizant Regional 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 subparts A and B of this part.
    (b) On or before 60 days from the date that a timely filed 
application is complete, the cognizant Regional Office Director shall--
    (1) Approve the application in whole or in part to the extent that--
    (i) The application conforms to the requirements of subparts A and B 
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 
subparts A and B of this part; or
    (3) Disapprove the application if it does not conform to the 
requirements of subparts A and B of this part.

[61 FR 35895, July 8, 1996, as amended at 62 FR 26727, May 14, 1997; 64 
FR 46114, Aug. 24, 1999]



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 (except for public buildings owned 
or leased by the United States), 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/

[[Page 109]]

IESNA 90.1-1989 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; 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 buildings owned or leased by the United States, 
buildings 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 space 
for all purposes, or manufactured homes), 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 law 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

[[Page 110]]

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 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.

[61 FR 35895, July 8, 1996, as amended at 62 FR 26727, May 14, 1997]



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 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 efficiency 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 efficiency 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;

[[Page 111]]

    (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 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 efficiency 
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

[[Page 112]]

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 
Services Program established under this subpart 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.

[61 FR 35895, July 8, 1996, as amended at 62 FR 26727, May 14, 1997; 64 
FR 46114, Aug. 24, 1999]



Sec. 420.18  Expenditure prohibitions and limitations.

    (a) No financial assistance provided to a State under this subpart 
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 subpart.
    (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 subpart 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 subpart and which are included in the State's approved SEP 
plan.
    (e) A State may use funds under this subpart for the purchase and 
installation of equipment and materials for energy efficiency measures 
and renewable energy measures, including reasonable design costs, 
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) Buildings owned or leased by the United States are not eligible 
for energy efficiency measures or renewable energy measures under 
paragraph (e) of 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 (f) of this section, a State may use a 
variety of financial incentives to fund purchases and installation of 
materials and equipment under paragraph (e) of this section including, 
but not limited to, regular loans, revolving loans, loan

[[Page 113]]

buy-downs, performance contracting, rebates and grants.
    (f) The following mechanisms are not allowed for funding the 
purchase and installation of materials and equipment under paragraph (e) 
of this section:
    (1) 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
    (2) Loan guarantees.

[61 FR 35895, July 8, 1996, as amended at 62 FR 26727, May 14, 1997; 64 
FR 46114, Aug. 24, 1999]



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 Office Director and shall be accompanied by a 
written statement containing supporting arguments. If the cognizant 
Regional 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 
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 under this subpart, 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 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 subpart, 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.

[61 FR 35895, July 8, 1996, as amended at 64 FR 46114, Aug. 24, 1999]

[[Page 114]]



    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.
    (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

[[Page 115]]

    (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:
    (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 subpart, 10 CFR part 600, 
or the program guidance/solicitation, when the nature of the omission 
precludes review of the application.

[61 FR 35895, July 8, 1996, as amended at 64 FR 46114, Aug. 24, 1999]



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 Office shall perform an 
initial review of all applications to ensure that the State has provided 
the information required by this subpart, 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.

[61 FR 35895, July 8, 1996, as amended at 64 FR 46114, Aug. 24, 1999]



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.



Sec. 420.38  Special projects expenditure prohibitions and limitations.

    (a) Expenditures under the special projects are subject to 10 CFR 
part 600 and to any prohibitions and limitations required by the DOE 
programs that are providing the special projects funding.

[[Page 116]]

    (b) DOE must state any expenditure prohibitions or limitations 
specific to a particular category of special projects in the annual SEP 
special projects solicitation/guidance.

[64 FR 46114, Aug. 24, 1999]



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




                      Subpart A_General Provisions

Sec.
430.1 Purpose and scope.
430.2 Definitions.
430.3 Materials incorporated by reference.
430.4 Sources for information and guidance.

                        Subpart B_Test Procedures

430.21 Purpose and scope.
430.23 Test procedures for the measurement of energy and water 
          consumption.
430.24 Units to be tested.
430.25 Laboratory Accreditation Program.
430.27 Petitions for waiver and applications for interim waiver.

Appendix A1 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
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 [Reserved]
Appendix I to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Conventional Ranges, Conventional 
          Cooking Tops, Conventional Ovens, and Microwave Ovens
Appendix J to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Automatic and Semi-Automatic Clothes 
          Washers
Appendix J1 to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Automatic and Semi-Automatic Clothes 
          Washers
Appendixes K-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 and Boilers
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), Color Rendering Index (CRI), and 
          Correlated Color Temperature (CCT) of Electric Lamps
Appendix S to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Water Consumption of Faucets and Showerheads
Appendix T to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Water Consumption of Water Closets and Urinals
Appendix U to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Ceiling Fans
Appendix V to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Ceiling Fan Light Kits
Appendix W to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Medium Base Compact Fluorescent 
          Lamps
Appendix X to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Dehumidifiers
Appendix Y to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Battery Chargers
Appendix Z to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of External Power Supplies

[[Page 117]]

            Subpart C_Energy and Water Conservation Standards

430.31 Purpose and scope.
430.32 Energy and water conservation standards and their effective 
          dates.
430.33 Preemption of State regulations.
430.34 Energy and water conservation standards amendments.
430.35 Petitions with respect to general service lamps.

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 and 
          Certification Report.
Appendix B to Subpart F of Part 430--Sampling Plan for Enforcement 
          Testing.

    Authority: 42 U.S.C. 6291-6309; 28 U.S.C. 2461 note.

    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. 95-619, Pub. L. 
100-12, Pub. L. 100-357, and Pub. L. 102-486 which establishes an energy 
conservation program for consumer products other than automobiles.

[62 FR 29237, May 29, 1997]



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--
    3-Way incandescent lamp means an incandescent lamp that--
    (1) Employs two filaments, operated separately and in combination, 
to provide three light levels; and
    (2) Is designated on the lamp packaging and marketing materials as 
being a 3-way incandescent lamp.
    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).
    Active mode means the condition in which an energy-using product--
    (1) Is connected to a main power source;
    (2) Has been activated; and
    (3) Provides one or more main functions.
    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

[[Page 118]]

outdoors and does not communicate with air in the conditioned space;
    (c) Boilers which are not weatherized are located within the heated 
space.
    ANSI means the American National Standards Institute.
    Appliance lamp means any lamp that--
    (1) Is specifically designed to operate in a household appliance, 
has a maximum wattage of 40 watts, is sold at retail (including an oven 
lamp, refrigerator lamp, and vacuum cleaner lamp); and
    (2) Is designated and marketed for the intended application, with
    (i) The designation on the lamp packaging; and
    (ii) Marketing materials that identify the lamp as being for 
appliance use.
    ARM/simulation adjustment factor means a factor used as part of a 
DOE-approved alternative rating method (ARM) to improve the accuracy of 
the calculated ratings for untested split-system central air 
conditioners or heat pumps. The adjustment factor associated with each 
outdoor unit must be set such that it reduces the difference between the 
SEER (HSPF) determined using the ARM and a split-system combination 
tested in accordance with Sec. 430.24(m)(1). The ARM/simulation 
adjustment factor is an integral part of the ARM and must be a DOE-
approved element in accordance with 10 CFR 430.24(m)(4) to (m)(6).
    ASME means the American Society of Mechanical Engineers.
    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 means a device used with an electric discharge lamp to 
obtain necessary circuit conditions (voltage, current, and waveform) for 
starting and operating.
    Ballast efficacy factor means the relative light output divided by 
the power input 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

[[Page 119]]

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 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, means lamps 
that have essentially identical light output and electrical 
characteristics--including lumens per watt and color rendering index 
(CRI)--and that do not have any differing physical or functional 
characteristics that affect energy consumption or efficacy.
    (16) With respect to general service incandescent lamps, means lamps 
that have essentially identical light output and electrical 
characteristics--including lumens per watt--and that do not have any 
differing physical or functional characteristics that affect energy 
consumption or efficacy.
    (17) With respect to incandescent reflector lamps, means lamps that 
have essentially identical light output and electrical characteristics--
including lumens per watt--and that do not have any differing physical 
or functional characteristics that affect energy consumption or 
efficacy.
    (18) With respect to faucets, which have the identical flow control 
mechanism attached to or installed within the fixture fittings, or the 
identical water-passage design features that use the same path of water 
in the highest-flow mode.
    (19) With respect to showerheads, which have the identical flow 
control mechanism attached to or installed within the fixture fittings, 
or the identical water-passage design features that use the same path of 
water in the highest-flow mode.
    (20) With respect to water closets, which have hydraulic 
characteristics that are essentially identical, and which do not have 
any differing physical or functional characteristics that affect water 
consumption.
    (21) With respect to urinals, which have hydraulic characteristics 
that are essentially identical, and which do not have any differing 
physical or functional characteristics that affect water consumption.
    (22) With respect to ceiling fans, which have electrical 
characteristics that are essentially identical, and which do not have 
any differing physical or functional characteristics that affect energy 
consumption.
    (23) With respect to ceiling fan light kits, which have electrical 
characteristics that are essentially identical, and which do not have 
differing physical or functional characteristics that affect energy 
consumption.
    (24) With respect to medium base compact fluorescent lamps, which 
have

[[Page 120]]

electrical characteristics that are essentially identical, and which do 
not have any differing physical or functional characteristics that 
affect energy consumption.
    (25) With respect to dehumidifiers, which have electrical 
characteristics that are essentially identical, and which do not have 
any differing physical or functional characteristics that affect energy 
consumption.
    (26) With respect to battery chargers, which have electrical 
characteristics that are essentially identical, and which do not have 
any differing physical or functional characteristics that affect energy 
consumption.
    (27) With respect to external power supplies, which have electrical 
characteristics that 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.
    Battery charger means a device that charges batteries for consumer 
products, including battery chargers embedded in other consumer 
products.
    Blowout has the meaning given such a term in ASME A112.19.2M-1995. 
(see Sec. 430.22)
    BPAR incandescent reflector lamp means a reflector lamp as shown in 
figure C78.21-278 on page 32 of ANSI C78.21-2003 (incorporated by 
reference; see Sec. 430.3).
    BR30 means a BR incandescent reflector lamp with a diameter of 30/
8ths of an inch.
    BR40 means a BR incandescent reflector lamp with a diameter of 40/
8ths of an inch.
    BR incandescent reflector lamp means a reflector lamp that has--
    (1) A bulged section below the major diameter of the bulb and above 
the approximate baseline of the bulb, as shown in figure 1 (RB) on page 
7 of ANSI C79.1-1994, (incorporated by reference, see Sec. 430.3); and
    (2) A finished size and shape shown in ANSI C78.21-1989 
(incorporated by reference; see Sec. 430.3), including the referenced 
reflective characteristics in part 7 of ANSI C78.21-1989.
    BR incandescent reflector lamp means a reflector lamp that has a 
bulged section below the bulb's major diameter and above its approximate 
base line as shown in Figure 1 (RB) on page 7 of ANSI C79.1-1994. A BR30 
lamp has a lamp wattage of 85 or less than 66 and a BR40 lamp has a lamp 
wattage of 120 or less.
    Btu means British thermal unit, which is the quantity of heat 
required to raise the temperature of one pound of water one degree 
Fahrenheit.
    Candelabra base incandescent lamp means a lamp that uses a 
candelabra screw base as described in ANSI C81.61, Specifications for 
Electric Bases, common designations E11 and E12 (incorporated by 
reference; see Sec. 430.3).
    Casement-only means a room air conditioner designed for mounting in 
a casement window with an encased assembly with a width of 14.8 inches 
or less and a height of 11.2 inches or less.
    Casement-slider means a room air conditioner with an encased 
assembly designed for mounting in a sliding or casement window with a 
width of 15.5 inches or less.
    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).
    Ceiling fan means a nonportable device that is suspended from a 
ceiling for circulating air via the rotation of fan blades.
    Ceiling fan light kit means equipment designed to provide light from 
a ceiling fan that can be--
    (1) Integral, such that the equipment is attached to the ceiling fan 
prior to the time of retail sale; or
    (2) Attachable, such that at the time of retail sale the equipment 
is not physically attached to the ceiling fan, but may be included 
inside the ceiling fan at the time of sale or sold separately for 
subsequent attachment to the fan.
    Central air conditioner means a product, other than a packaged 
terminal

[[Page 121]]

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.
    Class A external power supply--
    (1) Means a device that--
    (i) Is designed to convert line voltage AC input into lower voltage 
AC or DC output;
    (ii) Is able to convert to only one AC or DC output voltage at a 
time;
    (iii) Is sold with, or intended to be used with, a separate end-use 
product that constitutes the primary load;
    (iv) Is contained in a separate physical enclosure from the end-use 
product;
    (v) Is connected to the end-use product via a removable or hard-
wired male/female electrical connection, cable, cord, or other wiring; 
and
    (vi) Has nameplate output power that is less than or equal to 250 
watts;
    (2) But, does not include any device that--
    (i) Requires Federal Food and Drug Administration listing and 
approval as a medical device in accordance with section 513 of the 
Federal Food, Drug, and Cosmetic Act (21 U.S.C. 360(c)); or
    (ii) Powers the charger of a detachable battery pack or charges the 
battery of a product that is fully or primarily motor operated.
    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 with a ballast 
conforming to the requirements of ANSI C78.81 (incorporated by 
reference; see Sec. 430.3) and ANSI C78.901 (incorporated by reference; 
see Sec. 430.3), and is expressly designated as a cold temperature lamp 
both in markings on the lamp and in marketing materials, including 
catalogs, sales literature, and promotional material.
    Colored fluorescent lamp means a fluorescent lamp designated and 
marketed as a colored lamp and not designed or marketed for general 
illumination applications with either of the following characteristics:
    (1) A CRI less than 40, as determined according to the method set 
forth in CIE Publication 13.3 (incorporated by reference; see Sec. 
430.3); or
    (2) A correlated color temperature less than 2,500K or greater than 
7,000K as determined according to the method set forth in IESNA LM-9 
(incorporated by reference; see Sec. 430.3).
    Colored incandescent lamp means an incandescent lamp designated and 
marketed as a colored lamp that has--
    (1) A color rendering index of less than 50, as determined according 
to the test method given in CIE 13.3 (incorporated by reference; see 
Sec. 430.3); or
    (2) A correlated color temperature of less than 2,500K, or greater 
than 4,600K, where correlated temperature is computed according to the 
``Computation of Correlated Color Temperature and Distribution 
Temperature,'' Journal of the Optical Society of America, (incorporated 
by reference; see Sec. 430.3).
    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.

[[Page 122]]

    Compact refrigerator/refrigerator-freezer/freezer means any 
refrigerator, refrigerator-freezer or freezer with total volume less 
than 7.75 cubic feet (220 liters)(rated volume as determined in Appendix 
A1 and B1 of subpart B of this part) and 36 inches (0.91 meters) or less 
in height.
    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):
    (1) Of a type--
    (i) Which in operation consumes, or is designed to consume, energy 
or, with respect to showerheads, faucets, water closets, and urinals, 
water; and
    (ii) Which, to any significant extent, is distributed in commerce 
for personal use or consumption by individuals;
    (2) Without regard to whether such article of such type is in fact 
distributed in commerce for personal use or consumption by an 
individual, except that such term includes fluorescent lamp ballasts, 
general service fluorescent lamps, incandescent reflector lamps, 
showerheads, faucets, water closets, and urinals 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.
    Cooking products 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 cooking 
products.
    Correlated color temperature means the absolute temperature of a 
blackbody whose chromaticity most nearly resembles that of the light 
source.
    Covered product means a consumer product:
    (1) Of a type specified in section 322 of the Act, or
    (2) That is a ceiling fan, ceiling fan light kit, medium base 
compact fluorescent lamp, dehumidifier, battery charger, external power 
supply, or torchiere.
    Dehumidifier means a self-contained, electrically operated, and 
mechanically refrigerated encased assembly consisting of--
    (1) A refrigerated surface (evaporator) that condenses moisture from 
the atmosphere;
    (2) A refrigerating system, including an electric motor;
    (3) An air-circulating fan; and

[[Page 123]]

    (4) Means for collecting or disposing of the condensate.
    Design voltage with respect to an incandescent lamp means:
    (1) The voltage marked as the intended operating voltage;
    (2) The mid-point of the voltage range if the lamp is marked with a 
voltage range; or
    (3) 120 V if the lamp is not marked with a voltage or voltage range.
    Detachable battery means a battery that is--
    (1) Contained in a separate enclosure from the product; and
    (2) Intended to be removed or disconnected from the product for 
recharging.
    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.
    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 below 39[deg] F, 
configured for general refrigerated food storage, 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.
    Electromechanical hydraulic toilet means any water closet that 
utilizes electrically operated devices, such as, but not limited to, air 
compressors, pumps, solenoids, motors, or macerators in place of or to 
aid gravity in evacuating waste from the toilet bowl.
    Electronic ballast means a device that uses semiconductors as the 
primary means to control lamp starting and operation.
    Energy conservation standard means:
    (1) A performance standard which prescribes a minimum level of 
energy efficiency or a maximum quantity of energy use, or, in the case 
of showerheads, faucets, water closets, and urinals, water use, for a 
covered product, determined in accordance with test procedures 
prescribed under Section 323 of EPCA (42 U.S.C. 6293); or
    (2) A design requirement for the products specified in paragraphs 
(6), (7), (8),

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(10), (15), (16), (17), and (19) of Section 322(a) of EPCA (42 U.S.C. 
6292(a)); and
    (3) Includes any other requirements which the Secretary may 
prescribe under Section 325(r) of EPCA (42 U.S.C. 6295(r)).
    ER incandescent reflector lamp means a reflector lamp that has--
    (1) An elliptical section below the major diameter of the bulb and 
above the approximate baseline of the bulb, as shown in figure 1 (RE) on 
page 7 of ANSI C79.1-1994, (incorporated by reference; see Sec. 430.3); 
and
    (2) A finished size and shape shown in ANSI C78.21-1989, 
(incorporated by reference; see Sec. 430.3).
    ER30 means an ER incandescent reflector lamp with a diameter of 30/
8ths of an inch.
    ER40 means an ER incandescent reflector lamp with a diameter of 40/
8ths of an inch.
    Estimated annual operating cost means the aggregate retail cost of 
the energy which is likely to be consumed annually, and in the case of 
showerheads, faucets, water closets, and urinals, the aggregate retail 
cost of water and wastewater treatment services likely to be incurred 
annually, in representative use of a consumer product, determined in 
accordance with Section 323 of EPCA (42 U.S.C. 6293).
    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.
    External power supply means an external power supply circuit that is 
used to convert household electric current into DC current or lower-
voltage AC current to operate a consumer product.
    External power supply design family means a set of external power 
supply basic models, produced by the same manufacturer, which share the 
same circuit layout, output power, and output cord resistance, but 
differ in output voltage.
    Faucet means a lavatory faucet, kitchen faucet, metering faucet, or 
replacement aerator for a lavatory or kitchen faucet.
    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 only the 
following:
    (1) Any straight-shaped lamp (commonly referred to as 4-foot medium 
bipin lamps) with medium bipin bases of nominal overall length of 48 
inches and rated wattage of 25 or more;
    (2) Any U-shaped lamp (commonly referred to as 2-foot U-shaped 
lamps) with medium bipin bases of nominal overall length between 22 and 
25 inches and rated wattage of 25 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;
    (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;
    (5) Any straight-shaped lamp (commonly referred to as 4-foot 
miniature bipin standard output lamps) with miniature bipin bases of 
nominal overall length between 45 and 48 inches and rated wattage of 26 
or more; and
    (6) Any straight-shaped lamp (commonly referred to 4-foot miniature 
bipin high output lamps) with miniature bipin bases of nominal overall 
length between 45 and 48 inches and rated wattage of 49 or more.
    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.
    Flushometer tank means a device whose function is defined in 
flushometer valve, but integrated within an accumulator vessel affixed 
and adjacent to the fixture inlet so as to cause an effective 
enlargement of the supply line immediately before the unit.
    Flushometer valve means a valve attached to a pressurized water 
supply pipe and so designed that when actuated, it opens the line for 
direct flow into the fixture at a rate and quantity to properly operate 
the fixture, and

[[Page 125]]

then gradually closes to provide trap reseal in the fixture in order to 
avoid water hammer. The pipe to which this device is connected is in 
itself of sufficient size, that when open, will allow the device to 
deliver water at a sufficient rate of flow for flushing purposes.
    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 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 lighting application means lighting that provides an 
interior or exterior area with overall illumination.
    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 application:
    (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; and
    (8) Lamps with a Color Rendering Index of 87 or greater.
    General service incandescent lamp means a standard incandescent or 
halogen type lamp that is intended for general service applications; has 
a medium screw base; has a lumen range of not less than 310 lumens and 
not more than 2,600 lumens; and is capable of being operated at a 
voltage range at least partially within 110 and 130 volts; however this 
definition does not apply to the following incandescent lamps--
    (1) An appliance lamp;
    (2) A black light lamp;
    (3) A bug lamp;
    (4) A colored lamp;
    (5) An infrared lamp;
    (6) A left-hand thread lamp;
    (7) A marine lamp;
    (8) A marine signal service lamp;
    (9) A mine service lamp;
    (10) A plant light lamp;
    (11) A reflector lamp;
    (12) A rough service lamp;
    (13) A shatter-resistant lamp (including a shatter-proof lamp and a 
shatter-protected lamp);
    (14) A sign service lamp;
    (15) A silver bowl lamp;
    (16) A showcase lamp;
    (17) A 3-way incandescent lamp;
    (18) A traffic signal lamp;
    (19) A vibration service lamp;

[[Page 126]]

    (20) A G shape lamp (as defined in ANSI C78.20) (incorporated by 
reference; see Sec. 430.3) and ANSI C79.1-2002 (incorporated by 
reference; see Sec. 430.3) with a diameter of 5 inches or more;
    (21) A T shape lamp (as defined in ANSI C78.20) (incorporated by 
reference; see Sec. 430.3) and ANSI C79.1-2002 (incorporated by 
reference; see Sec. 430.3) and that uses not more than 40 watts or has 
a length of more than 10 inches; and
    (22) A B, BA, CA, F, G16-1/2, G-25, G30, S, or M-14 lamp (as defined 
in ANSI C79.1-2002) (incorporated by reference; see Sec. 430.3) and 
ANSI C78.20 (incorporated by reference; see Sec. 430.3) of 40 watts or 
less.
    General service lamp includes general service incandescent lamps, 
compact fluorescent lamps, general service light-emitting diode lamps, 
organic light-emitting diode lamps, and any other lamps that the 
Secretary determines are used to satisfy lighting applications 
traditionally served by general service incandescent lamps; however, 
this definition does not apply to any lighting application or bulb shape 
excluded from the ``general service incandescent lamp'' definition, or 
any general service fluorescent lamp or incandescent reflector lamp.
    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.
    Import means to import into the customs territory of the United 
States.
    Incandescent lamp means a 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 non-reflector 
general service lamps, including any tungsten halogen lamp) that has a 
rated wattage between 30 and 199, has an E26 medium screw base, has a 
rated voltage or voltage range that lies at least partially in the range 
of 115 and 130 volts, and is not a reflector lamp.
    (2) Any incandescent reflector lamp.
    (3) Any general service incandescent lamp (commonly referred to as a 
high-or higher-wattage lamp) that has a rated wattage above 199 (above 
205 for a high wattage reflector lamp).
    Incandescent reflector lamp (commonly referred to as a reflector 
lamp) means any lamp in which light is produced by a filament heated to 
incandescence by an electric current, 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; has an R, PAR, 
ER, BR, BPAR, or similar bulb shapes with an E26 medium screw base; has 
a rated voltage or voltage range that lies at least partially in the 
range of 115 and 130 volts; has a diameter that exceeds 2.25 inches; and 
has a rated wattage that is 40 watts or higher.
    Indoor unit means a component of a split-system central air 
conditioner or heat pump that is designed to transfer heat between the 
refrigerant and the indoor air, and which consists of an indoor coil, a 
cooling mode expansion device, and may include an air moving device.
    Intermediate base incandescent lamp means a lamp that uses an 
intermediate screw base as described in ANSI C81.61, Specifications for 
Electric Bases, common designation E17 (incorporated by reference; see 
Sec. 430.3).
    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.

[[Page 127]]

    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).
    Light-emitting diode or LED means a p-n junction solid state device 
of which the radiated output, either in the infrared region, the visible 
region, or the ultraviolet region, is a function of the physical 
construction, material used, and exciting current of the device.
    Low consumption has the meaning given such a term in ASME 
A112.19.2M-1995. (see Sec. 430.22)
    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.
    Manufacture means to manufacture, produce, assemble, or import.
    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; however, the term does not include--
    (1) Any lamp that is--
    (i) Specifically designed to be used for special purpose 
applications; and
    (ii) Unlikely to be used in general purpose applications, such as 
the applications described in the definition of ``General Service 
Incandescent Lamp'' in this section; or
    (2) Any lamp not described in the definition of ``General Service 
Incandescent Lamp'' in this section that is excluded by the Secretary, 
by rule, because the lamp is--
    (i) Designed for special applications; and
    (ii) Unlikely to be used in general purpose applications.
    Medium screw base means an Edison screw base identified with the 
prefix E-26 in the ``American National Standard for Electric Lamp 
Bases'', ANSI--IEC C81.61-2003, published by the American National 
Standards Institute.
    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.
    Mobile home furnace means a direct vent furnace that is designed for 
use only in mobile homes.
    Modified spectrum means, with respect to an incandescent lamp, an 
incandescent lamp that--
    (1) Is not a colored incandescent lamp; and
    (2) When operated at the rated voltage and wattage of the 
incandescent lamp--
    (A) Has a color point with (x,y) chromaticity coordinates on the 
C.I.E. 1931 chromaticity diagram, figure 2, page 3 of IESNA LM-16 
(incorporated by reference; see Sec. 430.3) that lies below the black-
body locus; and
    (B) Has a color point with (x,y) chromaticity coordinates on the 
C.I.E. 1931 chromaticity diagram, figure 2, page 3 of IESNA LM-16 
(incorporated by reference; see Sec. 430.3) that lies at least 4 
MacAdam steps, as referenced in IESNA LM-16, distant from the color 
point of a clear lamp with the same filament and bulb shape, operated at 
the same rated voltage and wattage.
    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.
    Off mode means the condition in which an energy using product--
    (1) Is connected to a main power source; and
    (2) Is not providing any stand-by or active mode function.

[[Page 128]]

    Oil means heating oil grade No. 2 as defined in American Society for 
Testing and Materials (ASTM) D396-71.
    Organic light-emitting diode or OLED means a thin-film light-
emitting device that typically consists of a series of organic layers 
between 2 electrical contacts (electrodes).
    Other clothes washer means a class of clothes washer which is not an 
automatic or semi-automatic clothes washer.
    Other cooking products means any class of cooking products other 
than the conventional range, 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).
    Outdoor unit means a component of a split-system central air 
conditioner or heat pump that is designed to transfer heat between the 
refrigerant and the outdoor air, and which consists of an outdoor coil, 
compressor(s), an air moving device, and in addition for heat pumps, a 
heating mode expansion device, reversing valve, and defrost controls.
    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.
    Pin-based means (1) the base of a fluorescent lamp, that is not 
integrally ballasted and that has a plug-in lamp base, including multi-
tube, multibend, spiral, and circline types, or (2) a socket that holds 
such a lamp.
    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.
    Private labeler means an owner of a brand or trademark on the label 
of a consumer product which bears a private label. A consumer product 
bears a private label if:
    (1) Such product (or its container) is labeled with the brand or 
trademark of a person other than a manufacturer of such product;
    (2) The person with whose brand or trademark such product (or 
container) is labeled has authorized or caused such product to be so 
labeled; and
    (3) The brand or trademark of a manufacturer of such product does 
not appear on such label.
    Propane means a hydrocarbon whose chemical composition is 
predominantly C3H8, whether recovered from natural 
gas or crude oil.
    R20 incandescent reflector lamp means a reflector lamp that has a 
face diameter of approximately 2.5 inches, as shown in figure 1(R) on 
page 7 of ANSI C79.1-1994 (incorporated by reference; see Sec. 430.3).
    Rated voltage with respect to incandescent lamps means:
    (1) The design voltage if the design voltage is 115 V, 130 V or 
between 115V and 130 V:
    (2) 115 V if the design voltage is less than 115 V and greater than 
or equal to 100 V and the lamp can operate at 115 V; and
    (3) 130 V if the design voltage is greater than 130 V and less than 
or

[[Page 129]]

equal to 150 V and the lamp can operate at 130 V.
    Rated wattage means:
    (1) With respect to fluorescent lamps and general service 
fluorescent lamps:
    (i) If the lamp is listed in ANSI C78.81 (incorporated by reference; 
see Sec. 430.3) or ANSI C78.901 (incorporated by reference; see Sec. 
430.3), the rated wattage of a lamp determined by the lamp designation 
of Clause 11.1 of ANSI C78.81 or ANSI C78.901;
    (ii) If the lamp is a residential straight-shaped lamp, and not 
listed in ANSI C78.81 (incorporated by reference; see Sec. 430.3), the 
wattage of a lamp when operated on a reference ballast for which the 
lamp is designed; or
    (iii) If the lamp is neither listed in one of the ANSI standards 
referenced in (1)(i) of this definition, nor a residential straight-
shaped lamp, the electrical power of a lamp when measured according to 
the test procedures outlined in appendix R to subpart B of this part.
    (2) With respect to general service incandescent lamps and 
incandescent reflector lamps, the electrical power measured according to 
the test procedures outlined in Appendix R to subpart B of this part.
    Refrigerator means an electric refrigerator.
    Refrigerator-freezer means an electric refrigerator-freezer.
    Replacement ballast means a ballast that--
    (1) Is designed for use to replace an existing fluorescent lamp 
ballast in a previously installed luminaire;
    (2) Is marked ``FOR REPLACEMENT USE ONLY'';
    (3) Is shipped by the manufacturer in packages containing not more 
than 10 fluorescent lamp ballasts; and
    (4) Has output leads that when fully extended are a total length 
that is less than the length of the lamp with which the ballast is 
intended to be operated.
    Residential straight-shaped 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 a straight-shaped fluorescent lamp with medium bi-pin bases of 
nominal overall length of 48 inches and is either designed exclusively 
for residential applications; or designed primarily and marketed 
exclusively for residential applications.
    (1) A lamp is designed exclusively for residential applications if 
it will not function for more than 100 hours with a commercial high-
power-factor ballast.
    (2) A lamp is designed primarily and marketed exclusively for 
residential applications if it:
    (i) Is permanently and clearly marked as being for residential use 
only;
    (ii) Has a life of 6,000 hours or less when used with a commercial 
high-power-factor ballast;
    (iii) Is not labeled or represented as a replacement for a 
fluorescent lamp that is a covered product; and
    (iv) Is marketed and distributed in a manner designed to minimize 
use of the lamp with commercial high-power-factor ballasts.
    (3) A manufacturer may market and distribute a lamp in a manner 
designed to minimize use of the lamp with commercial high-power-factor 
ballasts by:
    (i) Packaging and labeling the lamp in a manner that clearly 
indicates the lamp is for residential use only and includes appropriate 
instructions concerning proper and improper use; if the lamp is included 
in a catalog or price list that also includes commercial/industrial 
lamps, listing the lamp in a separate residential section accompanied by 
notes about proper use on the same page; and providing as part of any 
express warranty accompanying the lamp that improper use voids such 
warranty; or
    (ii) Using other comparably effective measures to minimize use with 
commercial high-power-factor ballasts.
    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.
    Rough or vibration service incandescent reflector lamp means a 
reflector lamp:

[[Page 130]]

in which a C-11 (5 support), C-17 (8 support), or C-22 (16 support) 
filament is mounted (the number of support excludes lead wires); in 
which the filament configuration is as shown in Chapter 6 of the 1993 
Illuminating Engineering Society of North America Lighting Handbook, 8th 
Edition (see 10 CFR 430.22); and that is designated and marketed 
specifically for rough or vibration service applications.
    Rough service lamp means a lamp that--
    (1) Has a minimum of 5 supports with filament configurations that 
are C-7A, C-11, C-17, and C-22 as listed in Figure 6-12 of the IESNA 
Lighting Handbook (incorporated by reference; see Sec. 430.3), or 
similar configurations where lead wires are not counted as supports; and
    (2) Is designated and marketed specifically for `rough service' 
applications, with
    (i) The designation appearing on the lamp packaging; and
    (ii) Marketing materials that identify the lamp as being for rough 
service.
    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.
    Shatter-resistant lamp, shatter-proof lamp, or shatter-protected 
lamp means a lamp that--
    (1) Has a coating or equivalent technology that is compliant with 
NSF/ANSI 51 (incorporated by reference; see Sec. 430.3) and is designed 
to contain the glass if the glass envelope of the lamp is broken; and
    (2) Is designated and marketed for the intended application, with
    (i) The designation on the lamp packaging; and
    (ii) Marketing materials that identify the lamp as being shatter-
resistant, shatter-proof, or shatter-protected.
    Showerhead means any showerhead (including a hand held showerhead), 
except a safety shower showerhead.
    Small duct, high velocity system means a heating and cooling product 
that contains a blower and indoor coil combination that:
    (1) Is designed for, and produces, at least 1.2 inches of external 
static pressure when operated at the certified air volume rate of 220-
350 CFM per rated ton of cooling; and
    (2) When applied in the field, uses high velocity room outlets 
generally greater than 1000 fpm which have less than 6.0 square inches 
of free area.
    Space constrained product means a central air conditioner or heat 
pump:
    (1) That has rated cooling capacities no greater than 30,000 BTU/hr;
    (2) That has an outdoor or indoor unit having at least two overall 
exterior dimensions or an overall displacement that:
    (i) Is substantially smaller than those of other units that are:
    (A) Currently usually installed in site-built single family homes; 
and
    (B) Of a similar cooling, and, if a heat pump, heating capacity; and
    (ii) If increased, would certainly result in a considerable increase 
in the usual cost of installation or would certainly result in a 
significant loss in the utility of the product to the consumer; and
    (3) Of a product type that was available for purchase in the United 
States as of December 1, 2000.
    Specialty application mercury vapor lamp ballast means a mercury 
vapor lamp ballast that--
    (1) Is designed and marketed for operation of mercury vapor lamps 
used in quality inspection, industrial processing, or scientific use, 
including fluorescent microscopy and ultraviolet curing; and
    (2) In the case of a specialty application mercury vapor lamp 
ballast, the label of which--
    (i) Provides that the specialty application mercury vapor lamp 
ballast is `For specialty applications only, not for general 
illumination'; and
    (ii) Specifies the specific applications for which the ballast is 
designed.
    Standby mode means the condition in which an energy-using product--
    (1) Is connected to a main power source; and
    (2) Offers one or more of the following user-oriented or protective 
functions:

[[Page 131]]

    (i) To facilitate the activation or deactivation of other functions 
(including active mode) by remote switch (including remote control), 
internal sensor, or timer; or
    (ii) Continuous functions, including information or status displays 
(including clocks) or sensor-based functions.
    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.
    Tested combination means a multi-split system with multiple indoor 
coils having the following features:
    (1) The basic model of a system used as a tested combination shall 
consist of one outdoor unit, with one or more compressors, that is 
matched with between 2 and 5 indoor units; for multi-split systems, each 
of these indoor units shall be designed for individual operation.
    (2) The indoor units shall--
    (i) Represent the highest sales model family, or another indoor 
model family if the highest sales model family does not provide 
sufficient capacity (see ii);
    (ii) Together, have a nominal capacity that is between 95% and 105% 
of the nominal capacity of the outdoor unit;
    (iii) Not, individually, have a capacity that is greater than 50% of 
the nominal capacity of the outdoor unit;
    (iv) Operate at fan speeds that are consistent with the 
manufacturer's specifications; and
    (v) All be subject to the same minimum external static pressure 
requirement (i.e., 0 inches of water column for non-ducted, see Table 2 
in Appendix M to Subpart B of this part for ducted indoor units) while 
being configurable to produce the same static pressure at the exit of 
each outlet plenum when manifolded as per section 2.4.1 of Appendix M.
    Through-the-wall air conditioner and heat pump means a central air 
conditioner or heat pump that is designed to be installed totally or 
partially within a fixed-size opening in an exterior wall, and:
    (1) Is manufactured prior to January 23, 2010;
    (2) Is not weatherized;
    (3) Is clearly and permanently marked for installation only through 
an exterior wall;
    (4) Has a rated cooling capacity no greater than 30,000 Btu/hr;
    (5) Exchanges all of its outdoor air across a single surface of the 
equipment cabinet; and
    (6) Has a combined outdoor air exchange area of less than 800 square 
inches (split systems) or less than 1,210 square inches (single packaged 
systems) as measured on the surface described in paragraph (5) of this 
definition.
    Torchiere means a portable electric lamp with a reflector bowl that 
directs light upward to give indirect illumination.
    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.
    Urinal means a plumbing fixture which receives only liquid body 
waste and, on demand, conveys the waste through a trap seal into a 
gravity drainage system, except such term does not include fixtures 
designed for installations in prisons.
    Vented floor furnace means a self-contained vented heater suspended 
from

[[Page 132]]

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.
    Vibration service lamp means a lamp that--
    (1) Has filament configurations that are C-5, C-7A, or C-9, as 
listed in Figure 6-12 of the IESNA Lighting Handbook (incorporated by 
reference; see Sec. 430.3) or similar configurations;
    (2) Has a maximum wattage of 60 watts;
    (3) Is sold at retail in packages of 2 lamps or less; and
    (4) Is designated and marketed specifically for vibration service or 
vibration-resistant applications, with--
    (i) The designation appearing on the lamp packaging; and
    (ii) Marketing materials that identify the lamp as being vibration 
service only.
    Voltage range means a band of operating voltages as marked on an 
incandescent lamp, indicating that the lamp is designed to operate at 
any voltage within the band.
    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 closet means a plumbing fixture that has a water-containing 
receptor which receives liquid and solid body waste, and upon actuation, 
conveys the waste through an exposed integral trap seal into a gravity 
drainage system, except such term does not include fixtures designed for 
installation in prisons.
    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.
    Water use means the quantity of water flowing through a showerhead, 
faucet, water closet, or urinal at point of use, determined in 
accordance with test procedures under Appendices S and T of subpart B of 
this part.

[[Page 133]]

    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, which appears in the 
Finding Aids section of the printed volume and on GPO Access.



Sec. 430.3  Materials incorporated by reference.

    (a) General. We incorporate by reference the following standards 
into Part 430. The material listed 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 
regulations 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. All approved 
material is available for inspection at the National Archives and 
Records Administration (NARA). For information on the availability of 
this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html. Also, this material is available for inspection at U.S. 
Department of Energy, Office of Energy Efficiency and Renewable Energy, 
Building Technologies Program, 6th Floor, 950 L'Enfant Plaza, SW., 
Washington, DC 20024, (202) 586-2945, or go to: http://
www1.eere.energy.gov/buildings/appliance--standards/. Standards can be 
obtained from the sources below.
    (b) AHRI. Air-Conditioning, Heating, and Refrigeration Institute, 
2111 Wilson Blvd, Suite 500, Arlington, VA 22201, 703-524-8800, or go to 
http://www.ahrinet.org.
    (1) ARI 210/240-2006, Unitary Air-Conditioning and Air-Source Heat 
Pump Equipment, approved March 26, 1998, IBR approved for Appendix M to 
Subpart B.
    (2) [Reserved]
    (c) ANSI. American National Standards Institute, 25 W. 43rd Street, 
4th Floor, New York, NY 10036, 212-642-4900, or go to http://
www.ansi.org.
    (1) ANSI C78.3-1991 (``ANSI C78.3''), American National Standard for 
Fluorescent Lamps-Instant-start and Cold-Cathode Types-Dimensional and 
Electrical Characteristics, approved July 15, 1991; IBR approved for 
Sec. 430.32.
    (2) ANSI C78.20-2003, Revision of ANSI C78.20-1995 (``ANSI 
C78.20''), American National Standard for electric lamps--A, G, PS, and 
Similar Shapes with E26 Medium Screw Bases, approved October 30, 2003; 
IBR approved for Sec. 430.2.
    (3) ANSI C78.21-1989, American National Standard for Electric 
Lamps--PAR and R Shapes, approved March 3, 1989, IBR approved for Sec. 
430.2.
    (4) ANSI C78.21-2003, Revision of ANSI C78.21-1995 with all 
supplements, American National Standard for Electric Lamps--PAR and R 
Shapes, approved October 30, 2003, IBR approved for Sec. 430.2.
    (5) ANSI--IEC C78.81-2005, Revision of ANSI C78.81-2003 (``ANSI 
C78.81''), American National Standard for Electric Lamps--Double-Capped 
Fluorescent Lamps--Dimensional and Electrical Characteristics, approved 
August 11, 2005; IBR approved for Sec. 430.2, 430.32 and Appendix R of 
subpart B.
    (6) ANSI C78.375-1997, Revision of ANSI C78.375-1991 (``ANSI 
C78.375''), American National Standard for Fluorescent Lamps--Guide for 
Electrical Measurements, first edition, approved September 25, 1997; IBR 
approved for Appendix R to Subpart B.
    (7) ANSI--IEC C78.901-2005, Revision of ANSI C78.901-2001 (``ANSI 
C78.901''), American National Standard for Electric Lamps--Single-Based 
Fluorescent Lamps--Dimensional and Electrical Characteristics, approved 
March 23, 2005; IBR approved for Sec. 430.2 and Appendix R to Subpart 
B.
    (8) ANSI C79.1-1994, American National Standard for Nomenclature for 
Glass Bulbs--Intended for Use with Electric Lamps, approved March 24, 
1994, IBR approved for Sec. 430.2.
    (9) ANSI C79.1-2002, American National Standard for Electric Lamps--
Nomenclature for Glass Bulbs Intended for Use with Electric Lamps, 
approved

[[Page 134]]

September 16, 2002, IBR approved for Sec. 430.2.
    (10) ANSI--ANSLG-- C81.61-2006, Revision of ANSI C81.61-2005, 
(``ANSI C81.61''), American National Standard for electrical lamp 
bases--Specifications for Bases (Caps) for Electric Lamps, approved 
August 25, 2006, IBR approved for Sec. 430.2.
    (11) ANSI C82.3-2002, Revision of ANSI C82.3-1983 (R 1995) (``ANSI 
C82.3''), American National Standard for Reference Ballasts for 
Fluorescent Lamps, approved September 4, 2002; IBR approved for Appendix 
R to Subpart B.
    (12) ANSI Standard C82.2-2002, Revision of ANSI C82.2-1994 (R1995), 
American National Standard for Lamp Ballasts--Method of Measurement of 
Fluorescent Lamp Ballasts, approved June 6, 2002, IBR approved for 
Appendix Q to Subpart B.
    (13) ANSI Z21.56-1994, Gas-Fired Pool Heaters, section 2.9, approved 
December 5, 1994, IBR approved for Appendix P to Subpart B.
    (d) ANSI Reseller. Global Engineering Documents, 15 Inverness Way, 
East Englewood, CO 80112, Phone: 800.854.7179 or 303.397.7956, http://
www.global.ihs.com, E-mail: [email protected]. DOE does not endorse any 
particular reseller and notes that other resellers may also have the 
superseded standard for sale. Consult http://webstore.ansi.org/ for more 
information on additional resellers.
    (1) ANSI C82.2-1984, Revision of ANSI C82.2-1977, American National 
Standard for Fluorescent Lamp Ballasts--Method of Measurement, approved 
October 21, 1983, IBR approved for Appendix Q to Subpart B.
    (2) [Reserved]
    (e) ASHRAE. American Society of Heating, Refrigerating and Air-
Conditioning Engineers, Inc., Publication Sales, 1791 Tullie Circle, 
NE., Atlanta, GA 30329, 800-527-4723 or 404-636-8400, or go to http://
www.ashrae.org.
    (1) ASHRAE 23-2005, Methods of Testing for Rating Positive 
Displacement Refrigerant Compressors and Condensing Units, approved 
February 10, 2005, IBR approved for Appendix M to Subpart B.
    (2) ASHRAE 37-2005, Methods of Testing for Rating Unitary Air-
Conditioning and Heat Pump Equipment, approved March 11, 2005, IBR 
approved for Appendix M to Subpart B.
    (3) ASHRAE 41.1-1986 (Reaffirmed 2001), Standard Method for 
Temperature Measurement, approved February 18, 1987, IBR approved for 
Appendix E and Appendix M to Subpart B.
    (4) ASHRAE 41.2-1987 (Reaffirmed 1992), Standard Methods for 
Laboratory Airflow Measurement, approved October 1, 1987, IBR approved 
for Appendix M to Subpart B.
    (5) ASHRAE 41.6-1994 (Reaffirmed 2001), Standard Method for 
Measurement of Moist Air Properties, approved August 30, 1994, IBR 
approved for Appendix M to Subpart B.
    (6) ASHRAE 41.9-2000, Calorimeter Test Methods for Mass Flow 
Measurements of Volatile Refrigerants, approved October 6, 2000, IBR 
approved for Appendix M to Subpart B.
    (7) ASHRAE/AMCA 51-1999/210-1999, Laboratory Methods of Testing Fans 
for Aerodynamic Performance Rating, approved December 2, 1999, IBR 
approved for Appendix M to Subpart B.
    (8) ASHRAE 103-1993, Methods of Testing for Annual Fuel Utilization 
Efficiency of Residential Central Furnaces and Boilers, (with Errata of 
October 24, 1996) except for sections 3.0, 7.2.2.5, 8.6.1.1, 9.1.2.2, 
9.5.1.1, 9.5.1.2.1, 9.5.1.2.2, 9.5.2.1, 9.7.1, 10.0, 11.2.12, 11.3.12, 
11.4.12, 11.5.12 and appendices B and C, approved October 4, 1993, IBR 
approved for Sec. 430.23 and Appendix N to Subpart B.
    (9) ASHRAE 116-1995 (RA 2005), Methods of Testing for Rating 
Seasonal Efficiency of Unitary Air Conditioners and Heat Pumps, approved 
July 24, 1995, IBR approved for Appendix M to Subpart B.
    (f) ASME. American Society of Mechanical Engineers, Service Center, 
22 Law Drive, P.O. Box 2900, Fairfield, NJ 07007, 973-882-1170, or go to 
http://www.asme.org.
    (1) ASME/ANSI A112.18.1M-1996, Plumbing Fixture Fittings, approved 
April 4, 1996, IBR approved for Appendix S to Subpart B.
    (2) ASME/ANSI A112.19.6-1995, Hydraulic Requirements for Water 
Closets and Urinals, approved April 6, 1995, IBR approved for Sec. 
430.2 and Appendix T to Subpart B.

[[Page 135]]

    (g) AHAM. Association of Home Appliance Manufacturers, 1111 19th 
Street, NW., Suite 402, Washington, DC 20036, 202-872-5955, or go to 
http://www.aham.org.
    (1) ANSI/AHAM DW-1-1992, American National Standard, Household 
Electric Dishwashers, approved February 6, 1992, IBR approved for 
Appendix C to Subpart B and Sec. 430.32.
    (2) [Reserved]
    (h) CEC. California Energy Commission, 1516 Ninth Street, MS-25, 
Sacramento, CA 95814, 916-654-4091, or go to http://www.energy.ca.gov.
    (1) CEC Test Method for Calculating the Energy Efficiency of Single-
Voltage External Ac-Dc and Ac-Ac Power Supplies, August 11, 2004, IBR 
approved for Appendix Z to Subpart B.
    (2) [Reserved]
    (i) CIE. Commission Internationale de l'Eclairage (CIE), Central 
Bureau, Kegelgasse 27, A-1030, Vienna, Austria, 011+43 1 714 31 87 0, or 
go to http://www.cie.co.at.
    (1) CIE 13.3-1995 (``CIE 13.3''), Technical Report: Method of 
Measuring and Specifying Colour Rendering Properties of Light Sources, 
1995, ISBN 3 900 734 57 7; IBR approved for Sec. 430.2 and Appendix R 
to Subpart B.
    (2) CIE 15:2004 (``CIE 15''), Technical Report: Colorimetry, 3rd 
edition, 2004, ISBN 978 3 901906 33 6; IBR approved for Appendix R to 
Subpart B.
    (j) Environmental Protection Agency (EPA), ENERGY STAR documents 
published by the Environmental Protection Agency are available online at 
http://www.energystar.gov or by contacting the Energy Star hotline at 1-
888-782-7937.
    (1) ENERGY STAR Testing Facility Guidance Manual: Building a Testing 
Facility and Performing the Solid State Test Method for ENERGY STAR 
Qualified Ceiling Fans, Version 1.1, approved December 9, 2002, IBR 
approved for Appendix U to Subpart B.
    (2) ENERGY STAR Program Requirements for Residential Light Fixtures, 
Version 4.0, approved January 10, 2005, IBR approved for Appendix V to 
Subpart B.
    (3) ENERGY STAR Program Requirements for Dehumidifiers, approved 
January 1, 2001, IBR approved for Appendix X to Subpart B.
    (4) Energy Star Program Requirements for Single Voltage External Ac-
Dc and Ac-Ac Power Supplies, Eligibility Criteria (Version 2.0), 
effective date for EPS Manufacturers November 1, 2008, IBR approved for 
Subpart C, Sec. 430.32.
    (5) Test Methodology for Determining the Energy Performance of 
Battery Charging Systems, approved December 2005, IBR approved for 
Appendix Y to Subpart B.
    (k) IESNA. Illuminating Engineering Society of North America, 120 
Wall Street, Floor 17, New York, NY 10005-4001, 212-248-5000, or go to 
http://www.iesna.org.
    (1) The IESNA Lighting Handbook, Reference & Application, (``The 
IESNA Lighting Handbook''), 9th ed., Chapter 6, ``Light Sources,'' July 
2000, IBR approved for Sec. 430.2.
    (2) IESNA LM-9-99, (``LM-9''), IESNA Approved Method for the 
Electrical and Photometric Measurements of Fluorescent Lamps, 1999. IBR 
approved for Sec. 430.2 and Appendix R to Subpart B.
    (3) IESNA LM-16-1993 (``IESNA LM-16''), IESNA Practical Guide to 
Colorimetry of Light Sources, December 1993, IBR approved for Sec. 
430.2.
    (4) IES LM-20-1994, IESNA Approved Method for Photometric Testing of 
Reflector-Type Lamps, approved December 3, 1994, IBR approved for 
Appendix R to Subpart B.
    (5) IESNA LM-45-00, (``LM-45''), IESNA Approved Method for 
Electrical and Photometric Measurements of General Service Incandescent 
Filament Lamps, approved May 8, 2000; IBR approved for Appendix R to 
Subpart B.
    (6) IES LM-58-1994, IESNA Guide to Spectroradiometric Measurements, 
approved December 3, 1994, IBR approved for Appendix R to Subpart B.
    (l) IEC. International Electrotechnical Commission, available from 
the American National Standards Institute, 11 W. 42nd Street, New York, 
NY 10036, 212-642-4936 or go to http://www.iec.ch.
    (1) IEC 705, Methods for Measuring the Performance of Microwave 
Ovens for Household and Similar Purposes, Section 4, Methods of 
Measurement, Paragraph 13, Electrical Power Input Measurement, and 
Paragraph 14, Efficiency, approved December 14, 1988,

[[Page 136]]

IBR approved for Appendix I to Subpart B.
    (2) IEC 705, Amendment 2, Methods for Measuring the Performance of 
Microwave Ovens for Household and Similar Purposes, Section 4, Methods 
of Measurement, Paragraph 12, Microwave Power Output Measurement, 
approved September 21, 1993, IBR approved for Appendix I to Subpart B to 
Subpart B.
    (m) NSF International. NSF International, P.O. Box 130140, 789 North 
Dixboro Road, Ann Arbor, MI 48113-0140, 1-800-673-6275, or go to http://
www.nsf.org.
    (1) NSF/ANSI 51-2007 (``NSF/ANSI 51''), Food equipment materials, 
revised and adopted April 2007, IBR approved for Sec. 430.2.
    (2) [Reserved]
    (n) Optical Society of America. Optical Society of America, 2010 
Massachusetts Ave., NW., Washington, DC 20036-1012, 202-223-8130, or go 
to http://www.opticsinfobase.org;
    (1) ``Computation of Correlated Color Temperature and Distribution 
Temperature,'' A.R. Robertson, Journal of the Optical Society of 
America, Volume 58, Number 11, November 1968, pages 1528-1535, IBR 
approved for Sec. 430.2.
    (2) [Reserved]
    (o) U.S. Department of Energy, Office of Energy Efficiency and 
Renewable Energy, Resource Room of the Building Technologies Program, 
950 L'Enfant Plaza, SW., 6th Floor, Washington, DC 20024, 202-586-2945, 
or go to http://www.energystar.gov.
    (1) ENERGY STAR Program Requirements for [Compact Fluorescent Lamps] 
CFLs, Version 3.0, approved October 30, 2003, IBR approved for Appendix 
V to Subpart B.
    (2) ENERGY STAR Program Requirements for [Compact Fluorescent Lamps] 
CFLs, approved August 9, 2001, IBR approved for Appendix W to Subpart B.

[74 FR 12066, Mar. 23, 2009, as amended at 74 FR 31840, July 6, 2009; 74 
FR 34177, July 14, 2009; 74 FR 54455, Oct. 22, 2009]



Sec. 430.4  Sources for information and guidance.

    (a) General. The standards listed in this paragraph are referred to 
in the DOE test procedures and elsewhere in this part but are not 
incorporated by reference. These sources are given here for information 
and guidance.
    (b) IESNA. Illuminating Engineering Society of North America, 120 
Wall Street, Floor 17, New York, NY 10005-4001, 212-248-5000, or go to 
http://www.iesna.org.
    (1) Illuminating Engineering Society of North America Lighting 
Handbook, 8th Edition, 1993.
    (2) [Reserved]
    (c) IEEE. Institute of Electrical and Electronics Engineers, Inc., 3 
Park Avenue, 17th Floor, New York, NY, 10016-5997, 212-419-7900, or go 
to http://www.ieee.org.
    (1) IEEE 1515-2000, IEEE Recommended Practice for Electronic Power 
Subsystems: Parameter Definitions, Test Conditions, and Test Methods, 
March 30, 2000.
    (2) IEEE 100, Authoritative Dictionary of IEEE Standards Terms, 7th 
Edition, January 1, 2006.
    (d) IEC. International Electrotechnical Commission, available from 
the American National Standards Institute, 11 W. 42nd Street, New York, 
NY 10036, 212-642-4936, or go to http://www.iec.ch.
    (1) IEC 62301, Household electrical appliances--Measurement of 
standby power, First Edition, June 13, 2005.
    (2) IEC 60050, International Electrotechnical Vocabulary.
    (e) National Voluntary Laboratory Accreditation Program, Standards 
Services Division, NIST, 100 Bureau Drive, Stop 2140, Gaithersburg, MD 
20899-2140, 301-975-4016, or go to http://ts.nist.gov/standards/
accreditation.
    (1) National Voluntary Laboratory Accreditation Program Handbook 
150-01, Energy Efficient Lighting Products, Lamps and Luminaires, August 
1993.
    (2) [Reserved]

[74 FR 12066, Mar. 23, 2009]



                        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.

[[Page 137]]



Sec. 430.23  Test procedures for the measurement of energy and water 
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 (6.3.6 for externally vented units) 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 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 (6.3.6 for externally vented units) 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 (6.3.6 for externally vented units) 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 (6.3.6 for externally vented units) 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 (6.3.6 for 
externally vented units) 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 
(6.3.6 for externally vented units) 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.

[[Page 138]]

    (7) The estimated regional annual operating cost for externally 
vented electric refrigerators and externally vented 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 regional average per-cycle energy consumption for the 
standard cycle in kilowatt-hours per cycle, determined according to 
6.3.7 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.
    (8) The estimated regional annual operating cost for externally 
vented electric refrigerators and externally vented 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 the average per-cycle energy consumption for 
the standard cycle and the regional average per-cycle energy consumption 
for a test cycle 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 6.3.7 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.
    (9) The estimated regional annual operating cost for any other 
specified cycle for externally vented electric refrigerators and 
externally vented 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 regional average per-cycle energy consumption for the 
specified cycle, in kilowatt-hours per cycle, determined according to 
6.3.7 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.
    (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 
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

[[Page 139]]

(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 (EAOC) for 
dishwashers must be rounded to the nearest dollar per year and is 
defined as follows:
    (i) When cold water (50 [deg]F) is used,
    (A) For dishwashers having a truncated normal cycle as defined in 
section 1.15 of appendix C to this subpart,

EAOC = (DexS) + ( DexNx(M-(ED/2))).

    (B) For dishwashers not having a truncated normal cycle,

EAOC = (DexS) + ( DexNxM)

Where,

De = the representative average unit cost of electrical 
energy, in dollars per kilowatt-hour, as provided by the Secretary,
S = the annual standby electrical energy in kilowatt-hours per year and 
determined according to section 5.6 of Appendix C to this subpart,
N = the representative average dishwasher use of 215 cycles per year,
M = the machine electrical energy consumption per-cycle for the normal 
cycle as defined in section 1.6 of Appendix C to this subpart, in 
kilowatt-hours and determined according to section 5.1 of Appendix C to 
this subpart,
ED = the drying energy consumption defined as energy consumed 
using the power-dry feature after the termination of the last rinse 
option of the normal cycle and determined according to section 5.2 of 
appendix C to this subpart.

    (ii) When electrically-heated water (120 [deg]F or 140 [deg]F) is 
used,
    (A) For dishwashers having a truncated normal cycle as defined in 
section 1.15 of appendix C to this subpart,

EAOC = (DexS) + (DexNx(M-(ED/2)))+ 
    (DexNxW)

    (B) For dishwashers not having a truncated normal cycle,

EAOC = (DexS) + (DexNxM)+ (DexNxW)

Where,

De, S, N, M, and ED, are defined in paragraph 
(c)(1)(i) of this section, and
W = the total water energy consumption per cycle for the normal cycle as 
defined in section 1.6 of Appendix C to this subpart, in kilowatt-hours 
per cycle and determined according to section 5.4 of Appendix C to this 
subpart.

    (iii) When gas-heated or oil-heated water is used,
    (A) For dishwashers having a truncated normal cycle as defined in 
section 1.15 of appendix C to this subpart,

EAOCg = (DexS) + (DexNx(M-
    (ED/2)))+ (DgxNxWg)

    (B) For dishwashers not having a truncated normal cycle,

    (B) For dishwashers not having a truncated normal cycle,

EAOCg = (DexS) + (DexNxM)+ 
    (DgxNxWg)

Where,

De, S, N, M, and ED are defined in paragraph 
(c)(1)(i) of this section,
Dg = the representative average unit cost of gas or oil, as 
appropriate, in dollars per Btu, as provided by the Secretary, and

[[Page 140]]

Wg = the total water energy consumption per cycle for the 
normal cycle as defined in section 1.6 of appendix C to this subpart, in 
Btu's per cycle and determined according to section 5.5 of appendix C to 
this subpart.

    (2) The energy factor for dishwashers, EF, expressed in cycles per 
kilowatt-hour is defined as follows:
    (i) When cold water (50 [deg]F) is used,
    (A) For dishwashers having a truncated normal cycle as defined in 
section 1.15 of appendix C to this subpart,

EF = 1/(M-(ED/2))

    (B) For dishwashers not having a truncated normal cycle,

EF = 1/M


Where,

M, and ED are defined in paragraph (c)(1)(i) of this section.

    (ii) When electrically-heated water (120 [deg]F or 140 [deg]F) is 
used,
    (A) For dishwashers having a truncated normal cycle as defined in 
section 1.15 of appendix C to this subpart,

EF = 1/(M-(ED/2)+W)

    (B) For dishwashers not having a truncated normal cycle,

EF = 1/(M+W)

Where,

M, and ED are defined in paragraph (c)(1)(i) of this section, 
and W is defined in paragraph (c)(1)(ii)of this section.

    (3) The estimated annual energy use, EAEU, expressed in kilowatt-
hours per year is defined as follows:
    (i) For dishwashers having a truncated normal cycle as defined in 
section 1.15 of appendix C to this subpart,

EAEU = (M-(ED/2)+W)xN+S

Where,

M, ED, N and S are defined in paragraph (c)(1)(i) of this 
section, and W is defined in paragraph (c)(1)(ii) of this section.

    (ii) For dishwashers not having a truncated normal cycle,

EAEU = (M+W)xN+S

Where,

M, N and S are defined in paragraph (c)(1)(i) of this section, and W is 
defined in paragraph (c)(1)(ii) of this section.

    (4) Other useful measures of energy consumption for dishwashers are 
those 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.
    (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

[[Page 141]]

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 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.

[[Page 142]]

    (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 the application of appendix G of this subpart.
    (h) [Reserved]
    (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, 4.2.2, 4.1.2, and 4.4.3, 
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

[[Page 143]]

input for the test, as determined according to 4.2.1, 4.1.3, and 4.4.4, 
respectively, of appendix I to this subpart. The final cooking 
efficiency values shall be rounded off to three significant digits.
    (3) [Reserved]
    (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, 4.2.3, 
4.1.4, 4.4.5, respectively, of Appendix I to this subpart. The final 
energy factor values shall be rounded off to three significant digits.
    (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 paragraph (i)(2) 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 paragraph (i)(2) 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 of 392 cycles per year,
    (B) The total per-cycle energy consumption in kilowatt-hours per 
cycle determined according to 4.1.6 of appendix J before appendix J1 
becomes mandatory and 4.1.7 of appendix J1 when appendix J1 becomes 
mandatory, (see the note at the beginning of appendix J1), 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

[[Page 144]]

    (ii) When gas-heated or oil-heated water is used, the product of: 
the representative average-use of 392 cycles per year and the sum of 
both:
    (A) The product of the per-cycle machine electrical energy 
consumption in kilowatt-hours per cycle, determined according to 4.1.5 
of appendix J before the date that appendix J1 to the subpart becomes 
mandatory or 4.1.6 of appendix J1 upon the date that appendix J1 to this 
subpart becomes mandatory, and the representative average unit cost in 
dollars per kilowatt-hours as provided by the Secretary, and
    (B) The product of the per-cycle water energy consumption for gas-
heated or oil-heated water in BTU per cycle, determined according to 
4.1.4 of appendix J before the date that appendix J1 becomes mandatory 
or 4.1.4 of appendix J1 upon the date that appendix J1 to this subpart 
becomes mandatory, 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.
    (2)(i) The energy factor for automatic and semi-automatic clothes 
washers is determined in accordance with 4.5 of appendix J before the 
date that appendix J1 becomes mandatory or 4.5 of appendix J1 upon the 
date that appendix J1 to this subpart becomes mandatory. The result 
shall be rounded off to the nearest 0.01 cubic foot per kilowatt-hours.
    (ii) The modified energy factor for automatic and semi-automatic 
clothes washers is determined in accordance with 4.4 of appendix J 
before the date that appendix J1 becomes mandatory or 4.4 of appendix J1 
upon the date that appendix J1 to this subpart becomes mandatory. The 
result shall be rounded off to the nearest 0.01 cubic foot per kilowatt-
hours.
    (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 before the date that appendix J1 becomes 
mandatory or appendix J1 upon the date that appendix J1 to this subpart 
becomes mandatory. In addition, the annual water consumption of a 
clothes washer can be determined by the product of:
    (A) The representative average-use of 392 cycles per year, and
    (B) The total weighted per-cycle water consumption in gallons per 
cycle determined according to 4.3.2 of appendix J before the date that 
appendix J1 becomes mandatory or 4.2.2 of appendix J1 upon the date that 
appendix J1 to this subpart becomes mandatory. The water consumption 
factor can be determined in accordance with 4.3.3 of appendix J before 
the date that appendix J1 becomes mandatory or 4.2.3 of appendix J1 upon 
the date that appendix J1 to this subpart becomes mandatory. The 
remaining moisture content can be determined in accordance with 3.3 of 
appendix J before the date that appendix J1 becomes mandatory or 3.8 of 
appendix J1 upon the date that appendix J1 to this subpart becomes 
mandatory.
    (k)-(l) [Reserved]
    (m) Central Air Conditioners and heat pumps. (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 (A or A2 
Test), as described in section 3.2 of appendix M to this subpart, 
divided by the seasonal energy efficiency ratio (SEER), in Btu's per 
watt-hour, determined from section 4.1 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

[[Page 145]]

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 heating Region IV minimum design heating 
requirement, determined in section 4.2 of appendix M to this subpart, 
divided by the heating seasonal performance factor (HSPF), in Btu's per 
watt-hour, calculated for heating Region IV corresponding to the above-
mentioned standardized design heating requirement and determined in 
section 4.2 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.
    (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 (A or A2 
Test), as described in section 3.2 of appendix M to this subpart, 
divided by the seasonal energy efficiency ratio (SEER), in Btu's per 
watt-hour, determined from section 4.1 of appendix M to this subpart;
    (B) The estimated number of regional cooling load hours per year 
determined from Figure 3 in section 4.3 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 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 estimated number of regional heating load hours per year 
determined from Figure 2 in section 4.3 of appendix M to this subpart;
    (B) The quotient of the standardized design heating requirement, in 
Btu's per hour, for the appropriate generalized climatic region of 
interest (i.e., corresponding to the regional heating load hours from 
``A'') and determined in section 4.2 of appendix M to this subpart, 
divided by the heating seasonal performance factor (HSPF), in Btu's per 
watt-hour, calculated for the appropriate generalized climatic region of 
interest and corresponding to the above-mentioned standardized design 
heating requirement while being determined in section 4.2 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.
    (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.

[[Page 146]]

    (3) The measure(s) of efficiency of performance for cooling-only 
units and air-source heat pumps shall be one or more of the following:
    (i) The cooling mode efficiency measure for cooling-only units and 
air-source heat pumps which provide cooling shall be the seasonal energy 
efficiency ratio (SEER), in Btu's per watt-hour, determined according to 
section 4.1 of appendix M to this subpart, rounded off to the nearest 
0.05.
    (ii) The heating mode efficiency measure for air-source heat pumps 
shall be the heating seasonal performance factors (HSPF), in Btu's per 
watt-hour, determined according to section 4.2 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 efficiency measure for air-source heat pumps which 
provide heating and cooling, shall be the annual performance factors 
(APF), in Btu's per watt-hour, determined according to section 4.3 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) All measures of energy consumption must be determined by the 
test method as set forth in appendix M to this subpart; or by an 
alternative rating method set forth in Sec. 430.24(m)(4) as approved by 
the Assistant Secretary for Energy Efficiency and Renewable Energy in 
accordance with Sec. 430.24(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 
10.2.2 or 10.3 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 10.2.3 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. 
(For furnaces which operate with variable inputs, an estimated annual 
operating cost is to be calculated for each degree of oversizing 
specified in section 10 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 10.1 of appendix N of this 
subpart for gas and oil furnaces and determined in accordance with 
section 11.1 of American National Standards Institute/American Society 
of Heating, Refrigerating, and Air-Conditioning Engineers (ANSI/ASHRAE) 
Standard 103-1993 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 10.5.1 or 10.5.3 
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 10.5.2 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.

[[Page 147]]

    (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 10.4 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 annual operating cost for vented home heating 
equipment is the sum of: (i) The product of the average annual fuel 
energy consumption, in Btu's per year for natural gas, propane, or oil 
fueled vented home heating equipment, determined according to section 
4.6.2 of appendix O of this subpart, and the representative average 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 
(ii) The product of the average annual auxiliary electric energy 
consumption in kilowatt-hours per year determined according to section 
4.6.3 of appendix O of this subpart, and the representative average unit 
cost in dollars per kilowatt-hours as provided pursuant to section 
323(b)(2) of the Act, the resulting sum then being rounded off to the 
nearest dollar per year.
    (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 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 for pool 
heaters is the sum of:
    (i) The product of the average annual fuel energy consumption, in 
Btu's per year, of natural gas or oil fueled pool heaters, determined 
according to section 4.2 of appendix P of this subpart, and the 
representative average unit cost in dollars per Btu for natural gas or 
oil, 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 
4.3 of appendix P of this subpart, and the representative average unit 
cost in dollars per kilowatt-hours as provided pursuant to section 
323(b)(2) of the Act, the

[[Page 148]]

resulting sum then being rounded off to the nearest dollar per year.
    (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) Standby power consumption of certain fluorescent lamp ballasts 
shall be measured in accordance with section 3.5 of appendix Q to 
Subpart B of Part 430.
    (5) Other useful measures which may be applicable. [Reserved]
    (r) General service fluorescent lamps, general service incandescent 
lamps, and incandescent reflector lamps. (1) The estimated annual energy 
consumption for general service fluorescent lamps, general service 
incandescent lamps, and incandescent reflector lamps, expressed in 
kilowatt-hours per year, shall be the product of the input power in 
kilowatts as determined in accordance with section 4 of Appendix R to 
this subpart and an average annual use specified by the manufacturer, 
with the resulting product rounded off to the nearest kilowatt-hour per 
year. Manufacturers must provide a clear and accurate description of the 
assumptions used for the estimated annual energy consumption.
    (2) The lamp efficacy for general service fluorescent lamps shall be 
equal to the average lumen output divided by 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.
    (3) The lamp efficacy for general service incandescent lamps shall 
be equal to the average lumen output divided by 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 lamp efficacy for incandescent reflector lamps shall be 
equal to the average lumen output divided by 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.
    (5) The color rendering index of a general service fluorescent lamp 
shall be tested and determined in accordance with section 4.4 of 
Appendix R of this subpart and rounded off to the nearest unit.
    (s) Faucets. The maximum permissible water use allowed for lavatory 
faucets, lavatory replacement aerators, kitchen faucets, and kitchen 
replacement aerators, expressed in gallons and liters per minute (gpm 
and L/min), shall be measured in accordance to section 2(a) of Appendix 
S of this subpart. The maximum permissible water use allowed for 
metering faucets, expressed in gallons and liters per cycle (gal/cycle 
and L/cycle), shall be measured in accordance to section 2(a) of 
Appendix S of this subpart.
    (t) Showerheads. The maximum permissible water use allowed for 
showerheads, expressed in gallons and liters per minute (gpm and L/min), 
shall be measured in accordance to section 2(b) of Appendix S of this 
subpart.
    (u) Water closets. The maximum permissible water use allowed for 
water closets, expressed in gallons and liters per flush (gpf and Lpf), 
shall be measured in accordance to section 3(a) of Appendix T of this 
subpart.

[[Page 149]]

    (v) Urinals. The maximum permissible water use allowed for urinals, 
expressed in gallons and liters per flush (gpf and Lpf), shall be 
measured in accordance to section 3(b) of Appendix T of this subpart.
    (w) Ceiling fans. The airflow and airflow efficiency for ceiling 
fans, expressed in cubic feet per minute (CFM) and CFM per watt (CFM/
watt), respectively, shall be measured in accordance with section 4 of 
appendix U of this subpart.
    (x) Ceiling fan light kits. The efficacy, expressed in lumens per 
watt (lumens/watt), for ceiling fan light kits with sockets for medium 
screw base lamps or pin-based fluorescent lamps shall be measured in 
accordance with section 4 of appendix V of this subpart.
    (y) Medium Base Compact Fluorescent Lamps. The initial efficacy, 
lumen maintenance at 1,000 hours, lumen maintenance at 40-percent of 
rated life, rapid cycle stress test, and lamp life shall be measured in 
accordance with section 4 of appendix W of this subpart.
    (z) Dehumidifiers. The energy factor for dehumidifiers, expressed in 
liters per kilowatt hour (L/kWh), shall be measured in accordance with 
section 4 of appendix X of this subpart.
    (aa) Battery Chargers. The energy consumption of a battery charger, 
expressed as the nonactive energy ratio, shall be measured in accordance 
with section 4(a) of appendix Y of this subpart. The energy consumption 
of a battery charger in standby mode and off mode shall be measured in 
accordance with sections 4(c) and 4(d), respectively, of appendix Y of 
this subpart.
    (bb) External Power Supplies. The energy consumption of an external 
power supply, including active-mode efficiency expressed as a percentage 
and the no-load, off, and standby mode energy consumption levels 
expressed in watts, shall be measured in accordance with section 4 of 
appendix Z of this subpart.

[42 FR 27898, June 1, 1977]

    Editorial Note: For Federal Register citations affecting Sec. 
430.23, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and on GPO Access.



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.
    (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.

[[Page 150]]

    (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) 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) [Reserved]
    (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

[[Page 151]]

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 and heat pumps, each single-
package system and each condensing unit (outdoor unit) of a split-
system, when combined with a selected evaporator coil (indoor unit) or a 
set of selected indoor units, must have a sample of sufficient size 
tested in accordance with the applicable provisions of this subpart. The 
represented values for any model of single-package system, any model of 
a tested split-system combination, any model of a tested mini-split 
system combination, or any model of a tested multi-split system 
combination must be assigned such that --
    (i) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of the central air 
conditioner or heat pump for which consumers would favor lower values 
must 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;
    (ii) Any represented value of the energy efficiency or other measure 
of energy consumption of the central air conditioner or heat pump for 
which consumers would favor higher values must 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;
    (iii) For heat pumps, all units of the sample population must be 
tested in both the cooling and heating modes and the results used for 
determining the heat pump's certified SEER and HSPF ratings in 
accordance with paragraph (m)(1)(ii) of this section.
    (2) For split-system air conditioners and heat pumps, the condenser-
evaporator coil combination selected for tests pursuant to paragraph 
(m)(1) of this section shall include the evaporator coil that is likely 
to have the largest volume of retail sales with the particular model of 
condensing unit. For mini-split condensing units that are designed to 
always be installed with more than one indoor unit, a ``tested 
combination'' as defined in 10 CFR 430.2 shall be used for tests 
pursuant to paragraph (m)(1) of this section. For multi-split systems, 
each model of condensing unit shall be tested with two different sets of 
indoor units. For one set, a ``tested combination'' composed entirely of 
non-ducted indoor units shall be used. For the second set, a ``tested 
combination'' composed entirely of ducted indoor units shall be used. 
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. However, for any split-system 
air conditioner

[[Page 152]]

having a single-speed compressor, the condenser-evaporator coil 
combination selected for tests pursuant to paragraph (m)(1) of this 
section shall include the indoor coil-only unit that is likely to have 
the largest volume of retail sales with the particular model of outdoor 
unit. This coil-only requirement does not apply to split-system air 
conditioners that are only sold and installed with blower-coil indoor 
units, specifically mini-splits, multi-splits, and through-the-wall 
units. This coil-only requirement does not apply to any split-system 
heat pumps. For every other split-system combination that includes the 
same model of condensing unit but a different model of evaporator coil 
and for every other mini-split and multi-split system that includes the 
same model of condensing unit but a different set of evaporator coils, 
whether the evaporator coil(s) is manufactured by the same manufacturer 
or by a component manufacturer, either--
    (i) A sample of sufficient size, comprised of production units or 
representing production units, must be tested as complete systems with 
the resulting ratings for the outdoor unit-indoor unit(s) combination 
obtained in accordance with paragraphs (m)(1)(i) and (m)(1)(ii) of this 
section; or
    (ii) The representative values of the measures of energy efficiency 
must be assigned as follows,
    (A) Using an alternative rating method (ARM) that has been approved 
by DOE in accordance with the provisions of paragraphs (m)(4) through 
(m)(6) of this section; or
    (B) For multi-split systems composed entirely of non-ducted indoor 
units, set equal to the system tested in accordance with paragraph 
(m)(1) of this section whose tested combination was entirely non-ducted 
indoor units;
    (C) For multi-split systems composed entirely of ducted indoor 
units, set equal to the system tested in accordance with paragraph 
(m)(1) of this section whose tested combination was entirely ducted 
indoor units; and
    (D) For multi-split systems having a mix of non-ducted and ducted 
indoor units, set equal to the mean of the values for the two systems -- 
one having the tested combination of all non-ducted units and the second 
having the tested combination of all ducted indoor units -- tested in 
accordance with paragraph (m)(1) 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 5 percent of the representative values 
of the measures of energy consumption as determined by actual testing, 
the representative values determined by actual testing must be used to 
comply with section 323(c) of the Act or to comply with rules under 
section 324 of the Act.
    (4) The basis of the ARM referred to in paragraph (m)(2)(ii) of this 
section must be a representation of the test data and calculations of a 
mechanical vapor-compression refrigeration cycle. The major components 
in the refrigeration cycle must be modeled as ``fits'' to manufacturer 
performance data or by graphical 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 cyclic-degradation coefficient. Ratings for untested 
combinations must be derived from the ratings of a combination tested in 
accordance with paragraph (m)(1) of this section. The seasonal energy 
efficiency ratio (SEER) and/or heating seasonal performance factor 
(HSPF) ratings for an untested combination must be set equal to or less 
than the lower of the SEER and/or HSPF calculated using the applicable 
DOE-approved alternative rating method (ARM). If the method includes an 
ARM/simulation adjustment factor(s), determine the value(s) of the 
factors(s) that yield the best match between the SEER/HSPF determined 
using the ARM versus the SEER/HSPF determined from testing in accordance 
with paragraph (m)(1) of this section. Thereafter, apply the ARM using 
the derived adjustment factor(s) only when determining the ratings for 
untested combinations having the same outdoor unit.

[[Page 153]]

    (5) Manufacturers or private labelers who elect to use an ARM for 
determining measures of energy consumption under paragraphs 
(m)(2)(ii)(A) and (m)(4) of this section must submit a request for DOE 
to review the ARM. Send the request to the Assistant Secretary of Energy 
Efficiency and Renewable Energy, 1000 Independence Avenue, SW., 
Washington, DC 20585-0121. Approval must be received from the Assistant 
Secretary to use the ARM before the ARM may be used for rating split-
system central air conditioners and heat pumps. If a manufacturer has a 
DOE-approved ARM for products also distributed in commerce by a private 
labeler, the ARM may also be used by the private labeler for rating 
these products. Once an ARM is approved, DOE may contact a manufacturer 
to learn if their ARM has been modified in any way and to verify that 
the ARM is being applied as approved. DOE will give follow-up priority 
to individual combinations having questionably high ratings (e.g., a 
coil-only system having a rating that exceeds the rating of a coil-only 
highest sales volume combination by more than 6 percent).
    (6) Each request to DOE for approval of an alternative rating method 
must include:
    (i) The name, mailing address, telephone number, and e-mail address 
of the official representing the manufacturer.
    (ii) Complete documentation of the alternative rating method to 
allow DOE to evaluate its technical adequacy. The documentation must 
include a description of the methodology, state any underlying 
assumptions, and explain any correlations. The documentation should 
address how the method accounts for the cyclic-degradation coefficient, 
the type of expansion device, and, if applicable, the indoor fan-off 
delay. The requestor must submit any computer programs--including 
spreadsheets--having less than 200 executable lines that implement the 
ARM. Longer computer programs must be identified and sufficiently 
explained, as specified above, but their inclusion in the initial 
submittal package is optional. Applicability or limitations of the ARM 
(e.g., only covers single-speed units when operating in the cooling 
mode, covers units with rated capacities of 3 tons or less, not 
applicable to the manufacturer's product line of non-ducted systems, 
etc.) must be stated in the documentation.
    (iii) Complete test data from laboratory tests on four mixed (i.e., 
non-highest-sales-volume combination) systems per each ARM.
    (A) The four mixed systems must include four different indoor units 
and at least two different outdoor units. A particular model of outdoor 
unit may be tested with up to two of the four indoor units. The four 
systems must include two low-capacity mixed systems and two high-
capacity mixed systems. The low-capacity mixed systems may have any 
capacity. The rated capacity of each high-capacity mixed system must be 
at least a factor of two higher than its counterpart low-capacity mixed 
system. The four mixed systems must meet the applicable energy 
conservation standard in Sec. 430.32(c) in effect at the time of the 
rating.
    (B) The four indoor units must come from at least two different coil 
families, with a maximum of two indoor units coming from the same coil 
family. Data for two indoor units from the same coil family, if 
submitted, must come from testing with one of the ``low-capacity mixed 
systems'' and one of the ``high capacity mixed systems.'' A mixed system 
indoor coil may come from the same coil family as the highest-sales-
volume-combination indoor unit (i.e., the ``matched'' indoor unit) for 
the particular outdoor unit. Data on mixed systems where the indoor unit 
is now obsolete will be accepted towards the ARM-validation submittal 
requirement if it is from the same coil family as other indoor units 
still in production.
    (C) The first two sentences of paragraph (m)(6)(iii)(B) of this 
section do not apply if the manufacturer offers indoor units from only 
one coil family. In this case only, all four indoor coils must be 
selected from this one coil family. If approved, the ARM will be 
specifically limited to applications for this one coil family.
    (iv) All product information on each mixed system indoor unit, each 
matched system indoor unit, and each outdoor unit needed to implement 
the

[[Page 154]]

proposed ARM. The calculated ratings for the four mixed systems, as 
determined using the proposed ARM, must be provided along with any other 
related information that will aid the verification process.
    (v) If request for approval is for an updated ARM, manufacturers 
must identify modifications made to the ARM since the last submittal, 
including any ARM/simulation adjustment factor(s) added since the ARM 
was last approved by DOE.
    (7) Manufacturers that elect to use an alternative rating method for 
determining measures of energy consumption under paragraphs 
(m)(2)(ii)(A) and (m)(4) of this section must either subject a sample of 
their units to independent testing on a regular basis, e.g., through a 
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 proposed change 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)(A) and (m)(4) through (m)(7) of this section 
must permit representatives of the Department of Energy to inspect for 
verification purposes the simulation method(s) and computer program(s) 
used. This inspection may include conducting simulations to predict the 
performance of particular outdoor unit `` indoor unit combinations 
specified by DOE, analysis of previous simulations conducted by the 
manufacturer, or both.
    (n)(1) For each basic model \1\ 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 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--
    (i) Any represented value of estimated annual operating cost, energy

[[Page 155]]

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
    (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 model \1\ or capacity other than the highest or lowest 
of the group of basic models \1\ 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

[[Page 156]]

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, 
general service incandescent lamp, and incandescent reflector lamp, 
samples of production lamps shall be tested and the results for all 
samples shall be averaged for a 12-month period.
    (2) For each basic model of general service fluorescent lamp, the 
color rendering index (CRI) shall be measured from the same lamps 
selected for the lumen output and watts input measurements in paragraph 
(r)(1) of this section, i.e., the manufacturer shall measure all lamps 
for lumens, watts input, and CRI. The CRI shall be represented as the 
average of a minimum sample of 21 lamps and shall be no greater than the 
lower of the mean of the sample or the lower 95-percent confidence limit 
of the true mean (XL) divided by 0.97, i.e.,
[GRAPHIC] [TIFF OMITTED] TR29MY97.002

where:

x = the mean color rendering index of the sample
s = the sample standard deviation
t0.95 = the t statistic for a 95-percent confidence limit for 
n-1 degrees of freedom (from statistical tables)
n=sample size

    (s) For each basic model of faucet, \1\ a sample of sufficient size 
shall be tested to ensure that any represented value of water 
consumption of a basic model for which consumers favor lower values 
shall be no less than the higher of:
---------------------------------------------------------------------------

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

    (1) The mean of the sample or
    (2) The upper 95 percent confidence limit of the true mean divided 
by 1.05.
    (t) For each basic model \1\ of showerhead, a sample of sufficient 
size shall be tested to ensure that any represented value of water 
consumption of a basic model for which consumers favor lower values 
shall be no less than the higher of:
    (1) The mean of the sample or
    (2) The upper 95 percent confidence limit of the true mean divided 
by 1.05.
    (u) For each basic model \1\ of water closet, a sample of sufficient 
size shall be tested to ensure that any represented value of water 
consumption of a basic model for which consumers favor lower values 
shall be no less than the higher of:
    (1) The mean of the sample or
    (2) The upper 90 percent confidence limit of the true mean divided 
by 1.1.
    (v) For each basic model \1\ of urinal, a sample of sufficient size 
shall be tested to ensure that any represented value of water 
consumption of a basic model for which consumers favor lower values 
shall be no less than the higher of:
    (1) The mean of the sample or
    (2) The upper 90 percent confidence limit of the true mean divided 
by 1.1.

(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]

    Editorial Note: For Federal Register citations affecting Sec. 
430.24, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and on GPO Access.



Sec. 430.25  Laboratory Accreditation Program.

    The testing for general service fluorescent lamps, general service 
incandescent lamps, and incandescent reflector lamps shall be performed 
in accordance with Appendix R to this subpart. The testing for medium 
base compact fluorescent lamps shall be performed in accordance with 
Appendix W of this subpart. This testing shall be conducted by test 
laboratories accredited by the National Voluntary Laboratory 
Accreditation Program (NVLAP) or by an accrediting organization 
recognized by NVLAP. NVLAP is a program of the National Institute of 
Standards and Technology, U.S. Department of Commerce. NVLAP standards 
for accreditation of laboratories that test for compliance with 
standards for lamp efficacy and CRI are set forth in 15 CFR

[[Page 157]]

part 285. A manufacturer's or importer's own laboratory, if accredited, 
may conduct the applicable testing.

[74 FR 31841, July 6, 2009]



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. 430.23, 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, or 
water consumption characteristics (in the case of faucets, showerheads, 
water closets, and urinals) 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, or water consumption characteristics (in the case of 
faucets, showerheads, water closets, and urinals) 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

[[Page 158]]

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 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

[[Page 159]]

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, or water consumption 
characteristics (in the case of faucets, showerheads, water closets, and 
urinals) as to provide materially inaccurate comparative 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; 
63 FR 13316, Mar. 18, 1998]



   Sec. 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.

[[Page 160]]

    1.12 ``Externally vented refrigerator or refrigerator-freezer'' 
means an electric refrigerator or electric refrigerator-freezer that: 
has an enclosed condenser or an enclosed condenser/compressor 
compartment and a set of air ducts for transferring the exterior air 
from outside the building envelope into, through and out of the 
refrigerator or refrigerator-freezer cabinet; is capable of mixing 
exterior air with the room air before discharging into, through, and out 
of the condenser or condenser/compressor compartment; includes 
thermostatically controlled dampers or controls that enable the mixing 
of the exterior and room air at low outdoor temperatures, and the 
exclusion of exterior air when the outdoor air temperature is above 80 
[deg]F or the room air temperature; and may have a thermostatically 
actuated exterior air fan.

                           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 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 1.120.25 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.
    2.6 Exterior air for externally vented refrigerator or refrigerator-
freezer. An exterior air source shall be provided with adjustable 
temperature and pressure capabilities. The exterior air temperature 
shall be adjustable from 351 [deg]F (1.70.6 [deg]C) to 901 [deg]F 
(32.20.6 [deg]C).
    2.6.1 Air duct. The exterior air shall pass from the exterior air 
source to the test unit through an insulated air duct.
    2.6.2 Air temperature measurement. The air temperature entering the 
condenser or condenser/compressor compartment shall be maintained to 
3 [deg]F (1.7 [deg]C) during the stabilization and 
test periods and shall be measured at the inlet point of the condenser 
or condenser/compressor compartment (``condenser inlet''). Temperature 
measurements shall be taken from at least three temperature sensors or 
one sensor per 4 square inches of the air duct cross sectional area, 
whichever is greater, and shall be averaged. For a unit that has a 
condenser air fan, a minimum of three temperature sensors at the 
condenser fan discharge shall be required. Temperature sensors shall be 
arranged to be at the centers of equally divided cross sectional areas. 
The exterior air temperature, at its source, shall be measured and 
maintained to 1 [deg]F (0.6 [deg]C) during the 
test period. The temperature measuring devices shall have an error not 
greater than 0.5 [deg]F (0.3 
[deg]C). Measurements of the air temperature during the test period 
shall be taken at regular intervals not to exceed four minutes.

[[Page 161]]

    2.6.3 Exterior air static pressure. The exterior air static pressure 
at the inlet point of the unit shall be adjusted to maintain a negative 
pressure of 0.200.05 water 
column (62 Pa12.5 Pa) for all air flow rates 
supplied to the unit. The pressure sensor shall be located on a straight 
duct with a distance of at least 7.5 times the diameter of the duct 
upstream and a distance of at least 3 times the diameter of the duct 
downstream. There shall be four static pressure taps at 90[deg]angles 
apart. The four pressures shall be averaged by interconnecting the four 
pressure taps. The air pressure measuring instrument shall have an error 
not greater than 0.01 water column (2.5 Pa).

                        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 38 2 [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 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

[[Page 162]]

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 is initiated when the compressor ``on'' cycle is terminated 
prior to start of the defrost heater and terminates at the second turn 
``on'' of the compressor or four hours from the initiation of the 
defrost heater, whichever comes first. See diagram in Figure 1 to this 
section.
[GRAPHIC] [TIFF OMITTED] TR07MR03.019


[[Page 163]]


    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.
    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=EPx1440/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=(1440xEP1/T1)+((EP2-(EP1xT2/T1))x12/CT)


[[Page 164]]


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=(1440xEP1/T1)+(EP2-(EP1xT2/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=CTLxCTM)/(Fx(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 = MTBDx0.5

where:

MTBD = mean time between defrosts
[GRAPHIC] [TIFF OMITTED] TC14NO91.027

where:

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.

    5.4 Externally vented refrigerator or refrigerator-freezer units. 
All test measurements for the externally vented refrigerator or 
refrigerator-freezer shall be made in accordance with the requirements 
of other sections of this appendix, except as modified in this section 
5.4 or other sections expressly applicable to externally vented 
refrigerators or refrigerator-freezers.
    5.4.1 Operability of thermostatic and mixing of air controls. Prior 
to conducting energy consumption tests, the operability of thermostatic 
controls that permit the mixing of exterior and ambient air when 
exterior air temperatures are less than 60 [deg]F must be verified. The 
operability of such controls shall be verified by operating the unit 
under ambient air temperature of 90 [deg]F and exterior air temperature 
of 45 [deg]F. If the inlet air entering the condenser or condenser/
compressor compartment is maintained at 60 [deg]F, plus or minus three 
degrees, energy consumption of the unit shall be measured under 5.4.2.2 
and 5.4.2.3. If the inlet air entering the condenser or condenser/
compressor compartment is not maintained at 60 [deg]F, plus or minus 
three degrees, energy consumption of the unit shall also be measured 
under 5.4.2.4.
    5.4.2 Energy consumption tests.
    5.4.2.1 Correction factor test. To enable calculation of a 
correction factor, K, two full

[[Page 165]]

cycle tests shall be conducted to measure energy consumption of the unit 
with air mixing controls disabled and the condenser inlet air 
temperatures set at 90 [deg]F (32.2 [deg]C) and 80 [deg]F (26.7 [deg]C). 
Both tests shall be conducted with all compartment temperature controls 
set at the position midway between their warmest and coldest settings 
and the anti-sweat heater switch off. Record the energy consumptions 
ec90 and ec80, in kWh/day.
    5.4.2.2 Energy consumption at 90 [deg]F. The unit shall be tested at 
90 [deg]F (32.2 [deg]C) exterior air temperature to record the energy 
consumptions (e90)i in kWh/day. For a given 
setting of the anti-sweat heater, i corresponds to each of the two 
states of the compartment temperature control positions.
    5.4.2.3 Energy consumption at 60 [deg]F. The unit shall be tested at 
60 [deg]F (26.7 [deg]C) exterior air temperature to record the energy 
consumptions (e60)i in kWh/day. For a given 
setting of the anti-sweat heater, i corresponds to each of the two 
states of the compartment temperature control positions.
    5.4.2.4 Energy consumption if mixing controls do not operate 
properly. If the operability of temperature and mixing controls has not 
been verified as required under 5.4.1, the unit shall be tested at 50 
[deg]F (10.0 [deg]C) and 30 [deg]F (-1.1 [deg]C) exterior air 
temperatures to record the energy consumptions 
(e50)i and (e30)i. For a 
given setting of the anti-sweat heater, i corresponds to each of the two 
states of the compartment temperature control positions.

        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=(VFxCR)+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=(VFxCRF)+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 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))


[[Page 166]]


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.
    6.3 Externally vented refrigerator or refrigerator-freezers. Per-
cycle energy consumption measurements for the externally vented 
refrigerator or refrigerator-freezer shall be calculated in accordance 
with the requirements of this Appendix, as modified in sections 6.3.1-
6.3.7.
    6.3.1 Correction factor. A correction factor, K, shall be calculated 
as:

K = ec90/ec80

where ec90 and ec80 = the energy consumption test 
results as determined under 5.4.2.1.

    6.3.2 Combining test results of different settings of compartment 
temperature controls. For a given setting of the anti-sweat heater, 
follow the calculation procedures of 6.2 to combine the test results for 
energy consumption of the unit at different temperature control settings 
for each condenser inlet air temperature tested under 5.4.2.2, 5.4.2.3, 
and 5.4.2.4, where applicable, (e90)i, 
(e60)i, (e50)i, and 
(e30)i. The combined values are 
[egr]90, [egr]60, [egr]50, and 
[egr]30, where applicable, in kWh/day.
    6.3.3 Energy consumption corrections. For a given setting of the 
anti-sweat heater, the energy consumptions [egr]90, 
[egr]60, [egr]50, and [egr]30 
calculated in 6.3.2 shall be adjusted by multiplying the correction 
factor K to obtain the corrected energy consumptions per day, in kWh/
day:

E90 = K x [egr]90,
E60 = K x [egr]60
E50 = K x [egr]50, and
E30 = K x [egr]30

where,

K is determined under section 6.3.1, and [egr]90, 
[egr]60, [egr]50, and [egr]30 are 
determined under section 6.3.2.

    6.3.4 Energy profile equation. For a given setting of the anti-sweat 
heater, the energy consumption EX, in kWh/day, at a specific 
exterior air temperature between 80 [deg]F (26.7 [deg]C) and 60 [deg]F 
(26.7 [deg]C) shall be calculated by the following equation:

EX = a + bTX,

where,

TX = exterior air temperature in [deg]F;
a = 3E60-2E90, in kWh/day;
b = (E90-E60)/30, in kWh/day per [deg]F.

    6.3.5 Energy consumption at 80 [deg]F (26.7 [deg]C), 75 [deg]F (23.9 
[deg]C) and 65 [deg]F (18.3 [deg]C). For a given setting of the anti-
sweat heater, calculate the energy consumptions at 80 [deg]F (26.7 
[deg]C), 75 [deg]F (23.9 [deg]C) and 65 [deg]F (18.3 [deg]C) exterior 
air temperatures, E80, E75 and E65, 
respectively, in kWh/day, using the equation in 6.3.4.
    6.3.6 National average per cycle energy consumption. For a given 
setting of the anti-sweat heater, calculate the national average energy 
consumption, EN, in kWh/day, using one of the following 
equations:

EN = 0.523 x E60 + 0.165 x E65 + 0.181 
x E75 + 0.131 x E80, for units not tested under 
5.4.2.4,

EN = 0.257 x E30 + 0.266 x E50 + 0.165 
x E65 + 0.181 x E75 + 0.131 x E80, for 
units tested under 5.4.2.4,

where,

E30, E50, and E60 are defined in 6.3.3,
E65, E75, and E80 are defined in 6.3.5, 
and
the coefficients are weather associated weighting factors.

    6.3.7 Regional average per cycle energy consumption. If regional 
average per cycle energy consumption is required to be calculated, for a 
given setting of the anti-sweat heater, calculate the regional average 
per cycle energy consumption, ER, in kWh/day, for the regions 
in figure 1 using one of the following equations and the coefficients in 
the table A:

ER = a1 x E60 + c x E65 + d 
x E75 + e x E80, for a unit that is not required 
to be tested under 5.4.2.4,

ER = a x E30 + b x E50 + c x 
E65 + d x E75 + e x E80, for a unit 
tested under 5.4.2.4,

where:

E30, E50, and E60 are defined in 6.3.3,
E65, E75, and E80 are defined in 6.3.5, 
and
a1, a, b, c, d, e are weather associated weighting factors 
for the Regions, as specified in Table A:

               Table A--Coefficients for Calculating Regional Average per Cycle Energy Consumption
                                               [Weighting Factors]
----------------------------------------------------------------------------------------------------------------
                             Regions                                a1       a       b       c       d       e
----------------------------------------------------------------------------------------------------------------
I...............................................................   0.282   0.039   0.244   0.194   0.326   0.198
II..............................................................   0.486   0.194   0.293   0.191   0.193   0.129
III.............................................................   0.584   0.302   0.282   0.178   0.159   0.079
IV..............................................................   0.664   0.420   0.244   0.161   0.121   0.055
----------------------------------------------------------------------------------------------------------------


[[Page 167]]

[GRAPHIC] [TIFF OMITTED] TR09SE97.000


[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; 62 FR 47539, 
47540, Sept. 9, 1997; 68 FR 10960, Mar. 7, 2003]



   Sec. 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

[[Page 168]]

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 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.
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

[[Page 169]]

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 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

[[Page 170]]

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=(EPx1440x 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=(1440x Kx EP1/T1) + ((EP2-(EP1x T2/T1))x Kx12/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,
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
[GRAPHIC] [TIFF OMITTED] TC14NO91.028

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=VTx 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.

[[Page 171]]

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]



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

    The provisions of this Appendix C shall apply to products 
manufactured after September 29, 2003. The restriction on 
representations concerning energy use or efficiency in 42 U.S.C. 
6293(c)(2) shall apply on February 25, 2004.

                             1. Definitions

    1.1 AHAM means the Association of Home Appliance Manufacturers.
    1.2 Compact dishwasher means a dishwasher that has a capacity of 
less than eight place settings plus six serving pieces as specified in 
ANSI/AHAM DW-1 (see Sec. 430.22), using the test load specified in 
section 2.7 of this Appendix.
    1.3 Cycle means a sequence of operations of a dishwasher which 
performs a complete dishwashing function, and may include variations or 
combinations of washing, rinsing, and drying.
    1.4 Cycle type means any complete sequence of operations capable of 
being preset on the dishwasher prior to the initiation of machine 
operation.
    1.5 Non-soil-sensing dishwasher means a dishwasher that does not 
have the ability to adjust automatically any energy consuming aspect of 
a wash cycle based on the soil load of the dishes.
    1.6 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.
    1.7 Power-dry feature means the introduction of electrically 
generated heat into the washing chamber for the purpose of improving the 
drying performance of the dishwasher.
    1.8 Preconditioning cycle means any cycle that includes a fill, 
circulation, and drain to ensure that the water lines and sump area of 
the pump are primed.
    1.9 Sensor heavy response means, for standard dishwashers, the set 
of operations in a soil-sensing dishwasher for completely washing a load 
of dishes, four place settings of which are soiled according to ANSI/
AHAM DW-1 (Incorporated by reference, see Sec. 430.22). For compact 
dishwashers, this definition is the same, except that two soiled place 
settings are used instead of four.
    1.10 Sensor light response means, for both standard and compact 
dishwashers, the set of operations in a soil-sensing dishwasher for 
completely washing a load of dishes, one place setting of which is 
soiled with half of the gram weight of soils for each item specified in 
a single place setting according to ANSI/AHAM DW-1 (Incorporated by 
reference, see Sec. 430.22).
    1.11 Sensor medium response means, for standard dishwashers, the set 
of operations in a soil-sensing dishwasher for completely washing a load 
of dishes, two place settings of which are soiled according to ANSI/AHAM 
DW-1 (Incorporated by reference, see Sec. 430.22). For compact 
dishwashers, this definition is the same, except that one soiled place 
setting is used instead of two.
    1.12 Soil-sensing dishwasher means a dishwasher that has the ability 
to adjust any energy consuming aspect of a wash cycle based on the soil 
load of the dishes.
    1.13 Standard dishwasher means a dishwasher that has a capacity 
equal to or greater than eight place settings plus six serving pieces as 
specified in ANSI/AHAM DW-1 (Incorporated by reference, see Sec. 
430.22), using the test load specified in section 2.7 of this Appendix.
    1.14 Standby mode means the lowest power consumption mode which 
cannot be switched off or influenced by the user and that may persist 
for an indefinite time when the dishwasher is connected to the main 
electricity supply and used in accordance with the manufacturer's 
instructions.
    1.15 Truncated normal cycle means the normal cycle interrupted to 
eliminate the power-dry feature after the termination of the last rinse 
operation.
    1.16 Truncated sensor heavy response means the sensor heavy response 
interrupted to eliminate the power-dry feature after the termination of 
the last rinse operation.
    1.17 Truncated sensor light response means the sensor light response 
interrupted to eliminate the power-dry feature after the termination of 
the last rinse operation.
    1.18 Truncated sensor medium response means the sensor medium 
response interrupted to eliminate the power-dry feature

[[Page 172]]

after the termination of the last rinse operation.
    1.19 Water-heating dishwasher means a dishwasher which, as 
recommended by the manufacturer, is designed for heating cold inlet 
water (nominal 50 [deg]F) or designed for heating water with a nominal 
inlet temperature of 120 [deg]F. Any dishwasher designated as water-
heating (50 [deg]F or 120 [deg]F inlet water) must provide internal 
water heating to above 120 [deg]F in at least one wash phase of the 
normal cycle.

                         2. Testing conditions:

    2.1 Installation Requirements. Install the dishwasher according to 
the manufacturer's instructions. A standard or compact under-counter or 
under-sink dishwasher must be tested in a rectangular enclosure 
constructed of nominal 0.374 inch (9.5 mm) plywood painted black. The 
enclosure must consist of a top, a bottom, a back, and two sides. If the 
dishwasher includes a counter top as part of the appliance, omit the top 
of the enclosure. Bring the enclosure into the closest contact with the 
appliance that the configuration of the dishwasher will allow.
    2.2 Electrical energy supply.
    2.2.1 Dishwashers that operate with an electrical supply of 115 
volts. Maintain the electrical supply to the dishwasher at 115 volts 
2 percent and within 1 percent of the nameplate 
frequency as specified by the manufacturer.
    2.2.2 Dishwashers that operate with an electrical supply of 240 
volts. Maintain the electrical supply to the dishwasher at 240 volts 
2 percent and within 1 percent of its nameplate 
frequency as specified by the manufacturer.
    2.3 Water temperature. Measure the temperature of the water supplied 
to the dishwasher using a temperature measuring device as specified in 
section 3.1 of this Appendix.
    2.3.1 Dishwashers to be tested at a nominal 140 [deg]F inlet water 
temperature. Maintain the water supply temperature at 140[deg] 2 [deg]F.
    2.3.2 Dishwashers to be tested at a nominal 120 [deg]F inlet water 
temperature. Maintain the water supply temperature at 120[deg] 2 [deg]F.
    2.3.3 Dishwashers to be tested at a nominal 50 [deg]F inlet water 
temperature. Maintain the water supply temperature at 50[deg] 2 [deg]F.
    2.4 Water pressure. Using a water pressure gauge as specified in 
section 3.4 of this Appendix, maintain the pressure of the water supply 
at 35 2.5 pounds per square inch gauge (psig) when 
the water is flowing.
    2.5 Ambient and machine temperature. Using a temperature measuring 
device as specified in section 3.1 of this Appendix, maintain the room 
ambient air temperature at 75[deg] 5 [deg]F, and 
ensure that the dishwasher and the test load are at room ambient 
temperature at the start of each test cycle.
    2.6 Test Cycle and Load.
    2.6.1 Non-soil-sensing dishwashers to be tested at a nominal inlet 
temperature of 140 [deg]F. These units must be tested on the normal 
cycle and truncated normal cycle without a test load if the dishwasher 
does not heat water in the normal cycle.
    2.6.2 Non-soil-sensing dishwashers to be tested at a nominal inlet 
temperature of 50 [deg]F or 120 [deg]F. These units must be tested on 
the normal cycle with a clean load of eight place settings plus six 
serving pieces, as specified in section 2.7 of this Appendix. If the 
capacity of the dishwasher, as stated by the manufacturer, is less than 
eight place settings, then the test load must be the stated capacity.
    2.6.3 Soil-sensing dishwashers to be tested at a nominal inlet 
temperature of 50 [deg]F, 120 [deg]F, or 140 [deg]F. These units must be 
tested first for the sensor heavy response, then tested for the sensor 
medium response, and finally for the sensor light response with the 
following combinations of soiled and clean test loads.
    2.6.3.1 For tests of the sensor heavy response, as defined in 
section 1.9 of this Appendix:
    (A) For standard dishwashers, the test unit is to be loaded with a 
total of eight place settings plus six serving pieces as specified in 
section 2.7 of this Appendix. Four of the eight place settings must be 
soiled according to ANSI/AHAM DW-1 (Incorporated by reference, see Sec. 
430.22) while the remaining place settings, serving pieces, and all 
flatware are not soiled.
    (B) For compact dishwashers, the test unit is to be loaded with four 
place settings plus six serving pieces as specified in section 2.7 of 
this Appendix. Two of the four place settings must be soiled according 
to ANSI/AHAM DW-1 (Incorporated by reference, see Sec. 430.22) while 
the remaining place settings, serving pieces, and all flatware are not 
soiled.
    2.6.3.2 For tests of the sensor medium response, as defined in 
section 1.11 of this Appendix:
    (A) For standard dishwashers, the test unit is to be loaded with a 
total of eight place settings plus six serving pieces as specified in 
section 2.7 of this Appendix. Two of the eight place settings must be 
soiled according to ANSI/AHAM DW-1 (Incorporated by reference, see Sec. 
430.22) while the remaining place settings, serving pieces, and all 
flatware are not soiled.
    (B) For compact dishwashers, the test unit is to be loaded with four 
place settings plus six serving pieces as specified in section 2.7 of 
this Appendix. One of the four place settings must be soiled according 
to ANSI/AHAM DW-1 (Incorporated by reference, see Sec. 430.22) while 
the remaining place settings, serving pieces and all flatware are not 
soiled.
    2.6.3.3 For tests of the sensor light response, as defined in 
section 1.10 of this Appendix:

[[Page 173]]

    (A) For standard dishwashers, the test unit is to be loaded with a 
total of eight place settings plus six serving pieces as specified in 
section 2.7 of this Appendix. One of the eight place settings must be 
soiled with half of the soil load specified for a single place setting 
according to ANSI/AHAM DW-1 (Incorporated by reference, see Sec. 
430.22) while the remaining place settings, serving pieces, and all 
flatware are not soiled.
    (B) For compact dishwashers, the test unit is to be loaded with four 
place settings plus six serving pieces as specified in section 2.7 of 
this Appendix. One of the four place settings must be soiled with half 
of the soil load specified for a single place setting according to the 
ANSI/AHAM DW-1 (Incorporated by reference, see Sec. 430.22) while the 
remaining place settings, serving pieces, and all flatware are not 
soiled.
    2.7 Test Load.

----------------------------------------------------------------------------------------------------------------
  Dishware/glassware/flatware                                                            Alternate    Alternate
              item                 Primary source        Description      Primary No.      source     source No.
----------------------------------------------------------------------------------------------------------------
Dinner Plate...................  Corning Comcor      10 inch Dinner      6003893
                                  [reg]/Corelle       Plate.
                                  [reg].
Bread and Butter Plate.........  Corning Comcor      6.75 inch Bread &   6003887        Arzberg....   8500217100
                                  [reg]/Corelle       Butter.
                                  [reg].
Fruit Bowl.....................  Corning Comcor      10 oz. Dessert      6003899        Arzberg....   3820513100
                                  [reg]/Corelle       Bowl.
                                  [reg].
Cup............................  Corning Comcor      8 oz. Ceramic Cup.  6014162        Arzberg....   3824732100
                                  [reg]/Corelle
                                  [reg].
Saucer.........................  Corning Comcor      6 inch Saucer.....  6010972        Arzberg....   3824731100
                                  [reg]/Corelle
                                  [reg].
Serving Bowl...................  Corning Comcor      1 qt. Serving Bowl  6003911
                                  [reg]/Corelle
                                  [reg].
Platter........................  Corning Comcor      9.5 inch Oval       6011655
                                  [reg]/Corelle       Platter.
                                  [reg].
Glass-Iced Tea.................  Libbey............  ..................  551 HT
Flatware--Knife................  Oneida [reg]--      ..................  2619KPVF
                                  Accent.
Flatware--Dinner Fork..........  Oneida [reg]--      ..................  2619FRSF
                                  Accent.
Flatware--Salad Fork...........  Oneida [reg]--      ..................  2619FSLF
                                  Accent.
Flatware--Teaspoon.............  Oneida [reg]--      ..................  2619STSF
                                  Accent.
Flatware--Serving Fork.........  Oneida [reg]--      ..................  2865FCM
                                  Flight.
Flatware--Serving Spoon........  Oneida [reg]--      ..................  2619STBF
                                  Accent.
----------------------------------------------------------------------------------------------------------------

    2.8 Detergent. Use half the quantity of detergent specified 
according to ANSI/AHAM DW-1 (Incorporated by reference, see Sec. 
430.22).
    2.9 Testing requirements. Provisions in this Appendix pertaining to 
dishwashers that operate with a nominal inlet temperature of 50 [deg]F 
or 120 [deg]F apply only to water-heating dishwashers as defined in 
section 1.19 of this Appendix.
    2.10 Preconditioning requirements. Precondition the dishwasher by 
establishing the testing conditions set forth in sections 2.1 through 
2.5 of this Appendix. Set the dishwasher to the preconditioning cycle as 
defined in section 1.8 of this Appendix, without using a test load, and 
initiate the cycle.

                           3. Instrumentation

    Test instruments must be calibrated annually.
    3.1 Temperature measuring device. The device must have an error no 
greater than 1 [deg]F over the range being 
measured.
    3.2 Timer. Time measurements for each monitoring period shall be 
accurate to within 2 seconds.
    3.3 Water meter. The water meter must have a resolution of no larger 
than 0.1 gallons and a maximum error no greater than 1.5 percent of the measured flow rate for all water 
temperatures encountered in the test cycle.
    3.4 Water pressure gauge. The water pressure gauge must have a 
resolution of one pound per square inch (psi) and must have an error no 
greater than 5 percent of any measured value over the range of 35 2.5 psig.
    3.5 Watt-hour meter. The watt-hour meter must have a resolution of 1 
watt-hour or less and a maximum error of no more than 1 percent of the 
measured value for any demand greater than 50 watts.
    3.6 Standby wattmeter. The standby wattmeter must have a resolution 
of 0.1 watt or less, a maximum error of no more than 1 percent of the 
measured value, and must be capable of operating within the stated 
tolerances for input voltages up to 5 percent total harmonic distortion. 
The standby wattmeter must be capable of operating at frequencies from 
47 hertz through 63 hertz. Power measurements must have a crest factor 
of 3 or more at currents of 2 amps RMS or less.
    3.7 Standby watt-hour meter. The standby watt-hour meter must meet 
all the requirements of the standby wattmeter and must accumulate watt-
hours at a minimum power level of 20 milliwatts.

                     4. Test Cycle and Measurements

    4.1 Test cycle. Perform a test cycle by establishing the testing 
conditions set forth in section 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.
    4.2 Machine electrical energy consumption. Measure the machine 
electrical energy consumption, M, expressed as the number of kilowatt-
hours of electricity consumed by the machine during the entire test 
cycle, using a water supply temperature as set forth in section 2.3 of 
this Appendix and using a watt-

[[Page 174]]

hour meter as specified in section 3.5 of this Appendix.
    4.3 Water consumption. Measure the water consumption, V, expressed 
as the number of gallons of water delivered to the machine during the 
entire test cycle, using a water meter as specified in section 3.3 of 
this Appendix.
    4.4 Standby power. Connect the dishwasher to a standby wattmeter or 
a standby watt-hour meter as specified in sections 3.6 and 3.7, 
respectively, of this Appendix. Select the conditions necessary to 
achieve operation in the standby mode as defined in section 1.14 of this 
Appendix. Monitor the power consumption but allow the dishwasher to 
stabilize for at least 5 minutes. Then monitor the power consumption for 
at least an additional 5 minutes. If the power level does not change by 
more than 5 percent from the maximum observed value during the later 5 
minutes and there is no cyclic or pulsing behavior of the load, the load 
can be considered stable. For stable operation, standby power, 
Sm, can be recorded directly from the standby watt meter in 
watts or accumulated using the standby watt-hour meter over a period of 
at least 5 minutes. For unstable operation, the energy must be 
accumulated using the standby watt-hour meter over a period of at least 
5 minutes and must capture the energy use over one or more complete 
cycles. Calculate the average standby power, Sm, expressed in 
watts by dividing the accumulated energy consumption by the duration of 
the measurement period.

        5. Calculation of Derived Results From Test Measurements

    5.1 Machine energy consumption.
    5.1.1 Machine energy consumption for non-soil-sensing electric 
dishwashers. Take the value recorded in section 4.2 of this Appendix as 
the per-cycle machine electrical energy consumption. Express the value, 
M, in kilowatt-hours per cycle.
    5.1.2 Machine energy consumption for soil-sensing electric 
dishwashers. The machine energy consumption for the sensor normal cycle, 
M, is defined as:

M = (MhrxFhr) + (MmrxFmr) + 
(MlrxFlr)

where,

Mhr = the value recorded in section 4.2 of this Appendix for 
the test of the sensor heavy response, expressed in kilowatt-hours per 
cycle,
Mmr = the value recorded in section 4.2 of this Appendix for 
the test of the sensor medium response, expressed in kilowatt-hours per 
cycle,
Mlr = the value recorded in section 4.2 of this Appendix for 
the test of the sensor light response, expressed in kilowatt-hours per 
cycle,
Fhr = the weighting factor based on consumer use of heavy 
response = 0.05,
Fmr = the weighting factor based on consumer use of medium 
response = 0.33,
Flr = the weighting factor based on consumer use of light 
response = 0.62.

    5.2 Drying energy.
    5.2.1 Drying energy consumption for non-soil-sensing electric 
dishwashers. Calculate the amount of energy consumed using the power-dry 
feature after the termination of the last rinse option of the normal 
cycle. Express the value, ED, in kilowatt-hours per cycle.
    5.2.2 Drying energy consumption for soil-sensing electric 
dishwashers. The drying energy consumption, ED, for the 
sensor normal cycle is defined as:

ED = (EDhr + EDmr + EDlr)/3

Where,

EDhr = energy consumed using the power-dry feature after the 
termination of the last rinse option of the sensor heavy response, 
expressed in kilowatt-hours per cycle,
EDmr = energy consumed using the power-dry feature after the 
termination of the last rinse option of the sensor medium response, 
expressed in kilowatt-hours per cycle,
EDlr = energy consumed using the power-dry feature after the 
termination of the last rinse option of the sensor light response, 
expressed in kilowatt-hours per cycle.

    5.3 Water consumption.
    5.3.1 Water consumption for non-soil-sensing dishwashers using 
electrically heated, gas-heated, or oil-heated water.
    Take the value recorded in section 4.3 of this Appendix as the per-
cycle water energy consumption. Express the value, V, in gallons per 
cycle.
    5.3.2 Water consumption for soil-sensing dishwashers using 
electrically heated, gas-heated, or oil-heated water.
    The water consumption for the sensor normal cycle, V, is defined as:

V = (VhrxFhr) + (VmrxFmr) + 
(VlrxFlr)

Where,

Vhr = the value recorded in section 4.3 of this Appendix for 
the test of the sensor heavy response, expressed in gallons per cycle,
Vmr = the value recorded in section 4.3 of this Appendix for 
the test of the sensor medium response, expressed in gallons per cycle,
Vlr = the value recorded in section 4.3 of this Appendix for 
the test of the sensor light response, expressed in gallons per cycle,
Fhr = the weighting factor based on consumer use of heavy 
response = 0.05,
Fmr = the weighting factor based on consumer use of medium 
response = 0.33,
Flr = the weighting factor based on consumer use of light 
response = 0.62.

    5.4 Water energy consumption for non-soil-sensing or soil-sensing 
dishwashers using electrically heated water.
    5.4.1 Dishwashers that operate with a nominal 140 [deg]F inlet water 
temperature, only. For

[[Page 175]]

the normal and truncated normal test cycle, calculate the water energy 
consumption, W, expressed in kilowatt-hours per cycle and defined as:

W = VxTxK

Where,

V = water consumption in gallons per cycle, as determined in section 
5.3.1 of this Appendix,
T = nominal water heater temperature rise = 90 [deg]F,
K = specific heat of water in kilowatt-hours per gallon per degree 
Fahrenheit = 0.0024.

    5.4.2 Dishwashers that operate with a nominal inlet water 
temperature of 120 [deg]F. For the normal and truncated normal test 
cycle, calculate the water energy consumption, W, expressed in kilowatt-
hours per cycle and defined as:

W = VxTxK

Where,

V = water consumption in gallons per cycle, as determined in section 
5.3.1 of this Appendix,
T = nominal water heater temperature rise = 70 [deg]F,
K = specific heat of water in kilowatt-hours per gallon per degree 
Fahrenheit = 0.0024.

    5.5 Water energy consumption per cycle using gas-heated or oil-
heated water.
    5.5.1 Dishwashers that operate with a nominal 140 [deg]F inlet water 
temperature, only.
    For each test cycle, calculate the water energy consumption using 
gas-heated or oil-heated water, Wg, expressed in Btu's per 
cycle and defined as:

Wg = VxTxC/e

Where,
V = reported water consumption in gallons per cycle, as determined in 
section 5.3.2 of this Appendix,
T = nominal water heater temperature rise = 90 [deg]F,
C = specific heat of water in Btu's per gallon per degree Fahrenheit = 
8.2,
e = nominal gas or oil water heater recovery efficiency = 0.75.
    5.5.2 Dishwashers that operate with a nominal inlet water 
temperature of 120 [deg]F. For each test cycle, calculate the water 
energy consumption using gas heated or oil heated water, Wg, 
expressed in Btu's per cycle and defined as:

Wg = VxTxC/e

Where,

V = reported water consumption in gallons per cycle, as determined in 
section 5.3.2 of this Appendix,
T = nominal water heater temperature rise = 70 [deg]F,
C = specific heat of water in Btu's per gallon per degree Fahrenheit = 
8.2,
e = nominal gas or oil water heater recovery efficiency = 0.75.

    5.6 Annual standby energy consumption. Calculate the estimated 
annual standby energy consumption. First determine the number of standby 
hours per year, Hs, defined as:

Hs = H-(NxL).

Where,

H = the total number of hours per year = 8766 hours per year,
N = the representative average dishwasher use of 215 cycles per year,
L = the average of the duration of the normal cycle and truncated normal 
cycle, for non-soil-sensing dishwashers with a truncated normal cycle; 
the duration of the normal cycle, for non-soil-sensing dishwashers 
without a truncated normal cycle; the average duration of the sensor 
light response, truncated sensor light response, sensor medium response, 
truncated sensor medium response, sensor heavy response, and truncated 
sensor heavy response, for soil-sensing dishwashers with a truncated 
cycle option; the average duration of the sensor light response, sensor 
medium response, and sensor heavy response, for soil-sensing dishwashers 
without a truncated cycle option.
    Then calculate the estimated annual standby power use, S, expressed 
in kilowatt-hours per year and defined as:

S = Smx((Hs)/1000)

Where,

Sm = the average standby power in watts as determined in 
section 4.4 of this Appendix.

[68 FR 51900, Aug. 29, 2003]



   Sec. 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.

[[Page 176]]

    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 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 3 [deg]F and the room relative 
humidity at 5010 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 5 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 5 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.

[[Page 177]]

    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 1 
[deg]F.
    2.4.5 Temperature. The temperature sensor shall have an error no 
greater than 1 [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 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 1 
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]5 [deg]F (60[deg]2.7 [deg]C). Rinse water temperature is to be controlled 
at 100[deg]5 [deg]F (37.72.7 
[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 .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] 5 [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 .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] 5 [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

[[Page 178]]

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 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)]xEttxFU
    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)]xEtexFU
    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)]xEtgxFUxGEF
    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=Epgx(8760-140/416)xGEF
    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

[[Page 179]]

    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]



   Sec. 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 when or water temperature at which a water 
heater control or thermostat acts to increase the energy or fuel input 
to the heating elements, compressor, or burner.
    1.2 Cut-out means the time when or water temperature at which a 
water heater control or thermostat acts to reduce to a minimum the 
energy or fuel input to the heating elements, compressor, or burner.
    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 (kJ) per hour as appropriate.
    1.4 Energy Factor means a measure of water heater overall 
efficiency.
    1.5 First-Hour Rating means an estimate of the maximum volume of 
``hot'' water that a storage-type water heater can supply within an hour 
that begins with the water heater fully heated (i.e., with all 
thermostats satisfied). It is a function of both the storage volume and 
the recovery rate.
    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 Instantaneous Water Heaters
    1.7.1 Electric Instantaneous Water Heater Reserved.
    1.7.2 Gas Instantaneous Water Heater means a water heater that uses 
gas as the energy source, initiates heating based on sensing water flow, 
is designed to deliver water at a controlled temperature of less than 
180 [deg]F (82 [deg]C), has an input greater than 50,000 Btu/h (53 MJ/h) 
but less than 200,000 Btu/h (210 MJ/h), and has a manufacturer's 
specified storage capacity of less than 2 gallons (7.6 liters). The unit 
may use a fixed or variable burner input.
    1.8 Maximum gpm (L/min) Rating means the maximum gallons per minute 
(liters per minute) of hot water that can be supplied by an 
instantaneous water heater while maintaining a nominal temperature rise 
of 77 [deg]F (42.8 [deg]C) during steady state operation.
    1.9 Rated Storage Volume means the water storage capacity of a water 
heater, in gallons (liters), as specified by the manufacturer.
    1.10 Recovery Efficiency means the ratio of energy delivered to the 
water to the energy content of the fuel consumed by the water heater.
    1.11 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: [tau]stby,1 represents the 
elapsed time between the time at which the maximum mean tank temperature 
is observed after the sixth draw and subsequent recovery and the end of 
the 24-hour test; [tau]stby,2 represents the total time 
during the 24-hour simulated use test when water is not being withdrawn 
from the water heater.
    1.12 Storage-type Water Heaters
    1.12.1 Electric Storage-type Water Heater means a water heater that 
uses electricity as the energy source, is designed to heat and store 
water at a thermostatically controlled temperature of less than 180 
[deg]F (82 [deg]C), has a nominal input of 12 kilowatts (40,956 Btu/h) 
or less, and has a rated storage capacity of not less than 20 gallons 
(76 liters) nor more than 120 gallons (450 liters).
    1.12.2 Gas Storage-type Water Heater means a water heater that uses 
gas as the energy source, is designed to heat and store water at a 
thermostatically controlled temperature of less than 180 [deg]F (82 
[deg]C), has a nominal input of 75,000 Btu (79 MJ) per hour or less, and 
has a rated storage capacity of not less than 20 gallons (76 liters) nor 
more than 100 gallons (380 liters).
    1.12.3 Heat Pump Water Heater means a water heater that uses 
electricity as the energy source, is designed to heat and store water at 
a thermostatically controlled temperature of less than 180 [deg]F (82 
[deg]C), has a maximum current rating of 24 amperes (including the 
compressor and all auxiliary equipment such as fans, pumps, controls, 
and, if on the same circuit, any resistive elements) for an input 
voltage of 250 volts or less, and, if the tank is supplied, has a 
manufacturer's rated storage capacity of 120 gallons (450 liters) or 
less. Resistive elements used to provide supplemental heating may use 
the same circuit as the compressor if (1) an interlocking mechanism 
prevents concurrent compressor operation and resistive heating or (2) 
concurrent operation does not result in the maximum current rating of 24 
amperes being exceeded. Otherwise, the resistive elements and the heat 
pump components must use separate circuits. A heat pump water heater may 
be sold by the manufacturer with or without a storage tank.
    a. Heat Pump Water Heater with Storage Tank means an air-to-water 
heat pump sold

[[Page 180]]

by the manufacturer with an insulated storage tank as a packaged unit. 
The tank and heat pump can be an integral unit or they can be separated.
    b. Heat Pump Water Heater without Storage Tank (also called Add-on 
Heat Pump Water Heater) means an air-to-water heat pump designed for use 
with a storage-type water heater or a storage tank that is not specified 
or supplied by the manufacturer.
    1.12.4 Oil Storage-type Water Heater means a water heater that uses 
oil as the energy source, is designed to heat and store water at a 
thermostatically controlled temperature of less than 180 [deg]F (82 
[deg]C), has a nominal energy input of 105,000 Btu/h (110 MJ/h) or less, 
and has a manufacturer's rated storage capacity of 50 gallons (190 
liters) or less.
    1.12.5 Storage-type Water Heater of More than 2 Gallons (7.6 Liters) 
and Less than 20 Gallons (76 Liters). Reserved.
    1.13 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.
    1.14 ASTM-D-2156-80 means the test standard published in 1980 by the 
American Society for Testing and Measurements and titled ``Smoke Density 
in Flue Gases from Burning Distillate Fuels, Test Method for''.
    1.15 Symbol Usage The following identity relationships are provided 
to help clarify the symbology used throughout this procedure:

Cp specific heat capacity of water
Eannual annual energy consumption of a water heater
Ef energy factor of a water heater
Fhr first-hour rating of a storage-type water heater
Fmax maximum gpm (L/min) rating of an instantaneous water 
heater rated at a temperature rise of 77 [deg]F (42.8 [deg]C) across the 
heater
i a subscript to indicate an ith draw during a test
Mi mass of water removed during the ith draw (i=1 to 6) of 
the 24-hr simulated use test
M*i for storage-type water heaters, mass of water removed 
during the ith draw (i=1 to n) during the first-hour rating test
M10m for instantaneous water heaters, mass of water removed 
continuously during a 10-minute interval in the maximum gpm (L/min) 
rating test
n for storage-type water heaters, total number of draws during the 
first-hour rating test
Q total fossil fuel and/or electric energy consumed during the entire 
24-hr simulated use test
Qd daily water heating energy consumption adjusted for net 
change in internal energy
Qda adjusted daily water heating energy consumption with 
adjustment for variation of tank to ambient air temperature difference 
from nominal value
Qdm overall adjusted daily water heating energy consumption 
including Qda and QHWD
Qhr hourly standby losses
QHW daily energy consumption to heat water over the measured 
average temperature rise across the water heater
QHWD adjustment to daily energy consumption, Qhw, 
due to variation of the temperature rise across the water heater not 
equal to the nominal value of 77 [deg]F (42.8 [deg]C)
Qr energy consumption of fossil fuel or heat pump water 
heaters between thermostat (or burner) cut-out prior to the first draw 
and cut-out following the first draw of the 24-hr simulated use test
Qr, max energy consumption of a modulating instantaneous 
water heater between cut-out (burner) prior to the first draw and cut-
out following the first draw of the 24-hr simulated use test
Qr, min energy consumption of a modulating instantaneous 
water heater from immediately prior to the fourth draw to burner cut-out 
following the fourth draw of the 24-hr simulated use test
Qstby total energy consumed by the water heater during the 
standby time interval [tau]stby, 1
Qsu total fossil fueled and/or electric energy consumed from 
the beginning of the first draw to the thermostat (or burner) cut-out 
following the completion of the sixth draw during the 24-hr simulated 
use test
Tmin for modulating instantaneous water heaters, steady state 
outlet water temperature at the minimum fuel input rate
T0 mean tank temperature at the beginning of the 24-hr 
simulated use test
T24 mean tank temperature at the end of the 24-hr simulated 
use test
Ta, stby average ambient air temperature during standby 
periods of the 24-hr use test
Tdel for instantaneous water heaters, average outlet water 
temperature during a 10-minute continuous draw interval in the maximum 
gpm (L/min) rating test
Tdel, i average outlet water temperature during the ith draw 
of the 24-hr simulated use test
Tin for instantaneous water heaters, average inlet water 
temperature during a 10-minute continuous draw interval in the maximum 
gpm (L/min) rating test
Tin, i average inlet water temperature during the ith draw of 
the 24-hr simulated use test
Tmax, 1 maximum measured mean tank temperature after cut-out 
following the first draw of the 24-hr simulated use test
Tstby average storage tank temperature during the standby 
period [tau]stby, 2 of the 24-hr use test
Tsu maximum measured mean tank temperature after cut-out 
following the sixth draw of the 24-hr simulated use test

[[Page 181]]

Tt, stby average storage tank temperature during the standby 
period [tau]stby, 1 of the 24-hr use test
T*del, i for storage-type water heaters, average outlet water 
temperature during the ith draw (i=1 to n) of the first-hour rating test
T*max, i for storage-type water heaters, maximum outlet water 
temperature observed during the ith draw (i=1 to n) of the first-hour 
rating test
T*min, i for storage-type water heaters, minimum outlet water 
temperature to terminate the ith draw during the first-hour rating test
UA standby loss coefficient of a storage-type water heater
Vi volume of water removed during the ith draw (i=1 to 6) of 
the 24-hr simulated use test
V*i volume of water removed during the ith draw (i=1 to n) 
during the first-hour rating test
V10m for instantaneous water heaters, volume of water removed 
continuously during a 10-minute interval in the maximum gpm (L/min) 
rating test
Vmax steady state water flow rate of an instantaneous water 
heater at the rated input to give a discharge temperature of 135 [deg]F 
5 [deg]F (57.2 [deg]C 2.8 
[deg]C)
Vmin steady state water flow rate of a modulating 
instantaneous water heater at the minimum input to give a discharge 
temperature of Tmin up to 135 [deg]F 5 
[deg]F (57.2 [deg]C 2.8 [deg]C)
Vst measured storage volume of the storage tank
Wf weight of storage tank when completely filled with water
Wt tare weight of storage tank when completely empty of water
nr recovery efficiency
p density of water
[tau]stby, 1 elapsed time between the time the maximum mean 
tank temperature is observed after the sixth draw and the end of the 24-
hr simulated use test
[tau]stby, 2 overall standby periods when no water is 
withdrawn during the 24-hr simulated use test
    1.16 Tabletop water heater means a water heater in a rectangular box 
enclosure designed to slide into a kitchen countertop space with typical 
dimensions of 36 inches high, 25 inches deep and 24 inches wide.

                           2. Test Conditions

    2.1 Installation Requirements. Tests shall be performed with the 
water heater and instrumentation installed in accordance with Section 4 
of this appendix.
    2.2 Ambient Air Temperature. The ambient air temperature shall be 
maintained between 65.0 [deg]F and 70.0 [deg]F (18.3 [deg]C and 21.1 
[deg]C) on a continuous basis. For heat pump water heaters, the dry bulb 
temperature shall be maintained at 67.5 [deg]F 1 
[deg]F (19.7 [deg]C 0.6 [deg]C) and, in addition, 
the relative humidity shall be maintained between 49% and 51%.
    2.3 Supply Water Temperature. The temperature of the water being 
supplied to the water heater shall be maintained at 58 [deg]F 2 [deg]F (14.4 [deg]C 1.1 [deg]C) 
throughout the test.
    2.4 Storage Tank Temperature. The average temperature of the water 
within the storage tank shall be set to 135 [deg]F 5 [deg]F (57.2 [deg]C 2.8 [deg]C).
    2.5 Supply Water Pressure. During the test when water is not being 
withdrawn, the supply pressure shall be maintained between 40 psig (275 
kPa) 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% of the center of the voltage range specified by 
the water heater and/or heat pump manufacturer.
    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 7-10 inches of water column 
(1.7-2.5 kPa). 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. 
For all tests, use natural gas having a heating value of approximately 
1,025 Btu per standard cubic foot (38,190 kJ per standard cubic meter).
    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 11-13 inches of water column 
(2.7-3.2 kPa). 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. 
For all tests, use propane gas with a heating value of approximately 
2,500 Btu per standard cubic foot (93,147 kJ per standard cubic meter).
    2.6.4 Fuel Oil Supply. Maintain an uninterrupted supply of fuel oil. 
Use fuel oil having a heating value of approximately 138,700 Btu per 
gallon (38,660 kJ per liter).

                           3. Instrumentation

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

----------------------------------------------------------------------------------------------------------------
              Item measured                      Instrument accuracy                Instrument precision
----------------------------------------------------------------------------------------------------------------
Gas pressure............................  0.1 inch    0.05 inch of
                                           of water column (0.025 kPa).                eq>0.012 kPa).

[[Page 182]]

 
Atmospheric pressure....................  0.1 inch    0.05 inch of
                                           of mercury column (0.34 kPa).        eq>0.17 kPa).
Water pressure..........................  1.0 pounds  0.50 pounds
                                           per square inch (6.9 kPa).                  eq>3.45 kPa).
----------------------------------------------------------------------------------------------------------------

    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 following limits:

----------------------------------------------------------------------------------------------------------------
            Item measured                   Instrument accuracy                  Instrument precision
----------------------------------------------------------------------------------------------------------------
Air dry bulb temperature.............  0.2      0.1 [deg]F (0.06 [deg]C)
                                        eq>0.1 [deg]C).
Air wet bulb temperature.............  0.2      0.1 [deg]F (0.06 [deg]C)
                                        eq>0.1 [deg]C).
Inlet and outlet water temperatures..  0.2      0.1 [deg]F (0.06 [deg]C)
                                        eq>0.1 [deg]C).
Storage tank temperatures............  0.5      0.25 [deg]F (0.14 [deg]C)
                                        eq>0.3 [deg]C).
----------------------------------------------------------------------------------------------------------------

    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 Rate Measurement. 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 is 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. For mass measurements greater than or equal 
to 10 pounds (4.5 kg), a scale that is accurate within 1% of the reading shall be used to make the measurement. 
For mass measurements less than 10 pounds (4.5 kg), the scale shall 
provide a measurement that is accurate within 0.1 
pound (0.045 kg).
    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.
    3.9 Volume. Volume measurements shall be measured with an accuracy 
of 2% of the total volume.

                             4. Installation

    4.1 Water Heater Mounting. A water heater designed to be 
freestanding shall be placed on a \3/4\ inch (2 cm) thick plywood 
platform supported by three 2 x 4 inch (5 cm x 10 cm) runners. If the 
water heater is not approved for installation on combustible flooring, 
suitable non-combustible material shall be placed between the water 
heater and the platform. Counter-top water heaters shall be placed 
against a simulated wall section. Wall-mounted water heaters shall be 
supported on a simulated wall in accordance with the manufacturer-
published installation instructions. When a simulated wall is used, the 
recommended construction is 2 x 4 inch (5 cm x 10 cm) studs, faced with 
\3/4\ inch (2 cm) plywood. For heat pump water heaters that are supplied 
with a storage tank, the two components, if not delivered as a single 
package, shall be connected in accordance with the manufacturer-
published installation instructions and the overall system shall be 
placed on the above-described plywood platform. If installation 
instructions are not provided by the heat pump manufacturer, uninsulated 
8 foot (2.4 m) long connecting hoses having an inside diameter of \5/8\ 
inch (1.6 cm) shall be used to connect the

[[Page 183]]

storage tank and the heat pump water heater. With the exception of using 
the storage tank described in 4.10, the same requirements shall apply 
for heat pump water heaters that are supplied without a storage tank 
from the manufacturer. The testing of the water heater shall occur in an 
area that is protected from drafts.
    4.2 Water Supply. Connect the water heater to a water supply capable 
of delivering water at conditions as specified in Sections 2.3 and 2.5 
of this appendix.
    4.3 Water Inlet and Outlet Configuration. For freestanding water 
heaters that are taller than 36 inches (91.4 cm), inlet and outlet 
piping connections shall be configured in a manner consistent with 
Figures 1 and 2. Inlet and outlet piping connections for wall-mounted 
water heaters shall be consistent with Figure 3. For freestanding water 
heaters that are 36 inches or less in height and not supplied as part of 
a counter-top enclosure (commonly referred to as an under-the-counter 
model), inlet and outlet piping shall be installed in a manner 
consistent with Figures 4, 5, and 6. For water heaters that are supplied 
with a counter-top enclosure, inlet and outlet piping shall be made in a 
manner consistent with Figures 7A and 7B, respectively. The vertical 
piping noted in Figures 7A and 7B shall be located (whether inside the 
enclosure or along the outside in a recessed channel) in accordance with 
the manufacturer-published installation instructions.
    All dimensions noted in Figures 1 through 7 shall be achieved. All 
piping between the water heater and the inlet and outlet temperature 
sensors, noted as TIN and TOUT in the figures, 
shall be Type ``L'' hard copper having the same diameter as the 
connections on the water heater. Unions may be used 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 inlet temperature sensor. 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, piping insulation, or pressure relief valve 
insulation are supplied with the water heater, they shall be installed 
for testing. Except when using a simulated wall, clearance shall be 
provided such that none of the piping contacts other surfaces in the 
test room.

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[GRAPHIC] [TIFF OMITTED] TR20JY98.005


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[GRAPHIC] [TIFF OMITTED] TR20JY98.006


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[GRAPHIC] [TIFF OMITTED] TR20JY98.007


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[GRAPHIC] [TIFF OMITTED] TR20JY98.008

    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. For heat pump water heaters that use supplemental resistive 
heating, the electrical energy supplied to the resistive element(s) 
shall be metered separately from the electrical energy supplied to the 
entire appliance or to the remaining components (e.g., compressor, fans, 
pumps, controls).
    4.5 Internal Storage Tank Temperature Measurements. Install six 
temperature measurement sensors inside the water heater tank with a 
vertical distance of at least 4 inches (100 mm) between successive 
sensors. A temperature sensor shall be positioned at the vertical 
midpoint of each of the six equal

[[Page 188]]

volume nodes within 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 relief valve temperature sensor is 
relocated, and it no longer extends into the top of the tank, a 
substitute relief valve that has a sensing element that can reach into 
the tank shall be installed. 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 
between 4 and 8 h0ft2/ [deg]F/Btu (0.7 and 1.4 
m2/ [deg]C/W).
    4.6 Ambient Air Temperature Measurement. Install an ambient air 
temperature sensor at the vertical mid-point of the water heater and 
approximately 2 feet (610 mm) 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, 3, 4, 5, 6, 7a and 7b, as applicable.
    4.8 Flow Control. A valve shall be installed to provide flow as 
specified in sections 5.1.4.1 for storage tank water heaters and 5.2.1 
for instantaneous water heaters.
    4.9 Flue Requirements.
    4.9.1 Gas-Fired Water Heaters. Establish a natural draft in the 
following manner. For gas-fired water heaters with a vertically 
discharging draft hood outlet, a 5-foot (1.5-meter) vertical vent pipe 
extension with 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 with a horizontally discharging draft hood outlet, a 90-
degree elbow with a diameter equal to the largest flue collar size of 
the draft hood shall be connected to the draft hood outlet. A 5-foot 
(1.5-meter) 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 with venting equipment specified in the 
manufacturer's instructions using the minimum vertical and horizontal 
lengths of vent pipe recommended by the manufacturer.
    4.9.2 Oil-Fired Water Heaters. Establish a draft at the flue collar 
at the value specified in the manufacturer's instructions. 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 with a horizontally discharging draft hood outlet, a 90-
degree elbow with 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.
    4.10 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 (see Section 1.12.3b) shall be an electric storage-type 
water heater having a measured volume of 47.0 gallons 1.0 gallon (178 liters 3.8 
liters); two 4.5 kW heating elements controlled in such a manner as to 
prevent both elements from operating simultaneously; and an energy 
factor greater than or equal to the minimum energy conservation standard 
(as determined in accordance with Section 6.1.7) and less than or equal 
to the sum of the minimum energy conservation standard and 0.02.

                           5. Test Procedures

    5.1 Storage-type Water Heaters, Including 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 
(liters), by subtracting the tare weight--measured while the tank is 
empty--from the gross weight of the storage tank when 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 measured temperature.
    5.1.2 Setting the Thermostat.
    5.1.2.1 Single Thermostat Tanks. Starting with a tank at the supply 
water temperature, initiate normal operation of the water heater. After 
cut-out, determine the mean tank temperature every minute until the 
maximum value is observed. Determine whether this maximum value for the 
mean tank temperature is within the range of 135 [deg]F5 [deg]F (57.2 [deg]C2.8 [deg]C). 
If not, turn off the water heater, adjust the thermostat, drain and 
refill the tank with supply water. Then, once again, initiate normal 
operation of the water heater, and determine the maximum mean tank 
temperature after cut-out. Repeat this sequence until the maximum mean

[[Page 189]]

tank temperature after cut-out is 135 [deg]F5 
[deg]F (57.2 [deg]C2.8 [deg]C).
    5.1.2.2 Tanks with Two or More Thermostats. Follow the same sequence 
as for a single thermostat tank, i.e. start at the supply water 
temperature, operate normally until cutout. Determine if the thermostat 
that controls the uppermost heating element yields a maximum water 
temperature of 135 [deg]F5 [deg]F (57.2 
[deg]C2.8 [deg]C), as measured by the in-tank 
sensors that are positioned above the uppermost heating element. If the 
tank temperature at the thermostat is not within 135 [deg]F5 [deg]F (57.2 [deg]C2.8 [deg]C), 
turn off the water heater, adjust the thermostat, drain and refill the 
tank with supply water. The thermostat that controls the heating element 
positioned next highest in the tank shall then be set to yield a maximum 
water temperature of 135 [deg]F5 [deg]F (57.2 
[deg]C2.8 [deg]C). This process shall be repeated 
until the thermostat controlling the lowest element is correctly 
adjusted. When adjusting the thermostat that controls the lowest 
element, the maximum mean tank temperature after cut-out, as determined 
using all the in-tank sensors, shall be 135 [deg]F5 [deg]F (57.2 [deg]C2.8 [deg]C). 
When adjusting all other thermostats, use only the in-tank temperature 
sensors positioned above the heating element in question to evaluate the 
maximum water temperature after cut-out.
    For heat pump water heaters that control an auxiliary resistive 
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, 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 (kJ) 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 
(kJ) 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.
    5.1.4 First-Hour Rating Test.
    5.1.4.1 General. During hot water draws, remove water at a rate of 
3.00.25 gallons per minute (11.40.95 liters per minute). Collect the water in a 
container that is large enough to hold the volume removed during an 
individual draw and suitable for weighing at the termination of each 
draw. Alternatively, a water meter may be used to directly measure the 
water volume(s) withdrawn.
    5.1.4.2 Draw Initiation Criteria. Begin the first-hour rating test 
by imposing a draw on the storage-type water heater. After completion of 
this first draw, initiate successive draws based on the following 
criteria. For gas-and oil-fired water heaters, initiate successive draws 
when the thermostat acts to reduce the supply of fuel to the main 
burner. For electric water heaters having a single element or multiple 
elements that all operate simultaneously, initiate successive draws when 
the thermostat acts to reduce the electrical input supplied to the 
element(s). For electric water heaters having two or more elements that 
do not operate simultaneously, initiate successive draws when the 
applicable thermostat acts to reduce the electrical input to the element 
located vertically highest in the storage tank. For heat pump waters 
heaters that do not use supplemental resistive heating, initiate 
successive draws immediately after the electrical input to the 
compressor is reduced by the action of the water heater's thermostat. 
For heat pump waters heaters that use supplemental resistive heating, 
initiate successive draws immediately after the electrical input to the 
compressor or the uppermost resistive element is reduced by the action 
of the applicable water heater thermostat. This draw initiation 
criterion for heat pump water heaters that use supplemental resistive 
heating, however, shall only apply when the water located above the 
thermostat at cut-out is heated to 135 [deg]F5 
[deg]F (57.2 [deg]C2.8 [deg]C).
    5.1.4.3 Test Sequence. Establish normal water heater operation. If 
the water heater is not presently operating, initiate a draw. The draw 
may be terminated anytime after cut-in occurs. After cut-out occurs 
(i.e., all thermostats are satisfied), monitor the internal storage tank 
temperature sensors described in section 4.5 every minute.
    Initiate a draw after a maximum mean tank temperature has been 
observed following cut-out. Record the time when the draw is initiated 
and designate it as an elapsed time of zero ([tau]* = 0). (The 
superscript * is used to denote variables pertaining to the first-hour 
rating test.) Record the outlet water temperature beginning 15 seconds 
after the draw is initiated and at 5-second intervals thereafter until 
the draw is terminated. Determine the maximum outlet temperature that 
occurs during this first draw and record it as T*max, 1. For 
the duration of this first draw and all successive draws, in addition, 
monitor the inlet temperature to the water heater to ensure that the 
required 58 [deg]F2 [deg]F (14.4 [deg]C1.1 [deg]C) test condition is met. Terminate the hot 
water draw when the outlet temperature decreases to T*max,1-
25 [deg]F (T*max,1-13.9 [deg]C). Record this temperature as

[[Page 190]]

T*min,1. Following draw termination, determine the average 
outlet water temperature and the mass or volume removed during this 
first draw and record them as T*del,1 and M*1 or 
V*1, respectively.
    Initiate a second and, if applicable, successive draw each time the 
applicable draw initiation criteria described in section 5.1.4.2 are 
satisfied. As required for the first draw, record the outlet water 
temperature 15 seconds after initiating each draw and at 5-second 
intervals thereafter until the draw is terminated. Determine the maximum 
outlet temperature that occurs during each draw and record it as 
T*max, i, where the subscript i refers to the draw number. 
Terminate each hot water draw when the outlet temperature decreases to 
T*max, i-25 [deg]F (T*max, i-13.9 [deg]C). Record 
this temperature as T*min, i. Calculate and record the 
average outlet temperature and the mass or volume removed during each 
draw (T*del, i and M*i or V*i, 
respectively). Continue this sequence of draw and recovery until one 
hour has elapsed, then shut off the electrical power and/or fuel 
supplied to the water heater.
    If a draw is occurring at an elapsed time of one hour, continue this 
draw until the outlet temperature decreases to T*max, n-25 
[deg]F (T*max, n -13.9 [deg]C), at which time the draw shall 
be immediately terminated. (The subscript n shall be used to denote 
quantities associated with the final draw.) If a draw is not occurring 
at an elapsed time of one hour, a final draw shall be imposed at one 
hour. This draw shall be immediately terminated when the outlet 
temperature first indicates a value less than or equal to the cut-off 
temperature used for the previous draw (T*min, n-1). For 
cases where the outlet temperature is close to T*min, n-1, 
the final draw shall proceed for a minimum of 30 seconds. If an outlet 
temperature greater than T*min, n-1 is not measured within 30 
seconds, the draw shall be immediately terminated and zero additional 
credit shall be given towards first-hour rating (i.e., M*n = 
0 or V*n = 0). After the final draw is terminated, calculate 
and record the average outlet temperature and the mass or volume removed 
during the draw (T*del, n and M*n or 
V*n, respectively).
    5.1.5 24-Hour Simulated Use Test. During the simulated use test, a 
total of 64.3 1.0 gallons (2433.8 liters) shall be removed. This value is referred to 
as the daily hot water usage in the following text.
    With the water heater turned off, fill the water heater with supply 
water and apply pressure as described in section 2.5. Turn on the water 
heater and associated heat pump unit, if present. After the cut-out 
occurs, the water heater may be operated for up to three cycles of 
drawing until cut-in, and then operating until cut-out, prior to the 
start of the test.
    At this time, record the mean tank temperature (To), and 
the electrical and/or fuel measurement readings, as appropriate. Begin 
the 24-hour simulated use test by withdrawing a volume from the water 
heater that equals one-sixth of the daily hot water usage. Record the 
time when this first draw is initiated and assign it as the test elapsed 
time ([tau]) of zero (0). Record the average storage tank and ambient 
temperature every 15 minutes throughout the 24-hour simulated use test 
unless a recovery or a draw is occurring. At elapsed time intervals of 
one, two, three, four, and five hours from [tau] = 0, initiate 
additional draws, removing an amount of water equivalent to one-sixth of 
the daily hot water usage with the maximum allowable deviation for any 
single draw being 0.5 gallons (1.9 liters). The 
quantity of water withdrawn during the sixth draw shall be increased or 
decreased as necessary such that the total volume of water withdrawn 
equals 64.3 gallons 1.0 gallon (243.4 liters 
3.8 liters).
    All draws during the simulated use test shall be made at flow rates 
of 3.0 gallons 0.25 gallons per minute (11.4 
liters 0.95 liters per minute). Measurements of 
the inlet and outlet temperatures shall be made 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 (Tdel, i and Tin, i). 
Determine and record the net mass or volume removed (Mi or 
Vi ), 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 by an electric resistance, 
gas or oil-fired water heater, Qr. For heat pump water 
heaters, the total electrical energy consumed during the first recovery 
by the heat pump (including compressor, fan, controls, pump, etc.) and, 
if applicable, by the resistive element(s) shall be recorded as 
Qr.
    At the end of the recovery period that follows the sixth draw, 
determine and record the total electrical energy and/or fossil fuel 
consumed since the beginning of the test, Qsu. In preparation 
for determining the energy consumed during standby, record the reading 
given on the electrical energy (watt-hour) meter, the gas meter, and/or 
the scale used to determine oil consumption, as appropriate. Record the 
maximum value of the mean tank temperature after cut-out 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 (i.e., since = 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

[[Page 191]]

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 fossil fuel or 
electrical energy consumption, as appropriate, for 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 stby, 1. Record the time 
during which water is not being withdrawn from the water heater during 
the entire 24-hour period as stby, 2.
    5.2 Instantaneous Gas and Electric Water Heaters
    5.2.1 Setting the Outlet Discharge Temperature. Initiate normal 
operation of the water heater at the full input rating for electric 
instantaneous water heaters and at the maximum firing rate specified by 
the manufacturer for gas instantaneous water heaters. Monitor the 
discharge water temperature and set to a value of 135 [deg]F 5 [deg]F (57.2 [deg]C 2.8 [deg]C) 
in accordance with the manufacturer's instructions. If the water heater 
is not capable of providing this discharge temperature when the flow 
rate is 3.0 gallons 0.25 gallons per minute (11.4 
liters 0.95 liters per minute), then adjust the 
flow rate as necessary to achieve the specified discharge water 
temperature. Record the corresponding flow rate as Vmax.
    5.2.2 Additional Requirements for Variable Input Instantaneous Gas 
Water Heaters. If the instantaneous water heater incorporates a 
controller that permits operation at a reduced input rate, adjust the 
flow rate as necessary to achieve a discharge water temperature of 135 
[deg]F 5 [deg]F (57.2 [deg]C 2.8 [deg]C) while maintaining the minimum input rate. 
Record the corresponding flow rate as Vmin. If an outlet 
temperature of 135 [deg]F 5 [deg]F (57.2 [deg]C 
2.8 [deg]C) cannot be achieved at the minimum flow 
rate permitted by the instantaneous water heater, record the flow rate 
as Vmin and the corresponding outlet temperature as 
Tmin.
    5.2.3 Maximum GPM Rating Test for Instantaneous Water Heaters. 
Establish normal water heater operation at the full input rate for 
electric instantaneous water heaters and at the maximum firing rate for 
gas instantaneous water heaters with the discharge water temperature set 
in accordance with Section 5.2.1. During the 10-minute test, either 
collect the withdrawn water for later measurement of the total mass 
removed, or alternatively, use a water meter to directly measure the 
water volume removed.
    After recording the scale or water meter reading, initiate water 
flow throughout the water heater, record the inlet and outlet water 
temperatures beginning 15 seconds after the start of the test and at 
subsequent 5-second intervals throughout the duration of the test. At 
the end of 10 minutes, turn off the water. Determine the mass of water 
collected, M10m, in pounds (kilograms), or the volume of 
water, V10m, in gallons (liters).
    5.2.4 24-hour Simulated Use Test for Gas Instantaneous Water 
Heaters.
    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 (57.2 [deg]C 2.8 [deg]C) and Vmax per Section 5.2.1, 
respectively. With no draw occurring, record the reading given by the 
gas meter and/or the electrical energy meter 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. 
Record the time when this first draw is initiated and designate it as an 
elapsed time, [tau], of 0. At elapsed time intervals of one, two, three, 
four, and five hours from [tau] = 0, initiate additional draws, removing 
an amount of water equivalent to one-sixth of the daily hot water usage, 
with the maximum allowable deviation for any single draw being 0.5 gallons (1.9 liters). The quantity of water drawn 
during the sixth draw shall be increased or decreased as necessary such 
that the total volume of water withdrawn equals 64.3 gallons 1.0 gallons (243.4 liters 3.8 
liters).
    Measurements of the inlet and outlet water temperatures shall be 
made 15 seconds after the draw is initiated and at every 5-second 
interval thereafter 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 used to 
measure the mass of the withdrawn water or the water meter reading, as 
appropriate, after each draw. At the end of the recovery period 
following the first draw, determine and record the fossil fuel or 
electrical energy consumed, Qr. Following the sixth draw and 
subsequent recovery, allow the water heater to remain in the standby 
mode until exactly 24 hours have elapsed since the start of the test 
(i.e., since [tau] = 0). At 24 hours, record the reading given by the 
gas meter and/or the electrical energy meter as appropriate. Determine 
the fossil fuel or electrical energy consumed during the entire 24-hour 
simulated use test and designate the quantity as Q.
    5.2.4.2 Variable Input Instantaneous Water Heaters. If the 
instantaneous water heater incorporates a controller that permits 
continuous 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 the daily hot 
water usage, with the maximum allowable deviation for any one of the 
three draws being 0.5 gallons (1.9 liters).

[[Page 192]]

The second three draws shall be conducted at Vmin. If an 
outlet temperature of 135 [deg]F 5 [deg]F (57.2 
[deg]C 2.8 [deg]C) 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:

[GRAPHIC] [TIFF OMITTED] TR11MY98.001

or
[GRAPHIC] [TIFF OMITTED] TR11MY98.002

where Tmin is the outlet water temperature at the flow rate 
Vmin as determined in Section 5.2.1, and where the maximum 
allowable variation for any one of the three draws is 0.5 gallons (1.9 liters). The quantity of water 
withdrawn during the sixth draw shall be increased or decreased as 
necessary such that the total volume of water withdrawn equals (32.15 + 
3/V4,5,6) 1.0 gallons

((121.7 + 3 / V4,5,6) 3.8 liters).

    Measurements of the inlet and outlet water temperatures shall be 
made 5 seconds after a draw is initiated and at every 5-second interval 
thereafter 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 used to measure the mass of 
the withdrawn water or the water meter reading, as appropriate, after 
each draw. At the end of the recovery period following the first draw, 
determine and record the fossil fuel or electrical energy consumed, 
Qr, max. Likewise, record the reading of the meter used to 
measure fossil fuel or electrical energy consumption prior to the fourth 
draw and at the end of the recovery period following the fourth draw, 
and designate the difference as Qr,min. Following the sixth 
draw and subsequent recovery, allow the water heater to remain in the 
standby mode until exactly 24 hours have elapsed since the start of the 
test (i.e., since [tau]=0). At 24 hours, record the reading given by the 
gas meter and/or the electrical energy meter, as appropriate. Determine 
the fossil fuel or electrical energy consumed during the entire 24-hour 
simulated use test and designate the quantity as Q.

                             6. Computations

    6.1 Storage Tank and Heat Pump Water Heaters.
    6.1.1 Storage Tank Capacity. The storage tank capacity is computed 
using the following:
[GRAPHIC] [TIFF OMITTED] TR11MY98.003

Where:

Vst = the storage capacity of the water heater, gal (L).
Wf = the weight of the storage tank when completely filled 
with water, lb (kg).
Wt = the (tare) weight of the storage tank when completely 
empty, lb (kg).
[rho] = the density of water used to fill the tank measured at the 
temperature of the water, lb/gal (kg/L).

    6.1.2. First-Hour Rating Computation. For the case in which the 
final draw is initiated at or prior to an elapsed time of one hour, the 
first-hour rating shall be computed using,
[GRAPHIC] [TIFF OMITTED] TR11MY98.004

Where:

n = the number of draws that are completed during the first-hour rating 
test.
V*i = the volume of water removed during the ith draw of the 
first-hour rating test, gal (L)
or, if the mass of water is being measured,
[GRAPHIC] [TIFF OMITTED] TR11MY98.005

Where:

M*i = the mass of water removed during the ith draw of the 
first-hour rating test, lb (kg).
[rho] = the water density corresponding to the average outlet 
temperature measured during the ith draw, (T*del, I), lb/gal 
(kg/L).

    For the case in which a draw is not in progress at the elapsed time 
of one hour and a final draw is imposed at the elapsed time of one hour, 
the first-hour rating shall be calculated using
[GRAPHIC] [TIFF OMITTED] TR11MY98.006

where n and V*i are the same quantities as defined above, and

V*n = the volume of water drawn during the nth (final) draw 
of the first-hour rating test, gal (L)
T*del,n-1 = the average water outlet temperature measured 
during the (n-1)th draw of the first-hour rating test, [deg]F ([deg]C).
T*del,n = the average water outlet temperature measured 
during the nth (final) draw of the first-hour rating test, [deg]F 
([deg]C).

[[Page 193]]

T*min,n-1 = the minimum water outlet temperature measured 
during the (n-1)th draw of the first-hour rating test, [deg]F ([deg]C).

    6.1.3 Recovery Efficiency. The recovery efficiency for gas, oil, and 
heat pump storage-type water heaters is computed as:
[GRAPHIC] [TIFF OMITTED] TR11MY98.007

Where:

M1 = total mass removed during the first draw of the 24-hour 
simulated use test, lb (kg), or, if the volume of water is being 
measured,
M1 = V1 [rho]1

Where:

V1 = total volume removed during the first draw of the 24-
hour simulated use test, gal (L).
[rho]1 = density of the water at the water temperature 
measured at the point where the flow volume is measured, lb/gal (kg/L).
Cp1 = specific heat of the withdrawn water, 
(Tdel,1 + Tin,1) 2, Btu/lb [deg]F (kJ/kg [deg]C).
Tdel,1 = average water outlet temperature measured during the 
first draw of the 24-hour simulated use test, [deg]F ([deg]C).
Tin,1 = average water inlet temperature measured during the 
first draw of the 24-hour simulated use test, [deg]F ([deg]C).
Vst = as defined in section 6.1.1.
[rho]2 = density of stored hot water, (Tmax,1 + 
To)/2, lb/gal (kg/L).
Cp2 = specific heat of stored hot water evaluated at 
(Tmax,1 + To) / 2, Btu/lb [deg]F (kJ/
kg2 [deg]C).
Tmax,1 = maximum mean tank temperature recorded after cut-out 
following the first draw of the 24-hour simulated use test, [deg]F 
([deg]C).
To = maximum mean tank temperature recorded prior to the 
first draw of the 24-hour simulated use test, [deg]F ([deg]C).
Qr = the total energy used by the water heater between cut-
out prior to the first draw and cut-out following the first draw, 
including auxiliary energy such as pilot lights, pumps, fans, etc., Btu 
(kJ). (Electrical auxiliary energy shall be converted to thermal energy 
using the following conversion: 1 kWh = 3,412 Btu.)

    The recovery efficiency for electric water heaters with immersed 
heating elements is assumed to be 98%.
    6.1.4 Hourly Standby Losses. The hourly standby energy losses are 
computed as:
[GRAPHIC] [TIFF OMITTED] TR11MY98.008

Where:

    Qhr = the hourly standby energy losses of the water 
heater, Btu/h (kJ/h).

Qstby = the total energy consumed 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 (kJ).
Vst = as defined in section 6.1.1.
[rho] = density of stored hot water, (T24 + Tsu) / 
2, lb/gal (kg/L).
Cp = specific heat of the stored water, (T24 + 
Tsu) / 2, Btu/lb/[deg]F (kJ/kg/[deg]C).
T24 = the mean tank temperature at the end of the 24-hour 
simulated use test, [deg]F ([deg]C).
Tsu = the maximum mean tank temperature observed after the 
sixth draw, [deg]F ([deg]C).
[eta]r = as defined in section 6.1.3.
[tau]stby, 1 = 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 simulated use test, h.

    The standby heat loss coefficient for the tank is computed as:
    [GRAPHIC] [TIFF OMITTED] TR11MY98.009
    
Where:

UA = standby heat loss coefficient of the storage tank, Btu/h/[deg]F 
(kJ/h/[deg]C).
Qhr = as defined in this section.
Tt, stby,1= overall average storage tank temperature between 
the time when the maximum mean tank temperature is observed after the 
sixth draw and the end of the 24-hour simulated use test, [deg]F 
([deg]C).
Ta, stby,1= overall average ambient temperature between the 
time when the maximum mean tank temperature is observed after the sixth 
draw and the end of the 24-hour simulated use test, [deg]F ([deg]C).

    6.1.5 Daily Water Heating Energy Consumption. The daily water 
heating energy consumption, Qd, is computed as:
[GRAPHIC] [TIFF OMITTED] TR11MY98.010

Where:


[[Page 194]]


Q = total energy used by the water heater during the 24-hour simulated 
use test including auxiliary energy such as pilot lights, pumps, fans, 
etc., Btu (kJ). (Electrical auxiliary energy shall be converted to 
thermal energy using the following conversion: 1 kWh = 3,412 Btu.)
Vst = as defined in section 6.1.1.
[rho]= density of the stored hot water, (T24 + To) 
/ 2, lb/gal (kg/L).
Cp = specific heat of the stored water, (T24 + 
To) / 2, Btu/lb/[deg]F (kJ/kg/[deg]C).
T24 = mean tank temperature at the end of the 24-hour 
simulated use test, [deg]F ([deg]C).
To = mean tank temperature at the beginning of the 24-hour 
simulated use test, recorded one minute before the first draw is 
initiated, [deg]F ([deg]C).
[eta]r = as defined in section 6.1.3.

    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 air may not be the nominal value of 67.5 [deg]F (135 
[deg]F-67.5 [deg]F) or 37.5 [deg]C (57.2 [deg]C-19.7 [deg]C) due to the 
10 [deg]F (5.6 [deg]C) allowable variation in storage tank temperature, 
135 [deg]F 5 [deg]F (57.2 [deg]C 2.8 [deg]C), and the 5 [deg]F (2.8 [deg]C) allowable 
variation in surrounding ambient temperature 65 [deg]F (18.3 [deg]C) to 
70 [deg]F (21.1 [deg]C). The adjusted daily water heating energy 
consumption is computed as:

Qda = QD - [(Tstby, 2 - Ta, stby,2) - (135 [deg]F - 67.5 [deg]F)] 
UA[tau]stby, 2
or Qda = QD - [(Tstby, 2 - Ta, stby, 2) - (57.2 [deg]C - 19.7 [deg]C)] 
UA[tau]stby, 2
Where:

Qda = the adjusted daily water heating energy consumption, 
Btu (kJ).
Qd = as defined in section 6.1.5.
Tstby, 2 = the mean tank temperature during the total standby 
portion, [tau]stby, 2, of the 24-hour test, [deg]F ([deg]C).
Ta, stby, 2 = the average ambient temperature during the 
total standby portion, [tau]stby, 2, of the 24-hour test, [deg]F 
([deg]C).
UA = as defined in section 6.1.4.
[tau]stby, 2 = the number of hours during the 24-hour 
simulated test when water is 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) or 42.8 [deg]C (57.2 [deg]C-14.4 [deg]C). 
The following equations adjust the experimental data to a nominal 77 
[deg]F (42.8 [deg]C) temperature rise.
    The energy used to heat water, Btu/day (kJ/day), may be computed as:
    [GRAPHIC] [TIFF OMITTED] TR11MY98.011
    
Where:

Mi = the mass withdrawn for the ith draw (i = 1 to 6), lb 
(kg).
Cpi = the specific heat of the water of the ith draw, Btu/lb/ 
[deg]F (kJ/kg/ [deg]C).
Tdel, i = the average water outlet temperature measured 
during the ith draw (i=1 to 6), [deg]F ([deg]C).
Tin, i = the average water inlet temperature measured during 
the ith draw (i=1 to 6), [deg]F ([deg]C).
[eta]r = as defined in section 6.1.3.
    The energy required to heat the same quantity of water over a 77 
[deg]F (42.8 [deg]C) temperature rise, Btu/day (kJ/day), is:
[GRAPHIC] [TIFF OMITTED] TR11MY98.012

    The difference between these two values is:

QHWD = QHW, 77[deg]-F -QHW
or QHWD = QHW,42.8[deg]-F -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 (37.5 [deg]C) and that 
the temperature rise across the storage tank may not be 77 [deg]F (42.8 
[deg]C) is:

Qdm = Qda + QHWD

    6.1.7 Energy Factor. The energy factor, Ef, is computed as:
    [GRAPHIC] [TIFF OMITTED] TR11MY98.013
    
or
[GRAPHIC] [TIFF OMITTED] TR11MY98.014

Where:

Qdm = the modified daily water heating energy consumption as 
computed in accordance with section 6.1.6, Btu (kJ).
Mi = the mass withdrawn for the ith draw (i = 1 to 6), lb 
(kg).
Cpi = the specific heat of the water of the ith draw, Btu/lb 
[deg]F (kJ/kg [deg]C).

    6.1.8 Annual Energy Consumption. The annual energy consumption for 
storage-type and heat pump water heaters is computed as:

Eannual = 365 x Qdm

Where:

Qdm = the modified daily water heating energy consumption as 
computed in accordance with section 6.1.6, Btu (kJ).
365 = the number of days in a year.


[[Page 195]]


    6.2 Instantaneous Water Heaters.
    6.2.1 Maximum GPM (L/min) Rating Computation. Compute the maximum 
gpm (L/min) rating as:
[GRAPHIC] [TIFF OMITTED] TR11MY98.015

which may be expressed as:
[GRAPHIC] [TIFF OMITTED] TR11MY98.016

Where:

M10m = the mass of water collected during the 10-minute test, 
lb (kg).
Tdel = the average delivery temperature, [deg]F ([deg]C).
Tin = the average inlet temperature, [deg]F ([deg]C).
[rho] = the density of water at the average delivery temperature, lb/gal 
(kg/L).

    If a water meter is used the maximum gpm (L/min) rating is computed 
as:
[GRAPHIC] [TIFF OMITTED] TR11MY98.017

Where:

V10m = the volume of water measured during the 10-minute 
test, gal (L).
Tdel = as defined in this section.
Tin = as defined in this section.

    6.2.2 Recovery Efficiency
    6.2.2.1 Fixed Input Instantaneous Water Heaters. The recovery 
efficiency is computed as:
[GRAPHIC] [TIFF OMITTED] TR11MY98.018

Where:

M1 = total mass removed during the first draw of the 24-hour 
simulated use test, lb (kg), or, if the volume of water is being 
measured,
M1 = V1. [rho]

Where:

V1 = total volume removed during the first draw of the 24-
hour simulated use test, gal (L).
[rho]= density of the water at the water temperature measured at the 
point where the flow volume is measured, lb/gal (kg/L).
Cp1 = specific heat of the withdrawn water, 
(Tdel,1 + Tin,1) / 2, Btu/lb [deg]F (kJ/kg 
[deg]C).
Tdel, 1 = average water outlet temperature measured during 
the first draw of the 24-hour simulated use test, [deg]F ([deg]C).
Tin, 1 = average water inlet temperature measured during the 
first draw of the 24-hour simulated use test, [deg]F ([deg]C).
Qr = the total energy used by the water heater between cut-
out prior to the first draw and cut-out following the first draw, 
including auxiliary energy such as pilot lights, pumps, fans, etc., Btu 
(kJ). (Electrical auxiliary energy shall be converted to thermal energy 
using the following conversion: 1 kWh = 3,412 Btu.)
    6.2.2.2 Variable Input Instantaneous Water Heaters. For 
instantaneous water heaters that 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:
[GRAPHIC] [TIFF OMITTED] TR11MY98.019

Where:

M1 = as defined in section 6.2.2.1.
Cp1 = as defined in section 6.2.2.1.
Tdel, 1 = as defined in section 6.2.2.1.
Tin, 1 = as defined in section 6.2.2.1.
Qr, max = the total energy used by the water heater between 
burner cut-out prior to the first draw and burner cut-out following the 
first draw, including auxiliary energy such as pilot lights, Btu (kJ).

    The minimum recovery efficiency is computed as:
    [GRAPHIC] [TIFF OMITTED] TR11MY98.020
    
Where:

M4 = the mass withdrawn during the fourth draw, lb (kg), or, 
if the volume of water is being measured,
M4 = V4 [rho]

Where:

V4 = total volume removed during the first draw of the 24-
hour simulated use test, gal (L).
[rho] = as defined in 6.2.2.1
Cp4 = the specific heat of water, Btu/lb [deg]F (kJ/kg 
[deg]C).

[[Page 196]]

Tdel, 4 = the average delivery temperature for the fourth 
draw, [deg]F ([deg]C).
Tin, 4 = the average inlet temperature for the fourth draw, 
[deg]F ([deg]C).
Qr, min = the total energy consumed between the beginning of 
the fourth draw and burner cut-out following the fourth draw, including 
auxiliary energy such as pilot lights, Btu (kJ).

    The recovery efficiency is computed as:
    [GRAPHIC] [TIFF OMITTED] TR11MY98.021
    
Where:

[eta]r,max = as calculated above.
[eta]r,min = as calculated above.

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

Qd = Q

Where:

Q = the energy used by the instantaneous water heater during the 24-hr 
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) or 42.8 [deg]C (57.2 [deg]C-14.4 [deg]C). The 
following equations adjust the experimental data to a nominal 77 [deg]F 
(42.8 [deg]C) temperature rise.
    The energy used to heat water may be computed as:
    [GRAPHIC] [TIFF OMITTED] TR11MY98.022
    
Where:

Mi = the mass withdrawn during the ith draw, lb (kg).
Cpi = the specific heat of water of the ith draw, Btu/lb 
[deg]F (kJ/kg ([deg]C).
Tdel,i = the average delivery temperature of the ith draw, 
[deg]F ([deg]C).
Tin,i = the average inlet temperature of the ith draw, [deg]F 
([deg]C).
[eta]r = as calculated in section 6.2.2.2.

    The energy required to heat the same quantity of water over a 77 
[deg]F (42.8 [deg]C) temperature rise is:
[GRAPHIC] [TIFF OMITTED] TR11MY98.023

Where:

Mi = the mass withdrawn during the ith draw, lb (kg).
Cpi = the specific heat of water of the ith draw, Btu/lb 
[deg]F (kJ/kg ([deg]C).
[eta]r = as calculated above.

    The difference between these two values is:

QHWD = QHW, 77 [deg]F - QHW
or QHWD = QHW, 42.8 [deg]C - QHW

which much 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 (42.8 
[deg]C) is:

Qdm = Qd + QHWD

    6.2.4 Energy Factor. The energy factor, Ef, is computed 
as:
[GRAPHIC] [TIFF OMITTED] TR11MY98.024

Where:

Qdm = the daily water heating energy consumption as computed 
in accordance with section 6.2.3, Btu (kJ).
Mi = the mass associated with the ith draw, lb (kg).
Cpi = the specific heat of water computed at a temperature of 
(58 [deg]F + 135 [deg]F) / 2, Btu/lb [deg]F [(14.4 [deg]C + 57.2 [deg]C) 
/ 2, kJ/kg [deg]C].

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

Eannual = 365 x Qdm

Where:

Qdm = the modified daily energy consumption, Btu/day (kJ/
day).
365 = the number of days in a year.

                     7. Ratings for Untested Models

    In order to relieve the test burden on 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%.
    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

[[Page 197]]

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.

[63 FR 26008, May 11, 1998; 63 FR 38738, July 20, 1998, as amended at 66 
FR 4497, Jan. 17, 2001]



   Sec. 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]



   Sec. 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.
    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

[[Page 198]]

test pressure shall be that recommended by the manufacturer. The propane 
supplied should have a higher heating value of within5 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) 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 199]]

[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]



           Sec. Appendix H to Subpart B of Part 430 [Reserved]



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

                             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 IEC 705 refers to the test standard published by the 
International Electrotechnical Commission, entitled ``Method for 
Measuring the Performance of Microwave Ovens for Household and Similar 
Purposes,'' Publication 705-1988 and Amendment 2--1993. (See 10 CFR 
430.22)

[[Page 200]]

    1.6 Normal nonoperating temperature means the temperature of all 
areas of an appliance to be tested are within 5 [deg]F (2.8 [deg]C) 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.
    1.7 Primary energy consumption means either the electrical energy 
consumption of a conventional electric oven or the gas energy 
consumption of a conventional gas oven.
    1.8 Secondary energy consumption means any electrical energy 
consumption, other than clock energy consumption, of a conventional gas 
oven.
    1.9 Standard cubic foot (L) of gas means that quantity of gas that 
occupies 1 cubic foot (L) when saturated with water vapor at a 
temperature of 60 [deg]F (15.6 [deg]C) and a pressure of 30 inches of 
mercury (101.6 kPa) (density of mercury equals 13.595 grams per cubic 
centimeter).
    1.10 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.
    1.11 Symbol Usage. The following identity relationships are provided 
to help clarify the symbology used throughout this procedure.

A--Number of Hours in a Year
B--Number of Hours Pilot Light Contributes to Cooking
C--Specific Heat
E--Energy Consumed
Eff--Cooking Efficiency
H--Heating Value of Gas
K--Conversion for Watt-hours to Kilowatt hours
Ke--3.412 Btu/Wh, Conversion for Watt-hours to Btu's
M--Mass
n--Number of Units
O--Annual Useful Cooking Energy Output
P--Power
Q--Gas Flow Rate
R--Energy Factor, Ratio of useful Cooking Energy Output to Total Energy 
Input
S--Number of Self Cleaning Operations per Year
T--Temperature
t--Time
V--Volume of Gas Consumed
W--Weight of Test Block

                           2. Test Conditions

    2.1 Installation. A free standing kitchen range 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, except for those that are an integral part of the timing 
or temperature controlling circuit of the oven, cooktop, or microwave 
oven. Do not disconnect or modify the circuit to any other electrical 
devices or features.
    2.1.1 Conventional electric ranges, ovens, and cooking tops. These 
products shall be connected to an electrical supply circuit with voltage 
as specified in Section 2.2.1 with a watt-hour meter installed in the 
circuit. The watt-hour meter shall be as described in Section 2.9.1.1.
    2.1.2 Conventional gas ranges, ovens, and cooking tops. 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 Section 2.9.2. Conventional gas ranges, ovens and cooking 
tops 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 Section 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. A watt-hour meter 
and watt meter shall be installed in the circuit and shall be as 
described in Section 2.9.1.1 and 2.9.1.2. If trial runs are needed to 
set the ``on'' time for the test, the test measurements are to be 
separated according to Section 4, Paragraph 12.6 of IEC 705 Amendment 2. 
(See 10 CFR 430.22)
    2.2 Energy supply.
    2.2.1 Electrical supply. Maintain the electrical supply to the 
conventional range, conventional cooking top, and conventional oven 
being tested at 240/120 volts except that basic models rated only at 
208/120 volts shall be tested at that rating. Maintain the voltage 
within 2 percent of the above specified voltages. For the microwave oven 
testing, however, maintain the electrical supply to a microwave oven at 
120 volts 1 volt and at 60 hertz.
    2.2.2 Gas supply.
    2.2.2.1 Gas burner adjustments. Conventional gas ranges, ovens, and 
cooking tops shall be tested with all of the gas burners adjusted in 
accordance with the installation or

[[Page 201]]

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 (1743.6 to 2490.8 
Pa). The regulator outlet pressure shall equal the manufacturer's 
recommendation. The natural gas supplied should have a heating value of 
approximately 1,025 Btu's per standard cubic foot (38.2 kJ/L). The 
actual gross heating value, Hn, in Btu's per standard cubic 
foot (kJ/L), for the natural gas to be used in the test shall be 
obtained either from measurements made by the manufacturer conducting 
the test using equipment that meets the requirements described in 
Section 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 that meets the 
requirements in Section 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 (2740 
to 3238 Pa). The regulator outlet pressure shall equal the 
manufacturer's recommendation. The propane supplied should have a 
heating value of approximately 2,500 Btu's per standard cubic foot (93.2 
kJ/L). The actual gross heating value, Hp, in Btu's per 
standard cubic foot (kJ/L), for the propane to be used in the test shall 
be obtained either from measurements made by the manufacturer conducting 
the test using equipment that meets the requirements described in 
Section 2.9.4 or by the use of bottled propane whose gross heating value 
is certified to be at least as accurate a value that meets the 
requirements described in Section 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 a 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 Section 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]5 [deg]F (180.6[deg] 2.8 [deg]C) 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] 5 [deg]F (180.6[deg]2.8 [deg]C) 
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]5 [deg]F (180.6[deg] 2.8 [deg]C) 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 (25.4 mm) in diameter and \1/8\-inch (3.2 mm) thick. The two 
thermocouple wires shall be located in two holes in the disc spaced \1/
2\-inch (12.7 mm) apart, with each hole being located \1/4\-inch (6.4 
mm) 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 Section 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]5 [deg]F (180.6 [deg]2.8 [deg]C) 
higher than the room ambient air temperature. If the oven thermostat 
operates by cycling on and off, adjust or determine the conventional gas 
oven thermostat setting to provide an average internal temperature which 
is 325[deg]5 [deg]F (180.62.8 [deg]C) 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 temperature rise of 325[deg]5 [deg]F 
(180.6 [deg]2.8 [deg]C) has been attained by the 
conventional gas oven. Remove the thermocouples after the thermostat has 
been set.

[[Page 202]]

    2.5 Ambient room air temperature. During the test, maintain an 
ambient room air temperature, TR, of 77[deg]9 [deg]F (25[deg]5 [deg]C) for 
conventional ovens and cooking tops, or as indicated in Section 4, 
Paragraph 12.4 of IEC 705 Amendment 2 for microwave ovens, as measured 
at least 5 feet (1.5 m) and not more than 8 feet (2.4 m) from the 
nearest surface of the unit under test and approximately 3 feet (0.9 m) 
above the floor. The temperature shall be measured with a thermometer or 
temperature indicating system with an accuracy as specified in Section 
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 Section 1.6, before any testing begins. The equipment for measuring 
the applicable normal nonoperating temperature shall be as described in 
Sections 2.9.3.1, 2.9.3.2, 2.9.3.3, 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/lb- [deg]F (0.96 kJ/[kg / [deg]C]) and with any temper that 
will give a czoefficient of thermal conductivity of 1073.3 to 1189.1 
Btu-in/h-ft\2\- [deg]F (154.8 to 171.5 W/[m / [deg]C]). Each block shall 
have a hole at its top. The hole shall be 0.08 inch (2.03 mm) in 
diameter and 0.80 inch (20.3 mm) 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 (0.051 
mm) TIR (total indicator reading). Determine the actual weight of each 
test block with a scale with an accuracy as indicated in Section 2.9.5.
    2.7.1 Conventional oven test block. The test block for the 
conventional oven, W1, shall be 6.250.05 inches (158.81.3 mm) in 
diameter, approximately 2.8 inches (71 mm) high and shall weigh 
8.50.1 lbs (3.860.05 kg). 
The block shall be finished with an anodic black coating which has a 
minimum thickness of 0.001 inch (0.025 mm) 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 6.250.05 inches 
(158.81.3 mm) in diameter, approximately 2.8 
inches (71 mm) high and shall weigh 8.50.1 lbs 
(3.860.05 kg).
    2.7.3 Large test block for conventional cooking top. The large test 
block for the conventional cooking top, W3, shall be 90.05 inches (228.61.3 mm) in 
diameter, approximately 3.0 inches (76 mm) high and shall weigh 190.1 lbs (8.620.05 kg).
    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 Section 2.9.3.3.
    2.7.5 Initial test block temperature. Maintain the initial 
temperature of the test blocks, TI, within 4 [deg]F (2.2 [deg]C) of the 
ambient room air temperature as specified in Section 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 Microwave oven test load.
    2.8.1 Test container. The test container shall be as specified in 
Section 4, Paragraph 12.2 of IEC 705 Amendment 2.
    2.8.2 Test water load. The test water load shall be as specified in 
Section 4, Paragraph 12.1 of IEC 705 Amendment 2.
    2.8.2.1 Test water load and test container temperature. Before the 
start of the test, the oven and the test container shall be at ambient 
temperature as specified in Section 4, Paragraph 12.4 of IEC 705 
Amendment 2. The test water load shall be contained in a chiller (not 
the test container) and maintained at 18[deg] 1.8 
[deg]F (10[deg] 1 [deg]C) below the ambient room 
temperature.
    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 1 watt-hour (3.6 kJ) or less 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 0.1 watt-hour 
(0.36 kJ) or less and a maximum error no greater than 1.5 percent of the 
measured value.
    2.9.1.2 Watt meter. The watt meter used to measure the conventional 
oven, conventional range, range clock power or the power input of the 
microwave oven shall have a resolution of 0.2 watt (0.2 J/s) or less and 
a maximum error no greater than 5 percent of the measured value.
    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 0.01 cubic foot (0.28 L) or less and a 
maximum error no greater than 1 percent of the measured value for any 
demand greater than 2.2

[[Page 203]]

cubic feet per hour (62.3 L/h). If a positive displacement gas meter is 
used for measuring the gas consumed by the pilot lights, it shall have a 
resolution of at least 0.01 cubic foot (0.28 L) or less 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 1 percent or less of the measured value.
    2.9.3 Temperature measurement equipment.
    2.9.3.1 Room temperature indicating system. The room temperature 
indicating system shall be as specified in Section 4, Paragraph 12.3 of 
IEC 705 Amendment 2 for microwave ovens and Section 2.9.3.5 for ranges, 
ovens and cooktops.
    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 4 
[deg]F (2.2 [deg]C) over the range of 65[deg] to 
500 [deg]F (18 [deg]C to 260 [deg]C).
    2.9.3.3 Temperature indicator system for measuring test block 
temperature. The system shall have an error no greater than 2 [deg]F (1.1 [deg]C) when 
measuring specific temperatures over the range of 65[deg] to 330 [deg]F 
(18.3 [deg]C to 165.6 [deg]C). It shall also have an error no greater 
than 2 [deg]F (1.1 [deg]C) 
when measuring any temperature difference up to 240 [deg]F (133.3 
[deg]C) within the above range.
    2.9.3.4 Test load temperatures. The thermometer or other temperature 
measuring instrument used to measure the test water load temperature 
shall be as specified in Section 4, Paragraph 12.3 of IEC 705 Amendment 
2. Use only one thermometer or other temperature measuring device 
throughout the entire test procedure.
    2.9.3.5 Temperature indicator system for measuring surface 
temperatures. The temperature of any 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 
1 [deg]F (0.6[deg]C) over 
the range 65[deg] to 90 [deg]F (18 [deg]C to 32 [deg]C).
    2.9.4 Heating Value. The heating value of the natural gas or propane 
shall be measured with an instrument and associated readout device that 
has a maximum error no greater than 0.5% of the 
measured value and a resolution of 0.2% or less of 
the full scale reading of the indicator instrument. The heating value of 
natural gas or propane must be corrected for local temperature and 
pressure conditions.
    2.9.5 Scale. The scale used for weighing the test blocks shall have 
a maximum error no greater than 1 ounce (28.4 g). The scale used for 
weighing the microwave oven test water load shall be as specified in 
Section 4, paragraph 12.3 of IEC 705 Amendment 2.

                    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 Section 2, ``TEST CONDITIONS,'' 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 Section 1.6 and described in Section 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 it for normal baking. 
If an oven permits baking by either forced convection by using a fan, or 
without forced convection, the oven is to be tested in each of those two 
modes. 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 (130 [deg]C) 
above its initial temperature.
    3.1.1.1 Self-cleaning operation of a conventional oven. Establish 
the test conditions set forth in Section 2, ``TEST CONDITIONS,'' 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 Section 1.6 and described in Section 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. Establish the test conditions set forth in Section 2, ``TEST 
CONDITIONS,'' 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. Establish the test conditions set 
forth in Section 2, ``TEST CONDITIONS,'' 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 Section 1.6 and described in Section 2.6. Set the test block 
in the center of the surface unit under test. The

[[Page 204]]

small test block, W2, shall be used on electric surface units 
of 7 inches (178 mm) or less in diameter. The large test block, 
W3, shall be used on electric surface units over 7 inches 
(177.8 mm) 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. 
When the test block reaches 144 [deg]F (80 [deg]C) above its initial 
test block temperature, immediately reduce the energy input rate to 
255 percent of the maximum energy input rate. 
After 150.1 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. Establish the test conditions set forth in Section 2, 
``TEST CONDITIONS,'' 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.
    3.1.3.1 Microwave oven test energy or power output. Establish the 
testing conditions set forth in Section 2, ``TEST CONDITIONS,'' of this 
Appendix. Follow the test procedure as specified in Section 4, Paragraph 
12.4 of IEC 705 Amendment 2.
    3.2 Test measurements.
    3.2.1 Conventional oven test energy consumption. If the oven 
thermostat 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 (130 [deg]C) 
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, or volume of gas consumed, 
VA, 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, or 
volume of gas consumed, VB, at the beginning of the next 
``ON'' period. Measure the block temperature, TC, and the 
energy consumed, EC, or volume of gas consumed, 
VC, at the end of that ``ON'' period. Measure the block 
temperature, TD, and the energy consumed, ED, or 
volume of gas consumed, VD, at the beginning of the following 
``ON'' period. Energy measurements for EO, EA, 
EB, EC and ED, should be expressed in 
watt-hours (kJ) for conventional electric ovens and volume measurements 
for VA, VB, VC and VD should 
be expressed in standard cubic feet (L) of gas for conventional gas 
ovens. For a gas oven, measure in watt-hours (kJ) 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. The energy consumed by a 
continuously operating clock that is an integral part of the timing or 
temperature control circuit and cannot be disconnected during the test 
may be subtracted from the oven test energy to obtain the test energy 
consumption, EO or EIO.
    3.2.1.1 Conventional oven average test energy consumption. If the 
conventional oven permits baking by either forced convection or without 
forced convection and the oven thermostat does not cycle on and off, 
measure the energy consumed with the forced convection mode, 
(EO)1, and without the forced convection mode, 
(EO)2, when the temperature of the block reaches 
TO (TO is 234 [deg]F (130 [deg]C) above the 
initial block temperature, TI). If the conventional oven 
permits baking by either forced convection or without forced convection 
and the oven thermostat operates by cycling on and off, make the 
following series of measurements with and without the forced convection 
mode: Measure the block temperature, TA, and the energy 
consumed, EA, or volume of gas consumed, VA, 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, or volume of gas 
consumed, VB, at the beginning of the next ``ON'' period. 
Measure the block temperature, TC, and the energy consumed, 
EC, or volume of gas consumed, VC, at the end of 
that ``ON'' period. Measure the block temperature, TD, and 
the energy consumed, ED, or volume of gas consumed, 
VD, at the beginning of the following ``ON'' period. Energy 
measurements for EO, EA, EB, 
EC and ED should be expressed in watt-hours (kJ) 
for conventional electric ovens and volume measurements for 
VA, VB, VC and VD should be 
expressed in standard cubic feet (L) of gas for conventional gas ovens. 
For a gas oven that can be operated with or without forced convection, 
measure in watt-hours (kJ) any electrical energy 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 
using the forced convection mode, (EIO)1, and 
without using the forced convection mode, (EIO)2. 
The energy consumed by a continuously operating clock that is an 
integral part of the timing or temperature control circuit and cannot be 
disconnected during the test may be subtracted from the oven test energy 
to obtain the test energy consumption, (EO)1 and 
(EO)2 or (EIO)1 and 
(EIO)2.
    3.2.1.2 Energy consumption of self-cleaning operation. Measure the 
energy consumption, ES, in watt-hours (kJ) of electricity or 
the volume of gas consumption, VS, in standard cubic feet (L) 
during the self-cleaning test set forth in Section 3.1.1.1. For a gas 
oven,

[[Page 205]]

also measure in watt-hours (kJ) any electrical energy, EIS, 
consumed by ignition devices or other electrical components required 
during the self-cleaning test. The energy consumed by a continuously 
operating clock that is an integral part of the timing or temperature 
control circuit and cannot be disconnected during the test may be 
subtracted from the self-cleaning test energy to obtain the energy 
consumption, ES or EIS
    3.2.1.3 Gas consumption of continuously burning pilot lights. 
Measure the gas consumption of the pilot lights, VOP, in 
standard cubic feet (L) of gas and the test duration, tOP, in 
hours for the test set forth in Section 3.1.1.2. If a gas flow rate 
meter is used, measure the flow rate, QOP, in standard cubic 
feet per hour (L/h).
    3.2.1.4 Clock power. If the conventional oven or conventional range 
includes an electric clock which is on continuously, and the power 
rating in watts (J/s) of this feature is not known, measure the clock 
power, PCL, in watts (J/s.) The power rating or measurement 
of continuously operating clocks, that are an integral part of the 
timing or temperature control circuits and cannot be disconnected during 
testing, shall be multiplied by the applicable test period to calculate 
the clock energy consumption, in watt-hours (kJ), during a test. The 
energy consumed by the clock during the test may then be subtracted from 
the test energy to obtain the specified test energy consumption value.
    3.2.2 Conventional surface unit test energy consumption. For the 
surface unit under test, measure the energy consumption, ECT, 
in watt-hours (kJ) of electricity or the volume of gas consumption, 
VCT, in standard cubic feet (L) of gas and the test block 
temperature, TCT, at the end of the 15 minute (reduced input 
setting) test interval for the test specified in Section 3.1.2 and the 
total time, tCT, 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 (kJ). The energy consumed 
by a continuously operating clock that is an integral part of the timing 
or temperature control circuit and cannot be disconnected during the 
test may be subtracted from the cooktop test energy to obtain the test 
energy consumption, ECT or EIC.
    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, VCP, in standard cubic feet (L) of gas, and the 
test duration, tCP, in hours as specified in Section 3.1.2.1. 
If a gas flow rate meter is used, measure the flow rate, QCP, 
in standard cubic feet per hour (L/h).
    3.2.3 Microwave oven test energy consumption and power input. 
Measurements are to be made as specified in Section 4, Paragraphs 12.4 
and 13 of IEC 705 and Amendment 2. Measure the electrical input energy, 
EM, in watt-hours (kJ) consumed by the microwave oven during 
the test. Repeat the tests three times unless the power output value 
resulting from the second measurement is within 1.5% of the value 
obtained from the first measurement as stated in Section 4, Paragraphs 
12.6 of IEC 705 Amendment 2. (See 10 CFR 430.22.)
    3.3 Recorded values.
    3.3.1 Record the test room temperature, TR, at the start 
and end of each range, oven or cooktop test, as determined in Section 
2.5.
    3.3.2 Record measured test block weights W1, 
W2, and W3 in pounds (kg).
    3.3.3 Record the initial temperature, T1, 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 for 
conventional electric ovens or TA, VA, 
TB, VB, TC, VC, 
TD, and VD for conventional gas ovens. 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 For a conventional oven that can be operated with or without 
forced convection and the oven thermostat controls the oven temperature 
without cycling on and off, measure the energy consumed with the forced 
convection mode, (EO)1, and without the forced 
convection mode, (EO)2. If the conventional oven 
operates with or without forced convection and the thermostat controls 
the oven temperature by cycling on and off, record the conventional oven 
test measurements TA, EA, TB, 
EB, TC, EC, TD, and 
ED for conventional electric ovens or TA, 
VA, TB, VB, TC, 
VC, TD, and VD for conventional gas 
ovens. For a gas oven that can be operated with or without forced 
convection, measure any electrical energy consumed by an ignition device 
or other electrical components used during the forced convection mode, 
(EIO)1, and without using the forced convection 
mode, (EIO)2.
    3.3.6 Record the measured energy consumption, ES, or gas 
consumption, VS, and for a gas oven, any electrical energy, 
EIS, for the test of the self-cleaning operation of a 
conventional oven.
    3.3.7 Record the gas flow rate, QOP; or the gas 
consumption, VOP, and the elapsed time, tOP, that 
any continuously burning pilot lights of a conventional oven are under 
test.
    3.3.8 Record the clock power measurement or rating, PCL, 
in watts (J/s), except for microwave oven tests.
    3.3.9 For the surface unit under test, record the electric energy 
consumption, ECT, or the gas volume consumption, 
VCT, the final test block temperature, TCT, the 
total test time, tCT. For a gas cooking top which

[[Page 206]]

uses electrical energy for ignition of the burners, also record 
EIC.
    3.3.10 Record the gas flow rate, QCP; or the gas 
consumption, VCP, and the elapsed time, tCP, that 
any continuously burning pilot lights of a conventional gas cooking top 
are under test.
    3.3.11 Record the heating value, Hn, as determined in 
Section 2.2.2.2 for the natural gas supply.
    3.3.12 Record the heating value, Hp, as determined in 
Section 2.2.2.3 for the propane supply.
    3.3.13 Record the electrical input energy and power input, 
EM and PM, for the microwave oven test; the 
initial and final temperature, T1 and T2, of the 
test water load; the mass of the test container before filling with the 
test water load and the mass of the test water load, MC and 
MW respectively; and the measured room temperature, 
T0; as determined in Section 3.2.3.

        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, expressed in watt-hours (kJ) for 
electric ovens and in Btu's (kJ) for gas ovens, and defined as:
[GRAPHIC] [TIFF OMITTED] TR03OC97.000

for electric ovens, and,
[GRAPHIC] [TIFF OMITTED] TR03OC97.001

For gas ovens

Where:

H = either Hn or Hp, the heating value of the gas 
used in the test as specified in Section 2.2.2.2 and Section 2.2.2.3, 
expressed in Btu's per standard cubic foot (kJ/L).
TO = 234 [deg]F (130 [deg]C) plus the initial test block 
temperature.

and,
[GRAPHIC] [TIFF OMITTED] TR03OC97.002

Where:

TA = block temperature in [deg]F ([deg]C) at the end of the 
last ``ON'' period of the conventional oven before the test block 
reaches TO.
TB = block temperature in [deg]F ([deg]C) at the beginning of 
the ``ON'' period following the measurement of TA.
TC = block temperature in [deg]F ([deg]C) at the end of the 
``ON'' period which starts with TB.
TD = block temperature in [deg]F ([deg]C) at the beginning of 
the ``ON'' period which follows the measurement of TC.
EA = electric energy consumed in Wh (kJ) at the end of the 
last ``ON'' period before the test block reaches TO.
EB = electric energy consumed in Wh (kJ) at the beginning of 
the ``ON'' period following the measurement of TA.
EC = electric energy consumed in Wh (kJ) at the end of the 
``ON'' period which starts with TB.
ED = electric energy consumed in Wh (kJ) at the beginning of 
the ``ON'' period which follows the measurement of TC.
VA = volume of gas consumed in standard cubic feet (L) at the 
end of the last ``ON'' period before the test block reaches 
TO.
VB = volume of gas consumed in standard cubic feet (L) at the 
beginning of the ``ON'' period following the measurement of 
TA.
VC = volume of gas consumed in standard cubic feet (L) at the 
end of the ``ON'' period which starts with TB.
VD = volume of gas consumed in standard cubic feet (L) at the 
beginning of the ``ON'' period which follows the measurement of 
TC.


[[Page 207]]


    The energy consumed by a continuously operating clock that cannot be 
disconnected during the test may be subtracted from the oven test energy 
to obtain the oven test energy consumption, EO.
    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, in watt-hours 
(kJ) for electric ovens and Btu's (kJ) for gas ovens using the following 
equations:
[GRAPHIC] [TIFF OMITTED] TR03OC97.003

Where:

(EO)1=test energy consumption using the forced 
convection mode in watt-hours (kJ) for electric ovens and in Btu's (kJ) 
for gas ovens as measured in Section 3.2.1.1.
(EO)2=test energy consumption without using the 
forced convection mode in watt-hours (kJ) for electric ovens and in 
Btu's (kJ) for gas ovens as measured in Section 3.2.1.1.
(EIO)1=electrical energy consumption in watt-hours 
(kJ) of a gas oven in forced convection mode as measured in Section 
3.2.1.1. (EIO)2=electrical energy consumption in 
watt-hours (kJ) of a gas oven without using the forced convection mode 
as measured in Section 3.2.1.1.

    The energy consumed by a continuously operating clock that cannot be 
disconnected during the test may be subtracted from the oven test energy 
to obtain the average test energy consumption EO and 
EIO.
    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 (kJ) per year for electric ovens and in Btu's (kJ) per 
year for gas ovens, and defined as:
[GRAPHIC] [TIFF OMITTED] TR03OC97.004

Where:

E O=test energy consumption as measured in Section 3.2.1 or 
as calculated in Section 4.1.1 or Section 4.1.1.1.
K e=3.412 Btu/Wh (3.6 kJ/Wh,) conversion factor of watt-hours 
to Btu's.
O O=29.3 kWh (105,480 kJ) per year, annual useful cooking 
energy output of conventional electric oven.
W 1=measured weight of test block in pounds (kg).
C p=0.23 Btu/lb-[deg]F (0.96 kJ/kg / [deg]C), specific heat 
of test block.
T S=234 [deg]F (130 [deg]C), temperature rise of test block.
[GRAPHIC] [TIFF OMITTED] TR03OC97.005

Where:

EO=test energy consumption as measured in Section 3.2.1. or 
as calculated in Section 4.1.1 or Section 4.1.1.1.
OO=88.8 kBtu (93,684 kJ) per year, annual useful cooking 
energy output of conventional gas oven.
W1, Cp and TS 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 (kJ) per year and defined 
as:
[GRAPHIC] [TIFF OMITTED] TR03OC97.006

Where:

EIO=electrical test energy consumption as measured in Section 
3.2.1 or as calculated in Section 4.1.1.1.
OO=29.3 kWh (105,480 kJ) per year, annual useful cooking 
energy output.
Ke, W1, Cp, and TS are as 
defined in Section 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 (kJ) per year 
and defined as:

EPO=QOPxHx(A-B),

or,
[GRAPHIC] [TIFF OMITTED] TR03OC97.007

Where:

QOP=pilot gas flow rate in standard cubic feet per hour (L/
h), as measured in Section 3.2.1.3.
VOP=standard cubic feet (L) of gas consumed by any 
continuously burning pilot lights, as measured in Section 3.2.1.3.
tOP=elapsed test time in hours for any continuously burning 
pilot lights tested, as measured in Section 3.2.1.3.
H=Hn or Hp, the heating value of the gas used in 
the test as specified in Section 2.2.2.2 and Section 2.2.2.3 in Btu's 
per standard cubic foot (kJ/L).
A=8,760, number of hours in a year.
B=300, number of hours per year any continuously burning pilot lights 
contribute to the heating of an oven for cooking food.


[[Page 208]]


    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 (kJ) per year 
for electric ovens and in Btu's (kJ) for gas ovens, and defined as:

ESC=ESxSexK, for electric ovens,

Where:

ES=energy consumption in watt-hours, as measured in Section 
3.2.1.2.
Se=4, average number of times a self-cleaning operation of a 
conventional electric oven is used per year.
K=0.001 kWh/Wh conversion factor for watt-hours to kilowatt-hours.

or

ESC=VSxHxSg, for gas ovens,

Where:

VS=gas consumption in standard cubic feet (L), as measured in 
Section 3.2.1.2.
H=Hn or Hp, the heating value of the gas used in 
the test as specified in Section 2.2.2.2 and Section 2.2.2.3 in Btu's 
per standard cubic foot (kJ/L).
Sg=4, average number of times a self-cleaning operation of a 
conventional gas oven is used per year.

    The energy consumed by a continuously operating clock that cannot be 
disconnected during the self-cleaning test procedure may be subtracted 
from the test energy to obtain the test energy consumption, 
ESC.
    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 (kJ) per year and defined as:

ESS=EIS x Sg x K,

Where:

EIS=electrical energy consumed during the self-cleaning 
operation of a conventional gas oven, as measured in Section 3.2.1.2.
Sg=4, average number of times a self-cleaning operation of a 
conventional gas oven is used per year.
K=0.001 kWh/Wh conversion factor for watt-hours to kilowatt-hours.

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

ECL = PCL x A x K,

Where:

PCL=power rating of clock which is on continuously, in watts, 
as measured in Section 3.2.1.4.
A=8,760, number of hours in a year.
K=0.001 kWh/Wh conversion factor for watt-hours to kilowatt-hours.

    4.1.2.5 Total annual energy consumption of a single conventional 
oven.
    4.1.2.5.1 Conventional electric oven energy consumption. Calculate 
the total annual energy consumption of a conventional electric oven, 
EAO, expressed in kilowatt-hours (kJ) per year and defined 
as:

EAO=ECO+ESC+ECL,

Where:

ECO=annual primary cooking energy consumption as determined 
in Section 4.1.2.1.1.
ESC=annual primary self-cleaning energy consumption as 
determined in Section 4.1.2.3.1.
ECL=annual clock energy consumption as determined in Section 
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 (kJ) per year and defined as:

EAOG=ECO+ESC+EPO,

Where:

ECO=annual primary cooking energy consumption as determined 
in Section 4.1.2.1.1.
EPO=annual pilot light energy consumption as determined in 
Section 4.1.2.2.
ESC=annual primary self-cleaning energy consumption as 
determined in Section 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 (kJ) per year and defined as:

EAOE=ESO+ESS+ECL,

Where:

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

    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 oven energy consumption. Calculate 
the total annual energy consumption, ETO, in kilowatt-hours (kJ) per 
year and defined as:

ETO = EACO + EASC + ECL,

Where:

[[Page 209]]

[GRAPHIC] [TIFF OMITTED] TR03OC97.008

is the average annual primary energy consumption for cooking,

and where:

n = number of conventional ovens in the basic model.
ECO = annual primary energy consumption for cooking as 
determined in Section 4.1.2.1.1.
[GRAPHIC] [TIFF OMITTED] TR03OC97.009

average annual self-cleaning energy consumption,
Where:

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

4.1.2.6.2 Conventional gas oven energy consumption. Calculate the total 
annual gas energy consumption, ETOG, in Btu's (kJ) per year 
and defined as:

ETOG = EACO + EASC + ETPO,

Where:

EACO = average annual primary energy consumption for cooking 
in Btu's (kJ) per year and is calculated as:
[GRAPHIC] [TIFF OMITTED] TR03OC97.010

Where:

n = number of conventional ovens in the basic model.
ECO = annual primary energy consumption for cooking as 
determined in Section 4.1.2.1.1.

and,

EASC = average annual self-cleaning energy consumption in 
Btu's (kJ) per year and is calculated as:
[GRAPHIC] [TIFF OMITTED] TR03OC97.011

Where:

n = number of self-cleaning conventional ovens in the basic model.
ESC = annual primary self-cleaning energy consumption as 
determined according to Section 4.1.2.3.1.
[GRAPHIC] [TIFF OMITTED] TR03OC97.012

total energy consumption of any pilot lights,

Where:

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

    If the oven also uses electrical energy, calculate the total annual 
electrical energy consumption, ETOE, in kilowatt-hours (kJ) 
per year and defined as:

ETOE = EASO + EAAS + ECL,

Where:
[GRAPHIC] [TIFF OMITTED] TR03OC97.013

is the average annual secondary energy consumption for cooking,

Where:

n=number of conventional ovens in the basic model.
ESO=annual secondary energy consumption for cooking of gas 
ovens as determined in Section 4.1.2.1.2.
[GRAPHIC] [TIFF OMITTED] TR03OC97.014

is the 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 of gas 
ovens as determined in Section 4.1.2.3.2.
ECL=annual clock energy consumption as determined in Section 
4.1.2.4.

    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] TR03OC97.015
    
and,
    For gas ovens:
    [GRAPHIC] [TIFF OMITTED] TR03OC97.016
    
Where:

W1=measured weight of test block in pounds (kg).

[[Page 210]]

Cp=0.23 Btu/lb-[deg]F (0.96 kJ/kg/ [deg]C), specific heat of 
test block.
TS=234 [deg]F (130 [deg]C), temperature rise of test block.
EO=test energy consumption as measured in Section 3.2.1 or 
calculated in Section 4.1.1 or Section 4.1.1.1.
Ke=3.412 Btu/Wh (3.6 kJ/Wh), conversion factor for watt-hours 
to Btu's.
EIO=electrical test energy consumption according to Section 
3.2.1 or as calculated in Section 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] TR03OC97.017

Where:

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

    4.1.4 Conventional oven energy factor. Calculate the energy factor, 
or the ratio of useful cooking energy output to the total energy input, 
RO, using the following equations:
[GRAPHIC] [TIFF OMITTED] TR03OC97.018

    For electric ovens,

Where:

OO=29.3 kWh (105,480 kJ) per year, annual useful cooking 
energy output.
EAO=total annual energy consumption for electric ovens as 
determined in Section 4.1.2.5.1.

    For gas ovens:
    [GRAPHIC] [TIFF OMITTED] TR03OC97.019
    
Where:

OO=88.8 kBtu (93,684 kJ) per year, annual useful cooking 
energy output.
EAOG=total annual gas energy consumption for conventional gas 
ovens as determined in Section 4.1.2.5.2.
EAOE=total annual electrical energy consumption for 
conventional gas ovens as determined in Section 4.1.2.5.2.
Ke=3,412 Btu/kWh (3,600 kJ/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, defined as:
[GRAPHIC] [TIFF OMITTED] TR03OC97.020

Where:

W=measured weight of test block, W2 or W3, 
expressed in pounds (kg).
Cp=0.23 Btu/lb-[deg]F (0.96 kJ/kg/ [deg]C), specific heat of 
test block.
TSU=temperature rise of the test block: final test block 
temperature, TCT, as determined in Section 3.2.2, minus the 
initial test block temperature, TI, expressed in [deg]F 
([deg]C) as determined in Section 2.7.5.
Ke=3.412 Btu/Wh (3.6 kJ/Wh), conversion factor of watt-hours 
to Btu's.
ECT=measured energy consumption, as determined according to 
Section 3.2.2, expressed in watt-hours (kJ).

    The energy consumed by a continuously operating clock that cannot be 
disconnected during the cooktop test may be subtracted from the energy 
consumption, ECT, as determined in Section 3.2.2.
    4.2.1.2 Gas surface unit cooking efficiency. Calculate the cooking 
efficiency, EffSU, of the gas surface unit under test, 
defined as:
[GRAPHIC] [TIFF OMITTED] TR03OC97.021

Where:

W3=measured weight of test block as measured in Section 
3.3.2, expressed in pounds (kg).
Cp and TSU are the same as defined in Section 
4.2.1.1.

and,

E=[VCT - VCPxH] + (EICxKe),

Where:

VCT=total gas consumption in standard cubic feet (L) for the 
gas surface unit test as measured in Section 3.2.2.
EIC=electrical energy consumed in watt-hours (kJ) by an 
ignition device of a gas surface unit as measured in Section 3.2.2.
Ke=3.412 Btu/Wh (3.6 kJ/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 Section 2.2.2.2 and Section 2.2.2.3, 
expressed in Btu's per standard cubic foot (kJ/L) of gas.

VCP=QCPxtCT, pilot consumption, in 
standard cubic feet (L), during unit test,

Where:


[[Page 211]]


tCT=the elapsed test time as defined in Section 3.2.2.

and
[GRAPHIC] [TIFF OMITTED] TR03OC97.022

(pilot flow in standard cubic feet per hour)

Where:

VCP=any pilot lights gas consumption defined in Section 
3.2.2.1.
tCP=elapsed time of the cooking top pilot lights test as 
defined in Section 3.2.2.1.

    4.2.1.3 Conventional cooking top cooking efficiency. Calculate the 
conventional cooking top cooking efficiency, EffCT, using the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR03OC97.023

Where:

n=number of surface units in the cooking top.
EffSU=the efficiency of each of the surface units, as 
determined according to Section 4.2.1.1 or Section 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 (kJ) per year, defined as:
[GRAPHIC] [TIFF OMITTED] TR03OC97.024

Where:

OCT=173.1 kWh (623,160 kJ) per year, annual useful cooking 
energy output.
EffCT=conventional cooking top cooking efficiency as defined 
in Section 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 (kJ) per year 
for a gas cooking top, defined as:
[GRAPHIC] [TIFF OMITTED] TR03OC97.025

Where:

OCT=527.6 kBtu (556,618 kJ) per year, annual useful cooking 
energy output.
EffCT=the gas cooking top efficiency as defined in Section 
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 
(kJ) per year, defined as:

EPC=QCPxAxH,

Where:

QCP=pilot light gas flow rate as measured in Section 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 Section 2.2.2.2. and Section 2.2.2.3, 
expressed in Btu's per standard cubic foot (kJ/L) 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 (kJ) per year, 
defined as:

ECA=ECC + EPC,

Where:

ECC=energy consumption for cooking as determined in Section 
4.2.2.2.1.
EPC=annual energy consumption of the pilot lights as 
determined in Section 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 Section 4.2.1.3.
    For gas cooking tops,
    [GRAPHIC] [TIFF OMITTED] TR03OC97.026
    
Where:

OCT=527.6 kBtu (556,618 kJ) per year, annual useful cooking 
energy output of cooking top.
ECA=total annual energy consumption of cooking top determined 
according to Section 4.2.2.2.3.

    4.3 Combined components. The annual energy consumption of a kitchen 
range, e.g. a cooktop and oven combined, shall be the sum of the annual 
energy consumption of each of its components. The annual energy 
consumption for other combinations of ovens, cooktops and microwaves 
will also be treated as the sum of the annual energy consumption of each 
of its components. The energy factor of a combined component is the sum 
of the annual useful cooking energy output of each component divided by 
the sum of the total annual energy consumption of each component.
    4.4 Microwave oven.
    4.4.1 Microwave oven test energy output. Calculate the microwave 
oven test energy output, ET, in watt-hour's (kJ). The 
calculation is repeated two or three times as required in section 3.2.3. 
The average of the

[[Page 212]]

ET's is used for a calculation in section 4.4.3. For 
calculations specified in units of energy [watt-hours (kJ)], use the 
equation below:
[GRAPHIC] [TIFF OMITTED] TR03OC97.027

Where:

MW=the measured mass of the test water load, in pounds (g).
MC=the measured mass of the test container before filling 
with test water load, in pounds (g).
T1=the initial test water load temperature, in [deg]F 
([deg]C).
T2=the final test water load temperature, in [deg]F ([deg]C).
T0=the measured ambient room temperature, in [deg]F ([deg]C).
CC=0.210 Btu/lb-[deg]F (0.88 kJ/kg [middot] [deg]C), specific 
heat of test container.
Cp=1.0 Btu/lb-[deg]F (4.187 kJ/kg [middot] [deg]C), specific 
heat of water.
Ke=3,412 Btu/kWh (3,600 kJ/kWh) conversion factor of 
kilowatt-hours to Btu's.

    4.4.2 Microwave oven test power output. Calculate the microwave oven 
test power output, PT, in watts (J/s) as specified in Section 
four, paragraph 12.5 of IEC 705 Amendment 2 See Section 430.22. The 
calculation is repeated for each test as required in section 3.2.3. The 
average of the two or three PT's is used for calculations in 
section 4.4.4. (See 10 CFR 430.22)
    4.4.3 Microwave oven annual energy consumption. Calculate the 
microwave oven annual energy consumption, Emo, in KWh's per 
year, defined as:
[GRAPHIC] [TIFF OMITTED] TR03OC97.028

Where:

EM=the energy consumption as defined in Section 3.2.3.
OM=79.8 kWh (287,280 kJ) per year, the microwave oven annual 
useful cooking energy output.
ET=the test energy as calculated in Section 4.4.1.

4.4.4 Microwave oven cooking efficiency. Calculate the microwave oven 
cooking efficiency, EffMO, as specified in Section four, 
paragraph 14 of IEC 705.
4.4.5 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, defined as:
[GRAPHIC] [TIFF OMITTED] TR03OC97.029

Where:

OM=79.8 kWh (287,280 kJ) per year, annual useful cooking 
energy output.
EMO=annual total energy consumption as determined in Section 
4.4.3.

[62 FR 51981, Oct. 3, 1997]



   Sec. Appendix J to Subpart B of Part 430--Uniform Test Method for 
Measuring the Energy Consumption of Automatic and Semi-Automatic Clothes 
                                 Washers

    The provisions of this appendix J shall apply to products 
manufactured after April 13, 2001. The procedures and calculations in 
sections 3.3, 4.3, and 4.4 of this Appendix need not be performed to 
determine compliance with the energy conservation standards for clothes 
washers.

                             1. Definitions

    1.1 Adaptive control system means a clothes washer control system, 
other than an adaptive water fill control system, which is capable of 
automatically adjusting washer operation or washing conditions based on 
characteristics of the clothes load placed in the clothes container, 
without allowing or requiring consumer intervention or actions. The 
automatic adjustments may, for example, include automatic selection, 
modification, or control of any of the following: wash water 
temperature, agitation or tumble cycle time, number of rinse cycles, and 
spin speed. The characteristics of the clothes load, which could trigger 
such adjustments, could, for example, consist of or be indicated by the 
presence of either soil, soap, suds, or any other additive laundering 
substitute or complementary product.

    Note: Appendix J does not provide a means for determining the energy 
consumption of a clothes washer with an adaptive control system. 
Therefore, pursuant to 10 CFR 430.27, a waiver must be obtained to 
establish an acceptable test procedure for each such clothes washer.

    1.2 Adaptive water fill control system means a clothes washer water 
fill control system which is capable of automatically adjusting the 
water fill level based on the size or weight of the clothes load placed 
in the clothes container, without allowing or requiring consumer 
intervention and/or actions.
    1.3 Bone-dry means a condition of 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.
    1.4 Clothes container means the compartment within the clothes 
washer that holds the clothes during operation of the machine.

[[Page 213]]

    1.5 Compact means a clothes washer which has a clothes container 
capacity of less than 1.6 ft\3\ (45 L).
    1.6 Deep rinse cycle means 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.
    1.7 Front-loader clothes washer 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.
    1.8 Lockout means that at least one wash/rinse water temperature 
combination is not available in the normal cycle that is available in 
another cycle on the machine.
    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 Modified energy factor means the quotient of the cubic foot (or 
liter) capacity of the clothes container divided by the total clothes 
washer energy consumption per cycle, with such energy consumption 
expressed as the sum of the machine electrical energy consumption, the 
hot water energy consumption, and the energy required for removal of the 
remaining moisture in the wash load.
    1.11 Most energy intensive cycle means the non-normal cycle that 
uses the most energy for a given wash/rinse temperature combination.
    1.12 Non-normal cycle means a cycle other than the normal cycle, but 
does not include any manually selected pre-wash, pre-soak, and extra-
rinse option.
    1.13 Nonwater-heating clothes washer means a clothes washer which 
does not have an internal water heating device to generate hot water.
    1.14 Normal cycle means the cycle recommended by the manufacturer 
for washing cotton and/or linen clothes.
    1.15 Sensor filled means a water fill control which automatically 
terminates the fill when the water reaches an appropriate level in the 
tub.
    1.16 Spray rinse cycle means 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.
    1.17 Standard means a clothes washer which has a clothes container 
capacity of 1.6 ft \3\ (45 L) or greater.
    1.18 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.
    1.19 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.
    1.20 Temperature use factor means the percentage of the total number 
of washes a user would wash with a particular wash/rinse temperature 
setting.
    1.21 Thermostatically controlled water valves means clothes washer 
controls that have the ability to sense and adjust the hot and cold 
supply water.
    1.22 Time filled means a water fill control which uses a combination 
of water flow controls in conjunction with time to terminate the water 
fill cycle.
    1.23 Top-loader-horizontal-axis clothes washer means a clothes 
washer which: rotates or tumbles portions of the clothes load above the 
water level allowing the clothes load to fall freely back into the water 
with the principal axis in a horizontal plane and has access to the 
clothes container through the top of the clothes washer.
    1.24 Top-loader-vertical-axis clothes washer means a clothes washer 
that: flexes and oscillates the submerged clothes load through the water 
by means of mechanical agitation or other movement; has a clothes 
container with the principal axis in a vertical plane; and has access to 
the clothes container through the top of the clothes washer.
    1.25 Water consumption factor means the quotient of the total 
weighted per-cycle water consumption divided by the capacity of the 
clothes washer.
    1.26 Water-heating clothes washer means a clothes washer where some 
or all of the hot water for clothes washing is generated by a water 
heating device internal to 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 at the 
clothes washer terminal block within 2 percent of 120, 120/240 or 120/
208Y volts as applicable to the particular terminal block wiring system 
as specified by the manufacturer. If the clothes washer has a dual 
voltage conversion capability, conduct the test at the highest voltage 
specified by the manufacturer.
    2.3 Supply water. For nonwater-heating clothes washers not equipped 
with thermostatically controlled water valves, the temperature of the 
hot and cold water supply shall be maintained at 100 [deg]F10 [deg]F (37.8 [deg]C5.5 [deg]C). 
For nonwater-heating clothes washers equipped with thermostatically 
controlled water valves, the temperature of the hot water supply shall 
be maintained at 140

[[Page 214]]

[deg]F5 [deg]F (60.0 [deg]C2.8 [deg]C) and the cold water supply shall be 
maintained at 60 [deg]F5 [deg]F (15.6 [deg]C2.8 [deg]C). For water-heating clothes washers, the 
temperature of the hot water supply shall be maintained at 140 
[deg]F5 [deg]F (60.0 [deg]C2.8 [deg]C) and the cold water supply shall not exceed 
60 [deg]F (15.6 [deg]C). Water meters shall be installed in both the hot 
and cold water lines to measure water consumption.
    2.3.1 Supply water requirements for water and energy consumption 
testing. For nonwater-heating clothes washers not equipped with 
thermostatically controlled water valves, the temperature of the hot and 
cold water supply shall be maintained at 100[deg] 10 [deg]F (37.8 [deg]C 5.5 
[deg]C). For nonwater-heating clothes washers equipped with 
thermostatically controlled water valves, the temperature of the hot 
water supply shall be maintained at 140 [deg]F 5 
[deg]F (60.0 [deg]C 2.8 [deg]C) and the cold water 
supply shall be maintained at 60 [deg]F 5F[deg] 
(15.6 [deg]C 2.8 [deg]C). For water-heating 
clothes washers, the temperature of the hot water supply shall be 
maintained at 140 [deg]F 5 [deg]F (60.0 [deg]C 
2.8 [deg]C) and the cold water supply shall not 
exceed 60 [deg]F (15.6 [deg]C). Water meters shall be installed in both 
the hot and cold water lines to measure water consumption.
    2.3.2 Supply water requirements for remaining moisture content 
testing. For nonwater-heating clothes washers not equipped with 
thermostatically controlled water valves, the temperature of the hot 
water supply shall be maintained at 140 [deg]F 5 
[deg]F and the cold water supply shall be maintained at 60 [deg]F 5 [deg]F. All other clothes washers shall be connected 
to water supply temperatures as stated in 2.3.1 of this appendix.
    2.4 Water pressure. The static water pressure at the hot and cold 
water inlet connections of the machine shall be maintained during the 
test at 35 pounds per square inch gauge (psig)2.5 
psig (241.3 kPa17.2 kPa). The static water 
pressure for a single water inlet connection shall be maintained during 
the test at 35 psig2.5 psig (241.3 kPa17.2 kPa). Water pressure gauges 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 
resolution no larger than 0.2 oz (5.7 g) and a maximum error no greater 
than 0.3 percent of the measured value.
    2.5.1.2 Weighing scale for clothes container capacity measurements. 
The scale should have a resolution no larger than 0.50 lbs (0.23 kg) 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 
no larger than 1 Wh (3.6 kJ) and a maximum error no greater than 2 
percent of the measured value for any demand greater than 50 Wh (180.0 
kJ).
    2.5.3 Temperature measuring device. The device shall have an error 
no greater than 1 [deg]F (0.6 [deg]C) over the range being measured.
    2.5.4 Water meter. The water meter shall have a resolution no larger 
than 0.1 gallons (0.4 liters) and a maximum error no greater than 2 
percent for all water flow rates from 1 gal/min (3.8 L/min) to 5 gal/min 
(18.9 L/min).
    2.5.5 Water pressure gauge. The water pressure gauge shall have a 
resolution no larger than 1 psig (6.9 kPa) and shall have an error no 
greater than 5 percent of any measured value over the range of 32.5 psig 
(224.1 kPa) to 37.5 psig (258.6 kPa).
    2.6 Test cloths.
    2.6.1 Energy test cloth. The energy test cloth shall be clean and 
consist of the following:
    2.6.1.1 Pure finished bleached cloth, made with a momie or granite 
weave, which is 50 percent cotton and 50 percent polyester and weighs 
5.75 oz/yd \2\ (195.0 g/m \2\) and has 65 ends on the warp and 57 picks 
on the fill.
    2.6.1.2 Cloth material that is 24 in by 36 in (61.0 cm by 91.4 cm) 
and has been hemmed to 22 in by 34 in (55.9 cm by 86.4 cm) before 
washing. The maximum shrinkage after five washes shall not be more than 
four percent on the length and width.
    2.6.1.3 The number of test runs on the same energy test cloth shall 
not exceed 60 test runs. All energy test cloth must be permanently 
marked identifying the lot number of the material. Mixed lots of 
material shall not be used for testing the clothes washers.
    2.6.2 Energy Stuffer Cloth. 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 (30.5 cm by 30.5 cm) and have been 
hemmed to 10 inches by 10 inches (25.4 cm by 25.4 cm) 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 suffer cloth shall not exceed 60 test runs. All energy stuffer 
cloth must be permanently marked identifying the lot number of the 
material. Mixed lots of material shall not be used for testing the 
clothes washers.
    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 lbs 0.07 lbs (3.18 kg 0.03 kg). 
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 lbs 0.03 lbs (1.36 kg 0.014 kg). 
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 For a standard size clothes washer, a seven pound load, as 
described in section

[[Page 215]]

2.7.1, shall be used to test the maximum water fill and a three pound 
test load, as described in section 2.7.2, shall be used to test the 
minimum water fill.
    2.8.2 For a compact size clothes washer, a three pound test load as 
described in section 2.7.2 shall be used to test the maximum and minimum 
water fill levels.
    2.8.3 A vertical-axis clothes washer without adaptive water fill 
control system also shall be tested without a test load for purposes of 
calculating the energy factor.
    2.8.4 The test load sizes to be used to measure remaining moisture 
content (RMC) are specified in section 3.3.2.
    2.8.5 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 been filled with 
water in the preceding 96 hours, pre-condition it by running it through 
a cold rinse cycle and then draining it to ensure that the hose, pump, 
and sump are filled with water.
    2.10 Wash time (period of agitation or tumble) setting. If the 
maximum available wash time in the normal cycle is greater than 9.75 
minutes, the wash time shall be not less than 9.75 minutes. If the 
maximum available wash time in the normal cycle is less than 9.75 
minutes, the wash time shall be the maximum available wash time.
    2.11 Agitation speed and spin speed settings. Where controls are 
provided for agitation speed and spin speed selections, set them as 
follows:
    2.11.1 For energy and water consumption tests, set at the normal 
cycle settings. If settings at the normal cycle are not offered, set the 
control settings to the maximum speed permitted on the clothes washer.
    2.11.2 For remaining moisture content tests, see section 3.3.

                          3. Test Measurements

    3.1 Clothes container capacity. Measure the entire volume which a 
dry clothes load could occupy within the clothes container during washer 
operation according to sections 3.1.1 through 3.1.5.
    3.1.1 Place the clothes washer in such a position that the uppermost 
edge of the clothes container opening is leveled horizontally, so that 
the container will hold the maximum amount of water.
    3.1.2 Line the inside of the clothes container with 2 mil (0.051 mm) 
plastic sheet. All clothes washer components which occupy space within 
the clothes container and which are recommended for use with the energy 
test cycle shall be in place and shall be lined with 2 mil (0.051 mm) 
plastic sheet to prevent water from entering any void space.
    3.1.3 Record the total weight of the machine before adding water.
    3.1.4 Fill the clothes container manually with either 60 [deg]F 
5 [deg]F (15.6 [deg]C 2.8 
[deg]C) or 100 [deg]F 10 [deg]F (37.8 [deg]C 
5.5 [deg]C) water to its uppermost edge. Measure 
and record the weight of water, W, in pounds.
    3.1.5 The clothes container capacity is calculated as follows:

C=W/d.

where:

C=Capacity in cubic feet (or liters).
W=Mass of water in pounds (or kilograms).
d=Density of water (62.0 lbs/ft\3\ for 100 [deg]F (993 kg/m\3\ for 37.8 
[deg]C) or 62.3 lbs/ft\3\ for 60 [deg]F (998 kg/m\3\ for 15.6 [deg]C)).

    3.2 Test cycle. Establish the test conditions set forth in section 2 
of this Appendix.
    3.2.1 A clothes washer that has infinite temperature selections 
shall be tested at the following temperature settings: hottest setting 
available on the machine, hot (a minimum of 140 [deg]F (60.0 [deg]C) and 
a maximum of 145 [deg]F (62.8 [deg]C)), warm (a minimum of 100 [deg]F 
(37.8 [deg]C) and a maximum of 105 [deg]F (40.6 [deg]C)), and coldest 
setting available on the machine. These temperatures must be confirmed 
by measurement using a temperature measuring device. If the measured 
final water temperature is not within the specified range, stop testing, 
adjust the temperature selector accordingly, and repeat the procedure.
    3.2.2 Clothes washers with adaptive water fill control system and/or 
unique temperature selections.
    3.2.2.1 Clothes washers with adaptive water fill control system. 
When testing a clothes washer that has adaptive water fill control, the 
maximum and the minimum test loads as specified in 2.8.1 and 2.8.2 shall 
be used. The amount of water fill shall be determined by the control 
system. If the clothes washer provides consumer selection of variable 
water fill amounts for the adaptive water fill control system, two 
complete sets of tests shall be conducted. The first set of tests shall 
be conducted with the adaptive water fill control system set in the 
setting that will use the greatest amount of energy. The second set of 
tests shall be conducted with the adaptive water fill control system set 
in the setting that will use the smallest amount of energy. Then, the 
results from these two tests shall be averaged to determine the adaptive 
water fill energy consumption value. If a clothes washer with an 
adaptive water fill control system allows consumer selection of manual 
controls as an alternative, both the manual and adaptive modes shall be 
tested and the energy consumption values, ET, ME, 
and DE (if desired), calculated in section 4 for each mode, 
shall be averaged between the manual and adaptive modes.
    3.2.2.2 Clothes washers with multiple warm wash temperature 
combination selections.

[[Page 216]]

    3.2.2.2.1 If a clothes washer's temperature combination selections 
are such that the temperature of each warm wash setting that is above 
the mean warm wash temperature (the mean temperature of the coldest and 
warmest warm settings) is matched by a warm wash setting that is an 
equal distance below the mean, then the energy test shall be conducted 
at the mean warm wash temperature if such a selection is provided, or if 
there is no position on the control that permits selection of the mean 
temperature, the energy test shall be conducted with the temperature 
selection set at the next hotter temperature setting that is available 
above the mean.
    3.2.2.2.2 If the multiple warm wash temperature combination 
selections do not meet criteria in section 3.2.2.2.1, the energy test 
shall be conducted with the temperature selection set at the warm wash 
temperature setting that gives the next higher water temperature than 
the mean temperature of the coldest and warmest warm settings.
    3.2.2.3 Clothes washers with multiple temperature settings within a 
temperature combination selection. When a clothes washer is provided 
with a secondary control that can modify the wash or rinse temperature 
within a temperature combination selection, the secondary control shall 
be set to provide the hottest wash temperature available and the hottest 
rinse temperature available. For instance, when the temperature 
combination selection is set for the middle warm wash temperature and a 
secondary control exists which allows this temperature to be increased 
or decreased, the secondary control shall be set to provide the hottest 
warm wash temperature available for the middle warm wash setting.
    3.2.3 Clothes washers that do not lockout any wash/rinse temperature 
combinations in the normal cycle. Test in the normal cycle all 
temperature combination selections that are required to be tested.
    3.2.3.1 Hot water consumption, cold water consumption, and 
electrical energy consumption at maximum fill. Set the water level 
selector at maximum fill available on the clothes washer, if manually 
controlled, and insert the appropriate test load, if applicable. 
Activate the normal cycle of the clothes washer and also any suds-saver 
switch.
    3.2.3.1.1 For automatic clothes washers, set the wash/rinse 
temperature selector to the hottest temperature combination setting. For 
semi-automatic clothes washers, open the hot water faucet valve 
completely and close the cold water faucet valve completely to achieve 
the hottest temperature combination setting.
    3.2.3.1.2 Measure the electrical energy consumption of the clothes 
washer for the complete cycle.
    3.2.3.1.3 Measure the respective number of gallons (or liters) of 
hot and cold water used to fill the tub for the wash cycle.
    3.2.3.1.4 Measure the respective number of gallons (or liters) of 
hot and cold water used for all deep rinse cycles.
    3.2.3.1.5 Measure the respective gallons (or liters) of hot and cold 
water used for all spray rinse cycles.
    3.2.3.1.6 For non-water-heating automatic clothes washers repeat 
sections 3.2.3.1.3 through 3.2.3.1.5 for each of the other wash/rinse 
temperature selections available that uses heated water and is required 
to be tested. For water-heating clothes washers, repeat sections 
3.2.3.1.2 through 3.2.3.1.5 for each of the other wash/rinse temperature 
selections available that uses heated water and is required to be 
tested. (When calculating water consumption under section 4.3 for any 
machine covered by the previous two sentences, also test the cold wash/
cold rinse selection.) For semi-automatic clothes washers, repeat 
sections 3.2.3.1.3 through 3.2.3.1.5 for the other wash/rinse 
temperature settings in section 6 with the following water faucet valve 
adjustments:

------------------------------------------------------------------------
                                              Faucet position
                                  --------------------------------------
                                        Hot valve          Cold valve
------------------------------------------------------------------------
Hot..............................  Completely open...  Closed.
Warm.............................  Completely open...  Completely open.
Cold.............................  Closed............  Completely open.
------------------------------------------------------------------------

    3.2.3.1.7 If the clothes washer is equipped with a suds-saver cycle, 
repeat sections 3.2.3.1.2 to 3.2.3.1.5 with suds-saver switch set to 
suds return for the Warm/Cold temperature setting.
    3.2.3.2 Hot water consumption, cold water consumption, and 
electrical energy consumption with the water level selector at minimum 
fill. Set the water level selector at minimum fill, if manually 
controlled, and insert the appropriate test load, if applicable. 
Activate the normal cycle of the clothes washer and also any suds-saver 
switch. Repeat sections 3.2.3.1.1 through 3.2.3.1.7.
    3.2.3.3 Hot and cold water consumption for clothes washers that 
incorporate a partial fill during the rinse cycle. For clothes washers 
that incorporate a partial fill during the rinse cycle, activate any 
suds-saver switch and operate the clothes 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. 
Measure the respective hot and cold water consumed during the complete 
normal cycle.
    3.2.4 Clothes washers that lockout any wash/rinse temperature 
combinations in the normal cycle. In addition to the normal cycle tests 
in

[[Page 217]]

section 3.2.3, perform the following tests on non-normal cycles for each 
wash/rinse temperature combination selection that is locked out in the 
normal cycle.
    3.2.4.1 Set the cycle selector to a non-normal cycle which has the 
wash/rinse temperature combination selection that is locked out. Set the 
water level selector at maximum fill and insert the appropriate test 
load, if applicable. Activate the cycle of the clothes washer and also 
any suds-saver switch. Set the wash/rinse temperature selector to the 
temperature combination setting that is locked out in the normal cycle 
and repeat sections 3.2.3.1.2 through 3.2.3.1.5.
    3.2.4.2 Repeat section 3.2.4.1 under the same temperature 
combination setting for all other untested non-normal cycles on the 
machine that have the wash/rinse temperature combination selection that 
is locked out.
    3.2.4.3 Total the measured hot water consumption of the wash, deep 
rinse, and spray rinse of each non-normal cycle tested in sections 
3.2.4.1 through 3.2.4.2 and compare the total for each cycle. The cycle 
that has the highest hot water consumption shall be the most energy 
intensive cycle for that particular wash/rinse temperature combination 
setting.
    3.2.4.4 Set the water level selector at minimum fill and insert the 
appropriate test load, if applicable. Activate the most energy intensive 
cycle, as determined in section 3.2.4.3, of the clothes washer and also 
any suds-saver switch. Repeat tests as described in section 3.2.4.1.
    3.3 Remaining Moisture Content (RMC).
    3.3.1 The wash temperature shall be the same as the rinse 
temperature for all testing. Cold rinse is the coldest rinse temperature 
available on the machine. Warm rinse is the hottest rinse temperature 
available on the machine.
    3.3.2 Determine the test load as shown in the following table:

------------------------------------------------------------------------
                   Container volume                         Test load
------------------------------------------------------------------------
                                        liter  = <             eq>= <         lb       kg
------------------------------------------------------------------------
0-0.80................................   0-22.7            3.00     1.36
0.80-0.90.............................  22.7-25.5          3.50     1.59
0.90-1.00.............................  25.5-28.3          3.90     1.77
1.00-1.10.............................  28.3-31.1          4.30     1.95
1.10-1.20.............................  31.1-34.0          4.70     2.13
1.20-1.30.............................  34.0-36.8          5.10     2.31
1.30-1.40.............................  36.8-39.6          5.50     2.49
1.40-1.50.............................  39.6-42.5          5.90     2.68
1.50-1.60.............................  42.5-45.3          6.40     2.90
1.60-1.70.............................  45.3-48.1          6.80     3.08
1.70-1.80.............................  48.1-51.0          7.20     3.27
1.80-1.90.............................  51.0-53.8          7.60     3.45
1.90-2.00.............................  53.8-56.6          8.00     3.63
2.00-2.10.............................  56.6-59.5          8.40     3.81
2.10-2.20.............................  59.5-62.3          8.80     3.99
2.20-2.30.............................  62.3-65.1          9.20     4.17
2.30-2.40.............................  65.1-68.0          9.60     4.35
2.40-2.50.............................  68.0-70.8         10.00     4.54
2.50-2.60.............................  70.8-73.6         10.50     4.76
2.60-2.70.............................  73.6-76.5         10.90     4.94
2.70-2.80.............................  76.5-79.3         11.30     5.13
2.80-2.90.............................  79.3-82.1         11.70     5.31
2.90-3.00.............................  82.1-85.0         12.10     5.49
3.00-3.10.............................  85.0-87.8         12.50     5.67
3.10-3.20.............................  87.8-90.6         12.90     5.85
3.20-3.30.............................  90.6-93.4         13.30     6.03
3.30-3.40.............................  93.4-96.3         13.70     6.21
3.40-3.50.............................  96.3-99.1         14.10     6.40
3.50-3.60.............................  99.1-101.9        14.60     6.62
3.60-3.70.............................  101.9-104.8       15.00     6.80
3.70-3.80.............................  104.8-107.6       15.40     6.99
------------------------------------------------------------------------
Notes: (1) All test load weights are bone dry weights.
(2) Allowable tolerance on the test load weights are 0.10 lbs (0.05 kg).

    3.3.3 For clothes washers with cold rinse only.
    3.3.3.1 Record the actual bone dry weight of the test load (WI), 
then place the test load in the clothes washer.
    3.3.3.2 Set water level selector to maximum fill.
    3.3.3.3 Run the normal cycle.
    3.3.3.4 Record the weight of the test load immediately after 
completion of the normal cycle (WC).
    3.3.3.5 Calculate the remaining moisture content of the test load, 
RMC, expressed as a percentage and defined as:

RMC=[(WC-WI)/WI]x100%

    3.3.4 For clothes washers with cold and warm rinse options.
    3.3.4.1 Complete steps 3.3.3.1 through 3.3.3.4 for the cold rinse. 
Calculate the remaining moisture content of the test load for cold 
rinse, RMCCOLD, expressed as a percentage and defined as:

RMCCOLD=[(WC-WI)/WI]x100%

    3.3.4.2 Complete steps 3.3.3.1 through 3.3.3.4 for the warm rinse. 
Calculate the remaining moisture content of the test load for warm 
rinse, RMCWARM, expressed as a percentage and defined as:

RMCWARM=[(WC-WI)/WI]x100%

    3.3.4.3 Calculate the remaining moisture content of the test load, 
RMC, expressed as a percentage and defined as:

RMC=0.73xRMCCOLD+0.27xRMCWARM

    3.3.5 Clothes washers which have options that result in different 
RMC values, such as multiple selection of spin speeds or spin times that 
are available in the normal cycle, shall be tested at the maximum and 
minimum settings of the available options, excluding any ``no spin'' 
(zero spin speed) settings, in accordance with requirements in 3.3.3 or 
3.3.4. The calculated RMCmax extraction and 
RMCmin extraction at the maximum and minimum settings, 
respectively, shall be combined as follows and the final RMC to be used 
in section 4.2 shall be:


[[Page 218]]


RMC=0.75xRMCmax extraction+0.25xRMCmin extraction

    3.4 Data recording. Record for each test cycle in sections 3.2.1 
through 3.3.5.
    3.4.1 For non-water-heating clothes washers, record the kilowatt-
hours of electrical energy, ME, consumed during the test to 
operate the clothes washer in section 3.2.3.1.2. For water-heating 
clothes washers record the kilowatt-hours of electrical energy, 
Ehi consumed at maximum fill in sections 3.2.3.1.2 and 
3.2.3.1.6, and Ehj consumed at minimum fill in section 
3.2.3.2.
    3.4.2 Record the individual gallons (or liters) of hot and cold 
water consumption, Vhi and Vci, measured at 
maximum fill level for each wash/rinse temperature combination setting 
tested in section 3.2.3, or in both 3.2.3 and 3.2.4, excluding any fresh 
make-up water required to complete the fill during a suds-return cycle.
    3.4.3 Record the individual gallons (or liters) of hot and cold 
water consumption, Vhj and Vcj, measured at 
minimum fill level for each wash/rinse temperature combination setting 
tested in section 3.2.3, or in both 3.2.3 and 3.2.4, excluding any fresh 
make-up water required to complete the fill during a suds-return cycle.
    3.4.4 Record the individual gallons (or liters) of hot and cold 
water, ShH and ScH, measured at maximum fill for 
the suds-return cycle.
    3.4.5 Record the individual gallons (or liters) of hot and cold 
water, ShL and ScL, measured at minimum fill for 
the suds-return cycle.
    3.4.6 Data recording requirements for RMC tests are listed in 
sections 3.3.3 through 3.3.5.

        4. Calculation of Derived Results From Test Measurements

    4.1 Energy consumption.
    4.1.1 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, Vhmax, and for the minimum water 
fill level, Vhmin, expressed in gallons per cycle (or liters 
per cycle) and defined as:
[GRAPHIC] [TIFF OMITTED] TR27AU97.000

where:

Vhi=reported hot water consumption in gallons per cycle (or 
liters per cycle) at maximum fill for each wash/rinse temperature 
combination setting, as provided in section 3.4.2. If a clothes washer 
is equipped with two or more different wash/rinse temperature selections 
that have the same basic temperature combination selection label (for 
example, one of them has its water temperature controlled by 
thermostatically controlled valves and the other one does not), then the 
largest Vhi shall be used for this calculation. If a clothes 
washer has lockout(s), there will be ``Vhi's'' for wash/rinse 
temperature combination settings available in the normal cycle and 
``Vhi's'' for wash/rinse temperature combination settings in 
the most energy intensive cycle.
Vhj=reported hot water consumption in gallons per cycle (or 
liters per cycle) at minimum fill for each wash/rinse temperature 
combination setting, as provided in section 3.4.3. If a clothes washer 
is equipped with two or more different wash/rinse temperature selections 
that have the same basic temperature combination selection label (for 
example, one of them has its water temperature controlled by 
thermostatically controlled valves and the other one does not), then the 
largest Vhj shall be used for the calculation. If a clothes 
washer has lockouts, there will be ``Vhj's'' for wash/rinse 
temperature combination settings available in the normal cycle and 
``Vhj's'' for wash/rinse temperature combination settings in 
the most energy intensive cycle.
L=lockout factor to be applied to the reported hot water consumption. 
For wash/rinse temperature combination settings that are not locked out 
in the normal cycle, L=1. For each wash/rinse temperature combination 
setting that is locked out in the normal cycle, L=0.32 in the normal 
cycle and L=0.68, in the most energy intensive cycle.
TUFi=applicable temperature use factor in section 5 or 6.
TUFj=applicable temperature use factor in section 5 or 6.
n=number of wash/rinse temperature combination settings available to the 
user for

[[Page 219]]

the clothes washer under test. For clothes washers that lockout 
temperature selections in the normal cycle, n=the number of wash/rinse 
temperature combination settings on the washers plus the number of wash/
rinse temperature combination settings that lockout the temperature 
selections in the normal cycle.
TUFw=temperature use factor for warm wash setting.

    For clothes washers equipped with the suds-saver feature:

X1=frequency of use without the suds-saver feature=0.86.
X2=frequency of use with the suds-saver feature=0.14.
ShH=fresh make-up water measured during suds-return cycle at 
maximum water fill level.
ShL=fresh hot make-up water measured during suds-return cycle 
at minimum water fill level.

    For clothes washers not equipped with the suds-saver feature:

X1=1.0
X2=0.0

    4.1.2 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 fill level, Emin, expressed in 
kilowatt-hours per cycle and defined as:

Emax=[VhmaxxTxKxMF]

Emin=[VhminxTxKxMF]

where:

T=temperature rise=90 [deg]F (50 [deg]C).
K=water specific heat=0.00240 kWh/(gal- [deg]F) [0.00114kWh/(L- 
[deg]C)].
Vhmax=as defined in section 4.1.1.
Vhmin=as defined in section 4.1.1.
MF=multiplying factor to account for absence of test load=0.94 for top-
loader vertical axis clothes washers that are sensor filled, 1.0 for all 
other clothes washers.

    4.1.3 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=[EmaxxFmax]+[EminxFmin
]

where:

Fmax=usage fill factor=0.72.
Fmin=usage fill factor=0.28.
Emax=as defined in section 4.1.2.
Emin=as defined in section 4.1.2.

    4.1.4 Per-cycle water energy consumption using gas-heated or oil-
heated water. Calculate for the normal cycle the per-cycle energy 
consumption, ETG, using gas-heated or oil-heated water, 
expressed in Btu per cycle (or megajoules per cycle) and defined as:
[GRAPHIC] [TIFF OMITTED] TR27AU97.001

where:

e=nominal gas or oil water heater efficiency=0.75.
ET=as defined in section 4.1.3.

    4.1.5 Per-cycle machine electrical energy consumption.
    4.1.5.1 Non-water-heating clothes washers. The electrical energy 
value recorded for the maximum fill in section 3.4.1 is the per-cycle 
machine electrical energy consumption, ME, expressed in 
kilowatt-hours per cycle.
    4.1.5.2 Water-heating clothes washers.
    4.1.5.2.1 Calculate for the cycle under test the per-cycle 
temperature weighted electrical energy consumption for the maximum water 
fill level, Ehmax, and for the minimum water fill level, 
Ehmin, expressed in kilowatt-hours per cycle and defined as:
[GRAPHIC] [TIFF OMITTED] TR27AU97.002

where:

Ehi=reported electrical energy consumption in kilowatt-hours 
per cycle at maximum fill for each wash/cycle temperature combination 
setting, as provided in section 3.4.1.
TUFi=applicable temperature use factor in section 5 or 6.
n=number of wash/rinse temperature combination settings available to the 
user for the clothes washer under test.

and
[GRAPHIC] [TIFF OMITTED] TR27AU97.003


[[Page 220]]


where:

Ehj=reported electrical energy consumption in kilowatt-hours 
per cycle at minimum fill for each wash/rinse temperature combination 
setting, as provided in section 3.4.1.
TUFj=applicable temperature use factor in section 5 or 6.
n=as defined above in this section.

    4.1.5.2.2 Weighted per-cycle machine electrical energy consumption. 
Calculate the weighted per cycle machine energy consumption, 
ME, expressed in kilowatt-hours per cycle and defined as:

ME=[EhmaxxFmax]+[EhminxFmin
]

where:

Fmax=as defined in section 4.1.3.
Fmin=as defined in section 4.1.3.
Ehmax=as defined in section 4.1.5.2.1.
Ehmin=as defined in section 4.1.5.2.1

    4.1.6 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

where:

ET=as defined in section 4.1.3.
ME=as defined in section 4.1.5.1 or 4.1.5.2.2.

    4.2 Per-cycle energy consumption for removal of RMC. Calculate the 
amount of energy per cycle required to remove RMC. Such amount is 
DE, expressed in kilowatt-hours per cycle and defined as:

DE=(LAF)x(test load weight)x(RMC-4%)x(DEF)x(DUF)

where:

LAF=load adjustment factor=0.52.
Test load weight=as shown in test load table in 3.3.2 expressed in lbs/
cycle.
RMC=as defined in 3.3.3.5, 3.3.4.3, or 3.3.5.
DEF=nominal energy required for a clothes dryer to remove moisture from 
clothes=0.5 kWh/lb (1.1 kWh/kg).
DUF=dryer usage factor, percentage of washer loads dried in a clothes 
dryer=0.84.

    4.3 Water consumption.
    4.3.1 Per-cycle temperature-weighted water consumption for maximum 
and minimum water fill levels. To determine these amounts, calculate for 
the cycle under test the per-cycle temperature-weighted total water 
consumption for the maximum water fill level, Qmax, and for 
the minimum water fill level, Qmin, expressed in gallons per 
cycle (or liters per cycle) and defined as:
[GRAPHIC] [TIFF OMITTED] TR27AU97.004

where:

Vhi=hot water consumption in gallons per-cycle at maximum 
fill for each wash/rinse temperature combination setting, as provided in 
section 3.4.2.
Vci=total cold water consumption in gallons per-cycle at 
maximum fill for each wash/rinse temperature combination setting, cold 
wash/cold rinse cycle, as provided in section 3.4.2.
TUFi=applicable temperature use factor in section 5 or 6.
n=number of wash/rinse temperature combination settings 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=0.86
X2=frequency of use with suds-saver feature=0.14
ShH=fresh hot water make-up measured during suds-return cycle 
at maximum water fill level.
ScH=fresh cold water make-up measured during suds-return 
cycle at maximum water fill level.

    For clothes washers not equipped with suds-saver feature:

X1=1.0
X2=0.0

and
[GRAPHIC] [TIFF OMITTED] TR27AU97.005


[[Page 221]]


where:

Vhj=hot water consumption in gallons per cycle (or liters per 
cycle) at minimum fill for each wash/rinse temperature combination 
setting, as provided in section 3.4.3.
Vcj=cold water consumption in gallons per cycle (or liters 
per cycle) at minimum fill for each wash/rinse temperature combination 
setting, cold wash/cold rinse cycle, as provided in section 3.4.3.
TUFj=applicable temperature use factor in section 5 or 6.
ShL=fresh hot make-up water measured during suds-return cycle 
at minimum water fill level.
ScL=fresh cold make-up water measured during suds-return 
cycle at minimum water fill level.
n=as defined above in this section.
TUFw=as defined above in this section.
X1=as defined above in this section.
X2=as defined above in this section.

    4.3.2 Total weighted per-cycle water consumption. To determine this 
amount, calculate the total weighted per cycle water consumption, 
QT, expressed in gallons per cycle (or liters per cycle) and 
defined as:

QT=[QmaxxFmax]+[QminxFmin
]

where:

Fmax=as defined in section 4.1.3.
Fmin=as defined in section 4.1.3.
Qmax=as defined in section 4.3.1.
Qmin=as defined in section 4.3.1.

    4.3.3 Water consumption factor. The following calculates the water 
consumption factor, WCF, expressed in gallon per cycle per cubic foot 
(or liter per cycle per liter):

WCF=QT/C

where:

C=as defined in section 3.1.5.
QT=as defined in section 4.3.2.

    4.4 Modified energy factor. The following calculates the modified 
energy factor, MEF, expressed in cubic feet per kilowatt-hours per cycle 
(or liters per kilowatt-hours per cycle):
[GRAPHIC] [TIFF OMITTED] TR27AU97.006

where:

C=as defined in section 3.1.5.
ME=as defined in section 4.1.5.1 or 4.1.5.2.2.
ET=as defined in section 4.1.3.
DE=as defined in section 4.2.

    4.5 Energy factor. Calculate the energy factor, EF, expressed in 
cubic feet per kilowatt-hours per cycle (or liters per kilowatt-hours 
per cycle), as:
[GRAPHIC] [TIFF OMITTED] TR27AU97.007

where:

C=as defined in section 3.1.5.
ME=as defined in section 4.1.5.1 or 4.1.5.2.2.
ET=as defined in section 4.1.3.

 5. Applicable Temperature Use Factors for Determining Hot Water Usage 
for Various Wash/Rinse Temperature Selections for All Automatic Clothes 
                                 Washers

    5.1 Clothes washers with discrete temperature selections.
    5.1.1 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
------------------------------------------------------------------------

    5.1.2 Four-temperature selection (n=4).

------------------------------------------------------------------------
                                                            Temperature
             Wash/rinse temperature  setting                Use Factor
                                                               (TUF)
------------------------------------------------------------------------
Alternate I:
  Hot/Warm..............................................            0.18
  Hot/Cold..............................................             .12
  Warm/Cold.............................................             .55
  Cold/Cold.............................................             .15
Alternate 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
------------------------------------------------------------------------

    5.1.3 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
------------------------------------------------------------------------

    5.1.4 Two-temperature selection (n=2).

[[Page 222]]



------------------------------------------------------------------------
                                                            Temperature
             Wash/rinse temperature  setting                Use Factor
                                                               (TUF)
------------------------------------------------------------------------
Any heated water/Cold...................................            0.85
Cold/Cold...............................................             .15
------------------------------------------------------------------------

    5.1.5 One-temperature selection (n=1).

------------------------------------------------------------------------
                                                            Temperature
             Wash/rinse temperature  setting                Use Factor
                                                               (TUF)
------------------------------------------------------------------------
Any.....................................................            1.00
------------------------------------------------------------------------

    5.2 Clothes washers with infinite temperature selections.

------------------------------------------------------------------------
                                                  Temperature Use Factor
                                                           (TUF)
                                                 -----------------------
                                                    <= 140
        Wash/rinse tempera-  ture setting           [deg]F   
                                                     (60      140 [deg]F
                                                   [deg]C)   (60 [deg]C)
                                                    (n=3)        (n=4)
------------------------------------------------------------------------
Extra-hot.......................................  .........        0.05
Hot.............................................       0.30        0.25
Warm............................................       0.55        0.55
Cold............................................       0.15        0.15
------------------------------------------------------------------------

 6. Applicable Temperature Use Factors for Determining Hot Water Usage 
for Various Wash/Rinse Temperature Settings for All Semi-Automatic, Non-
                     Water-Heating, 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
------------------------------------------------------------------------

                      7. Waivers and Field Testing

    7.1 Waivers and Field Testing for Non-conventional Clothes Washers. 
Manufacturers of non-conventional clothes washers, such as clothes 
washers with adaptive control systems, must submit a petition for waiver 
pursuant to 10 CFR 430.27 to establish an acceptable test procedure for 
that clothes washer. For these and other clothes washers that have 
controls or systems such that the DOE test procedures yield results that 
are so unrepresentative of the clothes washer's true energy consumption 
characteristics as to provide materially inaccurate comparative data, 
field testing may be appropriate for establishing an acceptable test 
procedure. The following are guidelines for field testing which may be 
used by manufacturers in support of petitions for waiver. These 
guidelines are not mandatory and the Department may determine that they 
do not apply to a particular model. Depending upon a manufacturer's 
approach for conducting field testing, additional data may be required. 
Manufacturers are encouraged to communicate with the Department prior to 
the commencement of field tests which may be used to support a petition 
for waiver. Section 7.3 provides an example of field testing for a 
clothes washer with an adaptive water fill control system. Other 
features, such as the use of various spin speed selections, could be the 
subject of field tests.
    7.2 Non-conventional Wash System Energy Consumption Test. The field 
test may consist of a minimum of 10 of the nonconventional clothes 
washers (``test clothes washers'') and 10 clothes washers already being 
distributed in commerce (``base clothes washers''). The tests should 
include a minimum of 50 normal test cycles per clothes washer. The test 
clothes washers and base clothes washers should be identical in 
construction except for the controls or systems being tested. Equal 
numbers of both the test clothes washer and the base clothes washer 
should be tested simultaneously in comparable settings to minimize 
seasonal and/or consumer laundering conditions and/or variations. The 
clothes washers should be monitored in such a way as to accurately 
record the total energy consumption per cycle. At a minimum, the 
following should be measured and recorded throughout the test period for 
each clothes washer: Hot water usage in gallons (or liters), electrical 
energy usage in kilowatt-hours, and the cycles of usage. The field test 
results would be used to determine the best method to correlate the 
rating of the test clothes washer to the rating of the base clothes 
washer. If the base clothes washer is rated at A kWh per year, but field 
tests at B kWh per year, and the test clothes washer field tests at D 
kWh per year, the test unit would be rated as follows:

Ax(D/B)=G kWh per year

    7.3 Adaptive water fill control system field test. Section 3.2.2.1 
defines the test method for measuring energy consumption for clothes 
washers which incorporate control systems having both adaptive and 
alternate manual selections. Energy consumption calculated by the method 
defined in section 3.2.2.1 assumes the adaptive cycle will be used 50 
percent of the time. This section can be used to develop field test data 
in support of a petition for waiver when it is believed that the 
adaptive cycle will be used more than 50 percent of the time. The field 
test sample size should be a minimum of 10 test clothes washers. The 
test clothes washers should be totally representative of the design, 
construction, and control system that will be placed in commerce. The 
duration of field testing in the user's house should be a minimum of 50 
normal test cycles, for each unit. No special instructions as to cycle 
selection or product usage should be given to the field test 
participants, other than inclusion of the product literature pack which

[[Page 223]]

should be shipped with all units, and instructions regarding filling out 
data collection forms, use of data collection equipment, or basic 
procedural methods. Prior to the test clothes washers being installed in 
the field test locations, baseline data should be developed for all 
field test units by conducting laboratory tests as defined by section 1 
through section 6 of these test procedures to determine the energy 
consumption values. The following data should be measured and recorded 
for each wash load during the test period: wash cycle selected, the mode 
of the clothes washer (adaptive or manual), clothes load dry weight 
(measured after the clothes washer and clothes dryer cycles are 
completed) in pounds, and type of articles in the clothes load (i.e., 
cottons, linens, permanent press, etc.). The wash loads used in 
calculating the in-home percentage split between adaptive and manual 
cycle usage should be only those wash loads which conform to the 
definition of the normal test cycle.
    Calculate:

T=The total number of normal test cycles run during the field test
Ta=The total number of adaptive control normal test cycles
Tm=The total number of manual control normal test cycles

    The percentage weighting factors:

Pa=(Ta/T) x 100 (the percentage weighting for 
adaptive control selection)
Pm=(Tm/T) x 100 (the percentage weighting for 
manual control selection)

    Energy consumption values, ET, ME, and 
DE (if desired) calculated in section 4 for the manual and 
adaptive modes, should be combined using Pa and Pm 
as the weighting factors.

                                8. Sunset

    The provisions of this appendix J expire on December 31, 2003.

[62 FR 45501, Aug. 27, 1997, as amended at 66 FR 3330, Jan. 12, 2001; 66 
FR 8745, Feb. 2, 2001]



   Sec. Appendix J1 to Subpart B of Part 430--Uniform Test Method for 
Measuring the Energy Consumption of Automatic and Semi-Automatic Clothes 
                                 Washers

    The provisions of this appendix J1 shall apply to products 
manufactured beginning January 1, 2004.

                       1. Definitions and Symbols

    1.1 Adaptive control system means a clothes washer control system, 
other than an adaptive water fill control system, which is capable of 
automatically adjusting washer operation or washing conditions based on 
characteristics of the clothes load placed in the clothes container, 
without allowing or requiring consumer intervention or actions. The 
automatic adjustments may, for example, include automatic selection, 
modification, or control of any of the following: wash water 
temperature, agitation or tumble cycle time, number of rinse cycles, and 
spin speed. The characteristics of the clothes load, which could trigger 
such adjustments, could, for example, consist of or be indicated by the 
presence of either soil, soap, suds, or any other additive laundering 
substitute or complementary product.
    Note: Appendix J1 does not provide a means for determining the 
energy consumption of a clothes washer with an adaptive control system. 
Therefore, pursuant to 10 CFR 430.27, a waiver must be obtained to 
establish an acceptable test procedure for each such clothes washer.
    1.2 Adaptive water fill control system means a clothes washer water 
fill control system which is capable of automatically adjusting the 
water fill level based on the size or weight of the clothes load placed 
in the clothes container, without allowing or requiring consumer 
intervention or actions.
    1.3 Bone-dry means a condition of 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.
    1.4 Clothes container means the compartment within the clothes 
washer that holds the clothes during the operation of the machine.
    1.5 Compact means a clothes washer which has a clothes container 
capacity of less than 1.6 ft\3\ (45 L).
    1.6 Deep rinse cycle means 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.
    1.7 Energy test cycle for a basic model means (A) the cycle 
recommended by the manufacturer for washing cotton or linen clothes, and 
includes all wash/rinse temperature selections and water levels offered 
in that cycle, and (B) for each other wash/rinse temperature selection 
or water level available on that basic model, the portion(s) of other 
cycle(s) with that temperature selection or water level that, when 
tested pursuant to these test procedures, will contribute to an accurate 
representation of the energy consumption of the basic model as used by 
consumers. Any cycle under (A) or (B) shall include the agitation/tumble 
operation, spin speed(s), wash times, and rinse times applicable to that 
cycle, including water heating time for water heating clothes washers.
    1.8 Load use factor means the percentage of the total number of wash 
loads that a user would wash a particular size (weight) load.

[[Page 224]]

    1.9 Manual control system means a clothes washer control system 
which requires that the consumer make the choices that determine washer 
operation or washing conditions, such as, for example, wash/rinse 
temperature selections, and wash time before starting the cycle.
    1.10 Manual water fill control system means a clothes washer water 
fill control system which requires the consumer to determine or select 
the water fill level.
    1.11 Modified energy factor means the quotient of the cubic foot (or 
liter) capacity of the clothes container divided by the total clothes 
washer energy consumption per cycle, with such energy consumption 
expressed as the sum of the machine electrical energy consumption, the 
hot water energy consumption, and the energy required for removal of the 
remaining moisture in the wash load.
    1.12 Non-water-heating clothes washer means a clothes washer which 
does not have an internal water heating device to generate hot water.
    1.13 Spray rinse cycle means a rinse cycle in which water is sprayed 
onto the clothes for a period of time without maintaining any specific 
water level in the clothes container.
    1.14 Standard means a clothes washer which has a clothes container 
capacity of 1.6 ft\3\ (45 L) or greater.
    1.15 Temperature use factor means, for a particular wash/rinse 
temperature setting, the percentage of the total number of wash loads 
that an average user would wash with that setting.
    1.16 Thermostatically controlled water valves means clothes washer 
controls that have the ability to sense and adjust the hot and cold 
supply water.
    1.17 Uniformly distributed warm wash temperature selection(s) means 
(A) multiple warm wash selections for which the warm wash water 
temperatures have a linear relationship with all discrete warm wash 
selections when the water temperatures are plotted against equally 
spaced consecutive warm wash selections between the hottest warm wash 
and the coldest warm wash. If the warm wash has infinite selections, the 
warm wash water temperature has a linear relationship with the distance 
on the selection device (e.g. dial angle or slide movement) between the 
hottest warm wash and the coldest warm wash. The criteria for a linear 
relationship as specified above is that the difference between the 
actual water temperature at any warm wash selection and the point where 
that temperature is depicted on the temperature/selection line formed by 
connecting the warmest and the coldest warm selections is less than 
5 percent. In all cases, the mean water 
temperature of the warmest and the coldest warm selections must coincide 
with the mean of the ``hot wash'' (maximum wash temperature <=135 [deg]F 
(57.2 [deg]C)) and ``cold wash'' (minimum wash temperature) water 
temperatures within 3.8 [deg]F (2.1 [deg]C); or (B) on a clothes washer with only one 
warm wash temperature selection, a warm wash temperature selection with 
a water temperature that coincides with the mean of the ``hot wash'' 
(maximum wash temperature <=135 [deg]F (57.2 [deg]C)) and ``cold wash'' 
(minimum wash temperature) water temperatures within 3.8 [deg]F (2.1 [deg]C).
    1.18 Warm wash means all wash temperature selections that are below 
the hottest hot, less than 135 [deg]F (57.2 [deg]C), and above the 
coldest cold temperature selection.
    1.19 Water consumption factor means the quotient of the total 
weighted per-cycle water consumption divided by the cubic foot (or 
liter) capacity of the clothes washer.
    1.20 Water-heating clothes washer means a clothes washer where some 
or all of the hot water for clothes washing is generated by a water 
heating device internal to the clothes washer.
    1.21 Symbol usage. The following identity relationships are provided 
to help clarify the symbology used throughout this procedure.

E--Electrical Energy Consumption
H--Hot Water Consumption
C--Cold Water Consumption
R--Hot Water Consumed by Warm Rinse
ER--Electrical Energy Consumed by Warm Rinse
TUF--Temperature Use Factor
HE--Hot Water Energy Consumption
F--Load Usage Factor
Q--Total Water Consumption
ME--Machine Electrical Energy Consumption
RMC--Remaining Moisture Content
WI--Initial Weight of Dry Test Load
WC--Weight of Test Load After Extraction
m--Extra Hot Wash (maximum wash temp. 135 [deg]F (57.2 
[deg]C.))
h--Hot Wash (maximum wash temp. <=135 [deg]F (57.2 [deg]C.))
w--Warm Wash
c--Cold Wash (minimum wash temp.)
r--Warm Rinse (hottest rinse temp.)
x or max--Maximum Test Load
a or avg--Average Test Load
n or min--Minimum Test Load

    The following examples are provided to show how the above symbols 
can be used to define variables:

Emx=``Electrical Energy Consumption'' for an ``Extra Hot 
Wash'' and ``Maximum Test Load''
Ra=``Hot Water Consumed by Warm Rinse'' for the ``Average 
Test Load''
TUFm=``Temperature Use Factor'' for an ``Extra Hot Wash''
HEmin=``Hot Water Energy Consumption'' for the ``Minimum Test 
Load''
    1.22 Cold rinse means the coldest rinse temperature available on the 
machine (and

[[Page 225]]

should be the same rinse temperature selection tested in 3.7 of this 
appendix).
    1.23 Warm rinse means the hottest rinse temperature available on the 
machine (and should be the same rinse temperature selection tested in 
3.7 of this appendix).

                          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 at the 
clothes washer terminal block within 2 percent of 120, 120/240, or 120/
208Y volts as applicable to the particular terminal block wiring system 
and within 2 percent of the nameplate frequency as specified by the 
manufacturer. If the clothes washer has a dual voltage conversion 
capability, conduct test at the highest voltage specified by the 
manufacturer.
    2.3 Supply Water.
    2.3.1 Clothes washers in which electrical energy consumption or 
water energy consumption are affected by the inlet water temperature. 
(For example, water heating clothes washers or clothes washers with 
thermostatically controlled water valves.). The temperature of the hot 
water supply at the water inlets shall not exceed 135 [deg]F (57.2 
[deg]C) and the cold water supply at the water inlets shall not exceed 
60 [deg]F (15.6 [deg]C). A water meter shall be installed in both the 
hot and cold water lines to measure water consumption.
    2.3.2 Clothes washers in which electrical energy consumption and 
water energy consumption are not affected by the inlet water 
temperature. The temperature of the hot water supply shall be maintained 
at 135 [deg]F5 [deg]F (57.2 [deg]C2.8 [deg]C) and the cold water supply shall be 
maintained at 60 [deg]F5 [deg]F (15.6 [deg]C2.8 [deg]C). A water meter shall be installed in both 
the hot and cold water lines to measure water consumption.
    2.4 Water pressure. The static water pressure at the hot and cold 
water inlet connection of the clothes washer shall be maintained at 35 
pounds per square inch gauge (psig) 2.5 psig 
(241.3 kPa17.2 kPa) during the test. The static 
water pressure for a single water inlet connection shall be maintained 
at 35 psig2.5 psig (241.3 kPa17.2 kPa) during the test. A 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 
resolution of no larger than 0.2 oz (5.7 g) and a maximum error no 
greater than 0.3 percent of the measured value.
    2.5.1.2 Weighing scale for clothes container capacity measurements. 
The scale should have a resolution no larger than 0.50 lbs (0.23 kg) 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 
no larger than 1 Wh (3.6 kJ) and a maximum error no greater than 2 
percent of the measured value for any demand greater than 50 Wh (180.0 
kJ).
    2.5.3 Temperature measuring device. The device shall have an error 
no greater than 1 [deg]F (0.6 [deg]C) over the range being measured.
    2.5.4 Water meter. The water meter shall have a resolution no larger 
than 0.1 gallons (0.4 liters) and a maximum error no greater than 2 
percent for the water flow rates being measured.
    2.5.5 Water pressure gauge. The water pressure gauge shall have a 
resolution of 1 pound per square inch gauge (psig) (6.9 kPa) and shall 
have an error no greater than 5 percent of any measured value.
    2.6 Test cloths.
    2.6.1 Energy Test Cloth. The energy test cloth shall be made from 
energy test cloth material, as specified in 2.6.4, that is 24 inches by 
36 inches (61.0 cm by 91.4 cm) and has been hemmed to 22 inches by 34 
inches (55.9 cm by 86.4 cm) before washing. The energy test cloth shall 
be clean and shall not be used for more than 60 test runs (after 
preconditioning as specified in 2.6.3 of this appendix). All energy test 
cloth must be permanently marked identifying the lot number of the 
material. Mixed lots of material shall not be used for testing the 
clothes washers.
    2.6.1.1 The energy test cloth shall not be used for more than 25 
test runs and 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 (195.0 g/m\2\) and has 65 ends on the warp 
and 57 picks on the fill; and
    (B) Cloth material that is 24 inches by 36 inches (61.0 cm by 91.4 
cm) and has been hemmed to 22 inches by 34 inches (55.9 cm by 86.4 cm) 
before washing. The maximum shrinkage after five washes shall not be 
more than four percent on the length and width.
    2.6.1.2 The new test cloths, including energy test cloths and energy 
stuffer cloths, shall be pre-conditioned in a clothes washer in the 
following manner:
    2.6.1.2.1 Wash the test cloth using a commercially available clothes 
washing detergent that is suitable for 135 [deg]F (57.2 [deg]C) wash 
water as recommended by the manufacturer, with the washer set on maximum 
water level. Place detergent in washer and then place the new load to be 
conditioned in the washer. Wash the load for ten minutes in soft water 
(17ppm or less). Wash water is to be hot, and controlled at 135 
[deg]F5 [deg]F (57.2 [deg]C 2.8 [deg]C). Rinse water temperature is to be cold, and 
controlled at 60 [deg]F 5 [deg]F (15.6 [deg]C 
2.8 [deg]C). Rinse the load through a second rinse

[[Page 226]]

using the same water temperature (if an optional second rinse is 
available on the clothes washer, use it).
    2.6.1.2.2 Dry the load.
    2.6.1.2.3 A final cycle is to be hot water wash with no detergent 
followed by two cold water rinses.
    2.6.1.2.4 Dry the load.
    2.6.2 Energy Stuffer Cloth. The energy stuffer cloth shall be made 
from energy test cloth material, as specified in 2.6.4, and shall 
consist of pieces of material that are 12 inches by 12 inches (30.5 cm 
by 30.5 cm) and have been hemmed to 10 inches by 10 inches (25.4 cm by 
25.4 cm) before washing. The energy stuffer cloth shall be clean and 
shall not be used for more than 60 test runs (after preconditioning as 
specified in 2.6.3 of this appendix). All energy stuffer cloth must be 
permanently marked identifying the lot number of the material. Mixed 
lots of material shall not be used for testing the clothes washers.
    2.6.3 Preconditioning of Test Cloths. The new test cloths, including 
energy test cloths and energy stuffer cloths, shall be pre-conditioned 
in a clothes washer in the following manner:
    2.6.3.1 Perform 5 complete normal wash-rinse-spin cycles, the first 
two with AHAM Standard detergent 2A and the last three without 
detergent. Place the test cloth in a clothes washer set at the maximum 
water level. Wash the load for ten minutes in soft water (17 ppm 
hardness or less) using 6.0 grams per gallon of water of AHAM Standard 
detergent 2A. The wash temperature is to be controlled to 135 [deg]F 
5 [deg]F (57.2 [deg]C 2.8 
[deg]C) and the rinse temperature is to be controlled to 60 [deg]F 
5 [deg]F (15.6 [deg]C 2.8 
[deg]C). Repeat the cycle with detergent and then repeat the cycle three 
additional times without detergent, bone drying the load between cycles 
(total of five wash and rinse cycles).
    2.6.4 Energy test cloth material. The energy test cloths and energy 
stuffer cloths shall be made from fabric meeting the following 
specifications. The material should come from a roll of material with a 
width of approximately 63 inches and approximately 500 yards per roll, 
however, other sizes maybe used if they fall within the specifications.
    2.6.4.1 Nominal fabric type. Pure finished bleached cloth, made with 
a momie or granite weave, which is nominally 50 percent cotton and 50 
percent polyester.
    2.6.4.2 The fabric weight shall be 5.60 ounces per square yard 
(190.0 g/m\2\), 5 percent.
    2.6.4.3 The thread count shall be 61 x 54 per inch (warp x fill), 
2 percent.
    2.6.4.4 The warp yarn and filling yarn shall each have fiber content 
of 50 percent 4 percent cotton, with the balance 
being polyester, and be open end spun, 15/1 5 
percent cotton count blended yarn.
    2.6.4.5 Water repellent finishes, such as fluoropolymer stain 
resistant finishes shall not be applied to the test cloth. The absence 
of such finishes shall be verified by:
    2.6.4.5.1 American Association of Textile Chemists and Colorists 
(AATCC) Test Method 118--1997, Oil Repellency: Hydrocarbon Resistance 
Test (reaffirmed 1997), of each new lot of test cloth (when purchased 
from the mill) to confirm the absence of Scotchguard\TM\ or other water 
repellent finish (required scores of ``D'' across the board).
    2.6.4.5.2 American Association of Textile Chemists and Colorists 
(AATCC) Test Method 79-2000, Absorbency of Bleached Textiles (reaffirmed 
2000), of each new lot of test cloth (when purchased from the mill) to 
confirm the absence of Scotchguard\TM\ or other water repellent finish 
(time to absorb one drop should be on the order of 1 second).
    2.6.4.5.3 The standards listed in 2.6.4.5.1 and 2.6.4.5.2 of this 
appendix which are not otherwise set forth in this part 430 are 
incorporated by reference. The material listed in this paragraph 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 notice of any change in the material will be published in 
the Federal Register. The standards incorporated by reference are the 
American Association of Textile Chemists and Colorists Test Method 118-
1997, Oil Repellency: Hydrocarbon Resistance Test (reaffirmed 1997) and 
Test Method 79-2000, Absorbency of Bleached Textiles (reaffirmed 2000).
    (a) The above standards incorporated by reference are available for 
inspection at:
    (i) National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call 202-741-
6030, or go to: http://www.archives.gov/federal--register/code--of--
federal--regulations/ibr--locations.html.
    (ii) U.S. Department of Energy, Office of Energy Efficiency and 
Renewable Energy, Hearings and Dockets, ``Energy Conservation Program 
for Consumer Products: Clothes Washer Energy Conservation Standards,'' 
Docket No. EE--RM-94-403, Forrestal Building, 1000 Independence Avenue, 
SW, Washington, DC.
    (b) Copies of the above standards incorporated by reference can be 
obtained from the American Association of Textile Chemists and 
Colorists, P.O. Box 1215, Research Triangle Park, NC 27709, telephone 
(919) 549-8141, telefax (919) 549-8933, or electronic mail: 
[email protected].
    2.6.4.6 The moisture absorption and retention shall be evaluated for 
each new lot of

[[Page 227]]

test cloth by the Standard Extractor Remaining Moisture Content (RMC) 
Test specified in 2.6.5 of this appendix.
    2.6.4.6.1 Repeat the Standard Extractor RMC Test in 2.6.5 of this 
appendix three times.
    2.6.4.6.2 An RMC correction curve shall be calculated as specified 
in 2.6.6 of this appendix.
    2.6.5 Standard Extractor RMC Test Procedure. The following procedure 
is used to evaluate the moisture absorption and retention 
characteristics of a lot of test cloth by measuring the RMC in a 
standard extractor at a specified set of conditions. Table 2.6.5 of this 
appendix is the matrix of test conditions. The 500g requirement will 
only be used if a clothes washer design can achieve spin speeds in the 
500g range. When this matrix is repeated 3 times, a total of 48 
extractor RMC test runs are required. For the purpose of the extractor 
RMC test, the test cloths may be used for up to 60 test runs (after 
preconditioning as specified in 2.6.3 of this appendix).

                              Table 2.6.5--Matrix of Extractor RMC Test Conditions
----------------------------------------------------------------------------------------------------------------
                                                                          Warm soak              Cold soak
                                                                   ---------------------------------------------
                            ``g Force''                               15 min.     4 min.     15 min.     4 min.
                                                                       spin        spin       spin        spin
----------------------------------------------------------------------------------------------------------------
100...............................................................  ..........  .........  ..........  .........
200...............................................................  ..........  .........  ..........  .........
350...............................................................  ..........  .........  ..........  .........
500...............................................................  ..........  .........  ..........  .........
----------------------------------------------------------------------------------------------------------------

    2.6.5.1 The standard extractor RMC tests shall be run in a Bock 
Model 215 extractor (having a basket diameter of 19.5 inches, length of 
12 inches, and volume of 2.1 ft\3\), with a variable speed drive (Bock 
Engineered Products, P.O. Box 5127, Toledo, OH 43611) or an equivalent 
extractor with same basket design (i.e. diameter, length, volume, and 
hole configuration) and variable speed drive.
    2.6.5.2 Test Load. Test cloths shall be preconditioned in accordance 
with 2.6.3 of this appendix. The load size shall be 8.4 lbs., consistent 
with 3.8.1 of this appendix.
    2.6.5.3 Procedure.
    2.6.5.3.1 Record the ``bone-dry'' weight of the test load (WI).
    2.6.5.3.2 Soak the test load for 20 minutes in 10 gallons of soft 
(<17 ppm) water. The entire test load shall be submerged. The water 
temperature shall be 100 [deg]F 5 [deg]F.
    2.6.5.3.3 Remove the test load and allow water to gravity drain off 
of the test cloths. Then manually place the test cloths in the basket of 
the extractor, distributing them evenly by eye. Spin the load at a fixed 
speed corresponding to the intended centripetal acceleration level 
(measured in units of the acceleration of gravity, g) 1 g for the intended time period 5 
seconds.
    2.6.5.3.4 Record the weight of the test load immediately after the 
completion of the extractor spin cycle (WC).
    2.6.5.3.5 Calculate the RMC as (WC-WI)/WI.
    2.6.5.3.6 The RMC of the test load shall be measured at three (3) g 
levels: 100g; 200g; and 350g, using two different spin times at each g 
level: 4 minutes; and 15 minutes. If a clothes washer design can achieve 
spin speeds in the 500g range then the RMC of the test load shall be 
measured at four (4) g levels: 100g; 200g; 350g; and 500g, using two 
different spin times at each g level: 4 minutes; and 15 minutes.
    2.6.5.4 Repeat 2.6.5.3 of this appendix using soft (<17 ppm) water 
at 60 [deg]F 5 [deg]F.
    2.6.6 Calculation of RMC correction curve.
    2.6.6.1 Average the values of 3 test runs and fill in table 2.6.5 of 
this appendix. Perform a linear least-squares fit to relate the standard 
RMC (RMCstandard) values (shown in table 2.6.6.1 of this 
appendix) to the values measured in 2.6.5 of this appendix:
    (RMCcloth): RMCstandard  A * 
RMCcloth + B
Where A and B are coefficients of the linear least-squares fit.

                                Table 2.6.6.1--Standard RMC Values (RMC Standard)
----------------------------------------------------------------------------------------------------------------
                                                                                        RMC %
                                                                   ---------------------------------------------
                                                                          Warm soak              Cold soak
                            ``g Force''                            ---------------------------------------------
                                                                      15 min.     4 min.     15 min.     4 min.
                                                                       spin        spin       spin        spin
----------------------------------------------------------------------------------------------------------------
100...............................................................        45.9       49.9        49.7       52.8
200...............................................................        35.7       40.4        37.9       43.1
350...............................................................        29.6       33.1        30.7       35.8
500...............................................................        24.2       28.7        25.5       30.0
----------------------------------------------------------------------------------------------------------------

    2.6.6.2. Perform an analysis of variance test using two factors, 
spin speed and lot, to check the interaction of speed and lot. Use the 
values from Table 2.6.5 and Table 2.6.6.1 in the calculation. The ``P'' 
value in the variance analysis shall be greater than or equal to 0.1. If 
the ``P'' value is less than 0.1 the test cloth is unacceptable. ``P'' 
is a theoretically based probability of interaction based on an analysis 
of variance.
    2.6.7 Application of RMC correction curve.
    2.6.7.1 Using the coefficients A and B calculated in 2.6.6.1 of this 
appendix:

RMCcorr = A * RMC + B
    2.6.7.2 Substitute RMCcorr values in calculations in 3.8 
of this appendix.
    2.7 Test Load Sizes. Maximum, minimum, and, when required, average 
test load sizes shall be determined using Table 5.1 and the clothes 
container capacity as measured in 3.1.1 through 3.1.5. Test loads shall 
consist of energy test cloths, except that adjustments to the test loads 
to achieve proper weight can be made by the use of energy stuffer cloths 
with no more than 5 stuffer clothes per load.

[[Page 228]]

    2.8 Use of Test Loads. Table 2.8 defines the test load sizes and 
corresponding water fill settings which are to be used when measuring 
water and energy consumptions. Adaptive water fill control system and 
manual water fill control system are defined in section 1 of this 
appendix:

       Table 2.8--Test Load Sizes and Water Fill Settings Required
------------------------------------------------------------------------
   Manual water fill  control       Adaptive water fill control system
             system             ----------------------------------------
--------------------------------
                   Water fill      Test load size    Water fill setting
Test load size      setting
------------------------------------------------------------------------
Max             Max              Max                As determined by the
Min             Min              Avg                 Clothes Washer.
                                 Min
------------------------------------------------------------------------

    2.8.1 The test load sizes to be used to measure RMC are specified in 
section 3.8.1.
    2.8.2 Test loads for energy and water consumption measurements shall 
be bone dry prior to the first cycle of the test, and dried to a maximum 
of 104 percent of bone dry weight for subsequent testing.
    2.8.3 Load the energy test cloths by grasping them in the center, 
shaking them to hang loosely and then put them into the clothes 
container prior to activating the clothes washer.
    2.9 Pre-conditioning.
    2.9.1 Nonwater-heating clothes washer. If the clothes washer has not 
been filled with water in the preceding 96 hours, pre-condition it by 
running it through a cold rinse cycle and then draining it to ensure 
that the hose, pump, and sump are filled with water.
    2.9.2 Water-heating clothes washer. If the clothes washer has not 
been filled with water in the preceding 96 hours, or if it has not been 
in the test room at the specified ambient conditions for 8 hours, pre-
condition it by running it through a cold rinse cycle and then draining 
it to ensure that the hose, pump, and sump are filled with water.
    2.10 Wash time setting. If one wash time is prescribed in the energy 
test cycle, that shall be the wash time setting; otherwise, the wash 
time setting shall be the higher of either the minimum, or 70 percent of 
the maximum wash time available in the energy test cycle.
    2.11 Test room temperature for water-heating clothes washers. 
Maintain the test room ambient air temperature at 75 [deg]F5 [deg]F (23.9 [deg]C2.8 [deg]C).

                          3. Test Measurements

    3.1 Clothes container capacity. Measure the entire volume which a 
dry clothes load could occupy within the clothes container during washer 
operation according to the following procedures:
    3.1.1 Place the clothes washer in such a position that the uppermost 
edge of the clothes container opening is leveled horizontally, so that 
the container will hold the maximum amount of water.
    3.1.2 Line the inside of the clothes container with 2 mil (0.051 mm) 
plastic sheet. All clothes washer components which occupy space within 
the clothes container and which are recommended for use with the energy 
test cycle shall be in place and shall be lined with 2 mil (0.051 mm) 
plastic sheet to prevent water from entering any void space.
    3.1.3 Record the total weight of the machine before adding water.
    3.1.4 Fill the clothes container manually with either 60 
[deg]F5 [deg]F (15.6 [deg]C2.8 [deg]C) or 100 [deg]F10 [deg]F 
(37.8 [deg]C5.5 [deg]C) water to its uppermost 
edge. Measure and record the weight of water, W, in pounds.
    3.1.5 The clothes container capacity is calculated as follows:

C=W/d.

where:

C=Capacity in cubic feet (liters).
W=Mass of water in pounds (kilograms).
d=Density of water (62.0 lbs/ft\3\ for 100 [deg]F (993 kg/m\3\ for 37.8 
[deg]C) or 62.3 lbs/ft\3\ for 60 [deg]F (998 kg/m\3\ for 15.6 [deg]C)).

    3.2 Procedure for measuring water and energy consumption values on 
all automatic and semi-automatic washers. All energy consumption tests 
shall be performed under the energy test cycle(s), unless otherwise 
specified. Table 3.2 defines the sections below which govern tests of 
particular clothes washers, based on the number of wash/rinse 
temperature selections available on the model, and also, in some 
instances, method of water heating. The procedures prescribed are 
applicable regardless of a clothes washer's washing capacity, loading 
port location, primary axis of rotation of the clothes container, and 
type of control system.
    3.2.1 Inlet water temperature and the wash/rinse temperature 
settings.
    3.2.1.1 For automatic clothes washers set the wash/rinse temperature 
selection control to obtain the wash water temperature desired (extra 
hot, hot, warm, or cold) and cold rinse, and open both the hot and cold 
water faucets.
    3.2.1.2 For semi-automatic washers: (1) For hot water temperature, 
open the hot water faucet completely and close the cold water faucet; 
(2) for warm inlet water temperature, open both hot and cold water 
faucets completely; (3) for cold water temperature, close the hot water 
faucet and open the cold water faucet completely.
    3.2.1.3 Determination of warm wash water temperature(s) to decide 
whether a clothes washer has uniformly distributed warm wash temperature 
selections. The wash water temperature, Tw, of each warm water wash 
selection shall be calculated or measured.

[[Page 229]]

    For non-water-heating clothes washers, calculate Tw as follows:

Tw( [deg]F)=((Hwx135 [deg]F)+(Cwx60 [deg]F))/(Hw+Cw)

 or

Tw( [deg]C)=((Hwx57.2 [deg]C)+(Cwx15.6 [deg]C))/(Hw+Cw)

where:

Hw=Hot water consumption of a warm wash
Cw=Cold water consumption of a warm wash

    For water-heating clothes washers, measure and record the 
temperature of each warm wash selection after fill.
    3.2.2 Total water consumption during the energy test cycle shall be 
measured, including hot and cold water consumption during wash, deep 
rinse, and spray rinse.
    3.2.3 Clothes washers with adaptive water fill/manual water fill 
control systems
    3.2.3.1 Clothes washers with adaptive water fill control system and 
alternate manual water fill control systems. If a clothes washer with an 
adaptive water fill control system allows consumer selection of manual 
controls as an alternative, then both manual and adaptive modes shall be 
tested and, for each mode, the energy consumption (HET, 
MET, and DE) and water consumption 
(QT), values shall be calculated as set forth in section 4. 
Then the average of the two values (one from each mode, adaptive and 
manual) for each variable shall be used in section 4 for the clothes 
washer.
    3.2.3.2 Clothes washers with adaptive water fill control system.
    3.2.3.2.1. Not user adjustable. The maximum, minimum, and average 
water levels as defined in the following sections shall be interpreted 
to mean that amount of water fill which is selected by the control 
system when the respective test loads are used, as defined in Table 2.8. 
The load usage factors which shall be used when calculating energy 
consumption values are defined in Table 4.1.3.
    3.2.3.2.2 User adjustable. Four tests shall be conducted on clothes 
washers with user adjustable adaptive water fill controls which affect 
the relative wash water levels. The first test shall be conducted with 
the maximum test load and with the adaptive water fill control system 
set in the setting that will give the most energy intensive result. The 
second test shall be conducted with the minimum test load and with the 
adaptive water fill control system set in the setting that will give the 
least energy intensive result. The third test shall be conducted with 
the average test load and with the adaptive water fill control system 
set in the setting that will give the most energy intensive result for 
the given test load. The fourth test shall be conducted with the average 
test load and with the adaptive water fill control system set in the 
setting that will give the least energy intensive result for the given 
test load. The energy and water consumption for the average test load 
and water level, shall be the average of the third and fourth tests.
    3.2.3.3 Clothes washers with manual water fill control system. In 
accordance with Table 2.8, the water fill selector shall be set to the 
maximum water level available on the clothes washer for the maximum test 
load size and set to the minimum water level for the minimum test load 
size. The load usage factors which shall be used when calculating energy 
consumption values are defined in Table 4.1.3.

                                        Table 3.2--Test Section Reference
 
 
----------------------------------------------------------------------------------------------------------------
Max. Wash Temp. Available................................   <=135 [deg]F (57.2
                                                                  [deg]C)
                                                             135 [deg]F (57.2
                                                                     [deg]C) \2\
Number of Wash Temp. Selections..........................          1          2  135 [deg]F (57.2 
[deg]C)) for water heating clothes washers only. Water and electrical 
energy consumption shall be measured for each water fill level and/or 
test load size as specified in 3.3.1 through 3.3.3 for the hottest wash 
setting available.
    3.3.1 Maximum test load and water fill. Hot water consumption 
(Hmx), cold water consumption (Cmx), and 
electrical energy consumption (Emx) shall be measured for an 
extra hot wash/cold rinse energy test cycle, with the controls set for 
the maximum water fill level. The maximum test load size is to be used 
and shall be determined per Table 5.1.
    3.3.2 Minimum test load and water fill. Hot water consumption 
(Hmn), cold water consumption (Cmn), and 
electrical energy consumption (Emn) shall be measured for an

[[Page 230]]

extra hot wash/cold rinse energy test cycle, with the controls set for 
the minimum water fill level. The minimum test load size is to be used 
and shall be determined per Table 5.1.
    3.3.3 Average test load and water fill. For clothes washers with an 
adaptive water fill control system, measure the values for hot water 
consumption (Hma), cold water consumption (Cma), 
and electrical energy consumption (Ema) for an extra hot 
wash/cold rinse energy test cycle, with an average test load size as 
determined per Table 5.1.
    3.4 ``Hot Wash'' (Max Wash Temp<=135 [deg]F (57.2 [deg]C)). Water 
and electrical energy consumption shall be measured for each water fill 
level or test load size as specified in 3.4.1 through 3.4.3 for a 135 
[deg]F (57.2 [deg]C)) wash, if available, or for the hottest selection 
less than 135 [deg]F (57.2 [deg]C)).
    3.4.1 Maximum test load and water fill. Hot water consumption 
(Hhx), cold water consumption (Chx), and 
electrical energy consumption (Ehx) shall be measured for a 
hot wash/cold rinse energy test cycle, with the controls set for the 
maximum water fill level. The maximum test load size is to be used and 
shall be determined per Table 5.1.
    3.4.2 Minimum test load and water fill. Hot water consumption 
(Hhn), cold water consumption (Chn), and 
electrical energy consumption (Ehn) shall be measured for a 
hot wash/cold rinse energy test cycle, with the controls set for the 
minimum water fill level. The minimum test load size is to be used and 
shall be determined per Table 5.1.
    3.4.3 Average test load and water fill. For clothes washers with an 
adaptive water fill control system, measure the values for hot water 
consumption (Hha), cold water consumption (Cha), 
and electrical energy consumption (Eha) for a hot wash/cold 
rinse energy test cycle, with an average test load size as determined 
per Table 5.1.
    3.5 ``Warm Wash.'' Water and electrical energy consumption shall be 
determined for each water fill level and/or test load size as specified 
in 3.5.1 through 3.5.2.3 for the applicable warm water wash 
temperature(s).
    3.5.1 Clothes washers with uniformly distributed warm wash 
temperature selection(s). The reportable values to be used for the warm 
water wash setting shall be the arithmetic average of the measurements 
for the hot and cold wash selections. This is a calculation only, no 
testing is required.
    3.5.2 Clothes washers that lack uniformly distributed warm wash 
temperature selections. For a clothes washer with fewer than four 
discrete warm wash selections, test all warm wash temperature 
selections. For a clothes washer that offers four or more warm wash 
selections, test at all discrete selections, or test at 25 percent, 50 
percent, and 75 percent positions of the temperature selection device 
between the hottest hot (<=135 [deg]F (57.2 [deg]C)) wash and the 
coldest cold wash. If a selection is not available at the 25, 50 or 75 
percent position, in place of each such unavailable selection use the 
next warmer setting. Each reportable value to be used for the warm water 
wash setting shall be the arithmetic average of all tests conducted 
pursuant to this section.
    3.5.2.1 Maximum test load and water fill. Hot water consumption 
(Hwx), cold water consumption (Cwx), and 
electrical energy consumption (Ewx) shall be measured with 
the controls set for the maximum water fill level. The maximum test load 
size is to be used and shall be determined per Table 5.1.
    3.5.2.2 Minimum test load and water fill. Hot water consumption 
(Hwn), cold water consumption (Cwn), and 
electrical energy consumption (Ewn) shall be measured with 
the controls set for the minimum water fill level. The minimum test load 
size is to be used and shall be determined per Table 5.1.
    3.5.2.3 Average test load and water fill. For clothes washers with 
an adaptive water fill control system, measure the values for hot water 
consumption (Hwa), cold water consumption (Cwa), 
and electrical energy consumption (Ewa) with an average test 
load size as determined per Table 5.1.
    3.6 ``Cold Wash'' (Minimum Wash Temperature Selection). Water and 
electrical energy consumption shall be measured for each water fill 
level or test load size as specified in 3.6.1 through 3.6.3 for the 
coldest wash temperature selection available.
    3.6.1 Maximum test load and water fill. Hot water consumption 
(Hcx), cold water consumption (Ccx), and 
electrical energy consumption (Ecx) shall be measured for a 
cold wash/cold rinse energy test cycle, with the controls set for the 
maximum water fill level. The maximum test load size is to be used and 
shall be determined per Table 5.1.
    3.6.2 Minimum test load and water fill. Hot water consumption 
(Hcn), cold water consumption (Ccn), and 
electrical energy consumption (Ecn) shall be measured for a 
cold wash/cold rinse energy test cycle, with the controls set for the 
minimum water fill level. The minimum test load size is to be used and 
shall be determined per Table 5.1.
    3.6.3 Average test load and water fill. For clothes washers with an 
adaptive water fill control system, measure the values for hot water 
consumption (Hca), cold water consumption (Cca), 
and electrical energy consumption (Eca) for a cold wash/cold 
rinse energy test cycle, with an average test load size as determined 
per Table 5.1.
    3.7 Warm Rinse. Tests in sections 3.7.1 and 3.7.2 shall be conducted 
with the hottest rinse temperature available. If multiple wash 
temperatures are available with the hottest rinse temperature, any 
``warm wash'' temperature may be selected to conduct the tests.
    3.7.1 For the rinse only, measure the amount of hot water consumed 
by the

[[Page 231]]

clothes washer including all deep and spray rinses, for the maximum 
(Rx), minimum (Rn), and, if required by section 
3.5.2.3, average (Ra) test load sizes or water fill levels.
    3.7.2 Measure the amount of electrical energy consumed by the 
clothes washer to heat the rinse water only, including all deep and 
spray rinses, for the maximum (ERx), minimum 
(ERn), and, if required by section 3.5.2.3, average 
(ERa), test load sizes or water fill levels.
    3.8 Remaining Moisture Content:
    3.8.1 The wash temperature will be the same as the rinse temperature 
for all testing. Use the maximum test load as defined in Table 5.1 and 
section 3.1 for testing.
    3.8.2 For clothes washers with cold rinse only:
    3.8.2.1 Record the actual `bone dry' weight of the test load 
(WImax), then place the test load in the clothes washer.
    3.8.2.2 Set water level selector to maximum fill.
    3.8.2.3 Run the energy test cycle.
    3.8.2.4 Record the weight of the test load immediately after 
completion of the energy test cycle (WCmax).
    3.8.2.5 Calculate the remaining moisture content of the maximum test 
load, RMCMAX, expressed as a percentage and defined as:

RMCmax=((WCmax-WImax)/
WImax)x100%

    3.8.3 For clothes washers with cold and warm rinse options:
    3.8.3.1 Complete steps 3.8.2.1 through 3.8.2.4 for cold rinse. 
Calculate the remaining moisture content of the maximum test load for 
cold rinse, RMCCOLD, expressed as a percentage and defined 
as:

RMCCOLD=((WCmax-WImax)/
WImax)x100%

    3.8.3.2 Complete steps 3.8.2.1 through 3.8.2.4 for warm rinse. 
Calculate the remaining moisture content of the maximum test load for 
warm rinse, RMCWARM, expressed as a percentage and defined 
as:

RMCWARM=((WCmax-WImax)/
WImax)x100%

    3.8.3.3 Calculate the remaining moisture content of the maximum test 
load, RMCmax, expressed as a percentage and defined as:

RMCmax=RMCCOLDx(1-
TUFr)+RMCWARMx(TUFr).

where:

TUFr is the temperature use factor for warm rinse as defined 
in Table 4.1.1.

    3.8.4 Clothes washers which have options that result in different 
RMC values, such as multiple selection of spin speeds or spin times, 
that are available in the energy test cycle, shall be tested at the 
maximum and minimum extremes of the available options, excluding any 
``no spin'' (zero spin speed) settings, in accordance with requirements 
in 3.8.2 or 3.8.3. The calculated RMCmax extraction and 
RMCmin extraction at the maximum and minimum settings, 
respectively, shall be combined as follows and the final RMC to be used 
in section 4.3 shall be:

RMC = 0.75xRMCmax extraction+0.25x
 RMCmin extraction

        4. Calculation of Derived Results From Test Measurements

    4.1 Hot water and machine electrical energy consumption of clothes 
washers.
    4.1.1 Per-cycle temperature-weighted hot water consumption for 
maximum, average, and minimum water fill levels using each appropriate 
load size as defined in section 2.8 and Table 5.1. Calculate for the 
cycle under test the per-cycle temperature weighted hot water 
consumption for the maximum water fill level, Vhx, the 
average water fill level, Vha, and the minimum water fill 
level, Vhn, expressed in gallons per cycle (or liters per 
cycle) and defined as:

(a) 
Vhx=[HmxxTUFm]+[HhxxTUFh
]+[Hwx 
xTUFw]+[HcxxTUFc]+[RxxTUFr
]
(b) 
Vha=[HmaxTUFm]+[HhaxTUFh
]+[Hwa 
xTUFw]+[HcaxTUFc]+[RaxTUFr
]
(c) 
Vhn=[HmnxTUFm]+[HhnxTUFh
]+[Hwn 
xTUFw]+[HcnxTUFc]+[RnxTUFr
]

where:

Hmx, Hma, and Hmn, are reported hot 
water consumption values, in gallons per-cycle (or liters per cycle), at 
maximum, average, and minimum water fill, respectively, for the extra-
hot wash cycle with the appropriate test loads as defined in section 
2.8.
Hhx, Hha, and Hhn, are reported hot 
water consumption values, in gallons per-cycle (or liters per cycle), at 
maximum, average, and minimum water fill, respectively, for the hot wash 
cycle with the appropriate test loads as defined in section 2.8.
Hwx, Hwa, and Hwn, are reported hot 
water consumption values, in gallons per-cycle (or liters per cycle), at 
maximum, average, and minimum water fill, respectively, for the warm 
wash cycle with the appropriate test loads as defined in section 2.8.
Hcx, Hca, and Hcn, are reported hot 
water consumption values, in gallons per-cycle (or liters per cycle), at 
maximum, average, and minimum water fill, respectively, for the cold 
wash cycle with the appropriate test loads as defined in section 2.8.
Rx, Ra, and Rn are the reported hot 
water consumption values, in gallons per-cycle (or liters per cycle), at 
maximum, average, and minimum water fill, respectively, for the warm 
rinse cycle and the appropriate test loads as defined in section 2.8.
TUFm, TUFh, TUFw, TUFc, and 
TUFr are temperature use factors for extra hot wash, hot 
wash, warm wash, cold wash, and warm rinse temperature selections, 
respectively, and are as defined in Table 4.1.1.

[[Page 232]]



                                      Table 4.1.1--Temperature Use Factors
 
 
----------------------------------------------------------------------------------------------------------------
Max Wash Temp Available.......  <=135 [deg]F     <=135 [deg]F     <=135 [deg]F    135  135
                                                                                   [deg]F          [deg]F
                                (57.2 [deg]C)    (57.2 [deg]C)    (57.2 [deg]C)   (57.2 [deg]C)   (57.2 [deg]C)
No. Wash Temp Selections......  Single           2 Temps          2    3 Temps         3
                                                                   Temps                           Temps
TUFm (extra hot)..............  NA               NA               NA              0.14            0.05
TUFh (hot)....................  NA               0.63             0.14            NA              0.09
TUFw (warm)...................  NA               NA               0.49            0.49            0.49
TUFc (cold)...................  1.00             0.37             0.37            0.37            0.37
TUFr (warm rinse).............  0.27             0.27             0.27            0.27            0.27
----------------------------------------------------------------------------------------------------------------

    4.1.2 Total per-cycle hot water energy consumption for all maximum, 
average, and minimum water fill levels tested. Calculate the total per-
cycle hot water energy consumption for the maximum water fill level, 
HEmax, the minimum water fill level, HEmin, and 
the average water fill level, HEavg, expressed in kilowatt-
hours per cycle and defined as:

(a) HEmax = [VhxxTxK]=Total energy when a maximum 
load is tested.
(b) HEavg = [VhaxTxK]=Total energy when an average 
load is tested.
(c) HEmin = [VhnxTxK]=Total energy when a minimum 
load is tested.

where:

T=Temperature rise=75 [deg]F (41.7 [deg]C).
K=Water specific heat in kilowatt-hours per gallon degree F=0.00240 
(0.00114 kWh/L-[deg]C).
Vhx Vha, and Vhn, are as defined in 
4.1.1.

    4.1.3 Total weighted per-cycle hot water energy consumption. 
Calculate the total weighted per cycle hot water energy consumption, 
HET, expressed in kilowatt-hours per cycle and defined as:

HET=[HEmaxxFmax]+[HEavgxFavg
]+[HEmnxFmin]

where:

HEmax, HEavg, and HEmin are as defined 
in 4.1.2.
Fmax, Favg, and Fmin are the load usage 
factors for the maximum, average, and minimum test loads based on the 
size and type of control system on the washer being tested. The values 
are as shown in table 4.1.3.

                     Table 4.1.3--Load Usage Factors
------------------------------------------------------------------------
            Water fill control system               Manual     Adaptive
------------------------------------------------------------------------
Fmax =..........................................    0.72 \1\    0.12 \2\
Favg =..........................................  ..........    0.74 \2\
Fmin=...........................................    0.28 \1\    0.14 \2\
------------------------------------------------------------------------
\1\ Reference 3.2.3.3.
\2\ Reference 3.2.3.2.

    4.1.4 Total per-cycle hot water energy consumption using gas-heated 
or oil-heated water. Calculate for the energy test cycle the per-cycle 
hot water consumption, HETG, using gas heated or oil-heated 
water, expressed in Btu per cycle (or megajoules per cycle) and defined 
as:

HETG=HTx1/ex3412 Btu/kWh or 
HETG=HETx1/ex3.6 MJ/kWh

where:

e=Nominal gas or oil water heater efficiency=0.75.
HET=As defined in 4.1.3.

    4.1.5 Per-cycle machine electrical energy consumption for all 
maximum, average, and minimum test load sizes. Calculate the total per-
cycle machine electrical energy consumption for the maximum water fill 
level, MEmax, the minimum water fill level, MEmin, 
and the average water fill level, MEavg, expressed in 
kilowatt-hours per cycle and defined as:

(a)MEmax= [EmxxTUFm]+ 
[EhxxTUFh]+ [EwxxTUFw]+ 
[EcxxTUFc]+ [ERxxTUFr]
(b) MEavg= [EmaxTUFm]+ 
[EhaxTUFh]+ [EwaxTUFw]+ 
[EcaxTUFc]+ [ERaxTUFr]
(c) MEmin= [EmnxTUFm]+ 
[EhnxTUFh]+ [EwnxTUFw]+ 
[EcnxxTUFc]+ [ERnxTUFr]

where:

Emx, Ema, and Emn, are reported 
electrical energy consumption values, in kilowatt-hours per cycle, at 
maximum, average, and minimum test loads, respectively, for the extra-
hot wash cycle.
Ehx, Eha, and Ehn, are reported 
electrical energy consumption values, in kilowatt-hours per cycle, at 
maximum, average, and minimum test loads, respectively, for the hot wash 
cycle.
Ewx, Ewa, and Ewn, are reported 
electrical energy consumption values, in kilowatt-hours per cycle, at 
maximum, average, and minimum test loads, respectively, for the warm 
wash cycle.
Ecx, Eca, and Ecn, are reported 
electrical energy consumption values, in kilowatt-hours per cycle, at 
maximum, average, and minimum test loads, respectively, for the cold 
wash cycle.
ERx, ERa, ERn, are reported electrical 
energy consumption values, in kilowatt-hours per cycle, at maximum, 
average, and minimum test loads, respectively, for the warm rinse cycle 
per definitions in 3.7.2 of this appendix.
TUFm, TUFh, TUFw, TUFc, and 
TUFr are as defined in Table 4.1.1.

    4.1.6 Total weighted per-cycle machine electrical energy 
consumption. Calculate the total

[[Page 233]]

per cycle load size weighted energy consumption, MET, 
expressed in kilowatt-hours per cycle and defined as:

MET=[MEmaxx Fmax]+[MEavgx 
Favg]+[MEminx Fmin]

where:

MEmax, MEavg, and MEmin are as defined 
in 4.1.5.
Fmax, Favg, and Fmin are as defined in 
Table 4.1.3.

    4.1.7 Total per-cycle energy consumption when electrically heated 
water is used. Calculate for the energy test cycle the total per-cycle 
energy consumption, ETE, using electrical heated water, 
expressed in kilowatt-hours per cycle and defined as:

ETE=HET+MET

where:

MET=As defined in 4.1.6.
HET=As defined in 4.1.3.

    4.2 Water consumption of clothes washers. (The calculations in this 
Section need not be performed to determine compliance with the energy 
conservation standards for clothes washers.)
    4.2.1 Per-cycle water consumption. Calculate the maximum, average, 
and minimum total water consumption, expressed in gallons per cycle (or 
liters per cycle), for the cold wash/cold rinse cycle and defined as:

Qmax=[Hcx+Ccx]
Qavg=[Hca+Cca]
Qmin=[Hcn+Ccn]

where:

Hcx, Ccx, Hca, Cca, 
Hcn, and Ccn are as defined in 3.6.

    4.2.2 Total weighted per-cycle water consumption. Calculate the 
total weighted per cycle consumption, QT, expressed in 
gallons per cycle (or liters per cycle) and defined as:

QT=[QmaxxFmax]+[QavgxFavg
]+[QminxFmin]

where:

Qmax, Qavg, and Qmin are as defined in 
4.2.1.
Fmax, Favg, and Fmin are as defined in 
table 4.1.3.

    4.2.3 Water consumption factor. Calculate the water consumption 
factor, WCF, expressed in gallon per cycle per cubic feet (or liter per 
cycle per liter), as:

WCF=QT / C

where:

QT=as defined in section 4.2.2.
C = as defined in section 3.1.5.

    4.3 Per-cycle energy consumption for removal of moisture from test 
load. Calculate the per-cycle energy required to remove the moisture of 
the test load, DE, expressed in kilowatt-hours per cycle and 
defined as

DE=(LAF)x(Maximum test load weight)x(RMC--4%)x(DEF)x(DUF)

where:

LAF=Load adjustment factor=0.52.
Test load weight=As required in 3.8.1, expressed in lbs/cycle.
RMC=As defined in 3.8.2.5, 3.8.3.3 or 3.8.4.
DEF=nominal energy required for a clothes dryer to remove moisture from 
clothes=0.5 kWh/lb (1.1 kWh/kg).
DUF=dryer usage factor, percentage of washer loads dried in a clothes 
dryer=0.84.

    4.4 Modified energy factor. Calculate the modified energy factor, 
MEF, expressed in cubic feet per kilowatt-hour per cycle (or liters per 
kilowatt-hour per cycle) and defined as:

MEF=C/(ETE + DE)

where:

C=As defined in 3.1.5.
ETE=As defined in 4.1.7.
DE=As defined in 4.3.

    4.5 Energy factor. Calculate the energy factor, EF, expressed in 
cubic feet per kilowatt-hour per cycle (or liters per kilowatt-hour per 
cycle) and defined as:

EF=C/ETE

where:

C=As defined in 3.1.5.
ETE=As defined in 4.1.7.

                              5. Test Loads

                                           Table 5.1--Test Load Sizes
----------------------------------------------------------------------------------------------------------------
                     Container volume                         Minimum load      Maximum load      Average load
----------------------------------------------------------------------------------------------------------------
                                             (liter)  = <             thn-eq>= <       lb      (kg)      lb      (kg)      lb      (kg)
----------------------------------------------------------------------------------------------------------------
0-0.8.....................................   0-22.7            3.00     1.36     3.00     1.36     3.00     1.36
0.80-0.90.................................  22.7-25.5          3.00     1.36     3.50     1.59     3.25     1.47
0.90-1.00.................................  25.5-28.3          3.00     1.36     3.90     1.77     3.45     1.56
1.00-1.10.................................  28.3-31.1          3.00     1.36     4.30     1.95     3.65     1.66
1.10-1.20.................................  31.1-34.0          3.00     1.36     4.70     2.13     3.85     1.75
1.20-1.30.................................  34.0-36.8          3.00     1.36     5.10     2.31     4.05     1.84
1.30-1.40.................................  36.8-39.6          3.00     1.36     5.50     2.49     4.25     1.93
1.40-1.50.................................  39.6-42.5          3.00     1.36     5.90     2.68     4.45     2.02
1.50-1.60.................................  42.5-45.3          3.00     1.36     6.40     2.90     4.70     2.13

[[Page 234]]

 
1.60-1.70.................................  45.3-48.1          3.00     1.36     6.80     3.08     4.90     2.22
1.70-1.80.................................  48.1-51.0          3.00     1.36     7.20     3.27     5.10     2.31
1.80-1.90.................................  51.0-53.8          3.00     1.36     7.60     3.45     5.30     2.40
1.90-2.00.................................  53.8-56.6          3.00     1.36     8.00     3.63     5.50     2.49
2.00-2.10.................................  56.6-59.5          3.00     1.36     8.40     3.81     5.70     2.59
2.10-2.20.................................  59.5-62.3          3.00     1.36     8.80     3.99     5.90     2.68
2.20-2.30.................................  62.3-65.1          3.00     1.36     9.20     4.17     6.10     2.77
2.30-2.40.................................  65.1-68.0          3.00     1.36     9.60     4.35     6.30     2.86
2.40-2.50.................................  68.0-70.8          3.00     1.36    10.00     4.54     6.50     2.95
2.50-2.60.................................  70.8-73.6          3.00     1.36    10.50     4.76     6.75     3.06
2.60-2.70.................................  73.6-76.5          3.00     1.36    10.90     4.94     6.95     3.15
2.70-2.80.................................  76.5-79.3          3.00     1.36    11.30     5.13     7.15     3.24
2.80-2.90.................................  79.3-82.1          3.00     1.36    11.70     5.31     7.35     3.33
2.90-3.00.................................  82.1-85.0          3.00     1.36    12.10     5.49     7.55     3.42
3.00-3.10.................................  85.0-87.8          3.00     1.36    12.50     5.67     7.75     3.52
3.10-3.20.................................  87.8-90.6          3.00     1.36    12.90     5.85     7.95     3.61
3.20-3.30.................................  90.6-93.4          3.00     1.36    13.30     6.03     8.15     3.70
3.30-3.40.................................  93.4-96.3          3.00     1.36    13.70     6.21     8.35     3.79
3.40-3.50.................................  96.3-99.1          3.00     1.36    14.10     6.40     8.55     3.88
3.50-3.60.................................  99.1-101.9         3.00     1.36    14.60     6.62     8.80     3.99
3.60-3.70.................................  101.9-104.8        3.00     1.36    15.00     6.80     9.00     4.08
3.70-3.80.................................  104.8-107.6        3.00     1.36    15.40     6.99     9.20     4.17
----------------------------------------------------------------------------------------------------------------
Notes: (1) All test load weights are bone dry weights.
(2) Allowable tolerance on the test load weights are 0.10 lbs (0.05 kg).

                      6. Waivers and Field Testing

    6.1 Waivers and Field Testing for Non-conventional Clothes Washers. 
Manufacturers of nonconventional clothes washers, such as clothes 
washers with adaptive control systems, must submit a petition for waiver 
pursuant to 10 CFR 430.27 to establish an acceptable test procedure for 
that clothes washer. For these and other clothes washers that have 
controls or systems such that the DOE test procedures yield results that 
are so unrepresentative of the clothes washer's true energy consumption 
characteristics as to provide materially inaccurate comparative data, 
field testing may be appropriate for establishing an acceptable test 
procedure. The following are guidelines for field testing which may be 
used by manufacturers in support of petitions for waiver. These 
guidelines are not mandatory and the Department may determine that they 
do not apply to a particular model. Depending upon a manufacturer's 
approach for conducting field testing, additional data may be required. 
Manufacturers are encouraged to communicate with the Department prior to 
the commencement of field tests which may be used to support a petition 
for waiver. Section 6.3 provides an example of field testing for a 
clothes washer with an adaptive water fill control system. Other 
features, such as the use of various spin speed selections, could be the 
subject of field tests.
    6.2 Nonconventional Wash System Energy Consumption Test. The field 
test may consist of a minimum of 10 of the nonconventional clothes 
washers (``test clothes washers'') and 10 clothes washers already being 
distributed in commerce (``base clothes washers''). The tests should 
include a minimum of 50 energy test cycles per clothes washer. The test 
clothes washers and base clothes washers should be identical in 
construction except for the controls or systems being tested. Equal 
numbers of both the test clothes washer and the base clothes washer 
should be tested simultaneously in comparable settings to minimize 
seasonal or consumer laundering conditions or variations. The clothes 
washers should be monitored in such a way as to accurately record the 
total energy consumption per cycle. At a minimum, the following should 
be measured and recorded throughout the test period for each clothes 
washer: Hot water usage in gallons (or liters), electrical energy usage 
in kilowatt-hours, and the cycles of usage.
    The field test results would be used to determine the best method to 
correlate the rating of the test clothes washer to the rating of the 
base clothes washer. If the base clothes washer is rated at A kWh per 
year, but field tests at B kWh per year, and the test clothes washer 
field tests at D kWh per year, the test unit would be rated as follows:

Ax(D/B)=G kWh per year

    6.3 Adaptive water fill control system field test. Section 3.2.3.1 
defines the test method for measuring energy consumption for clothes 
washers which incorporate control systems having both adaptive and 
alternate

[[Page 235]]

cycle selections. Energy consumption calculated by the method defined in 
section 3.2.3.1 assumes the adaptive cycle will be used 50 percent of 
the time. This section can be used to develop field test data in support 
of a petition for waiver when it is believed that the adaptive cycle 
will be used more than 50 percent of the time. The field test sample 
size should be a minimum of 10 test clothes washers. The test clothes 
washers should be totally representative of the design, construction, 
and control system that will be placed in commerce. The duration of 
field testing in the user's house should be a minimum of 50 energy test 
cycles, for each unit. No special instructions as to cycle selection or 
product usage should be given to the field test participants, other than 
inclusion of the product literature pack which would be shipped with all 
units, and instructions regarding filling out data collection forms, use 
of data collection equipment, or basic procedural methods. Prior to the 
test clothes washers being installed in the field test locations, 
baseline data should be developed for all field test units by conducting 
laboratory tests as defined by section 1 through section 5 of these test 
procedures to determine the energy consumption, water consumption, and 
remaining moisture content values. The following data should be measured 
and recorded for each wash load during the test period: wash cycle 
selected, the mode of the clothes washer (adaptive or manual), clothes 
load dry weight (measured after the clothes washer and clothes dryer 
cycles are completed) in pounds, and type of articles in the clothes 
load (e.g., cottons, linens, permanent press). The wash loads used in 
calculating the in-home percentage split between adaptive and manual 
cycle usage should be only those wash loads which conform to the 
definition of the energy test cycle.
    Calculate:

T=The total number of energy test cycles run during the field test
Ta=The total number of adaptive control energy test cycles
Tm=The total number of manual control energy test cycles

    The percentage weighting factors:

Pa=(Ta/T)x100 (the percentage weighting for 
adaptive control selection)
Pm=(Tm/T)x100 (the percentage weighting for manual 
control selection)

    Energy consumption (HET, MET, and 
DE) and water consumption (QT), values calculated 
in section 4 for the manual and adaptive modes, should be combined using 
Pa and Pm as the weighting factors.

[62 FR 45508, Aug. 27, 1997; 63 FR 16669, Apr. 6, 1998, as amended at 66 
FR 3330, Jan. 12, 2001; 68 FR 62204, Oct. 31, 2003; 69 FR 18803, Apr. 9, 
2004]



         Sec. Appendixes K-L to Subpart B of Part 430 [Reserved]



   Sec. Appendix M to Subpart B of Part 430--Uniform Test Method for 
 Measuring the Energy Consumption of Central Air Conditioners and Heat 
                                  Pumps

                             1. DEFINITIONS

                          2. TESTING CONDITIONS

    2.1 Test room requirements.
    2.2 Test unit installation requirements.
    2.2.1 Defrost control settings.
    2.2.2 Special requirements for units having a multiple-speed outdoor 
fan.
    2.2.3 Special requirements for multi-split air conditioners and heat 
pumps, and systems composed of multiple mini-split units (outdoor units 
located side-by-side) that would normally operate using two or more 
indoor thermostats.
    2.2.4 Wet-bulb temperature requirements for the air entering the 
indoor and outdoor coils.
    2.2.4.1 Cooling mode tests.
    2.2.4.2 Heating mode tests.
    2.2.5 Additional refrigerant charging requirements.
    2.3 Indoor air volume rates.
    2.3.1 Cooling tests.
    2.3.2 Heating tests.
    2.4 Indoor coil inlet and outlet duct connections.
    2.4.1 Outlet plenum for the indoor unit.
    2.4.2 Inlet plenum for the indoor unit.
    2.5 Indoor coil air property measurements and air damper box 
applications.
    2.5.1 Test set-up on the inlet side of the indoor coil: For cases 
where the inlet damper box is installed.
    2.5.1.1 If the section 2.4.2 inlet plenum is installed.
    2.5.1.2 If the section 2.4.2 inlet plenum is not installed.
    2.5.2 Test set-up on the inlet side of the indoor unit: For cases 
where no inlet damper box is installed.
    2.5.3 Indoor coil static pressure difference measurement.
    2.5.4 Test set-up on the outlet side of the indoor coil.
    2.5.4.1 Outlet air damper box placement and requirements.
    2.5.4.2 Procedures to minimize temperature maldistribution.
    2.5.5 Dry bulb temperature measurement.
    2.5.6 Water vapor content measurement.

[[Page 236]]

    2.5.7 Air damper box performance requirements.
    2.6 Airflow measuring apparatus.
    2.7 Electrical voltage supply.
    2.8 Electrical power and energy measurements.
    2.9 Time measurements.
    2.10 Test apparatus for the secondary space conditioning capacity 
measurement.
    2.10.1 Outdoor Air Enthalpy Method.
    2.10.2 Compressor Calibration Method.
    2.10.3 Refrigerant Enthalpy Method.
    2.11 Measurement of test room ambient conditions.
    2.12 Measurement of indoor fan speed.
    2.13 Measurement of barometric pressure.

                          3. TESTING PROCEDURES

    3.1 General Requirements.
    3.1.1 Primary and secondary test methods.
    3.1.2 Manufacturer-provided equipment overrides.
    3.1.3 Airflow through the outdoor coil.
    3.1.4 Airflow through the indoor coil.
    3.1.4.1 Cooling Certified Air Volume Rate.
    3.1.4.1.1 Cooling Certified Air Volume Rate for Ducted Units.
    3.1.4.1.2 Cooling Certified Air Volume Rate for Non-ducted Units.
    3.1.4.2 Cooling Minimum Air Volume Rate.
    3.1.4.3 Cooling Intermediate Air Volume Rate.
    3.1.4.4 Heating Certified Air Volume Rate.
    3.1.4.4.1 Ducted heat pumps where the Heating and Cooling Certified 
Air Volume Rates are the same.
    3.1.4.4.2 Ducted heat pumps where the Heating and Cooling Certified 
Air Volume Rates are different due to indoor fan operation.
    3.1.4.4.3 Ducted heating-only heat pumps.
    3.1.4.4.4 Non-ducted heat pumps, including non-ducted heating-only 
heat pumps.
    3.1.4.5 Heating Minimum Air Volume Rate.
    3.1.4.6 Heating Intermediate Air Volume Rate.
    3.1.4.7 Heating Nominal Air Volume Rate.
    3.1.5 Indoor test room requirement when the air surrounding the 
indoor unit is not supplied from the same source as the air entering the 
indoor unit.
    3.1.6 Air volume rate calculations.
    3.1.7 Test sequence.
    3.1.8 Requirement for the air temperature distribution leaving the 
indoor coil.
    3.1.9 Control of auxiliary resistive heating elements.
    3.2 Cooling mode tests for different types of air conditioners and 
heat pumps.
    3.2.1 Tests for a unit having a single-speed compressor that is 
tested with a fixed-speed indoor fan installed, with a constant-air-
volume-rate indoor fan installed, or with no indoor fan installed.
    3.2.2 Tests for a unit having a single-speed compressor and a 
variable-speed variable-air-volume-rate indoor fan installed.
    3.2.2.1 Indoor fan capacity modulation that correlates with the 
outdoor dry bulb temperature.
    3.2.2.2 Indoor fan capacity modulation based on adjusting the 
sensible to total (S/T) cooling capacity ratio.
    3.2.3 Tests for a unit having a two-capacity compressor.
    3.2.4 Tests for a unit having a variable-speed compressor.
    3.3 Test procedures for steady-state wet coil cooling mode tests 
(the A, A2, A1, B, B2, B1, 
EV, and F1 Tests).
    3.4 Test procedures for the optional steady-state dry coil cooling 
mode tests (the C, C1, and G1 Tests).
    3.5 Test procedures for the optional cyclic dry coil cooling mode 
tests (the D, D1, and I1 Tests).
    3.5.1 Procedures when testing ducted systems.
    3.5.2 Procedures when testing non-ducted systems.
    3.5.3 Cooling mode cyclic degradation coefficient calculation.
    3.6 Heating mode tests for different types of heat pumps, including 
heating-only heat pumps.
    3.6.1 Tests for a heat pump having a single-speed compressor that is 
tested with a fixed speed indoor fan installed, with a constant-air-
volume-rate indoor fan installed, or with no indoor fan installed.
    3.6.2 Tests for a heat pump having a single-speed compressor and a 
variable-speed, variable-air-volume-rate indoor fan: capacity modulation 
correlates with outdoor dry bulb temperature.
    3.6.3 Tests for a heat pump having a two-capacity compressor (see 
Definition 1.45), including two-capacity, northern heat pumps (see 
Definition 1.46).
    3.6.4 Tests for a heat pump having a variable-speed compressor.
    3.6.5 Additional test for a heat pump having a heat comfort 
controller.
    3.7 Test procedures for steady-state Maximum Temperature and High 
Temperature heating mode tests (the H01, H1, H12, 
H11, and H1N Tests).
    3.8 Test procedures for the optional cyclic heating mode tests (the 
H0C1, H1C, and H1C1 Tests).
    3.8.1 Heating mode cyclic degradation coefficient calculation.
    3.9 Test procedures for Frost Accumulation heating mode tests (the 
H2, H22, H2V, and H21 
Tests).
    3.9.1 Average space heating capacity and electrical power 
calculations.
    3.9.2 Demand defrost credit.
    3.10 Test procedures for steady-state Low Temperature heating mode 
tests (the H3, H32, and H31 Tests).

[[Page 237]]

    3.11 Additional requirements for the secondary test methods.
    3.11.1 If using the Outdoor Air Enthalpy Method as the secondary 
test method.
    3.11.1.1 If a preliminary test precedes the official test
    3.11.1.2 If a preliminary test does not precede the official test.
    3.11.1.3 Official test.
    3.11.2 If using the Compressor Calibration Method as the secondary 
test method.
    3.11.3 If using the Refrigerant Enthalpy Method as the secondary 
test method.
    3.12 Rounding of space conditioning capacities for reporting 
purposes.

           4. CALCULATIONS OF SEASONAL PERFORMANCE DESCRIPTORS

    4.1 Seasonal Energy Efficiency Ratio (SEER) Calculations.
    4.1.1 SEER calculations for an air conditioner or heat pump having a 
single-speed compressor that was tested with a fixed-speed indoor fan 
installed, a constant-air-volume-rate indoor fan installed, or with no 
indoor fan installed.
    4.1.2 SEER calculations for an air conditioner or heat pump having a 
single-speed compressor and a variable-speed variable-air-volume-rate 
indoor fan.
    4.1.2.1 Units covered by section 3.2.2.1 where indoor fan capacity 
modulation correlates with the outdoor dry bulb temperature.
    4.1.2.2 Units covered by section 3.2.2.2 where indoor fan capacity 
modulation is used to adjust the sensible to total cooling capacity 
ratio.
    4.1.3 SEER calculations for an air conditioner or heat pump having a 
two-capacity compressor.
    4.1.3.1 Steady-state space cooling capacity at low compressor 
capacity is greater than or equal to the building cooling load at 
temperature Tj, Qck=1(Tj) 
= BL(Tj).
    4.1.3.2 Unit alternates between high (k=2) and low (k=1) compressor 
capacity to satisfy the building cooling load at temperature 
Tj, Qck=1(Tj) < 
BL(Tj) < Qck=2(Tj).
    4.1.3.3 Unit only operates at high (k=2) compressor capacity at 
temperature Tj and its capacity is greater than the building 
cooling load, BL(Tj) < 
Qck=2(Tj).
    4.1.3.4 Unit must operate continuously at high (k=2) compressor 
capacity at temperature Tj, BL(Tj) = 
Qck=2(Tj).
    4.1.4 SEER calculations for an air conditioner or heat pump having a 
variable-speed compressor.
    4.1.4.1 Steady-state space cooling capacity when operating at 
minimum compressor speed is greater than or equal to the building 
cooling load at temperature Tj, 
Qck=1(Tj) = 
BL(Tj).
    4.1.4.2 Unit operates at an intermediate compressor speed (k=i) in 
order to match the building cooling load at temperature Tj, 
Qck=1(Tj) < BL(Tj) < 
Qck=2(Tj).
    4.1.4.3 Unit must operate continuously at maximum (k=2) compressor 
speed at temperature Tj, BL(Tj) = 
Qck=2(Tj).
    4.2 Heating Seasonal Performance Factor (HSPF) Calculations.
    4.2.1 Additional steps for calculating the HSPF of a heat pump 
having a single-speed compressor that was tested with a fixed-speed 
indoor fan installed, a constant-air-volume-rate indoor fan installed, 
or with no indoor fan installed.
    4.2.2 Additional steps for calculating the HSPF of a heat pump 
having a single-speed compressor and a variable-speed, variable-air-
volume-rate indoor fan.
    4.2.3 Additional steps for calculating the HSPF of a heat pump 
having a two-capacity compressor.
    4.2.3.1 Steady-state space heating capacity when operating at low 
compressor capacity is greater than or equal to the building heating 
load at temperature Tj, 
Qhk=1(Tj) = 
BL(Tj).
    4.2.3.2 Heat pump alternates between high (k=2) and low (k=1) 
compressor capacity to satisfy the building heating load at a 
temperature Tj, Qhk=1(Tj) BL 
(Tj) < Qhk=2(Tj).
    4.2.3.3 Heat pump only operates at high (k=2) compressor capacity at 
temperature Tj and its capacity is greater than the building 
heating load, BL(Tj) < 
Qhk=2(Tj).
    4.2.3.4 Heat pump must operate continuously at high (k=2) compressor 
capacity at temperature Tj, BL(Tj) = 
Qhk=2(Tj).
    4.2.4 Additional steps for calculating the HSPF of a heat pump 
having a variable-speed compressor.
    4.2.4.1 Steady-state space heating capacity when operating at 
minimum compressor speed is greater than or equal to the building 
heating load at temperature Tj, 
Qhk=1(Tj) = 
BL(Tj).
    4.2.4.2 Heat pump operates at an intermediate compressor speed (k=i) 
in order to match the building heating load at a temperature 
Tj, Qhk=1(Tj) < 
BL(Tj) < Qhk=2(Tj).
    4.2.4.3 Heat pump must operate continuously at maximum (k=2) 
compressor speed at temperature Tj, BL(Tj) 
= Qhk=2(Tj).
    4.2.5 Heat pumps having a heat comfort controller.
    4.2.5.1 Heat pump having a heat comfort controller: Additional steps 
for calculating the HSPF of a heat pump having a single-speed compressor 
that was tested with a fixed-speed indoor fan installed, a constant-air-
volume-rate indoor fan installed, or with no indoor fan installed.
    4.2.5.2 Heat pump having a heat comfort controller: Additional steps 
for calculating the HSPF of a heat pump having a single-speed compressor 
and a variable-speed, variable-air-volume-rate indoor fan.
    4.2.5.3 Heat pumps having a heat comfort controller: Additional 
steps for calculating

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the HSPF of a heat pump having a two-capacity compressor.
    4.2.5.4 Heat pumps having a heat comfort controller: Additional 
steps for calculating the HSPF of a heat pump having a variable-speed 
compressor. [Reserved]
    4.3 Calculations of the Actual and Representative Regional Annual 
Performance Factors for Heat Pumps.
    4.3.1 Calculation of actual regional annual performance factors 
(APFA) for a particular location and for each standardized 
design heating requirement.
    4.3.2 Calculation of representative regional annual performance 
factors (APFR) for each generalized climatic region and for 
each standardized design heating requirement.
    4.4 Rounding of SEER, HSPF, and APF for reporting purposes.

                             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 energy used in one year. Paragraph (m)(3)(iii) of Sec. 
430.23 of the Code of Federal Regulations states the calculation 
requirements for this rating descriptor.
    1.2 ARI means Air-Conditioning and Refrigeration Institute.
    1.3 ARI Standard 210/240-2006 means the test standard ``Unitary Air-
Conditioning and Air-Source Heat Pump Equipment'' published in 2006 by 
ARI.
    1.4 ASHRAE means the American Society of Heating, Refrigerating and 
Air-Conditioning Engineers, Inc.
    1.5 ASHRAE Standard 23-2005 means the test standard ``Methods of 
Testing for Rating Positive Displacement Refrigerant Compressors and 
Condensing Units'' published in 2005 by ASHRAE.
    1.6 ASHRAE Standard 37-2005 means the test standard ``Methods of 
Testing for Rating Unitary Air-Conditioning and Heat Pump Equipment'' 
published in 2005 by ASHRAE.
    1.7 ASHRAE Standard 41.1-86 (RA 01) means the test standard 
``Standard Method for Temperature Measurement'' published in 1986 and 
reaffirmed in 2001 by ASHRAE.
    1.8 ASHRAE Standard 41.2-87 (RA 92) means the test standard 
``Standard Methods for Laboratory Airflow Measurement'' published in 
1987 and reaffirmed in 1992 by ASHRAE.
    1.9 ASHRAE Standard 41.6-94 (RA 01) means the test standard ``Method 
for Measurement of Moist Air Properties'' published in 1994 and 
reaffirmed in 2001 by ASHRAE.
    1.10 ASHRAE Standard 41.9-00 means the test standard ``Calorimeter 
Test Methods for Mass Flow Measurements of Volatile Refrigerants'' 
published in 2000 by ASHRAE.
    1.11 ASHRAE Standard 51-99/AMCA Standard 210-1999 means the test 
standard ``Laboratory Methods of Testing Fans for Aerodynamic 
Performance Rating'' published in 1999 by ASHRAE and the Air Movement 
and Control Association International, Inc.
    1.12 ASHRAE Standard 116-95 RA(05) means the test standard ``Methods 
of Testing for Rating for Seasonal Efficiency of Unitary Air 
Conditioners and Heat Pumps'' published in 1995 and reaffirmed in 2005 
by ASHRAE.
    1.13 CFR means Code of Federal Regulations.
    1.14 Constant-air-volume-rate indoor fan means a fan that varies its 
operating speed to provide a fixed air-volume-rate from a ducted system.
    1.15 Continuously recorded, when referring to a dry bulb 
measurement, means that the specified temperature must be sampled at 
regular intervals that are equal to or less than the maximum intervals 
specified in section 4.3 part ``a'' of ASHRAE Standard 41.1-86 (RA 01). 
If such dry bulb temperatures are used only for test room control, it 
means that one samples at regular intervals equal to or less than the 
maximum intervals specified in section 4.3 part ``b'' of the same ASHRAE 
Standard. Regarding wet bulb temperature, dew point temperature, or 
relative humidity measurements, continuously recorded means that the 
measurements must be made at regular intervals that are equal to or less 
than 1 minute.
    1.16 Cooling load factor (CLF) means the ratio having as its 
numerator the total cooling delivered during a cyclic operating interval 
consisting of one ON period and one OFF period. The denominator is the 
total cooling that would be delivered, given the same ambient 
conditions, had the unit operated continuously at its steady-state space 
cooling capacity for the same total time (ON + OFF) interval.
    1.17 Coefficient of Performance (COP) means the ratio of the average 
rate of space heating delivered to the average rate of electrical energy 
consumed by the heat pump. These rate quantities must be determined from 
a single test or, if derived via interpolation, must be tied to a single 
set of operating conditions. COP is a dimensionless quantity. When 
determined for a ducted unit tested without an indoor fan installed, COP 
must include the section 3.7, 3.8, and 3.9.1 default values for the heat 
output and power input of a fan motor.
    1.18 Cyclic Test means a test where the unit's compressor is cycled 
on and off for specific time intervals. A cyclic test provides half the 
information needed to calculate a degradation coefficient.
    1.19 Damper box means a short section of duct having an air damper 
that meets the performance requirements of section 2.5.7.
    1.20 Degradation coefficient (CD) means a parameter used 
in calculating the part load

[[Page 239]]

factor. The degradation coefficient for cooling is denoted by 
CD\c\. The degradation coefficient for heating is denoted by 
CD\h\.
    1.21 Demand-defrost control system means a system that defrosts the 
heat pump outdoor coil only when measuring a predetermined degradation 
of performance. The heat pump's controls monitor one or more parameters 
that always vary with the amount of frost accumulated on the outdoor 
coil (e.g., coil to air differential temperature, coil differential air 
pressure, outdoor fan power or current, optical sensors, etc.) at least 
once for every ten minutes of compressor ON-time when space heating. One 
acceptable alternative to the criterion given in the prior sentence is a 
feedback system that measures the length of the defrost period and 
adjusts defrost frequency accordingly. \1\ In all cases, when the frost 
parameter(s) reaches a predetermined value, the system initiates a 
defrost. In a demand-defrost control system, defrosts are terminated 
based on monitoring a parameter(s) that indicates that frost has been 
eliminated from the coil.
---------------------------------------------------------------------------

    \1\ Systems that vary defrost intervals according to outdoor dry-
bulb temperature are not demand defrost systems.
---------------------------------------------------------------------------

    A demand-defrost control system, which otherwise meets the above 
requirements, may allow time-initiated defrosts if, and only if, such 
defrosts occur after 6 hours of compressor operating time.
    1.22 Design heating requirement (DHR) predicts the space heating 
load of a residence when subjected to outdoor design conditions. 
Estimates for the minimum and maximum DHR are provided for six 
generalized U.S. climatic regions in section 4.2.
    1.23 Dry-coil tests are cooling mode tests where the wet-bulb 
temperature of the air supplied to the indoor coil is maintained low 
enough that no condensate forms on this coil.
    1.24 Ducted system means an air conditioner or heat pump that is 
designed to be permanently installed equipment and delivers conditioned 
air to the indoor space through a duct(s). The air conditioner or heat 
pump may be either a split system or a single-packaged unit.
    1.25 Energy efficiency ratio (EER) means the ratio of the average 
rate of space cooling delivered to the average rate of electrical energy 
consumed by the air conditioner or heat pump. These rate quantities must 
be determined from a single test or, if derived via interpolation, must 
be tied to a single set of operating conditions. EER is expressed in 
units of
[GRAPHIC] [TIFF OMITTED] TR11OC05.001

When determined for a ducted unit tested without an indoor fan 
installed, EER must include the section 3.3 and 3.5.1 default values for 
the heat output and power input of a fan motor.
    1.26 Heating load factor (HLF) means the ratio having as its 
numerator the total heating delivered during a cyclic operating interval 
consisting of one ON period and one OFF period. The denominator is the 
total heating that would be delivered, given the same ambient 
conditions, if the unit operated continuously at its steady-state space 
heating capacity for the same total time (ON plus OFF) interval.
    1.27 Heating seasonal performance factor (HSPF) means the total 
space heating required during the space heating season, expressed in 
Btu's, divided by the total electrical energy consumed by the heat pump 
system during the same season, expressed in watt-hours. The HSPF used to 
evaluate compliance with the Energy Conservation Standards (see 10 CFR 
430.32(c), Subpart C) is based on Region IV, the minimum standardized 
design heating requirement, and the sampling plan stated in 10 CFR 
430.24(m), Subpart B.
    1.28 Heat pump having a heat comfort controller means equipment that 
regulates the operation of the electric resistance elements to assure 
that the air temperature leaving the indoor section does not fall below 
a specified temperature. This specified temperature is usually field 
adjustable. Heat pumps that actively regulate the rate of electric 
resistance heating when operating below the balance point (as the result 
of a second stage call from the thermostat) but do not operate to 
maintain a minimum delivery temperature are not considered as having a 
heat comfort controller.
    1.29 Mini-split air conditioners and heat pumps means systems that 
have a single outdoor section and one or more indoor sections. The 
indoor sections cycle on and off in unison in response to a single 
indoor thermostat.
    1.30 Multiple-split air conditioners and heat pumps means systems 
that have two or more indoor sections. The indoor sections operate 
independently and can be used to condition multiple zones in response to 
multiple indoor thermostats.
    1.31 Non-ducted system means an air conditioner or heat pump that is 
designed to be permanently installed equipment and directly heats or 
cools air within the conditioned space using one or more indoor coils 
that are mounted on room walls and/or ceilings. The unit may be of a 
modular design that allows for combining multiple outdoor coils and 
compressors to create one overall system. Non-ducted systems covered by 
this test procedure are all split systems.
    1.32 Part-load factor (PLF) means the ratio of the cyclic energy 
efficiency ratio (coefficient of performance) to the steady-state energy 
efficiency ratio (coefficient of

[[Page 240]]

performance). Evaluate both energy efficiency ratios (coefficients of 
performance) based on operation at the same ambient conditions.
    1.33 Seasonal energy efficiency ratio (SEER) means the total heat 
removed from the conditioned space during the annual cooling season, 
expressed in Btu's, divided by the total electrical energy consumed by 
the air conditioner or heat pump during the same season, expressed in 
watt-hours. The SEER calculation in section 4.1 of this Appendix and the 
sampling plan stated in 10 CFR Subpart B, 430.24(m) are used to evaluate 
compliance with the Energy Conservation Standards. (See 10 CFR 
430.32(c), Subpart C.)
    1.34 Single-packaged unit means any central air conditioner or heat 
pump that has all major assemblies enclosed in one cabinet.
    1.35 Small-duct, high-velocity system means a system that contains a 
blower and indoor coil combination that is designed for, and produces, 
at least 1.2 inches (of water) of external static pressure when operated 
at the full-loadair volume rate of 220-350 cfm per rated ton of cooling. 
When applied in the field, small-duct products use high-velocity room 
outlets (i.e., generally greater than 1000 fpm) having less than 6.0 
square inches of free area.
    1.36 Split system means any air conditioner or heat pump that has 
one or more of the major assemblies separated from the others.
    1.37 Standard Air means dry air having a mass density of 0.075 lb/
ft\3\.
    1.38 Steady-state test means a test where the test conditions are 
regulated to remain as constant as possible while the unit operates 
continuously in the same mode.
    1.39 Temperature bin means the 5 [deg]F increments that are used to 
partition the outdoor dry-bulb temperature ranges of the cooling 
(= 65 [deg]F) and heating (< 65 [deg]F) seasons.
    1.40 Test condition tolerance means the maximum permissible 
difference between the average value of the measured test parameter and 
the specified test condition.
    1.41 Test operating tolerance means the maximum permissible range 
that a measurement may vary over the specified test interval. The 
difference between the maximum and minimum sampled values must be less 
than or equal to the specified test operating tolerance.
    1.42 Time adaptive defrost control system is a demand-defrost 
control system (see definition 1.21) that measures the length of the 
prior defrost period(s) and uses that information to automatically 
determine when to initiate the next defrost cycle.
    1.43 Time-temperature defrost control systems initiate or evaluate 
initiating a defrost cycle only when a predetermined cumulative 
compressor ON-time is obtained. This predetermined ON-time is generally 
a fixed value (e.g., 30, 45, 90 minutes) although it may vary based on 
the measured outdoor dry-bulb temperature. The ON-time counter 
accumulates if controller measurements (e.g., outdoor temperature, 
evaporator temperature) indicate that frost formation conditions are 
present, and it is reset/remains at zero at all other times. In one 
application of the control scheme, a defrost is initiated whenever the 
counter time equals the predetermined ON-time. The counter is reset when 
the defrost cycle is completed.
    In a second application of the control scheme, one or more 
parameters are measured (e.g., air and/or refrigerant temperatures) at 
the predetermined, cumulative, compressor ON-time. A defrost is 
initiated only if the measured parameter(s) falls within a predetermined 
range. The ON-time counter is reset regardless of whether a defrost is 
initiated. If systems of this second type use cumulative ON-time 
intervals of 10 minutes or less, then the heat pump may qualify as 
having a demand defrost control system (see definition 1.21).
    1.44 Triple-split system means an air conditioner or heat pump that 
is composed of three separate components: An outdoor fan coil section, 
an indoor fan coil section, and an indoor compressor section.
    1.45 Two-capacity (or two-stage) compressor means an air conditioner 
or heat pump that has one of the following:
    (1) A two-speed compressor,
    (2) Two compressors where only one compressor ever operates at a 
time,
    (3) Two compressors where one compressor (Compressor 1) 
operates at low loads and both compressors (Compressors 1 and 
2) operate at high loads but Compressor 2 never 
operates alone, or
    (4) A compressor that is capable of cylinder or scroll unloading.
    For such systems, low capacity means:
    (1) Operating at low compressor speed,
    (2) Operating the lower capacity compressor,
    (3) Operating Compressor 1, or
    (4) Operating with the compressor unloaded (e.g., operating one 
piston of a two-piston reciprocating compressor, using a fixed 
fractional volume of the full scroll, etc.).
    For such systems, high capacity means:
    (1) Operating at high compressor speed,
    (2) Operating the higher capacity compressor,
    (3) Operating Compressors 1 and 2, or
    (4) Operating with the compressor loaded (e.g., operating both 
pistons of a two-piston reciprocating compressor, using the full volume 
of the scroll).
    1.46 Two-capacity, northern heat pump means a heat pump that has a 
factory or field-selectable lock-out feature to prevent space cooling at 
high-capacity. Two-capacity heat pumps having this feature will 
typically

[[Page 241]]

have two sets of ratings, one with the feature disabled and one with the 
feature enabled. The indoor coil model number should reflect whether the 
ratings pertain to the lockout enabled option via the inclusion of an 
extra identifier, such as ``+LO.'' When testing as a two-capacity, 
northern heat pump, the lockout feature must remain enabled for all 
tests.
    1.47 Wet-coil test means a test conducted at test conditions that 
typically cause water vapor to condense on the test unit evaporator 
coil.

                          2. Testing Conditions

    This test procedure covers split-type and single-packaged ducted 
units and split-type non-ducted units. Except for units having a 
variable-speed compressor, ducted units tested without an indoor fan 
installed are covered.
    a. Only a subset of the sections listed in this test procedure apply 
when testing and rating a particular unit. Tables 1-A through 1-C show 
which sections of the test procedure apply to each type of equipment. In 
each table, look at all four of the Roman numeral categories to see what 
test sections apply to the equipment being tested.
    1. The first category, Rows I-1 through I-4 of the Tables, pertains 
to the compressor and indoor fan features of the equipment. After 
identifying the correct ``I'' row, find the table cells in the same row 
that list the type of equipment being tested: Air conditioner (AC), heat 
pump (HP), or heating-only heat pump (HH). Use the test section(s) 
listed above each noted table cell for testing and rating the unit.
    2. The second category, Rows II-1 and II-2, pertains to the presence 
or absence of ducts. Row II-1 shows the test procedure sections that 
apply to ducted systems, and Row II-2 shows those that apply to non-
ducted systems.
    3. The third category is for special features that may be present in 
the equipment. When testing units that have one or more of the three 
(special) equipment features described by the Table legend for Category 
III, use Row III to find test sections that apply.
    4. The fourth category is for the secondary test method to be used. 
If the secondary method for determining the unit's cooling and/or 
heating capacity is known, use Row IV to find the appropriate test 
sections. Otherwise, include all of the test sections referenced by Row 
IV cell entries--i.e., sections 2.10 to 2.10.3 and 3.11 to 3.11.3--among 
those sections consulted for testing and rating information.
    b. Obtain a complete listing of all pertinent test sections by 
recording those sections identified from the four categories above.
    c. The user should note that, for many sections, only part of a 
section applies to the unit being tested. In a few cases, the entire 
section may not apply. For example, sections 3.4 to 3.5.3 (which 
describe optional dry coil tests), are not relevant if the allowed 
default value for the cooling mode cyclic degradation coefficient is 
used rather than determining it by testing.

                   Example for Using Tables 1-A to 1-C

    Equipment Description: A ducted air conditioner having a single-
speed compressor, a fixed-speed indoor fan, and a multi-speed outdoor 
fan.
    Secondary Test Method: Refrigerant Enthalpy Method
    Step 1. Determine which of four listed Row ``I'' options applies 
== Row I-2
    Table 1-A: ``AC'' in Row I-2 is found in the columns for sections 
1.1 to 1.47, 2.1 to 2.2, 2.2.4 to 2.2.4.1, 2.2.5, 2.3 to 2.3.1, 2.4 to 
2.4.1, 2.5, 2.5.2 to 2.10, and 2.11 to 2.13.
    Table 1-B: ``AC'' is listed in Row I-2 for sections 3 to 3.1.4, 
3.1.5 to 3.1.8, 3.2.1, 3.3 to 3.5, 3.5.3, 3.11 and 3.12.
    Table 1-C: ``AC'' is listed in Row I-2 for sections 4.1.1 and 4.4.
    Step 2. Equipment is ducted == Row II-1
    Table 1-A: ``AC'' is listed in Row II-1 for sections 2.4.2 and 2.5.1 
to 2.5.1.2.
    Table 1-B: ``AC'' is listed in Row II-1 for sections 3.1.4.1 to 
3.1.4.1.1 and 3.5.1.
    Table 1-C: no ``AC'' listings in Row II-1.
    Step 3. Equipment Special Features include multi-speed outdoor fan 
== Row III, M
    Table 1-A: ``M'' is listed in Row III for section 2.2.2
    Tables 1-B and 1-C: no ``M'' listings in Row III.
    Step 4. Secondary Test Method is Refrigerant Enthalpy Method 
== Row IV, R
    Table 1-A: ``R'' is listed in Row IV for section 2.10.3
    Table 1-B: ``R'' is listed in Row IV for section 3.11.3
    Table 1-C: no ``R'' listings in Row IV.
    Step 5. Cumulative listing of applicable test procedure sections 1.1 
to 1.47, 2.1 to 2.2, 2.2.2, 2.2.4 to 2.4.1, 2.2.5, 2.3 to 2.3.1, 2.4 to 
2.4.1, 2.4.2, 2.5, 2.5.1 to 2.5.1.2, 2.5.2 to 2.10, 2.10.3, 2.11 to 
2.13, 3. to 3.1.4, 3.1.4.1 to 3.1.4.1.1, 3.1.5 to 3.1.8, 3.2.1, 3.3 to 
3.5, 3.5.1, 3.5.3, 3.11, 3.11.3, 3.12, 4.1.1, and 4.4.

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    2.1 Test room requirements. a. Test using two side-by-side rooms, an 
indoor test room and an outdoor test room. For multiple-split air 
conditioners and heat pumps (see Definition 1.30), however, use as many 
available indoor test rooms as needed to accommodate the total number of 
indoor units. These rooms must comply with the requirements specified in 
sections 8.1.2 and 8.1.3 of ASHRAE Standard 37-2005 (incorporated by 
reference, see Sec. 430.22).
    b. Inside these test rooms, use artificial loads during cyclic tests 
and frost accumulation tests, if needed, to produce stabilized room air 
temperatures. For one room, select an electric resistance heater(s) 
having a heating capacity that is approximately equal to the heating 
capacity of the test unit's condenser. For the second room, select a 
heater(s) having a capacity that is close to the sensible cooling 
capacity of the test unit's evaporator. When applied, cycle the heater 
located in the same room as the test

[[Page 246]]

unit evaporator coil ON and OFF when the test unit cycles ON and OFF. 
Cycle the heater located in the same room as the test unit condensing 
coil ON and OFF when the test unit cycles OFF and ON.
    2.2 Test unit installation requirements. a. Install the unit 
according to section 8.2 of ASHRAE Standard 37-2005 (incorporated by 
reference, see Sec. 430.22). With respect to interconnecting tubing 
used when testing split systems, however, follow the requirements given 
in section 6.1.3.5 of ARI Standard 210/240-2006 (incorporated by 
reference, see Sec. 430.22). When testing triple-split systems (see 
Definition 1.44), use the tubing length specified in section 6.1.3.5 of 
ARI Standard 210/240-2006 (incorporated by reference, see Sec. 430.22) 
to connect the outdoor coil, indoor compressor section, and indoor coil 
while still meeting the requirement of exposing 10 feet of the tubing to 
outside conditions. When testing split systems having multiple indoor 
coils, connect each indoor fan-coil to the outdoor unit using: (a) 25 
feet of tubing, or (b) tubing furnished by the manufacturer, whichever 
is longer. If they are needed to make a secondary measurement of 
capacity, install refrigerant pressure measuring instruments as 
described in section 8.2.5 of ASHRAE Standard 37-2005 (incorporated by 
reference, see Sec. 430.22). Refer to section 2.10 of this Appendix to 
learn which secondary methods require refrigerant pressure measurements. 
At a minimum, insulate the low-pressure line(s) of a split-system with 
insulation having an inside diameter that matches the refrigerant tubing 
and a nominal thickness of 0.5 inch.
    b. For units designed for both horizontal and vertical installation 
or for both up-flow and down-flow vertical installations, the 
manufacturer must specify the orientation used for testing. Conduct 
testing with the following installed:
    (1) the most restrictive filter(s);
    (2) supplementary heating coils; and
    (3) other equipment specified as part of the unit, including all 
hardware used by a heat comfort controller if so equipped (see 
Definition 1.28). For small-duct, high-velocity systems, configure all 
balance dampers or restrictor devices on or inside the unit to fully 
open or lowest restriction.
    c. Testing a ducted unit without having an indoor air filter 
installed is permissible as long as the minimum external static pressure 
requirement is adjusted as stated in Table 2, note 3 (see section 
3.1.4). Except as noted in section 3.1.9, prevent the indoor air 
supplementary heating coils from operating during all tests. For coil-
only indoor units that are supplied without an enclosure, create an 
enclosure using 1 inch fiberglass ductboard having a nominal density of 
6 pounds per cubic foot. Or alternatively, use some other insulating 
material having a thermal resistance (``R'' value) between 4 and 6 
hr[middot]ft\2\[middot] [deg]F/Btu. For units where the coil is housed 
within an enclosure or cabinet, no extra insulating or sealing is 
allowed.
    2.2.1 Defrost control settings. Set heat pump defrost controls at 
the normal settings which most typify those encountered in generalized 
climatic region IV. (Refer to Figure 2 and Table 17 of section 4.2 for 
information on region IV.) For heat pumps that use a time-adaptive 
defrost control system (see Definition 1.42), the manufacturer must 
specify the frosting interval to be used during Frost Accumulation tests 
and provide the procedure for manually initiating the defrost at the 
specified time. To ease testing of any unit, the manufacturer should 
provide information and any necessary hardware to manually initiate a 
defrost cycle.
    2.2.2 Special requirements for units having a multiple-speed outdoor 
fan. Configure the multiple-speed outdoor fan according to the 
manufacturer's specifications, and thereafter, leave it unchanged for 
all tests. The controls of the unit must regulate the operation of the 
outdoor fan during all lab tests except dry coil cooling mode tests. For 
dry coil cooling mode tests, the outdoor fan must operate at the same 
speed used during the required wet coil test conducted at the same 
outdoor test conditions.
    2.2.3 Special requirements for multi-split air conditioners and heat 
pumps, and systems composed of multiple mini-split units (outdoor units 
located side-by-side) that would normally operate using two or more 
indoor thermostats. For any test where the system is operated at part 
load (i.e., one or more compressors ``off'', operating at the 
intermediate or minimum compressor speed, or at low compressor 
capacity), the manufacturer shall designate the particular indoor coils 
that are turned off during the test. For variable-speed systems, the 
manufacturer must designate at least one indoor unit that is turned off 
for all tests conducted at minimum compressor speed. For all other part-
load tests, the manufacturer shall choose to turn off zero, one, two, or 
more indoor units. The chosen configuration shall remain unchanged for 
all tests conducted at the same compressor speed/capacity. For any 
indoor coil that is turned off during a test, take steps to cease forced 
airflow through this indoor coil and block its outlet duct. Because 
these types of systems will have more than one indoor fan and possibly 
multiple outdoor fans and compressor systems, references in this test 
procedure to a single indoor fan, outdoor fan, and compressor means all 
indoor fans, all outdoor fans, and all compressor systems that are 
turned on during the test.
    2.2.4 Wet-bulb temperature requirements for the air entering the 
indoor and outdoor coils.
    2.2.4.1 Cooling mode tests. For wet-coil cooling mode tests, 
regulate the water vapor

[[Page 247]]

content of the air entering the indoor unit to the applicable wet-bulb 
temperature listed in Tables 3 to 6. As noted in these same tables, 
achieve a wet-bulb temperature during dry-coil cooling mode tests that 
results in no condensate forming on the indoor coil. Controlling the 
water vapor content of the air entering the outdoor side of the unit is 
not required for cooling mode tests except when testing:
    (1) Units that reject condensate to the outdoor coil during wet coil 
tests. Tables 3-6 list the applicable wet-bulb temperatures.
    (2) Single-packaged units where all or part of the indoor section is 
located in the outdoor test room. The average dew point temperature of 
the air entering the outdoor coil during wet coil tests must be within 
3.0 [deg]F of the average dew point temperature of 
the air entering the indoor coil over the 30-minute data collection 
interval described in section 3.3. For dry coil tests on such units, it 
may be necessary to limit the moisture content of the air entering the 
outdoor side of the unit to meet the requirements of section 3.4.
    2.2.4.2 Heating mode tests. For heating mode tests, regulate the 
water vapor content of the air entering the outdoor unit to the 
applicable wet-bulb temperature listed in Tables 9 to 12. The wet-bulb 
temperature entering the indoor side of the heat pump must not exceed 60 
[deg]F. Additionally, if the Outdoor Air Enthalpy test method is used 
while testing a single-packaged heat pump where all or part of the 
outdoor section is located in the indoor test room, adjust the wet-bulb 
temperature for the air entering the indoor side to yield an indoor-side 
dew point temperature that is as close as reasonably possible to the dew 
point temperature of the outdoor-side entering air.
    2.2.5 Additional refrigerant charging requirements. Charging 
according to the ``manufacturer's published instructions,'' as stated in 
section 8.2 of ASHRAE Standard 37-2005 (incorporated by reference, see 
Sec. 430.22), means the manufacturer's installation instructions that 
come packaged with the unit.If a unit requires charging but the 
installation instructions do not specify a charging procedure, then 
evacuate the unit and add the nameplate refrigerant charge. Where the 
manufacturer's installation instructions contain two sets of refrigerant 
charging criteria, one for field installations and one for lab testing, 
use the field installation criteria. For third-party testing, the test 
laboratory may consult with the manufacturer about the refrigerant 
charging procedure and make any needed corrections so long as they do 
not contradict the published installation instructions. The manufacturer 
may specify an alternative charging criteria to the third-party 
laboratory so long as the manufacturer thereafter revises the published 
installation instructions accordingly.
    2.3 Indoor air volume rates. If a unit's controls allow for 
overspeeding the indoor fan (usually on a temporary basis), take the 
necessary steps to prevent overspeeding during all tests.
    2.3.1 Cooling tests. a. Set indoor fan control options (e.g., fan 
motor pin settings, fan motor speed) according to the published 
installation instructions that are provided with the equipment while 
meeting the airflow requirements that are specified in sections 3.1.4.1 
to 3.1.4.3.
    b. Express the Cooling Full-load Air Volume Rate, the Cooling 
Minimum Air Volume Rate, and the Cooling Intermediate Air Volume Rate in 
terms of standard air.
    2.3.2 Heating tests. a. If needed, set the indoor fan control 
options (e.g., fan motor pin settings, fan motor speed) according to the 
published installation instructions that are provided with the 
equipment. Do this set-up while meeting all applicable airflow 
requirements specified in sections 3.1.4.4 to 3.1.4.7.
    b. Express the Heating Certified Air Volume Rate, the Heating 
Minimum Air Volume Rate, the Heating Intermediate Air Volume Rate, and 
the Heating Nominal Air Volume Rate in terms of standard air.
    2.4 Indoor coil inlet and outlet duct connections. Insulate and/or 
construct the outlet plenum described in section 2.4.1 and, if 
installed, the inlet plenum described in section 2.4.2 with thermal 
insulation having a nominal overall sistance (R-value) of at least 19 
hr[middot]ft\2\[middot] [deg]F/Btu.
    2.4.1 Outlet plenum for the indoor unit. a. Attach a plenum to the 
outlet of the indoor coil. (Note: for some packaged systems, the indoor 
coil may be located in the outdoor test room.)
    b. For systems having multiple indoor coils, attach a plenum to each 
indoor coil outlet. Connect two or more outlet plenums to a single 
common duct so that each indoor coil ultimately connects to an airflow 
measuring apparatus (section 2.6). If using more than one indoor test 
room, do likewise, creating one or more common ducts within each test 
room that contains multiple indoor coils. At the plane where each plenum 
enters a common duct, install an adjustable airflow damper and use it to 
equalize the static pressure in each plenum. Each outlet air temperature 
grid (section 2.5.4) and airflow measuring apparatus are located 
downstream of the inlet(s) to the common duct.
    c. For small-duct, high-velocity systems, install an outlet plenum 
that has a diameter that is equal to or less than the value listed 
below. The limit depends only on the cooling Full-Load Air Volume Rate 
(see section 3.1.4.1.1) and is effective regardless of the flange 
dimensions on the outlet of the unit (or an air supply plenum adapter 
accessory, if installed in accordance with the manufacturer's 
installation instructions).

[[Page 248]]

    d. Add a static pressure tap to each face of the (each) outlet 
plenum, if rectangular, or at four evenly distributed locations along 
the circumference of an oval or round plenum. Create a manifold that 
connects the four static pressure taps. Figure 1 shows two of the three 
options allowed for the manifold configuration; the third option is the 
broken-ring, four-to-one manifold configuration that is shown in Figure 
7a of ASHRAE Standard 37-2005 (incorporated by reference, see Sec. 
430.22). See Figures 7a, 7b, 7c, and 8 of ASHRAE Standard 37-2005 
(incorporated by reference, see Sec. 430.22) for the cross-sectional 
dimensions and minimum length of the (each) plenum and the locations for 
adding the static pressure taps for units tested with and without an 
indoor fan installed.

------------------------------------------------------------------------
                                                   Maximum diameter* of
   Cooling full-load air volume rate  (scfm)     outlet plenum  (inches)
------------------------------------------------------------------------
<=500..........................................                        6
501 to 700.....................................                        7
701 to 900.....................................                        8
901 to 1100....................................                        9
1101 to 1400...................................                       10
1401 to 1750...................................                       11
------------------------------------------------------------------------
*If the outlet plenum is rectangular, calculate its equivalent diameter
  using (4A/P,) where A is the area and P is the perimeter of the
  rectangular plenum, and compare it to the listed maximum diameter.

    2.4.2 Inlet plenum for the indoor unit. Install an inlet plenum when 
testing a coil-only indoor unit or a packaged system where the indoor 
coil is located in the outdoor test room. Add static pressure taps at 
the center of each face of this plenum, if rectangular, or at four 
evenly distributed locations along the circumference of an oval or round 
plenum. Make a manifold that connects the four static-pressure taps 
using one of the three configurations specified in section 2.4.1. See 
Figures 7b, 7c, and Figure 8 of ASHRAE Standard 37-2005 (incorporated by 
reference, see Sec. 430.22) for cross-sectional dimensions, the minimum 
length of the inlet plenum, and the locations of the static-pressure 
taps. When testing a ducted unit having an indoor fan (and the indoor 
coil is in the indoor test room), the manufacturer has the option to 
test with or without an inlet plenum installed. Space limitations within 
the test room may dictate that the manufacturer choose the latter 
option. If used, construct the inlet plenum and add the four static-
pressure taps as shown in Figure 8 of ASHRAE Standard 37-2005 
(incorporated by reference, see Sec. 430.22). Manifold the four static-
pressure taps using one of the three configurations specified in section 
2.4.1. Never use an inlet plenum when testing a non-ducted system.
    2.5 Indoor coil air property measurements and air damper box 
applications. a. Measure the dry-bulb temperature and water vapor 
content of the air entering and leaving the indoor coil. If needed, use 
an air sampling device to divert air to a sensor(s) that measures the 
water vapor content of the air. See Figure 2 of ASHRAE Standard 41.1-86 
(RA 01) (incorporated by reference, see Sec. 430.22) for guidance on 
constructing an air sampling device. The sampling device may also divert 
air to a remotely located sensor(s) that measures dry bulb temperature. 
The air sampling device and the remotely located temperature sensor(s) 
may be used to determine the entering air dry bulb temperature during 
any test. The air sampling device and the remotely located leaving air 
dry bulb temperature sensor(s) may be used for all tests except:
    (1) Cyclic tests; and
    (2) Frost accumulation tests.
    b. An acceptable alternative in all cases, including the two special 
cases noted above, is to install a grid of dry bulb temperature sensors 
within the outlet and inlet ducts. Use a temperature grid to get the 
average dry bulb temperature at one location, leaving or entering, or 
when two grids are applied as a thermopile, to directly obtain the 
temperature difference. A grid of temperature sensors (which may also be 
used for determining average leaving air dry bulb temperature) is 
required to measure the temperature distribution within a cross-section 
of the leaving airstream.
    c. Use an inlet and outlet air damper box when testing ducted 
systems if conducting one or both of the cyclic tests listed in sections 
3.2 and 3.6. Otherwise, install an outlet air damper box when testing 
heat pumps, both ducted and non-ducted, that cycle off the indoor fan 
during defrost cycles if no other means is available for preventing 
natural or forced convection through the indoor unit when the indoor fan 
is off. Never use an inlet damper box when testing a non-ducted system.
    2.5.1 Test set-up on the inlet side of the indoor coil: for cases 
where the inlet damper box is installed. a. Install the inlet side 
damper box as specified in section 2.5.1.1 or 2.5.1.2, whichever 
applies. Insulate or construct the ductwork between the point where the 
air damper is installed and where the connection is made to either the 
inlet plenum (section 2.5.1.1 units) or the indoor unit (section 2.5.1.2 
units) with thermal insulation that has a nominal overall resistance (R-
value) of at least 19 hr[middot]ft\2\[middot] [deg]F/Btu.
    b. Locate the grid of entering air dry-bulb temperature sensors, if 
used, at the inlet of the damper box. Locate the air sampling device, or 
the sensor used to measure the water vapor content of the inlet air, at 
a location immediately upstream of the damper box inlet.
    2.5.1.1 If the section 2.4.2 inlet plenum is installed. Install the 
inlet damper box upstream of the inlet plenum. The cross-sectional flow 
area of the damper box must be

[[Page 249]]

equal to or greater than the flow area of the inlet plenum. If needed, 
use an adaptor plate or a transition duct section to connect the damper 
box with the inlet plenum.
    2.5.1.2 If the section 2.4.2 inlet plenum is not installed. Install 
the damper box immediately upstream of the air inlet of the indoor unit. 
The cross-sectional dimensions of the damper box must be equal to or 
greater than the dimensions of the indoor unit inlet. If needed, use an 
adaptor plate or a short transition duct section to connect the damper 
box with the unit's air inlet. Add static pressure taps at the center of 
each face of the damper box, if rectangular, or at four evenly 
distributed locations along the circumference, if oval or round. Locate 
the pressure taps between the inlet damper and the inlet of the indoor 
unit. Make a manifold that connects the four static pressure taps.
    2.5.2 Test set-up on the inlet side of the indoor unit: for cases 
where no inlet damper box is installed. If using the section 2.4.2 inlet 
plenum and a grid of dry bulb temperature sensors, mount the grid at a 
location upstream of the static pressure taps described in section 
2.4.2, preferably at the entrance plane of the inlet plenum. If the 
section 2.4.2 inlet plenum is not used, but a grid of dry bulb 
temperature sensors is used, locate the grid approximately 6 inches 
upstream from the inlet of the indoor coil. Or, in the case of non-
ducted units having multiple indoor coils, locate a grid approximately 6 
inches upstream from the inlet of each indoor coil. Position an air 
sampling device, or the sensor used to measure the water vapor content 
of the inlet air, immediately upstream of the (each) entering air dry-
bulb temperature sensor grid. If a grid of sensors is not used, position 
the entering air sampling device (or the sensor used to measure the 
water vapor content of the inlet air) as if the grid were present.
    2.5.3 Indoor coil static pressure difference measurement. Section 
6.5.2 of ASHRAE Standard 37-2005 (incorporated by reference, see Sec. 
430.22) describes the method for fabricating static-pressure taps. Also 
refer to Figure 2A of ASHRAE Standard 51-99/AMCA Standard 210-99 
(incorporated by reference, see Sec. 430.22). Use a differential 
pressure measuring instrument that is accurate to within 0.01 inches of water and has a resolution of at least 
0.01 inches of water to measure the static pressure difference between 
the indoor coil air inlet and outlet. Connect one side of the 
differential pressure instrument to the manifolded pressure taps 
installed in the outlet plenum. Connect the other side of the instrument 
to the manifolded pressure taps located in either the inlet plenum or 
incorporated within the air damper box. If an inlet plenum or inlet 
damper box are not used, leave the inlet side of the differential 
pressure instrument open to the surrounding atmosphere. For non-ducted 
systems that are tested with multiple outlet plenums, measure the static 
pressure within each outlet plenum relative to the surrounding 
atmosphere.
    2.5.4 Test set-up on the outlet side of the indoor coil. a. Install 
an interconnecting duct between the outlet plenum described in section 
2.4.1 and the airflow measuring apparatus described below in section 
2.6. The cross-sectional flow area of the interconnecting duct must be 
equal to or greater than the flow area of the outlet plenum or the 
common duct used when testing non-ducted units having multiple indoor 
coils. If needed, use adaptor plates or transition duct sections to 
allow the connections. To minimize leakage, tape joints within the 
interconnecting duct (and the outlet plenum). Construct or insulate the 
entire flow section with thermal insulation having a nominal overall 
resistance (R-value) of at least 19 hr[middot]ft\2\[middot] [deg]F/Btu.
    b. Install a grid(s) of dry-bulb temperature sensors inside the 
interconnecting duct. Also, install an air sampling device, or the 
sensor(s) used to measure the water vapor content of the outlet air, 
inside the interconnecting duct. Locate the dry-bulb temperature grid(s) 
upstream of the air sampling device (or the in-duct sensor(s) used to 
measure the water vapor content of the outlet air). Air that circulates 
through an air sampling device and past a remote water-vapor-content 
sensor(s) must be returned to the interconnecting duct at a point:
    (1) Downstream of the air sampling device;
    (2) Upstream of the outlet air damper box, if installed; and
    (3) Upstream of the section 2.6 airflow measuring apparatus.
    2.5.4.1 Outlet air damper box placement and requirements. If using 
an outlet air damper box (see section 2.5), install it within the 
interconnecting duct at a location downstream of the location where air 
from the sampling device is reintroduced or downstream of the in-duct 
sensor that measures water vapor content of the outlet air. The leakage 
rate from the combination of the outlet plenum, the closed damper, and 
the duct section that connects these two components must not exceed 20 
cubic feet per minute when a negative pressure of 1 inch of water column 
is maintained at the plenum's inlet.
    2.5.4.2 Procedures to minimize temperature maldistribution. Use 
these procedures if necessary to correct temperature maldistributions. 
Install a mixing device(s) upstream of the outlet air, dry-bulb 
temperature grid (but downstream of the outlet plenum static pressure 
taps). Use a perforated screen located between the mixing device and the 
dry-bulb temperature grid, with a maximum open area of 40 percent. One 
or both items should help to meet the maximum outlet air temperature 
distribution

[[Page 250]]

specified in section 3.1.8. Mixing devices are described in sections 
6.3--6.5 of ASHRAE Standard 41.1-86 (RA 01) (incorporated by reference, 
see Sec. 430.22) and section 5.2.2 of ASHRAE Standard 41.2-87 (RA 92) 
(incorporated by reference, see Sec. 430.22).
    2.5.4.3 Minimizing air leakage. For small-duct, high-velocity 
systems, install an air damper near the end of the interconnecting duct, 
just prior to the transition to the airflow measuring apparatus of 
section 2.6. To minimize air leakage, adjust this damper such that the 
pressure in the receiving chamber of the airflow measuring apparatus is 
no more than 0.5 inch of water higher than the surrounding test room 
ambient. In lieu of installing a separate damper, use the outlet air 
damper box of sections 2.5 and 2.5.4.1 if it allows variable 
positioning. Also apply these steps to any conventional indoor blower 
unit that creates a static pressure within the receiving chamber of the 
airflow measuring apparatus that exceeds the test room ambient pressure 
by more than 0.5 inches of water column.
    2.5.5 Dry bulb temperature measurement. a. Measure dry bulb 
temperatures as specified in sections 4, 5, 6.1-6.10, 9, 10, and 11 of 
ASHRAE Standard 41.1-86 (RA 01) (incorporated by reference, see Sec. 
430.22). The transient testing requirements cited in section 4.3 of 
ASHRAE Standard 41.1-86 (RA 01) (incorporated by reference, see Sec. 
430.22) apply if conducting a cyclic or frost accumulation test.
    b. Distribute the sensors of a dry-bulb temperature grid over the 
entire flow area. The required minimum is 9 sensors per grid.
    2.5.6 Water vapor content measurement. Determine water vapor content 
by measuring dry-bulb temperature combined with the air wet-bulb 
temperature, dew point temperature, or relative humidity. If used, 
construct and apply wet-bulb temperature sensors as specified in 
sections 4, 5, 6, 9, 10, and 11 of ASHRAE Standard 41.1-86 (RA 01) 
(incorporated by reference, see Sec. 430.22). As specified in ASHRAE 
41.1-86 (RA 01) (incorporated by reference, see Sec. 430.22), the 
temperature sensor (wick removed) must be accurate to within 0.2 [deg]F. If used, apply dew point hygrometers as 
specified in sections 5 and 8 of ASHRAE Standard 41.6-94 (RA 01) 
(incorporated by reference, see Sec. 430.22). The dew point hygrometers 
must be accurate to within 0.4 [deg]F when 
operated at conditions that result in the evaluation of dew points above 
35 [deg]F. If used, a relative humidity (RH) meter must be accurate to 
within 0.7% RH. Other means to determine the 
psychrometric state of air may be used as long as the measurement 
accuracy is equivalent to or better than the accuracy achieved from 
using a wet-bulb temperature sensor that meets the above specifications.
    2.5.7 Air damper box performance requirements. If used (see section 
2.5), the air damper box(es) must be capable of being completely opened 
or completely closed within 10 seconds for each action.
    2.6 Airflow measuring apparatus. a. Fabricate and operate an Air 
Flow Measuring Apparatus as specified in section 6.6 of ASHRAE Standard 
116-95 (RA05) (incorporated by reference, see Sec. 430.22). Refer to 
Figure 12 of ASHRAE Standard 51-99/AMCA Standard 210-99 (incorporated by 
reference, see Sec. 430.22) or Figure 14 of ASHRAE Standard 41.2-87 (RA 
92) (incorporated by reference, see Sec. 430.22) for guidance on 
placing the static pressure taps and positioning the diffusion baffle 
(settling means) relative to the chamber inlet.
    b. Connect the airflow measuring apparatus to the interconnecting 
duct section described in section 2.5.4. See sections 6.1.1, 6.1.2, and 
6.1.4, and Figures 1, 2, and 4 of ASHRAE Standard 37-2005 (incorporated 
by reference, see Sec. 430.22), and Figures D1, D2, and D4 of ARI 
Standard 210/240-2006 (incorporated by reference, see Sec. 430.22) for 
illustrative examples of how the test apparatus may be applied within a 
complete laboratory set-up. Instead of following one of these examples, 
an alternative set-up may be used to handle the air leaving the airflow 
measuring apparatus and to supply properly conditioned air to the test 
unit's inlet. The alternative set-up, however, must not interfere with 
the prescribed means for measuring airflow rate, inlet and outlet air 
temperatures, inlet and outlet water vapor contents, and external static 
pressures, nor create abnormal conditions surrounding the test unit. 
(Note: Do not use an enclosure as described in section 6.1.3 of ASHRAE 
Standard 37-2005 (incorporated by reference, see Sec. 430.22) when 
testing triple-split units.)
    2.7 Electrical voltage supply. Perform all tests at the voltage 
specified in section 6.1.3.2 of ARI Standard 210/240-2006 (incorporated 
by reference, see Sec. 430.22) for ``Standard Rating Tests.'' Measure 
the supply voltage at the terminals on the test unit using a volt meter 
that provides a reading that is accurate to within 1.0 percent of the measured quantity.
    2.8 Electrical power and energy measurements. a. Use an integrating 
power (watt-hour) measuring system to determine the electrical energy or 
average electrical power supplied to all components of the air 
conditioner or heat pump (including auxiliary components such as 
controls, transformers, crankcase heater, integral condensate pump on 
non-ducted indoor units, etc.). The watt-hour measuring system must give 
readings that are accurate to within 0.5 percent. 
For cyclic tests, this accuracy is required during both the ON and OFF 
cycles. Use either two different scales on the same watt-hour meter or 
two separate watt-hour meters. Activate the scale or meter having the 
lower power rating within 15 seconds after beginning an

[[Page 251]]

OFF cycle. Activate the scale or meter having the higher power rating 
active within 15 seconds prior to beginning an ON cycle. For ducted 
units tested with a fan installed, the ON cycle lasts from compressor ON 
to indoor fan OFF. For ducted units tested without an indoor fan 
installed, the ON cycle lasts from compressor ON to compressor OFF. For 
non-ducted units, the ON cycle lasts from indoor fan ON to indoor fan 
OFF. When testing air conditioners and heat pumps having a variable-
speed compressor, avoid using an induction watt/watt-hour meter.
    b. When performing section 3.5 and/or 3.8 cyclic tests on non-ducted 
units, provide instrumentation to determine the average electrical power 
consumption of the indoor fan motor to within 1.0 
percent. If required according to sections 3.3, 3.4, 3.7, 3.9.1, and/or 
3.10, this same instrumentation requirement applies when testing air 
conditioners and heat pumps having a variable-speed constant-air-volume-
rate indoor fan or a variable-speed, variable-air-volume-rate indoor 
fan.
    2.9 Time measurements. Make elapsed time measurements using an 
instrument that yields readings accurate to within 0.2 percent.
    2.10 Test apparatus for the secondary space conditioning capacity 
measurement. For all tests, use the Indoor Air Enthalpy Method to 
measure the unit's capacity. This method uses the test set-up specified 
in sections 2.4 to 2.6. In addition, for all steady-state tests, conduct 
a second, independent measurement of capacity as described in section 
3.1.1. For split systems, use one of the following secondary measurement 
methods: Outdoor Air Enthalpy Method, Compressor Calibration Method, or 
Refrigerant Enthalpy Method. For single packaged units, use either the 
Outdoor Air Enthalpy Method or the Compressor Calibration Method as the 
secondary measurement.
    2.10.1 Outdoor Air Enthalpy Method. a. To make a secondary 
measurement of indoor space conditioning capacity using the Outdoor Air 
Enthalpy Method, do the following:
    (1) Measure the electrical power consumption of the test unit;
    (2) Measure the air-side capacity at the outdoor coil; and
    (3) Apply a heat balance on the refrigerant cycle.
    b. The test apparatus required for the Outdoor Air Enthalpy Method 
is a subset of the apparatus used for the Indoor Air Enthalpy Method. 
Required apparatus includes the following:
    (1) An outlet plenum containing static pressure taps (sections 2.4, 
2.4.1, and 2.5.3),
    (2) An airflow measuring apparatus (section 2.6),
    (3) A duct section that connects these two components and itself 
contains the instrumentation for measuring the dry-bulb temperature and 
water vapor content of the air leaving the outdoor coil (sections 2.5.4, 
2.5.5, and 2.5.6), and
    (4) On the inlet side, a sampling device and optional temperature 
grid (sections 2.5 and 2.5.2).
    c. During the preliminary tests described in sections 3.11.1 and 
3.11.1.1, measure the evaporator and condenser temperatures or 
pressures. On both the outdoor coil and the indoor coil, solder a 
thermocouple onto a return bend located at or near the midpoint of each 
coil or at points not affected by vapor superheat or liquid subcooling. 
Alternatively, if the test unit is not sensitive to the refrigerant 
charge, connect pressure gages to the access valves or to ports created 
from tapping into the suction and discharge lines. Use this alternative 
approach when testing a unit charged with a zeotropic refrigerant having 
a temperature glide in excess of 1 [deg]F at the specified test 
conditions.
    2.10.2 Compressor Calibration Method. Measure refrigerant pressures 
and temperatures to determine the evaporator superheat and the enthalpy 
of the refrigerant that enters and exits the indoor coil. Determine 
refrigerant flow rate or, when the superheat of the refrigerant leaving 
the evaporator is less than 5 [deg]F, total capacity from separate 
calibration tests conducted under identical operating conditions. When 
using this method, install instrumentation, measure refrigerant 
properties, and adjust the refrigerant charge according to section 7.4.2 
of ASHRAE Standard 37-2005 (incorporated by reference, see Sec. 
430.22). Use refrigerant temperature and pressure measuring instruments 
that meet the specifications given in sections 5.1.1 and 5.2 of ASHRAE 
Standard 37-2005 (incorporated by reference, see Sec. 430.22).
    2.10.3 Refrigerant Enthalpy Method. For this method, calculate space 
conditioning capacity by determining the refrigerant enthalpy change for 
the indoor coil and directly measuring the refrigerant flow rate. Use 
section 7.5.2 of ASHRAE Standard 37-2005 (incorporated by reference, see 
Sec. 430.22) for the requirements for this method, including the 
additional instrumentation requirements, and information on placing the 
flow meter and a sight glass. Use refrigerant temperature, pressure, and 
flow measuring instruments that meet the specifications given in 
sections 5.1.1, 5.2, and 5.5.1 of ASHRAE Standard 37-2005 (incorporated 
by reference, see Sec. 430.22).
    2.11 Measurement of test room ambient conditions. a. If using a test 
set-up where air is ducted directly from the conditioning apparatus to 
the indoor coil inlet (see Figure 2, Loop Air-Enthalpy Test Method 
Arrangement, of ASHRAE Standard 37-2005 (incorporated by reference, see 
Sec. 430.22)), add instrumentation to permit measurement of the indoor 
test room dry-bulb temperature.

[[Page 252]]

    b. If the Outdoor Air Enthalpy Method is not used, add 
instrumentation to measure the dry-bulb temperature and the water vapor 
content of the air entering the outdoor coil. If an air sampling device 
is used, construct and apply the device as per section 6 of ASHRAE 
Standard 41.1-86 (RA 01) (incorporated by reference, see Sec. 430.22). 
Take steps (e.g., add or re-position a lab circulating fan), as needed, 
to minimize the magnitude of the temperature distribution non-
uniformity. Position any fan in the outdoor test room while trying to 
keep air velocities in the vicinity of the test unit below 500 feet per 
minute.
    c. Measure dry bulb temperatures as specified in sections 4, 5, 6.1-
6.10, 9, 10, and 11 of ASHRAE Standard 41.1-86 (RA 01) (incorporated by 
reference, see Sec. 430.22). Measure water vapor content as stated 
above in section 2.5.6.
    2.12 Measurement of indoor fan speed. When required, measure fan 
speed using a revolution counter, tachometer, or stroboscope that gives 
readings accurate to within 1.0 percent.
    2.13 Measurement of barometric pressure. Determine the average 
barometric pressure during each test. Use an instrument that meets the 
requirements specified in section 5.2 of ASHRAE Standard 37-
2005(incorporated by reference, see Sec. 430.22).

                          3. Testing Procedures

    3.1 General Requirements. If, during the testing process, an 
equipment set-up adjustment is made that would alter the performance of 
the unit when conducting an already completed test, then repeat all 
tests affected by the adjustment. For cyclic tests, instead of 
maintaining an air volume rate, for each airflow nozzle, maintain the 
static pressure difference or velocity pressure during an ON period at 
the same pressure difference or velocity pressure as measured during the 
steady-state test conducted at the same test conditions.
    3.1.1 Primary and secondary test methods. For all tests, use the 
Indoor Air Enthalpy Method test apparatus to determine the unit's space 
conditioning capacity. The procedure and data collected, however, differ 
slightly depending upon whether the test is a steady-state test, a 
cyclic test, or a frost accumulation test. The following sections 
described these differences. For all steady-state tests (i.e., the A, 
A2, A1, B, B2, B1, C, 
C1, EV, F1, G1, H01, 
H1, H12, H11, HIN, 
H3, H32, and H31 Tests), in addition, 
use one of the acceptable secondary methods specified in section 2.10 to 
determine indoor space conditioning capacity. Calculate this secondary 
check of capacity according to section 3.11. The two capacity 
measurements must agree to within 6 percent to constitute a valid test. 
For this capacity comparison, use the Indoor Air Enthalpy Method 
capacity that is calculated in section 7.3 of ASHRAE Standard 37-2005 
(incorporated by reference, see Sec. 430.22) (and, if testing a coil-
only unit, do not make the after-test fan heat adjustments described in 
section 3.3, 3.4, 3.7, and 3.10 of this Appendix). However, include the 
appropriate section 3.3 to 3.5 and 3.7 to 3.10 fan heat adjustments 
within the Indoor Air Enthalpy Method capacities used for the section 4 
seasonal calculations.
    3.1.2 Manufacturer-provided equipment overrides. Where needed, the 
manufacturer must provide a means for overriding the controls of the 
test unit so that the compressor(s) operates at the specified speed or 
capacity and the indoor fan operates at the specified speed or delivers 
the specified air volume rate.
    3.1.3 Airflow through the outdoor coil. For all tests, meet the 
requirements given in section 6.1.3.4 of ARI Standard 210/240-
2006(incorporated by reference, see Sec. 430.22) when obtaining the 
airflow through the outdoor coil.
    3.1.4 Airflow through the indoor coil.
    3.1.4.1 Cooling Full-load Air Volume Rate.
    3.1.4.1.1 Cooling Full-Load Air Volume Rate for Ducted Units. The 
manufacturer must specify the Cooling Full-load Air Volume Rate. Use 
this value as long as the following two requirements are satisfied. 
First, when conducting the A or A2 Test (exclusively), the 
measured air volume rate, when divided by the measured indoor air-side 
total cooling capacity must not exceed 37.5 cubic feet per minute of 
standard air (scfm) per 1000 Btu/h. If this ratio is exceeded, reduce 
the air volume rate until this ratio is equaled. Use this reduced air 
volume rate for all tests that call for using the Cooling Full-load Air 
Volume Rate. The second requirement is as follows:
    a. For all ducted units tested with an indoor fan installed, except 
those having a variable-speed, constant-air-volume-rate indoor fan. The 
second requirement applies exclusively to the A or A2 Test 
and is met as follows.
    1. Achieve the Cooling Full-load Air Volume Rate, determined in 
accordance with the previous paragraph;
    2. Measure the external static pressure;
    3. If this pressure is equal to or greater than the applicable 
minimum external static pressure cited in Table 2, this second 
requirement is satisfied. Use the current air volume rate for all tests 
that require the Cooling Full-load Air Volume Rate.
    4. If the Table 2 minimum is not equaled or exceeded,
    4a. reduce the air volume rate until the applicable Table 2 minimum 
is equaled or
    4b. until the measured air volume rate equals 95 percent of the air 
volume rate from step 1, whichever occurs first.
    5. If the conditions of step 4a occur first, this second requirement 
is satisfied. Use the

[[Page 253]]

step 4a reduced air volume rate for all tests that require the Cooling 
Full-load Air Volume Rate.
    6. If the conditions of step 4b occur first, make an incremental 
change to the set-up of the indoor fan (e.g., next highest fan motor pin 
setting, next highest fan motor speed) and repeat the evaluation process 
beginning at above step 1. If the indoor fan set-up cannot be further 
changed, reduce the air volume rate until the applicable Table 2 minimum 
is equaled. Use this reduced air volume rate for all tests that require 
the Cooling Full-load Air Volume Rate.
    b. For ducted units that are tested with a variable-speed, constant-
air-volume-rate indoor fan installed.For all tests that specify the 
Cooling Full-load Air Volume Rate, obtain an external static pressure as 
close to (but not less than) the applicable Table 2 value that does not 
cause instability or an automatic shutdown of the indoor blower.
    c. For ducted units that are tested without an indoor fan installed. 
For the A or A2 Test, (exclusively), the pressure drop across 
the indoor coil assembly must not exceed 0.30 inches of water. If this 
pressure drop is exceeded, reduce the air volume rate until the measured 
pressure drop equals the specified maximum. Use this reduced air volume 
rate for all tests that require the Cooling Full-loadAir Volume Rate.

Table 2--Minimum External Static Pressure for Ducted Systems Tested With
                         an Indoor Fan Installed
------------------------------------------------------------------------
                                        Minimum external resistance \3\
                                               (Inches of water)
  Rated Cooling \1\ or Heating \2\   -----------------------------------
          Capacity  (Btu/h)                             Small-duct, high-
                                          All other     velocity systems
                                           systems            \4,5\
------------------------------------------------------------------------
Up Thru 28,800......................              0.10              1.10
29,000 to 42,500....................              0.15              1.15
43,000 and Above....................              0.20              1.20
------------------------------------------------------------------------
\1\ For air conditioners and heat pumps, the value cited by the
  manufacturer in published literature for the unit's capacity when
  operated at the A or A2 Test conditions.
\2\ For heating-only heat pumps, the value the manufacturer cites in
  published literature for the unit's capacity when operated at the H1
  or H12 Test conditions.
\3\ For ducted units tested without an air filter installed, increase
  the applicable tabular value by 0.08 inch of water.
\4\ See Definition 1.35 to determine if the equipment qualifies as a
  small-duct, high-velocity system.
\5\ If a closed-loop, air-enthalpy test apparatus is used on the indoor
  side, limit the resistance to airflow on the inlet side of the indoor
  blower coil to a maximum value of 0.1 inch of water. Impose the
  balance of the airflow resistance on the outlet side of the indoor
  blower.

    3.1.4.1.2 Cooling Full-load Air Volume Rate for Non-ducted Units. 
For non-ducted units, the Cooling Full-load Air Volume Rate is the air 
volume rate that results during each test when the unit is operated at 
an external static pressure of zero inches of water.
    3.1.4.2 Cooling Minimum Air Volume Rate. a. For ducted units that 
regulate the speed (as opposed to the cfm) of the indoor fan,
[GRAPHIC] [TIFF OMITTED] TR22OC07.065

where ``Cooling Minimum Fan Speed'' corresponds to the fan speed used 
when operating at low compressor capacity (two-capacity system), the fan 
speed used when operating at the minimum compressor speed (variable-
speed system), or the lowest fan speed used when cooling (single-speed 
compressor and a variable-speed variable-air-volume-rate indoor fan). 
For such systems, obtain the Cooling Minimum Air Volume Rate regardless 
of the external static pressure.
    b. For ducted units that regulate the air volume rate provided by 
the indoor fan, the manufacturer must specify the Cooling Minimum Air 
Volume Rate. For such systems, conduct all tests that specify the 
Cooling Minimum Air Volume Rate--(i.e., the A1, 
B1, C1, F1, and G1 Tests)--
at an external static pressure that does not cause instability or an 
automatic shutdown of the indoor blower while being as close to, but not 
less than,
[GRAPHIC] [TIFF OMITTED] TR22OC07.066

where [Delta]Pst,A2 is the applicable Table 2 minimum 
external static pressure that was targeted during the A2 (and 
B2) Test.
    c. For ducted two-capacity units that are tested without an indoor 
fan installed, the Cooling Minimum Air Volume Rate is the

[[Page 254]]

higher of (1) the rate specified by the manufacturer or (2) 75 percent 
of the Cooling Full-load Air Volume Rate. During the laboratory tests on 
a coil-only (fanless) unit, obtain this Cooling Minimum Air Volume Rate 
regardless of the pressure drop across the indoor coil assembly.
    d. For non-ducted units, the Cooling Minimum Air Volume Rate is the 
air volume rate that results during each test when the unit operates at 
an external static pressure of zero inches of water and at the indoor 
fan setting used at low compressor capacity (two-capacity system) or 
minimum compressor speed (variable-speed system). For units having a 
single-speed compressor and a variable-speed variable-air-volume-rate 
indoor fan, use the lowest fan setting allowed for cooling.
    3.1.4.3 Cooling Intermediate Air Volume Rate. a. For ducted units 
that regulate the speed of the indoor fan,
[GRAPHIC] [TIFF OMITTED] TR22OC07.067

For such units, obtain the Cooling Intermediate Air Volume Rate 
regardless of the external static pressure.
    b. For ducted units that regulate the air volume rate provided by 
the indoor fan, the manufacturer must specify the Cooling Intermediate 
Air Volume Rate. For such systems, conduct the EV Test at an 
external static pressure that does not cause instability or an automatic 
shutdown of the indoor blower while being as close to, but not less 
than,
[GRAPHIC] [TIFF OMITTED] TR22OC07.068

where [Delta]Pst,A2 is the applicable Table 2 minimum 
external static pressure that was targeted during the A2 (and 
B2) Test.
    c. For non-ducted units, the Cooling Intermediate Air Volume Rate is 
the air volume rate that results when the unit operates at an external 
static pressure of zero inches of water and at the fan speed selected by 
the controls of the unit for the EV Test conditions.
    3.1.4.4 Heating Full-load Air Volume Rate.
    3.1.4.4.1 Ducted heat pumps where the Heating and Cooling Full-load 
Air Volume Rates are the same. a. Use the Cooling Full-load Air Volume 
Rate as the Heating Full-loadAir Volume Rate for:
    1. Ducted heat pumps that operate at the same indoor fan speed 
during both the A (or A2) and the H1 (or H12) 
Tests;
    2. Ducted heat pumps that regulate fan speed to deliver the same 
constant air volume rate during both the A (or A2) and the H1 
(or H12) Tests; and
    3. Ducted heat pumps that are tested without an indoor fan installed 
(except two-capacity northern heat pumps that are tested only at low 
capacity cooling--see 3.1.4.4.2).

b. For heat pumps that meet the above criteria ``1'' and ``3,'' no 
minimum requirements apply to the measured external or internal, 
respectively, static pressure. For heat pumps that meet the above 
criterion ``2,'' test at an external static pressure that does not cause 
instability or an automatic shutdown of the indoor blower while being as 
close to, but not less than, the same Table 2 minimum external static 
pressure as was specified for the A (or A2) cooling mode 
test.
    3.1.4.4.2 Ducted heat pumps where the Heating and Cooling Full-
loadAir Volume Rates are different due to indoor fan operation. a. For 
ducted heat pumps that regulate the speed (as opposed to the cfm) of the 
indoor fan,
[GRAPHIC] [TIFF OMITTED] TR22OC07.069


[[Page 255]]


For such heat pumps, obtain the Heating Full-loadAir Volume Rate without 
regard to the external static pressure.
    b. For ducted heat pumps that regulate the air volume rate delivered 
by the indoor fan, the manufacturer must specify the Heating Full-load 
Air Volume Rate. For such heat pumps, conduct all tests that specify the 
Heating Full-load Air Volume Rate at an external static pressure that 
does not cause instability or an automatic shutdown of the indoor blower 
while being as close to, but not less than,
[GRAPHIC] [TIFF OMITTED] TR22OC07.070

where the Cooling Certified [Delta]Pst is the applicable 
Table 2 minimum external static pressure that was specified for the A or 
A2 Test.
    c. When testing ducted, two-capacity northern heat pumps (see 
Definition 1.46), use the appropriate approach of the above two cases 
for units that are tested with an indoor fan installed. For coil-only 
(fanless) northern heat pumps, the Heating Full-load Air Volume Rate is 
the lesser of the rate specified by the manufacturer or 133 percent of 
the Cooling Full-load Air Volume Rate. For this latter case, obtain the 
Heating Full-load Air Volume Rate regardless of the pressure drop across 
the indoor coil assembly.
    3.1.4.4.3 Ducted heating-only heat pumps. The manufacturer must 
specify the Heating Full-load Air Volume Rate.
    a. For all ducted heating-only heat pumps tested with an indoor fan 
installed, except those having a variable-speed, constant-air-volume-
rate indoor fan. Conduct the following steps only during the first test, 
the H1 or H12 Test.
    1. Achieve the Heating Full-load Air Volume Rate.
    2. Measure the external static pressure.
    3. If this pressure is equal to or greater than the Table 2 minimum 
external static pressure that applies given the heating-only heat pump's 
rated heating capacity, use the current air volume rate for all tests 
that require the Heating Full-load Air Volume Rate.
    4. If the Table 2 minimum is not equaled or exceeded,
    4a. reduce the air volume rate until the applicable Table 2 minimum 
is equaled or
    4b. until the measured air volume rate equals 95 percent of the 
manufacturer-specified Full-load Air Volume Rate, whichever occurs 
first.
    5. If the conditions of step 4a occurs first, use the step 4a 
reduced air volume rate for all tests that require the Heating Full-load 
Air Volume Rate.
    6. If the conditions of step 4b occur first, make an incremental 
change to the set-up of the indoor fan (e.g., next highest fan motor pin 
setting, next highest fan motor speed) and repeat the evaluation process 
beginning at above step 1. If the indoor fan set-up cannot be further 
changed, reduce the air volume rate until the applicable Table 2 minimum 
is equaled. Use this reduced air volume rate for all tests that require 
the Heating Full-load Air Volume Rate.
    b.For ducted heating-only heat pumps that are tested with a 
variable-speed, constant-air-volume-rate indoor fan installed. For all 
tests that specify the Heating Full-load Air Volume Rate, obtain an 
external static pressure that does not cause instability or an automatic 
shutdown of the indoor blower while being as close to, but not less 
than, the applicable Table 2 minimum.
    c. For ducted heating-only heat pumps that are tested without an 
indoor fan installed. For the H1 or H12 Test, (exclusively), 
the pressure drop across the indoor coil assembly must not exceed 0.30 
inches of water. If this pressure drop is exceeded, reduce the air 
volume rate until the measured pressure drop equals the specified 
maximum. Use this reduced air volume rate for all tests that require the 
Heating Full-load Air Volume Rate.
    3.1.4.4.4 Non-ducted heat pumps, including non-ducted heating-only 
heat pumps. For non-ducted heat pumps, the Heating Full-loadAir Volume 
Rate is the air volume rate that results during each test when the unit 
operates at an external static pressure of zero inches of water.
    3.1.4.5 Heating Minimum Air Volume Rate. a. For ducted heat pumps 
that regulate the speed (as opposed to the cfm) of the indoor fan,
[GRAPHIC] [TIFF OMITTED] TR22OC07.071


[[Page 256]]


where ``Heating Minimum Fan Speed'' corresponds to the fan speed used 
when operating at low compressor capacity (two-capacity system), the 
lowest fan speed used at any time when operating at the minimum 
compressor speed (variable-speed system), or the lowest fan speed used 
when heating (single-speed compressor and a variable-speed variable-air-
volume-rate indoor fan). For such heat pumps, obtain the Heating Minimum 
Air Volume Rate without regard to the external static pressure.
    b. For ducted heat pumps that regulate the air volume rate delivered 
by the indoor fan, the manufacturer must specify the Heating Minimum Air 
Volume Rate. For such heat pumps, conduct all tests that specify the 
Heating Minimum Air Volume Rate--(i.e., the H01, 
H11, H21, and H31 Tests)--at an 
external static pressure that does not cause instability or an automatic 
shutdown of the indoor blower while being as close to, but not less 
than,
[GRAPHIC] [TIFF OMITTED] TR22OC07.072

[GRAPHIC] [TIFF OMITTED] TR11OC05.161

is the minimum external static pressure that was targeted during the 
H12 Test.
    c. For ducted two-capacity northern heat pumps that are tested with 
an indoor fan installed, use the appropriate approach of the above two 
cases.
    d. For ducted two-capacity heat pumps that are tested without an 
indoor fan installed, use the Cooling Minimum Air Volume Rate as the 
Heating Minimum Air Volume Rate. For ducted two-capacity northern heat 
pumps that are tested without an indoor fan installed, use the Cooling 
Full-load Air Volume Rate as the Heating Minimum Air Volume Rate. For 
ducted two-capacity heating-only heat pumps that are tested without an 
indoor fan installed, the Heating Minimum Air Volume Rate is the higher 
of the rate specified by the manufacturer or 75 percent of the Heating 
Full-load Air Volume Rate. During the laboratory tests on a coil-only 
(fanless) unit, obtain the Heating Minimum Air Volume Rate without 
regard to the pressure drop across the indoor coil assembly.
    e. For non-ducted heat pumps, the Heating Minimum Air Volume Rate is 
the air volume rate that results during each test when the unit operates 
at an external static pressure of zero inches of water and at the indoor 
fan setting used at low compressor capacity (two-capacity system) or 
minimum compressor speed (variable-speed system). For units having a 
single-speed compressor and a variable-speed, variable-air-volume-rate 
indoor fan, use the lowest fan setting allowed for heating.
    3.1.4.6 Heating Intermediate Air Volume Rate. a. For ducted heat 
pumps that regulate the speed of the indoor fan,
[GRAPHIC] [TIFF OMITTED] TR22OC07.073

    For such heat pumps, obtain the Heating Intermediate Air Volume Rate 
without regard to the external static pressure.
    b. For ducted heat pumps that regulate the air volume rate delivered 
by the indoor fan, the manufacturer must specify the Heating 
Intermediate Air Volume Rate. For such heat pumps, conduct the 
H2V Test at an external static pressure that does not cause 
instability or an automatic shutdown of the indoor blower while being as 
close to, but not less than,
[GRAPHIC] [TIFF OMITTED] TR22OC07.074


[[Page 257]]


[GRAPHIC] [TIFF OMITTED] TR11OC05.162

is the minimum external static pressure that was specified for the 
H12 Test.
    c. For non-ducted heat pumps, the Heating Intermediate Air Volume 
Rate is the air volume rate that results when the heat pump operates at 
an external static pressure of zero inches of water and at the fan speed 
selected by the controls of the unit for the H2V Test 
conditions.
    3.1.4.7 Heating Nominal Air Volume Rate. Except for the noted 
changes, determine the Heating Nominal Air Volume Rate using the 
approach described in section 3.1.4.6. Required changes include 
substituting ``H1N Test'' for H2V Test'' within 
the first section 3.1.4.6 equation, substituting ``H1N Test 
[Delta]Pst'' for ``H2V Test 
[Delta]Pst'' in the second section 3.1.4.6 equation, 
substituting ``H1N Test'' for each ``H2V Test'', 
and substituting ``Heating Nominal Air Volume Rate'' for each ``Heating 
Intermediate Air Volume Rate.''
[GRAPHIC] [TIFF OMITTED] TR22OC07.075

[GRAPHIC] [TIFF OMITTED] TR22OC07.076

    3.1.5 Indoor test room requirement when the air surrounding the 
indoor unit is not supplied from the same source as the air entering the 
indoor unit. If using a test set-up where air is ducted directly from 
the air reconditioning apparatus to the indoor coil inlet (see Figure 2, 
Loop Air-Enthalpy Test Method Arrangement, of ASHRAE Standard 37-2005) 
(incorporated by reference, see Sec. 430.22), maintain the dry bulb 
temperature within the test room within 5.0 [deg]F 
of the applicable sections 3.2 and 3.6 dry bulb temperature test 
condition for the air entering the indoor unit.
    3.1.6 Air volume rate calculations. For all steady-state tests and 
for frost accumulation (H2, H21, H22, 
H2V) tests, calculate the air volume rate through the indoor 
coil as specified in sections 7.7.2.1 and 7.7.2.2 of ASHRAE Standard 37-
2005 (incorporated by reference, see Sec. 430.22). When using the 
Outdoor Air Enthalpy Method, follow sections 7.7.2.1 and 7.7.2.2 to 
calculate the air volume rate through the outdoor coil. To express air 
volume rates in terms of standard air, use:
[GRAPHIC] [TIFF OMITTED] TR11OC05.013

where,

Vs = air volume rate of standard (dry) air, (ft\3\/
min)da
Vmx = air volume rate of the air-water vapor mixture, (ft\3\/
min)mx
vn[min] = specific volume of air-water vapor mixture at the 
nozzle, ft\3\ per lbm of the air-water vapor mixture
Wn = humidity ratio at the nozzle, lbm of water vapor per lbm 
of dry air
0.075 = the density associated with standard (dry) air, (lbm/ft\3\)
vn = specific volume of the dry air portion of the mixture 
evaluated at the dry-bulb temperature, vapor content, and barometric 
pressure existing at the nozzle, ft\3\ per lbm of dry air.

(Note: In the first printing of ASHRAE Standard 37-2005, the second IP 
equation for Qmi should read,
[GRAPHIC] [TIFF OMITTED] TR22OC07.077


[[Page 258]]


    3.1.7 Test sequence. When testing a ducted unit (except if a 
heating-only heat pump), conduct the A or A2 Test first to 
establish the Cooling Full-load Air Volume Rate. For ducted heat pumps 
where the Heating and Cooling Full-loadAir Volume Rates are different, 
make the first heating mode test one that requires the Heating Full-load 
Air Volume Rate. For ducted heating-only heat pumps, conduct the H1 or 
H12 Test first to establish the Heating Full-load Air Volume 
Rate. When conducting an optional cyclic test, always conduct it 
immediately after the steady-state test that requires the same test 
conditions. For variable-speed systems, the first test using the Cooling 
Minimum Air Volume Rate should precede the EV Test if one 
expects to adjust the indoor fan control options when preparing for the 
first Minimum Air Volume Rate test. Under the same circumstances, the 
first test using the Heating Minimum Air Volume Rate should precede the 
H2V Test. The test laboratory makes all other decisions on 
the test sequence.
    3.1.8 Requirement for the air temperature distribution leaving the 
indoor coil. For at least the first cooling mode test and the first 
heating mode test, monitor the temperature distribution of the air 
leaving the indoor coil using the grid of individual sensors described 
in sections 2.5 and 2.5.4. For the 30-minute data collection interval 
used to determine capacity, the maximum spread among the outlet dry bulb 
temperatures from any data sampling must not exceed 1.5 [deg]F. Install 
the mixing devices described in section 2.5.4.2 to minimize the 
temperature spread.
    3.1.9 Control of auxiliary resistive heating elements. Except as 
noted, disable heat pump resistance elements used for heating indoor air 
at all times, including during defrost cycles and if they are normally 
regulated by a heat comfort controller. For heat pumps equipped with a 
heat comfort controller, enable the heat pump resistance elements only 
during the below-described, short test. For single-speed heat pumps 
covered under section 3.6.1, the short test follows the H1 or, if 
conducted, the H1C Test. For two-capacity heat pumps and heat pumps 
covered under section 3.6.2, the short test follows the H12 
Test. Set the heat comfort controller to provide the maximum supply air 
temperature. With the heat pump operating and while maintaining the 
Heating Full-loadAir Volume Rate, measure the temperature of the air 
leaving the indoor-side beginning 5 minutes after activating the heat 
comfort controller. Sample the outlet dry-bulb temperature at regular 
intervals that span 5 minutes or less. Collect data for 10 minutes, 
obtaining at least 3 samples. Calculate the average outlet temperature 
over the 10-minute interval, TCC.
    3.2 Cooling mode tests for different types of air conditioners and 
heat pumps.
    3.2.1 Tests for a unit having a single-speed compressor that is 
tested with a fixed-speed indoor fan installed, with a constant-air-
volume-rate indoor fan installed, or with no indoor fan installed. 
Conduct two steady-state wet coil tests, the A and B Tests. Use the two 
optional dry-coil tests, the steady-state C Test and the cyclic D Test, 
to determine the cooling mode cyclic degradation coefficient, 
CDc. If the two optional tests are conducted but 
yield a tested CDc that exceeds the default 
CDc or if the two optional tests are not 
conducted, assign CDc the default value of 0.25. 
Table 3 specifies test conditions for these four tests.

Table 3--Cooling Mode Test Conditions for Units Having a Single-Speed Compressor and a Fixed-Speed Indoor Fan, a Constant Air Volume Rate Indoor Fan, or
                                                                      No Indoor Fan
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                 Air entering indoor unit    Air entering outdoor unit
                                                   temperature ( [deg]F)       temperature ( [deg]F)
               Test description                --------------------------------------------------------              Cooling air volume rate
                                                  Dry bulb      Wet bulb      Dry bulb      Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
A Test--required (steady, wet coil)...........            80            67            95        \1\ 75  Cooling full-load \2\
B Test--required (steady, wet coil)...........            80            67            82        \1\ 65  Cooling full-load \2\
C Test--optional (steady, dry coil)...........            80         (\3\)            82  ............  Cooling full-loadthnsp;\2\
D Test--optional (cyclic, dry coil)...........            80         (\3\)            82  ............  (\4\)
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ The specified test condition only applies if the unit rejects condensate to the outdoor coil.
\2\ Defined in section 3.1.4.1.
\3\ The entering air must have a low enough moisture content so no condensate forms on the indoor coil. (It is recommended that an indoor wet-bulb
  temperature of 57 [deg]F or less be used.)
\4\ Maintain the airflow nozzles static pressure difference or velocity pressure during the ON period at the same pressure difference or velocity
  pressure as measured during the C Test.

    3.2.2 Tests for a unit having a single-speed compressor and a 
variable-speed variable-air-volume-rate indoor fan installed.
    3.2.2.1 Indoor fan capacity modulation that correlates with the 
outdoor dry bulb temperature. Conduct four steady-state wet

[[Page 259]]

coil tests: The A2, A1 , B2, and 
B1 Tests. Use the two optional dry-coil tests, the steady-
state C1 Test and the cyclic D1 Test, to determine 
the cooling mode cyclic degradation coefficient, 
CDc. If the two optional tests are conducted but 
yield a tested CDc that exceeds the default 
CDc or if the two optional tests are not 
conducted, assign CDc the default value of 0.25
    3.2.2.2 Indoor fan capacity modulation based on adjusting the 
sensible to total (S/T) cooling capacity ratio. The testing requirements 
are the same as specified in section 3.2.1 and Table 3. Use a Cooling 
Full-load Air Volume Rate that represents a normal residential 
installation. If performed, conduct the steady-state C Test and the 
cyclic D Test with the unit operating in the same S/T capacity control 
mode as used for the B Test.

 Table 4--Cooling Mode Test Conditions for Units Having a Single-Speed Compressor and a Variable Air Volume Rate
                 Indoor Fan That correlates With the Outdoor Dry Bulb Temperature (Sec. 3.2.2.1)
----------------------------------------------------------------------------------------------------------------
                                   Air entering indoor    Air entering outdoor
                                   unit temperature (      unit temperature (
        Test description                 [deg]F)                 [deg]F)             Cooling air volume rate
                                ------------------------------------------------
                                  Dry bulb    Wet bulb    Dry bulb    Wet bulb
----------------------------------------------------------------------------------------------------------------
A2 Test--required (steady, wet           80          67          95      \1\ 75  Cooling full-load \2\
 coil).
A1 Test--required (steady, wet           80          67          95      \1\ 75  Cooling minimum \3\
 coil).
B2 Test--required (steady, wet           80          67          82      \1\ 65  Cooling full-load \2\
 coil).
B1 Test--required (steady, wet           80          67          82      \1\ 65  Cooling minimum \3\
 coil).
C1 Test \4\--optional (steady,           80       (\4\)          82  ..........  Cooling minimum \3\
 dry coil).
D1 Test \4\--optional (cyclic,           80       (\4\)          82      (\5\)
 dry coil).
----------------------------------------------------------------------------------------------------------------
\1\ The specified test condition only applies if the unit rejects condensate to the outdoor coil.
\2\ Defined in section 3.1.4.1.
\3\ Defined in section 3.1.4.2.
\4\ The entering air must have a low enough moisture content so no condensate forms on the indoor coil. (It is
  recommended that an indoor wet-bulb temperature of 57 [deg]F or less be used.)
\5\ Maintain the airflow nozzles static pressure difference or velocity pressure during the ON period at the
  same pressure difference or velocity pressure as measured during the C1 Test.

    3.2.3 Tests for a unit having a two-capacity compressor. (See 
Definition 1.45.) a. Conduct four steady-state wet coil tests: the 
A2, B2, B1, and F1 Tests. 
Use the two optional dry-coil tests, the steady-state C1 Test 
and the cyclic D1 Test, to determine the cooling-mode cyclic-
degradation coefficient, CDc. If the two optional 
tests are conducted but yield a tested CDc that 
exceeds the default CDc or if the two optional 
tests are not conducted, assign CDc the default 
value of 0.25. Table 5 specifies test conditions for these six tests.
    b. For units having a variable speed indoor fan that is modulated to 
adjust the sensible to total (S/T) cooling capacity ratio, use Cooling 
Full-load and Cooling Minimum Air Volume Rates that represent a normal 
residential installation. Additionally, if conducting the optional dry-
coil tests, operate the unit in the same S/T capacity control mode as 
used for the B1 Test.
    c. Test two-capacity, northern heat pumps (see Definition 1.46) in 
the same way as a single speed heat pump with the unit operating 
exclusively at low compressor capacity (see section 3.2.1 and Table 3).
    d. If a two-capacity air conditioner or heat pump locks out low-
capacity operation at higher outdoor temperatures, then use the two 
optional dry-coil tests, the steady-state C2 Test and the 
cyclic D2 Test, to determine the cooling-mode cyclic-
degradation coefficient that only applies to on/off cycling from high 
capacity, CDc(k=2). If the two optional tests are 
conducted but yield a tested CDc(k=2) that exceeds 
the default CDc(k=2) or if the two optional tests 
are not conducted, assign CDc(k=2) the default 
value. The default CDc(k=2) is the same value as 
determined or assigned for the low-capacity cyclic-degradation 
coefficient, CDc [or equivalently, 
CDc(k=1)].

                                    Table 5--Cooling Mode Test Conditions for Units Having a Two-Capacity Compressor
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                          Air entering indoor   Air entering outdoor
                                          unit temperature (     unit temperature (
            Test description                    [deg]F)                [deg]F)               Compressor capacity             Cooling air volume rate
                                        ----------------------------------------------
                                          Dry bulb   Wet bulb   Dry bulb    Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
A2 Test--required......................         80         67         95     \1\ 75    High...........................  Cooling Full-Load. \2\
(steady, wet coil).....................
B2 Test--required......................         80         67         82     \1\ 65    High...........................  Cooling Full-Load. \2\
(steady, wet coil).....................
B1 Test--required......................         80         67         82     \1\ 65    Low............................  Cooling Minimum. \3\
(steady, wet coil).....................

[[Page 260]]

 
C2 Test--optional......................         80      (\4\)         82       High    Cooling Full-Load. \2\.........
(steady, dry-coil).....................
D2 Test--optional......................         80      (\4\)         82       High    (\5\)..........................
(cyclic, dry-coil).....................
C1 Test--optional......................         80      (\4\)         82        Low    Cooling Minimum. \3\...........
(steady, dry-coil).....................
D1 Test--optional......................         80      (\4\)         82        Low    (\6\)..........................
(cyclic, dry-coil).....................
F1 Test--required......................         80         67         67     \1\ 53.5  Low............................  Cooling Minimum. \3\
(steady, wet coil).....................
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ The specified test condition only applies if the unit rejects condensate to the outdoor coil.
\2\ Defined in section 3.1.4.1.
\3\ Defined in section 3.1.4.2.
\4\ The entering air must have a low enough moisture content so no condensate forms on the indoor coil. DOE recommends using an indoor air wet-bulb
  temperature of 57 [deg]F or less.
\5\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured
  during the C2 Test.
\6\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured
  during the C1 Test.

    3.2.4 Tests for a unit having a variable-speed compressor. a. 
Conduct five steady-state wet coil tests: The A2, 
EV, B2, B1, and F1 Tests. 
Use the two optional dry-coil tests, the steady-state G1 Test 
and the cyclic I1 Test, to determine the cooling mode cyclic 
degradation coefficient,CDc. If the two optional 
tests are conducted but yield a tested CDc that 
exceeds the default CDc or if the two optional 
tests are not conducted, assign CDc the default 
value of 0.25.Table 6 specifies test conditions for these seven tests. 
Determine the intermediate compressor speed cited in Table 6 using:
[GRAPHIC] [TIFF OMITTED] TR11OC05.014

where a tolerance of plus 5 percent or the next higher inverter 
frequency step from that calculated is allowed.
    b. For units that modulate the indoor fan speed to adjust the 
sensible to total (S/T) cooling capacity ratio, use Cooling Full-load, 
Cooling Intermediate, and Cooling Minimum Air Volume Rates that 
represent a normal residential installation. Additionally, if conducting 
the optional dry-coil tests, operate the unit in the same S/T capacity 
control mode as used for the F1 Test.
    c. For multiple-split air conditioners and heat pumps (except where 
noted), the following procedures supersede the above requirements: For 
all Table 6 tests specified for a minimum compressor speed, at least one 
indoor unit must be turned off. The manufacturer shall designate the 
particular indoor unit(s) that is turned off. The manufacturer must also 
specify the compressor speed used for the Table 6 EV Test, a 
cooling-mode intermediate compressor speed that falls within \1/4\ and 
\3/4\ of the difference between the maximum and minimum cooling-mode 
speeds. The manufacturer should prescribe an intermediate speed that is 
expected to yield the highest EER for the given EV Test 
conditions and bracketed compressor speed range. The manufacturer can 
designate that one or more indoor units are turned off for the 
EV Test.

                                    Table 6--Cooling Mode Test Condition for Units Having a Variable-Speed Compressor
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                          Air entering indoor   Air entering outdoor
                                          unit temperature (     unit temperature (
            Test description                    [deg]F)                [deg]F)                 Compressor speed              Cooling air volume rate
                                        ----------------------------------------------
                                          Dry bulb   Wet bulb   Dry bulb    Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
A2 Test--required......................         80         67         95     \1\ 75    Maximum........................  Cooling Full-Load \2\
(steady, wet coil).....................

[[Page 261]]

 
B2 Test--required......................         80         67         82     \1\ 65    Maximum........................  Cooling Full-Load \2\
(steady, wet coil).....................
EV Test--required......................         80         67         87     \1\ 69    Intermediate...................  Cooling Intermediate \3\
(steady, wet coil).....................
B1 Test--required......................         80         67         82     \1\ 65    Minimum........................  Cooling Minimum \4\
(steady, wet coil).....................
F1 Test--required......................         80         67         67     \1\ 53.5  Minimum........................  Cooling Minimum \4\
(steady, wet coil).....................
G1 Test \5\--optional..................         80      (\6\)         67    Minimum    Cooling Minimum \4\............
(steady, dry-coil).....................
I1 Test \5\--optional..................         80      (\6\)         67    Minimum    (\6\) .........................
(cyclic, dry-coil).....................
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ The specified test condition only applies if the unit rejects condensate to the outdoor coil.
\2\ Defined in section 3.1.4.1.
\3\ Defined in section 3.1.4.3.
\4\ Defined in section 3.1.4.2.
\5\ The entering air must have a low enough moisture content so no condensate forms on the indoor coil. DOE recommends using an indoor air wet bulb
  temperature of 57 [deg]F or less.
\6\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure difference or velocity
  pressure as measured during the G1 Test.

    3.3 Test procedures for steady-state wet coil cooling mode tests 
(the A, A2, A1, B, B2, B1, 
EV, and F1 Tests). a. For the pretest interval, 
operate the test room reconditioning apparatus and the unit to be tested 
until maintaining equilibrium conditions for at least 30 minutes at the 
specified section 3.2 test conditions. Use the exhaust fan of the 
airflow measuring apparatus and, if installed, the indoor fan of the 
test unit to obtain and then maintain the indoor air volume rate and/or 
external static pressure specified for the particular test. Continuously 
record (see Definition 1.15):
    (1) The dry-bulb temperature of the air entering the indoor coil,
    (2) The water vapor content of the air entering the indoor coil,
    (3) The dry-bulb temperature of the air entering the outdoor coil, 
and
    (4) For the section 2.2.4 cases where its control is required, the 
water vapor content of the air entering the outdoor coil.
    Refer to section 3.11 for additional requirements that depend on the 
selected secondary test method.
    b. After satisfying the pretest equilibrium requirements, make the 
measurements specified in Table 3 of ASHRAE Standard 37-2005 
(incorporated by reference, see Sec. 430.22) for the Indoor Air 
Enthalpy method and the user-selected secondary method. Except for 
external static pressure, make the Table 3 measurements at equal 
intervals that span 10 minutes or less. Measure external static pressure 
every 5 minutes or less. Continue data sampling until reaching a 30-
minute period (e.g., four consecutive 10-minute samples) where the test 
tolerances specified in Table 7 are satisfied. For those continuously 
recorded parameters, use the entire data set from the 30-minute interval 
to evaluate Table 7 compliance. Determine the average electrical power 
consumption of the air conditioner or heat pump over the same 30-minute 
interval.
    c. Calculate indoor-side total cooling capacity as specified in 
sections 7.3.3.1 and 7.3.3.3 of ASHRAE Standard 37-2005 (incorporated by 
reference, see Sec. 430.22). Do not adjust the parameters used in 
calculating capacity for the permitted variations in test conditions. 
Evaluate air enthalpies based on the measured barometric pressure. 
Assign the average total space cooling capacity and electrical power 
consumption over the 30-minute data collection interval to the variables 
Qck(T) and Eck(T), 
respectively. For these two variables, replace the ``T'' with the 
nominal outdoor temperature at which the test was conducted. The 
superscript k is used only when testing multi-capacity units. Use the 
superscript k=2 to denote a test with the unit operating at high 
capacity or maximum speed, k=1 to denote low capacity or minimum speed, 
and k=v to denote the intermediate speed.
    d. For units tested without an indoor fan installed, decrease 
Qck(T) by
[GRAPHIC] [TIFF OMITTED] TR11OC05.015

and increase Eck(T) by,
[GRAPHIC] [TIFF OMITTED] TR11OC05.016


[[Page 262]]


where Vs is the average measured indoor air volume rate 
expressed in units of cubic feet per minute of standard air (scfm).

 Table 7--Test Operating and Test Condition Tolerances for Section 3.3 Steady-State Wet Coil Cooling Mode Tests
                                   and Section 3.4 Dry Coil Cooling Mode Tests
----------------------------------------------------------------------------------------------------------------
                                                             Test operating tolerance   Test condition tolerance
                                                                       \1\                        \2\
----------------------------------------------------------------------------------------------------------------
Indoor dry-bulb, [deg]F
    Entering temperature..................................                       2.0                        0.5
    Leaving temperature...................................                       2.0
Indoor wet-bulb, [deg]F
    Entering temperature..................................                       1.0                    \3\ 0.3
    Leaving temperature...................................                   \3\ 1.0
Outdoor dry-bulb, [deg]F
    Entering temperature..................................                       2.0                        0.5
    Leaving temperature...................................                   \4\ 2.0
Outdoor wet-bulb, [deg]F
    Entering temperature..................................                       1.0                    \5\ 0.3
    Leaving temperature...................................                   \4\ 1.0
External resistance to airflow, inches of water...........                       0.05                   \6\ 0.02
Electrical voltage, % of rdg..............................                       2.0                        1.5
Nozzle pressure drop, % of rdg............................                       2.0
----------------------------------------------------------------------------------------------------------------
\1\ See Definition 1.41.
\2\ See Definition 1.40.
\3\ Only applies during wet coil tests; does not apply during steady-state, dry coil cooling mode tests.
\4\ Only applies when using the Outdoor Air Enthalpy Method.
\5\ Only applies during wet coil cooling mode tests where the unit rejects condensate to the outdoor coil.
\6\ Only applies when testing non-ducted units.

    d. For air conditioners and heat pumps having a constant-air-volume-
rate indoor fan, the five additional steps listed below are required if 
the average of the measured external static pressures exceeds the 
applicable sections 3.1.4 minimum (or target) external static pressure 
([Delta]Pmin) by 0.03 inches of water or more.
    1. Measure the average power consumption of the indoor fan motor 
(Efan,1) and record the corresponding external static 
pressure ([Delta]P1) during or immediately following the 30-
minute interval used for determining capacity.
    2. After completing the 30-minute interval and while maintaining the 
same test conditions, adjust the exhaust fan of the airflow measuring 
apparatus until the external static pressure increases to approximately 
[Delta]P1 + ([Delta]P1 - [Delta]Pmin).
    3. After re-establishing steady readings of the fan motor power and 
external static pressure, determine average values for the indoor fan 
power (Efan,2) and the external static pressure 
([Delta]P2) by making measurements over a 5-minute interval.
    4. Approximate the average power consumption of the indoor fan motor 
at [Delta]Pmin using linear extrapolation:
[GRAPHIC] [TIFF OMITTED] TR11OC05.017

    5. Increase the total space cooling capacity, 
Qck(T), by the quantity (Efan,1 - 
Efan,min), when expressed on a Btu/h basis. Decrease the 
total electrical power, Eck(T), by the same fan 
power difference, now expressed in watts.
    3.4 Test procedures for the optional steady-state dry-coil cooling-
mode tests (the C, C1, C2, and G1 
Tests).
    a. Except for the modifications noted in this section, conduct the 
steady-state dry coil cooling mode tests as specified in section 3.3 for 
wet coil tests. Prior to recording data during the steady-state dry coil 
test, operate the unit at least one hour after achieving dry coil 
conditions. Drain the drain pan and plug the drain opening. Thereafter, 
the drain pan should remain completely dry.
    b. Denote the resulting total space cooling capacity and electrical 
power derived from the test as Qss,dry and 
Ess,dry. With regard to a section 3.3 deviation, do not 
adjust Qss,dry for duct losses (i.e., do not apply section 
7.3.3.3 of ASHRAE Standard 37-2005 (incorporated by reference, see Sec. 
430.22)). In preparing for

[[Page 263]]

the section 3.5 cyclic tests, record the average indoor-side air volume 
rate, V, specific heat of the air, Cp,a (expressed on dry air basis), 
specific volume of the air at the nozzles, v[min]n, humidity 
ratio at the nozzles, Wn, and either pressure difference or 
velocity pressure for the flow nozzles. For units having a variable-
speed indoor fan (that provides either a constant or variable air volume 
rate) that will or may be tested during the cyclic dry coil cooling mode 
test with the indoor fan turned off (see section 3.5), include the 
electrical power used by the indoor fan motor among the recorded 
parameters from the 30-minute test.
    3.5 Test procedures for the optional cyclic dry-coil cooling-mode 
tests (the D, D1, D2, and I1 Tests). a. 
After completing the steady-state dry-coil test, remove the Outdoor Air 
Enthalpy method test apparatus, if connected, and begin manual OFF/ON 
cycling of the unit's compressor. The test set-up should otherwise be 
identical to the set-up used during the steady-state dry coil test. When 
testing heat pumps, leave the reversing valve during the compressor OFF 
cycles in the same position as used for the compressor ON cycles, unless 
automatically changed by the controls of the unit. For units having a 
variable-speed indoor fan, the manufacturer has the option of electing 
at the outset whether to conduct the cyclic test with the indoor fan 
enabled or disabled. Always revert to testing with the indoor fan 
disabled if cyclic testing with the fan enabled is unsuccessful.
    b. For units having a single-speed or two-capacity compressor, cycle 
the compressor OFF for 24 minutes and then ON for 6 minutes 
([Delta][tau]cyc,dry = 0.5 hours). For units having a 
variable-speed compressor, cycle the compressor OFF for 48 minutes and 
then ON for 12 minutes ([Delta][tau]cyc,dry = 1.0 hours). 
Repeat the OFF/ON compressor cycling pattern until the test is 
completed. Allow the controls of the unit to regulate cycling of the 
outdoor fan.
    c. Sections 3.5.1 and 3.5.2 specify airflow requirements through the 
indoor coil of ducted and non-ducted systems, respectively. In all 
cases, use the exhaust fan of the airflow measuring apparatus (covered 
under section 2.6) along with the indoor fan of the unit, if installed 
and operating, to approximate a step response in the indoor coil 
airflow. Regulate the exhaust fan to quickly obtain and then maintain 
the flow nozzle static pressure difference or velocity pressure at the 
same value as was measured during the steady-state dry coil test. The 
pressure difference or velocity pressure should be within 2 percent of 
the value from the steady-state dry coil test within 15 seconds after 
airflow initiation. For units having a variable-speed indoor fan that 
ramps when cycling on and/or off, use the exhaust fan of the airflow 
measuring apparatus to impose a step response that begins at the 
initiation of ramp up and ends at the termination of ramp down.
    d. For units having a variable-speed indoor fan, conduct the cyclic 
dry coil test using the pull-thru approach described below if any of the 
following occur when testing with the fan operating:
    (1) The test unit automatically cycles off;
    (2) Its blower motor reverses; or
    (3) The unit operates for more than 30 seconds at an external static 
pressure that is 0.1 inches of water or more higher than the value 
measured during the prior steady-state test.
    For the pull-thru approach, disable the indoor fan and use the 
exhaust fan of the airflow measuring apparatus to generate the specified 
flow nozzles static pressure difference or velocity pressure. If the 
exhaust fan cannot deliver the required pressure difference because of 
resistance created by the unpowered blower, temporarily remove the 
blower.
    e. After completing a minimum of two complete compressor OFF/ON 
cycles, determine the overall cooling delivered and total electrical 
energy consumption during any subsequent data collection interval where 
the test tolerances given in Table 8 are satisfied. If available, use 
electric resistance heaters (see section 2.1) to minimize the variation 
in the inlet air temperature.
    f. With regard to the Table 8 parameters, continuously record the 
dry-bulb temperature of the air entering the indoor and outdoor coils 
during periods when air flows through the respective coils. Sample the 
water vapor content of the indoor coil inlet air at least every 2 
minutes during periods when air flows through the coil. Record external 
static pressure and the air volume rate indicator (either nozzle 
pressure difference or velocity pressure) at least every minute during 
the interval that air flows through the indoor coil. (These regular 
measurements of the airflow rate indicator are in addition to the 
required measurement at 15 seconds after flow initiation.) Sample the 
electrical voltage at least every 2 minutes beginning 30 seconds after 
compressor start-up. Continue until the compressor, the outdoor fan, and 
the indoor fan (if it is installed and operating) cycle off.
    g. For ducted units, continuously record the dry-bulb temperature of 
the air entering (as noted above) and leaving the indoor coil. Or if 
using a thermopile, continuously record the difference between these two 
temperatures during the interval that air flows through the indoor coil. 
For non-ducted units, make the same dry-bulb temperature measurements 
beginning when the compressor cycles on and ending when indoor coil 
airflow ceases.
    h. Integrate the electrical power over complete cycles of length 
[Delta][tau]cyc,dry. For ducted units tested with an indoor 
fan installed and

[[Page 264]]

operating, integrate electrical power from indoor fan OFF to indoor fan 
OFF. For all other ducted units and for non-ducted units, integrate 
electrical power from compressor OFF to compressor OFF. (Some cyclic 
tests will use the same data collection intervals to determine the 
electrical energy and the total space cooling. For other units, 
terminate data collection used to determine the electrical energy before 
terminating data collection used to determine total space cooling.)

  Table 8--Test Operating and Test Condition Tolerances for Cyclic Dry
                         Coil Cooling Mode Tests
------------------------------------------------------------------------
                                                  Test          Test
                                                Operating     Condition
                                                Tolerance     Tolerance
                                                   \1\           \2\
------------------------------------------------------------------------
Indoor entering dry-bulb temperature \3\,             2.0            0.5
 [deg]F.....................................
Indoor entering wet-bulb temperature, [deg]F  ............       (\4\)
Outdoor entering dry-bulb temperature \3\,            2.0            0.5
 [deg]F.....................................
External resistance to airflow \3\, inches            0.05
 of water...................................
Airflow nozzle pressure difference or                 2.0        \5\ 2.0
 velocity pressure \3\, % of reading........
Electrical voltage \6\, % of rdg............          2.0            1.5 
------------------------------------------------------------------------
\1\ See Definition 1.41.
\2\ See Definition 1.40.
\3\ Applies during the interval that air flows through the indoor
  (outdoor) coil except for the first 30 seconds after flow initiation.
  For units having a variable-speed indoor fan that ramps, the
  tolerances listed for the external resistance to airflow apply from 30
  seconds after achieving full speed until ramp down begins.
\4\ Shall at no time exceed a wet-bulb temperature that results in
  condensate forming on the indoor coil.
\5\ The test condition shall be the average nozzle pressure difference
  or velocity pressure measured during the steady-state dry coil test.
\6\ Applies during the interval when at least one of the following--the
  compressor, the outdoor fan, or, if applicable, the indoor fan--are
  operating except for the first 30 seconds after compressor start-up.

    i. If the Table 8 tolerances are satisfied over the complete cycle, 
record the measured electrical energy consumption as ecyc,dry 
and express it in units of watt-hours. Calculate the total space cooling 
delivered, qcyc,dry, in units of Btu using,
[GRAPHIC] [TIFF OMITTED] TR11OC05.018

where V, Cp,a, vn[min] (or vn), and 
Wn are the values recorded during the section 3.4 dry coil 
steady-state test and,
[GRAPHIC] [TIFF OMITTED] TR11OC05.019

Tal([tau]) = dry bulb temperature of the air entering the 
indoor coil at time [tau], [deg]F.
Ta2([tau]) = dry bulb temperature of the air leaving the 
indoor coil at time [tau], [deg]F.
[tau]1 = for ducted units, the elapsed time when airflow is 
initiated through the indoor coil; for non-ducted units, the elapsed 
time when the compressor is cycled on, hr.
[tau]2 = the elapsed time when indoor coil airflow ceases, 
hr.

    3.5.1 Procedures when testing ducted systems. The automatic controls 
that are normally installed with the test unit must govern the OFF/ON 
cycling of the air moving equipment on the indoor side (exhaust fan of 
the airflow measuring apparatus and, if installed, the indoor fan of the 
test unit). For example, for ducted units tested without an indoor fan 
installed but rated based on using a fan time delay relay, control the 
indoor coil airflow according to the rated ON and/or OFF delays provided 
by the relay. For ducted units having a variable-speed indoor fan that 
has been disabled (and possibly removed), start and stop the indoor 
airflow at the same instances as if the fan were enabled. For all other 
ducted units tested without an indoor fan installed, cycle the indoor 
coil airflow in unison with the cycling of the compressor. Close air 
dampers on the inlet (section 2.5.1) and outlet side (sections 2.5 and 
2.5.4) during the OFF period. Airflow through the indoor coil should 
stop within 3 seconds after the automatic controls of the test unit (act 
to) de-energize the indoor fan. For ducted units tested without an 
indoor fan installed (excluding the special case where a variable-speed 
fan is temporarily removed), increase ecyc,dry by the 
quantity,
[GRAPHIC] [TIFF OMITTED] TR11OC05.020

and decrease qcyc,dry by,
[GRAPHIC] [TIFF OMITTED] TR11OC05.021

where Vs is the average indoor air volume rate from the 
section 3.4 dry coil steady-state test and is expressed in units of 
cubic feet per minute of standard air (scfm). For units having a 
variable-speed indoor fan that is disabled during the cyclic test, 
increase ecyc,dry and decrease qcyc,dry based on:

    a. The product of [[tau]2 - [tau]1] and the indoor fan 
power measured during or following the dry coil steady-state test; or,
    b. The following algorithm if the indoor fan ramps its speed when 
cycling.
    1. Measure the electrical power consumed by the variable-speed 
indoor fan at a minimum of three operating conditions: at the speed/air 
volume rate/external static pressure that was measured during the 
steady-state test, at operating conditions associated with the midpoint 
of the ramp-up interval,

[[Page 265]]

and at conditions associated with the midpoint of the ramp-down 
interval. For these measurements, the tolerances on the airflow volume 
or the external static pressure are the same as required for the section 
3.4 steady-state test.
    2. For each case, determine the fan power from measurements made 
over a minimum of 5 minutes.
    3. Approximate the electrical energy consumption of the indoor fan 
if it had operated during the cyclic test using all three power 
measurements. Assume a linear profile during the ramp intervals. The 
manufacturer must provide the durations of the ramp-up and ramp-down 
intervals. If a manufacturer-supplied ramp interval exceeds 45 seconds, 
use a 45-second ramp interval nonetheless when estimating the fan 
energy.
    The manufacturer is allowed to choose option a, and forego the extra 
testing burden of option b, even if the unit ramps indoor fan speed when 
cycling.
    3.5.2 Procedures when testing non-ducted systems. Do not use air 
dampers when conducting cyclic tests on non-ducted units. Until the last 
OFF/ON compressor cycle, airflow through the indoor coil must cycle off 
and on in unison with the compressor. For the last OFF/ON compressor 
cycle--the one used to determine ecyc,dry and 
qcyc,dry--use the exhaust fan of the airflow measuring 
apparatus and the indoor fan of the test unit to have indoor airflow 
start 3 minutes prior to compressor cut-on and end three minutes after 
compressor cutoff. Subtract the electrical energy used by the indoor fan 
during the 3 minutes prior to compressor cut-on from the integrated 
electrical energy, ecyc,dry. Add the electrical energy used 
by the indoor fan during the 3 minutes after compressor cutoff to the 
integrated cooling capacity, qcyc,dry. For the case where the 
non-ducted unit uses a variable-speed indoor fan which is disabled 
during the cyclic test, correct ecyc,dry and 
qcyc,dry using the same approach as prescribed in section 
3.5.1 for ducted units having a disabled variable-speed indoor fan.
    3.5.3 Cooling-mode cyclic-degradation coefficient calculation. Use 
the two optional dry-coil tests to determine the cooling-mode cyclic-
degradation coefficient, CDc. Append ``(k=2)'' to 
the coefficient if it corresponds to a two-capacity unit cycling at high 
capacity. If the two optional tests are conducted but yield a tested 
CDc that exceeds the default 
CDc or if the two optional tests are not 
conducted, assign CDc the default value of 0.25. 
The default value for two-capacity units cycling at high capacity, 
however, is the low-capacity coefficient, i.e., 
CDc(k=2)=CDc. Evaluate 
CDc using the above results and those from the 
section 3.4 dry-coil steady-state test.
[GRAPHIC] [TIFF OMITTED] TR11OC05.022

where,
[GRAPHIC] [TIFF OMITTED] TR11OC05.023

the average energy efficiency ratio during the cyclic dry coil cooling 
mode
test, Btu/W[middot]h
[GRAPHIC] [TIFF OMITTED] TR11OC05.024

the average energy efficiency ratio during the steady-state dry coil 
cooling mode test, Btu/W[middot]h
[GRAPHIC] [TIFF OMITTED] TR11OC05.025

the cooling load factor dimensionless.
Round the calculated value for CDc to the nearest 
0.01. If CDc is negative, then set it equal to 
zero.

    3.6 Heating mode tests for different types of heat pumps, including 
heating-only heat pumps.
    3.6.1 Tests for a heat pump having a single-speed compressor that is 
tested with a fixed speed indoor fan installed, with a constant-air-
volume-rate indoor fan installed, or with no indoor fan installed. 
Conduct the optional High Temperature Cyclic (H1C) Test to determine the 
heating mode cyclic-degradation coefficient, CDh. 
If this optional test is conducted but yields a tested 
CDh that exceeds the default 
CDh or if the optional test is not conducted, 
assign CDh the default value of 0.25. Test 
conditions for the four tests are specified in Table 9.

Table 9--Heating Mode Test Conditions for Units Having a Single-Speed Compressor and a Fixed-Speed Indoor Fan, a Constant Air Volume Rate Indoor Fan, or
                                                                      No Indoor Fan
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                  Air entering indoor unit    Air entering outdoor
                                                    Temperature ( [deg]F)      unit  Temperature (
                Test description                 --------------------------          [deg]F)                        Heating air volume rate
                                                                           --------------------------
                                                    Dry bulb     Wet bulb     Dry bulb     Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
H1 Test (required, steady)......................           70      60(max)           47           43  Heating Full-load \1\
H1C Test (optional, cyclic).....................           70      60(max)           47           43  (\2\)
H2 Test (required)..............................           70      60(max)           35           33  Heating Full-load \1\

[[Page 266]]

 
H3 Test (required, steady)......................           70      60(max)           17           15  Heating Full-load \1\
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Defined in section 3.1.4.4.
\2\ Maintain the airflow nozzles static pressure difference or velocity pressure during the ON period at the same pressure difference or velocity
  pressure as measured during the H1 Test.

    3.6.2 Tests for a heat pump having a single-speed compressor and a 
variable-speed, variable-air-volume-rate indoor fan: capacity modulation 
correlates with outdoor dry bulb temperature. Conduct five tests: two 
High Temperature Tests (H12 and H11), one Frost 
Accumulation Test (H22), and two Low Temperature Tests 
(H32 and H31). Conducting an additional Frost 
Accumulation Test (H21) is optional. Conduct the optional 
High Temperature Cyclic (H1C1) Test to determine the heating 
mode cyclic-degradation coefficient, CDh. If this 
optional test is conducted but yields a tested CDh 
that exceeds the default CDh or if the optional 
test is not conducted, assign CDh the default 
value of 0.25. Test conditions for the seven tests are specified in 
Table 10. If the optional H21 Test is not performed, use the 
following equations to approximate the capacity and electrical power of 
the heat pump at the H21 test conditions:
[GRAPHIC] [TIFF OMITTED] TR11OC05.026

where,
[GRAPHIC] [TIFF OMITTED] TR11OC05.027

The quantities Qhk=2(47), 
Ehk=2(47), Qhk=1(47), and 
Ehk=1(47) are determined from the H12 
and H11 Tests and evaluated as specified in section 3.7; the 
quantities Qhk=2(35) and 
Ehk=2(35) are determined from the H22 
Test and evaluated as specified in section 3.9; and the quantities 
Qhk=2(17), Ehk=2(17), 
Qhk=1(17), and Ehk=1(17), 
are determined from the H32 and H31 Tests and 
evaluated as specified in section 3.10.

               Table 10--Heating Mode Test Conditions for Units Having a Single-Speed Compressor and a Variable Air Volume Rate Indoor Fan
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                            Air entering indoor unit  temperature    Air entering outdoor
                                                          ( [deg]F)                   unit  temperature (
             Test description             ----------------------------------------          [deg]F)                    Heating air volume rate
                                                                                  --------------------------
                                             Dry bulb            Wet bulb            Dry bulb     Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
H12 Test (required, steady)..............           70  60(max)..................           47           43  Heating Full-load. \1\
H11 Test (required, steady)..............           70  60(max)..................           47           43  Heating Minimum. \2\
H1C1 Test (optional, cyclic).............           70  60(max)..................           47           43  (\3\)
H22 Test (required)......................           70  60(max)..................           35           33  Heating Full-load. \1\

[[Page 267]]

 
H21 Test (optional)......................           70  60(max)..................           35           33  Heating Minimum. \2\
H32 Test (required, steady)..............           70  60(max)..................           17           15  Heating Full-load. \1\
H31 Test (required, steady)..............           70  60(max)..................           17           15  Heating Minimum. \2\
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Defined in section 3.1.4.4.
\2\ Defined in section 3.1.4.5.
\3\ Maintain the airflow nozzles static pressure difference or velocity pressure during the ON period at the same pressure difference or velocity
  pressure as measured during the H11 Test.

    3.6.3 Tests for a heat pump having a two-capacity compressor (see 
Definition 1.45), including two-capacity, northern heat pumps (see 
Definition 1.46). a. Conduct one Maximum Temperature Test 
(H01), two High Temperature Tests (H12 and 
H11), one Frost Accumulation Test (H22), and one 
Low Temperature Test (H32). Conduct an additional Frost 
Accumulation Test (H21) and Low Temperature Test 
(H31) if both of the following conditions exist:
    1. Knowledge of the heat pump's capacity and electrical power at low 
compressor capacity for outdoor temperatures of 37 [deg]F and less is 
needed to complete the section 4.2.3 seasonal performance calculations; 
and
    2.The heat pump's controls allow low-capacity operation at outdoor 
temperatures of 37 [deg]F and less.
    If the above two conditions are met, an alternative to conducting 
the H21 Frost Accumulation is to use the following equations 
to approximate the capacity and electrical power:
[GRAPHIC] [TIFF OMITTED] TR22OC07.078

    Determine the quantities Qhk=1 (47) and 
Ehk=1 (47) from the H11 Test and 
evaluate them according to Section 3.7. Determine the quantities 
Qhk=1 (17) and Ehk=1 (17) 
from the H31 Test and evaluate them according to Section 
3.10.
    b. Conduct the optional High Temperature Cyclic Test 
(H1C1) to determine the heating-mode cyclic-degradation 
coefficient, CDh. If this optional test is 
conducted but yields a tested CDh that exceeds the 
default CDh or if the optional test is not 
conducted, assign CDh the default value of 0.25. 
If a two-capacity heat pump locks out low capacity operation at lower 
outdoor temperatures, conduct the optional High Temperature Cyclic Test 
(H1C2) to determine the high-capacity heating-mode cyclic-
degradation coefficient, CDh (k=2). If this 
optional test at high capacity is conducted but yields a tested 
CDh (k=2) that exceeds the default 
CDh (k=2) or if the optional test is not 
conducted, assign CDh the default value. The 
default CDh (k=2) is the same value as determined 
or assigned for the low-capacity cyclic-degradation coefficient, 
CDh [or equivalently, CDh 
(k=1)]. Table 11 specifies test conditions for these nine tests.

                                    Table 11--Heating Mode Test Conditions for Units Having a Two-Capacity Compressor
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                          Air entering indoor   Air entering outdoor
                                          unit temperature (     unit temperature (
            Test description                    [deg]F)                [deg]F)               Compressor capacity             Heating air volume rate
                                        ----------------------------------------------
                                          Dry bulb   Wet bulb   Dry bulb    Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
H01 Test...............................         70    60(max)         62         56.5  Low............................  Heating Minimum. \1\
(required, steady).....................
H12 Test...............................         70    60(max)         47         43    High...........................  Heating Full-Load. \2\
(required, steady).....................
H1C2 Test..............................         70    60(max)         47         43    High...........................  (\3\)
(optional, cyclic).....................
H11 Test...............................         70    60(max)         47         43    Low............................  Heating Minimum. \1\
(required).............................

[[Page 268]]

 
H1C1 Test..............................         70    60(max)         47         43    Low............................  (\4\)
(optional, cyclic).....................
H22 Test...............................         70    60(max)         35         33    High...........................  Heating Full-Load. \2\
(required).............................
H21 Test5,6............................         70    60(max)         35         33    Low............................  Heating Minimum. \1\
(required).............................
H32 Test...............................         70    60(max)         17         15    High...........................  Heating Full-Load. \2\
(required, steady).....................
H31 Test \5\...........................         70    60(max)         17         15    Low............................  Heating Minimum. \1\
(required, steady).....................
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Defined in section 3.1.4.5.
\2\ Defined in section 3.1.4.4.
\3\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured
  during the H12 Test.
\4\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured
  during the H11 Test.
\5\ Required only if the heat pump's performance when operating at low compressor capacity and outdoor temperatures less than 37 [deg]F is needed to
  complete the section 4.2.3 HSPF calculations.
\6\ If table note 5 applies, the section 3.6.3 equations for Qhk=1 (35) and Ehk=1 (17) may be used in lieu of conducting the H21 Test.

    3.6.4 Tests for a heat pump having a variable-speed compressor. a. 
Conduct one Maximum Temperature Test (H01), two High 
Temperature Tests (H12 and H11), one Frost 
Accumulation Test (H2V), and one Low Temperature Test 
(H32). Conducting one or both of the following tests is 
optional: An additional High Temperature Test (H1N ) and an 
additional Frost Accumulation Test (H22). Conduct the 
optional Maximum Temperature Cyclic (H0C1) Test to determine 
the heating mode cyclic-degradation coefficient, 
CDh. If this optional test is conducted but yields 
a tested CDh that exceeds the default 
CDh or if the optional test is not conducted, 
assign CDh the default value of 0.25. Test 
conditions for the eight tests are specified in Table 12. Determine the 
intermediate compressor speed cited in Table 12 using the heating mode 
maximum and minimum compressors speeds and:
[GRAPHIC] [TIFF OMITTED] TR11OC05.028

where a tolerance of plus 5 percent or the next higher inverter 
frequency step from that calculated is allowed. If the H22 
Test is not done, use the following equations to approximate the 
capacity and electrical power at the H22 test conditions:
[GRAPHIC] [TIFF OMITTED] TR11OC05.029

    b. Determine the quantities Qhk=2(47) and from 
Ehk=2(47) from the H12 Test and 
evaluate them according to section 3.7. Determine the quantities 
Qhk=2(17) and Ehk=2(17) from 
the H32 Test and evaluate them according to section 3.10. For 
heat pumps where the heating mode maximum compressor speed exceeds its 
cooling mode maximum compressor speed, conduct the H1N Test 
if the manufacturer requests it. If the H1N Test is done, 
operate the heat pump's compressor at the same speed as the speed used 
for the cooling mode A2 Test. Refer to the last sentence of 
section 4.2 to see how the results of the H1N Test may be

[[Page 269]]

used in calculating the heating seasonal performance factor.

                                   Table 12--Heating Mode Test Conditions for Units Having a Variable-Speed Compressor
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                          Air entering indoor   Air entering outdoor
                                          unit temperature (     unit temperature (
            Test description                    [deg]F)                [deg]F)                 Compressor speed              Heating air volume rate
                                        ----------------------------------------------
                                          Dry bulb   Wet bulb   Dry bulb    Wet bulb
--------------------------------------------------------------------------------------------------------------------------------------------------------
H01 Test...............................         70    60(max)         62         56.5  Minimum........................  Heating Minimum. \1\
(required, steady).....................
H0C1 Test..............................         70    60(max)         62         56.5  Minimum........................  (\2\)
(optional, steady).....................
H12 Test...............................         70    60(max)         47         43    Maximum........................  Heating Full-Load. \3\
(required, steady).....................
H11 Test...............................         70    60(max)         47         43    Minimum........................  Heating Minimum. \1\
(required, steady).....................
H1N Test...............................         70    60(max)         47         43    Cooling Mode Maximum...........  Heating Nominal. \4\
(optional, steady).....................
H22 Test...............................         70    60(max)         35         33    Maximum........................  Heating Full-Load. \3\
(optional).............................
H2V Test...............................         70    60(max)         35         33    Intermediate...................  Heating Intermediate. \5\
(required).............................
H32 Test...............................         70    60(max)         17         15    Maximum........................  Heating Full-Load. \3\
(required, steady).....................
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Defined in section 3.1.4.5.
\2\ Maintain the airflow nozzle(s) static pressure difference or velocity pressure during an ON period at the same pressure or velocity as measured
  during the H01 Test.
\3\ Defined in section 3.1.4.4.
\4\ Defined in section 3.1.4.7.
\5\ Defined in section 3.1.4.6.

    c. For multiple-split heat pumps (only), the following procedures 
supersede the above requirements. For all Table 12 tests specified for a 
minimum compressor speed, at least one indoor unit must be turned off. 
The manufacturer shall designate the particular indoor unit(s) that is 
turned off. The manufacturer must also specify the compressor speed used 
for the Table 12 H2V Test, a heating-mode intermediate 
compressor speed that falls within \1/4\ and \3/4\ of the difference 
between the maximum and minimum heating-mode speeds. The manufacturer 
should prescribe an intermediate speed that is expected to yield the 
highest COP for the given H2V Test conditions and bracketed 
compressor speed range. The manufacturer can designate that one or more 
specific indoor units are turned off for the H2V Test.
    3.6.5 Additional test for a heat pump having a heat comfort 
controller. Test any heat pump that has a heat comfort controller (see 
Definition 1.28) according to section 3.6.1, 3.6.2, or 3.6.3, whichever 
applies, with the heat comfort controller disabled. Additionally, 
conduct the abbreviated test described in section 3.1.9 with the heat 
comfort controller active to determine the system's maximum supply air 
temperature. (Note: heat pumps having a variable speed compressor and a 
heat comfort controller are not covered in the test procedure at this 
time.)
    3.7 Test procedures for steady-state Maximum Temperature and High 
Temperature heating mode tests (the H01, H1, H12, 
H11, and H1N Tests). a. For the pretest interval, 
operate the test room reconditioning apparatus and the heat pump until 
equilibrium conditions are maintained for at least 30 minutes at the 
specified section 3.6 test conditions. Use the exhaust fan of the 
airflow measuring apparatus and, if installed, the indoor fan of the 
heat pump to obtain and then maintain the indoor air volume rate and/or 
the external static pressure specified for the particular test. 
Continuously record the dry-bulb temperature of the air entering the 
indoor coil, and the dry-bulb temperature and water vapor content of the 
air entering the outdoor coil. Refer to section 3.11 for additional 
requirements that depend on the selected secondary test method. After 
satisfying the pretest equilibrium requirements, make the measurements 
specified in Table 3 of ASHRAE Standard 37-2005 (incorporated by 
reference, see Sec. 430.22) for the Indoor Air Enthalpy method and the 
user-selected secondary method. Except for external static pressure, 
make the Table 3 measurements at equal intervals that span 10 minutes or 
less. Measure external static pressure every 5 minutes or less. Continue 
data sampling until a 30-minute period (e.g., four consecutive 10-minute 
samples) is reached where the test tolerances specified in Table 13 are 
satisfied. For those continuously recorded parameters, use the entire 
data set for the 30-minute interval when evaluating Table 13 compliance. 
Determine the average electrical power consumption of the heat pump over 
the same 30-minute interval.

[[Page 270]]



 Table 13--Test Operating and Test Condition Tolerances for Section 3.7
            and Section 3.10 Steady-State Heating Mode Tests
------------------------------------------------------------------------
                                                     Test        Test
                                                   operating   condition
                                                   tolerance   tolerance
                                                      \1\         \2\
------------------------------------------------------------------------
Indoor dry-bulb, [deg]F:
  Entering temperature..........................        2.0         0.5
  Leaving temperature...........................        2.0   ..........
Indoor wet-bulb, [deg]F:
  Entering temperature..........................        1.0   ..........
  Leaving temperature...........................        1.0   ..........
Outdoor dry-bulb, [deg]F:
  Entering temperature..........................        2.0         0.5
  Leaving temperature...........................    \2\ 2.0   ..........
Outdoor wet-bulb, [deg]F:
  Entering temperature..........................        1.0         0.3
  Leaving temperature...........................    \3\ 1.0   ..........
External resistance to airflow, inches of water.        0.05    \4\ 0.02
Electrical voltage, % of rdg....................        2.0         1.5
Nozzle pressure drop, % of rdg..................        2.0
------------------------------------------------------------------------
\1\ See Definition 1.41.
\2\ See Definition 1.40.
\3\ Only applies when the Outdoor Air Enthalpy Method is used.
\4\ Only applies when testing non-ducted units.

    b. Calculate indoor-side total heating capacity as specified in 
sections 7.3.4.1 and 7.3.4.3 of ASHRAE Standard 37-2005 (incorporated by 
reference, see Sec. 430.22). Do not adjust the parameters used in 
calculating capacity for the permitted variations in test conditions. 
Assign the average space heating capacity and electrical power over the 
30-minute data collection interval to the variables 
Qhk and Ehk(T) respectively. 
The ``T'' and superscripted ``k'' are the same as described in section 
3.3. Additionally, for the heating mode, use the superscript to denote 
results from the optional H1N Test, if conducted.
    c. For heat pumps tested without an indoor fan installed, increase 
Qhk(T) by
[GRAPHIC] [TIFF OMITTED] TR11OC05.030

and increase Ehk(T) by,
[GRAPHIC] [TIFF OMITTED] TR11OC05.031

where Vs is the average measured indoor air volume rate 
expressed in units of cubic feet per minute of standard air (scfm). 
During the 30-minute data collection interval of a High Temperature 
Test, pay attention to preventing a defrost cycle. Prior to this time, 
allow the heat pump to perform a defrost cycle if automatically 
initiated by its own controls. As in all cases, wait for the heat pump's 
defrost controls to automatically terminate the defrost cycle. Heat 
pumps that undergo a defrost should operate in the heating mode for at 
least 10 minutes after defrost termination prior to beginning the 30-
minute data collection interval. For some heat pumps, frost may 
accumulate on the outdoor coil during a High Temperature test. If the 
indoor coil leaving air temperature or the difference between the 
leaving and entering air temperatures decreases by more than 1.5 [deg]F 
over the 30-minute data collection interval, then do not use the 
collected data to determine capacity. Instead, initiate a defrost cycle. 
Begin collecting data no sooner than 10 minutes after defrost 
termination. Collect 30 minutes of new data during which the Table 13 
test tolerances are satisfied. In this case, use only the results from 
the second 30-minute data collection interval to evaluate 
Qhk(47) and Ehk(47).
    d. If conducting the optional cyclic heating mode test, which is 
described in section 3.8, record the average indoor-side air volume 
rate, V, specific heat of the air, Cp,a (expressed on dry air 
basis), specific volume of the air at the nozzles, vn[min] 
(or vn), humidity ratio at the nozzles, Wn, and 
either pressure difference or velocity pressure for the flow nozzles. If 
either or both of the below criteria apply, determine the average, 
steady-state, electrical power consumption of the indoor fan motor 
(Efan,1):
    1. The section 3.8 cyclic test will be conducted and the heat pump 
has a variable-speed indoor fan that is expected to be disabled during 
the cyclic test; or
    2. The heat pump has a (variable-speed) constant-air volume-rate 
indoor fan and during the steady-state test the average external static 
pressure ([Delta]P1) exceeds the applicable section 3.1.4.4 
minimum (or targeted) external static pressure ([Delta]Pmin) 
by 0.03 inches of water or more.
    Determine Efan,1 by making measurements during the 30-
minute data collection interval, or immediately following the test and 
prior to changing the test conditions. When the above ``2'' criteria 
applies, conduct the following four steps after determining 
Efan,1 (which corresponds to [Delta]P1):
    i. While maintaining the same test conditions, adjust the exhaust 
fan of the airflow measuring apparatus until the external static 
pressure increases to approximately [Delta]P1 + 
([Delta]P1 - [Delta]Pmin).
    ii. After re-establishing steady readings for fan motor power and 
external static pressure, determine average values for the indoor fan 
power (Efan,2) and the external static pressure 
([Delta]P2) by making measurements over a 5-minute interval.
    iii. Approximate the average power consumption of the indoor fan 
motor if the 30-minute test had been conducted at [Delta]Pmin 
using linear extrapolation:
[GRAPHIC] [TIFF OMITTED] TR11OC05.032


[[Page 271]]


    iv. Decrease the total space heating capacity, 
Qhk(T), by the quantity (Efan,1 - 
Efan,min), when expressed on a Btu/h basis. Decrease the 
total electrical power, Ehk(T) by the same fan 
power difference, now expressed in watts.
    3.8 Test procedures for the optional cyclic heating mode tests (the 
H0C1, H1C, H1C1 and H1C2 Tests). a. 
Except as noted below, conduct the cyclic heating mode test as specified 
in section 3.5. As adapted to the heating mode, replace section 3.5 
references to ``the steady-state dry coil test'' with ``the heating mode 
steady-state test conducted at the same test conditions as the cyclic 
heating mode test.'' Use the test tolerances in Table 14 rather than 
Table 8. Record the outdoor coil entering wet-bulb temperature according 
to the requirements given in section 3.5 for the outdoor coil entering 
dry-bulb temperature. Drop the subscript ``dry'' used in variables cited 
in section 3.5 when referring to quantities from the cyclic heating mode 
test. Determine the total space heating delivered during the cyclic 
heating test, qcyc, as specified in section 3.5 except for 
making the following changes:
    (1) When evaluating Equation 3.5-1, use the values of V, 
Cp,a,vn[min], (or vn), and 
Wn that were recorded during the section 3.7 steady-state 
test conducted at the same test conditions.
    (2) Calculate [Gamma] using,
    [GRAPHIC] [TIFF OMITTED] TR11OC05.033
    
    b. For ducted heat pumps tested without an indoor fan installed 
(excluding the special case where a variable-speed fan is temporarily 
removed), increase qcyc by the amount calculated using 
Equation 3.5-3. Additionally, increase ecyc by the amount 
calculated using Equation 3.5-2. In making these calculations, use the 
average indoor air volume rate (Vs) determined from the 
section 3.7 steady-state heating mode test conducted at the same test 
conditions.
    c. For non-ducted heat pumps, subtract the electrical energy used by 
the indoor fan during the 3 minutes after compressor cutoff from the 
non-ducted heat pump's integrated heating capacity, qcyc.
    d. If a heat pump defrost cycle is manually or automatically 
initiated immediately prior to or during the OFF/ON cycling, operate the 
heat pump continuously until 10 minutes after defrost termination. After 
that, begin cycling the heat pump immediately or delay until the 
specified test conditions have been re-established. Pay attention to 
preventing defrosts after beginning the cycling process. For heat pumps 
that cycle off the indoor fan during a defrost cycle, make no effort 
here to restrict the air movement through the indoor coil while the fan 
is off. Resume the OFF/ON cycling while conducting a minimum of two 
complete compressor OFF/ON cycles before determining qcyc and 
ecyc.
    3.8.1 Heating mode cyclic-degradation coefficient calculation. Use 
the results from the optional cyclic test and the required steady-state 
test that were conducted at the same test conditions to determine the 
heating-mode cyclic-degradation coefficient CDh. 
Add ``(k=2)'' to the coefficient if it corresponds to a two-capacity 
unit cycling at high capacity. For the below calculation of the heating 
mode cyclic degradation coefficient, do not include the duct loss 
correction from section 7.3.3.3 of ASHRAE Standard 37-2005 (incorporated 
by reference, see Sec. 430.22) in determining 
Qhk(Tcyc) (or qcyc). If the 
optional cyclic test is conducted but yields a tested 
CDh that exceeds the default 
CDh or if the optional test is not conducted, 
assign CDh the default value of 0.25. The default 
value for two-capacity units cycling at high capacity, however, is the 
low-capacity coefficient, i.e., CDh (k=2) = 
CDh. The tested CDh is 
calculated as follows:
[GRAPHIC] [TIFF OMITTED] TR22OC07.096

where,
[GRAPHIC] [TIFF OMITTED] TR11OC05.035

the average coefficient of performance during the cyclic heating mode 
test, dimensionless.
[GRAPHIC] [TIFF OMITTED] TR11OC05.036

the average coefficient of performance during the steady-state heating 
mode test conducted at the same test conditions--i.e., same outdoor dry 
bulb temperature, Tcyc, and speed/capacity, k, if 
applicable--as specified for the cyclic heating mode test, 
dimensionless.
[GRAPHIC] [TIFF OMITTED] TR11OC05.037

the heating load factor, dimensionless.

Tcyc = the nominal outdoor temperature at which the cyclic 
heating mode test is conducted, 62 or 47 [deg]F.
[Delta][tau]cyc = the duration of the OFF/ON intervals; 0.5 
hours when testing a heat pump having a single-speed or two-capacity 
compressor and 1.0 hour when testing a heat pump having a variable-speed 
compressor.

[[Page 272]]

    Round the calculated value for CDh to the 
nearest 0.01. If CDh is negative, then set it 
equal to zero.

    Table 14--Test operating and test condition tolerances for cyclic
                           heating mode tests.
------------------------------------------------------------------------
                                                       Test       Test
                                                    operating  condition
                                                    tolerance  tolerance
                                                       \1\        \2\
------------------------------------------------------------------------
Indoor entering dry-bulb temperature, \3\ [deg]F..        2.0        0.5
Indoor entering wet-bulb temperature, \3\ [deg]F..        1.0
Outdoor entering dry-bulb temperature, \3\ [deg]F.        2.0        0.5
Outdoor entering wet-bulb temperature, \3\ [deg]F.        2.0        1.0
External resistance to air-flow, \3\ inches of           0.05
 water............................................
Airflow nozzle pressure difference or velocity            2.0    \4\ 2.0
 pressure,\3\ % of reading........................
Electrical voltage, \5\ % of rdg..................        2.0       1.5
------------------------------------------------------------------------
\1\ See Definition 1.41.
\2\ See Definition 1.40.
\3\ Applies during the interval that air flows through the indoor
  (outdoor) coil except for the first 30 seconds after flow initiation.
  For units having a variable-speed indoor fan that ramps, the
  tolerances listed for the external resistance to airflow shall apply
  from 30 seconds after achieving full speed until ramp down begins.
\4\ The test condition shall be the average nozzle pressure difference
  or velocity pressure measured during the steady-state test conducted
  at the same test conditions.
\5\ Applies during the interval that at least one of the following--the
  compressor, the outdoor fan, or, if applicable, the indoor fan--are
  operating, except for the first 30 seconds after compressor start-up.

    3.9 Test procedures for Frost Accumulation heating mode tests (the 
H2, H22, H2V, and H21 Tests). a. 
Confirm that the defrost controls of the heat pump are set as specified 
in section 2.2.1. Operate the test room reconditioning apparatus and the 
heat pump for at least 30 minutes at the specified section 3.6 test 
conditions before starting the ``preliminary'' test period. The 
preliminary test period must immediately precede the ``official'' test 
period, which is the heating and defrost interval over which data are 
collected for evaluating average space heating capacity and average 
electrical power consumption.
    b. For heat pumps containing defrost controls which are likely to 
cause defrosts at intervals less than one hour, the preliminary test 
period starts at the termination of an automatic defrost cycle and ends 
at the termination of the next occurring automatic defrost cycle. For 
heat pumps containing defrost controls which are likely to cause 
defrosts at intervals exceeding one hour, the preliminary test period 
must consist of a heating interval lasting at least one hour followed by 
a defrost cycle that is either manually or automatically initiated. In 
all cases, the heat pump's own controls must govern when a defrost cycle 
terminates.
    c. The official test period begins when the preliminary test period 
ends, at defrost termination. The official test period ends at the 
termination of the next occurring automatic defrost cycle. When testing 
a heat pump that uses a time-adaptive defrost control system (see 
Definition 1.42), however, manually initiate the defrost cycle that ends 
the official test period at the instant indicated by instructions 
provided by the manufacturer. If the heat pump has not undergone a 
defrost after 6 hours, immediately conclude the test and use the results 
from the full 6-hour period to calculate the average space heating 
capacity and average electrical power consumption.
    For heat pumps that turn the indoor fan off during the defrost 
cycle, take steps to cease forced airflow through the indoor coil and 
block the outlet duct whenever the heat pump's controls cycle off the 
indoor fan. If it is installed, use the outlet damper box described in 
section 2.5.4.1 to affect the blocked outlet duct.
    d. Defrost termination occurs when the controls of the heat pump 
actuate the first change in converting from defrost operation to normal 
heating operation. Defrost initiation occurs when the controls of the 
heat pump first alter its normal heating operation in order to eliminate 
possible accumulations of frost on the outdoor coil.
    e. To constitute a valid Frost Accumulation test, satisfy the test 
tolerances specified in Table 15 during both the preliminary and 
official test periods. As noted in Table 15, test operating tolerances 
are specified for two sub-intervals: (1) When heating, except for the 
first 10 minutes after the termination of a defrost cycle (Sub-interval 
H, as described in Table 15) and (2) when defrosting, plus these same 
first 10 minutes after defrost termination (Sub-interval D, as described 
in Table 15). Evaluate compliance with Table 15 test condition 
tolerances and the majority of the test operating tolerances using the 
averages from measurements recorded only during Sub-interval H. 
Continuously record the dry bulb temperature of the air entering the 
indoor coil, and the dry bulb temperature and water vapor content of the 
air entering the outdoor coil. Sample the remaining parameters listed in 
Table 15 at equal intervals that span 10 minutes or less.
    f. For the official test period, collect and use the following data 
to calculate average space heating capacity and electrical power. During 
heating and defrosting intervals when the controls of the heat pump have 
the indoor fan on, continuously record the dry-bulb temperature of the 
air entering (as noted above) and leaving the indoor coil. If using a 
thermopile, continuously record the difference between the leaving and 
entering dry-bulb temperatures during the interval(s) that air flows 
through the indoor coil. For heat pumps tested without an indoor fan 
installed, determine the corresponding cumulative time (in hours) of 
indoor coil airflow,

[[Page 273]]

[Delta][tau]a. Sample measurements used in calculating the 
air volume rate (refer to sections 7.7.2.1 and 7.7.2.2 of ASHRAE 
Standard 37-2005 (incorporated by reference, see Sec. 430.22)) at equal 
intervals that span 10 minutes or less. (Note: In the first printing of 
ASHRAE Standard 37-2005, the second IP equation for Qmi 
should read: .) Record the electrical energy consumed, expressed in 
watt-hours, from defrost termination to defrost termination, 
eDEFk(35), as well as the corresponding 
elapsed time in hours, [Delta][tau]FR.

        Table 15--Test Operating and Test Condition Tolerances for Frost Accumulation Heating Mode Tests.
----------------------------------------------------------------------------------------------------------------
                                                             Test operating tolerance \1\        Test condition
                                                        --------------------------------------   tolerance \2\
                                                           Sub-interval H     Sub-interval D     Sub-interval H
                                                                \3\                \4\                \3\
----------------------------------------------------------------------------------------------------------------
Indoor entering dry-bulb temperature, [deg]F...........                2.0            \5\ 4.0                0.5
Indoor entering wet-bulb temperature, [deg]F...........                1.0  .................
Outdoor entering dry-bulb temperature, [deg]F..........                2.0               10.0                1.0
Outdoor entering wet-bulb temperature, [deg]F..........                1.5  .................                0.5
External resistance to airflow, inches of water........               0.05  .................           0.02 \6\
Electrical voltage, % of rdg...........................                2.0  .................               1.5
----------------------------------------------------------------------------------------------------------------
\1\ See Definition 1.41.
\2\ See Definition 1.40.
\3\ Applies when the heat pump is in the heating mode, except for the first 10 minutes after termination of a
  defrost cycle.
\4\ Applies during a defrost cycle and during the first 10 minutes after the termination of a defrost cycle when
  the heat pump is operating in the heating mode.
\5\ For heat pumps that turn off the indoor fan during the defrost cycle, the noted tolerance only applies
  during the 10 minute interval that follows defrost termination.
\6\ Only applies when testing non-ducted heat pumps.

    3.9.1 Average space heating capacity and electrical power 
calculations. a. Evaluate average space heating capacity, 
Qhk(35), when expressed in units of Btu per hour, 
using:
[GRAPHIC] [TIFF OMITTED] TR11OC05.038

where,

V = the average indoor air volume rate measured during Sub-interval H, 
cfm.
Cp,a = 0.24 + 0.444 [middot] Wn, the constant 
pressure specific heat of the air-water vapor mixture that flows through 
the indoor coil and is expressed on a dry air basis, Btu / 
lbmda [middot] [deg]F.
vn[min] = specific volume of the air-water vapor mixture at 
the nozzle, ft\3\ / lbmmx.
Wn = humidity ratio of the air-water vapor mixture at the 
nozzle, lbm of water vapor per lbm of dry air.
[Delta][tau]FR = [tau]2 - [tau]1, the 
elapsed time from defrost termination to defrost termination, hr.
[GRAPHIC] [TIFF OMITTED] TR11OC05.039

Tal([tau]) = dry bulb temperature of the air entering the 
indoor coil at elapsed time [tau], [deg]F; only recorded when indoor 
coil airflow occurs; assigned the value of zero during periods (if any) 
where the indoor fan cycles off.
Ta2([tau]) = dry bulb temperature of the air leaving the 
indoor coil at elapsed time [tau], [deg]F; only recorded when indoor 
coil airflow occurs; assigned the value of zero during periods (if any) 
where the indoor fan cycles off.
[tau]1 = the elapsed time when the defrost termination occurs 
that begins the official test period, hr.
[tau]2 = the elapsed time when the next automatically 
occurring defrost termination occurs, thus ending the official test 
period, hr.
vn = specific volume of the dry air portion of the mixture 
evaluated at the dry-bulb temperature, vapor content, and barometric 
pressure existing at the nozzle, ft\3\ per lbm of dry air.
    To account for the effect of duct losses between the outlet of the 
indoor unit and the section 2.5.4 dry-bulb temperature grid, adjust 
Qhk(35) in accordance with section 7.3.4.3 of 
ASHRAE Standard 37-2005 (incorporated by reference, see Sec. 430.22).
    b. Evaluate average electrical power, Ehk(35), 
when expressed in units of watts, using:

[[Page 274]]

[GRAPHIC] [TIFF OMITTED] TR11OC05.040

    For heat pumps tested without an indoor fan installed, increase 
Qhk(35) by,
[GRAPHIC] [TIFF OMITTED] TR11OC05.041

and increase Ehk(35) by,
[GRAPHIC] [TIFF OMITTED] TR11OC05.042

where Vs is the average indoor air volume rate measured 
during the Frost Accumulation heating mode test and is expressed in 
units of cubic feet per minute of standard air (scfm).
    c. For heat pumps having a constant-air-volume-rate indoor fan, the 
five additional steps listed below are required if the average of the 
external static pressures measured during sub-Interval H exceeds the 
applicable section 3.1.4.4, 3.1.4.5, or 3.1.4.6 minimum (or targeted) 
external static pressure ([Delta]Pmin) by 0.03 inches of 
water or more:
    1. Measure the average power consumption of the indoor fan motor 
(Efan,1) and record the corresponding external static 
pressure ([Delta]P1) during or immediately following the 
Frost Accumulation heating mode test. Make the measurement at a time 
when the heat pump is heating, except for the first 10 minutes after the 
termination of a defrost cycle.
    2. After the Frost Accumulation heating mode test is completed and 
while maintaining the same test conditions, adjust the exhaust fan of 
the airflow measuring apparatus until the external static pressure 
increases to approximately [Delta]P1 + ([Delta]P1 
- [Delta]Pmin).
    3. After re-establishing steady readings for the fan motor power and 
external static pressure, determine average values for the indoor fan 
power (Efan,2) and the external static pressure 
([Delta]P2) by making measurements over a 5-minute interval.
    4. Approximate the average power consumption of the indoor fan motor 
had the Frost Accumulation heating mode test been conducted at 
[Delta]Pmin using linear extrapolation:
[GRAPHIC] [TIFF OMITTED] TR11OC05.043

    5. Decrease the total heating capacity, 
Qhk(35), by the quantity [(Efan,1 - 
Efan,min)[middot] ([Delta][tau] a/[Delta][tau] 
FR], when expressed on a Btu/h basis. Decrease the total 
electrical power, Ehk(35), by the same quantity, 
now expressed in watts.
    3.9.2 Demand defrost credit. a. Assign the demand defrost credit, 
Fdef, that is used in section 4.2 to the value of 1 in all 
cases except for heat pumps having a demand-defrost control system 
(Definition 1.21). For such qualifying heat pumps, evaluate 
Fdef using,
[GRAPHIC] [TIFF OMITTED] TR11OC05.044

where,
[Delta][tau]def = the time between defrost terminations (in 
hours) or 1.5, whichever is greater.
[Delta][tau]max = maximum time between defrosts as allowed by 
the controls (in hours) or 12, whichever is less.
    b. For two-capacity heat pumps and for section 3.6.2 units, evaluate 
the above equation using the [Delta][tau]def that applies 
based on the Frost Accumulation Test conducted at high capacity and/or 
at the Heating Full-loadAir Volume Rate. For variable-speed heat pumps, 
evaluate [Delta][tau]def based on the required Frost 
Accumulation Test conducted at the intermediate compressor speed.
    3.10 Test procedures for steady-state Low Temperature heating mode 
tests (the H3, H32, and H31 Tests). Except for the 
modifications noted in this section, conduct the Low Temperature heating 
mode test using the same approach as specified in section 3.7 for the 
Maximum and High Temperature tests. After satisfying the section 3.7 
requirements for the pretest interval but before beginning to collect 
data to determine Qhk(17) and 
Ehk(17), conduct a defrost cycle. This defrost 
cycle may be manually or automatically initiated. The defrost sequence 
must be terminated by the action of the heat pump's defrost controls. 
Begin the 30-minute data collection interval described in section 3.7, 
from which Qhk(17) and 
Ehk(17) are determined, no sooner than 10 minutes 
after defrost termination. Defrosts should be prevented over the 30-
minute data collection interval.
    3.11 Additional requirements for the secondary test methods.
    3.11.1 If using the Outdoor Air Enthalpy Method as the secondary 
test method. During the ``official'' test, the outdoor air-side test 
apparatus described in section 2.10.1 is connected to the outdoor unit. 
To help compensate for any effect that the addition of

[[Page 275]]

this test apparatus may have on the unit's performance, conduct a 
``preliminary'' test where the outdoor air-side test apparatus is 
disconnected. Conduct a preliminary test prior to the first section 3.2 
steady-state cooling mode test and prior to the first section 3.6 
steady-state heating mode test. No other preliminary tests are required 
so long as the unit operates the outdoor fan during all cooling mode 
steady-state tests at the same speed and all heating mode steady-state 
tests at the same speed. If using more than one outdoor fan speed for 
the cooling mode steady-state tests, however, conduct a preliminary test 
prior to each cooling mode test where a different fan speed is first 
used. This same requirement applies for the heating mode tests.
    3.11.1.1 If a preliminary test precedes the official test. a. The 
test conditions for the preliminary test are the same as specified for 
the official test. Connect the indoor air-side test apparatus to the 
indoor coil; disconnect the outdoor air-side test apparatus. Allow the 
test room reconditioning apparatus and the unit being tested to operate 
for at least one hour. After attaining equilibrium conditions, measure 
the following quantities at equal intervals that span 10 minutes or 
less:
    1. The section 2.10.1 evaporator and condenser temperatures or 
pressures;
    2. Parameters required according to the Indoor Air Enthalpy Method.
    Continue these measurements until a 30-minute period (e.g., four 
consecutive 10-minute samples) is obtained where the Table 7 or Table 
13, whichever applies, test tolerances are satisfied.
    b. After collecting 30 minutes of steady-state data, reconnect the 
outdoor air-side test apparatus to the unit. Adjust the exhaust fan of 
the outdoor airflow measuring apparatus until averages for the 
evaporator and condenser temperatures, or the saturated temperatures 
corresponding to the measured pressures, agree within 0.5 [deg]F of the averages achieved when the outdoor 
air-side test apparatus was disconnected. Calculate the averages for the 
reconnected case using five or more consecutive readings taken at one 
minute intervals. Make these consecutive readings after re-establishing 
equilibrium conditions and before initiating the official test.
    3.11.1.2 If a preliminary test does not precede the official test. 
Connect the outdoor-side test apparatus to the unit. Adjust the exhaust 
fan of the outdoor airflow measuring apparatus to achieve the same 
external static pressure as measured during the prior preliminary test 
conducted with the unit operating in the same cooling or heating mode at 
the same outdoor fan speed.
    3.11.1.3 Official test. a. Continue (preliminary test was conducted) 
or begin (no preliminary test) the official test by making measurements 
for both the Indoor and Outdoor Air Enthalpy Methods at equal intervals 
that span 10 minutes or less. Discontinue these measurement only after 
obtaining a 30-minute period where the specified test condition and test 
operating tolerances are satisfied. To constitute a valid official test:
    (1) Achieve the energy balance specified in section 3.1.1; and,
    (2) For cases where a preliminary test is conducted, the capacities 
determined using the Indoor Air Enthalpy Method from the official and 
preliminary test periods must agree within 2.0 percent.
    b. For space cooling tests, calculate capacity from the outdoor air-
enthalpy measurements as specified in sections 7.3.3.2 and 7.3.3.3 of 
ASHRAE Standard 37-2005 (incorporated by reference, see Sec. 430.22). 
Calculate heating capacity based on outdoor air-enthalpy measurements as 
specified in sections 7.3.4.2 and 7.3.3.4.3 of the same ASHRAE Standard. 
Adjust the outdoor-side capacity according to section 7.3.3.4 of ASHRAE 
Standard 37-2005 (incorporated by reference, see Sec. 430.22) to 
account for line losses when testing split systems. Use the outdoor unit 
fan power as measured during the official test and not the value 
measured during the preliminary test, as described in section 8.6.2 of 
ASHRAE Standard 37-2005 (incorporated by reference, see Sec. 430.22), 
when calculating the capacity.
    3.11.2 If using the Compressor Calibration Method as the secondary 
test method.
    a. Conduct separate calibration tests using a calorimeter to 
determine the refrigerant flow rate. Or for cases where the superheat of 
the refrigerant leaving the evaporator is less than 5 [deg]F, use the 
calorimeter to measure total capacity rather than refrigerant flow rate. 
Conduct these calibration tests at the same test conditions as specified 
for the tests in this Appendix. Operate the unit for at least one hour 
or until obtaining equilibrium conditions before collecting data that 
will be used in determining the average refrigerant flow rate or total 
capacity. Sample the data at equal intervals that span 10 minutes or 
less. Determine average flow rate or average capacity from data sampled 
over a 30-minute period where the Table 7 (cooling) or the Table 13 
(heating) tolerances are satisfied. Otherwise, conduct the calibration 
tests according to ASHRAE Standard 23-05 (incorporated by reference, see 
Sec. 430.22), ASHRAE Standard 41.9-2000 (incorporated by reference, see 
Sec. 430.22), and section 7.4 of ASHRAE Standard 37-2005 (incorporated 
by reference, see Sec. 430.22).
    b. Calculate space cooling and space heating capacities using the 
compressor calibration method measurements as specified in section 7.4.5 
and 7.4.6 respectively, of ASHRAE Standard 37-2005 (incorporated by 
reference, see Sec. 430.22).

[[Page 276]]

    b. Calculate space cooling and space heating capacities using the 
compressor calibration method measurements as specified in section 7.4.5 
and 7.4.6 respectively, of ASHRAE Standard 37-2005 (incorporated by 
reference, see Sec. 430.22).
    3.11.3 If using the Refrigerant-Enthalpy Method as the secondary 
test method. Conduct this secondary method according to section 7.5 of 
ASHRAE Standard 37-2005 (incorporated by reference, see Sec. 430.22). 
Calculate space cooling and heating capacities using the refrigerant-
enthalpy method measurements as specified in sections 7.5.4 and 7.5.5, 
respectively, of the same ASHRAE Standard.
    3.12 Rounding of space conditioning capacities for reporting 
purposes.
    a. When reporting rated capacities, round them off as follows:
    1. For capacities less than 20,000 Btu/h, round to the nearest 100 
Btu/h.
    2. For capacities between 20,000 and 37,999 Btu/h, round to the 
nearest 200 Btu/h.
    3. For capacities between 38,000 and 64,999 Btu/h, round to the 
nearest 500 Btu/h.
    b. For the capacities used to perform the section 4 calculations, 
however, round only to the nearest integer.
    4. CALCULATIONS OF SEASONAL PERFORMANCE DESCRIPTORS
    4.1 Seasonal Energy Efficiency Ratio (SEER) Calculations. SEER must 
be calculated as follows: For equipment covered under sections 4.1.2, 
4.1.3, and 4.1.4, evaluate the seasonal energy efficiency ratio,
[GRAPHIC] [TIFF OMITTED] TR11OC05.045

where,
[GRAPHIC] [TIFF OMITTED] TR11OC05.046

the ratio of the total space cooling provided during periods of the 
space cooling season when the outdoor temperature fell within the range 
represented by bin temperature Tj to the total number of 
hours in the cooling season (N), Btu/h.
[GRAPHIC] [TIFF OMITTED] TR11OC05.047

the electrical energy consumed by the test unit during periods of the 
space cooling season when the outdoor temperature fell within the range 
represented by bin temperature Tj to the total number of 
hours in the cooling season (N), W.
    Tj = the outdoor bin temperature, [deg]F. Outdoor 
temperatures are grouped or ``binned.'' Use bins of 5 [deg]F with the 8 
cooling season bin temperatures being 67, 72, 77, 82, 87, 92, 97, and 
102 [deg]F.
    j = the bin number. For cooling season calculations, j ranges from 1 
to 8.
    Additionally, for sections 4.1.2, 4.1.3, and 4.1.4, use a building 
cooling load, BL(Tj). When referenced, evaluate 
BL(Tj) for cooling using,
[GRAPHIC] [TIFF OMITTED] TR11OC05.049

where,
Qck=2(95) = the space cooling capacity determined 
from the A2 Test and calculated as specified in section 3.3, 
Btu/h.
1.1 = sizing factor, dimensionless.
    The temperatures 95 [deg]F and 65 [deg]F in the building load 
equation represent the selected outdoor design temperature and the zero-
load base temperature, respectively.
    4.1.1 SEER calculations for an air conditioner or heat pump having a 
single-speed compressor that was tested with a fixed-speed indoor fan 
installed, a constant-air-volume-rate indoor fan installed, or with no

[[Page 277]]

indoor fan installed. a. Evaluate the seasonal energy efficiency ratio, 
expressed in units of Btu/watt-hour, using:

SEER = PLF(0.5) [middot] EERB
where,
[GRAPHIC] [TIFF OMITTED] TR11OC05.050

the energy efficiency ratio determined from the B Test described in 
sections 3.2.1, 3.1.4.1, and 3.3, Btu/h per watt.
    PLF(0.5) = 1 - 0.5 [middot] CDc, the part-load 
performance factor evaluated at a cooling load factor of 0.5, 
dimensionless.
    b. Refer to section 3.3 regarding the definition and calculation of 
Qc(82) and Ec(82). If the optional tests described 
in section 3.2.1 are not conducted, set the cooling mode cyclic 
degradation coefficient, CDc, to the default value 
specified in section 3.5.3. If these optional tests are conducted, set 
CDc to the lower of:
    1. The value calculated as per section 3.5.3; or
    2. The section 3.5.3 default value of 0.25.
    4.1.2 SEER calculations for an air conditioner or heat pump having a 
single-speed compressor and a variable-speed variable-air-volume-rate 
indoor fan.
    4.1.2.1 Units covered by section 3.2.2.1 where indoor fan capacity 
modulation correlates with the outdoor dry bulb temperature. The 
manufacturer must provide information on how the indoor air volume rate 
or the indoor fan speed varies over the outdoor temperature range of 67 
[deg]F to 102 [deg]F. Calculate SEER using Equation 4.1-1. Evaluate the 
quantity qc(Tj)/N in Equation 4.1-1 using,
[GRAPHIC] [TIFF OMITTED] TR11OC05.052

where,
[GRAPHIC] [TIFF OMITTED] TR11OC05.053

whichever is less; the cooling mode load factor for temperature bin j, 
dimensionless.
Qc(Tj) = the space cooling capacity of the test 
unit when operating at outdoor temperature, Tj, Btu/h.

nj/N = fractional bin hours for the cooling season; the ratio 
of the number of hours during the cooling season when the outdoor 
temperature fell within the range represented by bin temperature 
Tj to the total number of hours in the cooling season, 
dimensionless.
    a. For the space cooling season, assign nj/N as specified 
in Table 16. Use Equation 4.1-2 to calculate the building load, 
BL(Tj). Evaluate Qc(Tj) using,
[GRAPHIC] [TIFF OMITTED] TR11OC05.056

where,
[GRAPHIC] [TIFF OMITTED] TR11OC05.057

the space cooling capacity of the test unit at outdoor temperature 
Tj if operated at the Cooling Minimum Air Volume Rate, Btu/h.

[[Page 278]]

[GRAPHIC] [TIFF OMITTED] TR11OC05.058

the space cooling capacity of the test unit at outdoor temperature 
Tj if operated at the Cooling Full-load Air Volume Rate, Btu/
h.
    b. For units where indoor fan speed is the primary control variable, 
FPck=1 denotes the fan speed used during the 
required A1 and B1 Tests (see section 3.2.2.1), 
FPck=2 denotes the fan speed used during the 
required A2 and B2 Tests, and 
FPc(Tj) denotes the fan speed used by the unit 
when the outdoor temperature equals Tj. For units where 
indoor air volume rate is the primary control variable, the three 
FPc's are similarly defined only now being expressed in terms 
of air volume rates rather than fan speeds. Refer to sections 3.2.2.1, 
3.1.4 to 3.1.4.2, and 3.3 regarding the definitions and calculations of 
Qck=1(82), 
Qck=1(95),Qc k=2(82), and 
Qck=2(95).

Calculate ec(Tj)/N in Equation 4.1-1 using,
[GRAPHIC] [TIFF OMITTED] TR11OC05.059

where,

PLFj = 1 - CDc [middot] [1 - 
X(Tj)], the part load factor, dimensionless.
Ec(Tj) = the electrical power consumption of the 
test unit when operating at outdoor temperature Tj, W.

    c. The quantities X(Tj) and nj /N are the same 
quantities as used in Equation 4.1.2-1. If the optional tests described 
in section 3.2.2.1 and Table 4 are not conducted, set the cooling mode 
cyclic degradation coefficient, CDc, to the 
default value specified in section 3.5.3. If these optional tests are 
conducted, set CDc to the lower of:
    1. The value calculated as per section 3.5.3; or
    2 .The section 3.5.3 default value of 0.25.
    d. Evaluate Ec(Tj) using,
    [GRAPHIC] [TIFF OMITTED] TR11OC05.060
    
where
[GRAPHIC] [TIFF OMITTED] TR11OC05.061

the electrical power consumption of the test unit at outdoor temperature 
Tj if operated at the Cooling Minimum Air Volume Rate, W.
[GRAPHIC] [TIFF OMITTED] TR11OC05.062


[[Page 279]]


the electrical power consumption of the test unit at outdoor temperature 
Tj if operated at the Cooling Full-load Air Volume Rate, W.
    e. The parameters FPck=1, and 
FPck=2, and FPc(Tj) are the 
same quantities that are used when evaluating Equation 4.1.2-2. Refer to 
sections 3.2.2.1, 3.1.4 to 3.1.4.2, and 3.3 regarding the definitions 
and calculations of Eck=1(82), 
Eck=1(95), Eck=2(82), and 
Eck=2(95).
    4.1.2.2 Units covered by section 3.2.2.2 where indoor fan capacity 
modulation is used to adjust the sensible to total cooling capacity 
ratio. Calculate SEER as specified in section 4.1.1.
    4.1.3 SEER calculations for an air conditioner or heat pump having a 
two-capacity compressor. Calculate SEER using Equation 4.1-1. Evaluate 
the space cooling capacity, Qck=1 (Tj), 
and electrical power consumption, Eck=1 
(Tj), of the test unit when operating at low compressor 
capacity and outdoor temperature Tj using,
[GRAPHIC] [TIFF OMITTED] TR22OC07.079

[GRAPHIC] [TIFF OMITTED] TR22OC07.080

where Qck=1 (82) and Eck=1 
(82) are determined from the B1 Test, 
Qck=1 (67) and Eck=1 (67) 
are determined from the F1 Test, and all four quantities are 
calculated as specified in section 3.3. Evaluate the space cooling 
capacity, Qck=2 (Tj), and electrical 
power consumption, Eck=2 (Tj), of the 
test unit when operating at high compressor capacity and outdoor 
temperature Tj using,
[GRAPHIC] [TIFF OMITTED] TR22OC07.081

[GRAPHIC] [TIFF OMITTED] TR11OC05.066

where Qck=2(95) and 
Eck=2(95) are determined from the A2 
Test, Qck=2(82), and 
Eck=2(82), are determined from the B2 
Test, and all are calculated as specified in section 3.3.
    The calculation of Equation 4.1-1 quantities 
qc(Tj)/N and ec(Tj)/N 
differs depending on whether the test unit would operate at low capacity 
(section 4.1.3.1), cycle between low and high capacity (section 
4.1.3.2), or operate at high capacity (sections 4.1.3.3 and 4.1.3.4) in 
responding to the building load. For units that lock out low capacity 
operation at higher outdoor temperatures, the manufacturer must supply 
information regarding this temperature so that the appropriate equations 
are used. Use Equation 4.1-2 to calculate the building load, 
BL(Tj), for each temperature bin.
    4.1.3.1 Steady-state space cooling capacity at low compressor 
capacity is greater than or equal to the building cooling load at 
temperature Tj, Qck=1(Tj) 
= BL(Tj).
[GRAPHIC] [TIFF OMITTED] TR11OC05.067

where,
Xk=1(Tj) = BL(Tj)/
Qck=1(Tj), the cooling mode low 
capacity load factor for temperature bin j, dimensionless.
PLFj = 1 - CDc [middot] [1 - 
Xk=1(Tj)], the part load factor, dimensionless.
[GRAPHIC] [TIFF OMITTED] TR11OC05.068

fractional bin hours for the cooling season; the ratio of the number of 
hours during the cooling season when the outdoor temperature fell within 
the range represented by bin temperature Tj to the total 
number of hours in the cooling season, dimensionless.

[[Page 280]]

    Obtain the fractional bin hours for the cooling season, 
nj/N, from Table 16. Use Equations 4.1.3-1 and 4.1.3-2, 
respectively, to evaluate Qck=1(Tj) and 
Eck=1(Tj). If the optional tests 
described in section 3.2.3 and Table 5 are not conducted, set the 
cooling mode cyclic degradation coefficient, CDc, 
to the default value specified in section 3.5.3. If these optional tests 
are conducted, set CDc to the lower of:
    a. The value calculated according to section 3.5.3; or
    b. The section 3.5.3 default value of 0.25.

                Table 16--Distribution of Fractional Hours Within Cooling Season Temperature Bins
----------------------------------------------------------------------------------------------------------------
                                                                   Representative
                Bin number, j                  Bin temperature    temperature for       Fraction of of total
                                                 range [deg]F        bin [deg]F      temperature bin hours, nj/N
----------------------------------------------------------------------------------------------------------------
1...........................................              65-69                 67                         0.214
2...........................................              70-74                 72                         0.231
3...........................................              75-79                 77                         0.216
4...........................................              80-84                 82                         0.161
5...........................................              85-89                 87                         0.104
6...........................................              90-94                 92                         0.052
7...........................................              95-99                 97                         0.018
8...........................................            100-104                102                         0.004
----------------------------------------------------------------------------------------------------------------

    4.1.3.2 Unit alternates between high (k=2) and low (k=1) compressor 
capacity to satisfy the building cooling load at temperature 
Tj, Qck=1(Tj) < 
BL(Tj) < Qck=2(Tj).
[GRAPHIC] [TIFF OMITTED] TR11OC05.069

where,
[GRAPHIC] [TIFF OMITTED] TR11OC05.070

the cooling mode, low capacity load factor for temperature bin j, 
dimensionless.

Xk=2(Tj) = 1 - Xk=1(Tj), the 
cooling mode, high capacity load factor for temperature bin j, 
dimensionless.
    Obtain the fractional bin hours for the cooling season, 
nj/N, from Table 16. Use Equations 4.1.3-1 and 4.1.3-2, 
respectively, to evaluate Qck=1(Tj) and 
Eck=1(Tj). Use Equations 4.1.3-3 and 
4.1.3-4, respectively, to evaluate 
Qck=2(Tj) and 
Eck=2(Tj).
    4.1.3.3 Unit only operates at high (k=2) compressor capacity at 
temperature Tj and its capacity is greater than the building 
cooling load, BL(Tj) < 
Qck=2(Tj). This section applies to 
units that lock out low compressor capacity operation at higher outdoor 
temperatures.
[GRAPHIC] [TIFF OMITTED] TR11OC05.072

where,
Xk=2(Tj) = BL(Tj)/
Qck=2(Tj), the cooling mode high 
capacity load factor for temperature bin j, dimensionless.
[GRAPHIC] [TIFF OMITTED] TR22OC07.082

the part load factor, dimensionless.

    Obtain the fraction bin hours for the cooling season,
    [GRAPHIC] [TIFF OMITTED] TR22OC07.097
    
from Table 16. Use Equations 4.1.3-3 and 4.1.3-4, respectively, to 
evaluate Qck=2 (Tj) and 
Eck=2 (Tj). If the optional 
C2 and D2 Tests described in section 3.2.3 and 
Table 5 are not conducted, set CDc (k=2) equal to 
the default

[[Page 281]]

value specified in section 3.5.3. If these optional tests are conducted, 
set CDc (k=2) to the lower of:
    a. the CDc (k=2) value calculated as per 
section 3.5.3; or
    b. the section 3.5.3 default value for CDc 
(k=2) .
    4.1.3.4 Unit must operate continuously at high (k=2) compressor 
capacity at temperature Tj, BL(Tj) = 
Qck=2(Tj).
[GRAPHIC] [TIFF OMITTED] TR11OC05.074

    Obtain the fractional bin hours for the cooling season, 
nj/N, from Table 16. Use Equations 4.1.3-3 and 4.1.3-4, 
respectively, to evaluate Qck=2(Tj) and 
Eck=2(Tj).
    4.1.4 SEER calculations for an air conditioner or heat pump having a 
variable-speed compressor. Calculate SEER using Equation 4.1-1. Evaluate 
the space cooling capacity, Qck=1(Tj), 
and electrical power consumption, 
Eck=1(Tj), of the test unit when 
operating at minimum compressor speed and outdoor temperature 
Tj. Use,
[GRAPHIC] [TIFF OMITTED] TR11OC05.076

[GRAPHIC] [TIFF OMITTED] TR11OC05.077

where Qck=1(82) and 
Eck=1(82) are determined from the B1 
Test, Qck=1(67) and 
Eck=1(67) are determined from the F1 Test, and all 
four quantities are calculated as specified in section 3.3. Evaluate the 
space cooling capacity, Qck=2(Tj), and 
electrical power consumption, 
Eck=2(Tj), of the test unit when 
operating at maximum compressor speed and outdoor temperature 
Tj. Use Equations 4.1.3-3 and 4.1.3-4, respectively, where 
Qck=2(95) and Eck=2(95) are 
determined from the A2 Test, Qck=2(82) 
and Eck=2(82) are determined from the 
B2 Test, and all four quantities are calculated as specified 
in section 3.3. Calculate the space cooling capacity, 
Qck=v(Tj), and electrical power 
consumption, Eck=v(Tj), of the test 
unit when operating at outdoor temperature Tj and the 
intermediate compressor speed used during the section 3.2.4 (and Table 
6) EV Test using,
[GRAPHIC] [TIFF OMITTED] TR11OC05.080

    4.1.4.1 Steady-state space cooling capacity when operating at 
minimum compressor speed is greater than or equal to the building 
cooling load at temperature Tj, 
Qck=1(Tj) = 
BL(Tj).
[GRAPHIC] [TIFF OMITTED] TR11OC05.083

where,


[[Page 282]]


Xk=1(Tj) = BL(Tj) / 
Qck=1(Tj), the cooling mode minimum 
speed load factor for temperature bin j, dimensionless.
PLFj = 1 - CDc [middot] [1 - 
Xk=1(Tj)], the part load factor, dimensionless.
nj/N = fractional bin hours for the cooling season; the ratio 
of the number of hours during the cooling season when the outdoor 
temperature fell within the range represented by bin temperature 
Tj to the total number of hours in the cooling season, 
dimensionless.
    Obtain the fractional bin hours for the cooling season, 
nj/N, from Table 16. Use Equations 4.1.3-1 and 4.1.3-2, 
respectively, to evaluate Qck=l (Tj) 
and Eck=l (Tj). If the optional tests 
described in section 3.2.4 and Table 6 are not conducted, set the 
cooling mode cyclic degradation coefficient, CDc, 
to the default value specified in section 3.5.3. If these optional tests 
are conducted, set CDc to the lower of:
    a. The value calculated according to section 3.5.3; or
    b. The section 3.5.3 default value of 0.25.
    4.1.4.2 Unit operates at an intermediate compressor speed (k=i) in 
order to match the building cooling load at temperature 
Tj,Qck=1(Tj) < 
BL(Tj) < Qck=2(Tj).
[GRAPHIC] [TIFF OMITTED] TR11OC05.085

where,

Qck=i(Tj) = BL(Tj), the 
space cooling capacity delivered by the unit in matching the building 
load at temperature Tj, Btu/h. The matching occurs with the 
unit operating at compressor speed k = i.
[GRAPHIC] [TIFF OMITTED] TR11OC05.086

the electrical power input required by the test unit when operating at a 
compressor speed of k = i and temperature Tj, W.

EER k=i(Tj) = the steady-state energy efficiency 
ratio of the test unit when operating at a compressor speed of k = i and 
temperature Tj, Btu/h per W.

    Obtain the fractional bin hours for the cooling season, 
nj/N, from Table 16. For each temperature bin where the unit 
operates at an intermediate compressor speed, determine the energy 
efficiency ratio EER k=i(Tj) using,

EER k=i(Tj) = A + B [middot] Tj + C 
[middot] Tj\2\.

    For each unit, determine the coefficients A, B, and C by conducting 
the following calculations once:
[GRAPHIC] [TIFF OMITTED] TR11OC05.088

where,

T1 = the outdoor temperature at which the unit, when 
operating at minimum compressor speed, provides a space cooling capacity 
that is equal to the building load (Qck=l 
(Tl) = BL(T1)), [deg]F. Determine T1 by 
equating Equations 4.1.3-1 and 4.1-2 and solving for outdoor 
temperature. Tv = the outdoor temperature at which the unit, 
when operating at the intermediate compressor speed used during the 
section 3.2.4 EV Test, provides a space cooling capacity that 
is equal to the building load (Qck=v 
(Tv) = BL(Tv)), [deg]F. Determine Tv by 
equating Equations 4.1.4-1 and 4.1-2 and solving for outdoor 
temperature.
T2 = the outdoor temperature at which the unit, when 
operating at maximum compressor speed, provides a space cooling capacity 
that is equal to the building load (Qck=2 
(T2) = BL(T2)), [deg]F. Determine T2 by

[[Page 283]]

equating Equations 4.1.3-3 and 4.1-2 and solving for outdoor 
temperature.
[GRAPHIC] [TIFF OMITTED] TR11OC05.089

    4.1.4.3 Unit must operate continuously at maximum (k=2) compressor 
speed at temperature Tj, BL(Tj) = 
Qck=2(Tj). Evaluate the Equation 4.1-1 
quantities
[GRAPHIC] [TIFF OMITTED] TR11OC05.090

as specified in section 4.1.3.4 with the understanding that 
Qck=2(Tj) and 
Eck=2(Tj) correspond to maximum 
compressor speed operation and are derived from the results of the tests 
specified in section 3.2.4.
    4.2 Heating Seasonal Performance Factor (HSPF) Calculations. Unless 
an approved alternative rating method is used, as set forth in 10 CFR 
430.24(m), Subpart B, HSPF must be calculated as follows: Six 
generalized climatic regions are depicted in Figure 2 and otherwise 
defined in Table 17. For each of these regions and for each applicable 
standardized design heating requirement, evaluate the heating seasonal 
performance factor using,
[GRAPHIC] [TIFF OMITTED] TR11OC05.091

where,

eh(Tj)/N=

The ratio of the electrical energy consumed by the heat pump during 
periods of the space heating season when the outdoor temperature fell 
within the range represented by bin temperature Tj to the 
total number of hours in the heating season (N), W. For heat pumps 
having a heat comfort controller, this ratio may also include electrical 
energy used by resistive elements to maintain a minimum air delivery 
temperature (see 4.2.5).

RH(Tj)/N=

The ratio of the electrical energy used for resistive space heating 
during periods when the outdoor temperature fell within the range 
represented by bin temperature Tj to the total number of 
hours in the heating season (N), W. Except as noted in section 4.2.5, 
resistive space heating is modeled as being used to meet that portion of 
the building load that the heat pump does not meet because of 
insufficient capacity or because the heat pump automatically turns off 
at the lowest outdoor temperatures. For heat pumps having a heat comfort 
controller, all or part of the electrical energy used by resistive 
heaters at a particular bin temperature may be reflected in 
eh(Tj)/N (see 4.2.5).

Tj = the outdoor bin temperature, [deg]F. Outdoor 
temperatures are ``binned'' such that calculations are only performed 
based one temperature within the bin. Bins of 5 [deg]F are used.

nj/N=

Fractional bin hours for the heating season; the ratio of the number of 
hours during the heating season when the outdoor temperature fell within 
the range represented by bin temperature Tj to the total 
number of hours

[[Page 284]]

in the heating season, dimensionless. Obtain nj/N values from 
Table 17.

j = the bin number, dimensionless.
J = for each generalized climatic region, the total number of 
temperature bins, dimensionless. Referring to Table 17, J is the highest 
bin number (j) having a nonzero entry for the fractional bin hours for 
the generalized climatic region of interest.
Fdef = the demand defrost credit described in section 3.9.2, 
dimensionless.
BL(Tj) = the building space conditioning load corresponding 
to an outdoor temperature of Tj; the heating season building 
load also depends on the generalized climatic region's outdoor design 
temperature and the design heating requirement, Btu/h.

                                Table 17--Generalized Climatic Region Information
----------------------------------------------------------------------------------------------------------------
 
----------------------------------------------------------------------------------------------------------------
Region Number.................................      I          II        III         IV         V          VI
Heating Load Hours, HLH.......................        750       1250       1750       2250       2750      *2750
Outdoor Design Temperature, TOD...............         37         27         17          5        -10         30
                                               -----------------------------------------------------------------
 j Tj ( [deg]F)...............................                      Fractional Bin Hours, nj/N
                                               -----------------------------------------------------------------
 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
 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
----------------------------------------------------------------------------------------------------------------
* Pacific Coast Region.

    Evaluate the building heating load using
    [GRAPHIC] [TIFF OMITTED] TR11OC05.096
    
where,

TOD = the outdoor design temperature, [deg]F. An outdoor 
design temperature is specified for each generalized climatic region in 
Table 17.
C = 0.77, a correction factor which tends to improve the agreement 
between calculated and measured building loads, dimensionless.
DHR = the design heating requirement (see Definition 1.22), Btu/h.

    Calculate the minimum and maximum design heating requirements for 
each generalized climatic region as follows:

[[Page 285]]

[GRAPHIC] [TIFF OMITTED] TR11OC05.097

and
[GRAPHIC] [TIFF OMITTED] TR11OC05.098

where Qhk(47) is expressed in units of Btu/h and 
otherwise defined as follows:

    1. For a single-speed heat pump tested as per section 3.6.1, 
Qhk(47) = Qh(47), the space heating 
capacity determined from the H1 Test.
    2. For a variable-speed heat pump, a section 3.6.2 single-speed heat 
pump, or a two-capacity heat pump not covered by item 3, 
Qnk(47) = Qnk=2(47), the 
space heating capacity determined from the H12 Test.
    3. For two-capacity, northern heat pumps (see Definition 1.46), 
Qkh(47) = Qk=1h(47), the 
space heating capacity determined from the H11 Test.
    If the optional H1N Test is conducted on a variable-speed 
heat pump, the manufacturer has the option of defining 
Qkh(47) as specified above in item 2 or as 
Qkh(47)=Qk=Nh(47), the space 
heating capacity determined from the H1N Test.
    For all heat pumps, HSPF accounts for the heating delivered and the 
energy consumed by auxiliary resistive elements when operating below the 
balance point. This condition occurs when the building load exceeds the 
space heating capacity of the heat pump condenser. For HSPF calculations 
for all heat pumps, see either section 4.2.1, 4.2.2, 4.2.3, or 4.2.4, 
whichever applies.
    For heat pumps with heat comfort controllers (see Definition 1.28), 
HSPF also accounts for resistive heating contributed when operating 
above the heat-pump-plus-comfort-controller balance point as a result of 
maintaining a minimum supply temperature. For heat pumps having a heat 
comfort controller, see section 4.2.5 for the additional steps required 
for calculating the HSPF.

       Table 18--Standardized Design Heating Requirements (Btu/h)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
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
------------------------------------------------------------------------

    4.2.1 Additional steps for calculating the HSPF of a heat pump 
having a single-speed compressor that was tested with a fixed-speed 
indoor fan installed, a constant-air-volume-rate indoor fan installed, 
or with no indoor fan installed.
[GRAPHIC] [TIFF OMITTED] TR11OC05.099


[[Page 286]]


[GRAPHIC] [TIFF OMITTED] TR11OC05.100

where,

[GRAPHIC] [TIFF OMITTED] TR11OC05.101

whichever is less; the heating mode load factor for temperature bin j, 
dimensionless.
Qh(Tj) = the space heating capacity of the heat 
pump when operating at outdoor temperature Tj, Btu/h.
Eh(Tj) = the electrical power consumption of the 
heat pump when operating at outdoor temperature Tj, W.
[delta](Tj) = the heat pump low temperature cut-out factor, 
dimensionless.
PLFj = 1 - CDh [middot] [1 -
X(Tj)] the part load factor, dimensionless.

    Use Equation 4.2-2 to determine BL(Tj). Obtain fractional 
bin hours for the heating season, nj/N, from Table 17. If the 
optional H1C Test described in section 3.6.1 is not conducted, set the 
heating mode cyclic degradation coefficient, CDh, 
to the default value specified in section 3.8.1. If this optional test 
is conducted, set CDh to the lower of:
    a. The value calculated according to section 3.8.1 or
    b. The section 3.8.1 default value of 0.25.
    Determine the low temperature cut-out factor using
    [GRAPHIC] [TIFF OMITTED] TR11OC05.102
    
where,

Toff = the outdoor temperature when the compressor is 
automatically shut off, [deg]F. (If no such temperature exists, 
Tj is always greater than Toff and 
Ton).
Ton = the outdoor temperature when the compressor is 
automatically turned back on, if applicable, following an automatic 
shut-off, [deg]F.
    Calculate Qh(Tj) and 
Eh(Tj) using,
[GRAPHIC] [TIFF OMITTED] TR11OC05.103


[[Page 287]]


[GRAPHIC] [TIFF OMITTED] TR11OC05.104

where Qh(47) and Eh(47) are determined from the H1 
Test and calculated as specified in section 3.7; Qh(35) and 
Eh(35) are determined from the H2 Test and calculated as 
specified in section 3.9.1; and Qh(17) and Eh(17) 
are determined from the H3 Test and calculated as specified in section 
3.10.
    4.2.2 Additional steps for calculating the HSPF of a heat pump 
having a single-speed compressor and a variable-speed, variable-air-
volume-rate indoor fan. The manufacturer must provide information about 
how the indoor air volume rate or the indoor fan speed varies over the 
outdoor temperature range of 65 [deg]F to -23 [deg]F. Calculate the 
quantities

[GRAPHIC] [TIFF OMITTED] TR11OC05.105

in Equation 4.2-1 as specified in section 4.2.1 with the exception of 
replacing references to the H1C Test and section 3.6.1 with the 
H1C1 Test and section 3.6.2. In addition, evaluate the space 
heating capacity and electrical power consumption of the heat pump 
Qh(Tj) and Eh(Tj) using
[GRAPHIC] [TIFF OMITTED] TR11OC05.106

[GRAPHIC] [TIFF OMITTED] TR11OC05.107

where the space heating capacity and electrical power consumption at 
both low capacity (k=1) and high capacity (k=2) at outdoor temperature 
Tj are determined using

[GRAPHIC] [TIFF OMITTED] TR11OC05.108

[GRAPHIC] [TIFF OMITTED] TR11OC05.109


[[Page 288]]


For units where indoor fan speed is the primary control variable, 
FPhk=1 denotes the fan speed used during the 
required H11 and H31 Tests (see Table 10), 
FPhk=2 denotes the fan speed used during the 
required H12, H22, and H32 Tests, and 
FPh(Tj) denotes the fan speed used by the unit 
when the outdoor temperature equals Tj. For units where 
indoor air volume rate is the primary control variable, the three 
FPh's are similarly defined only now being expressed in terms 
of air volume rates rather than fan speeds. Determine 
Qhk=1(47) and Ehk=1(47) from 
the H11 Test, and Qhk=2(47) and 
Ehk=2(47) from the H12 Test. Calculate 
all four quantities as specified in section 3.7. Determine 
Qhk=1(35) and Ehk=1(35) as 
specified in section 3.6.2; determine Qhk=2(35) 
and Ehk=2(35) and from the H22 Test and 
the calculation specified in section 3.9. Determine 
Qhk=1(17) and Ehk=1(17 from 
the H31 Test, and Qhk=2(17) and 
Ehk=2(17) from the H32 Test. Calculate 
all four quantities as specified in section 3.10.
    4.2.3 Additional steps for calculating the HSPF of a heat pump 
having a two-capacity compressor. The calculation of the Equation 4.2-1 
quantities
[GRAPHIC] [TIFF OMITTED] TR11OC05.110

differs depending upon whether the heat pump would operate at low 
capacity (section 4.2.3.1), cycle between low and high capacity (Section 
4.2.3.2), or operate at high capacity (sections 4.2.3.3 and 4.2.3.4) in 
responding to the building load. For heat pumps that lock out low 
capacity operation at low outdoor temperatures, the manufacturer must 
supply information regarding the cutoff temperature(s) so that the 
appropriate equations can be selected.
    a. Evaluate the space heating capacity and electrical power 
consumption of the heat pump when operating at low compressor capacity 
and outdoor temperature Tj using
[GRAPHIC] [TIFF OMITTED] TR11OC05.111

[GRAPHIC] [TIFF OMITTED] TR11OC05.112

b. Evaluate the space heating capacity and electrical power consumption 
(Qhk=2(Tj) and 
Ehk=2 (Tj)) of the heat pump when 
operating at high compressor capacity and outdoor temperature Tj by 
solving Equations 4.2.2-3 and 4.2.2-4, respectively, for k=2. Determine 
Qhk=1(62) and Ehk=1(62) from 
the H01 Test, Qhk=1(47) and 
Ehk=1(47) from the H11 Test, and 
Qhk=2(47) and Ehk=2(47) from 
the H12 Test. Calculate all six quantities as specified in 
section 3.7. Determine Qhk=2(35) and 
Ehk=2(35) from the H22 Test and, if 
required as described in section 3.6.3, determine 
Qhk=1(35) and Ehk=1(35) from 
the H21 Test. Calculate the required 35 [deg]F quantities as 
specified in section 3.9. Determine Qhk=2(17) and 
Ehk=2(17) from the H32 Test and, if 
required as described in section 3.6.3, determine 
Qhk=1(17) and Ehk=1(17) from 
the H31 Test. Calculate the required 17 [deg]F quantities as 
specified in section 3.10.
    4.2.3.1 Steady-state space heating capacity when operating at low 
compressor capacity is greater than or equal to the building

[[Page 289]]

heating load at temperature Tj, 
Qhk=1(Tj) [gteqt]BL(Tj).
[GRAPHIC] [TIFF OMITTED] TR11OC05.113

[GRAPHIC] [TIFF OMITTED] TR11OC05.114

where,

Xk=1(Tj) = BL(Tj) / 
Qhk=1(Tj), the heating mode low 
capacity load factor for temperature bin j, dimensionless.
PLFj = 1 - CDh [middot] [ 1 - 
Xk=1(Tj) ], the part load factor, dimensionless.
[delta][min](Tj) = the low temperature cutoff factor, 
dimensionless.

    If the optional H0C1 Test described in section 3.6.3 is 
not conducted, set the heating mode cyclic degradation coefficient, 
CDh, to the default value specified in section 
3.8.1. If this optional test is conducted, set CDh 
to the lower of:
    a. The value calculated according to section 3.8.1; or
    b. The section 3.8.1 default value of 0.25.
    Determine the low temperature cut-out factor using
    [GRAPHIC] [TIFF OMITTED] TR11OC05.115
    
where Toff and Ton are defined in section 4.2.1. 
Use the calculations given in section 4.2.3.3, and not the above, if:
    (a) The heat pump locks out low capacity operation at low outdoor 
temperatures and
    (b) Tj is below this lockout threshold temperature.
    4.2.3.2 Heat pump alternates between high (k=2) and low (k=1) 
compressor capacity to satisfy the building heating load at a 
temperature Tj, Qhk=1(Tj) < 
BL(Tj) < Qhk=2(Tj).
Calculate
[GRAPHIC] [TIFF OMITTED] TR11OC05.116

using Equation 4.2.3-2. Evaluate
[GRAPHIC] [TIFF OMITTED] TR11OC05.117

using
[GRAPHIC] [TIFF OMITTED] TR11OC05.118


[[Page 290]]


where,
[GRAPHIC] [TIFF OMITTED] TR11OC05.119

Xk=2(Tj) = 1 - Xk=1(Tj) the 
heating mode, high capacity load factor for temperature bin 
j, dimensionless.
    Determine the low temperature cut-out factor, 
[delta][min](Tj), using Equation 4.2.3-3.
    4.2.3.3 Heat pump only operates at high (k=2) compressor capacity at 
temperature Tj and its capacity is greater than the building 
heating load, BL(Tj) < 
Qhk=2(Tj). This section applies to 
units that lock out low compressor capacity operation at low outdoor 
temperatures. Calculate
[GRAPHIC] [TIFF OMITTED] TR11OC05.120

using Equation 4.2.3-2. Evaluate
[GRAPHIC] [TIFF OMITTED] TR11OC05.121

using
[GRAPHIC] [TIFF OMITTED] TR11OC05.122

where,

Xk=2(Tj)= BL(Tj)/
Qhk=2(Tj).
[GRAPHIC] [TIFF OMITTED] TR22OC07.091

If the optional H1C2 Test described in section 3.6.3 and 
Table 11 is not conducted, set CDh (k=2) equal to 
the default value specified in section 3.8.1. If this optional test is 
conducted, set CDh (k=2) to the lower of:
    a. the CDh (k=2) value calculated as per 
section 3.8.1; or
    b. the section 3.8.1 default value for CDh 
(k=2).
    Determine the low temperature cut-out factor, [delta] 
(Tj), using Equation 4.2.3-3.
    4.2.3.4 Heat pump must operate continuously at high (k=2) compressor 
capacity at temperature Tj, BL(Tj) = 
Qhk=2(Tj).
[GRAPHIC] [TIFF OMITTED] TR11OC05.123

Where
[GRAPHIC] [TIFF OMITTED] TR11OC05.124

    4.2.4 Additional steps for calculating the HSPF of a heat pump 
having a variable-speed compressor. Calculate HSPF using Equation 4.2-1. 
Evaluate the space heating capacity, 
Qhk=1(Tj), and electrical power 
consumption, Ehk=1(Tj), of the heat 
pump when operating at minimum compressor speed and outdoor temperature 
Tj using
[GRAPHIC] [TIFF OMITTED] TR11OC05.125


[[Page 291]]


[GRAPHIC] [TIFF OMITTED] TR11OC05.126

where Qhk=1(62) and 
Ehk=1(62) are determined from the H01 
Test, Qhk=1(47) and 
Ehk=1(47) are determined from the H11 
Test, and all four quantities are calculated as specified in section 
3.7. Evaluate the space heating capacity, 
Qhk=2(Tj), and electrical power 
consumption, Ehk=2(Tj), of the heat 
pump when operating at maximum compressor speed and outdoor temperature 
Tj by solving Equations 4.2.2-3 and 4.2.2-4, respectively, 
for k=2. Determine the Equation 4.2.2-3 and 4.2.2-4 quantities 
Qhk=2(47) and Ehk=2(47) from 
the H12 Test and the calculations specified in section 3.7. 
Determine Qhk=2(35) and 
Ehk=2(35) from the H22 Test and the 
calculations specified in section 3.9 or, if the H22 Test is 
not conducted, by conducting the calculations specified in section 
3.6.4. Determine Qhk=2(17) and 
Ehk=2(17) from the H32 Test and the 
calculations specified in section 3.10. Calculate the space heating 
capacity, Qhk=v(Tj), and electrical 
power consumption, Ehk=v(Tj), of the 
heat pump when operating at outdoor temperature Tj and the 
intermediate compressor speed used during the section 3.6.4 
H2V Test using
[GRAPHIC] [TIFF OMITTED] TR11OC05.127

[GRAPHIC] [TIFF OMITTED] TR11OC05.128

where Qhk=v(35) and 
Ehk=v(35) are determined from the H2V 
Test and calculated as specified in section 3.9. Approximate the slopes 
of the k=v intermediate speed heating capacity and electrical power 
input curves, MQ and ME, as follows:
[GRAPHIC] [TIFF OMITTED] TR22OC07.092

[GRAPHIC] [TIFF OMITTED] TR22OC07.093

where,
[GRAPHIC] [TIFF OMITTED] TR11OC05.130

[GRAPHIC] [TIFF OMITTED] TR11OC05.131

    Use Equations 4.2.4-1 and 4.2.4-2, respectively, to calculate 
Qhk=1(35) and Ehk=1(35).
    The calculation of Equation 4.2-1 quantities
    [GRAPHIC] [TIFF OMITTED] TR11OC05.132
    
differs depending upon whether the heat pump would operate at minimum 
speed (section 4.2.4.1), operate at an intermediate speed (section 
4.2.4.2), or operate at maximum speed (section 4.2.4.3) in responding to 
the building load.
    4.2.4.1 Steady-state space heating capacity when operating at 
minimum compressor speed is greater than or equal to the building 
heating load at temperature Tj, 
Qhk=1(Tj = 
BL(Tj). Evaluate the Equation 4.2-1 quantities
[GRAPHIC] [TIFF OMITTED] TR11OC05.133

as specified in section 4.2.3.1. Except now use Equations 4.2.4-1 and 
4.2.4-2 to evaluate

[[Page 292]]

Qhk=1(Tj) and 
Ehk=1(Tj), respectively, and replace 
section 4.2.3.1 references to ``low capacity'' and section 3.6.3 with 
``minimum speed'' and section 3.6.4. Also, the last sentence of section 
4.2.3.1 does not apply.
    4.2.4.2 Heat pump operates at an intermediate compressor speed (k=i) 
in order to match the building heating load at a temperature 
Tj, Qhk=1(Tj) < 
BL(Tj) < Qhk=2(Tj). 
Calculate
[GRAPHIC] [TIFF OMITTED] TR11OC05.134

using Equation 4.2.3-2 while evaluating
[GRAPHIC] [TIFF OMITTED] TR11OC05.135

using,
[GRAPHIC] [TIFF OMITTED] TR11OC05.136

where,
[GRAPHIC] [TIFF OMITTED] TR11OC05.137

and [delta](Tj) is evaluated using Equation 4.2.3-3 while,

Qhk=i(Tj) = BL(Tj), the 
space heating capacity delivered by the unit in matching the building 
load at temperature (Tj), Btu/h. The matching occurs with the 
heat pump operating at compressor speed k=i.
COPk=i(Tj) = the steady-state coefficient of 
performance of the heat pump when operating at compressor speed k=i and 
temperature Tj, dimensionless.

    For each temperature bin where the heat pump operates at an 
intermediate compressor speed, determine 
COPk=i(Tj) using,

COPk=i(Tj) = A + B . Tj + C . 
Tj\2\.

    For each heat pump, determine the coefficients A, B, and C by 
conducting the following calculations once:
[GRAPHIC] [TIFF OMITTED] TR11OC05.138

where,

T3 = the outdoor temperature at which the heat pump, when 
operating at minimum compressor speed, provides a space heating capacity 
that is equal to the building load 
(Qhk=1(T3) = BL(T3)), 
[deg]F. Determine T3 by equating Equations 4.2.4-1 and 4.2-2 
and solving for:
[GRAPHIC] [TIFF OMITTED] TR11OC05.139

outdoor temperature.

Tvh = the outdoor temperature at which the heat pump, when 
operating at the intermediate compressor speed used during the section 
3.6.4 H2V Test, provides a space heating capacity that is 
equal to the building load (Qhk=v(Tvh) 
= BL(Tvh)), [deg]F. Determine Tvh by equating 
Equations 4.2.4-3 and 4.2-2 and solving for outdoor temperature.
T4 = the outdoor temperature at which the heat pump, when 
operating at maximum compressor speed, provides a space heating capacity 
that is equal to the building load 
(Qhk=2(T4) = BL(T4)), 
[deg]F. Determine T4 by

[[Page 293]]

equating Equations 4.2.2-3 (k=2) and 4.2-2 and solving for outdoor 
temperature.
[GRAPHIC] [TIFF OMITTED] TR11OC05.140

[GRAPHIC] [TIFF OMITTED] TR11OC05.141

For multiple-split heat pumps (only), the following procedures supersede 
the above requirements for calculating COPhk=i 
(Tj). For each temperature bin where T3 
 Tj  Tvh,
[GRAPHIC] [TIFF OMITTED] TR22OC07.094

For each temperature bin where Tvh = Tj 
 T4,
[GRAPHIC] [TIFF OMITTED] TR22OC07.095

    4.2.4.3 Heat pump must operate continuously at maximum (k=2) 
compressor speed at temperature Tj, BL(Tj) 
= Qhk=2(Tj). Evaluate the 
Equation 4.2-1 quantities
[GRAPHIC] [TIFF OMITTED] TR11OC05.142

as specified in section 4.2.3.4 with the understanding that 
Qhk=2(Tj) and 
Ehk=2(Tj) correspond to maximum 
compressor speed operation and are derived from the results of the 
specified section 3.6.4 tests.
    4.2.5 Heat pumps having a heat comfort controller. Heat pumps having 
heat comfort controllers, when set to maintain a typical minimum air 
delivery temperature, will cause the heat pump condenser to operate less 
because of a greater contribution from the resistive elements. With a 
conventional heat pump, resistive heating is only initiated if the heat 
pump condenser cannot meet the building load (i.e., is delayed until a 
second stage call from the indoor thermostat). With a heat comfort 
controller, resistive heating can occur even though the heat pump 
condenser has adequate capacity to meet the building load (i.e., both on 
during a first stage call from the indoor thermostat). As a result, the 
outdoor temperature where the heat pump compressor no longer cycles 
(i.e., starts to run continuously), will be lower than if the heat pump 
did not have the heat comfort controller.
    4.2.5.1 Heat pump having a heat comfort controller: additional steps 
for calculating the HSPF of a heat pump having a single-

[[Page 294]]

speed compressor that was tested with a fixed-speed indoor fan 
installed, a constant-air-volume-rate indoor fan installed, or with no 
indoor fan installed. Calculate the space heating capacity and 
electrical power of the heat pump without the heat comfort controller 
being active as specified in section 4.2.1 (Equations 4.2.1-4 and 4.2.1-
5) for each outdoor bin temperature, Tj, that is listed in 
Table 17. Denote these capacities and electrical powers by using the 
subscript ``hp'' instead of ``h.'' Calculate the mass flow rate 
(expressed in pounds-mass of dry air per hour) and the specific heat of 
the indoor air (expressed in Btu/lbmda [middot] [deg]F) from 
the results of the H1 Test using:
[GRAPHIC] [TIFF OMITTED] TR11OC05.143

where Vs, Vmx, v[min]n (or 
vn), and Wn are defined following Equation 3-1. 
For each outdoor bin temperature listed in Table 17, calculate the 
nominal temperature of the air leaving the heat pump condenser coil 
using,
[GRAPHIC] [TIFF OMITTED] TR11OC05.144

    Evaluate eh(Tj/N), RH(Tj)/N, 
X(Tj), PLFj, and [delta](Tj) as 
specified in section 4.2.1. For each bin calculation, use the space 
heating capacity and electrical power from Case 1 or Case 2, whichever 
applies.
    Case 1. For outdoor bin temperatures where 
To(Tj) is equal to or greater than TCC 
(the maximum supply temperature determined according to section 3.1.9), 
determine Qh(Tj) and Eh(Tj) 
as specified in section 4.2.1 (i.e., Qh(Tj) = 
Qhp(Tj) and Ehp(Tj) = 
Ehp(Tj)). Note: Even though 
To(Tj) = Tcc, resistive 
heating may be required; evaluate Equation 4.2.1-2 for all bins.
    Case 2. For outdoor bin temperatures where 
To(Tj)  Tcc, determine 
Qh(Tj) and Eh(Tj) using,

[GRAPHIC] [TIFF OMITTED] TR11OC05.145

where,

[GRAPHIC] [TIFF OMITTED] TR11OC05.146

[GRAPHIC] [TIFF OMITTED] TR11OC05.147

    Note: Even though To(Tj) < Tcc, 
additional resistive heating may be required; evaluate Equation 4.2.1-2 
for all bins.
    4.2.5.2 Heat pump having a heat comfort controller: additional steps 
for calculating the HSPF of a heat pump having a single-speed compressor 
and a variable-speed, variable-air-volume-rate indoor fan. Calculate the 
space heating capacity and electrical power of the heat pump without the 
heat comfort controller being active as specified in section 4.2.2 
(Equations 4.2.2-1 and 4.2.2-2) for each outdoor bin temperature, 
Tj, that is listed in Table 17. Denote these capacities and 
electrical powers by using the subscript ``hp'' instead of ``h.'' 
Calculate the mass flow rate (expressed in pounds-mass of dry air per 
hour) and the specific heat of the indoor air (expressed in Btu/
lbmda [middot] [deg]F) from the results of the H12 
Test using:
[GRAPHIC] [TIFF OMITTED] TR11OC05.148

where VS, Vmx, v[min]n (or 
vn), and Wn are defined following Equation 3-1. 
For each outdoor bin temperature listed in Table 17, calculate the 
nominal temperature of the air leaving the heat pump condenser coil 
using,

[[Page 295]]

[GRAPHIC] [TIFF OMITTED] TR11OC05.149

    Evaluate eh(Tj)/N , RH(Tj)/N, 
X(Tj), PLFj, and [delta](Tj) as 
specified in section 4.2.1 with the exception of replacing references to 
the H1C Test and section 3.6.1 with the H1C1 Test and section 
3.6.2. For each bin calculation, use the space heating capacity and 
electrical power from Case 1 or Case 2, whichever applies.
    Case 1. For outdoor bin temperatures where 
To(Tj) is equal to or greater than TCC 
(the maximum supply temperature determined according to section 3.1.9), 
determine Qh(Tj) and Eh(Tj) 
as specified in section 4.2.2 (i.e. Qh(Tj) = 
Qhp(Tj) and Eh(Tj) = 
Ehp(Tj)). Note: Even though 
To(Tj) = TCC, resistive 
heating may be required; evaluate Equation 4.2.1-2 for all bins.
    Case 2. For outdoor bin temperatures where 
To(Tj) < TCC, determine 
Qh(Tj) and Eh(Tj) using,

Qh(Tj) = Qhp(Tj) + 
QCC(Tj)

Eh(Tj) = Ehp(Tj) + 
ECC(Tj)

where,

QCC(Tj) = mda [middot] Cp,da 
[middot] [TCC - To(Tj)]
[GRAPHIC] [TIFF OMITTED] TR11OC05.150

    Note: Even though To(Tj) < Tcc, 
additional resistive heating may be required; evaluate Equation
4.2.1-2 for all bins.
    4.2.5.3 Heat pumps having a heat comfort controller: additional 
steps for calculating the HSPF of a heat pump having a two-capacity 
compressor. Calculate the space heating capacity and electrical power of 
the heat pump without the heat comfort controller being active as 
specified in section 4.2.3 for both high and low capacity and at each 
outdoor bin temperature, Tj, that is listed in Table 17. 
Denote these capacities and electrical powers by using the subscript 
``hp'' instead of ``h.'' For the low capacity case, calculate the mass 
flow rate (expressed in pounds-mass of dry air per hour) and the 
specific heat of the indoor air (expressed in Btu/lbmda 
[middot] [deg]F) from the results of the H11 Test using:
[GRAPHIC] [TIFF OMITTED] TR11OC05.151

where Vs, Vmx, v[min]n (or 
vn), and Wn are defined following Equation 3-1. 
For each outdoor bin temperature listed in Table 17, calculate the 
nominal temperature of the air leaving the heat pump condenser coil when 
operating at low capacity using,
[GRAPHIC] [TIFF OMITTED] TR11OC05.152

    Repeat the above calculations to determine the mass flow rate 
(mdak=2) and the specific heat of the indoor air 
(Cp,dak=2) when operating at high capacity by 
using the results of the H12 Test. For each outdoor bin 
temperature listed in Table 17, calculate the nominal temperature of the 
air leaving the heat pump condenser coil when operating at high capacity 
using,
[GRAPHIC] [TIFF OMITTED] TR11OC05.153

    Evaluate eh(Tj)/N, RH(Tj)/N, 
Xk=1(Tj), and/or Xk=2(Tj), 
PLFj, and [delta][min](Tj) or 
[delta][sec](Tj) as specified in section 4.2.3.1. 4.2.3.2, 
4.2.3.3, or 4.2.3.4, whichever applies, for each temperature bin. To 
evaluate these quantities, use the low-capacity space heating capacity 
and the low-capacity electrical power from Case 1 or Case 2, whichever 
applies; use the high-capacity space heating capacity and the high-
capacity electrical power from Case 3 or Case 4, whichever applies.
    Case 1. For outdoor bin temperatures where 
Tok=1(Tj) is equal to or greater than 
TCC (the maximum supply temperature determined according to 
section 3.1.9), determine Qhk=1(Tj) and 
Ehk=1(Tj) as specified in section 4.2.3 
(i.e., Qhk=1(Tj) = 
Qhpk=1(Tj) and 
Ehk=1(Tj) = 
Ehpk=1(Tj).
    Note: Even though Tok=1(Tj) 
= TCC, resistive heating may be required; evaluate 
RH(Tj)/N for all bins.
    Case 2. For outdoor bin temperatures where 
Tok=1(Tj) < TCC, determine 
Qhk=1(Tj) and 
Ehk=1(Tj) using,

Qhk=1(Tj) = 
Qhpk=1(Tj) + 
QCCk=1(Tj)


[[Page 296]]


Ehk=1(Tj) = 
Ehpk=1(Tj) + 
ECCk=1(Tj)

where,
[GRAPHIC] [TIFF OMITTED] TR11OC05.154

    Note: Even though Tok=1(Tj) 
= Tcc, additional resistive heating may be 
required; evaluate RH(Tj)/N for all bins.
    Case 3. For outdoor bin temperatures where 
Tok=2(Tj) is equal to or greater than 
TCC, determine Qhk=2(Tj) and 
Ehk=2(Tj) as specified in section 4.2.3 
(i.e., Qhk=2(Tj) = 
Qhpk=2(Tj) and 
Ehk=2(Tj) = 
Ehpk=2(Tj)).
    Note: Even though Tok=2(Tj) < 
TCC, resistive heating may be required; evaluate 
RH(Tj)/N for all bins.
    Case 4. For outdoor bin temperatures where 
Tok=2(Tj) < TCC, determine 
Qhk=2(Tj) and 
Ehk=2(Tj) using,
[GRAPHIC] [TIFF OMITTED] TR11OC05.155

where,
[GRAPHIC] [TIFF OMITTED] TR11OC05.156

    Note: Even though Tok=2(Tj) < 
Tcc, additional resistive heating may be required; evaluate 
RH(Tj)/N for all bins.
    4.2.5.4 Heat pumps having a heat comfort controller: additional 
steps for calculating the HSPF of a heat pump having a variable-speed 
compressor. [Reserved]
    4.3 Calculations of the Actual and Representative Regional Annual 
Performance Factors for Heat Pumps.
    4.3.1 Calculation of actual regional annual performance factors 
(APFA) for a particular location and for each standardized 
design heating requirement.

[[Page 297]]

[GRAPHIC] [TIFF OMITTED] TR11OC05.157

where,

CLHA = the actual cooling hours for a particular location as 
determined using the map given in Figure 3, hr.
Qck(95) = the space cooling capacity of the unit 
as determined from the A or A2 Test, whichever applies, Btu/
h.
HLHA = the actual heating hours for a particular location as 
determined using the map given in Figure 2, hr.
DHR = the design heating requirement used in determining the HSPF; refer 
to section 4.2 and Definition 1.22, Btu/h.
C = defined in section 4.2 following Equation 4.2-2, dimensionless.
SEER = the seasonal energy efficiency ratio calculated as specified in 
section 4.1, Btu/W[middot]h.
HSPF = the heating seasonal performance factor calculated as specified 
in section 4.2 for the generalized climatic region that includes the 
particular location of interest (see Figure 2), Btu/W[middot]h. The HSPF 
should correspond to the actual design heating requirement (DHR), if 
known. If it does not, it may correspond to one of the standardized 
design heating requirements referenced in section 4.2.

    4.3.2 Calculation of representative regional annual performance 
factors (APFR) for each generalized climatic region and for 
each standardized design heating requirement.
[GRAPHIC] [TIFF OMITTED] TR11OC05.158

where,

CLHR = the representative cooling hours for each generalized 
climatic region, Table 19, hr.
HLHR = the representative heating hours for each generalized 
climatic region, Table 19, hr.
HSPF = the heating seasonal performance factor calculated as specified 
in section 4.2 for the each generalized climatic region and for each 
standardized design heating requirement within each region, Btu/W.h.

    The SEER, Qck(95), DHR, and C are the same 
quantities as defined in section 4.3.1. Figure 2 shows the generalized 
climatic regions. Table 18 lists standardized design heating 
requirements.

    Table 19--Representative Cooling and Heating Load Hours for Each
                       Generalized Climatic Region
------------------------------------------------------------------------
                      Region                           CLHR       HLHR
------------------------------------------------------------------------
I.................................................       2400        750
II................................................       1800       1250
III...............................................       1200       1750
IV................................................        800       2250
V.................................................        400       2750
VI................................................        200       2750
------------------------------------------------------------------------

    4.4. Rounding of SEER, HSPF, and APF for reporting purposes. After 
calculating SEER according to section 4.1, round it off as specified in 
subpart B 430.23(m)(3)(i) of Title 10 of the Code of Federal 
Regulations. Round section 4.2 HSPF values and section 4.3 APF values as 
per Sec. 430.23(m)(3)(ii) and (iii) of Title 10 of the Code of Federal 
Regulations.

[[Page 298]]

[GRAPHIC] [TIFF OMITTED] TR11OC05.172

[GRAPHIC] [TIFF OMITTED] TR11OC05.173


[70 FR 59135, Oct. 11, 2005, as amended at 72 FR 59922, Oct. 22, 2007]

    Editorial Note: At 72 FR 59922, Oct. 22, 2007, appendix M to subpart 
B of part 430 was

[[Page 299]]

amended; however, portions of the amendment could not be incorporated 
due to inaccurate amendatory instruction.



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

    1.0 Scope. The scope of this appendix is as specified in section 2.0 
of ANSI/ASHRAE Standard 103-1993.
    2.0 Definitions. Definitions include the definitions specified in 
section 3 of ANSI/ASHRAE Standard 103-1993 and the following additional 
and modified definitions:
    2.1 ANSI/ASHRAE Standard 103-1993 means the test standard published 
in 1993 by ASHRAE, approved by the American National Standards Institute 
(ANSI) on October 4, 1993, and entitled ``Method of Testing for Annual 
Fuel Utilization Efficiency of Residential Central Furnaces and 
Boilers'' (with errata of October 24, 1996).
    2.2 ASHRAE means the American Society of Heating, Refrigerating and 
Air-Conditioning Engineers, Inc.
    2.3 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 to open the damper.
    2.4 Isolated combustion system. The definition of isolation 
combustion system in section 3 of ANSI/ASHRAE Standard 103-1993 is 
incorporated with the addition of the following: ``The unit is installed 
in an un-conditioned indoor space isolated from the heated space.''
    3.0 Classifications. Classifications are as specified in section 4 
of ANSI/ASHRAE Standard 103-1993.
    4.0 Requirements. Requirements are as specified in section 5 of 
ANSI/ASHRAE Standard 103-1993.
    5.0 Instruments. Instruments must be as specified in section 6 of 
ANSI/ASHRAE Standard 103-1993.
    6.0 Apparatus. The apparatus used in conjunction with the furnace or 
boiler during the testing shall be as specified in section 7 of ANSI/
ASHRAE Standard 103-1993 except for the second paragraph of section 
7.2.2.2 and except for section 7.2.2.5, and as specified in section 6.1 
of this appendix.
    6.1 Downflow furnaces. Install the internal section of vent pipe the 
same size as the flue collar for connecting the flue collar to the top 
of the unit, if not supplied by the manufacturer. Do not insulate the 
internal vent pipe during the jacket loss test (if conducted) described 
in section 8.6 of ANSI/ASHRAE Standard 103-1993 or the steady-state test 
described in section 9.1 of ANSI/ASHRAE Standard 103-1993. Do not 
insulate the internal vent pipe before the cool-down and heat-up tests 
described in sections 9.5 and 9.6, respectively, of ANSI/ASHRAE Standard 
103-1993. If the vent pipe is surrounded by a metal jacket, do not 
insulate the metal jacket. Install a 5-ft test stack of the same cross 
sectional area or perimeter as the vent pipe above the top of the 
furnace. Tape or seal around the junction connecting the vent pipe and 
the 5-ft test stack. Insulate the 5-ft test stack with insulation having 
an R-value not less than 7 and an outer layer of aluminum foil. (See 
Figure 3-E of ANSI/ASHRAE Standard 103-1993.)
    7.0 Testing conditions. The testing conditions shall be as specified 
in section 8 of ANSI/ASHRAE Standard 103-1993 with errata of October 24, 
1996, except for section 8.6.1.1; and as specified in section 7.1 of 
this appendix.
    7.1 Measurement of jacket surface temperature. The jacket of the 
furnace or boiler shall be subdivided into 6-inch squares when 
practical, and otherwise into 36-square-inch regions comprising 4 in. x 
9 in. or 3 in. x 12 in. sections, and the surface temperature at the 
center of each square or section shall be determined with a surface 
thermocouple. The 36-square-inch areas shall be recorded in groups where 
the temperature differential of the 36-square-inch area is less than 10 
[deg]F for temperature up to 100 [deg]F above room temperature and less 
than 20 [deg]F for temperature more than 100 [deg]F above room 
temperature. For forced air central furnaces, the circulating air blower 
compartment is considered as part of the duct system and no surface 
temperature measurement of the blower compartment needs to be recorded 
for the purpose of this test. For downflow furnaces, measure all cabinet 
surface temperatures of the heat exchanger and combustion section, 
including the bottom around the outlet duct, and the burner door, using 
the 36 square-inch thermocouple grid. The cabinet surface temperatures 
around the blower section do not need to be measured (See figure 3-E of 
ANSI/ASHRAE Standard 103-1993.)
    8.0 Test procedure. Testing and measurements shall be as specified 
in section 9 of ANSI/ASHRAE Standard 103-1993 except for sections 
9.5.1.1, 9.5.1.2.1, 9.5.1.2.2, 9.5.2.1, and section 9.7.1. ; and as 
specified in sections 8.1, 8.2, 8.3, 8.4, and 8.5, of this appendix.
    8.1 Input to interrupted ignition device. For burners equipped with 
an interrupted ignition device, record the nameplate electric power used 
by the ignition device, PEIG, or use PEIG=0.4 kW 
if no nameplate power input is provided. Record the nameplate ignition 
device on-time interval, tIG, or measure the on-time period 
at the beginning of the test at the time the burner is turned on with a 
stop watch, if no nameplate value is given. Set tIG=0 and 
PEIG=0 if the device on-time is less than or equal to 5 
seconds after the burner is on.
    8.2 Gas- and oil-fueled gravity and forced air central furnaces 
without stack dampers cool-

[[Page 300]]

down test. Turn off the main burner after steady-state testing is 
completed, and measure the flue gas temperature by means of the 
thermocouple grid described in section 7.6 of ANSI/ASHRAE 103-1993 at 
1.5 minutes (TF,OFF(t3)) and 9 minutes 
(TF,OFF(t4)) after the burner shuts off. An 
integral draft diverter shall remain blocked and insulated, and the 
stack restriction shall remain in place. On atmospheric systems with an 
integral draft diverter or draft hood, equipped with either an 
electromechanical inlet damper or an electro-mechanical flue damper that 
closes within 10 seconds after the burner shuts off to restrict the flow 
through the heat exchanger in the off-cycle, bypass or adjust the 
control for the electromechanical damper so that the damper remains open 
during the cool-down test. For furnaces that employ post purge, measure 
the length of the post-purge period with a stopwatch. The time from 
burner OFF to combustion blower OFF (electrically de-energized) shall be 
recorded as tp. For the case where tp is intended 
to be greater than 180 seconds, stop the combustion blower at 180 
seconds and use that value for tp. Measure the flue gas 
temperature by means of the thermocouple grid described in section 7.6 
of ANSI/ASHRAE 103-1993 at the end of post-purge period, tp 
(TF,OFF(tp)), and at the time (1.5 + 
tp) minutes (TF,OFF(t3)) and (9.0 + 
tp) minutes (TF,OFF(t4)) after the main 
burner shuts off. For the case where the measured tp is less than or 
equal to 30 seconds, it shall be tested as if there is no post purge and 
tp shall be set equal to 0.
    8.3 Gas- and oil-fueled gravity and forced air central furnaces 
without stack dampers with adjustable fan control--cool-down test. For a 
furnace with adjustable fan control, this time delay will be 3.0 minutes 
for non-condensing furnaces or 1.5 minutes for condensing furnaces or 
until the supply air temperature drops to a value of 40 [deg]F above the 
inlet air temperature, whichever results in the longest fan on-time. For 
a furnace without adjustable fan control or with the type of adjustable 
fan control whose range of adjustment does not allow for the delay time 
specified above, the control shall be bypassed and the fan manually 
controlled to give the delay times specified above. For a furnace which 
employs a single motor to drive the power burner and the indoor air 
circulating blower, the power burner and indoor air circulating blower 
shall be stopped together.
    8.4 Gas-and oil-fueled boilers without stack dampers cool-down test. 
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 shut off, 
using the thermocouple grid described in section 7.6 of ANSI/ASHRAE 103-
1993. During this off-period, for units that do not have pump delay 
after shutoff, no water shall be allowed to circulate through the hot 
water boilers. For units that have pump delay on shutoff, except those 
having pump controls sensing water temperature, the pump shall be 
stopped by the unit control and the time t+, between burner 
shutoff and pump shutoff shall be measured within one-second accuracy. 
For units having pump delay controls that 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 
steady-state test as specified in sections 9.1 and 8.4.2.3 of ANSI/
ASHRAE 103-1993.
    For boilers that employ post purge, measure the length of the post-
purge period with a stopwatch. The time from burner OFF to combustion 
blower OFF (electrically de-energized) shall be recorded as 
tP. For the case where tP is intended to be 
greater than 180 seconds, stop the combustion blower at 180 seconds and 
use that value for tP. Measure the flue gas temperature by 
means of the thermocouple grid described in section 7.6 of ANSI/ASHRAE 
103-1993 at the end of the post purge period 
tP(TF,OFF(tP)) and at the time (3.75 + 
tP) minutes (TF,OFF(t3)) and (22.5 + 
tP) minutes (TF,OFF(t4)) after the main 
burner shuts off. For the case where the measured tP is less 
or equal to 30 seconds, it shall be tested as if there is no post purge 
and tP shall be set to equal 0.
    8.5 Direct measurement of off-cycle losses testing method. 
[Reserved.]
    9.0 Nomenclature. Nomenclature shall include the nomenclature 
specified in section 10 of ANSI/ASHRAE Standard 103-1993 and the 
following additional variables:

Effmotor=Efficiency of power burner motor
PEIG=Electrical power to the interrupted ignition device, kW
RT,a=RT,F if flue gas is measured
    =RT,S if stack gas is measured
RT,F=Ratio of combustion air mass flow rate to stoichiometric 
air mass flow rate
RT,S=Ratio of the sum of combustion air and relief air mass 
flow rate to stoichiometric air mass flow rate
tIG=Electrical interrupted ignition device on-time, min.
Ta,SS,X=TF,SS,X if flue gas temperature is 
measured, [deg]F
    =TS,SS,X if stack gas temperature is measured, [deg]F
yIG=ratio of electrical interrupted ignition device on-time 
to average burner on-time
yP=ratio of power burner combustion blower on-time to average 
burner on-time

    10.0 Calculation of derived results from test measurements. 
Calculations shall be as specified in section 11 of ANSI/ASHRAE Standard 
103-1993 and the October 24, 1996, Errata Sheet for ASHRAE Standard 103-
1993, except for appendices B and C; and as specified in

[[Page 301]]

sections 10.1 through 10.8 and Figure 1 of this appendix.
    10.1 Annual fuel utilization efficiency. The annual fuel utilization 
efficiency (AFUE) is as defined in sections 11.2.12 (non-condensing 
systems), 11.3.12 (condensing systems), 11.4.12 (non-condensing 
modulating systems) and 11.5.12 (condensing modulating systems) of ANSI/
ASHRAE Standard 103-1993, except for the definition for the term 
EffyHS in the defining equation for AFUE. EffyHS 
is defined as:

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

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

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

where:

2,080=national average heating load hours
0.77=adjustment factor to adjust the calculated design heating 
requirement and heating load hours to the actual heating load 
experienced by the heating system
DHR=typical design heating requirements as listed in Table 8 (in unit of 
kBtu/h) of ANSI/ASHRAE Standard 103-1993, using the proper value of 
QOUT defined in 11.2.8.1 of ANSI/ASHRAE Standard 103-1993
A=100,000 / 
[341,300(yPPE+yIGPEIG+yBE)+(QIN
-QP)EffyHS], for forced draft unit, indoors
    =100,000 / [341,300(yPPE 
Effmotor+yIGPEIG+y BE)+(QIN-
QP)EffyHS], for forced draft unit, ICS,
    =100,000 / [341,300(yPPE(1-
Effmotor)+yIGPEIG+y 
BE)+(QIN-QP)EffyHS], for induced draft 
unit, indoors, and
    =100,000 / 
[341,300(yIGPEIG+yBE)+(QIN-
QP)EffyHS], for induced draft unit, ICS
B=2 QP(EffyHS)(A) / 100,000

where:

Effmotor=Power burner motor efficiency provided by 
manufacturer,
    =0.50, an assumed default power burner efficiency if not provided by 
manufacturer.
100,000=factor that accounts for percent and kBtu
PE=burner electrical power input at full-load steady-state operation, 
including electrical ignition device if energized, as defined in 9.1.2.2 
of ANSI/ASHRAE Standard 103-1993
yP=ratio of induced or forced draft blower on-time to average 
burner on-time, as follows:
    1 for units without post purge;
    1+(tP/3.87) for single stage furnaces with post purge;
    1+(tP/10) for two-stage and step modulating furnaces with 
post purge;
    1+(tP/9.68) for single stage boilers with post purge; or
    1+(tP/15) for two stage and step modulating boilers with 
post purge.
PEIG=electrical input rate to the interrupted ignition device 
on burner (if employed), as defined in 8.1 of this appendix
yIG=ratio of burner interrupted ignition device on-time to 
average burner on-time, as follows:
    0 for burners not equipped with interrupted ignition device;
    (tIG/3.87) for single stage furnaces;
    (tIG/10) for two-stage and step modulating furnaces;
    (tIG/9.68) for single stage boilers; or
    (tIG/15) for two stage and step modulating boilers.
tIG=on-time of the burner interrupted ignition device, as 
defined in 8.1 of this appendix
tP=post purge time as defined in 8.2 (furnace) or 8.4 
(boiler) of this appendix
    =0 if tP is equal to or less than 30 second.
y=ratio of blower or pump on-time to average burner on-time, as follows:
    1 for furnaces without fan delay;
    1 for boilers without a pump delay;
    1+(t+--t-)/3.87 for single stage furnaces with 
fan delay;
    1+(t+--t-)/10 for two-stage and step 
modulating furnaces with fan delay;
    1+(t+/9.68) for single stage boilers with pump delay; or
    1+(t+/15) for two stage and step modulating boilers with 
pump delay.
BE=circulating air fan or water pump electrical energy input rate at 
full load steady-state operation, as defined in ANSI/ASHRAE Standard 
103-1993
QIN=as defined in 11.2.8.1 of ANSI/ASHRAE Standard 103-1993
QP=as defined in 11.2.11 of ANSI/ASHRAE Standard 103-1993
EffyHS=as defined in 11.2.11 (non-condensing systems) or 
11.3.11.3 (condensing systems) of ANSI/ASHRAE Standard 103-1993, 
percent, and calculated on the basis of:
    ICS installation, for non-weatherized warm air furnaces;
    indoor installation, for non-weatherized boilers; or
    outdoor installation, for furnaces and boilers that are weatherized.

[[Page 302]]

2=ratio of the average length of the heating season in hours to the 
average heating load hours
t+=as defined in 9.5.1.2 of ANSI/ASHRAE Standard 103-1993 or 
8.4 of this appendix
t-=as defined in 9.6.1 of ANSI/ASHRAE Standard 103-1993

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

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

where:

QIN=as defined in 11.4.8.1.1 of ANSI/ASHRAE Standard 103-1993
QP=as defined in 11.4.12 of ANSI/ASHRAE Standard 103-1993
BOHSS=as defined in section 10.2.1 of this appendix, in which 
the weighted EffyHS as defined in 11.4.11.3 or 11.5.11.3 of 
ANSI/ASHRAE Standard 103-1993 is used for calculating the values of A 
and B, the term DHR is based on the value of QOUT defined in 
11.4.8.1.1 or 11.5.8.1.1 of ANSI/ASHRAE Standard 103-1993, and the term 
(yPPE+yIGPEIG+yBE) in the factor A is 
increased by the factor R, which is defined as:
R=2.3 for two stage controls
    =2.3 for step modulating controls when the ratio of minimum-to-
maximum output is greater than or equal to 0.5
    =3.0 for step modulating controls when the ratio of minimum-to-
maximum output is less than 0.5
A=100,000/[341,300(yPPE+yIGPEIG+y BE) 
R+(QIN-QP) EffyHS], for forced draft 
unit, indoors
    =100,000/[341,300(yPPE 
Effmotor+yIGPEIG+y BE) 
R+(QIN-QP)EffyHS], for forced draft 
unit, ICS,
    =100,000/[341,300(yPPE(1-
Effmotor)+yIGPEIG+y BE) 
R+(QIN-QP) EffyHS], for induced draft 
unit, indoors, and
    =100,000/[341,300(yIGPEIG+y BE) 
R+(QIN-QP) EffyHS], for induced draft 
unit, ICS

where:

Effmotor=Power burner motor efficiency provided by 
manufacturer,
    =0.50, an assumed default power burner efficiency if none provided 
by manufacturer.
EffyHS=as defined in 11.4.11.3 or 11.5.11.3 of ANSI/ASHRAE 
Standard 103-1993, and calculated on the basis of:
    --ICS installation, for non-weatherized warm air furnaces
    --indoor installation, for non-weatherized boilers
    --outdoor installation, for furnaces and boilers that are 
weatherized
8,760=total number of hours per year
4,600=as specified in 11.4.12 of ANSI/ASHRAE Standard 103-1993

    10.2.1.2 For furnaces and boilers equipped with two stage or step 
modulating controls the national average number of burner operating 
hours at the reduced operating mode is defined as:

BOHR=XREM/QIN,R

where:

XR=as defined in 11.4.8.7 of ANSI/ASHRAE Standard 103-1993
EM=as defined in section 10.2.1.1 of this appendix
QIN,R=as defined in 11.4.8.1.2 of ANSI/ASHRAE Standard 103-
1993

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

BOHH=XHEM/QIN

where:

XH=as defined in 11.4.8.6 of ANSI/ASHRAE Standard 103-1993
EM=as defined in section 10.2.1.1 of this appendix
QIN=as defined in 11.4.8.1.1 of ANSI/ASHRAE Standard 103-1993

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

BOHM=XHEM/QIN,M

where:

XH=as defined in 11.4.8.6 of ANSI/ASHRAE Standard 103-1993
EM=as defined in section 10.2.1.1 of this appendix
QIN,M=QOUT,M/(EffySS,M/100)
QOUT,M=as defined in 11.4.8.10 or 11.5.8.10 of ANSI/ASHRAE 
Standard 103-1993, as appropriate
EffySS,M=as defined in 11.4.8.8 or 11.5.8.8 of ANSI/ASHRAE 
Standard 103-1993, as appropriate, in percent
100=factor that accounts for percent

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

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

where:

BOHSS=as defined in 10.2.1 of this appendix
QIN=as defined in 11.2.8.1 of ANSI/ASHRAE Standard 103-1993
QP=as defined in 11.2.11 of ANSI/ASHRAE Standard 103-1993
8,760=as specified in 10.2.1 of this appendix


[[Page 303]]


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

EF=EM + 4,600QP

where:

EM=as defined in 10.2.1.1 of this appendix
4,600=as specified in 11.4.12 of ANSI/ASHRAE Standard 103-1993
QP=as defined in 11.2.11 of ANSI/ASHRAE Standard 103-1993

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

EAE=BOHSS(yPPE 
+yIGPEIG+yBE)

where:

BOHSS=as defined in 10.2.1 of this appendix
PE=as defined in 10.2.1 of this appendix
yP=as defined in 10.2.1 of this appendix
yIG=as defined in 10.2.1 of this appendix
PEIG=as defined in 10.2.1 of this appendix
y=as defined in 10.2.1 of this appendix
BE=as defined in 10.2.1 of this appendix

    10.2.3.1 For furnaces or boilers equipped with two stage controls 
EAE is defined as:

EAE=BOHR(yPPER+yIG
PEIG+yBER) + 
BOHH(yPPEH+yIGPEIG
+y BEH)

where:

BOHR=as defined in 10.2.1.2 of this appendix
yP=as defined in 10.2.1 of this appendix
PER=as defined in 9.1.2.2 and measured at the reduced fuel 
input rate, of ANSI/ASHRAE Standard 103-1993
yIG=as defined in 10.2.1 of this appendix
PEIG=as defined in 10.2.1 of this appendix
y=as defined in 10.2.1 of this appendix
BER=as defined in 9.1.2.2 of ANSI/ASHRAE Standard 103-1993, 
measured at the reduced fuel input rate
BOHH=as defined in 10.2.1.3 of this appendix
PEH=as defined in 9.1.2.2 of ANSI/ASHRAE Standard 103-1993, 
measured at the maximum fuel input rate
BEH=as defined in 9.1.2.2 of ANSI/ASHRAE Standard 103-1993, 
measured at the maximum fuel input rate

    10.2.3.2 For furnaces or boilers equipped with step modulating 
controls EAE is defined as:

EAE=BOHR(yP 
PER+yIGPEIG+y 
BER)+BOHM(yPPEH+yIG
PEIG+y BEH)

where:

BOHR=as defined in 10.2.1.2 of this appendix
yP=as defined in 10.2.1 of this appendix
PER=as defined in 9.1.2.2 of ANSI/ASHRAE Standard 103-1993, 
measured at the reduced fuel input rate
yIG=as defined in 10.2.1 of this appendix
PEIG=as defined in 10.2.1 of this appendix
y=as defined in 10.2.1. of this appendix
BER=as defined in 9.1.2.2 of ANSI/ASHRAE Standard 103-1993, 
measured at the reduced fuel input rate
BOHM=as defined in 10.2.1.4 of this appendix
PEH=as defined in 9.1.2.2 of ANSI/ASHRAE Standard 103-1993, 
measured at the maximum fuel input rate
BEH=as defined in 9.1.2.2 of ANSI/ASHRAE Standard 103-1993, 
measured at the maximum fuel inputs rate

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

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

where:

100=to express a percent as a decimal
2,080=as specified in 10.2.1 of this appendix
0.77=as specified in 10.2.1 of this appendix
DHR=as defined in 10.2.1 of this appendix
3.412=conversion to express energy in terms of watt-hours instead of Btu
AFUE=as defined in 11.1 of ANSI/ASHRAE Standard 103-1993, in percent, 
and calculated on the basis of:
    ICS installation, for non-weatherized warm air furnaces;
    indoor installation, for non-weatherized boilers; or
    outdoor installation, for furnaces and boilers that are weatherized.

    10.4 Energy factor.
    10.4.1 Energy factor for gas or oil furnaces and boilers. Calculate 
the energy factor, EF, for gas or oil furnaces and boilers defined as, 
in percent:
[GRAPHIC] [TIFF OMITTED] TR12MY97.038

where:

EF=average annual fuel consumption as defined in 10.2.2 of 
this appendix.
EAE=as defined in 10.2.3 of this appendix.
EffyHS=Annual Fuel Utilization Efficiency as defined in 
11.2.11, 11.3.11, 11.4.11 or 11.5.11 of ANSI/ASHRAE Standard 103-1993, 
in percent, and calculated on the basis of:
    ICS installation, for non-weatherized warm air furnaces;
    indoor installation, for non-weatherized boilers; or
    outdoor installation, for furnaces and boilers that are weatherized.
3,412=conversion factor from kilowatt to Btu/h

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


[[Page 304]]


EF=AFUE

where:

AFUE=Annual Fuel Utilization Efficiency as defined in section 10.3 of 
this appendix, in percent

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

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

where:

EF=as defined in 10.2.2 of this appendix
8,760=as specified in 10.2.1 of this appendix
QP=as defined in 11.2.11 of ANSI/ASHRAE Standard 103-1993
HLH=heating load hours for a specific geographic region determined from 
the heating load hour map in Figure 1 of this appendix
2,080=as defined in 10.2.1 of this appendix

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

EAER=EAE (HLH/2,080)

where:

EAE=as defined in 10.2.3 of this appendix
HLH=as defined in 10.5.1 of this appendix
2,080=as specified in 10.2.1 of this appendix

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

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

where:

100=as specified in 10.3 of this appendix
0.77=as specified in 10.2.1 of this appendix
DHR=as defined in 10.2.1 of this appendix
HLH=as defined in 10.5.1 of this appendix
3.412=as specified in 10.3 of this appendix
AFUE=as defined in 10.3 of this appendix, in percent

    10.6 Annual energy consumption for mobile home furnaces
    10.6.1 National average number of burner operating hours for mobile 
home furnaces (BOHSS). BOHSS is the same as in 
10.2.1 of this appendix, except that the value of EffyHS in 
the calculation of the burner operating hours, BOHSS, is 
calculated on the basis of a direct vent unit with system number 9 or 
10.
    10.6.2 Average annual fuel energy for mobile home furnaces 
(EF). EF is same as in 10.2.2 of this appendix 
except that the burner operating hours, BOHSS, is calculated 
as specified in 10.6.1 of this appendix.
    10.6.3 Average annual auxiliary electrical energy consumption for 
mobile home furnaces (EAE). EAE is the same as in 
10.2.3 of this appendix, except that the burner operating hours, 
BOHSS, is calculated as specified in 10.6.1 of this appendix.
    10.7 Calculation of sales weighted average annual energy consumption 
for mobile home furnaces. In order to reflect the distribution of mobile 
homes to geographical regions with average HLHMHF value 
different from 2,080, adjust the annual fossil fuel and auxiliary 
electrical energy consumption values for mobile home furnaces using the 
following adjustment calculations.
    10.7.1 For mobile home furnaces the sales weighted average annual 
fossil fuel energy consumption is expressed in Btu per year and defined 
as:

EF,MHF=(EF-8,760 QP)HLHMHF/
2,080+8,760 QP

where:

EF=as defined in 10.6.2 of this appendix
8,760=as specified in 10.2.1 of this appendix
QP=as defined in 11.2.11 of ANSI/ASHRAE Standard 103-1993
HLHMHF=1880, sales weighted average heating load hours for 
mobile home furnaces
2,080=as specified in 10.2.1 of this appendix

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

EAE,MHF=EAEHLHMHF/2,080

where:

EAE=as defined in 10.6.3 of this appendix
HLHMHF=as defined in 10.7.1 of this appendix
2,080=as specified in 10.2.1 of this appendix

    10.8 Direct determination of off-cycle losses for furnaces and 
boilers equipped with thermal stack dampers. [Reserved.]


[[Page 305]]

[GRAPHIC] [TIFF OMITTED] TR12MY97.039


[62 FR 26157, May 12, 1997, as amended at 62 FR 53510, Oct. 14, 1997]

[[Page 306]]



   Sec. 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 ([eta]ss) 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

[[Page 307]]

close off the venting system when the appliance is in the standby 
condition.
    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 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

[[Page 308]]

to the unit under test at a normal inlet pressure of 11 to 13 inches 
water column and a 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 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 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.

[[Page 309]]

    2.6.1 Gas fueled vented home heating equipment (including direct 
vent systems). For units 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 
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

[[Page 310]]

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 [deg]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 [deg]F (1.7 C) in the stack gas temperature for vented 
heaters equipped with draft diverters or 5 [deg]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 [deg]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 
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 [deg]F (2.8 C) 
in the flue gas temperature in three successive readings taken 15 
minutes apart.

[[Page 311]]

    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 ([Omega]). 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.
    3.5.1 Measure the energy input rate to the pilot light 
(QP) with an error no greater than 3 percent for vented 
heaters so equipped.
    3.5.2 For manually controlled heaters where the pilot light is 
designed to be turned off by the user when the heater is not in use, 
that is, turning the control to the OFF position will shut off the gas 
supply to the burner(s) and to the pilot light, the measurement of 
QP is not needed. This provision applies only if an 
instruction to turn off the unit is provided on the heater near the gas 
control valve (e.g. by label) by the manufacturer.

    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

[[Page 312]]

draft was maintained on oil fueled units in 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)

[[Page 313]]

C=as determined from Table 2 of this appendix
RT,S=as defined in 4.1.8 of this appendix
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, [eta]SS, expressed in percent and 
defined as:

[eta]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, [eta]SS, L, expressed in 
percent and defined as:

[eta]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,
[eta]SS-H, expressed in percent and defined as:

[eta]SS-H=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, [eta]SS-MOD, expressed in percent and defined as:
[GRAPHIC] [TIFF OMITTED] TC04OC91.060

where:

[eta]SS-H=as defined in 4.1.10 of this appendix
[eta]SS-L=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=[eta]SS-L Qred-in

where:

[eta]SS-L=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=hSS,H Qmax,in

where:

[eta]SS-H=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

[[Page 314]]

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:

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 equFipped 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 ([eta]SS-WT) is equal to [eta]SS, 
as defined in section 4.1.10 of this appendix. For vented heaters 
equipped with two stage thermostats, [eta]SS-WT is defined 
as:

[eta]SS-WT=X1[eta]SS-L+X2[eta
]SS-H

where:

X1=as defined in 4.1.14 of this appendix
[eta]SS-L=as defined in 4.1.10 of this appendix
X2=as defined in 4.1.15 of this appendix
[eta]SS-H=as defined in 4.1.10 of this appendix

    For vented heaters equipped with step-modulating thermostats, 
[eta]SS-WT is defined as:

[eta]SS-WT=X1[eta]SS-L+X2[eta
]SS-MOD

where:

X1=as defined in 4.1.14 of this appendix
[eta]SS-L=as defined in 4.1.10 of this appendix
X2=as defined in 4.1.15 of this appendix
[eta]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=[0.968[eta]SS- WT]-1.78DF-1.89DS-
129PF-2.8 LJ+1.81

where:

[eta]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.
    4.2.4.1 For manually controlled heaters with various input rates the 
weighted average steady-state efficiency ([eta]SS-WT), is 
determined as follows:
    (1) at 50 percent of the maximum fuel input rate as measured in 
either section 3.1.1 of this appendix for manually controlled gas vented 
heaters or section 3.1.2 of this appendix for manually controlled oil 
vented heaters, or
    (2) at the minimum 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

[[Page 315]]

manually controlled oil vented heaters if the design of the heater is 
such that the 5 percent of 50 percent of the 
maximum fuel input rate cannot be set, provided this minimum rate is no 
greater than \2/3\ of maximum input rate of the heater.
    4.2.4.2 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 ([eta]u) expressed as a percent 
and defined as:

[eta]u=[eta]SS-WT-LI,ON

where:

[eta]SS-WT=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.
    4.2.6.1 For manually controlled vented heaters, calculate the AFUE 
expressed as a percent and defined as:
[GRAPHIC] [TIFF OMITTED] TR12MY97.040

where:

2,950=average number of heating degree days
[eta]SS=as defined as [eta]SS-WT in 4.2.4 of this 
appendix
[eta]u=as defined in 4.2.5 of this appendix
Qin-max=as defined as Qin at the maximum fuel 
input rate, as defined in 3.1 of this appendix
4,600=average number of non-heating season hours per year
QP=as defined in 3.5 of this appendix
2.083=(65-15)/24=50/24
65=degree day base temperature, [deg]F
15=national average outdoor design temperature for vented heaters as 
defined in section 4.1.10 of this appendix
24=number of hours in a day

    4.2.6.2 For manually controlled vented heaters where the pilot light 
can be turned off by the user when the heater is not in use as described 
in section 3.5.2, calculate the AFUE expressed as a percent and defined 
as:

AFUE=[eta]u

where:

[eta]u=as defined in section 4.2.5 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=X1 LS,SS,A-red+X2 
LS,SS,A-max

where:

X1=as defined in 4.1.14 of this appendix
LS,SS,A-red=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=X1 LS,SS,A-red+X2 
LS,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


[[Page 316]]


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(70-
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=X1 KI,ON-avg(70-
TOA*)+X2 
KI,ON-red(70-TOA)

where:

X1=as defined in 4.1.14 of this appendix
[GRAPHIC] [TIFF OMITTED] TC14NO91.051

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=X1 LS,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=X1 LS,OFF,red+X2 
LS,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-[deg]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
[Sigma] 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

[[Page 317]]

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 [deg]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=X1 LI,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

    For vented heaters equipped with two stage thermostats, calculate 
LI,OFF defined as:

LI,OFF=X1 LI,OFF,red+ X2 
LI,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-[deg]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, [deg]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
[Sigma] 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 ([eta]u ) expressed as a percent 
and defined as:
[GRAPHIC] [TIFF OMITTED] TC14NO91.052

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

[[Page 318]]

tOFF=average burner off-time per cycle and is 20 minutes

    4.3.7 Annual Fuel Utilization Efficiency.
    Calculate the AFUE expressed as a percent and defined as:
    [GRAPHIC] [TIFF OMITTED] TR12MY97.041
    
where:

2,950=average number of heating degree days
[eta]SS-WT=as defined in 4.1.16 of this appendix
[eta]u=as defined in 4.3.6 of this appendix
Qin-max=as defined in 4.2.6 of this appendix
4,600=as specified in 4.2.6 of this appendix
QP=as defined in 3.5 of this appendix
2.083=as specified in 4.2.6 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 [Omega]/AS]

where:

AD=as defined in 3.4 of this appendix
[Omega]=as defined in 3.4 of this appendix
AS=as defined in 3.4 of this appendix

    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

[[Page 319]]

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=DP 
DO

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=DO DP
For systems numbered 7 or 8 and if DO(S/F)1:

DS=DO DP+[0.85-DO 
DP] [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

    4.6 Annual energy consumption.
    4.6.1 National average number of burner operating hours. For vented 
heaters equipped with single stage controls or manual controls, the 
national average number of burner operating hours (BOH) is defined as:

BOHSS=1,416AFA DHR-1,416 B

where:

1,416=national average heating load hours for vented heaters based on 
2,950 degree days and 15 [deg]F outdoor design temperature
AF=0.7067, adjustment factor to adjust the calculated design 
heating requirement and heating load hours to the actual heating load 
experienced by the heating system
DHR=typical design heating requirements based on QOUT, from 
Table 4 of this appendix.
QOUT=[([eta]SS/100)-Cj (Lj/
100)] Qin
Lj=jacket loss as defined in 4.1.5 of this appendix
Cj=2.8, adjustment factor as defined in 4.3.6 of this 
appendix
[eta]SS=steady-state efficiency as defined in 4.1.10 of this 
appendix, percent
Qin=as defined in 3.1 of this appendix at the maximum fuel 
input rate
A=100,000/[341,300PE+(Qin-
QP)[eta]u]
B=2.938(QP) [eta]u A/100,000
100,000=factor that accounts for percent and kBtu
PE=as defined in 3.1.3 of this appendix
QP=as defined in 3.5 of this appendix
[eta]u=as defined in 4.3.6 of this appendix for vented 
heaters using the tracer gas method, percent
    =as defined in 4.2.5 of this appendix for manually controlled vented 
heaters, percent
    =2,950 AFUE[eta]SS Qin/[2,950 
[eta]SS Qin--AFUE(2.083)(4,600)QP], for 
vented heaters equipped without manual controls and without thermal 
stack dampers and not using the optional tracer gas method, where:
AFUE=as defined in 4.1.17 of this appendix, percent
2,950=average number of heating degree days as defined in 4.2.6 of this 
appendix
4,600=average number of non-heating season hours per year as defined in 
4.2.6 of this appendix
2.938=(4,160/1,416)=ratio of the average length of the heating season in 
hours to the average heating load hours
2.083=as specified in 4.2.6 of this appendix

    4.6.1.1 For vented heaters equipped with two stage or step 
modulating controls the national average number of burner operating 
hours at the reduced operating mode is defined as:

BOHR=X1EM/Qred-in

where:

X1=as defined in 4.1.14 of this appendix
Qred-in=as defined in 4.1.11 of this appendix
EM=average annual energy used during the heating season
    =(Qin-QP)BOHSS+(8,760-
4,600)QP
Qin=as defined in 3.1 of this appendix at the maximum fuel 
input rate
QP=as defined in 3.5 of this appendix
BOHSS=as defined in 4.6.1 of this appendix, in which the term 
PE in the factor A is increased by the factor R, which is 
defined in 3.1.3 of this appendix as:
R=1.3 for two stage controls
    =1.4 for step modulating controls when the ratio of minimum-to-
maximum fuel input is greater than or equal to 0.7
    =1.7 for step modulating controls when the ratio of minimum-to-
maximum fuel input is less than 0.7 and greater than or equal to 0.5
    =2.2 for step modulating controls when the ratio of minimum-to-
maximum fuel input is less than 0.5
A=100,000/[341,300 PE R+(Qin-QP)[eta]u]
8,760=total number of hours per year
4,600=as specified in 4.2.6 of this appendix

    4.6.1.2 For vented heaters equipped with two stage or step 
modulating controls the national average number of burner operating 
hours at the maximum operating mode (BOHH) is defined as:

BOHH=X2EM/Qin

where:

X2=as defined in 4.1.15 of this appendix
EM=average annual energy used during the heating season
    =(Qin-QP)BOHSS+(8,760-
4,600)QP
Qin=as defined in 3.1 of this appendix at the maximum fuel 
input rate


[[Page 320]]


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

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

where:

BOHSS=as defined in 4.6.1 of this appendix
Qin=as defined in 3.1 of this appendix
QP=as defined in 3.5 of this appendix
8,760=as specified in 4.6.1 of this appendix

    4.6.2.1 For vented heaters equipped with either two stage or step 
modulating controls EF is defined as:

EF=EM+4,600QP

where:

EM=as defined in 4.6.1.2 of this appendix
4,600=as specified 4.2.6 of this appendix
QP=as defined in 3.5 of this appendix

    4.6.3 Average annual auxiliary electrical energy consumption for 
vented heaters. For vented heaters with single stage controls or manual 
controls the average annual auxiliary electrical consumption 
(EAE) is expressed in kilowatt-hours and defined as:

EAE=BOHSSPE

where:

BOHSS=as defined in 4.6.1 of this appendix
PE=as defined in 3.1.3 of this appendix

    4.6.3.1 For vented heaters equipped with two stage or modulating 
controls EAE is defined as:

EAE=(BOHR+BOHH)PE

where:

BOHR=as defined in 4.6.1 of this appendix
BOHH=as defined in 4.6.1 of this appendix
PE=as defined in 3.1.3 of this appendix

    4.6.4 Average annual energy consumption for vented heaters located 
in a different geographic region of the United States and in buildings 
with different design heating requirements.
    4.6.4.1 Average annual fuel energy consumption for gas or oil fueled 
vented home heaters located in a different geographic region of the 
United States and in buildings with different design heating 
requirements. For gas or oil fueled vented heaters the average annual 
fuel energy consumption for a specific geographic region and a specific 
typical design heating requirement (EFR) is expressed in Btu 
per year and defined as:

EFR=(EF-8,760 QP)(HLH/
1,416)+8,760QP

where:

EF=as defined in 4.6.2 of this appendix
8,760=as specified in 4.6.1 of this appendix
QP=as defined in 3.5 of this appendix
HLH=heating load hours for a specific geographic region determined from 
the heating load hour map in Figure 3 of this appendix
1,416=as specified in 4.6.1 of this appendix

    4.6.4.2 Average annual auxiliary electrical energy consumption for 
gas or oil fueled vented home heaters located in a different geographic 
region of the United States and in buildings with different design 
heating requirements. For gas or oil fueled vented home heaters the 
average annual auxiliary electrical energy consumption for a specific 
geographic region and a specific typical design heating requirement 
(EAER) is expressed in kilowatt-hours and defined as:

EAER=EAE HLH/1,416

where:

EAE=as defined in 4.6.3 of this appendix
HLH=as defined in 4.6.4.1 of this appendix
1,416=as specified in 4.6.1 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.
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    Do Dp  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.


[[Page 321]]


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.


  Table 4--Average Design Heating Requirements for Vented Heaters With
                       Different Output Capacities
------------------------------------------------------------------------
                                                               Average
                                                               design
       Vented heaters output capacity Qout--(Btu/hr)           heating
                                                            requirements
                                                              (kBtu/hr)
------------------------------------------------------------------------
5,000-7,499...............................................           5.0
7,500-10,499..............................................           7.5
10,500-13,499.............................................          10.0
13,500-16,499.............................................          12.5
16,500-19,499.............................................          15.0
19,500-22,499.............................................          17.5
22,500-26,499.............................................          20.5
26,500-30,499.............................................          23.5
30,500-34,499.............................................          26.5
34,500-38,499.............................................          30.0
38,500-42,499.............................................          33.5
42,500-46,499.............................................          36.5
46,500-51,499.............................................          40.0
51,500-56,499.............................................          44.0
56,500-61,499.............................................          48.0
61,500-66,499.............................................          52.0
66,500-71,499.............................................          56.0
71,500-76,500.............................................          60.0
------------------------------------------------------------------------


[[Page 322]]

[GRAPHIC] [TIFF OMITTED] TC04OC91.069


[[Page 323]]

[GRAPHIC] [TIFF OMITTED] TC04OC91.070


[[Page 324]]

[GRAPHIC] [TIFF OMITTED] TR12MY97.042


[49 FR 12169, Mar. 28, 1984, as amended at 62 FR 26162, May 12, 1997]

[[Page 325]]



   Sec. 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 pool heaters is as 
specified in American National Standards Institute Standard for Gas-
Fired Pool Heaters, Z21.56-1994.
    2. Test conditions. Establish the test conditions specified in 
section 2.9 of ANSI Z21.56-1994.
    3. Measurements. Measure the quantities delineated in section 2.9 of 
ANSI Z21.56-1994. The measurement of energy consumption for oil-fired 
pool heaters in Btu is to be carried out in appropriate units, e.g., 
gallons.
    4. Calculations
    4.1 Thermal efficiency. Calculate the thermal efficiency, 
Et (expressed as a percent), as specified in section 2.9 of 
ANSI Z21.56-1994. The expression of fuel consumption for oil-fired pool 
heaters shall be in Btu.
    4.2 Average annual fossil fuel energy for pool heaters. The average 
annual fuel energy for pool heater, EF, is defined as:

EF=BOH QIN+(POH-BOH)QP

where:

BOH=average number of burner operating hours=104 h
POH=average number of pool operating hours=4464 h
QIN=rated fuel energy input as defined according to 2.9.1 or 
2.9.2 of ANSI Z21.56-1994, as appropriate
QP=energy consumption of continuously operating pilot light 
if employed, in Btu/h.

    4.3 Average annual auxiliary electrical energy consumption for pool 
heaters. The average annual auxiliary electrical energy consumption for 
pool heaters, EAE, is expressed in Btu and defined as:

EAE=BOH PE

where:

PE=2Ec if heater tested according to 2.9.1 of ANSI Z21.56-
1994
    =3.412 PErated if heater tested according to 2.9.2 of 
ANSI Z21.56-1994, in Btu/h
Ec=Electrical consumption of the heater (converted to 
equivalent unit of Btu), including the electrical energy to the 
recirculating pump if used, during the 30-minute thermal efficiency 
test, as defined in 2.9.1 of ANSI Z21.56-1994, in Btu per 30 min.
2=Conversion factor to convert unit from per 30 min. to per h.
PErated=nameplate rating of auxiliary electrical equipment of 
heater, in Watts
BOH=as defined in 4.2 of this appendix

    4.4 Heating seasonal efficiency.
    4.4.1 Calculate the seasonal useful output of the pool heater as:

EOUT=BOH [(Et/100)(QIN+PE)]

where:

BOH=as defined in 4.2 of this appendix
Et=thermal efficiency as defined in 4.1 of this appendix
QIN=as defined in 4.2 of this appendix
PE=as defined in 4.3 of this appendix
100=conversion factor, from percent to fraction

    4.4.2 Calculate the seasonal input to the pool heater as:

EIN=BOH (QIN+PE)+(POH-BOH) QP

where:

BOH=as defined in 4.2 of this appendix
QIN=as defined in 4.2 of this appendix
PE=as defined in 4.3 of this appendix
POH=as defined in 4.2 of this appendix
QP=as defined in 4.2 of this appendix

    4.4.3 Calculate the pool heater heating seasonal efficiency (in 
percent).
    4.4.3.1 For pool heaters employing a continuous pilot light:

EFFYHS=100(EOUT/EIN)

where:

EOUT=as defined in 4.4.1 of this appendix
EIN=as defined in 4.4.2 of this appendix
100=to convert a fraction to percent

    4.4.3.2 For pool heaters without a continuous pilot light:

EFFYHS=Et

where:

Et=as defined in 4.1 of this appendix.

[62 FR 26165, May 12, 1997]



   Sec. Appendix Q to Subpart B of Part 430--Uniform Test Method for 
      Measuring the Energy Consumption of Fluorescent Lamp Ballasts

                             1. Definitions

    1.1 AC control signal means an alternating current (AC) signal that 
is supplied to the ballast using additional wiring for the purpose of 
controlling the ballast and putting the ballast in standby mode.
    1.2 ANSI Standard means a standard developed by a committee 
accredited by the American National Standards Institute.
    1.3 Ballast input voltage means the rated input voltage of a 
fluorescent lamp ballast.
    1.4 DC control signal means a direct current (DC) signal that is 
supplied to the ballast using additional wiring for the purpose of 
controlling the ballast and putting the ballast in standby mode.
    1.5 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 C78.81-2003 (Data

[[Page 326]]

Sheet 7881-ANSI-1010-1) (incorporated by reference; see Sec. 430.3).
    1.6 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 C78.81-2003 (Data Sheet 7881-ANSI-3007-1) 
(incorporated by reference; see Sec. 430.3).
    1.7 F96T12HO lamp means a nominal 110 watt tubular fluorescent lamp 
that is 96 inches in length and 1\1/2\ inches in diameter, and conforms 
to ANSI C78.81-2003 (Data Sheet 7881-ANSI-1019-1) (incorporated by 
reference; see Sec. 430.3).
    1.8 F34T12 lamp (also known as a ``F40T12/ES lamp'') means a nominal 
34 watt tubular fluorescent lamp that is 48 inches in length and 1\1/2\ 
inches in diameter, and conforms to ANSI C78.81-2003 (Data Sheet 7881-
ANSI-1006-1) (incorporated by reference; see Sec. 430.3).
    1.9 F96T12/ES lamp means a nominal 60 watt tubular fluorescent lamp 
that is 96 inches in length and 1\1/2\ inches in diameter, and conforms 
to ANSI C78.81-2003 (Data Sheet 7881-ANSI-3006-1) (incorporated by 
reference; see Sec. 430.3).
    1.10 F96T12HO/ES lamp means a nominal 95 watt tubular fluorescent 
lamp that is 96 inches in length and 1\1/2\ inches in diameter, and 
conforms to ANSI C78.81-2003 (Data Sheet 7881-ANSI-1017-1) (incorporated 
by reference; see Sec. 430.3).
    1.11 Input current means the root-mean-square (RMS) current in 
amperes delivered to a fluorescent lamp ballast.
    1.12 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.
    1.13 Nominal lamp watts means the wattage at which a fluorescent 
lamp is designed to operate.
    1.14 PLC control signal means a power line carrier (PLC) signal that 
is supplied to the ballast using the input ballast wiring for the 
purpose of controlling the ballast and putting the ballast in standby 
mode.
    1.15 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 C-82.2-1984 
(incorporated by reference; see Sec. 430.3).
    1.16 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 C82.2-1984 (incorporated by reference; see 
Sec. 430.3).
    1.17 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 C82.2-1984 
(incorporated by reference; see Sec. 430.3).
    1.18 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.
    1.19 Standby mode means the condition in which an energy-using 
product--
    (a) Is connected to a main power source; and
    (b) Offers one or more of the following user-oriented or protective 
functions:
    (i) To facilitate the activation or deactivation of other functions 
(including active mode) by remote switch (including remote control), 
internal sensor, or timer.
    (ii) Continuous functions, including information or status displays 
(including clocks) or sensor-based functions.
    1.20 Wireless control signal means a wireless signal that is 
radiated to and received by the ballast for the purpose of controlling 
the ballast and putting the ballast in standby mode.

                           2. Test Conditions

    2.1 Measurement of Electric Supply and Light Output. The test 
conditions for testing fluorescent lamp ballasts shall be done in 
accordance with the ANSI C82.2-1984, (incorporated by reference; see 
Sec. 430.3). 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 C82.2-1984. The test conditions described in 
this section (2.1) are applicable to sections 3.3 and 3.4 of section 3, 
Test Method and Measurements.
    2.2 Measurement of Standby Mode Power. The measurement of standby 
mode power need not be performed to determine compliance with energy 
conservation standards for fluorescent lamp ballasts at this time. The 
above statement will be removed as part of the rulemaking to amend the 
energy conservation standards for fluorescent lamp ballasts to account 
for standby mode energy consumption, and the following shall apply on 
the compliance date for such requirements.
    The test conditions for testing fluorescent lamp ballasts shall be 
done in accordance with the American National Standard Institute ANSI 
C82.2-2002 (incorporated by reference; see Sec. 430.3). 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 for measuring standby power are described in sections 5, 7, 
and 8 of ANSI C82.2-2002. The test conditions described in this section 
(2.2) are applicable

[[Page 327]]

to section 3.5 of 3, Test Method and Measurements. Fluorescent lamp 
ballasts that are capable of connections to control devices shall be 
tested with all commercially available compatible control devices 
connected in all possible configurations. For each configuration, a 
separate measurement of standby power shall be made in accordance with 
section 3.5 of the test procedure.

                     3. Test Method and Measurements

    3.1 The test method for testing fluorescent lamp ballasts shall be 
done in accordance with ANSI C82.2-1984 (incorporated by reference; see 
Sec. 430.3). The test for measuring standby mode energy consumption of 
fluorescent lamp ballasts shall be done in accordance with ANSI C82.2-
2002 (incorporated by reference; see Sec. 430.3).
    3.2 Instrumentation. The instrumentation shall be as specified by 
sections 8, 9, 10, 11, 12, 19.1, and 23.2 of ANSI C82.2-1984 
(incorporated by reference; see Sec. 430.3).
    3.3 Electric Supply.
    3.3.1. Input Power. Measure the input power (watts) to the ballast 
in accordance with ANSI C82.2-1984, section 3.2.1(3) and section 4 
(incorporated by reference; see Sec. 430.3).
    3.3.2 Input Voltage. Measure the input voltage (volts) (RMS) to the 
ballast in accordance with ANSI C82.2-1984, section 3.2.1(1) and section 
4 (incorporated by reference; see Sec. 430.3).
    3.3.3 Input Current. Measure the input current (amps) (RMS) to the 
ballast in accordance with ANSI C82.2-1984, section 3.2.1(2) and section 
4 (incorporated by reference; see Sec. 430.3).
    3.4 Light Output.
    3.4.1 Measure the light output of the reference lamp with the 
reference ballast in accordance with ANSI C82.2-1984, section 16 
(incorporated by reference; see Sec. 430.3).
    3.4.2 Measure the light output of the reference lamp with the test 
ballast in accordance with ANSI C82.2-1984, section 16 (incorporated by 
reference; see Sec. 430.3).

                   3.5 Standby Mode Power Measurement

    3.5.1. Send a signal to the ballast instructing it to have zero 
light output using the appropriate ballast communication protocol or 
system for the ballast being tested.
    3.5.2 Input Power. Measure the input power (watts) to the ballast in 
accordance with ANSI C82.2-2002, section 13, (incorporated by reference; 
see Sec. 430.3).
    3.5.3 Control Signal Power. The power from the control signal path 
will be measured using all applicable methods described below.
    3.5.3.1 AC Control Signal. Measure the AC control signal power 
(watts), using a wattmeter (W), connected to the ballast in accordance 
with the circuit shown in Figure 1.
[GRAPHIC] [TIFF OMITTED] TR22OC09.001

    3.5.3.2 DC Control Signal. Measure the DC control signal voltage, 
using a voltmeter (V), and current, using an ammeter (A), connected to 
the ballast in accordance with the circuit shown in Figure 2. The DC 
control signal power is calculated by multiplying the DC control signal 
voltage and the DC control signal current.

[[Page 328]]

[GRAPHIC] [TIFF OMITTED] TR22OC09.002

    3.5.3.3 Power Line Carrier (PLC) Control Signal. Measure the PLC 
control signal power (watts), using a wattmeter (W), connected to the 
ballast in accordance with the circuit shown in Figure 3. The wattmeter 
must have a frequency response that is at least 10 times higher than the 
PLC being measured in order to measure the PLC signal correctly. The 
wattmeter must also be high-pass filtered to filter out power at 60 
Hertz.
[GRAPHIC] [TIFF OMITTED] TR22OC09.003

    3.5.3.4 Wireless Control Signal. The power supplied to a ballast 
using a wireless signal is not easily measured, but is estimated to be 
well below 1.0 watt. Therefore, the wireless control signal power is not 
measured as part of this test procedure.
    4. Calculations.
    4.1 Calculate relative light output:
    [GRAPHIC] [TIFF OMITTED] TC14NO91.053
    
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
[GRAPHIC] [TIFF OMITTED] TC14NO91.054

(b) Multiple lamp ballast
[GRAPHIC] [TIFF OMITTED] TC14NO91.055

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):

[[Page 329]]

[GRAPHIC] [TIFF OMITTED] TC14NO91.056

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; 69 
FR 18803, Apr. 9, 2004; 70 FR 60412, Oct. 18, 2005; 74 FR 54455, Oct. 
22, 2009]



   Sec. Appendix R to Subpart B of Part 430--Uniform Test Method for 
 Measuring Average Lamp Efficacy (LE), Color Rendering Index (CRI), and 
          Correlated Color Temperature (CCT) of Electric Lamps

    1. Scope: This appendix applies to the measurement of lamp lumens, 
electrical characteristics, CRI, and CCT for general service fluorescent 
lamps, and to the measurement of lamp lumens, electrical characteristics 
for general service incandescent lamps and incandescent reflector lamps.
    2. Definitions
    2.1 To the extent that definitions in the referenced IESNA and CIE 
standards do not conflict with the DOE definitions, the definitions 
specified in section 1.2 of IESNA LM-9 (incorporated by reference; see 
Sec. 430.3), section 3.0 of IESNA LM-20 (incorporated by reference; see 
Sec. 430.3), section 1.2 and the Glossary of IESNA LM-45 (incorporated 
by reference; see Sec. 430.3), section 2 of IESNA LM-58 (incorporated 
by reference; see Sec. 430.3), and Appendix 1 of CIE 13.3 (incorporated 
by reference; see Sec. 430.3) shall be included.
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 Sec. 430.2.
    2.5 IESNA 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 tenth, in units of lumens per watt.
    2.7 Lamp lumen output means the total luminous flux produced by the 
lamp, at the 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 reference condition, in units of watts.
    2.9 Reference condition means the test condition specified in IESNA 
LM-9 for general service fluorescent lamps, in IESNA LM-20 for 
incandescent reflector lamps, in IESNA LM-45 for general service 
incandescent lamps (incorporated by reference; see Sec. 430.3).

                           3. Test Conditions

    3.1 General Service Fluorescent Lamps: For general service 
fluorescent lamps, the ambient conditions of the test and the electrical 
circuits, reference ballasts, stabilization requirements, instruments, 
detectors, and photometric test procedure and test report shall be as 
described in the relevant sections of IESNA LM-9 (incorporated by 
reference; see Sec. 430.3).
    3.2 General Service Incandescent Lamps: For general service 
incandescent lamps, the selection and seasoning (initial burn-in) of the 
test lamps, the equipment and instrumentation, and the test conditions 
shall be as described in IESNA LM-45 (incorporated by reference; see 
Sec. 430.3).
    3.3 Incandescent Reflector Lamps: For incandescent reflector lamps, 
the selection and seasoning (initial burn-in) of the test lamps, the 
equipment and instrumentation, and the test conditions shall conform to 
sections 4.2 and 5.0 of IESNA LM-20 (incorporated by reference; see 
Sec. 430.3).

                    4. Test Methods and Measurements

    All lumen measurements made with instruments calibrated to the 
devalued NIST lumen after January 1, 1996, shall be multiplied by 1.011.
    4.1 General Service Fluorescent Lamps
    4.1.1 The measurement procedure shall be as described in IESNA LM-9 
(incorporated by reference; see Sec. 430.3), except that lamps shall be 
operated at the appropriate voltage and current conditions as described 
in ANSI C78.375 (incorporated by reference; see Sec. 430.3) and in ANSI 
C78.81 (incorporated by reference; see Sec. 430.3) or ANSI C78.901 
(incorporated by reference; see Sec. 430.3), and lamps shall be 
operated using the appropriate reference ballast at input voltage 
specified by the reference circuit as described in ANSI C82.3 
(incorporated by reference; see Sec. 430.3). If, for a lamp, both low-
frequency and high-frequency reference ballast settings are included in 
ANSI C78.81 or ANSI C78.901, the lamp shall be operated using the low-
frequency reference ballast.
    4.1.2 For lamps not listed in ANSI C78.81 (incorporated by 
reference; see Sec. 430.3) nor in ANSI C78.901 (incorporated by 
reference; see Sec. 430.3), the lamp shall be operated using the 
following reference ballast settings:
    4.1.2.1 4-Foot medium bi-pin lamps shall be operated using the 
following reference ballast settings: T10 or T12 lamps are to use

[[Page 330]]

236 volts, 0.43 amps, and 439 ohms; T8 lamps are to use 300 volts, 0.265 
amps, and 910 ohms.
    4.1.2.2 2-Foot U-shaped lamps shall be operated using the following 
reference ballast settings: T12 lamps are to use 236 volts, 0.430 amps, 
and 439 ohms; T8 lamps are to use 300 volts, 0.265 amps, and 910 ohms.
    4.1.2.3 8-foot slimline lamps shall be operated using the following 
reference ballast settings:
    (a) T12 lamps: 625 volts, 0.425 amps, and 1280 ohms.
    (b) T8 lamps: 625 volts, 0.260 amps, and 1960 ohms.
    4.1.2.4 8-foot high output lamps shall be operated using the 
following reference ballast settings:
    (a) T12 lamps: 400 volts, 0.800 amps, and 415 ohms.
    (b) T8 lamps: 450 volts, 0.395 amps, and 595 ohms.
    4.1.2.5 4-foot miniature bipin standard output or high output lamps 
shall be operated using the following reference ballast settings:
    (a) Standard Output: 329 volts, 0.170 amps, and 950 ohms.
    (b) High Output: 235 volts, 0.460 amps, and 255 ohms.
    4.1.3 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 IESNA LM-45 
(incorporated by reference; see Sec. 430.3). Lamps shall be operated at 
the rated voltage as defined in Sec. 430.2.
    4.2.2 The test procedure shall conform with sections 5 and 9 of 
IESNA LM-45 (incorporated by reference; see Sec. 430.3), and the lumen 
output of the lamp shall be determined in accordance with section 9 of 
IESNA LM-45. Lamp electrical power input in watts 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. The test report shall conform 
to section 11 of IESNA LM-45.
    4.3 Incandescent Reflector Lamps
    4.3.1 The measurement procedure shall be as described in IESNA LM-20 
(see 10 CFR 430.22). Lamps shall be operated at the rated voltage as 
defined in Sec. 430.2.
    4.3.2. Lamp lumen output shall be determined as total forward 
lumens, and may be measured in an integrating sphere at the reference 
condition in accordance with Sec. 7.2 of IESNA LM-20 (incorporated by 
reference; see Sec. 430.3) or from an average intensity distribution 
curve measured at the reference condition specified in Sec. 6.0 of 
IESNA LM-20. Lamp electrical power input in watts shall be measured and 
recorded.
    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 (incorporated by reference; see Sec. 
430.3).
    4.4 Determination of Color Rendering Index and Correlated Color 
Temperature

    4.4.1 The CRI shall be determined in accordance with the method 
specified in CIE 13.3 (incorporated by reference; see Sec. 430.3) for 
general service fluorescent lamps. The CCT shall be determined in 
accordance with the method specified in IESNA LM-9 (incorporated by 
reference; see Sec. 430.3) and rounded to the nearest 10 kelvin for 
general service fluorescent lamps. The CCT shall be determined in 
accordance with the CIE 15 (incorporated by reference; see Sec. 430.3) 
for incandescent lamps. The required spectroradiometric measurement and 
characterization shall be conducted in accordance with the methods set 
forth in IESNA LM-58 (incorporated by reference; see Sec. 430.3).
    4.4.2 The test report shall include a description of the test 
conditions, equipment, measured lamps, spectroradiometric measurement 
results, and CRI and CCT determinations.
    4.5 Determination of Color Rendering Index
    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 IESNA LM-58 and 
IESNA LM-16 (see 10 CFR 430.22).
    4.5.2 The test report shall include a description of the test 
conditions, equipment, measured lamps, spectroradiometric measurement 
results and CRI determination.

[62 FR 29240, May 29, 1997, as amended at 74 FR 34177, July 14, 2009]



   Sec. Appendix S to Subpart B of Part 430--Uniform Test Method for 
       Measuring the Water Consumption of Faucets and Showerheads

    1. Scope: This Appendix covers the test requirements used to measure 
the hydraulic performance of faucets and showerheads.

                     2. Flow Capacity Requirements:

    a. Faucets--The test procedures to measure the water flow rate for 
faucets, expressed in gallons per minute (gpm) and liters per minute (L/
min), or gallons per cycle (gal/cycle) and liters per cycle (L/cycle), 
shall be

[[Page 331]]

conducted in accordance with the test requirements specified in section 
6.5, Flow Capacity Test, of the ASME/ANSI Standard A112.18.1M-1996 (see 
Sec. 430.22). Measurements shall be recorded at the resolution of the 
test instrumentation. Calculations shall be rounded off to the same 
number of significant digits as the previous step. The final water 
consumption value shall be rounded to one decimal place for non-metered 
faucets, or two decimal places for metered faucets.
    b. Showerheads--The test conditions to measure the water flow rate 
for showerheads, expressed in gallons per minute (gpm) and liters per 
minute (L/min), shall be conducted in accordance with the test 
requirements specified in section 6.5, Flow Capacity Test, of the ASME/
ANSI Standard A112.18.1M-1996 (see Sec. 430.22). Measurements shall be 
recorded at the resolution of the test instrumentation. Calculations 
shall be rounded off to the same number of significant digits as the 
previous step. The final water consumption value shall be rounded to one 
decimal place.

[63 FR 13316, Mar. 18, 1998]



   Sec. Appendix T to Subpart B of Part 430--Uniform Test Method for 
      Measuring the Water Consumption of Water Closets and Urinals

    1. Scope: This Appendix covers the test requirements used to measure 
the hydraulic performances of water closets and urinals.

               2. Test Apparatus and General Instructions:

    a. The test apparatus and instructions for testing water closets 
shall conform to the requirements specified in section 7.1.2, Test 
Apparatus and General Requirements, subsections 7.1.2.1, 7.1.2.2, and 
7.1.2.3 of the ASME/ANSI Standard A112.19.6-1995 (see Sec. 430.22). 
Measurements shall be recorded at the resolution of the test 
instrumentation. Calculations shall be rounded off to the same number of 
significant digits as the previous step. The final water consumption 
value shall be rounded to one decimal place.
    b. The test apparatus and instructions for testing urinals shall 
conform to the requirements specified in section 8.2, Test Apparatus and 
General Requirements, subsections 8.2.1, 8.2.2, and 8.2.3 of the ASME/
ANSI Standard A112.19.6-1995 (see Sec. 430.22). Measurements shall be 
recorded at the resolution of the test instrumentation. Calculations 
shall be rounded off to the same number of significant digits as the 
previous step. The final water consumption value shall be rounded to one 
decimal place.

                          3. Test Measurement:

    a. Water closets--The measurement of the water flush volume for 
water closets, expressed in gallons per flush (gpf) and liters per flush 
(Lpf), shall be conducted in accordance with the test requirements 
specified in section 7.1.6, Water Consumption and Hydraulic 
Characteristics, of the ASME/ANSI Standard A112.19.6-1995 (see Sec. 
430.22).
    b. Urinals--The measurement of water flush volume for urinals, 
expressed in gallons per flush (gpf) and liters per flush (Lpf), shall 
be conducted in accordance with the test requirements specified in 
section 8.5, Water Consumption, of the ASME/ANSI Standard A112.19.6-1995 
(see Sec. 430.22).

[63 FR 13317, Mar. 18, 1998]



   Sec. Appendix U to Subpart B of Part 430--Uniform Test Method for 
            Measuring the Energy Consumption of Ceiling Fans

    1. Scope. This appendix covers the test requirements used to measure 
the energy performance of ceiling fans.
    2. Definitions:
    a. Airflow means the rate of air movement at a specific fan-speed 
setting expressed in cubic feet per minute (CFM).
    b. Airflow efficiency means the ratio of airflow divided by power at 
a specific ceiling fan-speed setting expressed in CFM per watt (CFM/
watt).
    3. Test Apparatus and General Instructions: The test apparatus and 
instructions for testing ceiling fans shall conform to the requirements 
specified in Chapter 3, ``Air-Delivery Room Construction and 
Preparation,'' Chapter 4, ``Equipment Set-up and Test Procedure,'' and 
Chapter 6, ``Definitions and Acronyms,'' of the EPA's ``ENERGY STAR 
Testing Facility Guidance Manual: Building a Testing Facility and 
Performing the Solid State Test Method for ENERGY STAR Qualified Ceiling 
Fans,'' Version 1.1, December 9, 2002 (Incorporated by reference, see 
Sec. 430.22). Record measurements at the resolution of the test 
instrumentation. Round off calculations to the same number of 
significant digits as the previous step. Round the final energy 
consumption value to the nearest whole number as follows:
    (i) A fractional number at or above the midpoint between the two 
consecutive whole numbers shall be rounded up to the higher of the two 
whole numbers; or
    (ii) A fractional number below the midpoint between the two 
consecutive whole numbers shall be rounded down to the lower of the two 
whole numbers.
    4. Test Measurement: Measure the airflow and airflow efficiency for 
ceiling fans, expressed in cubic feet per minute (CFM) and CFM per watt 
(CFM/watt), in accordance with the test requirements specified in 
Chapter 4, ``Equipment Setup and Test Procedure,'' of the EPA's ``ENERGY 
STAR Testing Facility Guidance Manual: Building a

[[Page 332]]

Testing Facility and Performing the Solid State Test Method for ENERGY 
STAR Qualified Ceiling Fans,'' Version 1.1, December 9, 2002 
(Incorporated by reference, see Sec. 430.22). In performing the airflow 
test, measure ceiling fan power using a RMS sensor capable of measuring 
power with an accuracy of 1 %. Prior to using the 
sensor and sensor software it has selected, the test laboratory shall 
verify performance of the sensor and sensor software. Measure power 
input at a point that includes all power consuming components of the 
ceiling fan (but without any attached light kit energized). Measure 
power at the rated voltage that represents normal operation continuously 
over the time period for which the airflow test is conducted, and report 
the average value of the power measurement in watts (W). Use the average 
value of power input to calculate the airflow efficiency in CFM/W.

[71 FR 71366, Dec. 8, 2006]



   Sec. Appendix V to Subpart B of Part 430--Uniform Test Method for 
       Measuring the Energy Consumption of Ceiling Fan Light Kits

    1. Scope: This appendix covers the test requirements used to measure 
the energy performance of ceiling fan light kits.
    2. Definitions:
    a. Input power means the actual total power used by all lamp(s) and 
ballast(s) of the light kit during operation, expressed in watts (W) and 
measured using the lamp and ballast packaged with the kit.
    b. Lamp ballast platform means a pairing of one ballast with one or 
more lamps that can operate simultaneously on that ballast. A unique 
platform is defined by the manufacturer and model number of the ballast 
and lamp(s) and the quantity of lamps that operate on the ballast.
    c. Lamp lumens means a measurement of luminous flux expressed in 
lumens and measured using the lamp and ballast shipped with the fixture.
    d. System efficacy per lamp ballast platform means the ratio of 
measured lamp lumens expressed in lumens and measured input power 
expressed in watts (W).
    3. Test Apparatus and General Instructions:
    (a) The test apparatus and instruction for testing screw base lamps 
packaged with ceiling fan light kits that have medium screw base sockets 
shall conform to the requirements specified in section 2, 
``Definitions,'' section 3, ``Referenced Standards,'' and section 4, 
``CFL Requirements for Testing'' of DOE's ``ENERGY STAR Program 
Requirements for [Compact Fluorescent Lamps] CFLs,'' Version 3.0, 
(Incorporated by reference, see Sec. 430.22). Record measurements at 
the resolution of the test instrumentation. Round off calculations to 
the same number of significant digits as the previous step. Round off 
the final energy consumption value to a whole number as follows:
    (i) A fractional number at or above the midpoint between the two 
consecutive whole numbers shall be rounded up to the higher of the two 
whole numbers; or
    (ii) A fractional number below the midpoint between the two 
consecutive whole numbers shall be rounded down to the lower of the two 
whole numbers.
    (b) The test apparatus and instruction for testing pin-based 
fluorescent lamps packaged with ceiling fan light kits that have pin-
based sockets shall conform to the requirements specified in section 1, 
``Definitions,'' and section 3, ``Energy Efficiency Specifications for 
Qualifying Products'' of the EPA's ``ENERGY STAR Program Requirements 
for Residential Light Fixtures,'' Version 4.0, (Incorporated by 
reference, see Sec. 430.22). Record measurements at the resolution of 
the test instrumentation. Round off calculations to the same number of 
significant digits as the previous step. The final energy consumption 
value shall be rounded to a whole number as follows:
    (i) A fractional number at or above the midpoint between the two 
consecutive whole numbers shall be rounded up to the higher of the two 
whole numbers; or
    (ii) A fractional number below the midpoint between the two 
consecutive whole numbers shall be rounded down to the lower of the two 
whole numbers.
    4. Test Measurement:
    (a) For screw base compact fluorescent lamps packaged with ceiling 
fan light kits that have medium screw base sockets, measure the 
efficacy, expressed in lumens per watt, in accordance with the test 
requirements specified in section 4, ``CFL Requirements for Testing,'' 
of the ``ENERGY STAR Program Requirements for Compact Fluorescent 
Lamps,'' Version 3.0 (Incorporated by reference, see Sec. 430.22).
    (b) For pin-based compact fluorescent lamps packaged with ceiling 
fan light kits that have pin-based sockets, measure the efficacy, 
expressed in lumens per watt, in accordance with the test requirements 
specified in section 3, ``Energy-Efficiency Specifications for 
Qualifying Products'' and Table 3 in section 4, ``Qualification Process, 
Testing Facilities, Standards, and Documentation,'' of the ``ENERGY STAR 
Program Requirements for Residential Light Fixtures,'' Version 4.0 
(Incorporated by reference, see Sec. 430.22).

[71 FR 71366, Dec. 8, 2006]

[[Page 333]]



   Sec. Appendix W to Subpart B of Part 430--Uniform Test Method for 
  Measuring the Energy Consumption of Medium Base Compact Fluorescent 
                                  Lamps

    1. Scope: This appendix covers the test requirements used to measure 
the initial efficacy, lumen maintenance at 1,000 hours, lumen 
maintenance at 40 percent of rated life, rapid cycle stress, and lamp 
life of medium base compact fluorescent lamps.
    2. Definitions:
    a. Average rated life means the length of time declared by the 
manufacturer at which 50 percent of any large number of units of a lamp 
reaches the end of their individual lives.
    b. Initial performance values means the photometric and electrical 
characteristics of the lamp at the end of 100 hours of operation. Such 
values include the initial efficacy, the rated luminous flux and the 
rated lumen output.
    c. Lumen maintenance means the luminous flux or lumen output at a 
given time in the life of the lamp and expressed as a percentage of the 
rated luminous flux or rated lumen output, respectively.
    d. Rated luminous flux or rated lumen output means the initial lumen 
rating (100 hour) declared by the manufacturer, which consists of the 
lumen rating of a lamp at the end of 100 hours of operation.
    e. Rated supply frequency means the frequency marked on the lamp.
    f. Rated voltage means the voltage marked on the lamp.
    g. Rated wattage means the wattage marked on the lamp.
    h. Self-ballasted compact fluorescent lamp means a compact 
fluorescent lamp unit that incorporates, permanently enclosed, all 
elements that are necessary for the starting and stable operation of the 
lamp, and does not include any replaceable or interchangeable parts.
    3. Test Apparatus and General Instructions: The test apparatus and 
instructions for testing medium base compact fluorescent lamps shall 
conform to the requirements specified in section 2, ``Definitions,'' 
section 3, ``Referenced Standards,'' and section 4, ``CFL Requirements 
for Testing,'' of DOE's ``ENERGY STAR Program Requirements for [Compact 
Fluorescent Lamps] CFLs,'' Version dated August 9, 2001, (commonly 
referred to as Version 2.0), (Incorporated by reference, see Sec. 
430.22). Record measurements at the resolution of the test 
instrumentation. Round off calculations to the same number of 
significant digits as the previous step. Round the final energy 
consumption value, as applicable, to the nearest decimal place or whole 
number as follows:
    (i) A fractional number at or above the midpoint between two 
consecutive decimal places or whole numbers shall be rounded up to the 
higher of the two decimal places or whole numbers; or
    (ii) A fractional number below the midpoint between two consecutive 
decimal places or whole numbers shall be rounded down to the lower of 
the two decimal places or whole numbers. Round the final initial 
efficacy to one decimal place. Round the final lumen maintenance at 
1,000 hours to a whole number. Round the final lumen maintenance at 40 
percent of rated life, the final rapid cycle stress, and the final lamp 
life for medium base compact fluorescent lamps to whole numbers.
    4. Test Measurement: Measure the initial efficacy expressed in 
lumens per watt; lumen maintenance at 1,000 hours expressed in lumens; 
lumen maintenance at 40 percent of rated life expressed in lumens; rapid 
cycle stress expressed in the number of lamps that meet or exceed the 
minimum number of cycles; and lamp life expressed in hours in accordance 
with the test requirements specified in section 4, ``CFL Requirements 
for Testing'' of DOE's ``ENERGY STAR Program Requirements for [Compact 
Fluorescent Lamps] CFLs,'' Version dated August 9, 2001 (Incorporated by 
reference, see Sec. 430.22).

[71 FR 71366, Dec. 8, 2006]



   Sec. Appendix X to Subpart B of Part 430--Uniform Test Method for 
            Measuring the Energy Consumption of Dehumidifiers

    1. Scope: This appendix covers the test requirements used to measure 
the energy performance of dehumidifiers.
    2. Definitions:
    a. Product capacity for dehumidifiers means a measure of the ability 
of a dehumidifier to remove moisture from its surrounding atmosphere, 
measured in pints collected per 24 hours of continuous operation.
    b. Energy factor for dehumidifiers means a measure of energy 
efficiency of a dehumidifier calculated by dividing the water removed 
from the air by the energy consumed, measured in liters per kilowatt 
hour (L/kWh).
    3. Test Apparatus and General Instructions: The test apparatus and 
instructions for testing dehumidifiers shall conform to the requirements 
specified in section 1, ``Definitions,'' section 2, ``Qualifying 
Products,'' and section 4, ``Test Criteria,'' of the EPA's ``ENERGY STAR 
Program Requirements for Dehumidifiers,'' effective January 1, 2001 
(Incorporated by reference, see Sec. 430.22). Record measurements at 
the resolution of the test instrumentation. Round off calculations to 
the same number of significant digits as the

[[Page 334]]

previous step. Round the final minimum energy factor value to two 
decimal places as follows:
    (i) A fractional number at or above the midpoint between two 
consecutive decimal places shall be rounded up to the higher of the two 
decimal places; or
    (ii) A fractional number below the midpoint between two consecutive 
decimal places shall be rounded down to the lower of the two decimal 
places.
    4. Test Measurement: Measure the energy factor for dehumidifiers, 
expressed in liters per kilowatt hour (L/kWh) and product capacity in 
pints per day (pints/day), in accordance with the test requirements 
specified in section 4, ``Test Criteria,'' of EPA's ``ENERGY STAR 
Program Requirements for Dehumidifiers,'' effective January 1, 2001 
(Incorporated by reference, see Sec. 430.22).

[71 FR 71366, Dec. 8, 2006]



   Sec. Appendix Y to Subpart B of Part 430--Uniform Test Method for 
          Measuring the Energy Consumption of Battery Chargers

    1. Scope: This appendix covers the test requirements used to measure 
battery charger energy consumption.
    2. Definitions: The following definitions are for the purposes of 
understanding terminology associated with the test method for measuring 
battery charger energy consumption. \1\
---------------------------------------------------------------------------

    \1\ For clarity on any other terminology used in the test method, 
please refer to IEEE Standard 1515-2000.
---------------------------------------------------------------------------

    a. Accumulated nonactive energy is the sum of the energy, in watt-
hours, consumed by the battery charger in battery-maintenance mode and 
standby mode over time periods defined in the test procedure.
    b. Active mode is the condition in which the battery is receiving 
the main charge, equalizing cells, and performing other one-time or 
limited-time functions necessary for bringing the battery to the fully 
charged state.
    c. Battery or battery pack is an assembly of one or more 
rechargeable cells intended to provide electrical energy to a consumer 
product, and may be in one of the following forms: (a) detachable 
battery: a battery that is contained in a separate enclosure from the 
consumer product and is intended to be removed or disconnected from the 
consumer product for recharging; or (b) integral battery: a battery that 
is contained within the consumer product and is not removed from the 
consumer product for charging purposes.
    d. Battery energy is the energy, in watt-hours, delivered by the 
battery under the specified discharge conditions in the test procedure.
    e. Battery maintenance mode or maintenance mode is the mode of 
operation when the battery charger is connected to the main electricity 
supply and the battery is fully charged, but is still connected to the 
charger.
    f. Cradle is an electrical interface between an integral battery 
product and the rest of the battery charger designed to hold the product 
between uses.
    g. Energy ratio or nonactive energy ratio means the ratio of the 
accumulated nonactive energy divided by the battery energy.
    h. Manual on-off switch is a switch activated by the user to control 
power reaching the device. This term does not apply to any mechanical, 
optical, or electronic switches that automatically disconnect mains 
power from the device when a battery is removed from a cradle or 
charging base or, for products with non-detachable batteries, that 
control power to the product itself.
    i. Multi-port charger means a battery charger that is capable of 
simultaneously charging two or more batteries. These chargers also may 
have multi-voltage capability, allowing two or more batteries of 
different voltages to charge simultaneously.
    j. Multi-voltage a la carte charger means a separate battery charger 
that is individually packaged without batteries, and is able to charge a 
variety of batteries of different nominal voltages.
    k. Off mode is the condition, applicable only to units with manual 
on-off switches, in which the battery charger is (1) connected to the 
main electricity supply; (2) is not connected to the battery; and (3) 
all manual on-off switches are turned off.
    l. Standby mode (also no-battery mode) means the condition in which 
(1) the battery charger is connected to the main electricity supply; (2) 
the battery is not connected to the charger; and (3) for battery 
chargers with manual on-off switches, all such switches are turned on.
    3. Test Apparatus and General Instructions: The test apparatus, 
standard testing conditions, and instructions for testing battery 
chargers shall conform to the requirements specified in section 4, 
``Standard Testing Conditions,'' of the EPA's ``Test Methodology for 
Determining the Energy Performance of Battery Charging Systems,'' 
December 2005 Incorporated by reference, see Sec. 430.22). The test 
voltage specified in section 4.1.1, ``Voltage,'' shall be 115 volts, 60 
Hz. The battery charger should be tested using the full test 
methodology, which has a test duration of 48 hours. In section 4.3.1, 
``Precision Requirements,'' append this sentence to the end: ``The test 
equipment must be capable of accounting for crest factor and frequency 
spectrum in its measurement of the UUT input current.''
    4. Test Measurement:

[[Page 335]]

    (a) Inactive Mode Energy Consumption Measurement. The measurement of 
the battery charger energy ratio shall conform to the requirements 
specified in section 5, ``Determining BCS Energy Ratio,'' of the EPA's 
``Test Methodology for Determining the Energy Performance of Battery 
Charging Systems, December 2005'' (Incorporated by reference, see Sec. 
430.22).
    (b) Active Mode Energy Consumption Measurement. [Reserved]
    (c)(1) Standby Mode Energy Consumption Measurement. Conduct a 
measurement of standby power consumption while the battery charger is 
connected to the power source. Disconnect the battery from the charger 
and record the power (i.e., watts) consumed as the time series integral 
of the power consumed over a 1-hour test period, divided by the period 
of measurement. If the battery charger has manual on-off switches, all 
must be turned on for the duration of the standby mode test.
    (2) Standby mode may also apply to products with integral batteries. 
If the product uses a cradle and/or adapter for power conversion and 
charging, then ``disconnecting the battery from the charger'' will 
require disconnection of the end-use product, which contains the 
batteries. The other enclosures of the battery charging system will 
remain connected to the main electricity supply, and standby mode power 
consumption will equal that of the cradle and/or adapter alone.
    (3) If the product also contains integrated power conversion and 
charging circuitry and is powered through a detachable AC power cord, 
then only the cord will remain connected to mains, and standby mode 
power consumption will equal that of the AC power cord (i.e., zero 
watts).
    (4) Finally, if the product contains integrated power conversion and 
charging circuitry but is powered through a non-detachable AC power cord 
or plug blades, then no part of the system will remain connected to 
mains, and standby mode measurement is not applicable.
    (d)(1) Off Mode Energy Consumption Measurement. If the battery 
charger has manual on-off switches, record a measurement of off mode 
energy consumption while the battery charger is connected to the power 
source. Remove the battery from the charger and record the power (i.e., 
watts) consumed as the time series integral of the power consumed over a 
1-hour test period, divided by the period of measurement, with all 
manual on-off switches turned off. If the battery charger does not have 
manual on-off switches, record that the off mode measurement is not 
applicable to this product.
    (2) Off mode may also apply to products with integral batteries. If 
the product uses a cradle and/or adapter for power conversion and 
charging, then ``disconnecting the battery from the charger'' will 
require disconnection of the end-use product, which contains the 
batteries. The other enclosures of the battery charging system will 
remain connected to the main electricity supply, and off mode power 
consumption will equal that of the cradle and/or adapter alone.
    (3) If the product also contains integrated power conversion and 
charging circuitry and is powered through a detachable AC power cord, 
then only the cord will remain connected to mains, and off mode power 
consumption will equal that of the AC power cord (i.e., zero watts).
    (4) Finally, if the product contains integrated power conversion and 
charging circuitry but is powered through a non-detachable AC power cord 
or plug blades, then no part of the system will remain connected to 
mains, and off mode measurement is not applicable.

[71 FR 71366, Dec. 8, 2006, as amended at 74 FR 13334, Mar. 27, 2009]



   Sec. Appendix Z to Subpart B of Part 430--Uniform Test Method for 
       Measuring the Energy Consumption of External Power Supplies

    1. Scope: This appendix covers the test requirements used to measure 
energy consumption of external power supplies.
    2. Definitions: The following definitions are for the purposes of 
understanding terminology associated with the test method for measuring 
external power supply energy consumption. For clarity on any other 
terminology used in the test method, please refer to IEC Standard 60050 
or IEEE Standard 100. (Reference for guidance only, see Sec. 430.4.)
    a. Active mode means the mode of operation when the external power 
supply is connected to the main electricity supply and the output is (or 
``all outputs are'' for a multiple-voltage external power supply) 
connected to a load (or ``loads'' for a multiple-voltage external power 
supply).
    b. Active mode efficiency is the ratio, expressed as a percentage, 
of the total real output power produced by a power supply to the real 
input power required to produce it. (Reference for guidance only, see 
IEEE Standard 1515-2000, 4.3.1.1, Sec. 430.4.)
    c. Active power (also real power) (P) means the root-mean-square 
(RMS) value of the instantaneous power taken over one period. (Reference 
for guidance only, see IEEE Standard 1515-2000, Sec. 430.4.)
    d. Ambient temperature means the temperature of the ambient air 
immediately surrounding the unit under test.
    e. Apparent power (S) is the product of RMS voltage and RMS current 
(VA).
    f. Instantaneous power means the product of the instantaneous 
voltage and instantaneous

[[Page 336]]

current at a port (the terminal pair of a load).
    g. Manual on-off switch is a switch activated by the user to control 
power reaching the device. This term does not apply to any mechanical, 
optical, or electronic switches that automatically disconnect mains 
power from the device when a load is disconnected from the device, or 
that control power to the load itself.
    h. Minimum output current means the minimum current that must be 
drawn from an output bus for an external power supply to operate within 
its specifications.
    i. Multiple-voltage external power supply means an external power 
supply that is designed to convert line voltage AC input into more than 
one simultaneous lower-voltage output.
    j. Nameplate input frequency means the AC input frequency of the 
power supply as specified on the manufacturer's label on the power 
supply housing.
    k. Nameplate input voltage means the AC input voltage of the power 
supply as specified on the manufacturer's label on the power supply 
housing.
    l. Nameplate output current means the current output of the power 
supply as specified on the manufacturer's label on the power supply 
housing (either DC or AC) or, if absent from the housing, as provided by 
the manufacturer.
    m. Nameplate output power means the power output of the power supply 
as specified on the manufacturer's label on the power supply housing or, 
if absent from the housing, as specified in documentation provided by 
the manufacturer.
    n. Nameplate output voltage means the voltage output of the power 
supply as specified on the manufacturer's label on the power supply 
housing (either DC or AC).
    o. No-load mode means the mode of operation when an external power 
supply is connected to the main electricity supply and the output is (or 
``all outputs are'' for a multiple-voltage external power supply) not 
connected to a load (or ``loads'' for a multiple-voltage external power 
supply).
    p. Off mode is the condition, applicable only to units with manual 
on-off switches, in which the external power supply is (1) connected to 
the main electricity supply; (2) the output is not connected to any 
load; and (3) all manual on-off switches are turned off.
    q. Output bus means any of the outputs of the power supply to which 
loads can be connected and from which power can be drawn, as opposed to 
signal connections used for communication.
    r. Single-voltage external AC-AC power supply means an external 
power supply that is designed to convert line voltage AC input into 
lower voltage AC output and is able to convert to only one AC output 
voltage at a time.
    s. Single-voltage external AC-DC power supply means an external 
power supply that is designed to convert line voltage AC input into 
lower-voltage DC output and is able to convert to only one DC output 
voltage at a time.
    t. Standby mode means the condition in which the external power 
supply is in no-load mode and, for external power supplies with manual 
on-off switches, all such switches are turned on.
    u. Switch-selectable single voltage external power supply means a 
single-voltage AC-AC or AC-DC power supply that allows users to choose 
from more than one output voltage.
    v. Total harmonic distortion, expressed as a percentage, is the RMS 
value of an AC signal after the fundamental component is removed and 
interharmonic components are ignored, divided by the RMS value of the 
fundamental component. THD of current is defined as:
[GRAPHIC] [TIFF OMITTED] TR27MR09.409

where In is the RMS value of the nth harmonic of the current signal.

    w. True power factor (PF) is the ratio of the active power (P) 
consumed in watts to the apparent power (S), drawn in volt-amperes.
[GRAPHIC] [TIFF OMITTED] TR27MR09.410

This definition of power factor includes the effect of both distortion 
and displacement.

    x. Unit under test is the external power supply being tested.
    3. Test Apparatus and General Instructions:
    (a) Single-Voltage External Power Supply. The test apparatus, 
standard testing conditions, and instructions for testing external power 
supplies shall conform to the requirements specified in section 4, 
``General Conditions for Measurement,'' of the CEC's ``Test Method for 
Calculating the Energy Efficiency of Single-Voltage External AC-DC and 
AC-AC Power Supplies,'' August 11, 2004. The test voltage specified in 
section 4.d, ``Test Voltage,'' shall only be 115 volts, 60 Hz.
    (b) Multiple-Voltage External Power Supply. [Reserved]
    4. Test Measurement:
    (a) Single-Voltage External Power Supply
    (i) Standby Mode and Active Mode Measurement--The measurement of 
standby mode (also no-load mode) energy consumption and active mode 
efficiency shall conform to the requirements specified in section 5, 
``Measurement Approach'' of the CEC's ``Test Method for Calculating the 
Energy Efficiency of Single-Voltage External Ac-Dc and Ac-Ac Power 
Supplies,'' August 11, 2004, (incorporated by reference, see Sec. 
430.3). Switch-

[[Page 337]]

selectable single-voltage external power supplies shall be tested 
twice--once at the highest nameplate output voltage and once at the 
lowest.
    (ii) Off-Mode Measurement--If the external power supply unit under 
test incorporates manual on-off switches, the unit under test shall be 
placed in off mode, and its power consumption in off mode measured and 
recorded. The measurement of the off mode energy consumption shall 
conform to the requirements specified in section 5, ``Measurement 
Approach,'' of the CEC's ``Test Method for Calculating the Energy 
Efficiency of Single-Voltage External Ac-Dc and Ac-Ac Power Supplies,'' 
August 11, 2004 (incorporated by reference, see Sec. 430.3), with two 
exceptions. In section 5.a, ``Preparing UUT [Unit Under Test] for 
Test,'' all manual on-off switches shall be placed in the ``off'' 
position for the measurement. In section 5.d, ``Testing Sequence,'' the 
technician shall consider the UUT stable if, over 5 minutes with samples 
taken at least once every second, the AC input power does not drift from 
the maximum value observed by more than 1 percent or 50 milliwatts, 
whichever is greater. The only loading condition that will be measured 
for off mode is ``Load Condition 5'' in Table 1 of the CEC's test 
procedure. Switch-selectable single-voltage external power supplies 
shall have their off mode power consumption measured twice-- once at the 
highest nameplate output voltage and once at the lowest.
    (b) Multiple-Voltage External Power Supply. [Reserved]

[71 FR 71366, Dec. 8, 2006, as amended at 74 FR 12066, Mar. 23, 2009; 74 
FR 13334, Mar. 27, 2009]



            Subpart C_Energy and Water Conservation Standards



Sec. 430.31  Purpose and scope.

    This subpart contains energy conservation standards and water 
conservation standards (in the case of faucets, showerheads, water 
closets, and urinals) 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 or water conservation 
standard (in the case of faucets, showerheads, water closets, and 
urinals) becomes effective (or revisions of such models that are 
manufactured after such date and have the same energy efficiency, energy 
use characteristics, or water use characteristics (in the case of 
faucets, showerheads, water closets, and urinals), that comply with the 
energy conservation standard or water conservation standard (in the case 
of faucets, showerheads, water closets, and urinals) applicable to such 
covered products on the day before such date shall be deemed to comply 
with the amended energy conservation standard or water conservation 
standard (in the case of faucets, showerheads, water closets, and 
urinals).

[63 FR 13317, Mar. 18, 1998]



Sec. 430.32  Energy and water conservation standards and their effective
dates.

    The energy and water (in the case of faucets, showerheads, water 
closets, and urinals) 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 (1104 liters) or freezers 
with total refrigerated volume exceeding 30 cubic feet (850 liters).

------------------------------------------------------------------------
                                       Energy standards equations for
                                        maximum energy use  (kWh/yr)
           Product class           -------------------------------------
                                        Effective       Effective  July
                                     January 1, 1993        1, 2001
------------------------------------------------------------------------
1. Refrigerators and Refrigerator-         13.5AV+299       8.82AV+248.4
 freezers with manual defrost.....         0.48av+299       0.31av+248.4
2. Refrigerator-Freezer--partial           10.4AV+398       8.82AV+248.4
 automatic defrost................         0.37av+398       0.31av+248.4
3. Refrigerator-Freezers--                 16.0AV+355       9.80AV+276.0
 automatic defrost with top-               0.57av+355       0.35av+276.0
 mounted freezer without through-
 the-door ice service and all-
 refrigerators--automatic defrost.

[[Page 338]]

 
4. Refrigerator-Freezers--                 11.8AV+501       4.91AV+507.5
 automatic defrost with side-              0.42AV+501       0.17av+507.5
 mounted freezer without through-
 the-door ice service.............
5. Refrigerator-Freezers--                 16.5AV+367       4.60AV+459.0
 automatic defrost with bottom-            0.58av+367       0.16av+459.0
 mounted freezer without through-
 the-door ice service.............
6. Refrigerator-Freezers--                 17.6AV+391      10.20AV+356.0
 automatic defrost with top-               0.62av+391       0.36av+356.0
 mounted freezer with through-the-
 door ice service.................
7. Refrigerator-Freezers--                 16.3AV+527      10.10AV+406.0
 automatic defrost with side-              0.58av+527       0.36av+406.0
 mounted freezer with through-the-
 door ice service.................
8. Upright Freezers with Manual            10.3AV+264       7.55AV+258.3
 Defrost..........................         0.36av+264       0.27av+258.3
9. Upright Freezers with Automatic         14.9AV+391      12.43AV+326.1
 Defrost..........................         0.53av+391       0.44av+326.1
10. Chest Freezers and all other           11.0AV+160       9.88AV+143.7
 Freezers except Compact Freezers.         0.39av+160       0.35av+143.7
11. Compact Refrigerators and             13.5AV+299a      10.70AV+299.0
 Refrigerator-Freezers with Manual        0.48av+299a       0.38av+299.0
 Defrost..........................
12. Compact Refrigerator-Freezer--        10.4AV+398a       7.00AV+398.0
 partial automatic defrost........        0.37av+398a       0.25av+398.0
13. Compact Refrigerator-Freezers--       16.0AV+355a      12.70AV+355.0
 automatic defrost with top-              0.57av+355a       0.45av+355.0
 mounted freezer and compact all-
 refrigerators--automatic defrost.
14. Compact Refrigerator-Freezers--       11.8AV+501a       7.60AV+501.0
 automatic defrost with side-             0.42av+501a       0.27av+501.0
 mounted freezer..................
15. Compact Refrigerator-Freezers--       16.5AV+367a      13.10AV+367.0
 automatic defrost with bottom-           0.58av+367a       0.46av+367.0
 mounted freezer..................
16. Compact Upright Freezers with         10.3AV+264a       9.78AV+250.8
 Manual Defrost...................        0.36av+264a       0.35av+250.8
17. Compact Upright Freezers with         14.9AV+391a      11.40AV+391.0
 Automatic Defrost................        0.53av+391a       0.40av+391.0
18. Compact Chest Freezers........        11.0AV+160a      10.45AV+152.0
                                          0.39av+160a       0.37av+152.0
------------------------------------------------------------------------
AV=Total adjusted volume, expressed in ft.\3\, as determined in
  Appendices A1 and B1 of subpart B of this part.
av=Total adjusted volume, expressed in Liters.
a Applicable standards for compact refrigerator products manufactured
  before July 1, 2001. Compact refrigerator products are not separate
  product categories under the standards effective January 1, 1993.

    (b) Room air conditioners.

------------------------------------------------------------------------
                                             Energy efficiency ratio,
                                                  effective as of
              Product class              -------------------------------
                                           Jan. 1, 1990    Oct. 1, 2000
------------------------------------------------------------------------
1. Without reverse cycle, with louvered              8.0             9.7
 sides, and less than 6,000 Btu/h.......
2. Without reverse cycle, with louvered              8.5             9.7
 sides, and 6,000 to 7,999 Btu/h........
3. Without reverse cycle, with louvered              9.0             9.8
 sides, and 8,000 to 13,999 Btu/h.......
4. Without reverse cycle, with louvered              8.8             9.7
 sides, and 14,000 to 19,999 Btu/h......
5. Without reverse cycle, with louvered              8.2             8.5
 sides, and 20,000 Btu/h or more........
6. Without reverse cycle, without                    8.0             9.0
 louvered sides, and less than 6,000 Btu/
 h......................................
7. Without reverse cycle, without                    8.5             9.0
 louvered sides, and 6,000 to 7,999 Btu/
 h......................................
8. Without reverse cycle, without                    8.5             8.5
 louvered sides, and 8,000 to 13,999 Btu/
 h......................................
9. Without reverse cycle, without                    8.5             8.5
 louvered sides, and 14,000 to 19,999
 Btu/h..................................
10. Without reverse cycle, without                   8.2             8.5
 louvered sides, and 20,000 Btu/h or
 more...................................
11. With reverse cycle, with louvered                8.5             9.0
 sides, and less than 20,000 Btu/h......
12. With reverse cycle, without louvered             8.0             8.5
 sides, and less than 14,000 Btu/h......
13. With reverse cycle, with louvered                8.5             8.5
 sides, and 20,000 Btu/h or more........
14. With reverse cycle, without louvered             8.0             8.0
 sides, and 14,000 Btu/h or more........
15. Casement-Only.......................               *             8.7
16. Casement-Slider.....................               *             9.5
------------------------------------------------------------------------
* Casement-only and casement-slider room air conditioners are not
  separate product classes under standards effective January 1, 1990.
  These units are subject to the applicable standards in classes 1
  through 14 based on unit capacity and the presence or absence of
  louvered sides and a reverse cycle.


[[Page 339]]

    (c) Central air conditioners and heat pumps. The energy conservation 
standards defined in terms of the heating seasonal performance factor 
are based on Region IV, the minimum standardized design heating 
requirement, and the sampling plan stated in Sec. 430.24(m).
    (1) Split system central air conditioners and central air 
conditioning heat pumps manufactured after January 1, 1992, and before 
January 23, 2006, and single package central air conditioners and 
central air conditioning heat pumps manufactured after January 1, 1993, 
and before January 23, 2006, shall have Seasonal Energy Efficiency Ratio 
and Heating Seasonal Performance Factor no less than:

------------------------------------------------------------------------
                                                  Seasonal     Heating
                                                   energy      seasonal
                 Product class                   efficiency  performance
                                                    ratio       factor
------------------------------------------------------------------------
(i) Split systems..............................        10.0          6.8
(ii) Single package systems....................         9.7          6.6
------------------------------------------------------------------------

    (2) Central air conditioners and central air conditioning heat pumps 
manufactured on or after January 23, 2006, shall have Seasonal Energy 
Efficiency Ratio and Heating Seasonal Performance Factor no less than:

------------------------------------------------------------------------
                                                  Seasonal     Heating
                                                   energy      seasonal
                 Product class                   efficiency  performance
                                                   ratio        factor
                                                   (SEER)       (HSPF)
------------------------------------------------------------------------
(i) Split system air conditioners.............           13
(ii) Split system heat pumps..................           13          7.7
(iii) Single package air conditioners.........           13
(iv) Single package heat pumps................           13          7.7
(v)(A) Through-the-wall air conditioners and           10.9          7.1
 heat pumps-split system \1\..................
(v)(B) Through-the-wall air conditioners and           10.6          7.0
 heat pumps-single package \1\................
(vi) Small duct, high velocity systems........           13          7.7
(vii)(A) Space constrained products-air                  12
 conditioners.................................
(vii)(B) Space constrained products-heat pumps           12          7.4
------------------------------------------------------------------------
\1\ As defined in Sec. 430.2, this product class applies to products
  manufactured prior to January 23, 2010.

    (d) Water heaters. The energy factor of water heaters shall not be 
less than the following for products manufactured on or after the 
indicated dates.

----------------------------------------------------------------------------------------------------------------
                                         Energy factor as of     Energy factor as of of    Energy factor as of
            Product class                  January 1, 1990           April 15, 1991          January 20, 2004
----------------------------------------------------------------------------------------------------------------
1. Gas-fired Water Heater............  0.62 - (.0019 x Rated    0.62 - (.0019 x Rated    0.67 - (0.0019 x Rated
                                        Storage Volume in        Storage Volume in        Storage Volume in
                                        gallons).                gallons).                gallons).
2. Oil-fired Water Heater............  0.59 - (.0019 x Rated    0.59 - (.0019 x rated    0.59-(0.0019 x Rated
                                        Storage Volume in        Storage Volume in        Storage Volume in
                                        gallons).                gallons).                gallons).
3. Electric Water Heater.............  0.95 - (0.00132 x Rated  0.93 - (0.00132 x Rated  0.97-(0.00132 x Rated
                                        Storage Volume in        Storage Volume in        Storage Volume in
                                        gallons).                gallons.                 gallons).
4. Tabletop Water Heater.............  0.95 - (0.00132 x Rated  0.93 - (0.00132 x Rated  0.93 - (0.00132 x Rated
                                        Storage Volume in        Storage Volume in        Storage Volume in
                                        gallons).                gallons).                gallons).
5. Instantaneous Gas-fire Water        0.62 - (0.0019 x Rated   0.62 - (0.0019 x Rated   0.62 - (0.0019 x Rated
 Heater.                                Storage Volume in        Storage Volume in        Storage Volume in
                                        gallons).                gallons).                gallons).
6. Instantaneous Electric Water        0.95 - (0.00132 x Rated  0.93 - (0.00132 x Rated  0.93 - (0.00132 x Rated
 Heater.                                Storage Volume in        Storage Volume in        Storage Volume in
                                        gallons).                gallons).                gallons).
----------------------------------------------------------------------------------------------------------------
Note: The Rated Storage Volume equals the water storage capacity of a water heater, in gallons, as specified by
  the manufacturer.

    (e) Furnaces and boilers. (1) Furnaces. (i) The Annual Fuel 
Utilization Efficiency (AFUE) of residential furnaces manufactured 
before November 19, 2015, shall not be less than the following:

------------------------------------------------------------------------
                                                               AFUE \1\
                        Product class                          (percent)
------------------------------------------------------------------------
(A) Furnaces (excluding classes noted below)................          78
(B) Mobile Home furnaces....................................          75
(C) Small furnaces (other than those designed solely for
 installation in mobile homes) having an input rate of less
 than 45,000 Btu/hr
  (1) Weatherized (outdoor).................................          78
  (2) Non-weatherized (indoor)..............................          78
------------------------------------------------------------------------
\1\ Annual Fuel Utilization Efficiency, as determined in Sec.
  430.23(n)(2) of this part.

    (ii) The AFUE of residential furnaces manufactured on or after 
November 19, 2015, shall not be less than the following:

------------------------------------------------------------------------
                                                               AFUE \1\
                        Product class                          (percent)
------------------------------------------------------------------------
(A) Non-weatherized gas furnaces............................          80
(B) Weatherized gas furnaces................................          81
(C) Mobile home oil-fired furnaces..........................          75
(D) Mobile home gas furnaces................................          80
(E) Non-weatherized oil-fired furnaces......................          82
(F) Weatherized oil-fired furnaces..........................          78
------------------------------------------------------------------------
\1\ Annual Fuel Utilization Efficiency, as determined in Sec.
  430.23(n)(2) of this part.


[[Page 340]]

    (2) Boilers. (i) The AFUE of residential boilers manufactured before 
September 1, 2012, shall not be less than the following:

------------------------------------------------------------------------
                                                               AFUE \1\
                        Product class                          (percent)
------------------------------------------------------------------------
(A) Boilers (excluding gas steam)...........................          80
(B) Gas steam boilers.......................................          75
------------------------------------------------------------------------
\1\ Annual Fuel Utilization Efficiency, as determined in Sec.
  430.22(n)(2) of this part.

    (ii) Except as provided in paragraph (e)(2)(iv) of this section, the 
AFUE of residential boilers, manufactured on or after September 1, 2012, 
shall not be less than the following and must comply with the design 
requirements as follows:

------------------------------------------------------------------------
                                       AFUE \1\
            Product class             (percent)    Design requirements
------------------------------------------------------------------------
(A) Gas-fired hot water boiler......         82  Constant burning pilot
                                                  not permitted.
                                                 Automatic means for
                                                  adjusting water
                                                  temperature required
                                                  (except for boilers
                                                  equipped with tankless
                                                  domestic water heating
                                                  coils).
(B) Gas-fired steam boiler..........         80  Constant burning pilot
                                                  not permitted.
(C) Oil-fired hot water boiler......         84  Automatic means for
                                                  adjusting temperature
                                                  required (except for
                                                  boilers equipped with
                                                  tankless domestic
                                                  water heating coils).
(D) Oil-fired steam boiler..........         82  None.
(E) Electric hot water boiler.......       None  Automatic means for
                                                  adjusting temperature
                                                  required (except for
                                                  boilers equipped with
                                                  tankless domestic
                                                  water heating coils).
------------------------------------------------------------------------
\1\ Annual Fuel Utilization Efficiency, as determined in Sec.
  430.22(n)(2) of this part.

    (iii) Automatic means for adjusting water temperature. (A) The 
automatic means for adjusting water temperature as required under 
paragraph (e)(2)(ii) of this section must automatically adjust the 
temperature of the water supplied by the boiler to ensure that an 
incremental change in inferred heat load produces a corresponding 
incremental change in the temperature of water supplied.
    (B) For boilers that fire at a single input rate, the automatic 
means for adjusting water temperature requirement may be satisfied by 
providing an automatic means that allows the burner or heating element 
to fire only when the means has determined that the inferred heat load 
cannot be met by the residual heat of the water in the system.
    (C) When there is no inferred heat load with respect to a hot water 
boiler, the automatic means described in this paragraph shall limit the 
temperature of the water in the boiler to not more than 140 degrees 
Fahrenheit.
    (D) A boiler for which an automatic means for adjusting water 
temperature is required shall be operable only when the automatic means 
is installed.
    (iv) A boiler that is manufactured to operate without any need for 
electricity or any electric connection, electric gauges, electric pumps, 
electric wires, or electric devices is not required to meet the AFUE or 
design requirements applicable to the boiler requirements of paragraph 
(e)(2)(ii) of this section, but must meet the requirements of paragraph 
(e)(2)(i) of this section, as applicable.
    (f) Dishwashers. (1) The energy factor of dishwashers manufactured 
on or after May 14, 1994, must not be less than:

------------------------------------------------------------------------
                                                                Energy
                                                                factor
                       Product class                           (cycles/
                                                                 kWh)
------------------------------------------------------------------------
(i) Compact Dishwasher (capacity less than eight place              0.62
 settings plus six serving pieces as specified in ANSI/AHAM
 DW-1 [Incorporated by reference, see Sec. 430.22] using
 the test load specified in section 2.7 of Appendix C in
 subpart B)................................................
(ii) Standard Dishwasher (capacity equal to or greater than         0.46
 eight place settings plus six serving pieces as specified
 in ANSI/AHAM DW-1 [Incorporated by Reference, see Sec.
 430.22] using the test load specified in section 2.7 of
 Appendix C in subpart B)..................................
------------------------------------------------------------------------

    (2) All dishwashers manufactured on or after January 1, 2010, shall 
meet the following standard--
    (i) Standard size dishwashers shall not exceed 355 kwh/year and 6.5 
gallons per cycle.
    (ii) Compact size dishwashers shall not exceed 260 kwh/year and 4.5 
gallons per cycle.
    (g) Clothes washers. (1) Clothes washers manufactured before January 
1, 2004, shall have an energy factor no less than:

------------------------------------------------------------------------
                                             Energy factor  (cu.ft./kWh/
               Product Class                           cycle)
------------------------------------------------------------------------
i. Top-Loading, Compact (less than 1.6      0.9.
 ft.\3\ capacity).

[[Page 341]]

 
ii. Top-Loading, Standard (1.6 ft.\3\ or    1.18.
 greater capacity).
iii. Top-Loading, Semi-Automatic..........  \1\ Not Applicable.
iv. Front-Loading.........................  \1\ Not Applicable.
v. Suds-saving............................  \1\ Not Applicable.
------------------------------------------------------------------------
\1\ Must have an unheated rinse water option.

    (2) Clothes washers manufactured on or after January 1, 2004, and 
before January 1, 2007, shall have a modified energy factor no less 
than:

------------------------------------------------------------------------
                                               Modified energy  factor
               Product Class                     (cu.ft./kWh/cycle)
------------------------------------------------------------------------
i. Top-Loading, Compact (less than 1.6      0.65.
 ft.\3\ capacity).
ii. Top-Loading, Standard (1.6 ft.\3\ or    1.04.
 greater capacity).
iii. Top-Loading, Semi-Automatic..........  \1\ Not Applicable.
iv. Front-Loading.........................  1.04.
v. Suds-saving............................  \1\ Not Applicable.
------------------------------------------------------------------------
\1\ Must have an unheated rinse water option.

    (3) Clothes washers manufactured on or after January 1, 2007, shall 
have a modified energy factor no less than:

------------------------------------------------------------------------
                                               Modified energy  factor
               Product Class                     (cu.ft./kWh/cycle)
------------------------------------------------------------------------
i. Top-Loading, Compact (less than 1.6      0.65.
 ft.\3\ capacity).
ii. Top-Loading, Standard (1.6 ft.\3\ or    1.26.
 greater capacity).
iii. Top-Loading, Semi-Automatic..........  \1\ Not Applicable.
iv. Front-Loading.........................  1.26.
v. Suds-saving............................  \1\ Not Applicable.
------------------------------------------------------------------------
\1\ Must have an unheated rinse water option.

    (4) All top-loading or front-loading standard-size residential 
clothes washers manufactured on or after January 1, 2011, shall meet the 
following standard--
    (i) A Modified Energy Factor of at least 1.26; and
    (ii) A water factor of not more than 9.5.
    (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\                 2.90
 capacity)..................................................
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            60
 Btu/hour..................................................
5. Gas wall gravity type over 12,000 Btu/hour up to 15,000            61
 Btu/hour..................................................
6. Gas wall gravity type over 15,000 Btu/hour up to 19,000            62
 Btu/hour..................................................
7. Gas wall gravity type over 19,000 Btu/hour up to 27,000            63
 Btu/hour..................................................
8. Gas wall gravity type over 27,000 Btu/hour up to 46,000            64
 Btu/hour..................................................
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) Cooking Products. (1) Gas cooking products with an electrical 
supply cord shall not be equipped with a constant burning pilot light. 
This standard is effective on January 1, 1990.
    (2) Gas cooking products without an electrical supply cord shall not 
be equipped with a constant burning pilot light. This standard is 
effective on April 9, 2012.
    (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)(1) Fluorescent lamp ballasts (other than specialty application 
mercury vapor lamp ballasts). Except as provided in paragraphs (m)(2), 
(m)(3), (m)(4), (m)(5), (m)(6) and (m)(7) 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

[[Page 342]]

    (C) Incorporated into a luminaire by a luminaire 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 an F40T12, F96T12, or F96T12HO lamps 
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 F40 T12 lamp.......................        120         40      1.805
                                               277         40      1.805
Two F40 T12 lamps......................        120         80      1.060
                                               277         80      1.050
Two F96T12 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 that is designed for dimming or for use in ambient 
temperatures of 0 [deg]F or less, or
    (ii) A ballast that has a power factor of less than 0.90 and is 
designed for use only in residential building applications.
    (3) Except as provided in paragraph (m)(4) of this section, each 
fluorescent lamp ballast--
    (i) (A) Manufactured on or after April 1, 2005;
    (B) Sold by the manufacturer on or after July 1, 2005; or
    (C) Incorporated into a luminaire by a luminaire manufacturer on or 
after April 1, 2006; 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 an F40T12, F96T12, or F96T12HO lamps; 
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 of operation of          input       lamp     efficacy
                                          voltage     watts      factor
------------------------------------------------------------------------
One F40 T12 lamp.......................        120         40       2.29
                                               277         40       2.29
Two F40 T12 lamps......................        120         80       1.17
                                               277         80       1.17
Two F96T12 lamps.......................        120        150       0.63
                                               277        150       0.63
Two F96T12HO lamps.....................        120        220       0.39
                                               277        220       0.39
------------------------------------------------------------------------

    (4) (i) The standards described in paragraph (m)(3) do not apply to:
    (A) A ballast that is designed for dimming to 50 percent or less of 
its maximum output;
    (B) A ballast that is designed for use with two F96T12HO lamps at 
ambient temperatures of -20 [deg]F or less and for use in an outdoor 
sign;
    (C) A ballast that has a power factor of less than 0.90 and is 
designed and labeled for use only in residential building applications; 
or
    (D) A replacement ballast as defined in paragraph (m)(4)(ii) of this 
section.
    (ii) For purposes of this paragraph (m), a replacement ballast is 
defined as a ballast that:
    (A) Is manufactured on or before June 30, 2010;
    (B) Is designed for use to replace an existing ballast in a 
previously installed luminaire;
    (C) Is marked ``FOR REPLACEMENT USE ONLY'';
    (D) Is shipped by the manufacturer in packages containing not more 
than 10 ballasts;
    (E) Has output leads that when fully extended are a total length 
that is less than the length of the lamp with which it is intended to be 
operated; and
    (F) Meets or exceeds the ballast efficacy factor in the following 
table:

------------------------------------------------------------------------
                                                      Total
                                          Ballast    nominal    Ballast
      Application for operation of         input       lamp     efficacy
                                          voltage     watts      factor
------------------------------------------------------------------------
One F40 T12 lamp.......................        120         40      1.805
                                               277         40      1.805
Two F40 T12 lamps......................        120         80      1.060
                                               277         80      1.050
Two F96T12 lamps.......................        120        150      0.570
                                               277        150      0.570
Two F96T12HO lamps.....................        120        220      0.390
                                               277        220      0.390
------------------------------------------------------------------------

    (5) Except as provided in paragraph (m)(7) of this section, each 
fluorescent

[[Page 343]]

lamp ballast (other than replacement ballasts defined in Sec. 430.2)--
    (i)(A) Manufactured on or after July 1, 2009;
    (B) Sold by the manufacturer on or after October 1, 2009; or
    (C) Incorporated into a luminaire by a luminaire manufacturer on or 
after July 1, 2010; 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 F34T12 lamps, F96T12/ES lamps, or 
F96T12HO/ES lamps; shall have a power factor of 0.90 or greater and 
shall have a ballast efficacy factor of not less than the following:

----------------------------------------------------------------------------------------------------------------
                                                                                                      Ballast
                  Application for operation of                     Ballast input   Total nominal     efficacy
                                                                      voltage       lamp watts        factor
----------------------------------------------------------------------------------------------------------------
One F34T12 lamp.................................................         120/277              34            2.61
Two F34T12 lamps................................................         120/277              68            1.35
Two F96T12/ES lamps.............................................         120/277             120            0.77
Two F96T12HO/ES lamps...........................................         120/277             190            0.42
----------------------------------------------------------------------------------------------------------------

    (6) The standards in paragraph (m)(5) shall apply to all ballasts 
covered by paragraph (m)(5)(ii), including replacement ballasts and 
ballasts described in paragraph (m)(7) of this section, that are 
manufactured on or after July 1, 2010, or sold by the manufacturer on or 
after October 1, 2010.
    (7) The standards in paragraph (m)(5) do not apply to--
    (i) A ballast that is designed for dimming to 50 percent or less of 
the maximum output of the ballast;
    (ii) A ballast that is designed for use with 2 F96T12HO lamps at 
ambient temperatures of 20 degrees F or less and for use in an outdoor 
sign; or
    (iii) A ballast that has a power factor of less than 0.90 and is 
designed and labeled for use only in residential applications.
    (n) General service fluorescent lamps and incandescent reflector 
lamps. (1) Except as provided in paragraphs (n)(2) and (n)(3) of this 
section, each of the following general service fluorescent lamps 
manufactured after the effective dates specified in the table shall meet 
or exceed the following lamp efficacy and CRI standards:

----------------------------------------------------------------------------------------------------------------
                                                                     Minimum
                                  Nominal lamp                    average lamp
           Lamp type                 wattage       Minimum CRI   efficacy  (lm/           Effective date
                                                                       W)
----------------------------------------------------------------------------------------------------------------
4-foot medium bipin............  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.
8-foot slimline................           <=35W              45            64.0  Nov. 1, 1995.
                                 65W              69            80.0  May 1, 1994.
                                 65W              45            80.0  May 1, 1994.
8-foot high output.............  100              69            80.0  May 1, 1994.
                                              W
                                         <=100W              45            80.0  May 1, 1994.
----------------------------------------------------------------------------------------------------------------

    (2) The standards described in paragraph (n)(1) of this section do 
not apply to:
    (i) Any 4-foot medium bipin lamp or 2-foot U-shaped lamp with a 
rated wattage less than 28 watts;
    (ii) Any 8-foot high output lamp not defined in ANSI C78.81 
(incorporated by reference; see Sec. 430.3) or related supplements, or 
not 0.800 nominal amperes; or
    (iii) Any 8-foot slimline lamp not defined in ANSI C78.3 
(incorporated by reference; see Sec. 430.3).
    (3) Each of the following general service fluorescent lamps 
manufactured after July 14, 2012, shall meet or exceed the following 
lamp efficacy standards shown in the table:

[[Page 344]]



------------------------------------------------------------------------
                                                               Minimum
                                                               average
             Lamp type                  Correlated color         lamp
                                           temperature         efficacy
                                                                (lm/W)
------------------------------------------------------------------------
4-foot medium bipin................  <=4,500K..............           89
                                     4,500K and            88
                                      <=7,000K.
2-foot U-shaped....................  <=4,500K..............           84
                                     4,500K and            81
                                      <=7,000K.
8-foot slimline....................  <=4,500K..............           97
                                     4,500K and            93
                                      <=7,000K.
8-foot high output.................  <=4,500K..............           92
                                     4,500K and            88
                                      <=7,000K.
4-foot miniature bipin standard      <=4,500K..............           86
 output.
                                     4,500K and            81
                                      <=7,000K.
4-foot miniature bipin high output.  <=4,500K..............           76
                                     4,500K and            72
                                      <=7,000K.
------------------------------------------------------------------------

    (4) Except as provided in paragraph (n)(5) of this section, each of 
the following incandescent reflector lamps manufactured after November 
1, 1995, shall meet or exceed the lamp efficacy standards shown in the 
table:

------------------------------------------------------------------------
                                                        Minimum  average
                 Nominal lamp wattage                    lamp  efficacy
                                                             (lm/W)
------------------------------------------------------------------------
40-50................................................               10.5
51-66................................................               11.0
67-85................................................               12.5
86-115...............................................               14.0
116-155..............................................               14.5
156-205..............................................               15.0
------------------------------------------------------------------------

    (5) Each of the following incandescent reflector lamps manufactured 
after July 14, 2012, shall meet or exceed the lamp efficacy standards 
shown in the table:

----------------------------------------------------------------------------------------------------------------
                                                                                                     Minimum
                                                                Lamp diameter                      average lamp
         Rated lamp wattage                Lamp spectrum           (inches)      Rated voltage    efficacy  (lm/
                                                                                                        W)
----------------------------------------------------------------------------------------------------------------
40-205.............................  Standard Spectrum.......   2.5  =125      6.8*P\0.27\
                                                                                              V
                                                                                          <125V      5.9*P\0.27\
                                                                         <=2.5  =125      5.7*P\0.27\
                                                                                              V
                                                                                          <125V      5.0*P\0.27\
40-205.............................  Modified Spectrum.......   2.5           <=125V      5.8*P\0.27\
                                                                                          <125V      5.0*P\0.27\
                                                                         <=2.5  =125      4.9*P\0.27\
                                                                                              V
                                                                                          <125V      4.2*P\0.27\
----------------------------------------------------------------------------------------------------------------
Note 1: P is equal to the rated lamp wattage, in watts.
Note 2: Standard Spectrum means any incandescent reflector lamp that does not meet the definition of modified
  spectrum in 430.2.

    (6) (i)(A) Subject to the exclusions in paragraph (n)(6)(ii) of this 
section, the standards specified in this section shall apply to ER 
incandescent reflector lamps, BR incandescent reflector lamps, BPAR 
incandescent reflector lamps, and similar bulb shapes on and after 
January 1, 2008.
    (B) Subject to the exclusions in paragraph (n)(6)(ii) of this 
section, the standards specified in this section shall apply to 
incandescent reflector lamps with a diameter of more than 2.25 inches, 
but not more than 2.75 inches, on and after June 15, 2008.
    (ii) The standards specified in this section shall not apply to the 
following types of incandescent reflector lamps:
    (A) Lamps rated at 50 watts or less that are ER30, BR30, BR40, or 
ER40 lamps;
    (B) Lamps rated at 65 watts that are BR30, BR40, or ER40 lamps; or
    (C) R20 incandescent reflector lamps rated 45 watts or less.
    (o) Faucets. The maximum water use allowed for any of the following 
faucets manufactured after January 1, 1994,

[[Page 345]]

when measured at a flowing water pressure of 60 pounds per square inch 
(414 kilopascals), shall be as follows:

------------------------------------------------------------------------
                                     Maximum flow rate  (gpm (L/min)) or
            Faucet type                     (gal/cycle (L/cycle))
------------------------------------------------------------------------
Lavatory faucets...................  2.2 gpm (8.3 L/min) \1,2\
Lavatory replacement aerators......  2.2 gpm (8.3 L/min)
Kitchen faucets....................  2.2 gpm (8.3 L/min)
Kitchen replacement aerators.......  2.2 gpm (8.3 L/min)
Metering faucets...................  0.25 gal/cycle (0.95 L/cycle) \3,4\
------------------------------------------------------------------------
Note:
\1\ Sprayheads with independently-controlled orifices and manual
  controls.
The maximum flow rate of each orifice that manually turns on or off
  shall not exceed the maximum flow rate for a lavatory faucet.
\2\ Sprayheads with collectively controlled orifices and manual
  controls.
The maximum flow rate of a sprayhead that manually turns on or off shall
  be the product of (a) the maximum flow rate for a lavatory faucet and
  (b) the number of component lavatories (rim space of the lavatory in
  inches (millimeters) divided by 20 inches (508 millimeters)).
\3\ Sprayheads with independently controlled orifices and metered
  controls.
The maximum flow rate of each orifice that delivers a pre-set volume of
  water before gradually shutting itself off shall not exceed the
  maximum flow rate for a metering faucet.
\4\ Sprayheads with collectively-controlled orifices and metered
  controls.
The maximum flow rate of a sprayhead that delivers a pre-set volume of
  water before gradually shutting itself off shall be the product of (a)
  the maximum flow rate for a metering faucet and (b) the number of
  component lavatories (rim space of the lavatory in inches
  (millimeters) divided by 20 inches (508 millimeters)).

    (p) Showerheads. The maximum water use allowed for any showerheads 
manufactured after January 1, 1994, shall be 2.5 gallons per minute (9.5 
liters per minute) when measured at a flowing pressure of 80 pounds per 
square inch gage (552 kilopascals). Any such showerhead shall also meet 
the requirements of ASME/ANSI Standard A112.18.1M-1996, 7.4.4(a).
    (q) Water closets. (1) The maximum water use allowed in gallons per 
flush for any of the following water closets manufactured after January 
1, 1994, shall be as follows:

------------------------------------------------------------------------
                                                           Maximum flush
                    Water closet type                       rate  (gpf
                                                              (Lpf))
------------------------------------------------------------------------
Gravity tank-type toilets...............................       1.6 (6.0)
Flushometer tank toilets................................       1.6 (6.0)
Electromechanical hydraulic toilets.....................       1.6 (6.0)
Blowout toilets.........................................      3.5 (13.2)
------------------------------------------------------------------------

    (2) The maximum water use allowed for flushometer valve toilets, 
other than blowout toilets, manufactured after January 1, 1997, shall be 
1.6 gallons per flush (6.0 liters per flush).
    (r) Urinals. The maximum water use allowed for any urinals 
manufactured after January 1, 1994, shall be 1.0 gallons per flush (3.8 
liters per flush). The maximum water use allowed for a trough-type 
urinal shall be the product of:
    (1) The maximum flow rate for a urinal and
    (2) The length of the trough-type urinal in inches (millimeter) 
divided by 16 inches (406 millimeters).
    (s) Ceiling fans and ceiling fan light kits. (1) All ceiling fans 
manufactured on or after January 1, 2007, shall have the following 
features:
    (i) Fan speed controls separate from any lighting controls;
    (ii) Adjustable speed controls (either more than 1 speed or variable 
speed);
    (iii) The capability of reversible fan action, except for--
    (A) Fans sold for industrial applications;
    (B) Fans sold for outdoor applications; and
    (C) Cases in which safety standards would be violated by the use of 
the reversible mode.
    (2)(i) Ceiling fan light kits with medium screw base sockets 
manufactured on or after January 1, 2007, shall be packaged with screw-
based lamps to fill all screw base sockets.
    (ii) The screw-based lamps required under paragraph (2)(i) of this 
section shall--
    (A) Meet the ENERGY STAR Program requirements for Compact 
Fluorescent Lamps, version 3; or
    (B) Use light sources other than compact fluorescent lamps that have 
lumens per watt performance at least equivalent to comparable configured 
compact fluorescent lamps meeting the energy conservation standards 
described in paragraph (2)(ii)(A) of this section.
    (3) Ceiling fan light kits with pin-based sockets for fluorescent 
lamps manufactured on or after January 1, 2007 shall--
    (i) Meet the ENERGY STAR Program Requirements for Residential Light 
Fixtures version 4.0 issued by the Environmental Protection Agency; and
    (ii) Shall be packaged to include the lamps described in paragraph 
(s)(3)(i) of

[[Page 346]]

this section with the ceiling fan light kits to fill all sockets.
    (4) Ceiling fan light kits with socket types other than those 
covered in paragraphs (2) and (3) of this section, including candelabra 
screw base sockets, manufactured on or after January 1, 2009--
    (i) Shall not be capable of operating with lamps that total more 
than 190 watts; and
    (ii) Shall be packaged to include the lamps described in clause (i) 
with the ceiling fan light kits.
    (t) Torchieres. A torchiere manufactured on or after January 1, 2006 
shall:
    (1) Consume not more than 190 watts of power; and
    (2) Not be capable of operating with lamps that total more than 190 
watts.
    (u) Medium Base Compact Fluorescent Lamps. A bare lamp and covered 
lamp (no reflector) medium base compact fluorescent lamp manufactured on 
or after January 1, 2006, shall meet the following requirements:

------------------------------------------------------------------------
                 Factor                            Requirements
------------------------------------------------------------------------
Lamp Power (Watts) & Configuration \1\.  Minimum Efficacy: lumens/
                                          watt(Based upon initial lumen
                                          data). \2\
------------------------------------------------------------------------
Bare Lamp:
    Lamp Power <15.....................  45.0.
    Lamp Power =15..........  60.0.
------------------------------------------------------------------------
Covered Lamp (no reflector):
    Lamp Power <15.....................  40.0.
    15= Lamp Power <19......  48.0.
    19= Lamp Power <25......  50.0
    Lamp Power =25..........  55.0.
------------------------------------------------------------------------
1,000-hour Lumen Maintenance...........  The average of at least 5 lamps
                                          must be a minimum 90.0% of
                                          initial (100-hour) lumen
                                          output @ 1,000 hours of rated
                                          life.
Lumen Maintenance......................  80.0% of initial (100-hour)
                                          rating at 40 percent of rated
                                          life (per ANSI C78.5 Clause
                                          4.10).
Rapid Cycle Stress Test................  Per ANSI C78.5 and IESNA LM-65
                                          (clauses 2,3,5, and 6).
                                         Exception: Cycle times must be
                                          5 minutes on, 5 minutes off.
                                          Lamp will be cycled once for
                                          every two hours of rated life.
                                          At least 5 lamps must meet or
                                          exceed the minimum number of
                                          cycles.
Average Rated Lamp Life................  =6,000 hours as
                                          declared by the manufacturer
                                          on packaging. At 80% of rated
                                          life, statistical methods may
                                          be used to confirm lifetime
                                          claims based on sampling
                                          performance.
------------------------------------------------------------------------
\1\ Take performance and electrical requirements at the end of the 100-
  hour aging period according to ANSI Standard C78.5. The lamp efficacy
  shall be the average of the lesser of the lumens per watt measured in
  the base up and/or other specified positions. Use wattages place on
  packaging to select proper specification efficacy in this table, not
  measured wattage. Labeled wattages are for reference only.
\2\ Efficacies are based on measured values for lumens and wattages from
  pertinent test data. Wattages and lumens placed on packages may not be
  used in calculation and are not governed by this specification. For
  multi-level or dimmable systems, measurements shall be at the highest
  setting. Acceptable measurement error is 3%.

    (v) Dehumidifiers. (1)Dehumidifiers manufactured on or after October 
1, 2007, shall have an energy factor that meets or exceeds the following 
values:

------------------------------------------------------------------------
                                                          Minimum energy
              Product capacity (pints/day)                factor (liters/
                                                               kWh)
------------------------------------------------------------------------
25.00 or less...........................................            1.00
25.01-35.00.............................................            1.20
35.01-54.00.............................................            1.30
54.01-74.99.............................................            1.50
75.00 or more...........................................            2.25
------------------------------------------------------------------------

    (2) Dehumidifiers manufactured on or after October 1, 2012, shall 
have an energy factor that meets or exceeds the following values:

------------------------------------------------------------------------
                                                   Minimum energy factor
          Product capacity  (pints/day)                (liters/kWh)
------------------------------------------------------------------------
Up to 35.00.....................................                1.35
35.01-45.00.....................................                1.50
45.01-54.00.....................................                1.60
54.01-75.00.....................................                1.70
75.00 or more...................................                2.5
------------------------------------------------------------------------

    (w) Class A external power supplies. (1)(i) Except as provided in 
paragraph (w)(1)(ii) of this section, all class A external power 
supplies manufactured on or after July 1, 2008, shall meet the following 
standards:

[[Page 347]]



------------------------------------------------------------------------
 
------------------------------------------------------------------------
                               Active Mode
------------------------------------------------------------------------
            Nameplate Output               Required efficiency (decimal
                                            equivalent of a percentage)
------------------------------------------------------------------------
Less than 1 watt.......................  0.5 times the Nameplate output.
From 1 watt to not more than 51 watts..  The sum of 0.09 times the
                                          Natural Logarithm of the
                                          Nameplate Output and 0.5.
Greater than 51 watts..................  0.85.
------------------------------------------------------------------------
                              No-Load Mode
------------------------------------------------------------------------
            Nameplate output                   Maximum consumption
------------------------------------------------------------------------
Not more than 250 watts................  0.5 watts.
------------------------------------------------------------------------

    (ii) A class A external power supply shall not be subject to the 
standards in paragraph w(1)(i) if the class A external power supply is--
    (A) Manufactured during the period beginning on July 1, 2008, and 
ending on June 30, 2015, and
    (B) Made available by the manufacturer as a service part or a spare 
part for an end-use product--
    (1) That constitutes the primary load; and
    (2) Was manufactured before July 1, 2008.
    (3) The standards described in paragraph (w)(1)(i) shall not 
constitute an energy conservation standard for the separate end-use 
product to which the external power supply is connected.
    (4) Any class A external power supply manufactured on or after July 
1, 2008 shall be clearly and permanently marked in accordance with the 
External Power Supply International Efficiency Marking Protocol, as 
referenced in the `Energy Star Program Requirements for Single Voltage 
External Ac-Dc and Ac-Ac Power Supplies,' (incorporated by reference; 
see Sec. 430.3), published by the Environmental Protection Agency.
    (x) General service incandescent lamps, intermediate base 
incandescent lamps and candelabra base incandescent lamps. (1) The 
energy conservation standards in this paragraph apply to general service 
incandescent lamps:
    (i) Intended for a general service or general illumination 
application (whether incandescent or not);
    (ii) Has a medium screw base or any other screw base not defined in 
ANSI C81.61 (incorporated by reference; see Sec. 430.3); and
    (iii) Is capable of being operated at a voltage at least partially 
within the range of 110 to 130 volts.
    (A) General service incandescent lamps manufactured after the 
effective dates specified in the tables below, except as described in 
paragraph (x)(1)(B) of this section, shall have a color rendering index 
greater than or equal to 80 and shall have rated wattage no greater than 
and rated lifetime no less than the values shown in the table below:

                                       General Service Incandescent Lamps
----------------------------------------------------------------------------------------------------------------
                                                 Maximum rate
              Rated lumen ranges                    wattage          Minimum rate life-time       Effective date
----------------------------------------------------------------------------------------------------------------
1490-2600.....................................              72  1,000 hrs.......................        1/1/2012
1050-1489.....................................              53  1,000 hrs.......................        1/1/2013
750-1049......................................              43  1,000 hrs.......................        1/1/2014
310-749.......................................              29  1,000 hrs.......................        1/1/2014
----------------------------------------------------------------------------------------------------------------

    (B) Modified spectrum general service incandescent lamps 
manufactured after the effective dates specified shall have a color 
rendering index greater than or equal to 75 and shall have a rated 
wattage no greater than and rated lifetime no less than the values shown 
in the table below:

[[Page 348]]



                              Modified Spectrum General Service Incandescent Lamps
----------------------------------------------------------------------------------------------------------------
                                                 Maximum rate
              Rated lumen ranges                    wattage          Minimum rate life-time       Effective date
----------------------------------------------------------------------------------------------------------------
1118-1950.....................................              72  1,000 hrs.......................        1/1/2012
788-1117......................................              53  1,000 hrs.......................        1/1/2013
563-787.......................................              43  1,000 hrs.......................        1/1/2014
232-562.......................................              29  1,000 hrs.......................        1/1/2014
----------------------------------------------------------------------------------------------------------------

    (2) Each candelabra base incandescent lamp shall not exceed 60 rated 
watts.
    (3) Each intermediate base incandescent lamp shall not exceed 40 
rated watts.

[54 FR 6077, Feb. 7, 1989]

    Editorial Note: For Federal Register citations affecting Sec. 
430.32, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and on GPO Access.



Sec. 430.33  Preemption of State regulations.

    (a) Any State regulation providing for any energy conservation 
standard, or water conservation standard (in the case of faucets, 
showerheads, water closets, and urinals), or other requirement with 
respect to the energy efficiency, energy use, or water use (in the case 
of faucets, showerheads, water closets, or urinals) 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 sections 
325(i)(6)(A)(vi), 327(b) and (c) of the Act.
    (b) No State regulation, or revision thereof, concerning the energy 
efficiency, energy use, or water use of the covered product shall be 
effective with respect to such covered product, unless the State 
regulation or revision in the case of any portion of any regulation that 
establishes requirements for general service incandescent lamps, 
intermediate base incandescent lamps, or candelabra base lamps, was 
enacted or adopted by the State of California or Nevada before December 
4, 2007, except that--
    (1) The regulation adopted by the California Energy Commission with 
an effective date of January 1, 2008, shall only be effective until the 
effective date of the Federal standard for the applicable lamp category 
under paragraphs (A), (B), and (C) of section 325(i)(1) of EPCA;
    (2) The States of California and Nevada may, at any time, modify or 
adopt a State standard for general service lamps to conform with Federal 
standards with effective dates no earlier than 12 months prior to the 
Federal effective dates prescribed under paragraphs (A), (B), and (C) of 
section 325(i)(1) of EPCA, at which time any prior regulations adopted 
by the State of California or Nevada shall no longer be effective; and
    (3) All other States may, at any time, modify or adopt a State 
standard for general service lamps to conform with Federal standards and 
effective dates.

[63 FR 13318, Mar. 18, 1998, as amended at 74 FR 12070, Mar. 23, 2009]



Sec. 430.34  Energy and water conservation standards amendments

    The Department of Energy may not prescribe any amended standard 
which increases the maximum allowable energy use or, in the case of 
showerheads, faucets, water closets or urinals, the maximum allowable 
water use, or which decreases the minimum required energy efficiency of 
a covered product.

[67 FR 36406, May 23, 2002]



Sec. 430.35  Petitions with respect to general service lamps.

    (a) Any person may petition the Secretary for an exemption for a 
type of general service lamp from the requirements of this subpart. The 
Secretary may grant an exemption only to the extent that the Secretary 
finds, after a hearing and opportunity for public comment, that it is 
not technically feasible to serve a specialized lighting application 
(such as a military, medical, public safety or certified historic 
lighting application) using a lamp that meets the requirements of this 
subpart. To grant an exemption for a product

[[Page 349]]

under this paragraph, the Secretary shall include, as an additional 
criterion, that the exempted product is unlikely to be used in a general 
service lighting application.
    (b) Any person may petition the Secretary to establish standards for 
lamp shapes or bases that are excluded from the definition of general 
service lamps. The petition shall include evidence that the availability 
or sales of exempted lamps have increased significantly since December 
19, 2007. The Secretary shall grant a petition if the Secretary finds 
that:
    (1) The petition presents evidence that demonstrates that commercial 
availability or sales of exempted incandescent lamp types have increased 
significantly since December 19, 2007 and are being widely used in 
general lighting applications; and
    (2) Significant energy savings could be achieved by covering 
exempted products, as determined by the Secretary based on sales data 
provided to the Secretary from manufacturers and importers.

[74 FR 12070, Mar. 23, 2009]



 Sec. 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
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

[[Page 350]]

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.
    (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

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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.
    (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.

[[Page 352]]

    (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 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

[[Page 353]]

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, 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 co12467ncerning 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.

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    (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 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.

[[Page 355]]

    (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 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

[[Page 356]]

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 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

[[Page 357]]

    (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 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

[[Page 358]]

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.
    (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

[[Page 359]]

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 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) This subpart prescribes the procedures to be followed in 
connection with petitions requesting a rule that a State regulation 
prescribing an energy conservation standard, water conservation standard 
(in the case of faucets, showerheads, water closets, and urinals), or 
other requirement respecting energy efficiency, energy use, or water use 
(in the case of faucets, showerheads, water closets, and urinals) of a 
type (or class) of covered product not be preempted.
    (b) This subpart also prescribes the procedures to be followed in 
connection with petitions to withdraw a rule exempting a State 
regulation prescribing an energy conservation standard, water 
conservation standard (in the case of faucets, showerheads, water 
closets,

[[Page 360]]

and urinals), or other requirement respecting energy efficiency, energy 
use, or water use (in the case of faucets, showerheads, water closets, 
and urinals) of a type (or class) of covered product.

[63 FR 13318, Mar. 18, 1998]



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, water conservation 
standard (in the case of faucets, showerheads, water closets, and 
urinals), or other requirement for a type or class of covered equipment 
for which a Federal energy conservation standard or water 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 evidence that such requirement is 
needed to meet unusual and compelling State or local energy interests or 
water interests. For the purposes of this section, the term ``unusual 
and compelling State or local energy interests or water 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, or 
water plan and forecast the costs, benefits, burdens, and reliability of 
energy savings or water 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 water savings or production, including reliance on reasonably 
predictable market-induced improvements in efficiency of all equipment 
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 equipment 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 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)(vi) 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;

[[Page 361]]

    (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 or water 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.
    (2) [Reserved]
    (b) Criteria for exemption from preemption when energy emergency 
conditions or water emergency conditions (in the case of faucets, 
showerheads, water closets, and urinals) exist within State. Upon 
petition by a State which has prescribed an energy conservation standard 
or water conservation standard (in the case of faucets, showerheads, 
water closets, and urinals) or other requirement for a type or class of 
covered product for which a Federal energy conservation standard or 
water conservation standard is applicable, the Secretary may prescribe a 
rule, effective upon publication in the Federal Register, that such 
State 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 or water 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, 
electric energy, or water to its residents at less than prohibitive 
costs; and cannot be substantially alleviated by the importation of 
energy or water 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 or water emergency conditions (in the case 
of faucets, showerheads, water closets, and urinals) exist within a 
State. A petition from a State for a rule for exemption from preemption 
when energy emergency conditions or water 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 or water 
emergency condition (in the case of faucets, showerheads, water closets, 
and urinals) 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;
    (iii) An analysis of why the emergency condition cannot be 
alleviated substantially by importation of energy or water or the use of 
interconnection agreements; and
    (iv) An analysis of how the State standard can alleviate 
substantially such emergency condition.
    (2) [Reserved]
    (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 water conservation standard (in the case of faucets, 
showerheads, water closets, and urinals) or other requirement for a type 
or class of a covered product, when the Federal energy conservation 
standard or water conservation standard (in the case of faucets, 
showerheads, water closets, and urinals) 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.

[[Page 362]]

    (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.
    (2) [Reserved]

[63 FR 13318, Mar. 18, 1998]



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.
    (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

[[Page 363]]

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 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 or water emergency condition (in the case of faucets, 
showerheads, water closets, and urinals)'' within the State.

[[Page 364]]

    (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.

[54 FR 6078, Feb. 7, 1989, as amended at 63 FR 13319, Mar. 18, 1998]



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, water conservation standard (in the case of faucets, 
showerheads, water closets, and urinals) 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.

[54 FR 6078, Feb. 7, 1989, as amended at 63 FR 13319, Mar. 18, 1998]



                   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 or water conservation standards (in the case of faucets, 
showerheads, water closets, and urinals) 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 or water conservation standards 
(in the case of faucets, showerheads, water closets, and urinals) .

[54 FR 6080, Feb. 7, 1989, as amended at 63 FR 13319, Mar. 18, 1998]



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 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

[[Page 365]]

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 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.

[[Page 366]]



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.

    This subpart sets 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 or water conservation standard (in the case of faucets, 
showerheads, water closets, and urinals) set forth in subpart C of this 
part. Energy conservation standards and water conservation standards (in 
the case of faucets, showerheads, water closets, and urinals) 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).

[63 FR 13319, Mar. 18, 1998]



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;
    (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 or water conservation standard (in the case 
of faucets, showerheads, water closets, and urinals) prescribed under 
the Act and this rule; or
    (5) For any manufacturer, distributor, retailer, or private labeler 
to distribute in commerce an adapter that--
    (i) Is designed to allow an incandescent lamp that does not have a 
medium screw base to be installed into a fixture or lamp holder with a 
medium screw base socket; and
    (ii) Is capable of being operated at a voltage range at least 
partially within 110 and 130 volts.
    (6) For any manufacturer or private labeler to knowingly sell a 
product to a distributor, contractor, or dealer with knowledge that the 
entity routinely violates any regional standard applicable to the 
product.
    (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 $110 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.

[54 FR 6081, Feb. 7, 1989, as amended at 62 FR 46183, Sept. 2, 1997; 63 
FR 13319, Mar. 18, 1998; 74 FR 12070, Mar. 23, 2009]

    Effective Date Note: At 74 FR 66032, Dec. 14, 2009, Sec. 430.61 was 
amended by revising the first sentence of paragraph (b), effective Jan. 
13, 2010. For the convenience of the user, the revised text is set forth 
as follows:



Sec. 430.61  Prohibited acts.

                                * * * * *

    (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 $200 for each 
violation. * * *

[[Page 367]]



Sec. 430.62  Submission of data.

    (a) Certification. (1) Except as provided in paragraph (a)(2) of 
this section, each manufacturer or private labeler before distributing 
in commerce any basic model of a covered product subject to the 
applicable energy conservation standard or water conservation standard 
(in the case of faucets, showerheads, water closets, and urinals) set 
forth in subpart C of this part shall certify by means of a compliance 
statement and a certification report that each basic model(s) meets the 
applicable energy conservation standard or water conservation standard 
(in the case of faucets, showerheads, water closets, and urinals) as 
prescribed in section 325 of the Act. The compliance statement, signed 
by the company official submitting the statement, and the certification 
report(s) shall be sent by certified mail to: Department of Energy, 
Office of Energy Efficiency and Renewable Energy, Office of Codes and 
Standards, Forrestal Building, 1000 Independence Avenue, SW, Washington, 
DC 20585-0121.
    (2) Each manufacturer or private labeler of a basic model of a 
covered clothes washer, clothes dryer, dishwasher, faucet, showerhead, 
water closet, or urinal shall file a compliance statement and a 
certification report to DOE before [date 1 year after publication of the 
Final Rule].
    (3) The compliance statement shall include all information specified 
in the format set forth in appendix A of this subpart and shall certify 
that:
    (i) The basic model(s) complies with the applicable energy 
conservation standard or water conservation standard (in the case of 
faucets, showerheads, water closets, and urinals);
    (ii) All required testing has been conducted in conformance with the 
applicable test requirements prescribed in subpart B of this part;
    (iii) All information reported in the certification report(s) is 
true, accurate, and complete; and
    (iv) The manufacturer or private labeler is aware of the penalties 
associated with violations of the Act, the regulations thereunder, and 
18 U.S.C. 1001 which prohibits knowingly making false statements to the 
Federal Government.
    (4) A certification report for all basic models of a covered product 
(a suggested format is set forth in appendix A of this subpart) shall be 
submitted to DOE. The certification report shall include for each basic 
model the product type, product class (as denoted in Sec. 430.32), 
manufacturer's name, private labeler's name(s) (if applicable), the 
manufacturer's model number(s), and for:
    (i) Central air conditioners, the seasonal energy efficiency ratio. 
For central air conditioners whose seasonal energy efficiency ratio is 
based on an installation that includes a particular model of ducted air 
mover (e.g., furnace, air handler, blower kit, etc.), the model number 
of this ducted air mover must be included among the model numbers listed 
on the certification report.
    (ii) Central air conditioning heat pumps, the seasonal energy 
efficiency ratio and heating seasonal performance factor. For central 
air conditioning heat pumps whose seasonal energy efficiency ratio and 
heating seasonal performance factor are based on an installation that 
includes a particular model of ducted air mover (e.g., furnace, air 
handler, blower kit, etc.), the model number of this ducted air mover 
must be included among the model numbers listed on the certification 
report.
    (iii) Clothes washers, the energy factor in ft\3\/kWh/cycle and 
capacity in ft\3\.
    (iv) Clothes dryers, the energy factor in lbs/kWh, capacity in 
ft\3\, and voltage.
    (v) Direct heating equipment, the annual fuel utilization efficiency 
in percent and capacity in Btu/hour.
    (vi) Dishwashers, the energy factor expressed in cycles per 
kilowatt-hour.
    (vii) Faucets, the maximum water use in gpm (L/min) or gal/cycle (L/
cycle) for each faucet; or the maximum water use in gpm (L/min) or gal/
cycle (L/cycle) for each flow control mechanism, with a listing of 
accompanied faucets by manufacturer's model numbers.
    (viii) Furnaces, the annual fuel utilization efficiency in percent.

[[Page 368]]

    (ix) General service fluorescent lamps, the testing laboratory's 
National Voluntary Laboratory Accreditation Program (NVLAP) 
identification number or other NVLAP-approved accreditation 
identification, production date codes (and accompanying decoding 
scheme), the 12-month average lamp efficacy in lumens per watt, lamp 
wattage, correlated color temperature, and the 12-month average Color 
Rendering Index.
    (x) Incandescent reflector lamps, the laboratory's National 
Voluntary Accreditation Program (NVLAP) identification number or other 
NVLAP-approved accreditation identification, production date codes (and 
accompanying decoding scheme), the 12-month average lamp efficacy in 
lumens per watt, and lamp wattage.
    (xi) Pool heaters, the thermal efficiency in percent.
    (xii) Refrigerators, refrigerator-freezers, and freezers, the annual 
energy use in kWh/yr and total adjusted volume in ft\3\.
    (xiii) Room air conditioners, the energy efficiency ratio and 
capacity in Btu/hour.
    (xiv) Showerheads, the maximum water use in gpm (L/min) with a 
listing of accompanied showerheads by manufacturer's model numbers.
    (xv) Urinals, the maximum water use in gpf (Lpf).
    (xvi) Water closets, the maximum water use in gpf (Lpf).
    (xvii) Water heaters, the energy factor and rated storage volume in 
gallons.
    (xviii)-(xxii) [Reserved]
    (xxiii) External power supplies, the average active mode efficiency 
percentage, no-load mode power consumption in watts, nameplate output 
power in watts, and, if missing from the nameplate, the output current 
in amperes of the highest- and lowest-voltage models within the external 
power supply design family.
    (xxiv) Switch-selectable single-voltage voltage external power 
supplies, the average active mode efficiency percentage and no-load mode 
power consumption in watts at the lowest and highest selectable output 
voltage, nameplate output power in watts, and, if missing from the 
nameplate, the output current in amperes.
    (5) Copies of reports to the Federal Trade Commission which include 
the information specified in paragraph (a)(4) could serve in lieu of the 
certification report.
    (b) Model Modifications. (1) Any change to a basic model which 
affects energy consumption or water consumption (in the case of faucets, 
showerheads, water closets, and urinals) constitutes the addition of a 
new basic model. If such change reduces consumption, the new model shall 
be considered in compliance with the standard without any additional 
testing. If, however, such change increases consumption while still 
meeting the standard, all information required by paragraph (a)(4) of 
this section for the new basic model must be submitted, by certified 
mail, to: Department of Energy, Office of Energy Efficiency and 
Renewable Energy, Office of Codes and Standards, Forrestal Building, 
1000 Independence Avenue, SW, Washington, DC 20585-0121.
    (2) Prior to or concurrent with the distribution of a new model of 
general service fluorescent lamp or incandescent reflector lamp, each 
manufacturer and private labeler shall submit a statement signed by a 
company official stating how the manufacturer or private labeler 
determined that the lamp meets or exceeds the energy conservation 
standards, including a description of any testing or analysis the 
manufacturer or private labeler performed. This statement shall also 
list the model number or descriptor, lamp wattage and date of 
commencement of manufacture. Manufacturers and private labelers of 
general service fluorescent lamps and incandescent reflector lamps shall 
submit the certification report required by paragraph (a)(4) of this 
section within one year after the date manufacture of that new model 
commences.
    (c) Discontinued model. When production of a basic model has ceased 
and it is no longer being distributed, this shall be reported, by 
certified mail, to: Department of Energy, Office of Energy Efficiency 
and Renewable Energy,

[[Page 369]]

Office of Codes and Standards, Forrestal Building, 1000 Independence 
Avenue, SW, Washington, DC 20585-0121. For each basic model, the report 
shall include: product type, product class, the manufacturer's name, the 
private labeler name(s), if applicable, and the manufacturer's model 
number. If the reporting of discontinued models coincides with the 
submittal of a certification report, such information can be included in 
the certification report.
    (d) Maintenance of records. The manufacturer or private labeler of 
any covered product subject to any of the energy performance standards, 
water performance standards (in the case of faucets, showerheads, water 
closets, and urinals), 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 by 
DOE upon request. The records shall include the supporting test data 
associated with tests performed on any test units to satisfy the 
requirements of this subpart. The records shall be retained by the 
manufacturer (private labeler) for a period of two years from the date 
that production of the applicable model has ceased.
    (e) Third party representation. A manufacturer or private labeler 
may elect to use a third party to submit the certification report to DOE 
(for example a trade association or other authorized representative). 
Such certification reports shall include all the information specified 
in paragraph (a)(4) of this section. Third parties submitting 
certification reports shall include the names of the manufacturers or 
private labelers who authorized the submittal of the certification 
reports to DOE on their behalf. The third party representative also may 
submit discontinued model information on behalf of an authorizing 
manufacturer.

[63 FR 13319, Mar. 18, 1998, as amended at 68 FR 51903, Aug. 29, 2003; 
72 FR 59934, Oct. 22, 2007; 74 FR 13335, Mar. 27, 2009; 74 FR 31841, 
July 6, 2009]



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 or water performance standard (in the case of faucets, 
showerheads, water closets, and urinals) shall be based upon the 
sampling procedures set forth in Sec. 430.24 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 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.

[54 FR 6081, Feb. 7, 1989, as amended at 63 FR 13321, Mar. 18, 1998]



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

[[Page 370]]

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 or water 
performance (in the case of faucets, showerheads, water closets, and 
urinals) of a particular covered product of a particular manufacturer or 
private labeler which indicates that the covered product may not be in 
compliance with the applicable energy performance standard or water 
performance standard (in the case of faucets, showerheads, water 
closets, and urinals), 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.
    (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 or water 
performance standard (in the case of faucets, showerheads, water 
closets, and urinals) 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,

[[Page 371]]

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 or water performance standard (in the case of 
faucets, showerheads, water closets, and urinals) 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 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.

[54 FR 6080, Feb. 7, 1989, as amended at 63 FR 13321, Mar. 18, 1998]



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

[[Page 372]]

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 or water 
conservation standard (in the case of faucets, showerheads, water 
closets, and urinals):
    (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.

[54 FR 6081, Feb. 7, 1989, as amended at 63 FR 13321, Mar. 18, 1998]



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 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

[[Page 373]]

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 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)

[[Page 374]]



   Sec. Appendix A to Subpart F of Part 430--Compliance Statement and 
                          Certification Report

                          COMPLIANCE STATEMENT

Product:________________________________________________________________
Manufacturer's or Private Labeler's Name and Address:

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

    This compliance statement and all certification reports submitted 
are in accordance with 10 CFR Part 430 (Energy or Water Conservation 
Program for Consumer Products) and the Energy Policy and Conservation 
Act, as amended. The compliance statement is signed by a responsible 
official of the above named company. The basic model(s) listed in 
certification reports comply with the applicable energy conservation 
standard or water (in the case of faucets, showerheads, water closets, 
and urinals) conservation standard. All testing on which the 
certification reports are based was conducted in conformance with 
applicable test requirements prescribed in 10 CFR part 430 subpart B. 
All information reported in the certification report(s) is true, 
accurate, and complete. The company is aware of the penalties associated 
with violations of the Act, the regulations thereunder, and is also 
aware of the provisions contained in 18 U.S.C. 1001, which prohibits 
knowingly making false statements to the Federal Government.

Name of Company Official:_______________________________________________
Signature:______________________________________________________________
Title:__________________________________________________________________
Firm or Organization:___________________________________________________
Address:________________________________________________________________
Telephone Number:_______________________________________________________
Facsimile Number:_______________________________________________________
Date:___________________________________________________________________

               Third Party Representation (if applicable)

    For certification reports prepared and submitted by a third party 
organization under the provisions of Sec. 430.62 of 10 CFR part 430, 
the company official who authorized said third party representation is:

Name:___________________________________________________________________
Title:__________________________________________________________________
Address:________________________________________________________________
Telephone Number:_______________________________________________________
Facsimile Number:_______________________________________________________

    The third party organization submitting the certification report on 
behalf of the company is:

Third Party Organization:_______________________________________________
Address:________________________________________________________________
Telephone Number:_______________________________________________________
Facsimile Number:_______________________________________________________

                          CERTIFICATION REPORT

Date:___________________________________________________________________
Product Type:___________________________________________________________
Product Class:__________________________________________________________
Manufacturer:___________________________________________________________
Private Labeler (if applicable):________________________________________
Name:___________________________________________________________________
Title:__________________________________________________________________
Address:________________________________________________________________
Telephone Number:_______________________________________________________
Facsimile Number:_______________________________________________________

    For Existing, New, or Modified Models \1\:
---------------------------------------------------------------------------

    \1\ Provide specific product information including, for each basic 
model, the manufacturer's model numbers and the information required in 
Sec. 430.62(a)(4)(i) through (a)(4)(xvii)).
---------------------------------------------------------------------------

    For Discontinued Models \2\:
---------------------------------------------------------------------------

    \2\ Provide manufacturer's model number.

[63 FR 13321, Mar. 18, 1998]



Sec. 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 or water performance (in the case of faucets, showerheads, 
water closets, and urinals) of the n1 units in the first 
sample as follows:
[GRAPHIC] [TIFF OMITTED] TR18MR98.010

where (x1) is the measured energy efficiency, energy or water 
(in the case of faucets, showerheads, water closets, and urinals) 
consumption of unit I.
    Step 3. Compute the standard deviation (s1) of the 
measured energy or water performance of the (n1) units in the 
first sample as follows:
[GRAPHIC] [TIFF OMITTED] TR18MR98.011

    Step 4. Compute the standard error (SX1) of 
the measured energy or water performance of the n1 units in 
the first sample as follows:
[GRAPHIC] [TIFF OMITTED] TR18MR98.012

    Step 5. Compute the upper control limit (UCL1) and lower 
control limit (LCL1) for the mean of the first sample using 
the applicable

[[Page 375]]

DOE energy or water performance standard (EPS) as the desired mean and a 
probability level of 95 percent (two-tailed test) as follows:
[GRAPHIC] [TIFF OMITTED] TR18MR98.013

[GRAPHIC] [TIFF OMITTED] TR18MR98.014

where t is a statistic based on a 95 percent two-tailed probability 
level and a sample size of n1.
    Step 6(a). 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:
    (1) 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.)
    (2) 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.)
    (3) 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 7(a).
    Step 6(b). For an Energy or Water 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:
    (1) 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.)
    (2) 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.)
    (3) 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 7(b).
    Step 7(a). For an Energy Efficiency Standard, determine the second 
sample size (n2) as follows:
[GRAPHIC] [TIFF OMITTED] TR18MR98.015

    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 7(b). For an Energy or Water Consumption Standard, determine 
the second sample size (n2) as follows:
[GRAPHIC] [TIFF OMITTED] TR18MR98.016

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 or water 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 or water 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 or water 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 or water consumption of the first sample (x1) 
is greater than the upper control limit (UCL1) or more than 
105 percent of the applicable energy or water performance standard 
(EPS), whichever is

[[Page 376]]

less, i.e., if n2 <= 0 and x1  min 
(UCL1, 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 or water performance of the n1 and n2 units 
of the combined first and second samples as follows:
[GRAPHIC] [TIFF OMITTED] TR18MR98.017

    Step 9. Compute the standard error (Sx1) of the measured 
energy or water performance of the n1 and n2 units 
in the combined first and second samples as follows:
[GRAPHIC] [TIFF OMITTED] TR18MR98.018

    Note: s1 is the value obtained in Step 3.

    Step 10(a). 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) as follows:
[GRAPHIC] [TIFF OMITTED] TR18MR98.019

where the t-statistic has the value obtained in Step 5.
    Step 10(b). For an Energy or Water Consumption Standard, compute the 
upper control limit (UCL2) for the mean of the combined first 
and second samples using the DOE energy or water 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) as follows:
[GRAPHIC] [TIFF OMITTED] TR18MR98.020

where the t-statistic has the value obtained in Step 5.
    Step 11(a). For an Energy Efficiency Standard, compare the combined 
sample mean (x2) to the lower control limit (LCL2) 
to find one of the following:
    (1) 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.
    (2) 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 11(b). For an Energy or Water Consumption Standard, compare the 
combined sample mean (x2) to the upper control limit 
(UCL2) to find one of the following:
    (1) If the mean of the combined sample (x2) is greater 
than the upper control limit (UCL2) or 105 percent of the 
applicable energy or water 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.
    (2) 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 or water 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, 
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 or water 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 or Water 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 or water 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.

[[Page 377]]

    b.2. For an Energy or Water Consumption Standard, if the new 
combined sample mean is greater than the upper control limit or 105 
percent of the applicable energy or water consumption standard, 
whichever is less, 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.
    c. Otherwise, the basic model is determined to be in noncompliance.

[63 FR 13321, Mar. 18, 1998]



PART 431_ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND 
INDUSTRIAL EQUIPMENT--Table of Contents




                      Subpart A_General Provisions

Sec.
431.1 Purpose and scope.
431.2 Definitions.

                        Subpart B_Electric Motors

431.11 Purpose and scope.
431.12 Definitions.

   Test Procedures, Materials Incorporated and Methods of Determining 
                               Efficiency

431.15 Materials incorporated by reference.
431.16 Test procedures for the measurement of energy efficiency.
431.17 Determination of efficiency.
431.18 Testing laboratories.
431.19 Department of Energy recognition of accreditation bodies.
431.20 Department of Energy recognition of nationally recognized 
          certification programs.
431.21 Procedures for recognition and withdrawal of recognition of 
          accreditation bodies and certification programs.

                      Energy Conservation Standards

431.25 Energy conservation standards and effective dates.
431.26 Preemption of State regulations.

                                Labeling

431.30 Applicability of labeling requirements.
431.31 Labeling requirements.
431.32 Preemption of State regulations.

                              Certification

431.35 Applicability of certification requirements.
431.36 Compliance Certification.

Appendix A to Subpart B of 10 CFR Part 431--Policy Statement for 
          Electric Motors Covered Under the Energy Policy and 
          Conservation Act
Appendix B to Subpart B of Part 431--Uniform Test Method for Measuring 
          Nominal Full Load Efficiency of Electric Motors
Appendix C to Subpart B of Part 431--Compliance Certification

 Subpart C_Commercial Refrigerators, Freezers and Refrigerator-Freezers

431.61 Purpose and scope.
431.62 Definitions concerning commercial refrigerators, freezers and 
          refrigerator-freezers.

                             Test Procedures

431.63 Materials incorporated by reference.
431.64 Uniform test method for the measurement of energy consumption of 
          commercial refrigerators, freezers, and refrigerator-freezers.

                      Energy Conservation Standards

431.66 Energy conservation standards and their effective dates.

                 Subpart D_Commercial Warm Air Furnaces

431.71 Purpose and scope.
431.72 Definitions concerning commercial warm air furnaces.

                             Test Procedures

431.75 Materials incorporated by reference.
431.76 Uniform test method for the measurement of energy efficiency of 
          commercial warm air furnaces.

                      Energy Conservation Standards

431.77 Energy conservation standards and their effective dates.

                  Subpart E_Commercial Packaged Boilers

431.81 Purpose and scope.
431.82 Definitions concerning commercial packaged boilers.

                             Test Procedures

431.85 Materials incorporated by reference.
431.86 Uniform test method for the measurement of energy efficiency of 
          commercial packaged boilers.

                      Energy Conservation Standards

431.87 Energy conservation standards and their effective dates.

          Subpart F_Commercial Air Conditioners and Heat Pumps

431.91 Purpose and scope.

[[Page 378]]

431.92 Definitions concerning commercial air conditioners and heat 
          pumps.

                             Test Procedures

431.95 Materials incorporated by reference.
431.96 Uniform test method for the measurement of energy efficiency of 
          small, large, and very large commercial package air 
          conditioning and heating equipment, packaged terminal air 
          conditioners, and packaged terminal heat pumps.
431.97 Energy efficiency standards and their effective dates.

Subpart G_Commercial Water Heaters, Hot Water Supply Boilers and Unfired 
                         Hot Water Storage Tanks

431.101 Purpose and scope.
431.102 Definitions concerning commercial water heaters, hot water 
          supply boilers, and unfired hot water storage tanks.

                             Test Procedures

431.105 Materials incorporated by reference.
431.106 Uniform test method for the measurement of energy efficiency of 
          commercial water heaters and hot water supply boilers (other 
          than commercial heat pump water heaters).
431.107 Uniform test method for the measurement of energy efficiency of 
          commercial heat pump water heaters [Reserved]

                      Energy Conservation Standards

431.110 Energy conservation standards and their effective dates.

                Subpart H_Automatic Commercial Ice Makers

431.131 Purpose and scope.
431.132 Definitions concerning automatic commercial ice makers.

                             Test Procedures

431.133 Materials incorporated by reference.
431.134 Uniform test methods for the measurement of energy consumption 
          and water consumption of automatic commercial ice makers.

                      Energy Conservation Standards

431.136 Energy conservation standards and their effective dates.

                  Subpart I_Commercial Clothers Washers

431.151 Purpose and scope.
431.152 Definitions concerning commercial clothers washers.

                             Test Procedures

431.154 Test procedures.

                      Energy Conservation Standards

431.156 Energy and water conservation standards and effective dates.

    Subpart J_Provisions for Commercial HVAC & Water Heating Products

431.171 Purpose and scope. [Reserved]
431.172 Definitions.

                   Subpart K_Distribution Transformers

431.191 Purpose and scope.
431.192 Definitions.

                             Test Procedures

431.193 Test procedures for measuring energy consumption of distribution 
          transformers.

                      Energy Conservation Standards

431.196 Energy conservation standards and their effective dates.

                       Compliance and Enforcement

431.197 Manufacturer's determination of efficiency for distribution 
          transformers.
431.198 Enforcement testing for distribution transformers.

Appendix A to Subpart K of Part 431--Uniform Test Method for Measuring 
          the Energy Consumption of Distribution Transformers
Appendix B to Subpart K of Part 431--Sampling Plan for Enforcement 
          Testing

                    Subpart L_Illuminated Exit Signs

431.201 Purpose and scope.
431.202 Definitions concerning illuminated exit signs.

                             Test Procedures

431.203 Materials incorporated by reference.
431.204 Uniform test method for the measurement of energy consumption of 
          illuminated exit signs.

                      Energy Conservation Standards

431.206 Energy conservation standards and their effective dates.

         Subpart M_Traffic Signal Modules and Pedestrian Modules

431.221 Purpose and scope.
431.222 Definitions concerning traffic signal modules and pedestrian 
          modules.

                             Test Procedures

431.223 Materials incorporated by reference.
431.224 Uniform test method for the measurement of energy consumption 
          for traffic signal modules and pedestrian modules.

[[Page 379]]

                      Energy Conservation Standards

431.226 Energy conservation standards and their effective dates.

                         Subpart N_Unit Heaters

431.241 Purpose and scope.
431.242 Definitions concerning unit heaters.

                       Test Procedures [Reserved]

                      Energy Conservation Standards

431.246 Energy conservation standards and their effective dates.

               Subpart O_Commercial Prerinse Spray Valves

431.261 Purpose and scope.
431.262 Definitions concerning commercial prerinse spray valves.

                             Test Procedures

431.263 Materials incorporated by reference.
431.264 Uniform test method for the measurement of flow rate for 
          commercial prerinse spray valves.

                      Energy Conservation Standards

431.266 Energy conservation standards and their effective dates.

                  Subpart P_Mercury Vapor Lamp Ballasts

431.281 Purpose and scope.
431.282 Definitions concerning mercury vapor lamp ballasts.

                       Test Procedures [Reserved]

                      Energy Conservation Standards

431.286 Energy conservation standards and their effective dates.

   Subpart Q_Refrigerated Bottled or Canned Beverage Vending Machines

431.291 Scope.
431.292 Definitions concerning refrigerated bottled or canned beverage 
          vending machines.

                             Test Procedures

431.293 Materials incorporated by reference.
431.294 Uniform test method for the measurement of energy consumption of 
          refrigerated bottled or canned beverage vending machines.

                      Energy Conservation Standards

431.296 Energy conservation standards and their effective dates.

             Subpart R_Walk-in Coolers and Walk-in Freezers

431.301 Purpose and scope.
431.302 Definitions concerning walk-in coolers and walk-in freezers.

                             Test Procedures

431.303 Materials incorporated by reference.
431.304 Uniform test method for the measurement of energy consumption of 
          walk-in coolers and walk-in freezers.
431.305 [Reserved]

                      Energy Conservation Standards

431.306 Energy conservation standards and their effective dates.

            Subpart S_Metal Halide Lamp Ballasts and Fixtures

431.321 Purpose and scope.
431.322 Definitions concerning metal halide lamp ballasts and fixtures.

                             Test Procedures

431.323 Materials incorporated by reference.
431.324 Uniform test method for the measurement of energy efficiency of 
          metal halide ballasts.

                      Energy Conservation Standards

431.326 Energy conservation standards and their effective dates.

Subpart T [Reserved]

                          Subpart U_Enforcement

431.381 Purpose and scope.
431.382 Prohibited acts.
431.383 Enforcement process for electric motors.
431.384 [Reserved]
431.385 Cessation of distribution of a basic model of an electric motor.
431.386 Remedies.
431.387 Hearings and appeals.

Appendix A to Subpart U of Part 431--Sampling Plan for Enforcement 
          Testing of Electric Motors

                      Subpart V_General Provisions

431.401 Petitions for waiver, and applications for interim waiver, of 
          test procedure.
431.402 Preemption of State regulations for commercial HVAC & WH 
          products.
431.403 Maintenance of records.
431.404 Imported equipment.
431.405 Exported equipment.
431.406 Subpoena.

[[Page 380]]

431.407 Confidentiality.

    Subpart W_Petitions To Exempt State Regulation From Preemption; 
           Petitions To Withdraw Exemption of State Regulation

431.421 Purpose and scope.
431.422 Prescriptions of a rule.
431.423 Filing requirements.
431.424 Notice of petition.
431.425 Consolidation.
431.426 Hearing.
431.427 Disposition of petitions.
431.428 Effective dates of final rules.
431.429 Request for reconsideration.
431.430 Finality of decision.

                     Subpart X_Small Electric Motors

431.441 Purpose and scope.
431.442 Definitions.

                             Test Procedures

431.443 Materials incorporated by reference.
431.444 Test procedures for the measurement of energy efficiency.
431.445 Determination of small electric motor energy efficiency.

                      Energy Conservation Standards

431.446 Small electric motors energy conservation standards and their 
          effective dates. [Reserved]

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

    Source: 64 FR 54141, Oct. 5, 1999, unless otherwise noted.



                      Subpart A_General Provisions



Sec. 431.1  Purpose and scope.

    This part establishes the regulations for the implementation of 
provisions relating to commercial and industrial equipment in Part B of 
Title III of the Energy Policy and Conservation Act (42 U.S.C. 6291-
6309) and in Part C of Title III of the Energy Policy and Conservation 
Act (42 U.S.C. 6311-6317), which establishes an energy conservation 
program for certain commercial and industrial equipment.

[70 FR 60414, Oct. 18, 2005]



Sec. 431.2  Definitions.

    The following definitions apply for purposes of this part. Any words 
or terms not defined in this Section or elsewhere in this Part shall be 
defined as provided in Section 340 of the Act.
    Act means the Energy Policy and Conservation Act of 1975, as 
amended, 42 U.S.C. 6291-6316.
    Btu means British thermal unit, which is the quantity of heat 
required to raise the temperature of one pound of water by one degree 
Fahrenheit.
    Covered equipment means any electric motor, as defined in Sec. 
431.12; commercial heating, ventilating, and air conditioning, and water 
heating product (HVAC & WH product), as defined in Sec. 431.172; 
commercial refrigerator, freezer, or refrigerator-freezer, as defined in 
Sec. 431.62; automatic commercial ice maker, as defined in Sec. 
431.132; commercial clothes washer, as defined in Sec. 431.152; 
distribution transformer, as defined in Sec. 431.192; illuminated exit 
sign, as defined in Sec. 431.202; traffic signal module or pedestrian 
module, as defined in Sec. 431.222; unit heater, as defined in Sec. 
431.242; commercial prerinse spray valve, as defined in Sec. 431.262; 
mercury vapor lamp ballast, as defined in Sec. 431.282; refrigerated 
bottled or canned beverage vending machine, as defined in Sec. 431.292; 
walk-in cooler and walk-in freezer, as defined in Sec. 431.302; metal 
halide ballast and metal halide lamp fixture, as defined in Sec. 
431.322.
    DOE or the Department means the U.S. Department of Energy.
    EPCA means the Energy Policy and Conservation Act, as amended, 42 
U.S.C. 6291-6316.
    Gas means propane or natural gas as defined by the Federal Power 
Commission.
    Import means to import into the customs territory of the United 
States.
    ISO means International Organization for Standardization.
    Manufacture means to manufacture, produce, assemble, or import.
    Manufacturer means any person who manufactures industrial equipment, 
including any manufacturer of a commercial packaged boiler.
    Secretary means the Secretary of Energy.
    State means a State, the District of Columbia, Puerto Rico, or any 
territory or possession of the United States.

[[Page 381]]

    State regulation means a law or regulation of a State or political 
subdivision thereof.

[69 FR 61923, Oct. 21, 2004, as amended at 71 FR 71369, Dec. 8, 2006; 74 
FR 12071, Mar. 23, 2009]



                        Subpart B_Electric Motors

    Source: 69 FR 61923, Oct. 21, 2004, unless otherwise noted.



Sec. 431.11  Purpose and scope.

    This subpart contains energy conservation requirements for electric 
motors. It contains test procedures that EPCA requires DOE to prescribe, 
related requirements, energy conservation standards prescribed by EPCA, 
labeling rules, and compliance procedures. It also identifies materials 
incorporated by reference in this part.



Sec. 431.12  Definitions.

    The following definitions apply for purposes of this subpart, and of 
subparts K through M of this part. Any words or terms not defined in 
this Section or elsewhere in this Part shall be defined as provided in 
Section 340 of the Act.
    Accreditation means recognition by an accreditation body that a 
laboratory is competent to test the efficiency of electric motors 
according to the scope and procedures given in Test Method B of 
Institute of Electrical and Electronics Engineers (IEEE) Standard 112-
1996, Test Procedure for Polyphase Induction Motors and Generators, and 
Test Method (1) of CSA Standard C390-93, Energy Efficient Test Methods 
for Three-Phase Induction Motors. (Incorporated by reference, see Sec. 
431.15)
    Accreditation body means an organization or entity that conducts and 
administers an accreditation system and grants accreditation.
    Accreditation system means a set of requirements to be fulfilled by 
a testing laboratory, as well as rules of procedure and management, that 
are used to accredit laboratories.
    Accredited laboratory means a testing laboratory to which 
accreditation has been granted.
    Alternative efficiency determination method or AEDM means, with 
respect to an electric motor, a method of calculating the total power 
loss and average full load efficiency.
    Average full load efficiency means the arithmetic mean of the full 
load efficiencies of a population of electric motors of duplicate 
design, where the full load efficiency of each motor in the population 
is the ratio (expressed as a percentage) of the motor's useful power 
output to its total power input when the motor is operated at its full 
rated load, rated voltage, and rated frequency.
    Basic model means, with respect to an electric motor, all units of a 
given type of electric motor (or class thereof) manufactured by a single 
manufacturer, and which have the same rating, have electrical 
characteristics that are essentially identical, and do not have any 
differing physical or functional characteristics which affect energy 
consumption or efficiency. For the purpose of this definition, 
``rating'' means one of the 113 combinations of an electric motor's 
horsepower (or standard kilowatt equivalent), number of poles, and open 
or enclosed construction, with respect to which Sec. 431.25 prescribes 
nominal full load efficiency standards.
    Certificate of conformity means a document that is issued by a 
certification program, and that gives written assurance that an electric 
motor complies with the energy efficiency standard applicable to that 
motor, as specified in Sec. 431.25.
    Certification program means a certification system that determines 
conformity by electric motors with the energy efficiency standards 
prescribed by and pursuant to the Act.
    Certification system means a system, that has its own rules of 
procedure and management, for giving written assurance that a product, 
process, or service conforms to a specific standard or other specified 
requirements, and that is operated by an entity independent of both the 
party seeking the written assurance and the party providing the product, 
process or service.
    CSA means CSA International.
    Definite purpose motor means any motor designed in standard ratings 
with standard operating characteristics or standard mechanical 
construction for use under service conditions

[[Page 382]]

other than usual, such as those specified in National Electrical 
Manufacturers Association (NEMA) Standards Publication MG1-1993 (MG1), 
Motors and Generators, paragraph 14.03, ``Unusual Service Conditions,'' 
(Incorporated by reference, see Sec. 431.15) or for use on a particular 
type of application, and which cannot be used in most general purpose 
applications.
    Enclosed motor means an electric motor so constructed as to prevent 
the free exchange of air between the inside and outside of the case but 
not sufficiently enclosed to be termed airtight.
    Fire pump motors [Reserved]
    General purpose motor means any motor which is designed in standard 
ratings with either:
    (1) Standard operating characteristics and standard mechanical 
construction for use under usual service conditions, such as those 
specified NEMA Standards Publication MG1-1993, paragraph 14.02, ``Usual 
Service Conditions,'' (Incorporated by reference, see Sec. 431.15) and 
without restriction to a particular application or type of application; 
or
    (2) Standard operating characteristics or standard mechanical 
construction for use under unusual service conditions, such as those 
specified in NEMA Standards Publication MG1-1993, paragraph 14.03, 
``Unusual Service Conditions,'' (Incorporated by reference, see Sec. 
431.15) or for a particular type of application, and which can be used 
in most general purpose applications.
    General purpose electric motor (subtype I) means any motor which is 
designed in standard ratings with either:
    (1) Standard operating characteristics and standard mechanical 
construction for use under usual service conditions, such as those 
specified in NEMA Standards Publication MG1-1993, paragraph 14.02, 
``Usual Service Conditions,'' (incorporated by reference; see Sec. 
431.15) and without restriction to a particular application or type of 
application; or
    (2) Standard operating characteristics or standard mechanical 
construction for use under unusual service conditions, such as those 
specified in NEMA Standards Publication MG1-1993, paragraph 14.03, 
``Unusual Service Conditions,'' (incorporated by reference; see Sec. 
431.15) or for a particular type of application, and which can be used 
in most general purpose applications.
    General purpose electric motor (subtype II) means any motor 
incorporating the design elements of a general purpose electric motor 
(subtype I) that are configured as one of the following:
    (i) A U-frame motor;
    (ii) A design C motor;
    (iii) A close-coupled pump motor;
    (iv) A footless motor;
    (v) A vertical solid shaft normal thrust motor (as tested in a 
horizontal configuration);
    (vi) An 8-pole motor (900 rpm); or
    (vii) A poly-phase motor with voltage of not more than 600 volts 
(other than 230 or 460 volts).
    IEC means the International Electrotechnical Commission.
    IEEE means the Institute of Electrical and Electronics Engineers, 
Inc.
    NEMA means the National Electrical Manufacturers Association.
    Nominal full load efficiency means, with respect to an electric 
motor, a representative value of efficiency selected from Column A of 
Table 12-8, NEMA Standards Publication MG1-1993, (Incorporated by 
reference, see Sec. 431.15), that is not greater than the average full 
load efficiency of a population of motors of the same design.
    NEMA design B general purpose electric motor [Reserved]
    Open motor means an electric motor having ventilating openings which 
permit passage of external cooling air over and around the windings of 
the machine.
    Special purpose motor means any motor, other than a general purpose 
motor or definite purpose motor, which has special operating 
characteristics or special mechanical construction, or both, designed 
for a particular application.
    Total power loss means that portion of the energy used by an 
electric motor not converted to rotational mechanical power, expressed 
in percent.

[69 FR 61923, Oct. 21, 2004, as amended at 74 FR 12071, Mar. 23, 2009]

[[Page 383]]

   Test Procedures, Materials Incorporated and Methods of Determining 
                               Efficiency



Sec. 431.15  Materials incorporated by reference.

    (a) General. We incorporate by reference the following test 
procedures into Subpart B of Part 431. The material listed in paragraph 
(b) 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 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.
    (b) List of standards incorporated by reference. (1) The following 
provisions of National Electrical Manufacturers Association Standards 
Publication MG1-1993, Motors and Generators, with Revisions 1, 2, 3 and 
4, IBR approved for Sec. Sec. 431.12; 431.31 and appendix B to subpart 
B of Part 431:
    (i) Section I, General Standards Applying to All Machines, Part 1, 
Referenced Standards and Definitions, paragraphs 1.16.1, 1.16.1.1, 
1.17.1.1, 1.17.1.2, and 1.40.1, IBR approved for Sec. 431.12;
    (ii) Section I, General Standards Applying to All Machines, Part 4, 
Dimensions, Tolerances, and Mounting, paragraph 4.01 and Figures 4-1, 4-
2, 4-3, and 4-4, IBR approved for Sec. 431.12;
    (iii) Section II, Small (Fractional) and Medium (Integral) Machines, 
Part 11, Dimensions--AC and DC Small and Medium Machines, paragraphs 
11.01.2, 11.31 (except the lines for frames 447T, 447TS, 449T and 
449TS), 11.32, 11.34 (except the line for frames 447TC and 449TC, and 
the line for frames 447TSC and 449TSC), 11.35, and 11.36 (except the 
line for frames 447TD and 449TD, and the line for frames 447TSD and 
449TSD), and Table 11-1, IBR approved for Sec. 431.12;
    (iv) Section II, Small (Fractional) and Medium (Integral) Machines, 
Part 12, Tests and Performance--AC and DC Motors, paragraphs 12.35.1, 
12.35.5, 12.38.1, 12.39.1, and 12.40.1, 12.58.1, and Tables 12-2 and 12-
8, IBR approved for Sec. 431.12; and
    (v) Section II, Small (Fractional) and Medium (Integral) Machines, 
Part 14, Application Data--AC and DC Small and Medium Machines, 
paragraphs 14.02 and 14.03, IBR approved for Sec. 431.12.
    (2) Institute of Electrical and Electronics Engineers, Inc., 
Standard 112-1996, Test Procedure for Polyphase Induction Motors and 
Generators, Test Method B, Input-Output with Loss Segregation, and the 
correction to the calculation at item (28) in Section 10.2 Form B-Test 
Method B issued by IEEE on January 20, 1998. (Note: Paragraph 2 of 
appendix A to subpart B of Part 431 sets forth modifications to this 
Standard when it is used for purposes of Part 431 and EPCA, IBR approved 
for Sec. Sec. 431.12; 431.19; 431.20; appendix B to subpart B of Part 
431.
    (3) CSA International Standard C390-93, Energy Efficiency Test 
Methods for Three-Phase Induction Motors, Test Method (1), Input-Output 
Method With Indirect Measurement of the Stray-Load Loss and Direct 
Measurement of the Stator Winding (I2R), Rotor Winding (I\2\R), Core and 
Windage-Friction Losses, IBR approved for Sec. Sec. 431.12; 431.19; 
431.20; appendix B to subpart B of Part 431.
    (4) International Electrotechnical Commission Standard 60034-1 
(1996), Rotating electrical machines, Part 1: Rating and performance, 
with Amendment 1 (1997), Section 3: Duty, clause 3.2.1 and figure 1, IBR 
approved for Sec. 431.12.
    (5) International Electrotechnical Commission Standard 60050-411 
(1996), International Electrotechnical Vocabulary Chapter 411: Rotating 
machines, sections 411-33-07 and 411-37-26, IBR approved for Sec. 
431.12.
    (6) International Electrotechnical Commission Standard 60072-1 
(1991), Dimensions and Output Series for Rotating Electrical Machines--
Part 1: Frame numbers 56 to 400 and flange numbers 55 to 1080, clauses 
2, 3, 4.1, 6.1, 7, and 10, and Tables 1, 2 and 4, IBR approved for Sec. 
431.12.
    (7) International Electrotechnical Commission Standard 60034-12 
(1980), Rotating Electrical Machines, Part 12: Starting performance of 
single-speed three-phase cage induction motors for voltages up to and 
including 660 V, with Amendment 1 (1992) and Amendment 2 (1995), clauses 
1, 2, 3.1, 4, 5, and 6, and

[[Page 384]]

Tables I, II, and III, IBR approved for Sec. 431.12.
    (c) Inspection of standards. The standards incorporated by reference 
are available for inspection at:
    (1) National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call 202-741-
6030, or go to: http://www.archives.gov/federal--register/code--of--
federal--regulations/ibr--locations.html;
    (2) U.S. Department of Energy, Office of Energy Efficiency and 
Renewable Energy, Hearings and Dockets, ``Test Procedures, Labeling, and 
Certification Requirements for Electric Motors,'' Docket No. EE-RM-96-
400, Forrestal Building, 1000 Independence Avenue, SW., Washington, DC.
    (d) Availability of standards. Standards incorporated by reference 
may be obtained from the following sources:
    (1) Copies of IEEE Standard 112-1996 can be obtained from the 
Institute of Electrical and Electronics Engineers, Inc., 445 Hoes Lane, 
P.O. Box 1331, Piscataway, NJ 08855-1331, 1-800-678-IEEE (4333);
    (2) Copies of NEMA Standards Publication MG1-1993 with Revisions 1, 
2, 3, and 4, and copies of International Electrotechnical Commission 
standards can be obtained from Global Engineering Documents, 15 
Inverness Way East, Englewood, Colorado 80112-5776, 1-800-854-7179 
(within the U.S.) or (303) 397-7956 (international).
    (3) Copies of CSA International Standard C390-93 can be obtained 
from CSA International, 5060 Spectrum Way, Mississauga, Ontario, Canada 
L4W5N6, (416) 747-4044;
    (e) Reference standards--(1) General. The standards listed in this 
paragraph are referred to in the DOE procedures for testing 
laboratories, and recognition of accreditation bodies and certification 
programs but are not incorporated by reference. These sources are given 
here for information and guidance.
    (2) List of references. (i) National Voluntary Laboratory 
Accreditation Program Handbooks 150, ``Procedures and General 
Requirements,'' March 1994, and 150-10, ``Efficiency of Electric 
Motors,'' August 1995. National Voluntary Laboratory Accreditation 
Program, National Institute of Standards and Technology, Gaithersburg, 
MD 20899.
    (ii) ISO/IEC Guide 25, ``General requirements for the competence of 
calibration and testing laboratories.''
    (iii) ISO Guide 27, ``Guidelines for corrective action to be taken 
by a certification body in the event of either misapplication of its 
mark of conformity to a product, or products which bear the mark of the 
certification body being found to subject persons or property to risk.''
    (iv) ISO/IEC Guide 28, ``General rules for a model third-party 
certification system for products.''
    (v) ISO/IEC Guide 58, ``Calibration and testing laboratory 
accreditation systems--General requirements for operation and 
recognition.''
    (vi) ISO/IEC Guide 65, ``General requirements for bodies operating 
product certification systems.''



Sec. 431.16  Test procedures for the measurement of energy efficiency.

    For purposes of 10 CFR Part 431 and EPCA, the test procedures for 
measuring the energy efficiency of an electric motor shall be the test 
procedures specified in appendix B to this subpart B.



Sec. 431.17  Determination of efficiency.

    When a party determines the energy efficiency of an electric motor 
in order to comply with an obligation imposed on it by or pursuant to 
Part C of Title III of EPCA, 42 U.S.C. 6311-6316, this Section applies. 
This section does not apply to enforcement testing conducted pursuant to 
Sec. 431.192.
    (a) Provisions applicable to all electric motors--(1) General 
requirements. The average full load efficiency of each basic model of 
electric motor must be determined either by testing in accordance with 
Sec. 431.16 of this subpart, or by application of an alternative 
efficiency determination method (AEDM) that meets the requirements of 
paragraphs (a)(2) and (3) of this section, provided, however, that an 
AEDM may be used to determine the average full load efficiency of one or 
more of a manufacturer's basic models only if the average full load 
efficiency of at least five of its

[[Page 385]]

other basic models is determined through testing.
    (2) Alternative efficiency determination method. An AEDM applied to 
a basic model must be:
    (i) Derived from a mathematical model that represents the mechanical 
and electrical characteristics of that basic model, and
    (ii) Based on engineering or statistical analysis, computer 
simulation or modeling, or other analytic evaluation of performance 
data.
    (3) Substantiation of an alternative efficiency determination 
method. Before an AEDM is used, its accuracy and reliability must be 
substantiated as follows:
    (i) The AEDM must be applied to at least five basic models that have 
been tested in accordance with Sec. 431.16, and
    (ii) The predicted total power loss for each such basic model, 
calculated by applying the AEDM, must be within plus or minus ten 
percent of the mean total power loss determined from the testing of that 
basic model.
    (4) Subsequent verification of an AEDM. (i) Each manufacturer shall 
periodically select basic models representative of those to which it has 
applied an AEDM, and for each basic model selected shall either:
    (A) Subject a sample of units to testing in accordance with 
Sec. Sec. 431.16 and 431.17(b)(2) by an accredited laboratory that 
meets the requirements of Sec. 431.18;
    (B) Have a certification body recognized under Sec. 431.20 certify 
its nominal full load efficiency; or
    (C) Have an independent state-registered professional engineer, who 
is qualified to perform an evaluation of electric motor efficiency in a 
highly competent manner and who is not an employee of the manufacturer, 
review the manufacturer's representations and certify that the results 
of the AEDM accurately represent the total power loss and nominal full 
load efficiency of the basic model.
    (ii) Each manufacturer that has used an AEDM under this section 
shall have available for inspection by the Department of Energy records 
showing: the method or methods used; the mathematical model, the 
engineering or statistical analysis, computer simulation or modeling, 
and other analytic evaluation of performance data on which the AEDM is 
based; complete test data, product information, and related information 
that the manufacturer has generated or acquired pursuant to paragraphs 
(a)(3) and (a)(4)(i) of this section; and the calculations used to 
determine the average full load efficiency and total power losses of 
each basic model to which the AEDM was applied.
    (iii) If requested by the Department, the manufacturer shall conduct 
simulations to predict the performance of particular basic models of 
electric motors specified by the Department, analyses of previous 
simulations conducted by the manufacturer, sample testing of basic 
models selected by the Department, or a combination of the foregoing.
    (5) Use of a certification program or accredited laboratory. (i) A 
manufacturer may have a certification program, that DOE has classified 
as nationally recognized under Sec. 431.20, certify the nominal full 
load efficiency of a basic model of electric motor, and issue a 
certificate of conformity for the motor.
    (ii) For each basic model for which a certification program is not 
used as described in paragraph (a)(5)(i) of this section, any testing of 
the motor pursuant to paragraphs (a)(1) through (3) of this section to 
determine its energy efficiency must be carried out in accordance with 
paragraph (b) of this section, in an accredited laboratory that meets 
the requirements of Sec. 431.18. (This includes testing of the basic 
model, pursuant to paragraph (a)(3)(i) of this section, to substantiate 
an AEDM.)
    (b) Additional testing requirements applicable when a certification 
program is not used--(1) Selection of basic models for testing. (i) 
Basic models must be selected for testing in accordance with the 
following criteria:
    (A) Two of the basic models must be among the five basic models with 
the highest unit volumes of production by the manufacturer in the prior 
year, or

[[Page 386]]

during the prior 12 calendar month period beginning in 1997, \1\ 
whichever is later;
---------------------------------------------------------------------------

    \1\ In identifying thse five basic models, any electric motor that 
does not comply with Sec. 431.25 shall be excluded from consideration.
---------------------------------------------------------------------------

    (B) The basic models should be of different horsepowers without 
duplication;
    (C) The basic models should be of different frame number series 
without duplication; and
    (D) Each basic model should be expected to have the lowest nominal 
full load efficiency among the basic models with the same rating 
(``rating'' as used here has the same meaning as it has in the 
definition of ``basic model'').
    (ii) In any instance where it is impossible for a manufacturer to 
select basic models for testing in accordance with all of these 
criteria, the criteria shall be given priority in the order in which 
they are listed. Within the limits imposed by the criteria, basic models 
shall be selected randomly.
    (2) Selection of units for testing. For each basic model selected 
for testing, \2\ a sample of units shall be selected at random and 
tested. The sample shall be comprised of production units of the basic 
model, or units that are representative of such production units. The 
sample size shall be not fewer than five units, except that when fewer 
than five units of a basic model would be produced over a reasonable 
period of time (approximately 180 days), then each unit shall be tested. 
In a test of compliance with a represented average or nominal 
efficiency:
---------------------------------------------------------------------------

    \2\ 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) The average full-load efficiency of the sample X which is 
defined by
[GRAPHIC] [TIFF OMITTED] TR83AD04.001


where Xi is the measured full-load efficiency of unit i and n is the 
number of units tested, shall satisfy the condition:
[GRAPHIC] [TIFF OMITTED] TR83AD04.002


where RE is the represented nominal full-load efficiency, and
    (ii) The lowest full-load efficiency in the sample Xmin, 
which is defined by
[GRAPHIC] [TIFF OMITTED] TR83AD04.003


shall satisfy the condition
[GRAPHIC] [TIFF OMITTED] TR83AD04.004

    (3) Substantiation of an alternative efficiency determination 
method. The basic models tested under Sec. 431.17(a)(3)(i) must be 
selected for testing in accordance with paragraph (b)(1) of this 
section, and units of each such basic model must be tested in accordance 
with paragraph (b)(2) of this section by an accredited laboratory that 
meets the requirements of Sec. 431.18.



Sec. 431.18  Testing laboratories.

    (a) Testing pursuant to Sec. 431.17(a)(5)(ii) must be conducted in 
an accredited laboratory for which the accreditation body was:
    (1) The National Institute of Standards and Technology/National 
Voluntary Laboratory Accreditation Program (NIST/NVLAP); or
    (2) A laboratory accreditation body having a mutual recognition 
arrangement with NIST/NVLAP; or
    (3) An organization classified by the Department, pursuant to Sec. 
431.19, as an accreditation body.
    (b) NIST/NVLAP is under the auspices of the National Institute of 
Standards and Technology (NIST) which is part of the U.S. Department of 
Commerce. NIST/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. NIST Handbook 150-10, August 1995, presents the technical 
requirements of the National Voluntary Laboratory Accreditation Program 
for the Efficiency of Electric Motors field of accreditation. This 
handbook supplements NIST Handbook 150,

[[Page 387]]

National Voluntary Laboratory Accreditation Program Procedures and 
General Requirements, which contains 15 CFR Part 285 plus all general 
NIST/NVLAP procedures, criteria, and policies. Changes in NIST/NVLAP's 
criteria, procedures, policies, standards or other bases for granting 
accreditation, occurring subsequent to the initial effective date of 10 
CFR Part 431, shall not apply to accreditation under this Part unless 
approved in writing by the Department of Energy. Information regarding 
NIST/NVLAP and its Efficiency of Electric Motors Program (EEM) can be 
obtained from NIST/NVLAP, 100 Bureau Drive, Mail Stop 2140, 
Gaithersburg, MD 20899-2140, telephone (301) 975-4016, or telefax (301) 
926-2884.



Sec. 431.19  Department of Energy recognition of accreditation bodies.

    (a) Petition. To be classified by the Department of Energy as an 
accreditation body, an organization must submit a petition to the 
Department requesting such classification, in accordance with paragraph 
(c) of this section and Sec. 431.21. The petition must demonstrate that 
the organization meets the criteria in paragraph (b) of this section.
    (b) Evaluation criteria. To be classified as an accreditation body 
by the Department, the organization must meet the following criteria:
    (1) It must have satisfactory standards and procedures for 
conducting and administering an accreditation system and for granting 
accreditation. This must include provisions for periodic audits to 
verify that the laboratories receiving its accreditation continue to 
conform to the criteria by which they were initially accredited, and for 
withdrawal of accreditation where such conformance does not occur, 
including failure to provide accurate test results.
    (2) It must be independent of electric motor manufacturers, 
importers, distributors, private labelers or vendors. It cannot be 
affiliated with, have financial ties with, be controlled by, or be under 
common control with any such entity.
    (3) It must be qualified to perform the accrediting function in a 
highly competent manner.
    (4) It must be expert in the content and application of the test 
procedures and methodologies in IEEE Standard 112-1996 Test Method B and 
CSA Standard C390-93 Test Method (1), (Incorporated by reference, see 
Sec. 431.15) or similar procedures and methodologies for determining 
the energy efficiency of electric motors.
    (c) Petition format. Each petition requesting classification as an 
accreditation body must contain a narrative statement as to why the 
organization meets the criteria set forth in paragraph (b) of this 
section, must be signed on behalf of the organization by an authorized 
representative, and must be accompanied by documentation that supports 
the narrative statement. The following provides additional guidance:
    (1) Standards and procedures. A copy of the organization's standards 
and procedures for operating an accreditation system and for granting 
accreditation should accompany the petition.
    (2) Independent status. The petitioning organization should identify 
and describe any relationship, direct or indirect, that it has with an 
electric motor manufacturer, importer, distributor, private labeler, 
vendor, trade association or other such entity, as well as any other 
relationship it believes might appear to create a conflict of interest 
for it in performing as an accreditation body for electric motor testing 
laboratories. It should explain why it believes such relationship(s) 
would not compromise its independence as an accreditation body.
    (3) Qualifications to do accrediting. Experience in accrediting 
should be discussed and substantiated by supporting documents. Of 
particular relevance would be documentary evidence that establishes 
experience in the application of guidelines contained in the ISO/IEC 
Guide 58, Calibration and testing laboratory accreditation systems--
General requirements for operation and recognition, as well as 
experience in overseeing compliance with the guidelines contained in the 
ISO/IEC Guide 25, General Requirements for the Competence of Calibration 
and Testing Laboratories.
    (4) Expertise in electric motor test procedures. The petition should 
set forth the organization's experience with the test procedures and 
methodologies in IEEE

[[Page 388]]

Standard 112-1996 Test Method B and CSA Standard C390-93 Test Method 
(1), (Incorporated by reference, see Sec. 431.15) and with similar 
procedures and methodologies. This part of the petition should include 
description of prior projects, qualifications of staff members, and the 
like. Of particular relevance would be documentary evidence that 
establishes experience in applying the guidelines contained in the ISO/
IEC Guide 25, General Requirements for the Competence of Calibration and 
Testing Laboratories, to energy efficiency testing for electric motors.
    (d) Disposition. The Department will evaluate the petition in 
accordance with Sec. 431.21, and will determine whether the applicant 
meets the criteria in paragraph (b) of this section to be classified as 
an accrediting body.



Sec. 431.20  Department of Energy recognition of nationally recognized
certification programs.

    (a) Petition. For a certification program to be classified by the 
Department of Energy as being nationally recognized in the United States 
for the purposes of Section 345(c) of EPCA (``nationally recognized''), 
the organization operating the program must submit a petition to the 
Department requesting such classification, in accordance with paragraph 
(c) of this Section and Sec. 431.21. The petition must demonstrate that 
the program meets the criteria in paragraph (b) of this section.
    (b) Evaluation criteria. For a certification program to be 
classified by the Department as nationally recognized, it must meet the 
following criteria:
    (1) It must have satisfactory standards and procedures for 
conducting and administering a certification system, including periodic 
follow up activities to assure that basic models of electric motor 
continue to conform to the efficiency levels for which they were 
certified, and for granting a certificate of conformity.
    (2) It must be independent of electric motor manufacturers, 
importers, distributors, private labelers or vendors. It cannot be 
affiliated with, have financial ties with, be controlled by, or be under 
common control with any such entity.
    (3) It must be qualified to operate a certification system in a 
highly competent manner.
    (4) It must be expert in the content and application of the test 
procedures and methodologies in IEEE Standard 112-1996 Test Method B and 
CSA Standard C390-93 Test Method (1), (Incorporated by reference, see 
Sec. 431.15) or similar procedures and methodologies for determining 
the energy efficiency of electric motors. It must have satisfactory 
criteria and procedures for the selection and sampling of electric 
motors tested for energy efficiency.
    (c) Petition format. Each petition requesting classification as a 
nationally recognized certification program must contain a narrative 
statement as to why the program meets the criteria listed in paragraph 
(b) of this section, must be signed on behalf of the organization 
operating the program by an authorized representative, and must be 
accompanied by documentation that supports the narrative statement. The 
following provides additional guidance as to the specific criteria:
    (1) Standards and procedures. A copy of the standards and procedures 
for operating a certification system and for granting a certificate of 
conformity should accompany the petition.
    (2) Independent status. The petitioning organization should identify 
and describe any relationship, direct or indirect, that it or the 
certification program has with an electric motor manufacturer, importer, 
distributor, private labeler, vendor, trade association or other such 
entity, as well as any other relationship it believes might appear to 
create a conflict of interest for the certification program in operating 
a certification system for compliance by electric motors with energy 
efficiency standards. It should explain why it believes such 
relationship would not compromise its independence in operating a 
certification program.
    (3) Qualifications to operate a certification system. Experience in 
operating a certification system should be discussed and substantiated 
by supporting documents. Of particular relevance would be documentary 
evidence that establishes experience in the application of guidelines 
contained in the ISO/

[[Page 389]]

IEC Guide 65, General requirements for bodies operating product 
certification systems, ISO/IEC Guide 27, Guidelines for corrective 
action to be taken by a certification body in the event of either 
misapplication of its mark of conformity to a product, or products which 
bear the mark of the certification body being found to subject persons 
or property to risk, and ISO/IEC Guide 28, General rules for a model 
third-party certification system for products, as well as experience in 
overseeing compliance with the guidelines contained in the ISO/IEC Guide 
25, General requirements for the competence of calibration and testing 
laboratories.
    (4) Expertise in electric motor test procedures. The petition should 
set forth the program's experience with the test procedures and 
methodologies in IEEE Standard 112-1996 Test Method B and CSA Standard 
C390-93 Test Method (1), (Incorporated by reference, see Sec. 431.15) 
and with similar procedures and methodologies. This part of the petition 
should include description of prior projects, qualifications of staff 
members, and the like. Of particular relevance would be documentary 
evidence that establishes experience in applying guidelines contained in 
the ISO/IEC Guide 25, General requirements for the competence of 
calibration and testing laboratories, to energy efficiency testing for 
electric motors.
    (d) Disposition. The Department will evaluate the petition in 
accordance with Sec. 431.21, and will determine whether the applicant 
meets the criteria in paragraph (b) of this section for classification 
as a nationally recognized certification program.



Sec. 431.21  Procedures for recognition and withdrawal of recognition
of accreditation bodies and certification programs.

    (a) Filing of petition. Any petition submitted to the Department 
pursuant to Sec. Sec. 431.19(a) or 431.20(a), shall be entitled 
``Petition for Recognition'' (``Petition'') and must be submitted, in 
triplicate to the Assistant Secretary for Energy Efficiency and 
Renewable Energy, U.S. Department of Energy, Forrestal Building, 1000 
Independence Avenue, SW., Washington, DC 20585-0121. In accordance with 
the provisions set forth in 10 CFR 1004.11, any request for confidential 
treatment of any information contained in such a Petition or in 
supporting documentation must be accompanied by a copy of the Petition 
or supporting documentation from which the information claimed to be 
confidential has been deleted.
    (b) Public notice and solicitation of comments. DOE shall publish in 
the Federal Register the Petition 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 on whether the Petition 
should be granted. The Department shall also make available for 
inspection and copying the Petition's supporting documentation from 
which confidential information, as determined by DOE, has been deleted 
in accordance with 10 CFR 1004.11. Any person submitting written 
comments to DOE with respect to a Petition shall also send a copy of 
such comments to the petitioner.
    (c) Responsive statement by the petitioner. A petitioner may, within 
10 working days of receipt of a copy of any comments submitted in 
accordance with paragraph (b) of this section, respond to such comments 
in a written statement submitted to the Assistant Secretary for Energy 
Efficiency and Renewable Energy. A petitioner may address more than one 
set of comments in a single responsive statement.
    (d) Public announcement of interim determination and solicitation of 
comments. The Assistant Secretary for Energy Efficiency and Renewable 
Energy shall issue an interim determination on the Petition as soon as 
is practicable following receipt and review of the Petition and other 
applicable documents, including, but not limited to, comments and 
responses to comments. The petitioner shall be notified in writing of 
the interim determination. DOE shall also publish in the Federal 
Register the interim determination and shall solicit comments, data and 
information with respect to that interim determination. Written comments 
and responsive statements may be submitted as provided in paragraphs (b) 
and (c) of this section.
    (e) Public announcement of final determination. The Assistant 
Secretary for

[[Page 390]]

Energy Efficiency and Renewable Energy shall as soon as practicable, 
following receipt and review of comments and responsive statements on 
the interim determination, publish in the Federal Register a notice of 
final determination on the Petition.
    (f) Additional information. The Department may, at any time during 
the recognition process, request additional relevant information or 
conduct an investigation concerning the Petition. The Department's 
determination on a Petition may be based solely on the Petition and 
supporting documents, or may also be based on such additional 
information as the Department deems appropriate.
    (g) Withdrawal of recognition--(1) Withdrawal by the Department. If 
the Department believes that an accreditation body or certification 
program that has been recognized under Sec. Sec. 431.19 or 431.20, 
respectively, is failing to meet the criteria of paragraph (b) of the 
section under which it is recognized, the Department will so advise such 
entity and request that it take appropriate corrective action. The 
Department will give the entity an opportunity to respond. If after 
receiving such response, or no response, the Department believes 
satisfactory correction has not been made, the Department will withdraw 
its recognition from that entity.
    (2) Voluntary withdrawal. An accreditation body or certification 
program may withdraw itself from recognition by the Department by 
advising the Department in writing of such withdrawal. It must also 
advise those that use it (for an accreditation body, the testing 
laboratories, and for a certification organization, the manufacturers) 
of such withdrawal.
    (3) Notice of withdrawal of recognition. The Department will publish 
in the Federal Register a notice of any withdrawal of recognition that 
occurs pursuant to this paragraph.

                      Energy Conservation Standards



Sec. 431.25  Energy conservation standards and effective dates.

    (a) Each electric motor manufactured (alone or as a component of 
another piece of equipment) after October 24, 1997, or in the case of an 
electric motor which requires listing or certification by a nationally 
recognized safety testing laboratory, after October 24, 1999, shall have 
a nominal full load efficiency of not less than the following:

----------------------------------------------------------------------------------------------------------------
                                                            Nominal full load efficiency
                                   -----------------------------------------------------------------------------
    Motor horsepower/ standard          Open motors (number of poles)        Enclosed motors (number of poles)
        kilowatt equivalent        -----------------------------------------------------------------------------
                                         6            4            2            6            4            2
----------------------------------------------------------------------------------------------------------------
1 / .75...........................         80.0         82.5  ...........         80.0         82.5         75.5
1.5 / 1.1.........................         84.0         84.0         82.5         85.5         84.0         82.5
2 / 1.5...........................         85.5         84.0         84.0         86.5         84.0         84.0
3 / 2.2...........................         86.5         86.5         84.0         87.5         87.5         85.5
5 / 3.7...........................         87.5         87.5         85.5         87.5         87.5         87.5
7.5 / 5.5.........................         88.5         88.5         87.5         89.5         89.5         88.5
10 / 7.5..........................         90.2         89.5         88.5         89.5         89.5         89.5
15 / 11...........................         90.2         91.0         89.5         90.2         91.0         90.2
20 / 15...........................         91.0         91.0         90.2         90.2         91.0         90.2
25 / 18.5.........................         91.7         91.7         91.0         91.7         92.4         91.0
30 / 22...........................         92.4         92.4         91.0         91.7         92.4         91.0
40 / 30...........................         93.0         93.0         91.7         93.0         93.0         91.7
50 / 37...........................         93.0         93.0         92.4         93.0         93.0         92.4
60 / 45...........................         93.6         93.6         93.0         93.6         93.6         93.0
75 / 55...........................         93.6         94.1         93.0         93.6         94.1         93.0
100 / 75..........................         94.1         94.1         93.0         94.1         94.5         93.6
125 / 90..........................         94.1         94.5         93.6         94.1         94.5         94.5
150 / 110.........................         94.5         95.0         93.6         95.0         95.0         94.5
200 / 150.........................         94.5         95.0         94.5         95.0         95.0         95.0
----------------------------------------------------------------------------------------------------------------

    (b) For purposes of determining the required minimum nominal full 
load efficiency of an electric motor that has a horsepower or kilowatt 
rating between two horsepowers or kilowattages listed consecutively in 
paragraph (a) of this section, each such motor shall be deemed to have a 
horsepower or kilowatt rating that is listed in paragraph (a) of this 
section. The rating that the

[[Page 391]]

motor is deemed to have shall be determined as follows:
    (1) A horsepower at or above the midpoint between the two 
consecutive horsepowers shall be rounded up to the higher of the two 
horsepowers;
    (2) A horsepower below the midpoint between the two consecutive 
horsepowers shall be rounded down to the lower of the two horsepowers, 
or
    (3) A kilowatt rating shall be directly converted from kilowatts to 
horsepower using the formula, 1 kilowatt = (1 / 0.746) horsepower, 
without calculating beyond three significant decimal places, and the 
resulting horsepower shall be rounded in accordance with paragraphs 
(b)(1) or (b)(2) of this section, whichever applies.
    (c) Each general purpose electric motor (subtype I), except as 
provided in paragraph (d) of this section, with a power rating of 1 
horsepower or greater, but not greater than 200 horsepower, manufactured 
(alone or as a component of another piece of equipment) on or after 
December 19, 2010, shall have a nominal full load efficiency that is not 
less than the following:

                                                Full-Load Efficiencies of General Purpose Electric Motors
                                                                       [Subtype I]
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                           Nominal full load efficiency
                                                         -----------------------------------------------------------------------------------------------
                    Motor horsepower                              Open motors  (number of poles)                Enclosed motors  (number of poles)
                                                         -----------------------------------------------------------------------------------------------
                                                                 6               4               2               6               4               2
--------------------------------------------------------------------------------------------------------------------------------------------------------
1.......................................................            82.5            85.5            77.0            82.5            85.5            77.0
1.5.....................................................            86.5            86.5            84.0            87.5            86.5            84.0
2.......................................................            87.5            86.5            85.5            88.5            86.5            85.5
3.......................................................            88.5            89.5            85.5            89.5            89.5            86.5
5.......................................................            89.5            89.5            86.5            89.5            89.5            88.5
7.5.....................................................            90.2            91.0            88.5            91.0            91.7            89.5
10......................................................            91.7            91.7            89.5            91.0            91.7            90.2
15......................................................            91.7            93.0            90.2            91.7            92.4            91.0
20......................................................            92.4            93.0            91.0            91.7            93.0            91.0
25......................................................            93.0            93.6            91.7            93.0            93.6            91.7
30......................................................            93.6            94.1            91.7            93.0            93.6            91.7
40......................................................            94.1            94.1            92.4            94.1            94.1            92.4
50......................................................            94.1            94.5            93.0            94.1            94.5            93.0
60......................................................            94.5            95.0            93.6            94.5            95.0            93.6
75......................................................            94.5            95.0            93.6            94.5            95.4            93.6
100.....................................................            95.0            95.4            93.6            95.0            95.4            94.1
125.....................................................            95.0            95.4            94.1            95.0            95.4            95.0
150.....................................................            95.4            95.8            94.1            95.8            95.8            95.0
200.....................................................            95.4            95.8            95.0            95.8            96.2            95.4
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (d) Each fire pump motor manufactured (alone or as a component of 
another piece of equipment) on or after December 19, 2010, shall have a 
nominal full load efficiency that is not less than the following:

                                                       Full-Load Efficiencies of Fire Pump Motors
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                           Nominal full load efficiency
                                                         -----------------------------------------------------------------------------------------------
                    Motor horsepower                              Open motors  (number of poles)                Enclosed motors  (number of poles)
                                                         -----------------------------------------------------------------------------------------------
                                                               8           6           4           2           8           6           4           2
--------------------------------------------------------------------------------------------------------------------------------------------------------
1.......................................................        74.0        80.0        82.5  ..........        74.0        80.0        82.5        75.5
1.5.....................................................        75.5        84.0        84.0        82.5        77.0        85.5        84.0        82.5
2.......................................................        85.5        85.5        84.0        84.0        82.5        86.5        84.0        84.0
3.......................................................        86.5        86.5        86.5        84.0        84.0        87.5        87.5        85.5
5.......................................................        87.5        87.5        87.5        85.5        85.5        87.5        87.5        87.5
7.5.....................................................        88.5        88.5        88.5        87.5        85.5        89.5        89.5        88.5
10......................................................        89.5        90.2        89.5        88.5        88.5        89.5        89.5        89.5
15......................................................        89.5        90.2        91.0        89.5        88.5        90.2        91.0        90.2
20......................................................        90.2        91.0        91.0        90.2        89.5        90.2        91.0        90.2
25......................................................        90.2        91.7        91.7        91.0        89.5        91.7        92.4        91.0
30......................................................        91.0        92.4        92.4        91.0        91.0        91.7        92.4        91.0

[[Page 392]]

 
40......................................................        91.0        93.0        93.0        91.7        91.0        93.0        93.0        91.7
50......................................................        91.7        93.0        93.0        92.4        91.7        93.0        93.0        92.4
60......................................................        92.4        93.6        93.6        93.0        91.7        93.6        93.6        93.0
75......................................................        93.6        93.6        94.1        93.0        93.0        93.6        94.1        93.0
100.....................................................        93.6        94.1        94.1        93.0        93.0        94.1        94.5        93.6
125.....................................................        93.6        94.1        94.5        93.6        93.6        94.1        94.5        94.5
150.....................................................        93.6        94.5        95.0        93.6        93.6        95.0        95.0        94.5
200.....................................................        93.6        94.5        95.0        94.5        94.1        95.0        95.0        95.0
250.....................................................        94.5        95.4        95.4        94.5        94.5        95.0        95.0        95.4
300.....................................................  ..........        95.4        95.4        95.0  ..........        95.0        95.4        95.4
350.....................................................  ..........        95.4        95.4        95.0  ..........        95.0        95.4        95.4
400.....................................................  ..........  ..........        95.4        95.4  ..........  ..........        95.4        95.4
450.....................................................  ..........  ..........        95.8        95.8  ..........  ..........        95.4        95.4
500.....................................................  ..........  ..........        95.8        95.8  ..........  ..........        95.8        95.4
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (e) Each general purpose electric motor (subtype II) with a power 
rating of 1 horsepower or greater, but not greater than 200 horsepower, 
manufactured (alone or as a component of another piece of equipment) on 
or after December 19, 2010, shall have a nominal full load efficiency 
that is not less than the following:

                                                Full-Load Efficiencies of General Purpose Electric Motors
                                                                      [Subtype II]
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                           Nominal full load efficiency
                                                         -----------------------------------------------------------------------------------------------
                    Motor horsepower                              Open motors  (number of poles)                Enclosed motors  (number of poles)
                                                         -----------------------------------------------------------------------------------------------
                                                               8           6           4           2           8           6           4           2
--------------------------------------------------------------------------------------------------------------------------------------------------------
1.......................................................        74.0        80.0        82.5  ..........        74.0        80.0        82.5        75.5
1.5.....................................................        75.5        84.0        84.0        82.5        77.0        85.5        84.0        82.5
2.......................................................        85.5        85.5        84.0        84.0        82.5        86.5        84.0        84.0
3.......................................................        86.5        86.5        86.5        84.0        84.0        87.5        87.5        85.5
5.......................................................        87.5        87.5        87.5        85.5        85.5        87.5        87.5        87.5
7.5.....................................................        88.5        88.5        88.5        87.5        85.5        89.5        89.5        88.5
10......................................................        89.5        90.2        89.5        88.5        88.5        89.5        89.5        89.5
15......................................................        89.5        90.2        91.0        89.5        88.5        90.2        91.0        90.2
20......................................................        90.2        91.0        91.0        90.2        89.5        90.2        91.0        90.2
25......................................................        90.2        91.7        91.7        91.0        89.5        91.7        92.4        91.0
30......................................................        91.0        92.4        92.4        91.0        91.0        91.7        92.4        91.0
40......................................................        91.0        93.0        93.0        91.7        91.0        93.0        93.0        91.7
50......................................................        91.7        93.0        93.0        92.4        91.7        93.0        93.0        92.4
60......................................................        92.4        93.6        93.6        93.0        91.7        93.6        93.6        93.0
75......................................................        93.6        93.6        94.1        93.0        93.0        93.6        94.1        93.0
100.....................................................        93.6        94.1        94.1        93.0        93.0        94.1        94.5        93.6
125.....................................................        93.6        94.1        94.5        93.6        93.6        94.1        94.5        94.5
150.....................................................        93.6        94.5        95.0        93.6        93.6        95.0        95.0        94.5
200.....................................................        93.6        94.5        95.0        94.5        94.1        95.0        95.0        95.0
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (f) Each NEMA design B general purpose electric motor with a power 
rating of more than 200 horsepower, but not greater than 500 horsepower, 
manufactured (alone or as a component of another piece of equipment), on 
or after December 19, 2010, shall have nominal full load efficiency that 
is not less than the following:

[[Page 393]]



            Full-Load Efficiencies of NEMA Design B General Purpose Electric Motors Full-Load Efficiencies of General Purpose Electric Motors
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                           Nominal full load efficiency
                                                         -----------------------------------------------------------------------------------------------
                    Motor horsepower                              Open motors  (number of poles)                Enclosed motors  (number of poles)
                                                         -----------------------------------------------------------------------------------------------
                                                               8           6           4           2           8           6           4           2
--------------------------------------------------------------------------------------------------------------------------------------------------------
250.....................................................        94.5        94.5        95.4        94.5        94.5        95.0        95.0        95.4
300.....................................................  ..........        94.5        95.4        95.0  ..........        95.0        95.4        95.4
350.....................................................  ..........        94.5        95.4        95.0  ..........        95.0        95.4        95.4
400.....................................................  ..........  ..........        95.4        95.4  ..........  ..........        95.4        95.4
450.....................................................  ..........  ..........        95.8        95.8  ..........  ..........        95.4        95.4
500.....................................................  ..........  ..........        95.8        95.8  ..........  ..........        95.8        95.4
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (g) This section does not apply to definite purpose motors, special 
purpose motors, and those motors exempted by the Secretary.

[69 FR 61923, Oct. 21, 2004, as amended at 74 FR 12071, Mar. 23, 2009]



Sec. 431.26  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 an electric motor that is not identical to a Federal standard in 
effect under this subpart is preempted by that standard, except as 
provided for in Section 345(a) and 327(b) and (c) of the Act.

                                Labeling



Sec. 431.30  Applicability of labeling requirements.

    The labeling rules in Sec. 431.31, established pursuant to Section 
344 of EPCA, 42 U.S.C. 6315, apply only to electric motors manufactured 
after October 5, 2000.



Sec. 431.31  Labeling requirements.

    (a) Electric motor nameplate--(1) Required information. The 
permanent nameplate of an electric motor for which standards are 
prescribed in Sec. 431.25 must be marked clearly with the following 
information:
    (i) The motor's nominal full load efficiency (as of the date of 
manufacture), derived from the motor's average full load efficiency as 
determined pursuant to this subpart; and
    (ii) A Compliance Certification number (``CC number'') supplied by 
DOE to the manufacturer or private labeler, pursuant to Sec. 431.36(f), 
and applicable to that motor. Such CC number must be on the nameplate of 
a motor beginning 90 days after either:
    (A) The manufacturer or private labeler has received the number upon 
submitting a Compliance Certification covering that motor, or
    (B) The expiration of 21 days from DOE's receipt of a Compliance 
Certification covering that motor, if the manufacturer or private 
labeler has not been advised by DOE that the Compliance Certification 
fails to satisfy Sec. 431.36.
    (2) Display of required information. All orientation, spacing, type 
sizes, type faces, and line widths to display this required information 
shall be the same as or similar to the display of the other performance 
data on the motor's permanent nameplate. The nominal full load 
efficiency shall be identified either by the term ``Nominal Efficiency'' 
or ``Nom. Eff.'' or by the terms specified in paragraph 12.58.2 of NEMA 
MG1-1993, (Incorporated by reference, see Sec. 431.15) as for example 
``NEMA Nom. Eff. --------.'' The DOE number shall be in the form ``CC--
------.
    (3) Optional display. The permanent nameplate of an electric motor, 
a separate plate, or decalcomania, may be marked with the encircled 
lower case letters ``ee'', for example,
[GRAPHIC] [TIFF OMITTED] TR83AD04.000


or with some comparable designation or logo, if the motor meets the 
applicable standard prescribed in Sec. 431.25, as determined pursuant 
to this subpart, and is covered by a Compliance Certification that 
satisfies Sec. 431.36.

[[Page 394]]

    (b) Disclosure of efficiency information in marketing materials. (1) 
The same information that must appear on an electric motor's permanent 
nameplate pursuant to paragraph (a)(1) of this section, shall be 
prominently displayed:
    (i) On each page of a catalog that lists the motor; and
    (ii) In other materials used to market the motor.
    (2) The ``ee'' logo, or other similar logo or designations, may also 
be used in catalogs and other materials to the same extent they may be 
used on labels under paragraph (a)(3) of this section.



Sec. 431.32  Preemption of State regulations.

    The provisions of Sec. 431.31 supersede any State regulation to the 
extent required by Section 327 of the Act. Pursuant to the Act, all 
State regulations that require the disclosure for any electric motor of 
information with respect to energy consumption, other than the 
information required to be disclosed in accordance with this part, are 
superseded.

                              Certification



Sec. 431.35  Applicability of certification requirements.

    Section 431.36 sets forth the procedures for manufacturers to 
certify that electric motors comply with the applicable energy 
efficiency standards set forth in this subpart.



Sec. 431.36  Compliance Certification.

    (a) General. Beginning April 26, 2003, a manufacturer or private 
labeler shall not distribute in commerce any basic model of an electric 
motor which is subject to an energy efficiency standard set forth in 
this subpart unless it has submitted to the Department a Compliance 
Certification certifying, in accordance with the provisions of this 
section, that the basic model meets the requirements of the applicable 
standard. The representations in the Compliance Certification must be 
based upon the basic model's energy efficiency as determined in 
accordance with the applicable requirements of this subpart. This means, 
in part, that either:
    (1) The representations as to the basic model must be based on use 
of a certification organization; or
    (2) Any testing of the basic model on which the representations are 
based must be conducted at an accredited laboratory.
    (b) Required contents--(1) General representations. Each Compliance 
Certification must certify that:
    (i) The nominal full load efficiency for each basic model of 
electric motor distributed is not less than the minimum nominal full 
load efficiency required for that motor by Sec. 431.25;
    (ii) All required determinations on which the Compliance 
Certification is based were made in compliance with the applicable 
requirements prescribed in this subpart;
    (iii) All information reported in the Compliance Certification is 
true, accurate, and complete; and
    (iv) The manufacturer or private labeler is aware of the penalties 
associated with violations of the Act and the regulations thereunder, 
and of 18 U.S.C. 1001 which prohibits knowingly making false statements 
to the Federal Government.
    (2) Specific data. (i) For each rating of electric motor (as the 
term ``rating'' is defined in the definition of basic model) which a 
manufacturer or private labeler distributes, the Compliance 
Certification must report the nominal full load efficiency, determined 
pursuant to Sec. Sec. 431.16 and 431.17, of the least efficient basic 
model within that rating.
    (ii) The Compliance Certification must identify the basic models on 
which actual testing has been performed to meet the requirements of 
Sec. 431.17.
    (iii) The format for a Compliance Certification is set forth in 
appendix C of this subpart.
    (c) Optional contents. In any Compliance Certification, a 
manufacturer or private labeler may at its option request that DOE 
provide it with a unique Compliance Certification number (``CC number'') 
for any brand name, trademark or other label name under which the 
manufacturer or private labeler distributes electric motors covered by 
the Certification. Such a Compliance Certification must also identify

[[Page 395]]

all other names, if any, under which the manufacturer or private labeler 
distributes electric motors, and to which the request does not apply.
    (d) Signature and submission. A manufacturer or private labeler must 
submit the Compliance Certification either on its own behalf, signed by 
a corporate officer of the company, or through a third party (for 
example, a trade association or other authorized representative) acting 
on its behalf. Where a third party is used, the Compliance Certification 
must identify the official of the manufacturer or private labeler who 
authorized the third party to make representations on the company's 
behalf, and must be signed by a corporate official of the third party. 
The Compliance Certification must be submitted to the Department by 
certified mail, to Department of Energy, Assistant Secretary for Energy 
Efficiency and Renewable Energy, Building Technologies (EE-2J), 
Forrestal Building, 1000 Independence Avenue, SW., Washington, DC 20585-
0121.
    (e) New basic models. For electric motors, a Compliance 
Certification must be submitted for a new basic model only if the 
manufacturer or private labeler has not previously submitted to DOE a 
Compliance Certification, that meets the requirements of this section, 
for a basic model that has the same rating as the new basic model, and 
that has a lower nominal full load efficiency than the new basic model.
    (f) Response to Compliance Certification; Compliance Certification 
Number (CC number)--(1) DOE processing of Certification. Promptly upon 
receipt of a Compliance Certification, the Department will determine 
whether the document contains all of the elements required by this 
section, and may, in its discretion, determine whether all or part of 
the information provided in the document is accurate. The Department 
will then advise the submitting party in writing either that the 
Compliance Certification does not satisfy the requirements of this 
section, in which case the document will be returned, or that the 
Compliance Certification satisfies this section. The Department will 
also advise the submitting party of the basis for its determination.
    (2) Issuance of CC number(s). (i) Initial Compliance Certification. 
When DOE advises that the initial Compliance Certification submitted by 
or on behalf of a manufacturer or private labeler is acceptable, either:
    (A) DOE will provide a single unique CC number, ``CC--------,'' to 
the manufacturer or private labeler, and such CC number shall be 
applicable to all electric motors distributed by the manufacturer or 
private labeler, or
    (B) When required by paragraph (f)(3) of this section, DOE will 
provide more than one CC number to the manufacturer or private labeler.
    (ii) Subsequent Compliance Certification. When DOE advises that any 
other Compliance Certification is acceptable, it will provide a unique 
CC number for any brand name, trademark or other name when required by 
paragraph (f)(3) of this section.
    (iii) When DOE declines to provide a CC number as requested by a 
manufacturer or private labeler in accordance with Sec. 431.36(c), DOE 
will advise the requester of the reasons for such refusal.
    (3) Issuance of two or more CC numbers. (i) DOE will provide a 
unique CC number for each brand name, trademark or other label name for 
which a manufacturer or private labeler requests such a number in 
accordance with Sec. 431.36(c), except as follows. DOE will not provide 
a CC number for any brand name, trademark or other label name
    (A) For which DOE has previously provided a CC number, or
    (B) That duplicates or overlaps with other names under which the 
manufacturer or private labeler sells electric motors.
    (ii) Once DOE has provided a CC number for a particular name, that 
shall be the only CC number applicable to all electric motors 
distributed by the manufacturer or private labeler under that name.
    (iii) If the Compliance Certification in which a manufacturer or 
private labeler requests a CC number is the initial Compliance 
Certification submitted by it or on its behalf, and it distributes 
electric motors not covered by the CC number(s) DOE provides in response 
to the request(s), DOE will also provide a unique CC number that shall

[[Page 396]]

be applicable to all of these other motors.



Sec. Appendix A to Subpart B of Part 431--Policy Statement for Electric 
       Motors Covered Under the Energy Policy and Conservation Act

    This is a reprint of a policy statement which was published on 
November 5, 1997 at 62 FR 59978.

Policy Statement for Electric Motors Covered Under the Energy Policy and 
                            Conservation Act

                             I. Introduction

    The Energy Policy and Conservation Act (EPCA), 42 U.S.C. 6311, et 
seq., establishes energy efficiency standards and test procedures for 
certain commercial and industrial electric motors manufactured (alone or 
as a component of another piece of equipment) after October 24, 1997, 
or, in the case of an electric motor which requires listing or 
certification by a nationally recognized safety testing laboratory, 
after October 24, 1999. \1\ EPCA also directs the Department of Energy 
(DOE or Department) to implement the statutory test procedures 
prescribed for motors, and to require efficiency labeling of motors and 
certification that covered motors comply with the standards.
---------------------------------------------------------------------------

    \1\ The term ``manufacture'' means ``to manufacture, produce, 
assemble or import.'' EPCA Sec. 321(10). Thus, the standards apply to 
motors produced, assembled, imported or manufactured after these 
statutory deadlines.
---------------------------------------------------------------------------

    Section 340(13)(A) of EPCA defines the term ``electric motor'' based 
essentially on the construction and rating system in the National 
Electrical Manufacturers Association (NEMA) Standards Publication MG1. 
Sections 340(13)(B) and (c) of EPCA define the terms ``definite purpose 
motor'' and ``special purpose motor,'' respectively, for which the 
statute prescribes no efficiency standards.
    In its proposed rule to implement the EPCA provisions that apply to 
motors (61 FR 60440, November 27, 1996), DOE has proposed to clarify the 
statutory definition of ``electric motor,'' to mean a machine which 
converts electrical power into rotational mechanical power and which: 
(1) Is a general purpose motor, including motors with explosion-proof 
construction \2\; (2) is a single speed, induction motor; (3) is rated 
for continuous duty operation, or is rated duty type S-1 (IEC) \3\; (4) 
contains a squirrel-cage or cage (IEC) rotor; (5) has foot-mounting, 
including foot-mounting with flanges or detachable feet; (6) is built in 
accordance with NEMA T-frame dimensions, or IEC metric equivalents 
(IEC); (7) has performance in accordance with NEMA Design A or B 
characteristics, or equivalent designs such as IEC Design N (IEC); and 
(8) operates on polyphase alternating current 60-Hertz sinusoidal power, 
and is (i) rated 230 volts or 460 volts, or both, including any motor 
that is rated at multi-voltages that include 230 volts or 460 volts, or 
(ii) can be operated on 230 volts or 460 volts, or both.
---------------------------------------------------------------------------

    \2\ Section 342(b)(1) of EPCA recognizes that EPCA's efficiency 
standards cover ``motors which require listing or certification by a 
nationally recognized safety testing laboratory.'' This applies, for 
example, to explosion-proof motors which are otherwise general purpose 
motors.
    \3\ Terms followed by the parenthetical ``IEC'' are referred to in 
the International Electrotechnical Commission (IEC) Standard 34-1. Such 
terms are included in DOE's proposed definition of ``electric motor'' 
because DOE believes EPCA's efficiency requirements apply to metric 
system motors that conform to IEC Standard 34, and that are identical or 
equivalent to motors constructed in accordance with NEMA MG1 and covered 
by the statute.
---------------------------------------------------------------------------

    Notwithstanding the clarification provided in the proposed rule, 
there still appears to be uncertainty as to which motors EPCA covers. It 
is widely understood that the statute covers ``general purpose'' motors 
that are manufactured for a variety of applications, and that meet 
EPCA's definition of ``electric motor.'' Many modifications, however, 
can be made to such generic motors. Motor manufacturers have expressed 
concern as to precisely which motors with such modifications are covered 
under the statute, and as to whether manufacturers will be able to 
comply with the statute by October 25, 1997 with respect to all of these 
covered motors. Consequently, motor manufacturers have requested that 
the Department provide additional guidance as to which types of motors 
are ``electric motors,'' ``definite purpose motors,'' and ``special 
purpose motors'' under EPCA. The policy statement that follows is based 
upon input from motor manufacturers and energy efficiency advocates, and 
provides such guidance.

    II. Guidelines for Determining Whether a Motor Is Covered by EPCA

                               A. General

    EPCA specifies minimum nominal full-load energy efficiency standards 
for 1 to 200 horsepower electric motors, and, to measure compliance with 
those standards, prescribes use of the test procedures in NEMA Standard 
MG1 and Institute of Electrical and Electronics Engineers, Inc., (IEEE) 
Standard 112.

[[Page 397]]

In DOE's view, as stated in Assistant Secretary Ervin's letter of May 9, 
1996, to NEMA's Malcolm O'Hagan, until DOE's regulations become 
effective, manufacturers can establish compliance with these EPCA 
requirements through use of competent and reliable procedures or methods 
that give reasonable assurance of such compliance. So long as these 
criteria are met, manufacturers may conduct required testing in their 
own laboratories or in independent laboratories, and may employ 
alternative correlation methods (in lieu of actual testing) for some 
motors. Manufacturers may also establish their compliance with EPCA 
standards and test procedures through use of third party certification 
or verification programs such as those recognized by Natural Resources 
Canada. Labeling and certification requirements will become effective 
only after DOE has promulgated a final rule prescribing such 
requirements.
    Motors with features or characteristics that do not meet the 
statutory definition of ``electric motor'' are not covered, and 
therefore are not required to meet EPCA requirements. Examples include 
motors without feet and without provisions for feet, and variable speed 
motors operated on a variable frequency power supply. Similarly, multi 
speed motors and variable speed motors, such as inverter duty motors, 
are not covered equipment, based on their intrinsic design for use at 
variable speeds. However, NEMA Design A or B motors that are single 
speed, meet all other criteria under the definitions in EPCA for covered 
equipment, and can be used with an inverter in variable speed 
applications as an additional feature, are covered equipment under EPCA. 
In other words, being suitable for use on an inverter by itself does not 
exempt a motor from EPCA requirements.
    Section 340(13)(F) of EPCA, defines a ``small electric motor'' as 
``a NEMA general purpose alternating current single-speed induction 
motor, built in a two-digit frame number series in accordance with NEMA 
Standards Publication MG 1-1987.'' Section 346 of EPCA requires DOE to 
prescribe testing requirements and efficiency standards only for those 
small electric motors for which the Secretary determines that standards 
are warranted. The Department has not yet made such a determination.

                         B. Electrical Features

    As noted above, the Department's proposed definition of ``electric 
motor'' provides in part that it is a motor that ``operates on polyphase 
alternating current 60-Hertz sinusoidal power, and * * * can be operated 
on 230 volts or 460 volts, or both.'' In DOE's view, ``can be operated'' 
implicitly means that the motor can be operated successfully. According 
to NEMA Standards Publication MG1-1993, paragraph 12.44, ``Variations 
from Rated Voltage and Rated Frequency,'' alternating-current motors 
must operate successfully under running conditions at rated load with a 
variation in the voltage or the frequency up to the following: Plus or 
minus 10 percent of rated voltage, with rated frequency for induction 
motors; \4\ plus or minus 5 percent of rated frequency, with rated 
voltage; and a combined variation in voltage and frequency of 10 percent 
(sum of absolute values) of the rated values, provided the frequency 
variation does not exceed plus or minus 5 percent of rated frequency. 
DOE believes that, for purposes of determining whether a motor meets 
EPCA's definition of ``electric motor,'' these criteria should be used 
to determine when a motor that is not rated at 230 or 460 volts or 60 
Hertz can be operated at such voltage and frequency. \5\
---------------------------------------------------------------------------

    \4\ For example, a motor that is rated at 220 volts should operate 
successfully on 230 volts, since 220 + .10(220) = 242 volts. A 208 volt 
motor, however, would not be expected to operate successfully on 230 
volts, since 208 + .10(208) = 228.8 volts.
    \5\ The Department understands that a motor that can operate at such 
voltage and frequency, based on variations defined for successful 
operation, will not necessarily perform in accordance with the industry 
standards established for operation at the motor's rated voltage and 
frequency. In addition, under the test procedures prescribed by EPCA, 
motors are to be tested at their rated values. Therefore, in DOE's view 
a motor that is not rated for 230 or 460 volts, or 60 Hertz, but that 
can be successfully operated at these levels, must meet the energy 
efficiency requirements at its rated voltage(s) and frequency. DOE also 
notes that when a motor is rated to include a wider voltage range that 
includes 230/460 volts, the motor should meet the energy efficiency 
requirements at 230 volts or 460 volts.
---------------------------------------------------------------------------

    NEMA Standards Publication MG1 categorizes electrical modifications 
to motors according to performance characteristics that include locked 
rotor torque, breakdown torque, pull-up torque, locked rotor current, 
and slip at rated load, and assigns design letters, such as Design A, B, 
C, D, or E, to identify various combinations of such electrical 
performance characteristics. Under Section 340(13)(A) of EPCA, electric 
motors subject to EPCA efficiency requirements include only motors that 
fall within NEMA ``Design A and B * * * as defined in [NEMA] Standards 
Publication MG1-1987.'' As to locked rotor torque, for example, MG1 
specifies a minimum performance value for a Design A or B motor of a 
given speed and horsepower, and somewhat higher minimum values for 
Design C and D motors of the same speed and horsepower. The Department 
understands that,

[[Page 398]]

under MG1, the industry classifies a motor as Design A or B if it has a 
locked rotor torque at or above the minimum for A and B but below the 
minimum for Design C, so long as it otherwise meets the criteria for 
Design A or B. Therefore, in the Department's view, such a motor is 
covered by EPCA's requirements for electric motors. By contrast a motor 
that meets or exceeds the minimum locked rotor torque for Design C or D 
is not covered by EPCA. In sum, if a motor has electrical modifications 
that meet Design A or B performance requirements it is covered by EPCA, 
and if its characteristics meet Design C, D or E it is not covered.

                                 C. Size

    Motors designed for use on a particular type of application which 
are in a frame size that is one or more frame series larger than the 
frame size assigned to that rating by sections 1.2 and 1.3 of NEMA 
Standards Publication MG 13-1984 (R1990), ``Frame Assignments for 
Alternating Current Integral-Horsepower Induction Motors,'' are not, in 
the Department's view, usable in most general purpose applications. This 
is due to the physical size increase associated with a frame series 
change. A frame series is defined as the first two digits of the frame 
size designation. For example, 324T and 326T are both in the same frame 
series, while 364T is in the next larger frame series. Hence, in the 
Department's view, a motor that is of a larger frame series than 
normally assigned to that standard rating of motor is not covered by 
EPCA. A physically larger motor within the same frame series would be 
covered, however, because it would be usable in most general purpose 
applications.
    Motors built in a T-frame series or a T-frame size smaller than that 
assigned by MG 13-1984 (R1990) are also considered usable in most 
general purpose applications. This is because simple modifications can 
generally be made to fit a smaller motor in place of a motor with a 
larger frame size assigned in conformity with NEMA MG 13. Therefore, DOE 
believes that such smaller motors are covered by EPCA.

                          D. Motors With Seals

    Some electric motors have seals to prevent ingress of water, dust, 
oil, and other foreign materials into the motor. DOE understands that, 
typically, a manufacturer will add seals to a motor that it 
manufactures, so that it will sell two motors that are identical except 
that one has seals and the other does not. In such a situation, if the 
motor without seals is ``general purpose'' and covered by EPCA's 
efficiency requirements, then the motor with seals will also be covered 
because it can still be used in most general purpose applications. DOE 
understands, however, that manufacturers previously believed motors with 
seals were not covered under EPCA, in part because IEEE Standard 112, 
``Test Procedure for Polyphase Induction Motors and Generators,'' 
prescribed by EPCA, does not address how to test a motor with seals 
installed.
    The efficiency rating of such a motor, if determined with seals 
installed and when the motor is new, apparently would significantly 
understate the efficiency of the motor as operated. New seals are stiff, 
and provide friction that is absent after their initial break-in period. 
DOE understands that, after this initial period, the efficiency ratings 
determined for the same motor with and without seals would be virtually 
identical. To construe EPCA, therefore, as requiring such separate 
efficiency determinations would impose an unnecessary burden on 
manufacturers.
    In light of the foregoing, the Department believes that EPCA 
generally permits the efficiency of a motor with seals to be determined 
without the seals installed. Furthermore, notwithstanding the prior 
belief that such motors are not covered by EPCA, use of this approach to 
determining efficiency will enable manufacturers to meet EPCA's 
standards with respect to covered motors with seals by the date the 
standards go into effect on October 25, 1997.

   III. Discussion of How DOE Would Apply EPCA Definitions, Using the 
                          Foregoing Guidelines

    Using the foregoing guidelines, the attached matrix provides DOE's 
view as to which motors with common features are covered by EPCA. 
Because manufacturers produce many basic models that have many 
modifications of generic general purpose motors, the Department does not 
represent that the matrix is all-inclusive. Rather it is a set of 
examples demonstrating how DOE would apply EPCA definitions, as 
construed by the above guidelines, to various motor types. By extension 
of these examples, most motors currently in production, or to be 
designed in the future, could probably be classified. The matrix 
classifies motors into five categories, which are discussed in the 
following passages.
    Category I--For ``electric motors'' (manufactured alone or as a 
component of another piece of equipment) in Category I, DOE will enforce 
EPCA efficiency standards and test procedures beginning on October 25, 
1997.
    The Department understands that some motors essentially are 
relatively simple modifications of generic general purpose motors. 
Modifications could consist, for example, of minor changes such as the 
addition of temperature sensors or a heater, the addition of a shaft 
extension and a brake disk from a kit, or changes in exterior features 
such as the motor housing. Such motors can

[[Page 399]]

still be used for most general purpose applications, and the 
modifications have little or no effect on motor performance. Nor do the 
modifications affect energy efficiency.
    Category II--For certain motors that are ``definite purpose'' 
according to present industry practice, but that can be used in most 
general purpose applications, DOE will generally enforce EPCA efficiency 
standards and test procedures beginning no later than October 25, 1999.

                            General Statement

    EPCA does not prescribe standards and test procedures for ``definite 
purpose motors.'' Section 340(13)(B) of EPCA defines the term ``definite 
purpose motor'' as ``any motor designed in standard ratings with 
standard operating characteristics or standard mechanical construction 
for use under service conditions other than usual or for use on a 
particular type of application and which cannot be used in most general 
purpose applications.'' [Emphasis added.] Except, significantly, for 
exclusion of the italicized language, the industry definition of 
``definite purpose motor,'' set forth in NEMA MG1, is identical to the 
foregoing.
    Category II consists of electric motors with horsepower ratings that 
fall between the horsepower ratings in Section 342(b)(1) of EPCA, 
thermally protected motors, and motors with roller bearings. As with 
motors in Category I, these motors are essentially modifications of 
generic general purpose motors. Generally, however, the modifications 
contained in these motors are more extensive and complex than the 
modifications in Category I motors. These Category II motors have been 
considered ``definite purpose'' in common industry parlance, but are 
covered equipment under EPCA because they can be used in most general 
purpose applications.
    According to statements provided during the January 15, 1997, Public 
Hearing, Tr. pgs. 238-239, Category II motors were, until recently, 
viewed by most manufacturers as definite purpose motors, consistent with 
the industry definition that did not contain the clause ``which cannot 
be used in most general purpose applications.'' Hence, DOE understands 
that many manufacturers assumed these motors were not subject to EPCA's 
efficiency standards. During the period prior and subsequent to the 
hearing, discussions among manufacturers resulted in a new understanding 
that such motors are general purpose under EPCA, since they can be used 
in most general purpose applications. Thus, the industry only recently 
recognized that such motors are covered under EPCA. Although the 
statutory definition adopted in 1992 contained the above-quoted 
definition of ``definite purpose,'' the delay in issuing regulations 
which embody this definition may have contributed to industry's delay in 
recognizing that these motors are covered.
    The Department understands that redesign and testing these motors in 
order to meet the efficiency standards in the statute may require a 
substantial amount of time. Given the recent recognition that they are 
covered, it is not realistic to expect these motors will be able to 
comply by October 25, 1997. A substantial period beyond that will be 
required. Moreover, the Department believes different manufacturers will 
need to take different approaches to achieving compliance with respect 
to these motors, and that, for a particular type of motor, some 
manufacturers will be able to comply sooner than others. Thus, the 
Department intends to refrain from taking enforcement action for two 
years, until October 25, 1999, with respect to motors with horsepower 
ratings that fall between the horsepower ratings in Section 342(b)(1) of 
EPCA, thermally protected motors, and motors with roller bearings. 
Manufacturers are encouraged, however, to manufacture these motors in 
compliance with EPCA at the earliest possible date.
    The following sets forth in greater detail, for each of these types 
of motors, the basis for the Department's policy to refrain from 
enforcement for two years. Also set forth is additional explanation of 
the Department's understanding as to why manufacturers previously 
believed intermediate horsepower motors were not covered by EPCA.

                     Intermediate Horsepower Ratings

    Section 342(b)(1) of EPCA specifies efficiency standards for 
electric motors with 19 specific horsepower ratings, ranging from one 
through 200 horsepower. Each is a preferred or standardized horsepower 
rating as reflected in the table in NEMA Standards Publication MG1-1993, 
paragraph 10.32.4, Polyphase Medium Induction Motors. However, an 
``electric motor,'' as defined by EPCA, can be built at other horsepower 
ratings, such as 6 horsepower, 65 horsepower, or 175 horsepower. Such 
motors, rated at horsepower levels between any two adjacent horsepower 
ratings identified in Section 342(b)(1) of EPCA will be referred to as 
``intermediate horsepower motors.'' In the Department's view, efficiency 
standards apply to every motor that has a rating from one through 200 
horsepower (or kilowatt equivalents), and that otherwise meets the 
criteria for an ``electric motor'' under EPCA, including an electric 
motor with an intermediate horsepower (or kW) rating.
    To date, these motors have typically been designed in conjunction 
with and supplied to a specific customer to fulfill certain performance 
and design requirements of a particular application, as for example to 
run a

[[Page 400]]

certain type of equipment. See the discussion in Section IV below on 
``original equipment'' and ``original equipment manufacturers.'' In 
large part for these reasons, manufacturers believed intermediate 
horsepower motors to be ``definite purpose motors'' that were not 
covered by EPCA. Despite their specific uses, however, these motors are 
electric motors under EPCA when they are capable of being used in most 
general purpose applications.
    Features of a motor that are directly related to its horsepower 
rating include its physical size, and the ratings of its controller and 
protective devices. These aspects of a 175 horsepower motor, for 
example, which is an intermediate horsepower motor, must be appropriate 
to that horsepower, and would generally differ from the same aspects of 
150 and 200 horsepower motors, the two standard horsepower ratings 
closest to 175. To re-design an existing intermediate horsepower 
electric motor so that it complies with EPCA could involve all of these 
elements of a motor's design. For example, the addition of material 
necessary to achieve EPCA's prescribed level of efficiency could cause 
the size of the motor to increase. The addition of magnetic material 
would invite higher inrush current that could cause an incorrectly sized 
motor controller to malfunction, or the circuit breaker with a standard 
rating to trip unnecessarily, or both. The Department believes motor 
manufacturers will require a substantial amount of time to redesign and 
retest each intermediate horsepower electric motor they manufacture.
    To the extent such intermediate horsepower electric motors become 
unavailable because motor manufacturers have recognized only recently 
that they are covered by EPCA, equipment in which they are incorporated 
would temporarily become unavailable also. Moreover, re-design of such a 
motor to comply with EPCA could cause changes in the motor that require 
re-design of the equipment in which the motor is used. For example, if 
an intermediate horsepower electric motor becomes larger, it might no 
longer fit in the equipment for which it was designed. In such 
instances, the equipment would have to be re-designed. Because these 
motors were previously thought not to be covered, equipment 
manufacturers may not have had sufficient lead time to make the 
necessary changes to the equipment without interrupting its production.
    With respect to intermediate horsepower motors, the Department 
intends to refrain from enforcing EPCA for a period of 24 months only as 
to such motor designs that were being manufactured prior to the date 
this Policy Statement was issued. The Department is concerned that small 
adjustments could be made to the horsepower rating of an existing 
electric motor, in an effort to delay compliance with EPCA, if it 
delayed enforcement as to all intermediate horsepower motors produced 
during the 24 month period. For example, a 50 horsepower motor that has 
a service factor of 1.15 could be renameplated as a 57\1/2\ horsepower 
motor that has a 1.0 service factor. By making this delay in enforcement 
applicable only to pre-existing designs of intermediate horsepower 
motors, the Department believes it has made adequate provision for the 
manufacture of bona fide intermediate horsepower motor designs that 
cannot be changed to be in compliance with EPCA by October 25, 1997.

                       Thermally Protected Motors

    The Department understands that in order to redesign a thermally 
protected motor to improve its efficiency so that it complies with EPCA, 
various changes in the windings must be made which will require the 
thermal protector to be re-selected. Such devices sense the inrush and 
running current of the motor, as well as the operating temperature. Any 
changes to a motor that affect these characteristics will prevent the 
protector from operating correctly. When a new protector is selected, 
the motor must be tested to verify proper operation of the device in the 
motor. The motor manufacturer would test the locked rotor and overload 
conditions, which could take several days, and the results may dictate 
that a second selection is needed with additional testing. When the 
manufacturer has finished testing, typically the manufacturer will have 
a third party conduct additional testing. This testing may include 
cycling the motor in a locked-rotor condition to verify that the 
protector functions properly. This testing may take days or even weeks 
to perform for a particular model of motor.
    Since it was only recently recognized by industry that these motors 
are covered by EPCA, in the Department's view the total testing program 
makes it impossible for manufacturers to comply with the EPCA efficiency 
levels in thermally protected motors by October 25, 1997, especially 
since each different motor winding must be tested and motor winding/
thermal protector combinations number in the thousands.

                       Motors With Roller Bearings

    Motors with roller bearings fit within the definition of electric 
motor under the statute. However, because the IEEE Standard 112 Test 
Method B does not provide measures to test motors with roller bearings 
installed, manufacturers mistakenly believed such motors were not 
covered. Under IEEE Standard 112, a motor with roller bearings could 
only be tested for efficiency with the roller bearings removed and 
standard ball bearings installed as temporary substitutes. Then on the 
basis of the energy efficiency information gained from that test, the 
manufacturer

[[Page 401]]

may need to redesign the motor in order to comply with the statute. In 
this situation, the Department understands that testing, redesigning, 
and retesting lines of motors with roller bearings, to establish 
compliance, would be difficult and time consuming.
    Categories III, IV and V--Motors not within EPCA's definition of 
``electric motor,'' and not covered by EPCA.

                        Close-Coupled Pump Motors

    NEMA Standards Publication MG1-1993, with revisions one through 
three, Part 18, ``Definite-Purpose Machines,'' defines ``a face-mounting 
close-coupled pump motor'' as ``a medium alternating-current squirrel-
cage induction open or totally enclosed motor, with or without feet, 
having a shaft suitable for mounting an impeller and sealing device.'' 
Paragraphs MG1-18.601-18.614 specify its performance, face and shaft 
mounting dimensions, and frame assignments that replace the suffix 
letters T and TS with the suffix letters JM and JP.
    The Department understands that such motors are designed in standard 
ratings with standard operating characteristics for use in certain 
close-coupled pumps and pumping applications, but cannot be used in non-
pumping applications, such as, for example, conveyors. Consequently, the 
Department believes close-coupled pump motors are definite-purpose 
motors not covered by EPCA. However, a motor that meets EPCA's 
definition of ``electric motor,'' and which can be coupled to a pump, 
for example by means of a C-face or D-flange end shield, as depicted in 
NEMA Standards Publication MG1, Part 4, ``Dimensions, Tolerances, and 
Mounting,'' is covered.

  Totally-Enclosed Non-Ventilated (TENV) and Totally-Enclosed Air-Over 
                              (TEAO) Motors

    A motor designated in NEMA MG1-1993, paragraph MG1-1.26.1, as 
``totally-enclosed non-ventilated (IP54, IC410)'' \6\ is ``not equipped 
for cooling by means external to the enclosing parts.'' This means that 
the motor, when properly applied, does not require the use of any 
additional means of cooling installed external to the motor enclosure. 
The TENV motor is cooled by natural conduction and natural convection of 
the motor heat into the surrounding environment. As stated in NEMA MG1-
1993, Suggested Standard for Future Design, paragraph MG1-1.26.1a, a 
TENV motor ``is only equipped for cooling by free convection.'' The 
general requirement for the installation of the TENV motor is that it 
not be placed in a restricted space that would inhibit this natural 
dissipation of the motor heat. Most general purpose applications use 
motors which include a means for forcing air flow through or around the 
motor and usually through the enclosed space and, therefore, can be used 
in spaces that are more restrictive than those required for TENV motors. 
Placing a TENV motor in such common restricted areas is likely to cause 
the motor to overheat. The TENV motor may also be larger than the motors 
used in most general purpose applications, and would take up more of the 
available space, thus reducing the size of the open area surrounding the 
motor. Installation of a TENV motor might require, therefore, an 
additional means of ventilation to continually exchange the ambient 
around the motor.
---------------------------------------------------------------------------

    \6\ IP refers to the IEC Standard 34-5: Classification of degrees of 
protection provided by enclosures for rotating machines. IC refers to 
the IEC Standard 34-6: Methods of cooling rotating machinery. The IP and 
IC codes are referenced in the NEMA designations for TENV and TEAO 
motors in MG1-1993 Part 1, ``Classification According to Environmental 
Protection and Methods of Cooling,'' as a Suggested Standard for Future 
Design, since the TENV and TEAO motors conform to IEC Standards. Details 
of protection (IP) and methods of cooling (IC) are defined in MG1 Part 5 
and Part 6, respectively.
---------------------------------------------------------------------------

    A motor designated in NEMA MG1-1993 as ``totally-enclosed air-over 
(IP54, IC417)'' is intended to be cooled by ventilation means external 
to (i.e., separate and independent from) the motor, such as a fan. The 
motor must be provided with the additional ventilation to prevent it 
from overheating.
    Consequently, neither the TENV motor nor the TEAO motor would be 
suitable for most general purpose applications, and, DOE believes they 
are definite-purpose motors not covered by EPCA.

                           Integral Gearmotors

    An ``integral gearmotor'' is an assembly of a motor and a specific 
gear drive or assembly of gears, such as a gear reducer, as a unified 
package. The motor portion of an integral gearmotor is not necessarily a 
complete motor, since the end bracket or mounting flange of the motor 
portion is also part of the gear assembly and cannot be operated when 
separated from the complete gear assembly. Typically, an integral 
gearmotor is not manufactured to standard T-frame dimensions specified 
in NEMA MG1. Moreover, neither the motor portion, not the entire 
integral gearmotor, are capable of being used in most general purpose 
applications without significant modifications. An integral gearmotor is 
also designed for a specific purpose and can have unique performance 
characteristics, physical dimensions, and casing, flange and shafting 
configurations. Consequently, integral gearmotors are outside the scope 
of the EPCA definition of ``electric motor'' and are not covered under 
EPCA.

[[Page 402]]

    However, an ``electric motor,'' as defined by EPCA, which is 
connected to a stand alone mechanical gear drive or an assembly of 
gears, such as a gear reducer connected by direct coupling, belts, 
bolts, a kit, or other means, is covered equipment under EPCA.

      IV. Electric Motors That Are Components in Certain Equipment

    The primary function of an electric motor is to convert electrical 
energy to mechanical energy which then directly drives machinery such as 
pumps, fans, or compressors. Thus, an electric motor is always connected 
to a driven machine or apparatus. Typically the motor is incorporated 
into a finished product such as an air conditioner, a refrigerator, a 
machine tool, food processing equipment, or other commercial or 
industrial machinery. These products are commonly known as ``original 
equipment'' or ``end-use equipment,'' and are manufactured by firms 
known as ``original equipment manufacturers'' (OEMs).
    Many types of motors used in original equipment are covered under 
EPCA. As noted above, EPCA prescribes efficiency standards to be met by 
all covered electric motors manufactured after October 24, 1997, except 
that covered motors which require listing or certification by a 
nationally recognized safety testing laboratory need not meet the 
standards until after October 24, 1999. Thus, for motors that must 
comply after October 24, 1997, once inventories of motors manufactured 
before the deadline have been exhausted, only complying motors would be 
available for purchase and use by OEMs in manufacturing original 
equipment. Any non-complying motors previously included in such 
equipment would no longer be available.
    The physical, and sometimes operational, characteristics of motors 
that meet EPCA efficiency standards normally differ from the 
characteristics of comparable existing motors that do not meet those 
standards. In part because of such differences, the Department is aware 
of two types of situations where strict application of the October 24, 
1997, deadline could temporarily prevent the manufacture of, and remove 
from the marketplace, currently available original equipment.
    One such situation is where an original equipment manufacturer uses 
an electric motor as a component in end-use equipment that requires 
listing or certification by a nationally recognized safety testing 
laboratory, even though the motor itself does not require listing or 
certification. In some of these instances, the file for listing or 
certification specifies the particular motor to be used. No substitution 
could be made for the motor without review and approval of the new motor 
and the entire system by the safety testing laboratory. Consequently, a 
specified motor that does not meet EPCA standards could not be replaced 
by a complying motor without such review and approval.
    This re-listing or re-certification process is subject to 
substantial variation from one piece of original equipment to the next. 
For some equipment, it could be a simple paperwork transaction between 
the safety listing or certification organization and the OEM, taking 
approximately four to eight weeks to complete. But the process could 
raise more complex system issues involving redesign of the motor or 
piece of equipment, or both, and actual testing to assure that safety 
and performance criteria are met, and could take several months to 
complete. The completion time could also vary depending on the response 
time of the particular safety approval agency. Moreover, in the period 
immediately after October 24, the Department believes wholesale changes 
could occur in equipment lines when OEMs must begin using motors that 
comply with EPCA. These changes are likely to be concentrated in the 
period immediately after EPCA goes into effect on October 24, and if 
many OEMs seek to re-list or re-certify equipment at the same time, 
substantial delays in the review and approval process at the safety 
approval agencies could occur. For these reasons, the Department is 
concerned that certain end-user equipment that requires safety listing 
or certification could become unavailable in the marketplace, because an 
electric motor specifically identified in a listing or certification is 
covered by EPCA and will become unavailable, and the steps have not been 
completed to obtain safety approval of the equipment when manufactured 
with a complying motor.
    Second, a situation could exist where an electric motor covered by 
EPCA is constructed in a T-frame series or T-frame size that is smaller 
(but still standard) than that assigned by NEMA Standards Publication MG 
13-1984 (R1990), sections 1.2 and 1.3, in order to fit into a restricted 
mounting space that is within certain end-use equipment. (Motors in IEC 
metric frame sizes and kilowatt ratings could also be involved in this 
type of situation.) In such cases, the manufacturer of the end-use 
equipment might need to redesign the equipment containing the mounting 
space to accommodate a larger motor that complies with EPCA. These 
circumstances as well could result in certain currently available 
equipment becoming temporarily unavailable in the market, since the 
smaller size motor would become unavailable before the original 
equipment had been re-designed to accommodate the larger, complying 
motor.
    The Department understands that many motor manufacturers and OEMs 
became aware only recently that the electric motors addressed in the 
preceding paragraphs were covered by EPCA. This is largely for the same 
reasons, discussed above, that EPCA

[[Page 403]]

coverage of Category II motors was only recently recognized. In 
addition, the Department understands that some motor manufacturers and 
original equipment manufacturers confused motors that themselves require 
safety listing or certification, which need not comply until October 25, 
1999, with motors that, while not subject to such requirements, are 
included in original equipment that requires safety listing or 
certification. Consequently, motor manufacturers and original equipment 
manufacturers took insufficient action to assure that appropriate 
complying motors would be available for the original equipment involved, 
and that the equipment could accommodate such motors. OEMs involved in 
such situations may often be unable to switch to motors that meet EPCA 
standards in the period immediately following October 24. To mitigate 
any hardship to purchasers of the original equipment, the Department 
intends to refrain from enforcing EPCA in certain limited circumstances, 
under the conditions described below.
    Where a particular electric motor is specified in an approved safety 
listing or certification for a piece of original equipment, and the 
motor does not meet the applicable efficiency standard in EPCA, the 
Department's policy will be as follows: For the period of time necessary 
for the OEM to obtain a revised safety listing or certification for that 
piece of equipment, with a motor specified that complies with EPCA, but 
in no event beyond October 24, 1999, the Department would refrain from 
taking enforcement action under EPCA with respect to manufacture of the 
motor for installation in such original equipment. This policy would 
apply only where the motor has been manufactured and specified in the 
approved safety listing or certification prior to October 25, 1997.
    Where a particular electric motor is used in a piece of original 
equipment and manufactured in a smaller than assigned frame size or 
series, and the motor does not meet the applicable efficiency standard 
in EPCA, the Department's policy will be as follows: For the period of 
time necessary for the OEM to re-design the piece of equipment to 
accommodate a motor that complies with EPCA, but in no event beyond 
October 24, 1999, the Department would refrain from enforcing the 
standard with respect to manufacture of the motor for installation in 
such original equipment. This policy would apply only to a model of 
motor that has been manufactured and included in the original equipment 
prior to October 25, 1997.
    To allow the Department to monitor application of the policy set 
forth in the prior two paragraphs, the Department needs to be informed 
as to the motors being manufactured under the policy. Therefore, each 
motor manufacturer and OEM should jointly notify the Department as to 
each motor they will be manufacturing and using, respectively, after 
October 24, 1997, in the belief that it is covered by the policy. The 
notification should set forth: (1) The name of the motor manufacturer, 
and a description of the motor by type, model number, and date of design 
or production; (2) the name of the original equipment manufacturer, and 
a description of the application where the motor is to be used; (3) the 
safety listing or safety certification organization and the existing 
listing or certification file or document number for which re-listing or 
re-certification will be requested, if applicable; (4) the reason and 
amount of time required for continued production of the motor, with a 
statement that a substitute electric motor that complies with EPCA could 
not be obtained by an earlier date; and (5) the name, address, and 
telephone number of the person to contact for further information. The 
joint request should be signed by a responsible official of each 
requesting company, and sent to: U.S. Department of Energy, Assistant 
Secretary for Energy Efficiency and Renewable Energy, Office of Building 
Research and Standards, EE-41, Forrestal Building, 1000 Independence 
Avenue, SW., Room 1J-018, Washington, DC 20585-0121. The Department does 
not intend to apply this policy to any motor for which it does not 
receive such a notification. Moreover, the Department may use the 
notification, and make further inquiries, to be sure motors listed in 
the notification meet the criteria for application of the policy.
    This part of the Policy Statement will not apply to a motor in 
Category II, discussed above in Section III. Because up to 24 months is 
contemplated for compliance by Category II motors, the Department 
believes any issues that might warrant a delay of enforcement for such 
motors can be addressed during that time period.

                         V. Further Information

    The Department intends to incorporate this Policy Statement into an 
appendix to its final rule to implement the EPCA provisions that apply 
to motors. Any comments or suggestions with respect to this Policy 
Statement, as well as requests for further information, should be 
addressed to the Director, Building Technologies, EE-2J, U.S. Department 
of Energy, Forrestal Building, 1000 Independence Avenue, SW., 
Washington, DC 20585-0121.

[[Page 404]]



     Examples of Many Common Features or Motor Modifications To Illustrate How the EPCA Definitions and DOE
     Guidelines Would Be Applied to Motor Categories: General Purpose; Definite Purpose; and Special Purpose
----------------------------------------------------------------------------------------------------------------
                                                         Category \1\
           Motor modification           ---------------------------------------------         Explanation
                                            I        II      III       IV       V
----------------------------------------------------------------------------------------------------------------
A. Electrical Modifications
----------------------------------------------------------------------------------------------------------------
1 Altitude.............................       X   .......  .......  .......  .......  General purpose up to a
                                                                                       frame series change
                                                                                       larger.
2 Ambient..............................       X   .......  .......  .......  .......  General purpose up to a
                                                                                       frame series change
                                                                                       larger.
3 Multispeed...........................  .......  .......  .......  .......       X   EPCA applies to single
                                                                                       speed only.
4 Special Leads........................       X   .......  .......  .......  .......  ..........................
5 Special Insulation...................       X   .......  .......  .......  .......  ..........................
6 Encapsulation........................  .......  .......  .......       X   .......  Due to special
                                                                                       construction.
7 High Service Factor..................       X   .......  .......  .......  .......  General purpose up to a
                                                                                       frame series change
                                                                                       larger.
8 Space Heaters........................       X   .......  .......  .......  .......  ..........................
9 Wye Delta Start......................       X   .......  .......  .......  .......  ..........................
10 Part Winding Start..................       X   .......  .......  .......  .......  ..........................
11 Temperature Rise....................       X   .......  .......  .......  .......  General purpose up to a
                                                                                       frame series change
                                                                                       larger.
12 Thermally Protected.................  .......       X   .......  .......  .......  Requires retesting and
                                                                                       third party agency
                                                                                       approval.
13 Thermostat/Thermistor...............       X   .......  .......  .......  .......  ..........................
14 Special Voltages....................  .......  .......  .......  .......       X   EPCA applies to motors
                                                                                       operating on 230/460
                                                                                       voltages at 60 Hertz.
15 Intermediate Horsepowers............  .......       X   .......  .......  .......  Round horsepower according
                                                                                       to 10 CFR 431.42 for
                                                                                       efficiency.
16 Frequency...........................  .......  .......  .......  .......       X   EPCA applies to motors
                                                                                       operating on 230/460
                                                                                       voltages at 60 Hertz.
17 Fungus/Trop Insulation..............       X   .......  .......  .......  .......  ..........................
----------------------------------------------------------------------------------------------------------------
B. Mechanical Modifications
----------------------------------------------------------------------------------------------------------------
18 Special Balance.....................       X   .......  .......  .......  .......  ..........................
19 Bearing Temp. Detector..............       X   .......  .......  .......  .......  ..........................
20 Special Base/Feet...................  .......  .......  .......  .......       X   Does not meet definition
                                                                                       of T-frame.
21 Special Conduit Box.................       X   .......  .......  .......  .......  ..........................
22 Auxiliary Conduit Box...............       X   .......  .......  .......  .......  ..........................
23 Special Paint/Coating...............       X   .......  .......  .......  .......  ..........................
24 Drains..............................       X   .......  .......  .......  .......  ..........................
25 Drip Cover..........................       X   .......  .......  .......  .......  ..........................
26 Ground. Lug/Hole....................       X   .......  .......  .......  .......  ..........................
27 Screens on ODP Enclosure............       X   .......  .......  .......  .......  ..........................
28 Mounting F1,F2; W1-4; C1,2..........       X   .......  .......  .......  .......  Foot-mounting, rigid base,
                                                                                       and resilient base.
----------------------------------------------------------------------------------------------------------------
C. Bearings
----------------------------------------------------------------------------------------------------------------
29 Bearing Caps........................       X   .......  .......  .......  .......  ..........................
30 Roller Bearings.....................  .......       X   .......  .......  .......  Test with a standard
                                                                                       bearing.
31 Shielded Bearings...................       X   .......  .......  .......  .......  ..........................
32 Sealed Bearings.....................       X   .......  .......  .......  .......  Test with a standard
                                                                                       bearing.
33 Thrust Bearings.....................  .......  .......  .......       X   .......  Special mechanical
                                                                                       construction.
34 Clamped Bearings....................       X   .......  .......  .......  .......  ..........................
35 Sleeve Bearings.....................  .......  .......  .......       X   .......  Special mechanical
                                                                                       construction.
----------------------------------------------------------------------------------------------------------------
D. Special Endshields
----------------------------------------------------------------------------------------------------------------
36 C Face..............................       X   .......  .......  .......  .......  As defined in NEMA MG-1.
37 D Flange............................       X   .......  .......  .......  .......  As defined in NEMA MG-1.
38 Customer Defined....................  .......  .......  .......       X   .......  Special design for a
                                                                                       particular application.
----------------------------------------------------------------------------------------------------------------
E. Seals
----------------------------------------------------------------------------------------------------------------
39 Contact Seals.......................       X   .......  .......  .......  .......  Includes lip seals and
                                                                                       taconite seals--test with
                                                                                       seals removed.
40 Non-Contact Seal....................       X   .......  .......  .......  .......  Includes labyrinth and
                                                                                       slinger seals--test with
                                                                                       seals installed.
----------------------------------------------------------------------------------------------------------------
F. Shafts
----------------------------------------------------------------------------------------------------------------

[[Page 405]]

 
41 Standard Shafts/NEMA Mg-1...........       X   .......  .......  .......  .......  Includes single and
                                                                                       double, cylindrical,
                                                                                       tapered, and short
                                                                                       shafts.
42 Non Standard Material...............       X   .......  .......  .......  .......  ..........................
----------------------------------------------------------------------------------------------------------------
G. Fans
----------------------------------------------------------------------------------------------------------------
43 Special Material....................       X   .......  .......  .......  .......  ..........................
44 Quiet Design........................       X   .......  .......  .......  .......  ..........................
----------------------------------------------------------------------------------------------------------------
H. Other Motors
----------------------------------------------------------------------------------------------------------------
45 Washdown............................       X   .......  .......  .......  .......  Test with seals removed.
46 Close-coupled pump..................  .......  .......       X   .......  .......  JM and JP frame
                                                                                       assignments.
47 Integral Gear Motor.................  .......  .......  .......  .......       X   Typically special
                                                                                       mechanical design, and
                                                                                       not a T-frame; motor and
                                                                                       gearbox inseparable and
                                                                                       operate as one system.
48 Vertical--Normal Thrust.............  .......  .......  .......  .......       X   EPCA covers foot-mounting.
49 Saw Arbor...........................  .......  .......  .......       X   .......  Special electrical/
                                                                                       mechanical design.
50 TENV................................  .......  .......       X   .......  .......  Totally-enclosed non-
                                                                                       ventilated not equipped
                                                                                       for cooling (IP54,
                                                                                       IC410).
51 TEAO................................  .......  .......       X   .......  .......  Totally-enclosed air-over
                                                                                       requires airflow from
                                                                                       external source (IP54,
                                                                                       IC417).
52 Fire Pump...........................       X   .......  .......  .......  .......  When safety certification
                                                                                       is not required. See also
                                                                                       EPCA Sec. 342(b)(1).
53 Non-continuous......................  .......  .......  .......  .......       X   EPCA covers continuous
                                                                                       ratings.
54 Integral Brake Motor................  .......  .......  .......       X   .......  Integral brake design
                                                                                       factory built within the
                                                                                       motor.
----------------------------------------------------------------------------------------------------------------
\1\ Category I--General purpose electric motors as defined in EPCA.
Category II--Definite purpose electric motors that can be used in most general purpose applications as defined
  in EPCA.
Category III--Definite purpose motors as defined in EPCA.
Category IV--Special purpose motors as defined in EPCA.
Category V--Outside the scope of ``electric motor'' as defined in EPCA.



   Sec. Appendix B to Subpart B of Part 431--Uniform Test Method for 
        Measuring Nominal Full Load Efficiency of Electric Motors

    1. Definitions.
    Definitions contained in Sec. Sec. 431.2 and 431.12 are applicable 
to this appendix.
    2. Test Procedures.
    Efficiency and losses shall be determined in accordance with NEMA 
MG1-1993 with Revisions 1 through 4, paragraph 12.58.1, ``Determination 
of Motor Efficiency and Losses,'' (Incorporated by reference, see Sec. 
431.15) and either:
    (1) CSA International (or Canadian Standards Association) Standard 
C390-93 Test Method (1), (Incorporated by reference, see Sec. 431.15), 
Input-Output Method With Indirect Measurement of the Stray-Load Loss and 
Direct Measurement of the Stator Winding (I\2\R), Rotor Winding (I\2\R), 
Core and Windage-Friction Losses, or
    (2) IEEE Standard 112-1996 Test Method B, Input-Output With Loss 
Segregation, (Incorporated by reference, see Sec. 431.15) with IEEE 
correction notice of January 20, 1998, except as follows:
    (i) Page 8, subclause 5.1.1., Specified temperature, the 
introductory clause does not apply. Instead the following applies:
    The specified temperature used in making resistance corrections 
should be determined by one of the following (Test Method B only allows 
the use of preference (a) or (b).), which are listed in order of 
preference.
    (ii) Page 17, subclause 6.4.1.3., No-load test, the text does not 
apply. Instead, the following applies:
    See 5.3 including 5.3.3, the separation of core loss from friction 
and windage loss. Prior to making this test, the machine shall be 
operated at no-load until the input has stabilized.
    (iii) Page 40, subclause 8.6.3, Termination of test, the third 
sentence does not apply. Instead, the following applies:
    For continuous rated machines, the temperature test shall continue 
until there is 1 [deg]C or less change in temperature rise over a 30-
minute time period.
    (iv) Page 47, at the top of 10.2 form B, immediately after the line 
that reads ``Rated Load Heat Run Stator Winding Resistance Between 
Terminals,'' the following additional line applies:

[[Page 406]]

    Temperature for Resistance Correction (ts) = - [deg]C 
(See 6.4.3.2).
    (v) Page 47, at the bottom of 10.2 Form B, after the first sentence 
to footnote tt, the following additional sentence applies:
    The values for ts and tt shall be based on the 
same method of temperature measurement, selected from the four methods 
in subclause 8.3.
    (vi) Page 47, at the bottom of 10.2 Form B, below the footnotes and 
above ``Summary of Characteristics,'' the following additional note 
applies:
    Note: The temperature for resistance correction (ts) is 
equal to [(4) - (5) + 25 [deg]C].
    (vii) Page 48, item (22), the torque constants ``k = 9.549 for 
torque, in N[middot]m'' and ``k = 7.043 for torque, in 1bf[middot]ft'' 
do not apply. Instead, the following applies:
    ``k2 = 9.549 for torque, in N[middot]m'' and 
``k2 = 7.043 for torque, in 1bf[middot]ft.''
    (viii) Page 48, at the end of item (27), the following additional 
reference applies:
    ``See 6.4.3.2.''
    (ix) Page 48, item (29). ``See 4.3.2.2, Eq. 4,'' does not apply. 
Instead the following applies:
    Is equal to (10)[middot][k1 + (4) - (5) + 25 [deg]C] / 
[k1 + (7)], see 6.4.3.3.''
    3. Amendments to test procedures.
    Any revision to IEEE Standard 112-1996 Test Method B with correction 
notice of January 20, 1998, to NEMA Standards Publication MG1-1993 with 
Revisions 1 through 4, or to CSA Standard C390-93 Test Method (1), 
subsequent to promulgation of this appendix B, shall not be effective 
for purposes of test procedures required under Part 431 and this 
appendix B, unless and until Part 431 and this appendix B are amended.



   Sec. Appendix C to Subpart B of Part 431--Compliance Certification

    Certification of Compliance With Energy Efficiency Standards for 
                             Electric Motors

(Office of Management and Budget Control Number: 1910-5104. Expires 09/
30/2007)

    1. Name and Address of Company (the ``company''):

________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________

    2. Name(s) to be Marked on Electric Motors to Which this Compliance 
Certification Applies:

________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________

    3. If manufacturer or private labeler wishes to receive a unique 
Compliance Certification number for use with any particular brand name, 
trademark, or other label name, fill out the following two items:
    A. List each brand name, trademark, or other label name for which 
the company requests a Compliance Certification number:

________________________________________________________________________
________________________________________________________________________
________________________________________________________________________

    B. List other name(s), if any, under which the company sells 
electric motors (if not listed in item 2 above):

________________________________________________________________________
________________________________________________________________________
________________________________________________________________________

    Submit by Certified Mail to: U.S. Department of Energy, Office of 
Energy Efficiency and Renewable Energy, Building Technologies (EE-2J), 
Forrestal Building, 1000 Independence Avenue, SW., Washington, DC 20585-
0121.

    This Compliance Certification reports on and certifies compliance 
with requirements contained in 10 CFR Part 431 (Energy Conservation 
Program for Certain Commercial and Industrial Equipment) and Part C of 
the Energy Policy and Conservation Act (Pub. L. 94-163), and amendments 
thereto. It is signed by a responsible official of the above named 
company. Attached and incorporated as part of this Compliance 
Certification is a Listing of Electric Motor Efficiencies. For each 
rating of electric motor* for which the Listing specifies the nominal 
full load efficiency of a basic model, the company distributes no less 
efficient basic model with that rating and all basic models with that 
rating comply with the applicable energy efficiency standard.

*For this purpose, the term ``rating'' means one of the 113 combinations 
of an electric motor's horsepower (or standard kilowatt equivalent), 
number of poles, and open or enclosed construction, with respect to 
which Sec. 431.25 of 10 CFR Part 431 prescribes nominal full load 
efficiency standards.

Person to Contact for Further Information:

 Name:__________________________________________________________________

 Address:_______________________________________________________________

________________________________________________________________________
________________________________________________________________________
________________________________________________________________________

 Telephone Number:______________________________________________________

 Facsimile Number:______________________________________________________
    If any part of this Compliance Certification, including the 
Attachment, was prepared by a third party organization under the 
provisions of 10 CFR 431.36, the company official authorizing third 
party representations:
 Name:__________________________________________________________________

 Address:_______________________________________________________________

________________________________________________________________________
________________________________________________________________________
________________________________________________________________________

 Telephone Number:______________________________________________________

 Facsimile Number:______________________________________________________


[[Page 407]]

________________________________________________________________________
Third Party Organization Officially Acting as Representative:

 Third Party Organization:______________________________________________

 Responsible Person at that Organization:_______________________________

 Address:_______________________________________________________________

________________________________________________________________________
________________________________________________________________________
________________________________________________________________________

 Telephone Number:______________________________________________________

 Facsimile Number:______________________________________________________

    All required determinations on which this Compliance Certification 
is based were made in conformance with the applicable requirements in 10 
CFR Part 431, subpart B. All information reported in this Compliance 
Certification is true, accurate, and complete. The company is aware of 
the penalties associated with violations of the Act and the regulations 
thereunder, and is also aware of the provisions contained in 18 U.S.C. 
1001, which prohibits knowingly making false statements to the Federal 
Government.

 Signature:_____________________________________________________________

 Date:__________________________________________________________________

 Name:__________________________________________________________________

 Title:_________________________________________________________________

 Firm or Organization:__________________________________________________

    Attachment to Certification of Compliance With Energy Efficiency 
  Standards for Electric Motors: Listing of Electric Motor Efficiencies

 Date:__________________________________________________________________

 Name of Company:_______________________________________________________

________________________________________________________________________


----------------------------------------------------------------------------------------------------------------
                           Rating of electric motor                             Least efficient
-------------------------------------------------------------------------------  basic model--     Nominal full
                                                             Open or enclosed        (model      load efficiency
  Motor horsepower / kilowatts         Number of poles             motor          numbers(s))
----------------------------------------------------------------------------------------------------------------
1 or .75........................  6.......................  Open..............    ------------     ------------
1 or .75........................  4.......................  Open..............    ------------     ------------
1 or .75........................  6.......................  Enclosed..........    ------------     ------------
1 or .75........................  4.......................  Enclosed..........    ------------     ------------
1 or .75........................  2.......................  Enclosed..........    ------------     ------------
1.5 or 1.1......................  6.......................  Open..............    ------------     ------------
1.5 or 1.1......................  4.......................  Open..............    ------------     ------------
1.5 or 1.1......................  2.......................  Open..............    ------------     ------------
1.5 or 1.1......................  6.......................  Enclosed..........    ------------     ------------
1.5 or 1.1......................  4.......................  Enclosed..........    ------------     ------------
1.5 or 1.1......................  2.......................  Enclosed..........    ------------     ------------
                                  ........................  ..................    ------------     ------------
Etc.............................  Etc.....................  Etc...............    ------------    ------------
----------------------------------------------------------------------------------------------------------------
Note: Place an asterisk beside each reported nominal full load efficiency that is determined by actual testing
  rather than by application of an alternative efficiency determination method. Also list below additional basic
  models that were subjected to actual testing.
Basic Model means all units of a given type of electric motor (or class thereof) manufactured by a single
  manufacturer, and which (i) have the same rating, (ii) have electrical design characteristics that are
  essentially identical, and (iii) do not have any differing physical or functional characteristics that affect
  energy consumption or efficiency.
Rating means one of the 113 combinations of an electric motor's horsepower (or standard kilowatt equivalent),
  number of poles, and open or enclosed construction, with respect to which Sec. 431.25 of 10 CFR Part 431
  prescribes nominal full load efficiency standards.


          Models Actually Tested and Not Previously Identified
------------------------------------------------------------------------
          Rating of electric motor
--------------------------------------------  Basic model(s)    Nominal
   Motor power                                    (model       full load
 output (e.g. 1    Number       Open or         number(s))    efficiency
  hp or .75 kW)   of poles   enclosed motor
------------------------------------------------------------------------
   ------------    ------     ------------     ------------     ------
   ------------    ------     ------------     ------------     ------
   ------------    ------     ------------     ------------     ------
   ------------    ------     ------------     ------------     ------
   ------------    ------     ------------     ------------     ------
           Etc.      Etc.             Etc.             Etc.       Etc.
------------------------------------------------------------------------



 Subpart C_Commercial Refrigerators, Freezers and Refrigerator-Freezers

    Source: 70 FR 60414, Oct. 18, 2005, unless otherwise noted.



Sec. 431.61  Purpose and scope.

    This subpart contains energy conservation requirements for 
commercial refrigerators, freezers and refrigerator-freezers, pursuant 
to Part C of Title III of the Energy Policy and Conservation Act, as 
amended, 42 U.S.C. 6311-6317.

[[Page 408]]



Sec. 431.62  Definitions concerning commercial refrigerators, freezers
and refrigerator-freezers.

    Air-curtain angle means:
    (1) For equipment without doors and without a discharge air grille 
or discharge air honeycomb, the angle between a vertical line extended 
down from the highest point on the manufacturer's recommended load limit 
line and the load limit line itself, when the equipment is viewed in 
cross-section; and
    (2) For all other equipment without doors, the angle formed between 
a vertical line and the straight line drawn by connecting the point at 
the inside edge of the discharge air opening with the point at the 
inside edge of the return air opening, when the equipment is viewed in 
cross-section.
    Basic model means, with respect to commercial refrigerators, 
freezers, and refrigerator-freezers, all units of a given type of 
commercial refrigerator, freezer, or refrigerator-freezer (or class 
thereof) manufactured by one manufacturer that have the same primary 
energy source, which have electrical characteristics that are 
essentially identical, and which do not have any differing electrical, 
physical, or functional characteristics that affect energy consumption.
    Commercial refrigerator, freezer, and refrigerator-freezer means 
refrigeration equipment that--
    (1) Is not a consumer product (as defined in Sec. 430.2 of part 
430);
    (2) Is not designed and marketed exclusively for medical, 
scientific, or research purposes;
    (3) Operates at a chilled, frozen, combination chilled and frozen, 
or variable temperature;
    (4) Displays or stores merchandise and other perishable materials 
horizontally, semi-vertically, or vertically;
    (5) Has transparent or solid doors, sliding or hinged doors, a 
combination of hinged, sliding, transparent, or solid doors, or no 
doors;
    (6) Is designed for pull-down temperature applications or holding 
temperature applications; and
    (7) Is connected to a self-contained condensing unit or to a remote 
condensing unit.
    Commercial hybrid refrigerator, freezer, and refrigerator-freezer 
means a commercial refrigerator, freezer, or refrigerator-freezer that 
has two or more chilled and/or frozen compartments that are:
    (1) In two or more different equipment families,
    (2) Contained in one cabinet, and
    (3) Sold as a single unit.
    Door angle means:
    (1) For equipment with flat doors, the angle between a vertical line 
and the line formed by the plane of the door, when the equipment is 
viewed in cross-section; and
    (2) For equipment with curved doors, the angle formed between a 
vertical line and the straight line drawn by connecting the top and 
bottom points where the display area glass joins the cabinet, when the 
equipment is viewed in cross-section.
    Holding temperature application means a use of commercial 
refrigeration equipment other than a pull-down temperature application, 
except a blast chiller or freezer.
    Horizontal Closed means equipment with hinged or sliding doors and a 
door angle greater than or equal to 45[deg].
    Horizontal Open means equipment without doors and an air-curtain 
angle greater than or equal to 80[deg] from the vertical.
    Ice-cream freezer means a commercial freezer that is designed to 
operate at or below -5 [deg]F (-21 [deg]C) and that the manufacturer 
designs, markets, or intends for the storing, displaying, or dispensing 
of ice cream.
    Integrated average temperature means the average temperature of all 
test package measurements taken during the test.
    Pull-down temperature application means a commercial refrigerator 
with doors that, when fully loaded with 12 ounce beverage cans at 90 
degrees F, can cool those beverages to an average stable temperature of 
38 degrees F in 12 hours or less.
    Remote condensing unit means a factory-made assembly of 
refrigerating components designed to compress and liquefy a specific 
refrigerant that is remotely located from the refrigerated

[[Page 409]]

equipment and consists of 1 or more refrigerant compressors, refrigerant 
condensers, condenser fans and motors, and factory supplied accessories.
    Self-contained condensing unit means a factory-made assembly of 
refrigerating components designed to compress and liquefy a specific 
refrigerant that is an integral part of the refrigerated equipment and 
consists of 1 or more refrigerant compressors, refrigerant condensers, 
condenser fans and motors, and factory supplied accessories.
    Semivertical Open means equipment without doors and an air-curtain 
angle greater than or equal to 10[deg] and less than 80[deg] from the 
vertical.
    Test package means a packaged material that is used as a standard 
product temperature-measuring device.
    Vertical Closed means equipment with hinged or sliding doors and a 
door angle less than 45[deg].
    Vertical Open means equipment without doors and an air-curtain angle 
greater than or equal to 0[deg] and less than 10[deg] from the vertical.
    Wedge case means a commercial refrigerator, freezer, or 
refrigerator-freezer that forms the transition between two regularly 
shaped display cases.

[70 FR 60414, Oct. 18, 2005, as amended at 71 FR 71369, Dec. 8, 2006; 74 
FR 1139, Jan. 9, 2009]

                             Test Procedures



Sec. 431.63  Materials incorporated by reference.

    (a) General. We incorporate by reference the following standards 
into Subpart C of Part 431. The material listed 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 51. Any subsequent amendment 
to a standard by the standard-setting organization will not affect the 
DOE regulations 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. 
All approved material is available for inspection at the National 
Archives and Records Administration (NARA). For information on the 
availability of this material at NARA, call 202-741-6030 or go to http:/
/www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html. Also, this material is available for inspection at U.S. 
Department of Energy, Office of Energy Efficiency and Renewable Energy, 
Building Technologies Program, 6th Floor, 950 L'Enfant Plaza, SW., 
Washington, DC 20024, 202-586-2945, or go to: http://
www1.eere.energy.gov/buildings/appliance--standards/. Standards can be 
obtained from the sources listed below.
    (b) ANSI. American National Standards Institute, 25 W. 43rd Street, 
4th Floor, New York, NY 10036, 212-642-4900, or go to http://
www.ansi.org:
    (1) ANSI /AHAM HRF-1-2004, Energy, Performance and Capacity of 
Household Refrigerators, Refrigerator-Freezers and Freezers, approved 
July 7, 2004, IBR approved for Sec. 431.64.
    (2) [Reserved]
    (c) ARI. Air-Conditioning and Refrigeration Institute, 4100 N. 
Fairfax Dr., Suite 200, Arlington, VA 22203, or http://www.ari.org/std/
standards.html:
    (1) ARI Standard 1200-2006, Performance Rating of Commercial 
Refrigerated Display Merchandisers and Storage Cabinets, 2006, IBR 
approved for Sec. Sec. 431.64 and 431.66.
    (2) [Reserved]

[74 FR 1139, Jan. 9, 2009]



Sec. 431.64  Uniform test method for the measurement of energy 
consumption of commercial refrigerators, freezers, and 

refrigerator-freezers.

    (a) Scope. This section provides the test procedures for measuring, 
pursuant to EPCA, the daily energy consumption in kilowatt hours per day 
(kWh/day) for a given product category and volume or total display area 
of commercial refrigerators, freezers, and refrigerator-freezers.
    (b) Testing and calculations. (1) Determine the daily energy 
consumption of each covered commercial refrigerator, freezer, or 
refrigerator-freezer by conducting the test procedure set forth in the 
Air-Conditioning and Refrigeration Institute (ARI) Standard 1200-2006, 
``Performance Rating of Commercial Refrigerated Display Merchandisers 
and Storage Cabinets,'' section 3, ``Definitions,'' section 4, ``Test 
Requirements,'' and section 7, ``Symbols

[[Page 410]]

and Subscripts.'' (Incorporated by reference, see Sec. 431.63) For each 
commercial refrigerator, freezer, or refrigerator-freezer with a self-
contained condensing unit, also use ARI Standard 1200-2006, section 6, 
``Rating Requirements for Self-contained Commercial Refrigerated Display 
Merchandisers and Storage Cabinets.'' (Incorporated by reference, see 
Sec. 431.63) For each commercial refrigerator, freezer, or 
refrigerator-freezer with a remote condensing unit, also use ARI 
Standard 1200-2006, section 5, ``Rating Requirements for Remote 
Commercial Refrigerated Display Merchandisers and Storage Cabinets.'' 
(Incorporated by reference, see Sec. 431.63)
    (2) Conduct the testing required in paragraphs (b)(1) of this 
section, and determine the daily energy consumption, at the applicable 
integrated average temperature in the following table. The integrated 
average temperature is determined using the required test method.

------------------------------------------------------------------------
                                                     Integrated average
           Category               Test procedure        temperatures
------------------------------------------------------------------------
(i) Refrigerator with Solid     ARI Standard 1200- 38 [deg]F (2
                                                    [deg]F).
(ii) Refrigerator with          ARI Standard 1200- 38 [deg]F (2
                                                    [deg]F).
(iii) Freezer with Solid        ARI Standard 1200- 0 [deg]F (2
                                                    [deg]F).
(iv) Freezer with Transparent   ARI Standard 1200- 0 [deg]F (2
                                                    [deg]F).
(v) Refrigerator-Freezer with   ARI Standard 1200- 38 [deg]F (2
                                                    [deg]F) for
                                                    refrigerator
                                                    compartment.
                                                   0 [deg]F (2
                                                    [deg]F) for freezer
                                                    compartment.
(vi) Commercial Refrigerator    ARI Standard 1200- 38 [deg]F (2
 Condensing Unit Designed for                       [deg]F).
 Pull-Down Temperature
 Applications and Transparent
 Doors.
(vii) Ice-Cream Freezer.......  ARI Standard 1200- -15.0 [deg]F (2
                                                    [deg]F).
(viii) Commercial               ARI Standard 1200- (A) For low
 Refrigerator, Freezer, and      2006*.             temperature
 Refrigerator-Freezer with a                        applications, the
 Self-Contained Condensing                          integrated average
 Unit and without Doors.                            temperature of all
                                                    test package
                                                    averages shall be 0
                                                    [deg]F (2
                                                    [deg]F).
                                                   (B) For medium
                                                    temperature
                                                    applications, the
                                                    integrated average
                                                    temperature of all
                                                    test package
                                                    averages shall be
                                                    38.0 [deg]F (2
                                                    [deg]F).
(ix) Commercial Refrigerator,   ARI Standard 1200- (A) For low
 Freezer, and Refrigerator-      2006*.             temperature
 Freezer with a Remote                              applications, the
 Condensing Unit.                                   integrated average
                                                    temperature of all
                                                    test package
                                                    averages shall be 0
                                                    [deg]F (2
                                                    [deg]F).
                                                   (B) For medium
                                                    temperature
                                                    applications, the
                                                    integrated average
                                                    temperature of all
                                                    test package
                                                    averages shall be
                                                    38.0 [deg]F (2
                                                    [deg]F).
------------------------------------------------------------------------
* Incorporated by reference, see Sec. 431.63.

    (3) Determine the volume of each covered commercial refrigerator, 
freezer, or refrigerator-freezer using the methodology set forth in the 
ANSI/AHAM HRF-1-2004, ``Energy, Performance and Capacity of Household 
Refrigerators, Refrigerator-Freezers and Freezers,'' (Incorporated by 
reference, see Sec. 431.63) section 3.21, ``Volume,'' sections 4.1 
through 4.3, ``Method for Computing Total Refrigerated Volume and Total 
Shelf Area of Household Refrigerators and Household Wine Chillers,'' and 
sections 5.1 through 5.3, ``Method for Computing Total Refrigerated 
Volume and Total Shelf Area of Household Freezers.''

                      Energy Conservation Standards



Sec. 431.66  Energy conservation standards and their effective dates.

    (a) In this section--
    (1) The term ``AV'' means the adjusted volume (ft\3\) (defined as 
1.63 x frozen temperature compartment volume (ft\3\) + chilled 
temperature compartment volume (ft\3\)) with compartment volumes 
measured in accordance with the Association of Home Appliance 
Manufacturers Standard HRF1-1979.
    (2) The term ``V'' means the chilled or frozen compartment volume 
(ft\3\) (as defined in the Association of Home Appliance Manufacturers 
Standard HRF1-1979).

[[Page 411]]

    (3) The term ``TDA'' means the total display area (ft\2\) of the 
case, as defined in the ARI Standard 1200-2006, appendix D (incorporated 
by reference, see Sec. 431.63).
    (b) Each commercial refrigerator, freezer, and refrigerator-freezer 
with a self-contained condensing unit designed for holding temperature 
applications manufactured on or after January 1, 2010, shall have a 
daily energy consumption (in kilowatt hours per day) that does not 
exceed the following:

------------------------------------------------------------------------
                                                Maximum daily energy
                 Category                   consumption  (kilowatt hours
                                                      per day)
------------------------------------------------------------------------
Refrigerators with solid doors............  0.10V + 2.04.
Refrigerators with transparent doors......  0.12V + 3.34.
Freezers with solid doors.................  0.40V + 1.38.
Freezers with transparent doors...........  0.75V + 4.10.
Refrigerator/freezers with solid doors....  the greater of 0.27AV-0.71
                                             or 0.70.
------------------------------------------------------------------------

    (c) Each commercial refrigerator with a self-contained condensing 
unit designed for pull-down temperature applications and transparent 
doors manufactured on or after January 1, 2010, shall have a daily 
energy consumption (in kilowatt hours per day) of not more than 0.126V + 
3.51.
    (d) Each commercial refrigerator, freezer, and refrigerator-freezer 
with a self-contained condensing unit and without doors; commercial 
refrigerator, freezer, and refrigerator-freezer with a remote condensing 
unit; and commercial ice-cream freezer manufactured on or after January 
1, 2012, shall have a daily energy consumption (in kilowatt hours per 
day) that does not exceed the levels specified:
    (1) For equipment other than hybrid equipment, refrigerator-freezers 
or wedge cases:

--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                       Rating   Operating
         Equipment category              Condensing unit        Equipment  family     temp.  (   temp.  (     Equipment class      Maximum daily energy
                                          configuration                               [deg]F)    [deg]F)      designation \*\     consumption  (kWh/day)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Remote Condensing Commercial         Remote (RC)...........  Vertical Open (VOP)...     38 (M)  
                 Subpart D_Commercial Warm Air Furnaces

    Source: 69 FR 61939, Oct. 21, 2004, unless otherwise noted.



Sec. 431.71  Purpose and scope.

    This subpart contains energy conservation requirements for 
commercial warm air furnaces, pursuant to Part C of Title III of the 
Energy Policy and Conservation Act, as amended, 42 U.S.C. 6311-6317.

[69 FR 61939, Oct. 21, 2004, as amended at 70 FR 60415, Oct. 18, 2005]



Sec. 431.72  Definitions concerning commercial warm air furnaces.

    The following definitions apply for purposes of this subpart D, and 
of subparts J through M of this part. Any words or terms not defined in 
this Section or elsewhere in this Part shall be defined as provided in 
Section 340 of the Act.
    Commercial warm air furnace means a warm air furnace that is 
industrial equipment, and that has a capacity (rated maximum input) of 
225,000 Btu per hour or more.
    Thermal efficiency for a commercial warm air furnace equals 100 
percent minus percent flue loss determined using test procedures 
prescribed under Sec. 431.76.
    Warm air furnace means a self-contained oil-fired or gas-fired 
furnace designed to supply heated air through ducts to spaces that 
require it and includes combination warm air furnace/electric air 
conditioning units but does not include unit heaters and duct furnaces.

                             Test Procedures



Sec. 431.75  Materials incorporated by reference.

    (a) We incorporate by reference the following test procedures into 
subpart D of Part 431. The Director of the Federal Register has approved 
the material listed in paragraph (b) of this section for incorporation 
by reference in accordance with 5 U.S.C. 552(a) and 1 CFR 51. Any 
subsequent amendment to this material by the standard-setting 
organization will not affect the DOE test procedures unless and until 
DOE amends its test procedures. We incorporate the material 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.
    (b) List of test procedures incorporated by reference. (1) American 
National Standards Institute (ANSI) Standard Z21.47-1998, ``Gas-Fired 
Central Furnaces,'' IBR approved for Sec. 431.76.

[[Page 414]]

    (2) Underwriters Laboratories (UL) Standard 727-1994, ``Standard for 
Safety Oil-Fired Central Furnaces,'' IBR approved for Sec. 431.76.
    (3) Sections 8.2.2, 11.1.4, 11.1.5, and 11.1.6.2 of the Hydronics 
Institute (HI) Division of GAMA Boiler Testing Standard BTS-2000, 
``Method to Determine Efficiency of Commercial Space Heating Boilers,'' 
published January 2001 (HI BTS-2000), IBR approved for Sec. 431.76.
    (4) Sections 7.2.2.4, 7.8, 9.2, and 11.3.7 of the American Society 
of Heating, Refrigerating and Air-Conditioning Engineers, Inc. (ASHRAE) 
Standard 103-1993, `` Method of Testing for Annual Fuel Utilization 
Efficiency of Residential Central Furnaces and Boilers,'' IBR approved 
for Sec. 431.76.
    (c) Availability of references--(1) Inspection of test procedures. 
The test procedures incorporated by reference are available for 
inspection at:
    (i) National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call (202) 
741-6030, or go to: http://www.archives.gov/federal--register/code--of--
federal--regulations/ibr--locations.html.
    (ii) U.S. Department of Energy, Office of Energy Efficiency and 
Renewable Energy, Hearings and Dockets, ``Test Procedures and Efficiency 
Standards for Commercial Warm Air Furnaces; Efficiency Certification, 
Compliance, and Enforcement Requirements for Commercial Heating, Air 
Conditioning and Water Heating Equipment;'' Docket No. EE-RM/TP-99-450, 
Forrestal Building, 1000 Independence Avenue, SW., Washington, DC 20585.
    (2) Obtaining copies of Standards. Anyone can purchase a copy of 
standards incorporated by reference from the following sources:
    (i) The ASHRAE Standard from the American Society of Heating, 
Refrigerating, and Air-Conditioning Engineers, Inc., 1971 Tullie Circle, 
NE., Atlanta, GA 30329, or http://www.ashrae.org/book/bookshop.htm.
    (ii) The ANSI Standard from Global Engineering Documents, 15 
Inverness Way East, Englewood, CO 80112, or http://global.ihs.com/, or 
http://webstore.ansi.org/ansidocstore/.
    (iii) The UL Standard from Global Engineering Documents, 15 
Inverness Way East, Englewood, CO 80112, or http://global.ihs.com/.
    (iv) The HI Standard from the Hydronics Institute Division of GAMA, 
P.O. Box 218, Berkeley Heights, NJ 07922, or http://www.gamanet.org/
publist/hydroordr.htm.



Sec. 431.76  Uniform test method for the measurement of energy 
efficiency of commercial warm air furnaces.

    (a) This Section covers the test procedures you must follow if, 
pursuant to EPCA, you are measuring the steady state thermal efficiency 
of a gas-fired or oil-fired commercial warm air furnace with a rated 
maximum input of 225,000 Btu per hour or more. Where this Section 
prescribes use of ANSI standard Z21.47-1998 or UL standard 727-1994, 
(Incorporated by reference, see Sec. 431.75), perform only the 
procedures pertinent to the measurement of the steady-state efficiency.
    (b) Test setup--(1) Test setup for gas-fired commercial warm air 
furnaces. The test setup, including flue requirement, instrumentation, 
test conditions, and measurements for determining thermal efficiency is 
as specified in sections 1.1 (Scope), 2.1 (General), 2.2 (Basic Test 
Arrangements), 2.3 (Test Ducts and Plenums), 2.4 (Test Gases), 2.5 (Test 
Pressures and Burner Adjustments), 2.6 (Static Pressure and Air Flow 
Adjustments), 2.38 (Thermal Efficiency), and 4.2.1 (Basic Test 
Arrangements for Direct Vent Control Furnaces) of the ANSI Standard 
Z21.47-1998. The thermal efficiency test must be conducted only at the 
normal inlet test pressure, as specified in Section 2.5.1 of ANSI 
Standard Z21.47-1998, (Incorporated by reference, see Sec. 431.75), and 
at the maximum hourly Btu input rating specified by the manufacturer for 
the product being tested.
    (2) Test setup for oil-fired commercial warm air furnaces. The test 
setup, including flue requirement, instrumentation, test condition, and 
measurement for measuring thermal efficiency is as specified in sections 
1 (Scope), 2 (Units of Measurement), 3 (Glossary), 37 (General), 38 and 
39 (Test Installation), 40 (Instrumentation, except 40.4 and 40.6.2 
through 40.6.7, which are not required

[[Page 415]]

for the thermal efficiency test), 41 (Initial Test Conditions), 42 
(Combustion Test--Burner and Furnace), 43.2 (Operation Tests), 44 (Limit 
Control Cutout Test), 45 (Continuity of Operation Test), and 46 (Air 
Flow, Downflow or Horizontal Furnace Test), of the UL Standard 727-1994. 
You must conduct a fuel oil analysis for heating value, hydrogen 
content, carbon content, pounds per gallon, and American Petroleum 
Institute (API) gravity as specified in Section 8.2.2 of the HI BTS-2000 
(Incorporated by reference, see Sec. 431.75). The steady-state 
combustion conditions, specified in Section 42.1 of UL Standard 727-
1994, (Incorporated by reference, see Sec. 431.75), are attained when 
variations of not more than 5 [deg]F in the measured flue gas 
temperature occur for three consecutive readings taken 15 minutes apart.
    (c) Additional test measurements--(1) Measurement of flue 
CO2 (carbon dioxide) for oil-fired commercial warm air 
furnaces. In addition to the flue temperature measurement specified in 
Section 40.6.8 of UL Standard 727-1994, (Incorporated by reference, see 
Sec. 431.75) you must locate one or two sampling tubes within six 
inches downstream from the flue temperature probe (as indicated on 
Figure 40.3 of UL Standard 727-1994) (Incorporated by reference, see 
Sec. 431.75). If you use an open end tube, it must project into the 
flue one-third of the chimney connector diameter. If you use other 
methods of sampling CO2, you must place the sampling tube so 
as to obtain an average sample. There must be no air leak between the 
temperature probe and the sampling tube location. You must collect the 
flue gas sample at the same time the flue gas temperature is recorded. 
The CO2 concentration of the flue gas must be as specified by 
the manufacturer for the product being tested, with a tolerance of 
0.1 percent. You must determine the flue 
CO2 using an instrument with a reading error no greater than 
0.1 percent.
    (2) Procedure for the measurement of condensate for a gas-fired 
condensing commercial warm air furnace. The test procedure for the 
measurement of the condensate from the flue gas under steady state 
operation must be conducted as specified in sections 7.2.2.4, 7.8 and 
9.2 of the ASHRAE Standard 103-1993 (Incorporated by reference, see 
Sec. 431.75) under the maximum rated input conditions. You must conduct 
this condensate measurement for an additional 30 minutes of steady state 
operation after completion of the steady state thermal efficiency test 
specified in paragraph (b) of this section.
    (d) Calculations of thermal efficiency--(1) Gas-fired commercial 
warm air furnaces. You must use the calculation procedure specified in 
Section 2.38, Thermal Efficiency, of ANSI Standard Z21.47-1998 
(Incorporated by reference, see Sec. 431.75).
    (2) Oil-fired commercial warm air furnaces. You must calculate the 
percent flue loss (in percent of heat input rate) by following the 
procedure specified in sections 11.1.4, 11.1.5, and 11.1.6.2 of the HI 
BTS-2000 (Incorporated by reference, see Sec. 431.75). The thermal 
efficiency must be calculated as:

Thermal Efficiency (percent) = 100 percent - flue loss (in percent).

    (e) Procedure for the calculation of the additional heat gain and 
heat loss, and adjustment to the thermal efficiency, for a condensing 
commercial warm air furnace. (1) You must calculate the latent heat gain 
from the condensation of the water vapor in the flue gas, and calculate 
heat loss due to the flue condensate down the drain, as specified in 
sections 11.3.7.1 and 11.3.7.2 of ASHRAE Standard 103-1993, 
(Incorporated by reference, see Sec. 431.75), with the exception that 
in the equation for the heat loss due to hot condensate flowing down the 
drain in Section 11.3.7.2, the assumed indoor temperature of 70 [deg]F 
and the temperature term TOA must be replaced by the measured 
room temperature as specified in Section 2.2.8 of ANSI Standard Z21.47-
1998 (Incorporated by reference, see Sec. 431.75).
    (2) Adjustment to the Thermal Efficiency for Condensing Furnace. You 
must adjust the thermal efficiency as calculated in paragraph (d)(1) of 
this section by adding the latent gain, expressed in percent, from the 
condensation of the water vapor in the flue gas, and subtracting the 
heat loss (due to the flue condensate down the drain),

[[Page 416]]

also expressed in percent, both as calculated in paragraph (e)(1) of 
this section, to obtain the thermal efficiency of a condensing furnace.

                      Energy Conservation Standards



Sec. 431.77  Energy conservation standards and their effective dates.

    Each commercial warm air furnace manufactured on or after January 1, 
1994, must meet the following energy efficiency standard levels:
    (a) For a gas-fired commercial warm air furnace with capacity of 
225,000 Btu per hour or more, the thermal efficiency at the maximum 
rated capacity (rated maximum input) must be not less than 80 percent.
    (b) For an oil-fired commercial warm air furnace with capacity of 
225,000 Btu per hour or more, the thermal efficiency at the maximum 
rated capacity (rated maximum input) must be not less than 81 percent.



                  Subpart E_Commercial Packaged Boilers

    Source: 69 FR 61960, Oct. 21, 2004, unless otherwise noted.



Sec. 431.81  Purpose and scope.

    This subpart contains energy conservation requirements for certain 
commercial packaged boilers, pursuant to Part C of Title III of the 
Energy Policy and Conservation Act. (42 U.S.C. 6311-6317)

[69 FR 61960, Oct. 21, 2004, as amended at 70 FR 60415, Oct. 18, 2005]



Sec. 431.82  Definitions concerning commercial packaged boilers.

    The following definitions apply for purposes of this subpart E, and 
of subparts A and J through M of this part. Any words or terms not 
defined in this section or elsewhere in this part shall be defined as 
provided in 42 U.S.C. 6311.
    Btu/h or Btu/hr means British thermal units per hour.
    Combustion efficiency for a commercial packaged boiler is determined 
using test procedures prescribed under Sec. 431.86 and is equal to 100 
percent minus percent flue loss (percent flue loss is based on input 
fuel energy).
    Commercial packaged boiler means a type of packaged low pressure 
boiler that is industrial equipment with a capacity, (rated maximum 
input) of 300,000 Btu per hour (Btu/hr) or more which, to any 
significant extent, is distributed in commerce:
    (1) For heating or space conditioning applications in buildings; or
    (2) For service water heating in buildings but does not meet the 
definition of ``hot water supply boiler'' in this part.
    Condensing boiler means a commercial packaged boiler that condenses 
part of the water vapor in the flue gases, and that includes a means of 
collecting and draining this condensate from its heat exchanger section.
    Flue condensate means liquid formed by the condensation of moisture 
in the flue gases.
    Manufacturer of a commercial packaged boiler means any person who 
manufactures, produces, assembles or imports such a boiler, including 
any person who:
    (1) Manufactures, produces, assembles or imports a commercial 
packaged boiler in its entirety;
    (2) Manufactures, produces, assembles or imports a commercial 
packaged boiler in part, and specifies or approves the boiler's 
components, including burners or other components produced by others, as 
for example by specifying such components in a catalogue by make and 
model number or parts number; or
    (3) Is any vendor or installer who sells a commercial packaged 
boiler that consists of a combination of components that is not 
specified or approved by a person described in paragraph (1) or (2) of 
this definition.
    Packaged boiler means a boiler that is shipped complete with heating 
equipment, mechanical draft equipment and automatic controls; usually 
shipped in one or more sections and does not include a boiler that is 
custom designed and field constructed. If the boiler is shipped in more 
than one section, the sections may be produced by more than one 
manufacturer, and may be originated or shipped at different times and 
from more than one location.
    Packaged high pressure boiler means a packaged boiler that is:

[[Page 417]]

    (1) A steam boiler designed to operate at a steam pressure higher 
than 15 psi gauge (psig); or
    (2) A hot water boiler designed to operate at a water pressure above 
160 psig or at a water temperature exceeding 250 [deg]F, or both; or
    (3) A boiler that is designed to be capable of supplying either 
steam or hot water, and designed to operate under the conditions in 
paragraphs (1) and (2) of this definition.
    Packaged low pressure boiler means a packaged boiler that is:
    (1) A steam boiler designed to operate at or below a steam pressure 
of 15 psig; or
    (2) A hot water boiler designed to operate at or below a water 
pressure of 160 psig and a temperature of 250 [deg]F; or
    (3) A boiler that is designed to be capable of supplying either 
steam or hot water, and designed to operate under the conditions in 
paragraphs (1) and (2) of this definition.
    Thermal efficiency for a commercial packaged boiler is determined 
using test procedures prescribed under Sec. 431.86 and is the ratio of 
the heat absorbed by the water or the water and steam to the higher 
heating value in the fuel burned.

[69 FR 61960, Oct. 21, 2004, as amended at 74 FR 36354, July 22, 2009]

                             Test Procedures



Sec. 431.85  Materials incorporated by reference.

    (a) General. We incorporate by reference the following standards 
into Subpart E of Part 431. The material listed 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 regulations 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. 
All approved material is available for inspection at the National 
Archives and Records Administration (NARA). For information on the 
availability of this material at NARA, call 202-741-6030 or go to http:/
/www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html. Also, this material is available for inspection at U.S. 
Department of Energy, Office of Energy Efficiency and Renewable Energy, 
Building Technologies Program, 6th Floor, 950 L'Enfant Plaza, SW., 
Washington, DC 20024, 202-586-2945, or go to: http://
www1.eere.energy.gov/buildings/appliance--standards/. Standards can be 
obtained from the sources listed below.
    (b) HI. The Gas Appliance Manufacturers Association (GAMA) merged in 
2008 with the Air-Conditioning and Refrigeration Institute to become the 
Air-Conditioning, Heating, and Refrigeration Institute (AHRI). The 
Hydronics Institute BTS-2000 Testing Standard can be obtained from AHRI. 
For information on how to obtain this material, contact the Hydronics 
Institute Section of AHRI, P.O. Box 218, Berkeley Heights, NJ 07922-
0218, (866) 408-3831, or go to: http://www.ahrinet.org/Content/
OrderaStandard--573.aspx.
    (1) The Hydronics Institute Division of GAMA BTS-2000 Testing 
Standard, (``HI BTS-2000, Rev 06.07''), Method to Determine Efficiency 
of Commercial Space Heating Boilers, Second Edition (Rev 06.07), 2007, 
IBR approved for Sec. 431.86.
    (2) [Reserved]

[74 FR 36354, July 22, 2009]



Sec. 431.86  Uniform test method for the measurement of energy 
efficiency of commercial packaged boilers.

    (a) Scope. This section provides test procedures that must be 
followed for measuring, pursuant to EPCA, the steady state combustion 
efficiency and thermal efficiency of a gas-fired or oil-fired commercial 
packaged boiler. These test procedures apply to packaged low pressure 
boilers that have rated input capacities of 300,000 Btu/h or more and 
are ``commercial packaged boilers,'' but do not apply under EPCA to 
``packaged high pressure boilers.''
    (b) Definitions. For purposes of this section, the Department 
incorporates by reference the definitions specified in Section 3.0 of 
the HI BTS-2000, Rev 06.07 (incorporated by reference, see Sec. 
431.85), with the exception of the definition for the terms ``packaged 
boiler,''

[[Page 418]]

``condensing boilers,'' and ``packaged low pressure steam'' and ``hot 
water boiler.''
    (c) Test Method for Commercial Packaged Boilers--General. Follow the 
provisions in this paragraph (c) for all testing of packaged low 
pressure boilers that are commercial packaged boilers.
    (1) Test Setup--(i) Classifications: If employing boiler 
classification, you must classify boilers as given in Section 4.0 of the 
HI BTS-2000, Rev 06.07 (incorporated by reference, see Sec. 431.85).
    (ii) Requirements: (A) Before March 2, 2012, conduct the combustion 
efficiency test as given in Section 5.2 (Combustion Efficiency Test) of 
the HI BTS-2000, Rev 06.07 (incorporated by reference, see Sec. 431.85) 
for all commercial packaged boiler equipment classes.
    (B) On or after March 2, 2012, conduct the thermal efficiency test 
as given in Section 5.1 (Thermal Efficiency Test) of the HI BTS-2000, 
Rev 06.07 (incorporated by reference, see Sec. 431.85) for the 
following commercial packaged boiler equipment classes: Small, gas, hot 
water; small, gas, steam, all except natural draft; small, gas, steam, 
natural draft; small, oil, hot water; small, oil, steam; large, gas, 
steam, all except natural draft; large, gas, steam, natural draft; and 
large, oil, steam. On or after March 2, 2012, conduct the combustion 
efficiency test as given in Section 5.2 (Combustion Efficiency Test) of 
the HI BTS-2000, Rev 06.07 for the following commercial packaged boiler 
equipment classes: Large, gas-fired, hot water and large, oil-fired, hot 
water.
    (iii) Instruments and Apparatus: (A) Follow the requirements for 
instruments and apparatus in sections 6 (Instruments) and 7 (Apparatus), 
of the HI BTS-2000, Rev 06.07 (incorporated by reference, see Sec. 
431.85), with the exception of section 7.2.5 (flue connection for 
outdoor boilers) which is replaced with paragraph (c)(1)(iii)(B) of this 
section:
    (B) Flue Connection for Outdoor Boilers: Consistent with the 
procedure specified in section 7.2.1 of HI BTS-2000, Rev 06.07 
(incorporated by reference, see Sec. 431.85), the integral venting used 
in oil-fired and power gas outdoor boilers may be modified only to the 
extent necessary to permit the boiler's connection to the test flue 
apparatus for testing.
    (iv) Test Conditions: Use test conditions from Section 8.0 
(excluding 8.6.2) of HI BTS-2000, Rev 06.07 (incorporated by reference, 
see Sec. 431.85) for combustion efficiency testing. Use all of the test 
conditions from Section 8.0 of HI BTS-2000, Rev 06.07 for thermal 
efficiency testing.
    (2) Test Measurements--(i) Non-Condensing Boilers: (A) Combustion 
Efficiency. Measure for combustion efficiency according to sections 9.1 
(excluding sections 9.1.1.2.3 and 9.1.2.2.3), 9.2 and 10.2 of the HI 
BTS-2000, Rev 06.07 (incorporated by reference, see Sec. 431.85).
    (B) Thermal Efficiency. Measure for thermal efficiency according to 
sections 9.1 and 10.1 of the HI BTS-2000, Rev 06.07 (incorporated by 
reference, see Sec. 431.85).
    (ii) Procedure for the Measurement of Condensate for a Condensing 
Boiler. For the combustion efficiency test, collect flue condensate as 
specified in Section 9.2.2 of HI BTS-2000, Rev 06.07 (incorporated by 
reference, see Sec. 431.85). Measure the condensate from the flue gas 
under steady state operation for the 30 minute collection period during 
the 30 minute steady state combustion efficiency test. Flue condensate 
mass shall be measured immediately at the end of the 30 minute 
collection period to prevent evaporation loss from the sample. The 
humidity of the room shall at no time exceed 80 percent. Determine the 
mass of flue condensate for the steady state period by subtracting the 
tare container weight from the total container and flue condensate 
weight measured at the end of the test period. For the thermal 
efficiency test, collect and measure the condensate from the flue gas as 
specified in Section 9.1.1 and 9.1.2 of HI BTS-2000, Rev 06.07.
    (iii) A Boiler That is Capable of Supplying Either Steam or Hot 
Water--(A) Testing. For purposes of EPCA, before March 2, 2012, measure 
the combustion efficiency of any size commercial packaged boiler capable 
of supplying either steam or hot water either by testing the boiler in 
the steam mode or by testing it in both the steam and hot water modes. 
On or after March 2, 2012, measure the combustion efficiency and thermal 
efficiency of a large (fuel input

[[Page 419]]

greater than 2,500 kBtu/h) commercial packaged boiler capable of 
supplying either steam or hot water either by testing the boiler for 
both efficiencies in steam mode, or by testing the boiler in both steam 
and hot water modes measuring the thermal efficiency of the boiler in 
steam mode and the combustion efficiency of the boiler in hot water 
mode. Measure only the thermal efficiency of a small (fuel input of 
greater than or equal to 300 kBtu/h and less than or equal to 2,500 
kBtu/h) commercial packaged boiler capable of supplying either steam or 
hot water either by testing the boiler for thermal efficiency only in 
steam mode or by testing the boiler for thermal efficiency in both steam 
and hot water modes.
    (B) Rating. If testing a large boiler only in the steam mode, use 
the efficiencies determined from such testing to rate the thermal 
efficiency for the steam mode and the combustion efficiency for the hot 
water mode. If testing a large boiler in both modes, rate the boiler's 
efficiency for each mode based on the testing in that mode. If testing a 
small boiler only in the steam mode, use the efficiencies determined 
from such testing to rate the thermal efficiency for the steam mode and 
the hot water mode. If testing a small boiler in both modes, rate the 
boiler's efficiency for each mode based on the testing in that mode.
    (3) Calculation of Efficiency--(i) Combustion Efficiency. Use the 
calculation procedure for the combustion efficiency test specified in 
Section 11.2 (including the specified subsections of 11.1) of the HI 
BTS-2000, Rev 06.07 (incorporated by reference, see Sec. 431.85).
    (ii) Thermal Efficiency. Use the calculation procedure for the 
thermal efficiency test specified in Section 11.1 of the HI BTS-2000, 
Rev 06.07 (incorporated by reference, see Sec. 431.85).

[74 FR 36354, July 22, 2009]

                       Energy Efficiency Standards



Sec. 431.87  Energy conservation standards and their effective dates.

    (a) Each commercial packaged boiler manufactured on or after January 
1, 1994, and before March 2, 2012, must meet the following energy 
efficiency standard levels:
    (1) For a gas-fired packaged boiler with a capacity (rated maximum 
input) of 300,000 Btu/h or more, the combustion efficiency at the 
maximum rated capacity must be not less than 80 percent.
    (2) For an oil-fired packaged boiler with a capacity (rated maximum 
input) of 300,000 Btu/h or more, the combustion efficiency at the 
maximum rated capacity must be not less than 83 percent.
    (b) Each commercial packaged boiler listed in Table 1 to Sec. 
431.87 and manufactured on or after the effective date listed in Table 1 
of this section, must meet the applicable energy conservation standard 
in Table 1.

               Table 1 to Sec. 431.87--Commercial Packaged Boiler Energy Conservation Standards
----------------------------------------------------------------------------------------------------------------
                                                                                            Efficiency level--
           Equipment type                    Subcategory         Size category  (input)   Effective date:  March
                                                                                                2, 2012 *
----------------------------------------------------------------------------------------------------------------
Hot Water Commercial Packaged         Gas-fired...............  =300,000 Btu/ 80.0% ET
 Boilers.                                                        h and <=2,500,000 Btu/
                                                                 h.
Hot Water Commercial Packaged         Gas-fired...............  2,500,000     82.0% EC
 Boilers.                                                        Btu/h.
Hot Water Commercial Packaged         Oil-fired...............  =300,000 Btu/ 82.0% ET
 Boilers.                                                        h and <=2,500,000 Btu/
                                                                 h.
Hot Water Commercial Packaged         Oil-fired...............  2,500,000     84.0% EC
 Boilers.                                                        Btu/h.
Steam Commercial Packaged Boilers...  Gas-fired--all, except    =300,000 Btu/ 79.0% ET
                                       natural draft.            h and <=2,500,000 Btu/
                                                                 h.
Steam Commercial Packaged Boilers...  Gas-fired--all, except    2,500,000     79.0% ET
                                       natural draft.            Btu/h.
Steam Commercial Packaged Boilers...  Gas-fired--natural draft  =300,000 Btu/ 77.0% ET
                                                                 h and <=2,500,000 Btu/
                                                                 h.
Steam Commercial Packaged Boilers...  Gas-fired--natural draft  2,500,000     77.0% ET
                                                                 Btu/h.
Steam Commercial Packaged Boilers...  Oil-fired...............  =300,000 Btu/ 81.0% ET
                                                                 h and <=2,500,000 Btu/
                                                                 h.
Steam Commercial Packaged Boilers...  Oil-fired...............  2,500,000     81.0% ET
                                                                 Btu/h.
----------------------------------------------------------------------------------------------------------------
* Where EC is combustion efficiency and ET is thermal efficiency as defined in Sec. 431.82.


[[Page 420]]

    (c) Each commercial packaged boiler listed in Table 2 to Sec. 
431.87 and manufactured on or after the effective date listed in Table 2 
of this section, must meet the applicable energy conservation standard 
in Table 2.

               Table 2 to Sec. 431.87--Commercial Packaged Boiler Energy Conservation Standards
----------------------------------------------------------------------------------------------------------------
                                                                                            Efficiency level--
           Equipment type                  Subcategory          Size category (input)     Effective date: March
                                                                                                2, 2022 *
----------------------------------------------------------------------------------------------------------------
Steam Commercial Packaged Boilers..  Gas-fired--natural      =300,000 Btu/h   79.0% ET
                                      draft.                  and <=2,500,000 Btu/h.
Steam Commercial Packaged Boilers..  Gas-fired--natural      2,500,000 Btu/h  79.0% ET
                                      draft.
----------------------------------------------------------------------------------------------------------------
* Where EC is combustion efficiency and ET is thermal efficiency as defined in Sec. 431.82.


[74 FR 36355, July 22, 2009]



          Subpart F_Commercial Air Conditioners and Heat Pumps

    Source: 69 FR 61969, Oct. 21, 2004, unless otherwise noted.



Sec. 431.91  Purpose and scope.

    This subpart specifies test procedures and energy conservation 
standards for certain commercial air conditioners and heat pumps, 
pursuant to Part C of Title III of the Energy Policy and Conservation 
Act, as amended, 42 U.S.C. 6311-6317.

[69 FR 61969, Oct. 21, 2004, as amended at 70 FR 60415, Oct. 18, 2005]



Sec. 431.92  Definitions concerning commercial air conditioners 
and heat pumps.

    The following definitions apply for purposes of this subpart F, and 
of subparts J through M of this part. Any words or terms not defined in 
this section or elsewhere in this part shall be defined as provided in 
42 U.S.C. 6311.
    Coefficient of Performance, or COP means the ratio of the produced 
cooling effect of an air conditioner or heat pump (or its produced 
heating effect, depending on the mode of operation) to its net work 
input, when both the cooling (or heating) effect and the net work input 
are expressed in identical units of measurement.
    Commercial package air-conditioning and heating equipment means air-
cooled, water-cooled, evaporatively-cooled, or water source (not 
including ground water source) electrically operated, unitary central 
air conditioners and central air-conditioning heat pumps for commercial 
application.
    Energy Efficiency Ratio, or EER means the ratio of the produced 
cooling effect of an air conditioner or heat pump to its net work input, 
expressed in Btu/watt-hour.
    Heating seasonal performance factor, or HSPF means the total heating 
output of a central air-conditioning heat pump during its normal annual 
usage period for heating, expressed in Btu's and divided by the total 
electric power input, expressed in watt-hours, during the same period.
    Large commercial package air-conditioning and heating equipment 
means commercial package air-conditioning and heating equipment that is 
rated--
    (1) At or above 135,000 Btu per hour; and
    (2) Below 240,000 Btu per hour (cooling capacity).
    Non-standard size means a packaged terminal air conditioner or 
packaged terminal heat pump with existing wall sleeve dimensions having 
an external wall opening of less than 16 inches high or less than 42 
inches wide, and a cross-sectional area less than 670 square inches.
    Packaged terminal air conditioner means a wall sleeve and a separate 
un-encased combination of heating and cooling assemblies specified by 
the builder and intended for mounting through the wall, and that is 
industrial equipment. It includes a prime source of refrigeration, 
separable outdoor louvers, forced ventilation, and heating availability 
by builder's choice of hot water, steam, or electricity.
    Packaged terminal heat pump means a packaged terminal air 
conditioner that utilizes reverse cycle refrigeration as its prime heat 
source, that has a supplementary heat source available, with

[[Page 421]]

the choice of hot water, steam, or electric resistant heat, and that is 
industrial equipment.
    Seasonal energy efficiency ratio or SEER means the total cooling 
output of a central air conditioner or central air-conditioning heat 
pump, expressed in Btu's, during its normal annual usage period for 
cooling and divided by the total electric power input, expressed in 
watt-hours, during the same period.
    Single package unit means any central air conditioner or central 
air-conditioning heat pump in which all the major assemblies are 
enclosed in one cabinet.
    Single package vertical air conditioner means air-cooled commercial 
package air conditioning and heating equipment that--
    (1) Is factory-assembled as a single package that--
    (i) Has major components that are arranged vertically;
    (ii) Is an encased combination of cooling and optional heating 
components; and
    (iii) Is intended for exterior mounting on, adjacent interior to, or 
through an outside wall;
    (2) Is powered by a single-or 3-phase current;
    (3) May contain 1 or more separate indoor grilles, outdoor louvers, 
various ventilation options, indoor free air discharges, ductwork, well 
plenum, or sleeves; and
    (4) Has heating components that may include electrical resistance, 
steam, hot water, or gas, but may not include reverse cycle 
refrigeration as a heating means.
    Single package vertical heat pump means a single package vertical 
air conditioner that--
    (1) Uses reverse cycle refrigeration as its primary heat source; and
    (2) May include secondary supplemental heating by means of 
electrical resistance, steam, hot water, or gas.
    Small commercial package air-conditioning and heating equipment 
means commercial package air-conditioning and heating equipment that is 
rated below 135,000 Btu per hour (cooling capacity).
    Split system means any central air conditioner or central air 
conditioning heat pump in which one or more of the major assemblies are 
separate from the others.
    Standard size means a packaged terminal air conditioner or packaged 
terminal heat pump with wall sleeve dimensions having an external wall 
opening of greater than or equal to 16 inches high or greater than or 
equal to 42 inches wide, and a cross-sectional area greater than or 
equal to 670 square inches.
    Very large commercial package air-conditioning and heating equipment 
means commercial package air-conditioning and heating equipment that is 
rated--
    (1) At or above 240,000 Btu per hour; and
    (2) Below 760,000 Btu per hour (cooling capacity).

[69 FR 61969, Oct. 21, 2004, as amended at 70 FR 60415, Oct. 18, 2005; 
73 FR 58828, Oct. 7, 2008; 74 FR 12073, Mar. 23, 2009]

                             Test Procedures



Sec. 431.95  Materials incorporated by reference.

    (a) The Department incorporates by reference the following test 
procedures into subpart F of part 431. The Director of the Federal 
Register has approved the material listed in paragraph (b) of this 
section for incorporation by reference in accordance with 5 U.S.C. 
552(a) and 1 CFR part 51. Any subsequent amendment to this material by 
the standard-setting organization will not affect the Department test 
procedures unless and until the Department amends its test procedures. 
The Department incorporates the material 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.
    (b) List of test procedures incorporated by reference. (1) Air-
Conditioning and Refrigeration Institute (ARI) Standard 210/240-2003 
published in 2003, ``Unitary Air-Conditioning and Air-Source Heat Pump 
Equipment,'' IBR approved for Sec. 431.96.
    (2) ARI Standard 340/360-2004, ``Performance Rating of Commercial 
and Industrial Unitary Air-Conditioning and Heat Pump Equipment.''
    (3) International Organization for Standardization (ISO) 
International Standard ISO 13256-1 published in 1998,

[[Page 422]]

``Water-source heat pumps--Testing and rating for performance--Part 1: 
Water-to-air and brine-to-air heat pumps,'' IBR approved for Sec. 
431.96.
    (4) ARI Standard 310/380-2004 (CSA-C744-04) published in 2004, 
``Standard for Packaged Terminal Air-Conditioners and Heat Pumps,'' IBR 
approved for Sec. 431.96.
    (c) Availability of references--(1) Inspection of test procedures. 
You may inspect the test procedures incorporated by reference at:
    (i) National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call 202-741-
6030, or go to: http://www.archives.gov/federal--register/code--of--
federal--regulations/ibr--locations.html.
    (ii) U.S. Department of Energy, Office of Energy Efficiency and 
Renewable Energy, Hearings and Dockets, ``Test Procedures and Efficiency 
Standards for Commercial Air Conditioners and Heat Pumps,'' Docket No. 
EE-RM/TP-99-460, 1000 Independence Avenue, SW., Washington, DC 20585.
    (2) Obtaining copies of test procedures. You may obtain a copy of 
the ARI standards from the Air-Conditioning and Refrigeration Institute, 
4301 North Fairfax Drive, Suite 425, Arlington, VA 22203, http://
www.ari.org/. You can purchase a copy of the ISO Standard 13256-1 from 
the International Organization for Standardization, Case Postale 56, CH-
1211, Geneva 20, Switzerland. http://www.iso.ch/ or from the American 
National Standards Institute, 25 West 43rd Street, New York, New York 
10036.

[69 FR 61969, Oct. 21, 2004, as amended at 71 FR 71370, Dec. 8, 2006]



Sec. 431.96  Uniform test method for the measurement of energy 
efficiency of small, large, and very large commercial package air 

conditioning and heating equipment, packaged terminal air 
conditioners, and packaged terminal heat pumps.

    (a) Scope. This section contains test procedures for measuring, 
pursuant to EPCA, the energy efficiency of any small, large, or very 
large commercial package air-conditioning and heating equipment, 
packaged terminal air conditioner, or packaged terminal heat pump.
    (b) Testing and calculations. Determine the energy efficiency of 
each covered product by conducting the test procedure(s) listed in the 
rightmost column of Table 1 of this section, that apply to the energy 
efficiency descriptor for that product, category, and cooling capacity.

     Table 1 to Sec. 431.96--Test Procedures for All Small Commercial Package Air-Conditioning and Heating
    Equipment, for Large Commercial Package Air-Conditioning and Heating Equipment, for Very Large Commercial
    Package Air-Conditioning and Heating Equipment, and for Packaged Terminal Air-Conditioners, and Packaged
                                               Terminal Heat Pumps
----------------------------------------------------------------------------------------------------------------
                                                                                 Energy           Use tests,
             Product                     Category         Cooling capacity     efficiency       conditions and
                                                                               descriptor     procedures \1\ in
----------------------------------------------------------------------------------------------------------------
Small Commercial Packaged Air      Air Cooled, 3        <65,000 Btu/h......  SEER..........  ARI Standard 210/
 Conditioning and Heating           Phase, AC and HP.                        HSPF..........   240-2003.
 Equipment.                                                                                  ARI Standard 210/
                                                                                              240-2003.
                                   Air Cooled AC and    =65,000   EER...........  ARI Standard 340/
                                    HP.                  Btu/h and <135,000  COP...........   360-2004.
                                                         Btu/h                               ARI Standard 340/
                                                                                              360-2004.
                                   Water Cooled and     <65,000 Btu/h......  EER...........  ARI Standard 210/
                                    Evaporatively       =65,000   EER...........   240-2003.
                                    Cooled AC.           Btu/h and <135,000                  ARI Standard 340/
                                                         Btu/h..                              360-2004.
                                   Water-Source HP....  <135,000 Btu/h.....  EER...........  ISO Standard 13256-
                                                                             COP...........   1 (1998).
                                                                                             ISO Standard 13256-
                                                                                              1 (1998).
Large Commercial Packaged Air-     Air Cooled AC and    =135,000  EER...........  ARI Standard 340/
 Conditioning and Heating           HP.                  Btu/h and <240,000  COP...........   360-2004.
 Equipment.                                              Btu/h.                              ARI Standard 340/
                                                                                              360-2004.
                                   Water Cooled AC....  =135,000  EER...........  ARI Standard 340/
                                                         Btu/h and <240,000                   360-2004.
                                                         Btu/h.
                                   Evaporatively        =135,000  EER...........  ARI Standard 340/
                                    Cooled AC.           Btu/h and <240,000                   360-2004.
                                                         Btu/h.

[[Page 423]]

 
Very Large Commercial Packaged     Air Cooled AC and    =240,000  EER...........  ARI Standard 340/
 Air-Conditioning and Heating       HP.                  Btu/h and <760,000  COP...........   360-2004.
 Equipment.                                              Btu/h.                              ARI Standard 340/
                                                                                              360-2004.
Packaged Terminal Air-             AC and HP..........  All................  EER...........  ARI Standard 310/
 Conditioners and Heat Pumps.      HP.................  All................  COP...........   380-2004.
                                                                                             ARI Standard 310/
                                                                                              380-2004.
----------------------------------------------------------------------------------------------------------------
\1\ Incorporated by reference, see Sec. 431.95.


[71 FR 73170, Dec. 8, 2006]

                       Energy Efficiency Standards



Sec. 431.97  Energy efficiency standards and their effective dates.

    (a) Each commercial air conditioner or heat pump (including single 
package vertical air conditioners and single package vertical heat 
pumps) manufactured on or after January 1, 1994 (except for large 
commercial package air-conditioning and heating equipment, for which the 
effective date is January 1, 1995) must meet the applicable minimum 
energy efficiency standard level(s) set forth in Tables 1 and 2 of this 
section.

                                               Table 1 to Sec. 431.97--Minimum Cooling Efficiency Levels
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                        Efficiency level \1\
                                                                                                           ---------------------------------------------
              Product                       Category            Cooling capacity          Sub-category             Products        Products manufactured
                                                                                                              manufactured until   on and after  October
                                                                                                               October 29, 2003           29, 2003
--------------------------------------------------------------------------------------------------------------------------------------------------------
Small Commercial Packaged Air        Air Cooled, 3 Phase...  <65,000 Btu/h.........  Split System.........  SEER = 10.0..........  SEER = 10.0.
 Conditioning and Heating Equipment.                                                 Single Package.......  SEER = 9.7...........  SEER = 9.7.
                                     Air Cooled............  =65,000 Btu/ All..................  EER = 8.9............  EER = 8.9.
                                                              h and <135,000 Btu/h.
                                     Water Cooled,           <17,000 Btu/h.........  AC...................  EER = 9.3............  EER = 12.1.
                                      Evaporatively Cooled,                          HP...................  EER = 9.3............  EER = 11.2.
                                      and Water-Source.
                                                             =17,000 Btu/ AC...................  EER = 9.3............  EER = 12.1.
                                                              h and <65,000 Btu/h.   HP...................  EER = 9.3............  EER = 12.0.
                                                             =65,000 Btu/ AC...................  EER = 10.5...........  EER = 11.5.\2\
                                                              h and <135,000 Btu/h.  HP...................  EER = 10.5...........  EER = 12.0.
Large Commercial Packaged Air        Air Cooled............  =135,000     All..................  EER = 8.5............  EER = 8.5.
 Conditioning and Heating Equipment.                          Btu/h and <240,000
                                                              Btu/h.
                                     Water-Cooled and        =135,000     All..................  EER = 9.6............  EER = 9.6.\3\
                                      Evaporatively Cooled.   Btu/h and <240,000
                                                              Btu/h.
Packaged Terminal Air Conditioners   All...................  <7,000 Btu/h..........  All..................  EER = 8.88...........  EER = 8.88.
 and Heat Pumps.
                                                             =7,000 Btu/  .....................  EER = 10.0-(0.16 x     EER = 10.0-(0.16 x
                                                              h and <=15,000 Btu/h.                          capacity [in kBtu/h    capacity [in kBtu/h
                                                                                                             at 95 [deg]F outdoor   at 95 [deg]F outdoor
                                                                                                             dry-bulb               dry-bulb
                                                                                                             temperature]).         temperature]).

[[Page 424]]

 
                                                             15,000 Btu/  .....................  EER = 7.6............  EER = 7.6.
                                                              h.
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ For equipment rated according to the ARI standards, all EER values must be rated at 95 [deg]F outdoor dry-bulb temperature for air-cooled products
  and evaporatively cooled products and at 85 [deg]F entering water temperature for water-cooled products. For water-source heat pumps rated according
  to the ISO standard, EER must be rated at 30 [deg]C (86 [deg]F) entering water temperature.
\2\ Deduct 0.2 from the required EER for units with heating sections other than electric resistance heat.
\3\ Effective 10/29/2004, the minimum value became EER = 11.0.


                                               Table 2 to Sec. 431.97--Minimum Heating Efficiency Levels
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                        Efficiency level \1\
                                                                                                           ---------------------------------------------
              Product                       Category            Cooling capacity          Sub-category             Products        Products manufactured
                                                                                                              manufactured until    on and after October
                                                                                                               October 29, 2003           29, 2003
--------------------------------------------------------------------------------------------------------------------------------------------------------
Small Commercial Packaged Air        Air Cooled, 3 Phase...  <65,000 Btu/h.........  Split System.........  HSPF = 6.8...........  HSPF = 6.8.
 Conditioning and Heating Equipment.                                                 Single Package.......  HSPF = 6.6...........  HSPF = 6.6.
                                     Water-Source..........  <135,000 Btu/h........  Split System and       COP = 3.8............  COP = 4.2.
                                                                                      Single Package.
                                     Air Cooled............  =65,000 Btu/ All..................  COP = 3.0............  COP = 3.0.
                                                              h and <135,000 Btu/h.
Large Commercial Packaged Air        Air Cooled............  =135,000     Split System and       COP = 2.9............  COP = 2.9.
 Conditioning and Heating Equipment.                          Btu/h and <240,000      Single Package.
                                                              Btu/h.
Packaged Terminal Heat Pumps.......  All...................  All...................  All..................  COP = 1.3 + (0.16 x    COP = 1.3 + (0.16 x
                                                                                                             the applicable         the applicable
                                                                                                             minimum cooling EER    minimum cooling EER
                                                                                                             prescribed in Table    prescribed in Table
                                                                                                             1--Minimum Cooling     1--Minimum Cooling
                                                                                                             Efficiency Levels).    Efficiency Levels).
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ For units tested by ARI standards, all COP values must be rated at 47 [deg]F outdoor dry-bulb temperature for air-cooled products, and at 70 [deg]F
  entering water temperature for water-source heat pumps. For heat pumps tested by the ISO Standard 13256-1, the COP values must be obtained at the
  rating point with 20 [deg]C (68 [deg]F) entering water temperature.

    (b) Commercial package air conditioning and heating equipment 
manufactured on or after January 1, 2010 (except for air-cooled, three-
phase small commercial package air-conditioning and heating equipment 
<65,000 Btu/h for which the effective date is June 16, 2008) must meet 
the applicable energy efficiency standards set forth in this section.

----------------------------------------------------------------------------------------------------------------
                                        Cooling capacity  (Btu/
               Product                            h)                    Category        Efficiency level[dagger]
----------------------------------------------------------------------------------------------------------------
Small commercial package air           <65,000.................  AC...................  SEER=13.0.
 conditioning and heating equipment,
 (air-cooled, three-phase).
                                                                 HP...................  SEER=13.0.
                                                                                        HSPF=7.7.
Single package vertical air            <65,000.................  AC...................  EER=9.0.
 conditioners and single package
 vertical heat pumps, single-phase
 and three phase.
                                                                 HP...................  EER=9.0.
                                                                                        COP=3.0.
Single package vertical air            = 65,000 and   AC...................  EER=8.9.
 conditioners and single package        <135,000.
 vertical heat pumps.
                                                                 HP...................  EER=8.9.
                                                                                        COP=3.0.
Single package vertical air            =135,000 and   AC...................  EER=8.6.
 conditioners and single package        <240,000.
 vertical heat pumps.

[[Page 425]]

 
                                                                 HP...................  EER=8.6.
                                                                                        COP=2.9.
Small commercial package air-          =65,000 and    AC...................  EER = 11.2*
 conditioning and heating equipment     <135,000.                                       EER = 11.0**
 (air-cooled).
                                                                 HP...................  EER = 11.0*
                                                                                        EER = 10.8**
Large commercial package air-          =135,000 and   AC...................  EER = 11.0*
 conditioning and heating equipment     <240,000.                                       EER = 10.8**
 (air-cooled).
                                                                 HP...................  EER = 10.6*
                                                                                        EER = 10.4**
Very large commercial package air-     = 240,000 and  AC...................  EER = 10.0*
 conditioning and heating equipment     <760,000.                                       EER = 9.8**
 (air-cooled).
                                                                 HP...................  EER = 9.5*
                                                                                        EER = 9.3**
Small commercial package air-          =65,000 and    HP...................  COP = 3.3
 conditioning heat pump.                <135,000.
Large commercial package air-          =135,000 and   HP...................  COP = 3.2
 conditioning heat pump.                <240,000.
Very large commercial package air-     = 240,000 and  HP...................  COP = 3.2
 conditioning heat pump.                <760,000.
----------------------------------------------------------------------------------------------------------------
* This EER level applies to equipment that has electric resistance heat or no heating.
** This EER level applies to equipment with all other heating-system types that are integrated into the unitary
  equipment.
[dagger]EER at a standard temperature rating of 95 [deg]F dry-bulb and COP at a high temperature rating of 47
  [deg]F dry-bulb.

    (c) Each standard size packaged terminal air conditioner or packaged 
terminal heat pump manufactured on or after September 30, 2012 and each 
non-standard size packaged terminal air conditioner or packaged terminal 
heat pump manufactured on or after September 30, 2010, shall have an 
Energy Efficiency Ratio and Coefficient of Performance no less than:

----------------------------------------------------------------------------------------------------------------
                           Equipment class
---------------------------------------------------------------------
                                                    Cooling capacity
                                                    (British thermal        Energy conservation standards *
           Equipment                 Category        units per hour
                                                        [Btu/h])
----------------------------------------------------------------------------------------------------------------
PTAC..........................  Standard Size....  <7,000...........  EER = 11.7
                                                   7,000-15,000.....  EER = 13.8-(0.300 x Cap**)
                                                   15,000  EER = 9.3
                                Non-Standard Size  <7,000...........  EER = 9.4
                                                   7,000-15,000.....  EER = 10.9-(0.213 x Cap**)
                                                   15,000  EER = 7.7
PTHP..........................  Standard Size....  <7,000...........  EER = 11.9
                                                   7,000-15,000.....  COP = 3.3
                                                   15,000  EER = 14.0-(0.300 x Cap**)
                                                                      COP = 3.7-(0.052 x Cap**)
                                                                      EER = 9.5
                                                                      COP = 2.9
                                Non-Standard Size  <7,000...........  EER = 9.3
                                                   7,000-15,000.....  COP = 2.7
                                                   15,000  EER = 10.8-(0.213 x Cap**)
                                                                      COP = 2.9-(0.026 x Cap**)
                                                                      EER = 7.6
                                                                      COP = 2.5
----------------------------------------------------------------------------------------------------------------
* For equipment rated according to the DOE test procedure, all EER values must be rated at 95 [deg]F outdoor dry-
  bulb temperature for air-cooled products and evaporatively-cooled products and at 85 [deg]F entering water
  temperature for water cooled products. All COP values must be rated at 47 [deg]F outdoor dry-bulb temperature
  for air-cooled products, and at 70 [deg]F entering water temperature for water-source heat pumps.
** Cap means cooling capacity in thousand British thermal units per hour (Btu/h) at 95 [deg]F outdoor dry-bulb
  temperature.

    (d) Each water-cooled and evaporatively-cooled commercial package 
air conditioning and heating equipment with a cooling capacity at or 
above 240,000 Btu/h and less than 760,000 Btu/h manufactured on or after 
January 10, 2011, shall meet the following standard levels:
    (1) For equipment that utilizes electric resistance heat or without 
heating, the energy efficiency ratio must be not less than 11.0.

[[Page 426]]

    (2) For equipment that utilizes all other types of heating, the 
energy efficiency ratio must be not less than 10.8.

[69 FR 61969, Oct. 21, 2004, as amended at 70 FR 60415, Oct. 18, 2005; 
70 FR 61698, Oct. 25, 2005; 71 FR 71371, Dec. 8, 2006; 73 FR 58828, Oct. 
7, 2008; 74 FR 12073, Mar. 23, 2009; 74 FR 36354, July 22, 2009]



Subpart G_Commercial Water Heaters, Hot Water Supply Boilers and Unfired 
                         Hot Water Storage Tanks

    Source: 69 FR 61983, Oct. 21, 2004, unless otherwise noted.



Sec. 431.101  Purpose and scope.

    This subpart contains energy conservation requirements for certain 
commercial water heaters, hot water supply boilers and unfired hot water 
storage tanks, pursuant to Part C of Title III of the Energy Policy and 
Conservation Act, as amended, 42 U.S.C. 6311-6317.

[69 FR 61983, Oct. 21, 2004, as amended at 70 FR 60415, Oct. 18, 2005]



Sec. 431.102  Definitions concerning commercial water heaters,
hot water supply boilers, and unfired hot water storage tanks.

    The following definitions apply for purposes of this subpart G, and 
of subparts J through M of this part. Any words or terms not defined in 
this section or elsewhere in this part shall be defined as provided in 
section 340 of the Act, 42 U.S.C. 6311.
    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.
    Hot water supply boiler means a packaged boiler that is industrial 
equipment and that,
    (1) Has an input rating from 300,000 Btu/hr to 12,500,000 Btu/hr and 
of at least 4,000 Btu/hr per gallon of stored water,
    (2) Is suitable for heating potable water, and
    (3) Meets either or both of the following conditions:
    (i) It has the temperature and pressure controls necessary for 
heating potable water for purposes other than space heating, or
    (ii) The manufacturer's product literature, product markings, 
product marketing, or product installation and operation instructions 
indicate that the boiler's intended uses include heating potable water 
for purposes other than space heating.
    Instantaneous water heater means a water heater that has an input 
rating not less than 4,000 Btu/hr per gallon of stored water, and that 
is industrial equipment, including products meeting this description 
that are designed to heat water to temperatures of 180 [deg]F or higher.
    Packaged boiler means a boiler that is shipped complete with heating 
equipment, mechanical draft equipment and automatic controls; usually 
shipped in one or more sections and does not include a boiler that is 
custom designed and field constructed. If the boiler is shipped in more 
than one section, the sections may be produced by more than one 
manufacturer, and may be originated or shipped at different times and 
from more than one location.
    R-value means the thermal resistance of insulating material as 
determined based on ASTM Standard Test Method C177-97 or C518-91 and 
expressed in ( [deg]F[middot]ft\2\[middot]h/Btu).
    Standby loss means the average hourly energy required to maintain 
the stored water temperature, expressed as applicable either (1) as a 
percentage (per hour) of the heat content of the stored water and 
determined by the formula for S given in Section 2.10 of ANSI Z21.10.3-
1998, denoted by the term ``S,'' or (2) in Btu per hour based on a 70 
[deg]F temperature differential between stored water and the ambient 
temperature, denoted by the term ``SL.''
    Storage water heater means a water heater that heats and stores 
water within the appliance at a thermostatically controlled temperature 
for delivery on demand and that is industrial equipment. Such term does 
not include units with an input rating of 4,000 Btu/hr or more per 
gallon of stored water.
    Tank surface area means, for the purpose of determining portions of 
a tank

[[Page 427]]

requiring insulation, those areas of a storage tank, including hand 
holes and manholes, in its uninsulated or pre-insulated state, that do 
not have pipe penetrations or tank supports attached.
    Thermal efficiency for an instantaneous water heater, a storage 
water heater or a hot water supply boiler means the ratio of the heat 
transferred to the water flowing through the water heater to the amount 
of energy consumed by the water heater as measured during the thermal 
efficiency test procedure prescribed in this subpart.
    Unfired hot water storage tank means a tank used to store water that 
is heated externally, and that is industrial equipment.

                             Test Procedures



Sec. 431.105  Materials incorporated by reference.

    (a) The Department incorporates by reference the following test 
procedures into Subpart G of Part 431. The Director of the Federal 
Register has approved the material listed in paragraph (b) of this 
section for incorporation by reference in accordance with 5 U.S.C. 
552(a) and 1 CFR Part 51. Any subsequent amendment to this material by 
the standard-setting organization will not affect the Department test 
procedures unless and until the Department amends its test procedures. 
The Department incorporates the material 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.
    (b) Test procedure incorporated by reference. American National 
Standards Institute (ANSI) Standard: ``Gas Water Heaters, Volume III, 
Storage Water Heaters with Input Ratings above 75,000 Btu per Hour, 
Circulating and Instantaneous, Z21.10.3-1998, CSA 4.3-M98, and its 
Addenda, ANSI Z21.10.3a-2000, CSA 4.3a-M00,'' IBR approved for Sec. 
431.105. The Department is incorporating by reference the ``Method of 
Test'' subsections of sections 2.9 and 2.10 in ANSI Z21.10.3-1998, CSA 
4.3-M98, and the sections referenced there, including sections 2.1.7, 
2.3.3, 2.3.4, 2.30 and Figure 3.
    (c) Availability of references--(1) Inspection of test procedures. 
The test procedures incorporated by reference are available for 
inspection at:
    (i) National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call 202-741-
6030, or go to: http://www.archives.gov/federal--register/code--of--
federal--regulations/ibr--locations.html.
    (ii) U.S. Department of Energy, Office of Energy Efficiency and 
Renewable Energy, Hearings and Dockets, ``Test Procedures and Efficiency 
Standards for Commercial Water Heaters, Hot Water Supply Boilers, and 
Unfired Hot Water Storage Tanks,'' Docket No. EE-RM/TP-99-480, Forrestal 
Building, 1000 Independence Avenue, SW., Washington, DC 20585.
    (2) Obtaining copies of Standards. Anyone can purchase a copy of the 
standard incorporated by reference from Global Engineering Documents, 15 
Inverness Way West, Englewood, CO 80112, or http://global.ihs.com/, or 
http://webstore.ansi.org/ansidocstore/.
    (d) Reference standards--(1) General. The standards listed in this 
paragraph are referred to in the Department test procedures in this 
subpart, but they are not incorporated by reference. These sources are 
given here for information and guidance.
    (2) List of References. (i) ASTM Standard Test Method C518-91, 
``Standard Test Method for Steady-State Heat Flux Measurements and 
Thermal Transmission Properties by Means of the Heat Flow Meter 
Apparatus.''
    (ii) ASTM Standard Test Method C177-97, ``Standard Test Method for 
Steady-State Heat Flux Measurements and Thermal Transmission Properties 
by Means of the Guarded-Hot-Plate Apparatus.''
    (iii) ASTM Standard Test Method D2156-80, ``Method for Smoke Density 
in Flue Gases from Burning Distillate Fuels.''



Sec. 431.106  Uniform test method for the measurement of energy efficiency 
of commercial water heaters and hot water supply boilers (other than 

commercial heat pump water heaters).

    (a) Scope. This section covers the test procedures you must follow 
if, pursuant to EPCA, you are measuring the

[[Page 428]]

thermal efficiency or standby loss, or both, of a storage or 
instantaneous water heater or hot water supply boiler (other than a 
commercial heat pump water heater).
    (b) Testing and Calculations. Determine the energy efficiency of 
each covered product by conducting the test procedure(s), set forth in 
the two rightmost columns of the following table, that apply to the 
energy efficiency descriptor(s) for that product:

----------------------------------------------------------------------------------------------------------------
                                                                 Use test setup,
                                                                  equipment and
              Product                   Energy efficiency         procedures in         With these additional
                                           descriptor          subsection labeled            stipulations
                                                              ``Method of Test'' of
----------------------------------------------------------------------------------------------------------------
Gas-fired Storage and Instantaneous  Thermal Efficiency....  ANSI Z21.10.3-1998,     A. For all products, the
 Water Heaters and Hot Water Supply                           Sec. 2.9**.           duration of the standby
 Boilers*.                                                                            loss test shall be until
                                                                                      whichever of the following
                                                                                      occurs first after you
                                                                                      begin to measure the fuel
                                                                                      and/or electric
                                                                                      consumption: (1) The first
                                                                                      cutout after 24 hours or
                                                                                      (2) 48 hours, if the water
                                                                                      heater is not in the
                                                                                      heating mode at that time.
                                     Standby Loss..........  ANSI Z21.10.3-1998,     B. For oil and gas
                                                              Sec. 2.10**.          products, the standby loss
                                                                                      in Btu per hour must be
                                                                                      calculated as follows: SL
                                                                                      (Btu per hour) = S (% per
                                                                                      hour) x 8.25 (Btu/gal-F) x
                                                                                      Measured Volume (gal) x 70
                                                                                      (degrees F).
                                                                                     C. For oil-fired products,
                                                                                      apply the following in
                                                                                      conducting the thermal
                                                                                      efficiency and standby
                                                                                      loss tests:
                                                                                     (1) Venting Requirements--
                                                                                      Connect a vertical length
                                                                                      of flue pipe to the flue
                                                                                      gas outlet of sufficient
                                                                                      height so as to meet the
                                                                                      minimum draft specified by
                                                                                      the manufacturer.
Oil-fired Storage and Instantaneous  Thermal Efficiency....  ANSI Z21.10.3-1998,     (2) Oil Supply--Adjust the
 Water Heaters and Hot Water Supply                           Sec. 2.9**.           burner rate so that: (a)
 Boilers*.                                                                            The hourly Btu input rate
                                                                                      lies within 2 percent of the
                                                                                      manufacturer's specified
                                                                                      input rate, (b) the CO2
                                                                                      reading shows the value
                                                                                      specified by the
                                                                                      manufacturer, (c) smoke in
                                                                                      the flue does not exceed
                                                                                      No. 1 smoke as measured by
                                                                                      the procedure in ASTM-D-
                                                                                      2156-80, and (d) fuel pump
                                                                                      pressure lies within 10 percent of
                                                                                      manufacturer's
                                                                                      specifications.
                                     Standby Loss..........  ANSI Z21.10.3-1998,     D. For electric products,
                                                              Sec. 2.10**.          apply the following in
                                                                                      conducting the standby
                                                                                      loss test:
                                                                                     (1) Assume that the thermal
                                                                                      efficiency (Et) of
                                                                                      electric water heaters
                                                                                      with immersed heating
                                                                                      elements is 98 percent.
                                                                                     (2) Maintain the electrical
                                                                                      supply voltage to within
                                                                                      5
                                                                                      percent of the center of
                                                                                      the voltage range
                                                                                      specified on the water
                                                                                      heater nameplate.
Electric Storage and Instantaneous   Standby Loss..........  ANSI Z21.10.3-1998,     (3) If the set up includes
 Water Heaters.                                               Sec. 2.10**.          multiple adjustable
                                                                                      thermostats, set the
                                                                                      highest one first to yield
                                                                                      a maximum water
                                                                                      temperature in the
                                                                                      specified range as
                                                                                      measured by the topmost
                                                                                      tank thermocouple. Then
                                                                                      set the lower
                                                                                      thermostat(s) to yield a
                                                                                      maximum mean tank
                                                                                      temperature within the
                                                                                      specified range.
----------------------------------------------------------------------------------------------------------------
*As to hot water supply boilers with a capacity of less than 10 gallons, these test methods become mandatory on
  October 21, 2005. Prior to that time, you may use for these products either (1) these test methods if you rate
  the product for thermal efficiency, or (2) the test methods in Subpart E if you rate the product for
  combustion efficiency as a commercial packaged boiler.
**Incorporated by reference, see Sec. 431.105.



Sec. 431.107  Uniform test method for the measurement of energy efficiency of 
commercial heat pump water heaters. [Reserved]

[[Page 429]]

                      Energy Conservation Standards



Sec. 431.110  Energy conservation standards and their effective dates.

    Each commercial storage water heater, instantaneous water heater, 
unfired hot water storage tank and hot water supply boiler \1\ must meet 
the applicable energy conservation standard level(s) as follows:
---------------------------------------------------------------------------

    \1\ Any packaged boiler that provides service water, that meets the 
definition of ``commercial packaged boiler'' in subpart E of this part, 
but does not meet the definition of `` hot water supply boiler'' in 
subpart G, must meet the requirements that apply to it under subpart E.

----------------------------------------------------------------------------------------------------------------
                                                                   Energy conservation standard \a\ (products
                                                                manufactured on and after October 29, 2003) \b\
              Product                          Size           --------------------------------------------------
                                                                    Minimum thermal        Maximum standby loss
                                                                      efficiency                   \c\
----------------------------------------------------------------------------------------------------------------
Electric storage water heaters....  All......................  N/A.....................  0.30 + 27/Vm (%/hr)
Gas-fired storage water heaters...  <=155,000 Btu/hr.........  80%.....................  Q/800 + 110(Vr) 1/2
                                    155,000 Btu/hr  80%.....................   (Btu/hr)
                                                                                         Q/800 + 110(Vr) 1/2
                                                                                          (Btu/hr)
Oil-fired storage water heaters...  <=155,000 Btu/hr.........  78%.....................  Q/800 + 110(Vr) 1/2
                                    155,000 Btu/hr  78%.....................   (Btu/hr)
                                                                                         Q/800 + 110(Vr) 1/2
                                                                                          (Btu/hr)
Gas-fired instantaneous water       <10 gal..................  80%.....................  N/A
 heaters and hot water supply       =10 gal.......  80%.....................  Q/800 + 110(Vr) 1/2
 boilers.                                                                                 (Btu/hr)
Oil-fired instantaneous water       <10 gal..................  80%.....................  N/A
 heaters and hot water supply       =10 gal.......  78%.....................  Q/800 + 110(Vr) 1/2
 boilers.                                                                                 (Btu/hr)
----------------------------------------------------------------------------------------------------------------


------------------------------------------------------------------------
                                                       Minimum thermal
           Product                     Size               insulation
------------------------------------------------------------------------
Unfired hot water storage      All.................  R-12.5
 tank.
------------------------------------------------------------------------
\a\ Vm is the measured storage volume and Vr is the rated volume, both
  in gallons. Q is the nameplate input rate in Btu/hr.
\b\ For hot water supply boilers with a capacity of less than 10
  gallons: (1) the standards are mandatory for products manufactured on
  and after October 21, 2005, and (2) products manufactured prior to
  that date, and on or after October 23, 2003, must meet either the
  standards listed in this table or the applicable standards in Subpart
  E of this Part for a ``commercial packaged boiler.''
\c\ Water heaters and hot water supply boilers having more than 140
  gallons of storage capacity need not meet the standby loss requirement
  if (1) the tank surface area is thermally insulated to R-12.5 or more,
  (2) a standing pilot light is not used and (3) for gas or oil-fired
  storage water heaters, they have a fire damper or fan assisted
  combustion.


[69 FR 61983, Oct. 21, 2004; 69 FR 63574, Nov. 2, 2004]



                Subpart H_Automatic Commercial Ice Makers

    Source: 70 FR 60415, Oct. 18, 2005, unless otherwise noted.



Sec. 431.131  Purpose and scope.

    This subpart contains energy conservation requirements for 
commercial ice makers, pursuant to Part C of Title III of the Energy 
Policy and Conservation Act, as amended, 42 U.S.C. 6311-6317.



Sec. 431.132  Definitions concerning automatic commercial ice makers.

    Automatic commercial ice maker means a factory-made assembly (not 
necessarily shipped in 1 package) that--
    (1) Consists of a condensing unit and ice-making section operating 
as an integrated unit, with means for making and harvesting ice; and
    (2) May include means for storing ice, dispensing ice, or storing 
and dispensing ice.
    Basic model means, with respect to automatic commercial ice makers, 
all units of a given type of automatic commercial ice maker (or class 
thereof) manufactured by one manufacturer and which have the same 
primary energy source, which have electrical characteristics that are 
essentially identical, and which do not have any differing electrical, 
physical, or functional characteristics that affect energy consumption.

[[Page 430]]

    Cube type ice means ice that is fairly uniform, hard, solid, usually 
clear, and generally weighs less than two ounces (60 grams) per piece, 
as distinguished from flake, crushed, or fragmented ice.
    Energy use means the total energy consumed, stated in kilowatt hours 
per one-hundred pounds (kWh/100 lb) of ice and stated in multiples of 
0.1. For remote condensing automatic commercial ice makers, total energy 
consumed shall include condenser fan power.
    Harvest rate means the amount of ice (at 32 degrees F) in pounds 
produced per 24 hours.
    Ice-making head means automatic commercial ice makers that do not 
contain integral storage bins, but are generally designed to accommodate 
a variety of bin capacities. Storage bins entail additional energy use 
not included in the reported energy consumption figures for these units.
    Maximum condenser water use means the maximum amount of water used 
by the condensing unit (if water-cooled), stated in gallons per 100 
pounds (gal/100 lb) of ice, in multiples of 1.
    Remote compressor means a type of automatic commercial ice maker in 
which the ice-making mechanism and compressor are in separate sections.
    Remote condensing means a type of automatic commercial ice maker in 
which the ice-making mechanism and condenser or condensing unit are in 
separate sections.
    Self-contained means a type of automatic commercial ice maker in 
which the ice-making mechanism and storage compartment are in an 
integral cabinet.

[70 FR 60415, Oct. 18, 2005, as amended at 71 FR 71371, Dec. 8, 2006]

                             Test Procedures



Sec. 431.133  Materials incorporated by reference.

    (a) General. The Department incorporates by reference the following 
test procedures into subpart H of part 431. The Director of the Federal 
Register has approved the material listed in paragraph (b) of this 
section for incorporation by reference in accordance with 5 U.S.C. 
552(a) and 1 CFR part 51. Any subsequent amendment to this material by 
the standard-setting organization will not affect the DOE test 
procedures unless DOE amends its test procedures. The Department 
incorporates the material as it exists on the date of the approval by 
the Federal Register and a notice of any change in the material will be 
published in the Federal Register.
    (b) Test procedures incorporated by reference. (1) Air-Conditioning 
and Refrigeration Institute (ARI) Standard 810-2003, ``Performance 
Rating of Automatic Commercial Ice-Makers.''
    (2) American National Standards Institute (ANSI)/American Society of 
Heating, Refrigerating and Air-Conditioning Engineers (ASHRAE) Standard 
29-1988 (RA 2005), ``Methods of Testing Automatic Ice Makers.''
    (c) Availability of references--(1) Inspection of test procedures. 
The test procedures incorporated by reference are available for 
inspection at:
    (i) National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call (202) 
741-6030, or go to: http://www.archives.gov/federal--register/code--of--
federal--regulations/ibr--locations.html.
    (ii) U.S. Department of Energy, Forrestal Building, Room 1J-018 
(Resource Room of the Building Technologies Program), 1000 Independence 
Avenue, SW., Washington, DC 20585-0121, (202) 586-9127, between 9 a.m. 
and 4 p.m., Monday through Friday, except Federal holidays.
    (2) Obtaining copies of test procedures. (i) Anyone can obtain a 
copy of ARI Standard 810-2003 from the Air-Conditioning and 
Refrigeration Institute, 4100 N. Fairfax Dr., Suite 200, Arlington, VA 
22203 or http://www.ari.org/std/standards.htm.
    (ii) Anyone can purchase a copy of ASHRAE Standard 29-1988 (RA 
2005), ``Methods of Testing Automatic Ice Makers,'' from the American 
Society of Heating, Refrigerating and Air-Conditioning Engineers, Inc., 
1791 Tullie Circle, NE, Atlanta, GA 30329, (404) 636-8400, or http://
www.ashrae.org.

[71 FR 71372, Dec. 8, 2006]

[[Page 431]]



Sec. 431.134  Uniform test methods for the measurement of energy
consumption and water consumption of automatic commercial ice makers.

    (a) Scope. This section provides the test procedures for measuring, 
pursuant to EPCA, the energy use in kilowatt hours per 100 pounds of ice 
(kWh/100 lbs ice) and the condenser water use in gallons per 100 pounds 
of ice (gal/100 lbs ice).
    (b) Testing and Calculations. Determine the energy consumed and the 
condenser water use rate of each covered product by conducting the test 
procedures, set forth in the Air-Conditioning and Refrigeration 
Institute's Standard 810-2003, ``Performance Rating of Automatic 
Commercial Ice-Makers,'' section 4, ``Test Requirements,'' and section 
5, ``Rating Requirements.'' (Incorporated by reference, see Sec. 
431.133) Do not use the formula in section 8.3 of ANSI/ASHRAE Standard 
29-1988 (RA 2005) for calculating the power consumption, but instead 
calculate the energy use rate (kWh/100 lbs Ice) by dividing the energy 
consumed during testing by the total mass of the ice produced during the 
time period over which energy consumption is measured, normalized to 100 
pounds of ice as follows:
[GRAPHIC] [TIFF OMITTED] TR08DE06.001


[71 FR 71372, Dec. 8, 2006]

                      Energy Conservation Standards



Sec. 431.136  Energy conservation standards and their effective dates.

    Each automatic commercial ice maker that produces cube type ice with 
capacities between 50 and 2500 pounds per 24-hour period when tested 
according to the test standard established in accordance with section 
343 of EPCA (42 U.S.C. 6314) and is manufactured on or after January 1, 
2010, shall meet the following standard levels:

----------------------------------------------------------------------------------------------------------------
                                                                                               Maximum condenser
         Equipment type             Type of cooling   Harvest rate  (lbs  Maximum energy use  water use *  (gal/
                                                         ice/24 hours)     (kWh/100 lbs ice)     100 lbs ice)
----------------------------------------------------------------------------------------------------------------
Ice Making Head.................  Water.............  <500..............  7.80-0.0055H......  200-0.022H.
Ice Making Head.................  Water.............  =500     5.58-0.0011H......  200-0.022H.
                                                       and <1436.
Ice Making Head.................  Water.............  =1436..  4.0...............  200-0.022H.
Ice Making Head.................  Air...............  <450..............  10.26-0.0086H.....  Not applicable.
Ice Making Head.................  Air...............  =450...  6.89-0.0011H......  Not applicable.
Remote Condensing (but not        Air...............  <1000.............  8.85-0.0038H......  Not applicable.
 remote compressor).
Remote Condensing (but not        Air...............  =1000..  5.1...............  Not applicable.
 remote compressor).
Remote Condensing and Remote      Air...............  <934..............  8.85-0.0038H......  Not applicable.
 Compressor.
Remote Condensing and Remote      Air...............  =934...  5.3...............  Not applicable.
 Compressor.
Self Contained..................  Water.............  <200..............  11. 40-0.019H.....  191-0.0315H.
Self Contained..................  Water.............  =200...  7.6...............  191-0.0315H.
Self Contained..................  Air...............  <175..............  18.0-0.0469H......  Not applicable.
Self Contained..................  Air...............  =175...  9.8...............  Not applicable.
----------------------------------------------------------------------------------------------------------------
H Harvest rate in pounds per 24 hours.
* Water use is for the condenser only and does not include potable water used to make ice.


[70 FR 60415, Oct. 18, 2005; 70 FR 61698, Oct. 25, 2005]



                  Subpart I_Commercial Clothers Washers

    Source: 70 FR 60416, Oct. 18, 2005, unless otherwise noted.



Sec. 431.151  Purpose and scope.

    This subpart contains energy conservation requirements for 
commercial clothes washers, pursuant to Part C of Title III of the 
Energy Policy and Conservation Act, as amended, 42 U.S.C. 6311-6317.

[[Page 432]]



Sec. 431.152  Definitions concerning commercial clothes washers.

    Commercial clothes washer means a soft-mounted front-loading or 
soft-mounted top-loading clothes washer that--
    (1) Has a clothes container compartment that--
    (i) For horizontal-axis clothes washers, is not more than 3.5 cubic 
feet; and
    (ii) For vertical-axis clothes washers, is not more than 4.0 cubic 
feet; and
    (2) Is designed for use in--
    (i) Applications in which the occupants of more than one household 
will be using the clothes washer, such as multi-family housing common 
areas and coin laundries; or
    (ii) Other commercial applications.

                             Test Procedures



Sec. 431.154  Test procedures.

    The test procedures for residential clothes washers in Appendix J1 
to subpart B of part 430 of this title shall be used to test commercial 
clothes washers.

                      Energy Conservation Standards



Sec. 431.156  Energy and water conservation standards and effective dates.

    Each commercial clothes washer manufactured on or after January 1, 
2007, shall have--
    (1) A modified energy factor of at least 1.26; and
    (2) A water consumption factor of not more than 9.5.



    Subpart J_Provisions for Commercial HVAC & Water Heating Products

    Source: 69 FR 61941, Oct. 21, 2004, unless otherwise noted.



Sec. 431.171  Purpose and scope. [Reserved]



Sec. 431.172  Definitions.

    The following definitions apply for purposes of subparts D through G 
and J through M of this part. Other terms in these subparts shall be as 
defined elsewhere in this Part and, if not defined in this part, shall 
have the meaning set forth in Section 340 of the Act.
    Basic model means, with respect to a commercial HVAC & WH product, 
all units of such product, manufactured by one manufacturer, which have 
the same primary energy source and which do not have any differing 
electrical, physical, or functional characteristics that affect energy 
consumption.
    Commercial HVAC & WH product means any small or large commercial 
package air-conditioning and heating equipment, packaged terminal air 
conditioner, packaged terminal heat pump, commercial packaged boiler, 
hot water supply boiler, commercial warm air furnace, instantaneous 
water heater, storage water heater, or unfired hot water storage tank.
    Flue loss means the sum of the sensible heat and latent heat above 
room temperature of the flue gases leaving the appliance.
    Industrial equipment means an article of equipment, regardless of 
whether it is in fact distributed in commerce for industrial or 
commercial use, of a type which:
    (1) In operation consumes, or is designed to consume energy;
    (2) To any significant extent, is distributed in commerce for 
industrial or commercial use; and
    (3) Is not a ``covered product'' as defined in Section 321(2) of 
EPCA, 42 U.S.C. 6291(2), other than a component of a covered product 
with respect to which there is in effect a determination under Section 
341(c) of EPCA, 42 U.S.C. 6312(c).
    Private labeler means, with respect to a commercial HVAC & WH 
product, an owner of a brand or trade mark on the label of a product 
which bears a private label. A commercial HVAC & WH product bears a 
private label if :
    (1) Such product (or its container) is labeled with the brand or 
trademark of a person other than a manufacturer of such product;
    (2) The person with whose brand or trademark such product (or 
container) is labeled has authorized or caused such product to be so 
labeled; and
    (3) The brand or trademark of a manufacturer of such product does 
not appear on such label.

[[Page 433]]



                   Subpart K_Distribution Transformers

    Source: 70 FR 60416, Oct. 18, 2005, unless otherwise noted.



Sec. 431.191  Purpose and scope.

    This subpart contains energy conservation requirements for 
distribution transformers, pursuant to Parts B and C of Title III of the 
Energy Policy and Conservation Act, as amended, 42 U.S.C. 6291-6317.

[71 FR 24995, Apr. 27, 2006]



Sec. 431.192  Definitions.

    The following definitions apply for purposes of this subpart:
    Autotransformer means a transformer that:
    (1) Has one physical winding that consists of a series winding part 
and a common winding part;
    (2) Has no isolation between its primary and secondary circuits; and
    (3) During step-down operation, has a primary voltage that is equal 
to the total of the series and common winding voltages, and a secondary 
voltage that is equal to the common winding voltage.
    Basic model means a group of models of distribution transformers 
manufactured by a single manufacturer, that have the same insulation 
type (i.e., liquid-immersed or dry-type), have the same number of phases 
(i.e., single or three), have the same standard kVA rating, and do not 
have any differentiating electrical, physical or functional features 
that affect energy consumption. Differences in voltage and differences 
in basic impulse insulation level (BIL) rating are examples of 
differentiating electrical features that affect energy consumption.
    Distribution transformer means a transformer that--
    (1) Has an input voltage of 34.5 kV or less;
    (2) Has an output voltage of 600 V or less;
    (3) Is rated for operation at a frequency of 60 Hz; and
    (4) Has a capacity of 10 kVA to 2500 kVA for liquid-immersed units 
and 15 kVA to 2500 kVA for dry-type units; but
    (5) The term ``distribution transformer'' does not include a 
transformer that is an--
    (i) Autotransformer;
    (ii) Drive (isolation) transformer;
    (iii) Grounding transformer;
    (iv) Machine-tool (control) transformer;
    (v) Nonventilated transformer;
    (vi) Rectifier transformer;
    (vii) Regulating transformer;
    (viii) Sealed transformer;
    (ix) Special-impedance transformer;
    (x) Testing transformer;
    (xi) Transformer with tap range of 20 percent or more;
    (xii) Uninterruptible power supply transformer; or
    (xiii) Welding transformer.
    Drive (isolation) transformer means a transformer that:
    (1) Isolates an electric motor from the line;
    (2) Accommodates the added loads of drive-created harmonics; and
    (3) Is designed to withstand the additional mechanical stresses 
resulting from an alternating current adjustable frequency motor drive 
or a direct current motor drive.
    Efficiency means the ratio of the useful power output to the total 
power input.
    Excitation current or no-load current means the current that flows 
in any winding used to excite the transformer when all other windings 
are open-circuited.
    Grounding transformer means a three-phase transformer intended 
primarily to provide a neutral point for system-grounding purposes, 
either by means of:
    (1) A grounded wye primary winding and a delta secondary winding; or
    (2) A transformer with its primary winding in a zig-zag winding 
arrangement, and with no secondary winding.
    Liquid-immersed distribution transformer means a distribution 
transformer in which the core and coil assembly is immersed in an 
insulating liquid.
    Load loss means, for a distribution transformer, those losses 
incident to a specified load carried by the transformer, including 
losses in the windings as well as stray losses in the conducting parts 
of the transformer.

[[Page 434]]

    Low-voltage dry-type distribution transformer means a distribution 
transformer that--
    (1) Has an input voltage of 600 volts or less;
    (2) Is air-cooled; and
    (3) Does not use oil as a coolant.
    Machine-tool (control) transformer means a transformer that is 
equipped with a fuse or other over-current protection device, and is 
generally used for the operation of a solenoid, contactor, relay, 
portable tool, or localized lighting.
    Medium-voltage dry-type distribution transformer means a 
distribution transformer in which the core and coil assembly is immersed 
in a gaseous or dry-compound insulating medium, and which has a rated 
primary voltage between 601 V and 34.5 kV.
    No-load loss means those losses that are incident to the excitation 
of the transformer.
    Nonventilated transformer means a transformer constructed so as to 
prevent external air circulation through the coils of the transformer 
while operating at zero gauge pressure.
    Phase angle means the angle between two phasors, where the two 
phasors represent progressions of periodic waves of either:
    (1) Two voltages;
    (2) Two currents; or
    (3) A voltage and a current of an alternating current circuit.
    Phase angle correction means the adjustment (correction) of 
measurement data to negate the effects of phase angle error.
    Phase angle error means incorrect displacement of the phase angle, 
introduced by the components of the test equipment.
    Rectifier transformer means a transformer that operates at the 
fundamental frequency of an alternating-current system and that is 
designed to have one or more output windings connected to a rectifier.
    Reference temperature means 20 [deg]C for no-load loss, 55 [deg]C 
for load loss of liquid-immersed distribution transformers at 50 percent 
load, and 75 [deg]C for load loss of both low-voltage and medium-voltage 
dry-type distribution transformers, at 35 percent load and 50 percent 
load, respectively. It is the temperature at which the transformer 
losses must be determined, and to which such losses must be corrected if 
testing is done at a different point. (These temperatures are specified 
in the test method in Appendix A to this part.)
    Regulating transformer means a transformer that varies the voltage, 
the phase angle, or both voltage and phase angle, of an output circuit 
and compensates for fluctuation of load and input voltage, phase angle 
or both voltage and phase angle.
    Sealed transformer means a transformer designed to remain 
hermetically sealed under specified conditions of temperature and 
pressure.
    Special-impedance transformer means any transformer built to operate 
at an impedance outside of the normal impedance range for that 
transformer's kVA rating. The normal impedance range for each kVA rating 
for liquid-immersed and dry-type transformers is shown in Tables 1 and 
2, respectively.

                        Table 1--Normal Impedance Ranges for Liquid-Immersed Transformers
----------------------------------------------------------------------------------------------------------------
                            Single-phase transformers                                Three-phase transformers
----------------------------------------------------------------------------------------------------------------
                               kVA                                Impedance  (%)        kVA       Impedance  (%)
----------------------------------------------------------------------------------------------------------------
10..............................................................         1.0-4.5              15         1.0-4.5
15..............................................................         1.0-4.5              30         1.0-4.5
25..............................................................         1.0-4.5              45         1.0-4.5
37.5............................................................         1.0-4.5              75         1.0-5.0
50..............................................................         1.5-4.5           112.5         1.2-6.0
75..............................................................         1.5-4.5             150         1.2-6.0
100.............................................................         1.5-4.5             225         1.2-6.0
167.............................................................         1.5-4.5             300         1.2-6.0
250.............................................................         1.5-6.0             500         1.5-7.0
333.............................................................         1.5-6.0             750         5.0-7.5
500.............................................................         1.5-7.0            1000         5.0-7.5
667.............................................................         5.0-7.5            1500         5.0-7.5
833.............................................................         5.0-7.5            2000         5.0-7.5
                                                                                            2500         5.0-7.5
----------------------------------------------------------------------------------------------------------------


                           Table 2--Normal Impedance Ranges for Dry-Type Transformers
----------------------------------------------------------------------------------------------------------------
                            Single-phase transformers                                Three-phase transformers
----------------------------------------------------------------------------------------------------------------
                               kVA                                Impedance  (%)        kVA       Impedance  (%)
----------------------------------------------------------------------------------------------------------------
15..............................................................         1.5-6.0              15         1.5-6.0
25..............................................................         1.5-6.0              30         1.5-6.0
37.5............................................................         1.5-6.0              45         1.5-6.0
50..............................................................         1.5-6.0              75         1.5-6.0
75..............................................................         2.0-7.0           112.5         1.5-6.0
100.............................................................         2.0-7.0             150         1.5-6.0
167.............................................................         2.5-8.0             225         3.0-7.0
250.............................................................         3.5-8.0             300         3.0-7.0
333.............................................................         3.5-8.0             500         4.5-8.0
500.............................................................         3.5-8.0             750         5.0-8.0

[[Page 435]]

 
667.............................................................         5.0-8.0            1000         5.0-8.0
833.............................................................         5.0-8.0            1500         5.0-8.0
                                                                                            2000         5.0-8.0
                                                                                            2500         5.0-8.0
----------------------------------------------------------------------------------------------------------------

    Temperature correction means the mathematical correction(s) of 
measurement data, obtained when a transformer is tested at a temperature 
that is different from the reference temperature, to the value(s) that 
would have been obtained if the transformer had been tested at the 
reference temperature.
    Test current means the current of the electrical power supplied to 
the transformer under test.
    Test frequency means the frequency of the electrical power supplied 
to the transformer under test.
    Test voltage means the voltage of the electrical power supplied to 
the transformer under test.
    Testing transformer means a transformer used in a circuit to produce 
a specific voltage or current for the purpose of testing electrical 
equipment.
    Total loss means the sum of the no-load loss and the load loss for a 
transformer.
    Transformer means a device consisting of 2 or more coils of 
insulated wire that transfers alternating current by electromagnetic 
induction from 1 coil to another to change the original voltage or 
current value.
    Transformer with tap range of 20 percent or more means a transformer 
with multiple voltage taps, the highest of which equals at least 20 
percent more than the lowest, computed based on the sum of the 
deviations of the voltages of these taps from the transformer's nominal 
voltage.
    Underground mining distribution transformer means a medium-voltage 
dry-type distribution transformer that is built only for installation in 
an underground mine or inside equipment for use in an underground mine, 
and that has a nameplate which identifies the transformer as being for 
this use only.
    Uninterruptible power supply transformer means a transformer that is 
used within an uninterruptible power system, which in turn supplies 
power to loads that are sensitive to power failure, power sags, over 
voltage, switching transients, line noise, and other power quality 
factors.
    Waveform correction means the adjustment(s) (mathematical 
correction(s)) of measurement data obtained with a test voltage that is 
non-sinusoidal, to a value(s) that would have been obtained with a 
sinusoidal voltage.
    Welding transformer means a transformer designed for use in arc 
welding equipment or resistance welding equipment.

[70 FR 60416, Oct. 18, 2005, as amended at 71 FR 24995, Apr. 27, 2006; 
71 FR 60662, Oct. 16, 2006; 72 FR 58239, Oct. 12, 2007]

                             Test Procedures



Sec. 431.193  Test procedures for measuring energy consumption of 
distribution transformers.

    The test procedures for measuring the energy efficiency of 
distribution transformers for purposes of EPCA are specified in Appendix 
A to this subpart.

[71 FR 24997, Apr. 27, 2006]

                      Energy Conservation Standards



Sec. 431.196  Energy conservation standards and their effective dates.

    (a) Low-Voltage Dry-Type Distribution Transformers. The efficiency 
of a low-voltage dry-type distribution transformer manufactured on or 
after January 1, 2007, shall be no less than that required for their kVA 
rating in the table below. Low-voltage dry-type distribution 
transformers with kVA ratings not appearing in the table shall have 
their minimum efficiency level determined by linear interpolation of the 
kVA and efficiency values immediately above and below that kVA rating.

----------------------------------------------------------------------------------------------------------------
                                  Single phase                                              Three phase
----------------------------------------------------------------------------------------------------------------
                                                                  Efficiency (%)                  Efficiency (%)
                               kVA                                      \1\             kVA             \1\
----------------------------------------------------------------------------------------------------------------
15..............................................................            97.7              15            97.0
25..............................................................            98.0              30            97.5
37.5............................................................            98.2              45            97.7
50..............................................................            98.3              75            98.0
75..............................................................            98.5           112.5            98.2
100.............................................................            98.6             150            98.3
167.............................................................            98.7             225            98.5
250.............................................................            98.8             300            98.6

[[Page 436]]

 
333.............................................................            98.9             500            98.7
                                                                                             750            98.8
                                                                                            1000            98.9
----------------------------------------------------------------------------------------------------------------
\1\ Efficiencies are determined at the following reference conditions: (1) for no-load losses, at the
  temperature of 20 [deg]C, and (2) for load-losses, at the temperature of 75 [deg]C and 35 percent of nameplate
  load.
(Source: Table 4-2 of National Electrical Manufacturers Association (NEMA) Standard TP-1-2002, ``Guide for
  Determining Energy Efficiency for Distribution Transformers.'')

    (b) Liquid-Immersed Distribution Transformers. The efficiency of a 
liquid-immersed distribution transformer manufactured on or after 
January 1, 2010, shall be no less than that required for their kVA 
rating in the table below. Liquid-immersed distribution transformers 
with kVA ratings not appearing in the table shall have their minimum 
efficiency level determined by linear interpolation of the kVA and 
efficiency values immediately above and below that kVA rating.

------------------------------------------------------------------------
               Single-phase                          Three-phase
------------------------------------------------------------------------
                               Efficiency                     Efficiency
             kVA                   (%)            kVA            (%)
------------------------------------------------------------------------
10..........................        98.62   15.............        98.36
15..........................        98.76   30.............        98.62
25..........................        98.91   45.............        98.76
37.5........................        99.01   75.............        98.91
50..........................        99.08   112.5..........        99.01
75..........................        99.17   150............        99.08
100.........................        99.23   225............        99.17
167.........................        99.25   300............        99.23
250.........................        99.32   500............        99.25
333.........................        99.36   750............        99.32
500.........................        99.42   1000...........        99.36
667.........................        99.46   1500...........        99.42
833.........................        99.49   2000...........        99.46
                                     2500   99.49..........
------------------------------------------------------------------------
Note: All efficiency values are at 50 percent of nameplate-rated load,
  determined according to the DOE Test-Procedure. 10 CFR Part 431,
  Subpart K, Appendix A.

    (c) Medium-Voltage Dry-Type Distribution Transformers. The 
efficiency of a medium-voltage dry-type distribution transformer 
manufactured on or after January 1, 2010, shall be no less than that 
required for their kVA and BIL rating in the table below. Medium-voltage 
dry-type distribution transformers with kVA ratings not appearing in the 
table shall have their minimum efficiency level determined by linear 
interpolation of the kVA and efficiency values immediately above and 
below that kVA rating.

                             Table I.2--Standard Levels for Medium-Voltage, Dry-Type Distribution Transformers, Tabular Form
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                   Single-phase                                                                  Three-phase
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                            20-45 kV     46-95 kV   =96                                20-45 kV     46-95 kV   =96
                BIL  kVA                   efficiency   efficiency  kV  efficiency           BIL  kVA            efficiency   efficiency  kV  efficiency
                                              (%)          (%)            (%)                                       (%)          (%)            (%)
--------------------------------------------------------------------------------------------------------------------------------------------------------
15......................................        98.10        97.86                  15........................        97.50        97.18
25......................................        98.33        98.12                  30........................        97.90        97.63
37.5....................................        98.49        98.30                  45........................        98.10        97.86
50......................................        98.60        98.42                  75........................        98.33        98.12
75......................................        98.73        98.57         98.53    112.5.....................        98.49        98.30
100.....................................        98.82        98.67         98.63    150.......................        98.60        98.42
167.....................................        98.96        98.83         98.80    225.......................        98.73        98.57          98.53
250.....................................        99.07        98.95         98.91    300.......................        98.82        98.67          98.63
333.....................................        99.14        99.03         98.99    500.......................        98.96        98.83          98.80
500.....................................        99.22        99.12         99.09    750.......................        99.07        98.95          98.91
667.....................................        99.27        99.18         99.15    1000......................        99.14        99.03          98.99
833.....................................        99.31        99.23         99.20    1500......................        99.22        99.12          99.09
                                                                                    2000......................        99.27        99.18          99.15
                                                                                    2500......................        99.31        99.23          99.20
--------------------------------------------------------------------------------------------------------------------------------------------------------
Note: BIL means basic impulse insulation level.
Note: All efficiency values are at 50 percent of nameplate rated load, determined according to the DOE Test-

[[Page 437]]

 
 Procedure. 10 CFR Part 431, Subpart K, Appendix A.

    (d) Underground Mining Distribution Transformers. [Reserved]

[70 FR 60416, Oct. 18, 2005, as amended at 71 FR 24997, Apr. 27, 2006; 
72 FR 58239, Oct. 12, 2007]

                       Compliance and Enforcement

    Source: 71 FR 24997, Apr. 27, 2006, unless otherwise noted.



Sec. 431.197  Manufacturer's determination of efficiency for 
distribution transformers.

    When a manufacturer or other party (both of which this section 
refers to as a ``manufacturer'') determines the efficiency of a 
distribution transformer in order to comply with an obligation imposed 
on it by or pursuant to Part C of Title III of EPCA, 42 U.S.C. 6311-
6317, this section applies. This section does not apply to enforcement 
testing conducted pursuant to Sec. 431.198 of this part.
    (a) Methods used to determine efficiency--(1) General requirements. 
A manufacturer must determine the efficiency of each basic model of 
distribution transformer either by testing, in accordance with Sec. 
431.193 of this part and paragraphs (b)(2) and (b)(3) of this section, 
or by application of an alternative efficiency determination method 
(AEDM) that meets the requirements of paragraphs (a)(2) and (a)(3) of 
this section; provided, however, that a manufacturer may use an AEDM to 
determine the efficiency of one or more of its untested basic models 
only if it determines the efficiency of at least five of its other basic 
models (selected in accordance with paragraph (b)(1) of this section) 
through actual testing. For each basic model of distribution transformer 
that has a configuration of windings which allows for more than one 
nominal rated voltage, the manufacturer must determine the basic model's 
efficiency either at the voltage at which the highest losses occur or at 
each voltage at which the transformer is rated to operate.
    (2) Alternative efficiency determination method. A manufacturer may 
apply an AEDM to a basic model pursuant to paragraph (a)(1) of this 
section only if:
    (i) The AEDM has been derived from a mathematical model that 
represents the electrical characteristics of that basic model;
    (ii) The AEDM is based on engineering and statistical analysis, 
computer simulation or modeling, or other analytic evaluation of 
performance data; and
    (iii) The manufacturer has substantiated the AEDM, in accordance 
with paragraph (a)(3) of this section, by applying it to, and testing, 
at least five other basic models of the same type, i.e., low-voltage 
dry-type distribution transformers, medium-voltage dry-type distribution 
transformers, or liquid-immersed distribution transformers.
    (3) Substantiation of an alternative efficiency determination 
method. Before using an AEDM, the manufacturer must substantiate the 
AEDM's accuracy and reliability as follows:
    (i) Apply the AEDM to at least five of the manufacturer's basic 
models that have been selected for testing in accordance with paragraph 
(b)(1) of this section, and calculate the power loss for each of these 
basic models;
    (ii) Test at least five units of each of these basic models in 
accordance with the applicable test procedure and paragraph (b)(2) of 
this section, and determine the power loss for each of these basic 
models;
    (iii) The predicted total power loss for each of these basic models, 
calculated by applying the AEDM pursuant to paragraph (a)(3)(i) of this 
section, must be within plus or minus five percent of the mean total 
power loss determined from the testing of that basic model pursuant to 
paragraph (a)(3)(ii) of this section; and
    (iv) Calculate for each of these basic models the percentage that 
its power loss calculated pursuant to paragraph (a)(3)(i) is of its 
power loss determined from testing pursuant to paragraph (a)(3)(ii), 
compute the average of these percentages, and that calculated average 
power loss, expressed as a percentage of the average power loss 
determined from testing, must be no less than 97 percent and no greater 
than 103 percent.

[[Page 438]]

    (4) Subsequent verification of an AEDM. (i) Each manufacturer that 
has used an AEDM under this section shall have available for inspection 
by the Department of Energy records showing: The method or methods used; 
the mathematical model, the engineering or statistical analysis, 
computer simulation or modeling, and other analytic evaluation of 
performance data on which the AEDM is based; complete test data, product 
information, and related information that the manufacturer has generated 
or acquired pursuant to paragraph (a)(3) of this section; and the 
calculations used to determine the efficiency and total power losses of 
each basic model to which the AEDM was applied.
    (ii) If requested by the Department, the manufacturer shall conduct 
simulations to predict the performance of particular basic models of 
distribution transformers specified by the Department, analyses of 
previous simulations conducted by the manufacturer, sample testing of 
basic models selected by the Department, or a combination of the 
foregoing.
    (b) Additional testing requirements--(1) Selection of basic models 
for testing if an AEDM is to be applied. (i) A manufacturer must select 
basic models for testing in accordance with the following criteria:
    (A) Two of the basic models must be among the five basic models with 
the highest unit volumes of production by the manufacturer in the prior 
year, or during the prior 12-calendar-month period beginning in 2003, 
\1\ whichever is later;
---------------------------------------------------------------------------

    \1\ When identifying these five basic models, any basic model that 
does not comply with Federal energy conservation standards for 
distribution transformers that may be in effect shall be excluded from 
consideration.
---------------------------------------------------------------------------

    (B) No two basic models should have the same combination of power 
and voltage ratings; and
    (C) At least one basic model should be single-phase and at least one 
should be three-phase.
    (ii) In any instance where it is impossible for a manufacturer to 
select basic models for testing in accordance with all of these 
criteria, the criteria shall be given priority in the order in which 
they are listed. Within the limits imposed by the criteria, basic models 
shall be selected randomly.
    (2) Selection of units for testing within a basic model. For each 
basic model a manufacturer selects for testing, it shall select and test 
units as follows:
    (i) If the manufacturer would produce five or fewer units of a basic 
model over a reasonable period of time (approximately 180 days), then it 
must test each unit. However, a manufacturer may not use a basic model 
with a sample size of fewer than five units to substantiate an AEDM 
pursuant to paragraph (a)(3) of this section.
    (ii) If the manufacturer produces more than five units over such 
period of time, it must either test all such units or select a sample of 
at least five units at random and test them. Any such sample shall be 
comprised of production units of the basic model, or units that are 
representative of such production units.
    (3) Applying results of testing. In a test of compliance with a 
represented efficiency, the average efficiency of the sample, X, which 
is defined by
[GRAPHIC] [TIFF OMITTED] TR27AP06.000


where Xi is the measured efficiency of unit i and n is the 
number of units tested, must satisfy the condition:
[GRAPHIC] [TIFF OMITTED] TR27AP06.001


where RE is the represented efficiency.

    Effective Date Note: At 71 FR 24997, Apr. 27, 2006, Sec. 431.197 
was added, effective May 30, 2006, except for paragraph (a)(4)(i) which 
contains information collection requirements and will not become 
effective until approval has been given by the Office of Management and 
Budget.



Sec. 431.198  Enforcement testing for distribution transformers.

    (a) Test notice. Upon receiving information in writing, concerning 
the energy performance of a particular distribution transformer sold by 
a particular manufacturer or private labeler, which indicates that the 
transformer may not be in compliance with

[[Page 439]]

the applicable energy efficiency standard, or upon undertaking to 
ascertain the accuracy of the efficiency rating on the nameplate or in 
marketing materials for a distribution transformer, disclosed pursuant 
to this part, the Department may conduct testing of that equipment under 
this subpart by means of a test notice addressed to the manufacturer in 
accordance with the following requirements:
    (1) The test notice procedure will only be followed after the 
Department has examined the underlying test data (or, where appropriate, 
data as to use of an AEDM) provided by the manufacturer and after the 
manufacturer has been offered the opportunity to meet with the 
Department to verify, as applicable, compliance with the applicable 
efficiency standard, or the accuracy of labeling information, or both. 
In addition, where compliance of a basic model was certified based on an 
AEDM, the Department shall have the discretion to pursue the provisions 
of Sec. 431.197(a)(4)(ii) prior to invoking the test notice procedure. 
The Department shall be permitted to observe any reverification 
procedures undertaken pursuant to this subpart, and to inspect the 
results of such reverification.
    (2) The Department will mail or deliver the test notice to the plant 
manager or other responsible official, as designated by the 
manufacturer.
    (3) The test notice will specify the basic model(s) to be selected 
for testing, the method of selecting the test sample, the date and 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 a 
specified basic model is unavailable for testing, and may include 
alternative basic models. The specified basic model may be one either 
that the manufacturer has rated by actual testing or that it has rated 
by the use of an AEDM.
    (4) The Department may require in the test notice that the 
manufacturer shall ship at its expense a reasonable number of units of 
each basic model specified in such test notice to a testing laboratory 
designated by the Department. The number of units of each basic model 
specified in a test notice shall not exceed twenty (20).
    (5) Except as required or provided in paragraphs (a)(6) or (a)(7) of 
this section, initially the Department will test five units.
    (6) Except as provided in paragraph (a)(7) of this section, if fewer 
than five units of a basic model are available for testing when the 
manufacturer receives the test notice, then
    (i) DOE will test the available unit(s); or
    (ii) If one or more other units of the basic model are expected to 
become available within six months, DOE may instead, at its discretion, 
test either:
    (A) The available unit(s) and one or more of the other units that 
subsequently become available (up to a maximum of twenty); or
    (B) Up to twenty of the other units that subsequently become 
available.
    (7) Notwithstanding paragraphs (a)(5) and (a)(6) of this section, if 
testing of the available or subsequently available units of a basic 
model would be impractical, as for example where a basic model is very 
large, has unusual testing requirements, or has limited production, the 
Department may in its discretion decide to base the determination of 
compliance on the testing of fewer than the available number of units, 
if the manufacturer so requests and demonstrates that the criteria of 
this paragraph are met.
    (8) When testing units under paragraphs (a)(5), (a)(6), or (a)(7) of 
this section, DOE shall perform the following number of tests:
    (i) If DOE tests four or more units, it will test each unit once;
    (ii) If DOE tests two or three units, it will test each unit twice; 
or
    (iii) If DOE tests one unit, it will test that unit four times.
    (9) Within five working days of the time the units are selected, the 
manufacturer shall ship the specified test units of the basic model to 
the testing laboratory.
    (b) Testing laboratory. Whenever the Department 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

[[Page 440]]

be used by the Department to make a determination of compliance or 
noncompliance.
    (c) Sampling. The determination that a manufacturer's basic model 
complies with its labeled efficiency, or the applicable energy 
efficiency 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 specified for 
distribution transformers.
    (d) Test unit selection. The Department shall select a batch, a 
batch sample, and test units from the batch sample in accordance with 
the following provisions of this paragraph and the conditions specified 
in the test notice.
    (1) The batch may be subdivided by the Department utilizing criteria 
specified in the test notice.
    (2) The Department will then randomly select a batch sample of up to 
20 units 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 non-
compliance.
    (3) The Department will randomly select individual test units 
comprising the test sample from the batch sample.
    (4) 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.
    (e) Test unit preparation. (1) Prior to and during the testing, a 
test unit selected in accordance with paragraph (d) of this section 
shall not be prepared, modified, or adjusted in any manner unless such 
preparation, modification, or adjustment is allowed by the applicable 
Department of Energy test procedure.
    (2) No quality control, testing, or assembly procedures shall be 
performed on a test unit, or any parts and sub-assemblies thereof, that 
is not performed during the production and assembly of all other units 
included in the basic model.
    (3) 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 the Department. The 
Department shall authorize testing of an additional unit on a case-by-
case basis.
    (f) Testing at manufacturer's option. (1) If a manufacturer's basic 
model is determined to be in noncompliance with the applicable energy 
performance standard at the conclusion of Department testing in 
accordance with the sampling plan specified in Appendix B of this 
subpart, the manufacturer may request that the Department conduct 
additional testing of the basic model according to procedures set forth 
in Appendix B of this subpart and the test procedures specified for 
distribution transformers.
    (2) All units tested under this paragraph (f) shall be selected and 
tested in accordance with the provisions given in paragraphs (a)(9), 
(b), (d) and (e) of this section.
    (3) The manufacturer shall bear the cost of all testing conducted 
under this paragraph (f).
    (4) The manufacturer shall cease distribution of the basic model 
tested under the provisions of this paragraph from the time the 
manufacturer elects to exercise the option provided in this paragraph 
until the basic model is determined to be in compliance. The Department 
may seek civil penalties for all units distributed during such period.
    (5) If the additional testing results in a determination of 
compliance, a notice of allowance to resume distribution shall be issued 
by the Department.



   Sec. Appendix A to Subpart K of Part 431--Uniform Test Method for 
      Measuring the Energy Consumption of Distribution Transformers

                            1.0 Definitions.

    The definitions contained in Sec. Sec. 431.2 and 431.192 are 
applicable to this Appendix A.

                       2.0 Accuracy Requirements.

    (a) Equipment and methods for loss measurement shall be sufficiently 
accurate that measurement error will be limited to the values shown in 
Table 2.1.

[[Page 441]]



 Table 2.1--Test System Accuracy Requirements for Each Measured Quantity
------------------------------------------------------------------------
             Measured quantity                  Test system  accuracy
------------------------------------------------------------------------
Power Losses..............................   3.0%
Voltage...................................   0.5%
Current...................................   0.5%
Resistance................................   0.5%
Temperature...............................   1.0
                                             [deg]C
------------------------------------------------------------------------

    (b) Only instrument transformers meeting the 0.3 metering accuracy 
class, or better, may be used under this test method.

                       3.0 Resistance Measurements

    3.1 General Considerations
    (a) Measure or establish the winding temperature at the time of the 
winding resistance measurement.
    (b) Measure the direct current resistance (Rdc) of 
transformer windings by one of the methods outlined in section 3.3. The 
methods of section 3.5 must be used to correct load losses to the 
applicable reference temperature from the temperature at which they are 
measured. Observe precautions while taking measurements, such as those 
in section 3.4, in order to maintain measurement uncertainty limits 
specified in Table 2.1.
    3.2 Temperature Determination of Windings and Pre-conditions for 
Resistance Measurement.
    Make temperature measurements in protected areas where the air 
temperature is stable and there are no drafts. Determine the winding 
temperature (Tdc) for liquid-immersed and dry-type 
distribution transformers by the methods described in sections 3.2.1 and 
3.2.2, respectively.
    3.2.1 Liquid-Immersed Distribution Transformers.

                             3.2.1.1 Methods

    Record the winding temperature (Tdc) of liquid-immersed 
transformers as the average of either of the following:
    (a) The measurements from two temperature sensing devices (for 
example, thermocouples) applied to the outside of the transformer tank 
and thermally insulated from the surrounding environment, with one 
located at the level of the oil and the other located near the tank 
bottom or at the lower radiator header if applicable; or
    (b) The measurements from two temperature sensing devices immersed 
in the transformer liquid, with one located directly above the winding 
and other located directly below the winding.

                           3.2.1.2 Conditions

    Make this determination under either of the following conditions:
    (a) The windings have been under insulating liquid with no 
excitation and no current in the windings for four hours before the dc 
resistance is measured; or
    (b) The temperature of the insulating liquid has stabilized, and the 
difference between the top and bottom temperature does not exceed 5 
[deg]C.
    3.2.2 Dry-Type Distribution Transformers.
    Record the winding temperature (Tdc) of dry-type 
transformers as either of the following:
    (a) For ventilated dry-type units, use the average of readings of 
four or more thermometers, thermocouples, or other suitable temperature 
sensors inserted within the coils. Place the sensing points of the 
measuring devices as close as possible to the winding conductors. For 
sealed units, such as epoxy-coated or epoxy-encapsulated units, use the 
average of four or more temperature sensors located on the enclosure 
and/or cover, as close to different parts of the winding assemblies as 
possible; or
    (b) For both ventilated and sealed units, use the ambient 
temperature of the test area, under the following conditions:
    (1) All internal temperatures measured by the internal temperature 
sensors must not differ from the test area ambient temperature by more 
than 2 [deg]C.
    (2) Enclosure surface temperatures for sealed units must not differ 
from the test area ambient temperature by more than 2 [deg]C.
    (3) Test area ambient temperature should not have changed by more 
than 3 [deg]C for 3 hours before the test.
    (4) Neither voltage nor current has been applied to the unit under 
test for 24 hours. In addition, increase this initial 24 hour period by 
any added amount of time necessary for the temperature of the 
transformer windings to stabilize at the level of the ambient 
temperature. However, this additional amount of time need not exceed 24 
hours.
    3.3 Resistance Measurement Methods.
    Make resistance measurements using either the resistance bridge 
method, the voltmeter-ammeter method or a resistance meter. In each 
instance when this Uniform Test Method is used to test more than one 
unit of a basic model to determine the efficiency of that basic model, 
the resistance of the units being tested may be determined from making 
resistance measurements on only one of the units.
    3.3.1 Resistance Bridge Methods.
    If the resistance bridge method is selected, use either the 
Wheatstone or Kelvin bridge circuit (or the equivalent of either).

                        3.3.1.1 Wheatstone Bridge

    (a) This bridge is best suited for measuring resistances larger than 
ten ohms. A schematic diagram of a Wheatstone bridge with a 
representative transformer under test is shown in Figure 3.1.

[[Page 442]]

[GRAPHIC] [TIFF OMITTED] TR27AP06.002

Where:

Rdc is the resistance of the transformer winding being 
measured,
Rs is a standard resistor having the resistance 
Rs,
Ra, Rb are two precision resistors with resistance 
values Ra and Rb , respectively; at least one 
resistor must have a provision for resistance adjustment,
Rt is a resistor for reducing the time constant of the 
circuit,
D is a null detector, which may be either a micro ammeter or 
microvoltmeter or equivalent instrument for observing that no signal is 
present when the bridge is balanced, and
Vdc is a source of dc voltage for supplying the power to the 
Wheatstone Bridge.

    (b) In the measurement process, turn on the source (Vdc), 
and adjust the resistance ratio (Ra/Rb) to produce 
zero signal at the detector (D). Determine the winding resistance by 
using equation 3-1 as follows:

[GRAPHIC] [TIFF OMITTED] TR27AP06.003

                          3.3.1.2 Kelvin Bridge

    (a) This bridge separates the resistance of the connecting 
conductors to the transformer winding being measured from the resistance 
of the winding, and therefore is best suited for measuring resistances 
of ten ohms and smaller. A schematic diagram of a Kelvin bridge with a 
representative transformer under test is shown in Figure 3.2.

[[Page 443]]

[GRAPHIC] [TIFF OMITTED] TR27AP06.004

    (b) The Kelvin Bridge has seven of the same type of components as in 
the Wheatstone Bridge. It has two more resistors than the Wheatstone 
bridge, Ra1 and Rb1. At least one of these 
resistors must have adjustable resistance. In the measurement process, 
the source is turned on, two resistance ratios (Ra/
Rb) and (Ra1/Rb1) are adjusted to be 
equal, and then the two ratios are adjusted together to balance the 
bridge producing zero signal at the detector. Determine the winding 
resistance by using equation 3-2 as follows:

[GRAPHIC] [TIFF OMITTED] TR27AP06.005

as with the Wheatstone bridge, with an additional condition that:

[GRAPHIC] [TIFF OMITTED] TR27AP06.006

    (c) The Kelvin bridge provides two sets of leads, current-carrying 
and voltage-sensing, to the transformer terminals and the standard 
resistor, thus eliminating voltage drops from the measurement in the 
current-carrying leads as represented by Rd.
    3.3.2 Voltmeter-Ammeter Method.
    (a) Employ the voltmeter-ammeter method only if the rated current of 
the winding is greater than one ampere and the test current is limited 
to 15 percent of the winding current. Connect the transformer winding 
under test to the circuit shown in Figure 3.3.

[[Page 444]]

[GRAPHIC] [TIFF OMITTED] TR27AP06.007

Where:

A is an ammeter or a voltmeter-shunt combination for measuring the 
current (Imdc) in the transformer winding,
V is a voltmeter with sensitivity in the millivolt range for measuring 
the voltage (Vmdc) applied to the transformer winding,
Rdc is the resistance of the transformer winding being 
measured,
Rt is a resistor for reducing the time constant of the 
circuit, and
Vdc is a source of dc voltage for supplying power to the 
measuring circuit.

    (b) To perform the measurement, turn on the source to produce 
current no larger than 15 percent of the rated current for the winding. 
Wait until the current and voltage readings have stabilized and then 
take simultaneous readings of voltage and current. Determine the winding 
resistance Rdc by using equation 3-4 as follows:
[GRAPHIC] [TIFF OMITTED] TR27AP06.008

Where:

Vmdc is the voltage measured by the voltmeter V, and
Imdc is the current measured by the ammeter A.

    (c) As shown in Figure 3.3, separate current and voltage leads must 
be brought to the transformer terminals. (This eliminates the errors due 
to lead and contact resistance.)
    3.3.3 Resistance Meters.
    Resistance meters may be based on voltmeter-ammeter, or resistance 
bridge, or some other operating principle. Any meter used to measure a 
transformer's winding resistance must have specifications for resistance 
range, current range, and ability to measure highly inductive resistors 
that cover the characteristics of the transformer being tested. Also the 
meter's specifications for accuracy must meet the applicable criteria of 
Table 2.1 in section 2.0.
    3.4 Precautions in Measuring Winding Resistance.
    3.4.1 Required actions.
    The following guidelines must be observed when making resistance 
measurements:
    (a) Use separate current and voltage leads when measuring small (< 
10 ohms) resistance.
    (b) Use null detectors in bridge circuits, and measuring instruments 
in voltmeter-ammeter circuits, that have sensitivity and resolution 
sufficient to enable observation of at least 0.1 percent change in the 
measured resistance.
    (c) Maintain the dc test current at or below 15 percent of the rated 
winding current.
    (d) Inclusion of a stabilizing resistor Rt (see section 
3.4.2) will require higher source voltage.
    (e) Disconnect the null detector (if a bridge circuit is used) and 
voltmeter from the circuit before the current is switched off, and 
switch off current by a suitable insulated switch.
    3.4.2 Guideline for Time Constant.
    (a) The following guideline is suggested for the tester as a means 
to facilitate the measurement of resistance in accordance with the 
accuracy requirements of section 2.0:
    (b) The accurate reading of resistance Rdc may be 
facilitated by shortening the time constant. This is done by introducing 
a resistor Rt in series with the winding under test in both 
the bridge and voltmeter-ammeter circuits as shown in Figures 3.1 to 
3.3. The relationship for the time constant is:
[GRAPHIC] [TIFF OMITTED] TR27AP06.009


[[Page 445]]


Where:

Tc is the time constant in seconds,
Ltc is the total magnetizing and leakage inductance of the 
winding under test, in henries, and
Rtc is the total resistance in ohms, consisting of 
Rt in series with the winding resistance Rdc and 
the resistance Rs of the standard resistor in the bridge 
circuit.

    (c) Because Rtc is in the denominator of the expression 
for the time constant, increasing the resistance Rtc will 
decrease the time constant. If the time constant in a given test circuit 
is too long for the resistance readings to be stable, then a higher 
resistance can be substituted for the existing Rtc, and 
successive replacements can be made until adequate stability is reached.
    3.5 Conversion of Resistance Measurements.
    (a) Resistance measurements must be corrected, from the temperature 
at which the winding resistance measurements were made, to the reference 
temperature. As specified in these test procedures, the reference 
temperature for liquid-immersed transformers loaded at 50 percent of the 
rated load is 55 [deg]C. For medium-voltage, dry-type transformers 
loaded at 50 percent of the rated load, and for low-voltage, dry-type 
transformers loaded at 35 percent of the rated load, the reference 
temperature is 75 [deg]C.
    (b) Correct the measured resistance to the resistance at the 
reference temperature using equation 3-6 as follows:
[GRAPHIC] [TIFF OMITTED] TR27AP06.010

Where:

Rts is the resistance at the reference temperature, 
Ts,
Rdc is the measured resistance at temperature, 
Tdc,
Ts is the reference temperature in [deg]C,
Tdc is the temperature at which resistance was measured in 
[deg]C, and
Tk is 234.5 [deg]C for copper or 225 [deg]C for aluminum.

                          4.0 Loss Measurement

    4.1 General Considerations.
    The efficiency of a transformer is computed from the total 
transformer losses, which are determined from the measured value of the 
no-load loss and load loss power components. Each of these two power 
loss components is measured separately using test sets that are 
identical, except that shorting straps are added for the load-loss test. 
The measured quantities will need correction for instrumentation losses 
and may need corrections for known phase angle errors in measuring 
equipment and for the waveform distortion in the test voltage. Any power 
loss not measured at the applicable reference temperature must be 
adjusted to that reference temperature. The measured load loss must also 
be adjusted to a specified output loading level if not measured at the 
specified output loading level. Test distribution transformers designed 
for harmonic currents using a sinusoidal waveform (k=1).
    4.2 Measurement of Power Losses.
    4.2.1 No-Load Loss.
    Measure the no-load loss and apply corrections as described in 
section 4.4, using the appropriate test set as described in section 4.3.
    4.2.2 Load Loss.
    Measure the load loss and apply corrections as described in section 
4.5, using the appropriate test set as described in section 4.3.
    4.3 Test Sets.
    (a) The same test set may be used for both the no-load loss and load 
loss measurements provided the range of the test set encompasses the 
test requirements of both tests. Calibrate the test set to national 
standards to meet the tolerances in Table 2.1 in section 2.0. In 
addition, the wattmeter, current measuring system and voltage measuring 
system must be calibrated separately if the overall test set calibration 
is outside the tolerance as specified in section 2.0 or the individual 
phase angle error exceeds the values specified in section 4.5.3.
    (b) A test set based on the wattmeter-voltmeter-ammeter principle 
may be used to measure the power loss and the applied voltage and 
current of a transformer where the transformer's test current and 
voltage are within the measurement capability of the measuring 
instruments. Current and voltage transformers, known collectively as 
instrument transformers, or other scaling devices such as resistive or 
capacitive dividers for voltage, may be used in the above circumstance, 
and must be used together with instruments to measure current, voltage, 
or power where the current or voltage of the transformer under test 
exceeds the measurement capability of such instruments. Thus, a test set 
may include a combination of measuring instruments and instrument 
transformers (or other scaling devices), so long as the current or 
voltage of the transformer under test does not exceed the measurement 
capability of any of the instruments.
    4.3.1 Single-Phase Test Sets.
    Use these for testing single-phase distribution transformers.
    4.3.1.1 Without Instrument Transformers.
    (a) A single-phase test set without an instrument transformer is 
shown in Figure 4.1.

[[Page 446]]

[GRAPHIC] [TIFF OMITTED] TR27AP06.011

Where:

W is a wattmeter used to measure Pnm and Plm, the 
no-load and load loss power, respectively,
Vrms is a true root-mean-square (rms) voltmeter used to 
measure Vr(nm) and Vlm, the rms test voltages in 
no-load and load loss measurements, respectively,
Vav is an average sensing voltmeter, calibrated to indicate 
rms voltage for sinusoidal waveforms and used to measure 
Va(nm), the average voltage in no-load loss measurements,
A is an rms ammeter used to measure test current, especially 
Ilm, the load loss current, and
(SC) is a conductor for providing a short-circuit across the output 
windings for the load loss measurements.

    (b) Either the primary or the secondary winding can be connected to 
the test set. However, more compatible voltage and current levels for 
the measuring instruments are available if for no-load loss measurements 
the secondary (low voltage) winding is connected to the test set, and 
for load loss measurements the primary winding is connected to the test 
set. Use the average-sensing voltmeter, Vav, only in no-load 
loss measurements.
    4.3.1.2 With Instrument Transformers.
    A single-phase test set with instrument transformers is shown in 
Figure 4.2. This circuit has the same four measuring instruments as that 
in Figure 4.1. The current and voltage transformers, designated as (CT) 
and (VT), respectively, are added.
[GRAPHIC] [TIFF OMITTED] TR27AP06.012

    4.3.2 Three-Phase Test Sets.
    Use these for testing three-phase distribution transformers. Use in 
a four-wire, three-wattmeter test circuit.
    4.3.2.1 Without Instrument Transformers.
    (a) A three-phase test set without instrument transformers is shown 
in Figure 4.3. This test set is essentially the same circuit

[[Page 447]]

shown in Figure 4.1 repeated three times, and the instruments are 
individual devices as shown. As an alternative, the entire 
instrumentation system of a three-phase test set without transformers 
may consist of a multi-function analyzer.
[GRAPHIC] [TIFF OMITTED] TR27AP06.013

    (b) Either group of windings, the primary or the secondary, can be 
connected in wye or delta configuration. If both groups of windings are 
connected in the wye configuration for the no-load test, the neutral of 
the winding connected to the test set must be connected to the neutral 
of the source to provide a return path for the neutral current.
    (c) In the no-load loss measurement, the voltage on the winding must 
be measured. Therefore a provision must be made to switch the voltmeters 
for line-to-neutral measurements for wye-connected windings and for 
line-to-line measurements for delta-connected windings.
    4.3.2.2 With Instrument Transformers.
    A three-phase test set with instrument transformers is shown in 
Figure 4.4. This test set is essentially the same circuit shown in 
Figure 4.2 repeated three times. Provision must be made to switch the 
voltmeters for line-to-neutral and line-to-line measurements as in 
section 4.3.2.1. The voltage sensors (``coils'') of the wattmeters must 
always be connected in the line-to-neutral configuration.

[[Page 448]]

[GRAPHIC] [TIFF OMITTED] TR27AP06.014

    4.3.2.3 Test Set Neutrals.
    If the power source in the test circuit is wye-connected, ground the 
neutral. If the power source in the test circuit is delta-connected, use 
a grounding transformer to obtain neutral and ground for the test.
    4.4 No-Load Losses: Measurement and Calculations.
    4.4.1 General Considerations.
    Measurement corrections are permitted but not required for 
instrumentation losses and for losses from auxiliary devices. 
Measurement corrections are required:
    (a) When the waveform of the applied voltage is non-sinusoidal; and
    (b) When the core temperature or liquid temperature is outside the 
20 [deg]C  10 [deg]C range.
    4.4.2 No-Load Loss Test.
    (a) The purpose of the no-load loss test is to measure no-load 
losses at a specified excitation voltage and a specified frequency. The 
no-load loss determination must be based on a sine-wave voltage 
corrected to the reference temperature. Connect either of the 
transformer windings, primary or secondary, to the appropriate test set 
of Figures 4.1 to 4.4, giving consideration to section 4.4.2(a)(2). 
Leave the unconnected winding(s) open circuited. Apply the rated voltage 
at rated frequency, as measured by the average-sensing voltmeter, to the 
transformer. Take the readings of the wattmeter(s) and the average-
sensing and true rms voltmeters. Observe the following precautions:
    (1) Voltmeter connections. When correcting to a sine-wave basis 
using the average-voltmeter method, the voltmeter connections must be 
such that the waveform applied to the voltmeters is the same as the 
waveform across the energized windings.
    (2) Energized windings. Energize either the high voltage or the low 
voltage winding of the transformer under test.
    (3) Voltage and frequency. The no-load loss test must be conducted 
with rated voltage impressed across the transformer terminals using a 
voltage source at a frequency equal to the rated frequency of the 
transformer under test.
    (b) Adjust the voltage to the specified value as indicated by the 
average-sensing voltmeter. Record the values of rms voltage, rms 
current, electrical power, and average voltage as close to 
simultaneously as possible. For a three-phase transformer, take all of 
the readings on one phase before proceeding to the next, and record the 
average of the three rms voltmeter readings as the rms voltage value.
    Note: When the tester uses a power supply that is not synchronized 
with an electric

[[Page 449]]

utility grid, such as a dc/ac motor-generator set, check the frequency 
and maintain it within 0.5 percent of the rated 
frequency of the transformer under test. A power source that is directly 
connected to, or synchronized with, an electric utility grid need not be 
monitored for frequency.
    4.4.3 Corrections.
    4.4.3.1 Correction for Instrumentation Losses.
    Measured losses attributable to the voltmeters and wattmeter voltage 
circuit, and to voltage transformers if they are used, may be deducted 
from the total no-load losses measured during testing.
    4.4.3.2 Correction for Non-Sinusoidal Applied Voltage.
    (a) The measured value of no-load loss must be corrected to a 
sinusoidal voltage, except when waveform distortion in the test voltage 
causes the magnitude of the correction to be less than 1 percent. In 
such a case, no correction is required.
    (b) To make a correction where the distortion requires a correction 
of 5 percent or less, use equation 4-1. If the distortion requires a 
correction to be greater than 5 percent, improve the test voltage and 
re-test. Repeat until the distortion requires a correction of 5 percent 
or less.
    (c) Determine the no-load losses of the transformer corrected for 
sine-wave basis from the measured value by using equation 4-1 as 
follows:
[GRAPHIC] [TIFF OMITTED] TR27AP06.015

Where:

Pncl is the no-load loss corrected to a sine-wave basis at 
the temperature (Tnm) at which no-load loss is measured,
Pnm is the measured no-load loss at temperature 
Tnm,
P1 is the per unit hysteresis loss,
P2 is the per unit eddy-current loss,
P1 + P2 = 1,
[GRAPHIC] [TIFF OMITTED] TR27AP06.016

Vr(nm) is the test voltage measured by rms voltmeter, and
Va(nm) is the test voltage measured by average-voltage 
voltmeter.
    (d) The two loss components (P1 and P2) are 
assumed equal in value, each assigned a value of 0.5 per unit, unless 
the actual measurement-based values of hysteresis and eddy-current 
losses are available (in per unit form), in which case the actual 
measurements apply.
    4.4.3.3 Correction of No-Load Loss to Reference Temperature.
    After correcting the measured no-load loss for waveform distortion, 
correct the loss to the reference temperature of 20 [deg]C. If the no-
load loss measurements were made between 10 [deg]C and 30 [deg]C, this 
correction is not required. If the correction to reference temperature 
is applied, then the core temperature of the transformer during no-load 
loss measurement (Tnm) must be determined within  10 [deg]C of the true average core temperature. Correct 
the no-load loss to the reference temperature by using equation 4-2 as 
follows:
[GRAPHIC] [TIFF OMITTED] TR27AP06.017

Where:

Pnc is the no-load losses corrected for waveform distortion 
and then to the reference temperature of 20 [deg]C,
Pnc1 is the no-load losses, corrected for waveform 
distortion, at temperature Tnm,
Tnm is the core temperature during the measurement of no-load 
losses, and
Tnr is the reference temperature, 20 [deg]C.

    4.5 Load Losses: Measurement and Calculations.
    4.5.1 General Considerations.
    (a) The load losses of a transformer are those losses incident to a 
specified load carried by the transformer. Load losses consist of ohmic 
loss in the windings due to the load current and stray losses due to the 
eddy currents induced by the leakage flux in the windings, core clamps, 
magnetic shields, tank walls, and other conducting parts. The ohmic loss 
of a transformer varies directly with temperature, whereas the stray 
losses vary inversely with temperature.
    (b) For a transformer with a tap changer, conduct the test at the 
rated current and rated-voltage tap position. For a transformer that has 
a configuration of windings which allows for more than one nominal rated 
voltage, determine its load losses either in the winding configuration 
in which the highest losses occur or in each winding configuration in 
which the transformer can operate.
    4.5.2 Tests for Measuring Load Losses.
    (a) Connect the transformer with either the high-voltage or low-
voltage windings to the appropriate test set. Then short-circuit the 
winding that was not connected to the test set. Apply a voltage at the 
rated frequency (of the transformer under test) to the connected 
windings to produce the rated current in the transformer. Take the 
readings of the wattmeter(s), the ammeters(s), and rms voltmeter(s).
    (b) Regardless of the test set selected, the following preparatory 
requirements must be satisfied for accurate test results:
    (1) Determine the temperature of the windings using the applicable 
method in section 3.2.1 or section 3.2.2.

[[Page 450]]

    (2) The conductors used to short-circuit the windings must have a 
cross-sectional area equal to, or greater than, the corresponding 
transformer leads, or, if the tester uses a different method to short-
circuit the windings, the losses in the short-circuiting conductor 
assembly must be less than 10 percent of the transformer's load losses.
    (3) When the tester uses a power supply that is not synchronized 
with an electric utility grid, such as a dc/ac motor-generator set, 
follow the provisions of the ``Note'' in section 4.4.2.
    4.5.3 Corrections.
    4.5.3.1 Correction for Losses from Instrumentation and Auxiliary 
Devices.
    4.5.3.1.1 Instrumentation Losses.
    Measured losses attributable to the voltmeters, wattmeter voltage 
circuit and short-circuiting conductor (SC), and to the voltage 
transformers if they are used, may be deducted from the total load 
losses measured during testing.
    4.5.3.1.2 Losses from Auxiliary Devices.
    Measured losses attributable to auxiliary devices (e.g., circuit 
breakers, fuses, switches) installed in the transformer, if any, that 
are not part of the winding and core assembly, may be excluded from load 
losses measured during testing. To exclude these losses, either (1) 
measure transformer losses without the auxiliary devices by removing or 
by-passing them, or (2) measure transformer losses with the auxiliary 
devices connected, determine the losses associated with the auxiliary 
devices, and deduct these losses from the load losses measured during 
testing.
    4.5.3.2 Correction for Phase Angle Errors.
    (a) Corrections for phase angle errors are not required if the 
instrumentation is calibrated over the entire range of power factors and 
phase angle errors. Otherwise, determine whether to correct for phase 
angle errors from the magnitude of the normalized per unit correction, 
[beta]n, obtained by using equation 4-3 as follows:
[GRAPHIC] [TIFF OMITTED] TR27AP06.018

    (b) The correction must be applied if [beta]n is outside 
the limits of 0.01. If [beta]n is 
within the limits of 0.01, the correction is 
permitted but not required.
    (c) If the correction for phase angle errors is to be applied, first 
examine the total system phase angle ([beta]w - 
[beta]v + [beta]c). Where the total system phase 
angle is equal to or less than 12 milliradians 
(41 minutes), use either equation 4-4 or 4-5 to 
correct the measured load loss power for phase angle errors, and where 
the total system phase angle exceeds 12 
milliradians (41 minutes) use equation 4-5, as 
follows:
[GRAPHIC] [TIFF OMITTED] TR27AP06.019

[GRAPHIC] [TIFF OMITTED] TR27AP06.020

    (d) The symbols in this section (4.5.3.2) have the following 
meanings:

Plc1 is the corrected wattmeter reading for phase angle 
errors,
Plm is the actual wattmeter reading,
Vlm is the measured voltage at the transformer winding,
Ilm is the measured rms current in the transformer winding,
[GRAPHIC] [TIFF OMITTED] TR27AP06.021

is the measured phase angle between Vlm and Ilm,

[beta]w is the phase angle error (in radians) of the 
wattmeter; the error is positive if the phase angle between the voltage 
and current phasors as sensed by the wattmeter is smaller than the true 
phase angle, thus effectively increasing the measured power,
[beta]v is the phase angle error (in radians) of the voltage 
transformer; the error is positive if the secondary voltage leads the 
primary voltage, and
[beta]c is the phase angle error (in radians) of the current 
transformer; the error is positive if the secondary current leads the 
primary current.

    (e) The instrumentation phase angle errors used in the correction 
equations must be specific for the test conditions involved.
    4.5.3.3 Temperature Correction of Load Loss.
    (a) When the measurement of load loss is made at a temperature 
Tlm that is different from the reference temperature, use the 
procedure summarized in the equations 4-6 to 4-10 to correct the 
measured load loss to the reference temperature. The symbols used in 
these equations are defined at the end of this section.
    (b) Calculate the ohmic loss (Pe) by using equation 4-6 
as follows:

[[Page 451]]

[GRAPHIC] [TIFF OMITTED] TR27AP06.022

    (c) Obtain the stray loss by subtracting the calculated ohmic loss 
from the measured load loss, by using equation 4-7 as follows:
[GRAPHIC] [TIFF OMITTED] TR27AP06.023

    (d) Correct the ohmic and stray losses to the reference temperature 
for the load loss by using equations 4-8 and 4-9, respectively, as 
follows:
[GRAPHIC] [TIFF OMITTED] TR27AP06.024

[GRAPHIC] [TIFF OMITTED] TR27AP06.025

    (e) Add the ohmic and stray losses, corrected to the reference 
temperature, to give the load loss, Plc2, at the reference 
temperature, by using equation 4-10 as follows:
[GRAPHIC] [TIFF OMITTED] TR27AP06.026

    (f) The symbols in this section (4.5.3.3) have the following 
meanings:

Ilm(p) is the primary current in amperes,
Ilm(s) is the secondary current in amperes,
Pe is the ohmic loss in the transformer in watts at the 
temperature Tlm,
Pe(p) is the ohmic loss in watts in the primary winding at 
the temperature Tlm,

[[Page 452]]

Pe(s) is the ohmic loss in watts in the secondary winding at 
the temperature Tlm,
 Per is the ohmic loss in watts corrected to the reference 
temperature,
Plc1 is the measured load loss in watts, corrected for phase 
angle error, at the temperature Tlm,
Plc2 is the load loss at the reference temperature,
Ps is the stray loss in watts at the temperature 
Tlm,
Psr is the stray loss in watts corrected to the reference 
temperature,
Rdc(p) is the measured dc primary winding resistance in ohms,
Rdc(s) is the measured dc secondary winding resistance in 
ohms,
Tk is the critical temperature in degrees Celsius for the 
material of the transformer windings. Where copper is used in both 
primary and secondary windings, Tk is 234.5 [deg]C; where 
aluminum is used in both primary and secondary windings, Tk 
is 225 [deg]C; where both copper and aluminum are used in the same 
transformer, the value of 229 [deg]C is used for Tk,
Tk(p) is the critical temperature in degrees Celsius for the 
material of the primary winding: 234.5 [deg]C if copper and 225 [deg]C 
if aluminum,
Tk(s) is the critical temperature in degrees Celsius for the 
material of the secondary winding: 234.5 [deg]C if copper and 225 [deg]C 
if aluminum,
Tlm is the temperature in degrees Celsius at which the load 
loss is measured,
Tlr is the reference temperature for the load loss in degrees 
Celsius,
Tdc is the temperature in degrees Celsius at which the 
resistance values are measured, and

N1/N2 is the ratio of the number of turns in the 
primary winding (N1) to the number of turns in the secondary 
winding (N2); for a primary winding with taps, N1 
is the number of turns used when the voltage applied to the primary 
winding is the rated primary voltage.

         5.0 Determining the Efficiency Value of the Transformer

    This section presents the equations to use in determining the 
efficiency value of the transformer at the required reference conditions 
and at the specified loading level. The details of measurements are 
described in sections 3.0 and 4.0. For a transformer that has a 
configuration of windings which allows for more than one nominal rated 
voltage, determine its efficiency either at the voltage at which the 
highest losses occur or at each voltage at which the transformer is 
rated to operate.
    5.1 Output Loading Level Adjustment.
    If the output loading level for energy efficiency is different from 
the level at which the load loss power measurements were made, then 
adjust the corrected load loss power, Plc2, by using equation 
5-1 as follows:
[GRAPHIC] [TIFF OMITTED] TR16OC06.011

Where:

Plc is the adjusted load loss power to the specified energy 
efficiency load level,
Plc2 is as calculated in section 4.5.3.3,
Por is the rated transformer apparent power (name plate),
Pos is the specified energy efficiency load level, where 
Pos = PorL, and
L is the per unit load level, e.g., if the load level is 50 percent then 
``L'' will be 0.5.
    5.2 Total Loss Power Calculation.

    Calculate the corrected total loss power by using equation 5-2 as 
follows:
[GRAPHIC] [TIFF OMITTED] TR27AP06.029

Where:

Pts is the corrected total loss power adjusted for the 
transformer output loading specified by the standard,
Pnc is as calculated in section 4.4.3.3, and
Plc is as calculated in section 5.1.

    5.3 Energy Efficiency Calculation.
    Calculate efficiency ([eta]) in percent at specified energy 
efficiency load level, Pos, by using equation 5-3 as follows:
[GRAPHIC] [TIFF OMITTED] TR27AP06.030

Where:

Pos is as described and calculated in section 5.1, and
Pts is as described and calculated in section 5.2.
    5.4 Significant Figures in Power Loss and Efficiency Data.
    In measured and calculated data, retain enough significant figures 
to provide at least 1 percent resolution in power loss data and 0.01 
percent resolution in efficiency data.

            6.0 Test Equipment Calibration and Certification

    Maintain and calibrate test equipment and measuring instruments, 
maintain calibration records, and perform other test and measurement 
quality assurance procedures according to the following sections. The 
calibration of the test set must confirm the accuracy of the test set to 
that specified in section 2.0, Table 2.1.
    6.1 Test Equipment.
    The party performing the tests shall control, calibrate and maintain 
measuring and test equipment, whether or not it owns the

[[Page 453]]

equipment, has the equipment on loan, or the equipment is provided by 
another party. Equipment shall be used in a manner which assures that 
measurement uncertainty is known and is consistent with the required 
measurement capability.
    6.2 Calibration and Certification.
    The party performing the tests must:
    (a) Identify the measurements to be made, the accuracy required 
(section 2.0) and select the appropriate measurement and test equipment;
    (b) At prescribed intervals, or prior to use, identify, check and 
calibrate, if needed, all measuring and test equipment systems or 
devices that affect test accuracy, against certified equipment having a 
known valid relationship to nationally recognized standards; where no 
such standards exist, the basis used for calibration must be documented;
    (c) Establish, document and maintain calibration procedures, 
including details of equipment type, identification number, location, 
frequency of checks, check method, acceptance criteria and action to be 
taken when results are unsatisfactory;
    (d) Ensure that the measuring and test equipment is capable of the 
accuracy and precision necessary, taking into account the voltage, 
current and power factor of the transformer under test;
    (e) Identify measuring and test equipment with a suitable indicator 
or approved identification record to show the calibration status;
    (f) Maintain calibration records for measuring and test equipment;
    (g) Assess and document the validity of previous test results when 
measuring and test equipment is found to be out of calibration;
    (h) Ensure that the environmental conditions are suitable for the 
calibrations, measurements and tests being carried out;
    (i) Ensure that the handling, preservation and storage of measuring 
and test equipment is such that the accuracy and fitness for use is 
maintained; and
    (j) Safeguard measuring and test facilities, including both test 
hardware and test software, from adjustments which would invalidate the 
calibration setting.

[71 FR 24999, Apr. 27, 2006, as amended at 71 FR 60662, Oct. 16, 2006]

    Effective Date Note: At 71 FR 24999, Apr. 27, 2006, appendix A to 
subpart K of part 431 was added, effective May 30, 2006, except for 
section 6.2(f) and section 6.2 (b) and (c) which contain information 
collection requirements and will not become effective until approval has 
been given by the Office of Management and Budget.



Sec. Appendix B to Subpart K of Part 431--Sampling Plan for Enforcement 
                                 Testing

    Step 1. The number of units in the sample (m1) shall be 
in accordance with Sec. Sec. 431.198(a)(4), 431.198(a)(5), 
431.198(a)(6) and 431.198(a)(7) and shall not be greater than twenty. 
The number of tests in the first sample (n1) shall be in 
accordance with Sec. 431.198(a)(8) and shall be not fewer than four.
    Step 2. Compute the mean (Xi) of the measured energy 
performance of the n1 tests in the first sample by using 
equation 1 as follows:
[GRAPHIC] [TIFF OMITTED] TR27AP06.031

where Xi is the measured efficiency of test i.

    Step 3. Compute the sample standard deviation (S1) of the 
measured efficiency of the n1 tests in the first sample by 
using equation 2 as follows:
[GRAPHIC] [TIFF OMITTED] TR27AP06.032

    Step 4. Compute the standard error (SE(X1)) of the mean 
efficiency of the first sample by using equation 3 as follows:
[GRAPHIC] [TIFF OMITTED] TR27AP06.033

    Step 5. Compute the sample size discount (SSD(m1)) by 
using equation 4 as follows:
[GRAPHIC] [TIFF OMITTED] TR27AP06.034

where m1 is the number of units in the sample, and RE is the 
applicable EPCA efficiency when the test is to determine compliance with 
the applicable statutory standard, or is the labeled efficiency when the 
test is to determine compliance with the labeled efficiency value.

    Step 6. Compute the lower control limit (LCL1) for the 
mean of the first sample by using equation 5 as follows:
[GRAPHIC] [TIFF OMITTED] TR27AP06.035

where t is the 2.5th percentile of a t-distribution for a sample size of 
n1, which yields a

[[Page 454]]

97.5 percent confidence level for a one-tailed t-test.
    Step 7. Compare the mean of the first sample (X1) with 
the lower control limit (LCL1) to determine one of the 
following:
    (i) If the mean of the first sample is below the lower control 
limit, then the basic model is in non-compliance and testing is at an 
end.
    (ii) If the mean is equal to or greater than the lower control 
limit, no final determination of compliance or non-compliance can be 
made; proceed to Step 8.
    Step 8. Determine the recommended sample size (n) by using equation 
6 as follows:
[GRAPHIC] [TIFF OMITTED] TR27AP06.036

 where S1 and t have the values used in Steps 3 and 6, 
respectively. The factor
[GRAPHIC] [TIFF OMITTED] TR27AP06.037

is based on an 8-percent tolerance in the total power loss.

    Given the value of n, determine one of the following:
    (i) If the value of n is less than or equal to n1 and if 
the mean energy efficiency of the first sample (X1) is equal 
to or greater than the lower control limit (LCL1), the basic 
model is in compliance and testing is at an end.
    (ii) If the value of n is greater than n1, and no 
additional units are available for testing, testing is at an end and the 
basic model is in non-compliance. If the value of n is greater than 
n1, and additional units are available for testing, select a 
second sample n2. The size of the n2 sample is 
determined to be the smallest integer equal to or greater than the 
difference n-n1. If the value of n2 so calculated 
is greater than 20-n1, set n2 equal to 20-
n1.
    Step 9. After testing the n2 sample, compute the combined 
mean (X2) of the measured energy performance of the 
n1 and n2 tests of the combined first and second 
samples by using equation 7 as follows:
[GRAPHIC] [TIFF OMITTED] TR27AP06.038

    Step 10. Compute the standard error (SE(X2)) of the mean 
efficiency of the n1 and n2 tests in the combined 
first and second samples by using equation 8 as follows:
[GRAPHIC] [TIFF OMITTED] TR27AP06.039

(Note that S1 is the value obtained above in Step 3.)

    Step 11. Set the lower control limit (LCL2) to,
    [GRAPHIC] [TIFF OMITTED] TR27AP06.040
    
where t has the value obtained in Step 5 and SSD(m1) is 
sample size discount from Step 5. 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), the basic model is in non-
compliance 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), 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 efficiency, standard error, and lower 
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 lower control limit (LCL2) to determine one of the 
following:
    (a) If the new combined sample mean is equal to or greater than the 
lower control limit, the basic model is in compliance and testing is at 
an end.
    (b) If the new combined sample mean is less than the lower control 
limit 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.
    (c) Otherwise, the basic model is determined to be in non-
compliance.

[71 FR 24999, Apr. 27, 2006]



                    Subpart L_Illuminated Exit Signs

    Source: 70 FR 60417, Oct. 18, 2005, unless otherwise noted.

[[Page 455]]



Sec. 431.201  Purpose and scope.

    This subpart contains energy conservation requirements for 
illuminated exit signs, pursuant to Part B of Title III of the Energy 
Policy and Conservation Act, as amended, 42 U.S.C. 6291-6309.



Sec. 431.202  Definitions concerning illuminated exit signs.

    Basic model means, with respect to illuminated exit signs, all units 
of a given type of illuminated exit sign (or class thereof) manufactured 
by one manufacturer and which have the same primary energy source, which 
have electrical characteristics that are essentially identical, and 
which do not have any differing electrical, physical, or functional 
characteristics that affect energy consumption.
    Face means an illuminated side of an illuminated exit sign.
    Illuminated exit sign means a sign that--
    (1) Is designed to be permanently fixed in place to identify an 
exit; and
    (2) Consists of an electrically powered integral light source that--
    (i) Illuminates the legend ``EXIT'' and any directional indicators; 
and
    (ii) Provides contrast between the legend, any directional 
indicators, and the background.
    Input power demand means the amount of power required to 
continuously illuminate an exit sign model, measured in watts (W). For 
exit sign models with rechargeable batteries, input power demand shall 
be measured with batteries at full charge.

[70 FR 60417, Oct. 18, 2005, as amended at 71 FR 71372, Dec. 8, 2006]

                             Test Procedures



Sec. 431.203  Materials incorporated by reference.

    (a) General. The Department incorporates by reference the following 
test procedures into subpart L of part 431. The Director of the Federal 
Register has approved the material listed in paragraph (b) of this 
section for incorporation by reference in accordance with 5 U.S.C. 
552(a) and 1 CFR part 51. Any subsequent amendment to this material by 
the standard-setting organization will not affect the DOE test 
procedures unless and until DOE amends its test procedures. The 
Department incorporates the material as it exists on the date of the 
approval by the Federal Register and a notice of any change in the 
material will be published in the Federal Register.
    (b) Test procedure incorporated by reference. Environmental 
Protection Agency ``ENERGY STAR Program Requirements for Exit Signs,'' 
Version 2.0 issued January 1, 1999.
    (c) Availability of reference--(1) Inspection of test procedure. The 
test procedure incorporated by reference are available for inspection 
at:
    (i) National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call (202) 
741-6030, or go to: http://www.archives.gov/federal--register/code--of--
federal--regulations/ibr--locations.html.
    (ii) U.S. Department of Energy, Forrestal Building, Room 1J-018 
(Resource Room of the Building Technologies Program), 1000 Independence 
Avenue, SW., Washington, DC 20585-0121, (202) 586-9127, between 9 a.m. 
and 4 p.m., Monday through Friday, except Federal holidays.
    (2) Obtaining copies of the standard. Copies of the Environmental 
Protection Agency ``ENERGY STAR Program Requirements for Exit Signs,'' 
Version 2.0, may be obtained from the Environmental Protection Agency, 
Ariel Rios Building, 1200 Pennsylvania Avenue, NW., Washington, DC 
20460, (202) 272-0167 or athttp://www.epa.gov.

[71 FR 71373, Dec. 8, 2006]



Sec. 431.204  Uniform test method for the measurement of energy
consumption of illuminated exit signs.

    (a) Scope. This section provides the test procedure for measuring, 
pursuant to EPCA, the input power demand of illuminated exit signs. For 
purposes of this part 431 and EPCA, the test procedure for measuring the 
input power demand of illuminated exit signs shall be the test procedure 
specified in Sec. 431.203(b).
    (b) Testing and Calculations. Determine the energy efficiency of 
each covered product by conducting the test

[[Page 456]]

procedure, set forth in the Environmental Protection Agency's ``ENERGY 
STAR Program Requirements for Exit Signs,'' Version 2.0, section 4 (Test 
Criteria), ``Conditions for testing'' and ``Input power measurement.'' 
(Incorporated by reference, see Sec. 431.203)

[71 FR 71373, Dec. 8, 2006]

                      Energy Conservation Standards



Sec. 431.206  Energy conservation standards and their effective dates.

    An illuminated exit sign manufactured on or after January 1, 2006, 
shall have an input power demand of 5 watts or less per face.



         Subpart M_Traffic Signal Modules and Pedestrian Modules

    Source: 70 FR 60417, Oct. 18, 2005, unless otherwise noted.



Sec. 431.221  Purpose and scope.

    This subpart contains energy conservation requirements for traffic 
signal modules and pedestrian modules, pursuant to Part B of Title III 
of the Energy Policy and Conservation Act, as amended, 42 U.S.C. 6291-
6309.



Sec. 431.222  Definitions concerning traffic signal modules and 
pedestrian modules.

    Basic model means, with respect to traffic signal modules and 
pedestrian modules, all units of a given type of traffic signal module 
or pedestrian module (or class thereof) manufactured by one manufacturer 
and which have the same primary energy source, which have electrical 
characteristics that are essentially identical, and which do not have 
any differing electrical, physical, or functional characteristics that 
affect energy consumption.
    Maximum wattage means the power consumed by the module after being 
operated for 60 minutes while mounted in a temperature testing chamber 
so that the lensed portion of the module is outside the chamber, all 
portions of the module behind the lens are within the chamber at a 
temperature of 74 [deg]C and the air temperature in front of the lens is 
maintained at a minimum of 49 [deg]C.
    Nominal wattage means the power consumed by the module when it is 
operated within a chamber at a temperature of 25 [deg]C after the signal 
has been operated for 60 minutes.
    Pedestrian module means a light signal used to convey movement 
information to pedestrians.
    Traffic signal module means a standard 8-inch (200 mm) or 12-inch 
(300 mm) traffic signal indication that--
    (1) Consists of a light source, a lens, and all other parts 
necessary for operation; and
    (2) Communicates movement messages to drivers through red, amber, 
and green colors.

[70 FR 60417, Oct. 18, 2005, as amended at 71 FR 71373, Dec. 8, 2006]

                             Test Procedures



Sec. 431.223  Materials incorporated by reference.

    (a) General. The Department incorporates by reference the following 
test procedures into subpart M of part 431. The Director of the Federal 
Register has approved the material listed in paragraph (b) of this 
section for incorporation by reference in accordance with 5 U.S.C. 
552(a) and 1 CFR part 51. Any subsequent amendment to this material by 
the standard-setting organization will not affect the DOE test 
procedures unless and until DOE amends its test procedures. The 
Department incorporates the material as it exists on the date of the 
approval by the Federal Register and a notice of any change in the 
material will be published in the Federal Register.
    (b) List of test procedures incorporated by reference. (1) 
Environmental Protection Agency, ``ENERGY STAR Program Requirements for 
Traffic Signals,'' Version 1.1 issued February 4, 2003.
    (2) Institute of Transportation Engineers (ITE), ``Vehicle Traffic 
Control Signal Heads: Light Emitting Diode (LED) Circular Signal 
Supplement,'' June 27, 2005.
    (c) Availability of references--(1) Inspection of test procedures. 
The test procedures incorporated by reference are available for 
inspection at:

[[Page 457]]

    (i) National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call (202) 
741-6030, or go to: http://www.archives.gov/federal--register/code--of--
federal--regulations/ibr--locations.html.
    (ii) U.S. Department of Energy, Forrestal Building, Room 1J-018 
(Resource Room of the Building Technologies Program), 1000 Independence 
Avenue, SW., Washington, DC 20585-0121, (202) 586-9127, between 9 a.m. 
and 4 p.m., Monday through Friday, except Federal holidays.
    (2) Obtaining copies of standards. Standards incorporated by 
reference may be obtained from the following sources:
    (i) Copies of the Environmental Protection Agency ``ENERGY STAR 
Program Requirements for Traffic Signals,'' Version 1.1, may be obtained 
from the Environmental Protection Agency, Ariel Rios Building, 1200 
Pennsylvania Avenue, NW., Washington, DC 20460, (202) 272-0167 or at 
http://www.epa.gov.
    (ii) Institute of Transportation Engineers, 1099 14th Street, NW., 
Suite 300 West, Washington, DC 20005-3438, (202) 289-0222, or ite--
[email protected].

[71 FR 71373, Dec. 8, 2006]



Sec. 431.224  Uniform test method for the measurement of energy
consumption for traffic signal modules and pedestrian modules.

    (a) Scope. This section provides the test procedures for measuring, 
pursuant to EPCA, the maximum wattage and nominal wattage of traffic 
signal modules and pedestrian modules. For purposes of 10 CFR part 431 
and EPCA, the test procedures for measuring the maximum wattage and 
nominal wattage of traffic signal modules and pedestrian modules shall 
be the test procedures specified in Sec. 431.223(b).
    (b) Testing and Calculations. Determine the nominal wattage and 
maximum wattage of each covered traffic signal module or pedestrian 
module by conducting the test procedure set forth in Environmental 
Protection Agency, ``ENERGY STAR Program Requirements for Traffic 
Signals,'' Version 1.1, section 1, ``Definitions,'' and section 4, 
``Test Criteria.'' (Incorporated by reference, see Sec. 431.223) Use a 
wattmeter having an accuracy of 1% to measure the 
nominal wattage and maximum wattage of a red and green traffic signal 
module, and a pedestrian module when conducting the photometric and 
colormetric tests as specified by the testing procedures in VTCSH 2005.

[71 FR 71373, Dec. 8, 2006]

                      Energy Conservation Standards



Sec. 431.226  Energy conservation standards and their effective dates.

    Any traffic signal module or pedestrian module manufactured on or 
after January 1, 2006, shall meet both of the following requirements:
    (a) Have a nominal wattage and maximum wattage no greater than:

------------------------------------------------------------------------
                                              Maximum         Nominal
                                           wattage  (at    wattage  (at
                                            74 [deg]C)      25 [deg]C)
------------------------------------------------------------------------
Traffic Signal Module Type:
    12 Red Ball..............              17              11
    8 Red Ball...............              13               8
    12 Red Arrow.............              12               9
    12 Green Ball............              15              15
    8 Green Ball.............              12              12
    12 Green Arrow...........              11              11
Pedestrian Module Type:
    Combination Walking Man/Hand........              16              13
    Walking Man.........................              12               9
    Orange Hand.........................              16              13
------------------------------------------------------------------------

    (b) Be installed with compatible, electrically connected signal 
control interface devices and conflict monitoring systems.

[70 FR 60417, Oct. 18, 2005, as amended at 71 FR 71374, Dec. 8, 2006]



                         Subpart N_Unit Heaters

    Source: 70 FR 60418, Oct. 18, 2005, unless otherwise noted.



Sec. 431.241  Purpose and scope.

    This subpart contains energy conservation requirements for unit 
heaters, pursuant to Part B of Title III of the Energy Policy and 
Conservation Act, as amended, 42 U.S.C. 6291-6309.



Sec. 431.242  Definitions concerning unit heaters.

    Unit heater means a self-contained fan-type heater designed to be 
installed

[[Page 458]]

within the heated space; however, the term does not include a warm air 
furnace.
    Automatic flue damper means a device installed in the flue outlet or 
in the inlet of or upstream of the draft control device of an 
individual, automatically operated, fossil fuel-fired appliance that is 
designed to automatically open the flue outlet during appliance 
operation and to automatically close the flue outlet when the appliance 
is in a standby condition.
    Automatic vent damper means a device intended for installation in 
the venting system of an individual, automatically operated, fossil 
fuel-fired appliance either in the outlet or downstream of the appliance 
draft control device, which is designed to automatically open the 
venting system when the appliance is in operation and to automatically 
close off the venting system when the appliance is in a standby or 
shutdown condition.
    Intermittent ignition device means an ignition device in which the 
ignition source is automatically shut off when the appliance is in an 
off or standby condition.
    Power venting means a venting system that uses a separate fan, 
either integral to the appliance or attached to the vent pipe, to convey 
products of combustion and excess or dilution air through the vent pipe.
    Warm air furnace means commercial warm air furnace as defined in 
Sec. 431.72.

[70 FR 60418, Oct. 18, 2005, as amended at 71 FR 71374, Dec. 8, 2006]

                       Test Procedures [Reserved]

                      Energy Conservation Standards



Sec. 431.246  Energy conservation standards and their effective dates.

    A unit heater manufactured on or after August 8, 2008, shall:
    (a) Be equipped with an intermittent ignition device; and
    (b) Have power venting or an automatic flue damper. An automatic 
vent damper is an acceptable alternative to an automatic flue damper for 
those unit heaters where combustion air is drawn from the conditioned 
space.

[70 FR 60418, Oct. 18, 2005, as amended at 71 FR 71374, Dec. 8, 2006]



               Subpart O_Commercial Prerinse Spray Valves

    Source: 70 FR 60418, Oct. 18, 2005, unless otherwise noted.



Sec. 431.261  Purpose and scope.

    This subpart contains energy conservation requirements for 
commercial prerinse spray valves, pursuant to section 135 of the Energy 
Policy Act of 2005, Pub. L. 109-58.



Sec. 431.262  Definitions concerning commercial prerinse spray valves.

    Basic model means, with respect to commercial prerinse spray valves, 
all units of a given type of commercial prerinse spray valve (or class 
thereof) manufactured by one manufacturer and which have the identical 
flow control mechanism attached to or installed within the fixture 
fitting, or the identical water-passage design features that use the 
same path of water in the highest flow mode.
    Commercial prerinse spray valve means a handheld device designed and 
marketed for use with commercial dishwashing and ware washing equipment 
that sprays water on dishes, flatware, and other food service items for 
the purpose of removing food residue before cleaning the items.

[70 FR 60418, Oct. 18, 2005, as amended at 71 FR 71374, Dec. 8, 2006]

                             Test Procedures



Sec. 431.263  Materials incorporated by reference.

    (a) General. The Department incorporates by reference the following 
test procedure into subpart O of part 431. The Director of the Federal 
Register has approved the material listed in paragraph (b) of this 
section for incorporation by reference in accordance with 5 U.S.C. 
552(a) and 1 CFR part 51. Any subsequent amendment to this material by 
the standard-setting organization will not affect the DOE test 
procedures unless DOE amends its test procedures. The Department 
incorporates the material as it exists on the date of the approval by 
the Federal Register and a notice of any change in the material will be 
published in the Federal Register.

[[Page 459]]

    (b) Test procedure incorporated by reference. American Society for 
Testing and Materials (ASTM) Standard F2324-03, ``Standard Test Method 
for Prerinse Spray Valves,'' October, 2003.
    (c) Availability of reference--(1) Inspection of the test procedure. 
The test procedure incorporated by reference is available for inspection 
at:
    (i) National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call (202) 
741-6030, or go to: http://www.archives.gov/federal-register/cfr/ibr-
locations.html.
    (ii) U.S. Department of Energy, Forrestal Building, Room 1J-018 
(Resource Room of the Building Technologies Program), 1000 Independence 
Avenue, SW., Washington, DC 20585-0121, (202) 586-9127, between 9 a.m. 
and 4 p.m., Monday through Friday, except Federal holidays.
    (2) Obtaining a copy of the standard. The standard incorporated by 
reference may be obtained from the following source: Copies of ASTM 
Standard F2324-03 can be obtained from ASTM International, 100 Barr 
Harbor Drive, P.O. Box C700, West Conshohocken, PA 19428-2959, or 
telephone (610) 832-9585.

[71 FR 71374, Dec. 8, 2006]



Sec. 431.264  Uniform test method for the measurement of flow rate 
for commercial prerinse spray valves.

    (a) Scope. This section provides the test procedure for measuring, 
pursuant to EPCA, the water consumption flow rate of commercial prerinse 
spray valves.
    (b) Testing and Calculations. The test procedure to determine the 
water consumption flow rate for prerinse spray valves, expressed in 
gallons per minute (gpm) or liters per minute (L/min), shall be 
conducted in accordance with the test requirements specified in sections 
4.1 and 4.2 (Summary of Test Method), 5.1 (Significance and Use), 6.1 
through 6.9 (Apparatus) except 6.5, 9.1 through 9.5 (Preparation of 
Apparatus), and 10.1 through 10.2.5. (Procedure), and calculations in 
accordance with sections 11.1 through 11.3.2 (Calculation and Report) of 
the ASTM F2324-03, ``Standard Test Method for Prerinse Spray Valves.'' 
(Incorporated by reference, see Sec. 431.263) Perform only the 
procedures pertinent to the measurement of flow rate. Record 
measurements at the resolution of the test instrumentation. Round off 
calculations to the same number of significant digits as the previous 
step. Round the final water consumption value to one decimal place as 
follows:
    (1) A fractional number at or above the midpoint between two 
consecutive decimal places shall be rounded up to the higher of the two 
decimal places; or
    (2) A fractional number below the midpoint between two consecutive 
decimal places shall be rounded down to the lower of the two decimal 
places.

[71 FR 71374, Dec. 8, 2006]

                      Energy Conservation Standards



Sec. 431.266  Energy conservation standards and their effective dates.

    Commercial prerinse spray valves manufactured on or after January 1, 
2006, shall have a flow rate of not more than 1.6 gallons per minute.



                  Subpart P_Mercury Vapor Lamp Ballasts

    Source: 70 FR 60418, Oct. 18, 2005, unless otherwise noted.



Sec. 431.281  Purpose and scope.

    This subpart contains energy conservation requirements for mercury 
vapor lamp ballasts, pursuant to section 135 of the Energy Policy Act of 
2005, Pub. L. 109-58.



Sec. 431.282  Definitions concerning mercury vapor lamp ballasts.

    Ballast means a device used with an electric discharge lamp to 
obtain necessary circuit conditions (voltage, current, and waveform) for 
starting and operating.
    High intensity discharge lamp means an electric-discharge lamp in 
which--
    (1) The light-producing arc is stabilized by the arc tube wall 
temperature; and
    (2) The arc tube wall loading is in excess of 3 Watts/cm\2\, 
including such lamps that are mercury vapor, metal halide, and high-
pressure sodium lamps.

[[Page 460]]

    Mercury vapor lamp means a high intensity discharge lamp, including 
clear, phosphor-coated, and self-ballasted screw base lamps, in which 
the major portion of the light is produced by radiation from mercury 
typically operating at a partial vapor pressure in excess of 100,000 Pa 
(approximately 1 atm).
    Mercury vapor lamp ballast means a device that is designed and 
marketed to start and operate mercury vapor lamps intended for general 
illumination by providing the necessary voltage and current.
    Specialty application mercury vapor lamp ballast means a mercury 
vapor lamp ballast that--
    (1) Is designed and marketed for operation of mercury vapor lamps 
used in quality inspection, industrial processing, or scientific use, 
including fluorescent microscopy and ultraviolet curing; and
    (2) In the case of a specialty application mercury vapor lamp 
ballast, the label of which--
    (i) Provides that the specialty application mercury vapor lamp 
ballast is `For specialty applications only, not for general 
illumination'; and
    (ii) Specifies the specific applications for which the ballast is 
designed.

[74 FR 12074, Mar. 23, 2009]

                       Test Procedures [Reserved]

                      Energy Conservation Standards



Sec. 431.286  Energy conservation standards and their effective dates.

    Mercury vapor lamp ballasts, other than specialty application 
mercury vapor lamp ballasts, shall not be manufactured or imported after 
January 1, 2008.

[74 FR 12074, Mar. 23, 2009]



   Subpart Q_Refrigerated Bottled or Canned Beverage Vending Machines

    Source: 71 FR 71375, Dec. 8, 2006, unless otherwise noted.



Sec. 431.291  Scope.

    This subpart specifies test procedures for certain commercial 
refrigerated bottled or canned beverage vending machines, pursuant to 
part C of Title III of the Energy Policy and Conservation Act, as 
amended, 42 U.S.C. 6311-6316.



Sec. 431.292  Definitions concerning refrigerated bottled or canned 
beverage vending machines.

    Basic model means, with respect to refrigerated bottled or canned 
beverage vending machines, all units of a given type of refrigerated 
bottled or canned beverage vending machine (or class thereof) 
manufactured by one manufacturer and which have the same primary energy 
source, which have electrical characteristics that are essentially 
identical, and which do not have any differing electrical, physical, or 
functional characteristics that affect energy consumption.
    Bottled or canned beverage means a beverage in a sealed container.
    Class A means a refrigerated bottled or canned beverage vending 
machine that is fully cooled, and is not a combination vending machine.
    Class B means any refrigerated bottled or canned beverage vending 
machine not considered to be Class A, and is not a combination vending 
machine.
    Combination vending machine means a refrigerated bottled or canned 
beverage vending machine that also has non-refrigerated volumes for the 
purpose of vending other, non-``sealed beverage'' merchandise.
    Refrigerated bottled or canned beverage vending machine means a 
commercial refrigerator that cools bottled or canned beverages and 
dispenses the bottled or canned beverages on payment.
    V means the refrigerated volume (ft\3\) of the refrigerated bottled 
or canned beverage vending machine, as measured by ANSI/AHAM HRF-1-2004 
(incorporated by reference, see Sec. 431.293).

[71 FR 71375, Dec. 8, 2006, as amended at 74 FR 44967, Aug. 31, 2009]

                             Test Procedures



Sec. 431.293  Materials incorporated by reference.

    (a) General. DOE incorporates by reference the following standards 
into Subpart Q of Part 431. The material

[[Page 461]]

listed 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 regulations 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. All approved material is available for inspection 
at the National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call (202) 
741-6030 or visit http://www.archives.gov/federal--register/code--of--
federal--regulations/ibr--locations.html. This material is also 
available for inspection at U.S. Department of Energy, Office of Energy 
Efficiency and Renewable Energy, Building Technologies Program, 6th 
Floor, 950 L'Enfant Plaza, SW., Washington, DC 20024, 202-586-2945, or 
visit http://www1.eere.energy.gov/buildings/appliance--standards. 
Standards can be obtained from the sources listed below.
    (b) ANSI. American National Standards Institute, 25 W. 43rd Street, 
4th Floor, New York, NY 10036, 212-642-4900, or visit http://
www.ansi.org.
    (1) ANSI/AHAM HRF-1-2004, Energy, Performance and Capacity of 
Household Refrigerators, Refrigerator-Freezers and Freezers, approved 
July 7, 2004, IBR approved for Sec. Sec. 431.292 and 431.294.
    (2) ANSI/ASHRAE Standard 32.1-2004, Methods of Testing for Rating 
Vending Machines for Bottled, Canned, and Other Sealed Beverages, 
approved December 2, 2004, IBR approved for Sec. 431.294.

[74 FR 44967, Aug. 31, 2009]



Sec. 431.294  Uniform test method for the measurement of energy 
consumption of refrigerated bottled or canned beverage vending 

machines.

    (a) Scope. This section provides test procedures for measuring, 
pursuant to EPCA, the energy consumption of refrigerated bottled or 
canned beverage vending machines.
    (b) Testing and Calculations. (1) The test procedure for energy 
consumption of refrigerated bottled or canned beverage vending machines 
shall be conducted in accordance with the test procedures specified in 
section 4, ``Instruments,'' section 5, ``Vending Machine Capacity,'' 
section 6, ``Test Conditions,'' and sections 7.1 through 7.2.3.2, under 
``Test Procedures,'' of ANSI/ASHRAE Standard 32.1-2004, ``Methods of 
Testing for Rating Vending Machines for Bottled, Canned, and Other 
Sealed Beverages.'' (Incorporated by reference, see Sec. 431.293) In 
Section 6.2, ``Voltage and Frequency,'' test equipment with dual 
nameplate voltages at the lower of the two voltages only.
    (2) Determine ``vendible capacity'' of refrigerated bottled or 
canned beverage vending machines in accordance with the second paragraph 
of section 5, ``Vending Machine Capacity,'' of ANSI/ASHRAE Standard 
32.1-2004, ``Methods of Testing for Rating Vending Machines for Bottled, 
Canned, and Other Sealed Beverages,'' (Incorporated by reference, see 
Sec. 431.293) and measure ``refrigerated volume'' of refrigerated 
bottled or canned beverage vending machines in accordance with the 
methodology specified in section 5.2, ``Total Refrigerated Volume,'' 
(excluding subsections 5.2.2.2 through 5.2.2.4) of the ANSI/AHAM HRF-1-
2004, ``Energy, Performance and Capacity of Household Refrigerators, 
Refrigerator-Freezers and Freezers,'' (Incorporated by reference, see 
Sec. Sec. 431.63 and 431.293).

                      Energy Conservation Standards



Sec. 431.296  Energy conservation standards and their effective dates.

    Each refrigerated bottled or canned beverage vending machine 
manufactured on or after August 31, 2012 shall have a maximum daily 
energy consumption (in kilowatt hours per day), when measured at the 75 
[deg]F  2 [deg]F and 45  5% 
RH condition, that does not exceed the following:

------------------------------------------------------------------------
                                       Maximum daily energy  consumption
           Equipment class                  (kilowatt hours per day)
------------------------------------------------------------------------
Class A..............................  MDEC = 0.055 x V + 2.56.
Class B..............................  MDEC = 0.073 x V + 3.16.
Combination Vending Machines.........  [RESERVED].
------------------------------------------------------------------------


[74 FR 44967, Aug. 31, 2009; 74 FR 45980, Sept. 8, 2009]

[[Page 462]]


    Effective Date Note: At 74 FR 44967, Aug. 31, 2009, an undesignated 
center heading and Sec. 431.296 were added, effective Aug. 31, 2012. At 
74 FR 45979, Sept. 8, 2009, Sec. 431.296 was corrected by, in the third 
and fourth lines, changing ``[Insert date 3 years from the date of 
publication of this final rule]'' to read ``August 31, 2012''.



             Subpart R_Walk-in Coolers and Walk-in Freezers

    Source: 74 FR 12074, Mar. 23, 2009, unless otherwise noted.



Sec. 431.301  Purpose and scope.

    This subpart contains energy conservation requirements for walk-in 
coolers and walk-in freezers, pursuant to Part C of Title III of the 
Energy Policy and Conservation Act, as amended, 42 U.S.C. 6311-6317.



Sec. 431.302  Definitions concerning walk-in coolers and walk-in freezers.

    Walk-in cooler and walk-in freezer mean an enclosed storage space 
refrigerated to temperatures, respectively, above, and at or below 32 
degrees Fahrenheit that can be walked into, and has a total chilled 
storage area of less than 3,000 square feet; however the terms do not 
include products designed and marketed exclusively for medical, 
scientific, or research purposes.

                             Test Procedures



Sec. 431.303  Materials incorporated by reference.

    (a) General. We incorporate by reference the following standards 
into Subpart R of part 431. The material listed 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 regulations 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. 
All approved material is available for inspection at the National 
Archives and Records Administration (NARA). For information on the 
availability of this material at NARA, call 202-741-6030 or go to http:/
/www.archives.gov/federal--register/code--of--federal-- regulations/
ibr--locations.html. Also, this material is available for inspection at 
U.S. Department of Energy, Office of Energy Efficiency and Renewable 
Energy, Building Technologies Program, 6th Floor, 950 L'Enfant Plaza, 
SW., Washington, DC 20024, 202-586-2945, between 9 a.m. and 4 p.m., 
Monday through Friday, except Federal holidays, or go to: http://
www1.eere.energy.gov/buildings/appliance--standards/. Standards can be 
obtained from the sources listed below.
    (b) ASTM. American Society for Testing and Materials, 100 Barr 
Harbor Drive, West Conshohocken, PA 19428-2959, (610) 832-9500, or 
http://www.astm.org.
    (1) ASTM C518-04 (``ASTM C518''), Standard Test Method for Steady-
State Thermal Transmission Properties by Means of the Heat Flow Meter 
Apparatus, approved May 1, 2004, IBR approved for Sec. 431.304.
    (2) [Reserved]



Sec. 431.304  Uniform test method for the measurement of energy 
consumption of walk-in coolers and walk-in freezers.

    (a) Scope. This section provides test procedures for measuring, 
pursuant to EPCA, the energy consumption of refrigerated bottled or 
canned beverage vending machines.
    (b) Testing and Calculations. (1) [Reserved]
    (2) The R value shall be the 1/K factor multiplied by the thickness 
of the panel.
    (3) The K factor shall be based on ASTM C518 (incorporated by 
reference; see Sec. 431.303).
    (4) For calculating the R value for freezers, the K factor of the 
foam at 20 degrees Fahrenheit (average foam temperature) shall be used.
    (5) For calculating the R value for coolers, the K factor of the 
foam at 55 degrees Fahrenheit (average foam temperature) shall be used.

[[Page 463]]



Sec. 431.305  [Reserved]

                      Energy Conservation Standards



Sec. 431.306  Energy conservation standards and their effective dates.

    (a) Each walk-in cooler or walk-in freezer manufactured on or after 
January 1, 2009, shall--
    (1) Have automatic door closers that firmly close all walk-in doors 
that have been closed to within 1 inch of full closure, except that this 
paragraph shall not apply to doors wider than 3 feet 9 inches or taller 
than 7 feet;
    (2) Have strip doors, spring hinged doors, or other method of 
minimizing infiltration when doors are open;
    (3) Contain wall, ceiling, and door insulation of at least R-25 for 
coolers and R-32 for freezers, except that this paragraph shall not 
apply to glazed portions of doors nor to structural members;
    (4) Contain floor insulation of at least R-28 for freezers;
    (5) For evaporator fan motors of under 1 horsepower and less than 
460 volts, use--
    (i) Electronically commutated motors (brushless direct current 
motors); or
    (ii) 3-phase motors;
    (6) For condenser fan motors of under 1 horsepower, use--
    (i) Electronically commutated motors (brushless direct current 
motors);
    (ii) Permanent split capacitor-type motors; or
    (iii) 3-phase motors; and
    (7) For all interior lights, use light sources with an efficacy of 
40 lumens per watt or more, including ballast losses (if any), except 
that light sources with an efficacy of 40 lumens per watt or less, 
including ballast losses (if any), may be used in conjunction with a 
timer or device that turns off the lights within 15 minutes of when the 
walk-in cooler or walk-in freezer is not occupied by people.
    (b) Each walk-in cooler or walk-in freezer with transparent reach-in 
doors manufactured on or after January 1, 2009, shall also meet the 
following specifications:
    (1) Transparent reach-in doors for walk-in freezers and windows in 
walk-in freezer doors shall be of triple-pane glass with either heat-
reflective treated glass or gas fill.
    (2) Transparent reach-in doors for walk-in coolers and windows in 
walk-in cooler doors shall be--
    (i) Double-pane glass with heat-reflective treated glass and gas 
fill; or
    (ii) Triple-pane glass with either heat-reflective treated glass or 
gas fill.
    (3) If the walk-in cooler or walk-in freezer has an antisweat heater 
without antisweat heat controls, the walk-in cooler and walk-in freezer 
shall have a total door rail, glass, and frame heater power draw of not 
more than 7.1 watts per square foot of door opening (for freezers) and 
3.0 watts per square foot of door opening (for coolers).
    (4) If the walk-in cooler or walk-in freezer has an antisweat heater 
with antisweat heat controls, and the total door rail, glass, and frame 
heater power draw is more than 7.1 watts per square foot of door opening 
(for freezers) and 3.0 watts per square foot of door opening (for 
coolers), the antisweat heat controls shall reduce the energy use of the 
antisweat heater in a quantity corresponding to the relative humidity in 
the air outside the door or to the condensation on the inner glass pane.



            Subpart S_Metal Halide Lamp Ballasts and Fixtures

    Source: 74 FR 12075, Mar. 23, 2009, unless otherwise noted.



Sec. 431.321  Purpose and scope.

    This subpart contains energy conservation requirements for metal 
halide lamp ballasts and fixtures, pursuant to Part A-1 of Title III of 
the Energy Policy and Conservation Act, as amended, 42 U.S.C. 6311-6317.



Sec. 431.322  Definitions concerning metal halide lamp ballasts and 
fixtures.

    Ballast efficiency means, in the case of a high intensity discharge 
fixture, the efficiency of a lamp and ballast combination, expressed as 
a percentage, and calculated in accordance with the following formula: 
Efficiency = Pout/Pin where:
    (1) Pout equals the measured operating lamp wattage;

[[Page 464]]

    (2) Pin equals the measured operating input wattage;
    (3) The lamp, and the capacitor when the capacitor is provided, 
shall constitute a nominal system in accordance with the ANSI C78.43, 
(incorporated by reference; see Sec. 431.323);
    (4) For ballasts with a frequency of 60 Hz, Pin and 
Pout shall be measured after lamps have been stabilized 
according to section 4.4 of ANSI C82.6 (incorporated by reference; see 
Sec. 431.323) using a wattmeter with accuracy specified in section 4.5 
of ANSI C82.6; and
    (5) For ballasts with a frequency greater than 60 Hz, Pin 
and Pout shall have a basic accuracy of 0.5 percent at the higher of either 3 times the output 
operating frequency of the ballast or 2 kHz.
    Metal halide ballast means a ballast used to start and operate metal 
halide lamps.
    Metal halide lamp means a high intensity discharge lamp in which the 
major portion of the light is produced by radiation of metal halides and 
their products of dissociation, possibly in combination with metallic 
vapors.
    Metal halide lamp fixture means a light fixture for general lighting 
application designed to be operated with a metal halide lamp and a 
ballast for a metal halide lamp.
    Probe-start metal halide ballast means a ballast that starts a 
probe-start metal halide lamp that contains a third starting electrode 
(probe) in the arc tube, and does not generally contain an igniter but 
instead starts lamps with high ballast open circuit voltage.
    Pulse-start metal halide ballast means an electronic or 
electromagnetic ballast that starts a pulse-start metal halide lamp with 
high voltage pulses, where lamps shall be started by the ballast first 
providing a high voltage pulse for ionization of the gas to produce a 
glow discharge and then power to sustain the discharge through the glow-
to-arc transition.

                             Test Procedures



Sec. 431.323  Materials incorporated by reference.

    (a) General. We incorporate by reference the following standards 
into Subpart S of Part 431. The material listed 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 regulations 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. 
All approved material is available for inspection at the National 
Archives and Records Administration (NARA). For information on the 
availability of this material at NARA, call 202-741-6030 or go to http:/
/www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html. Also, this material is available for inspection at U.S. 
Department of Energy, Office of Energy Efficiency and Renewable Energy, 
Building Technologies Program, 6th Floor, 950 L'Enfant Plaza, SW., 
Washington, DC 20024, 202-586-2945, between 9 a.m. and 4 p.m., Monday 
through Friday, except Federal holidays, or go to: http://
www1.eere.energy.gov/buildings/appliance--standards/. Standards can be 
obtained from the sources listed below.
    (b) ANSI. American National Standards Institute, 25 W. 43rd Street, 
4th Floor, New York, NY 10036, 212-642-4900, or go to http://
www.ansi.org.
    (1) ANSI C78.43-2004, Revision and consolidation of ANSI C78.1372-
1997, .1374-1997, .1375-1997, .1376-1997, .1377-1997, .1378-1997, .1379-
1997, .1382-1997, .1384-1997, and .1650-2003 (``ANSI C78.43''), American 
National Standard for electric lamps: Single-Ended Metal Halide Lamps, 
approved May 5, 2004, IBR approved for Sec. 431.322;
    (2) ANSI C82.6-2005, Proposed Revision of ANSI C82.6-1985 (``ANSI 
C82.6''), American National Standard for Lamp Ballasts--Ballasts for 
High-Intensity Discharge Lamps--Methods of Measurement, approved 
February 14, 2005, IBR approved for Sec. 431.322;
    (c) NFPA. National Fire Protection Association, 11 Tracy Drive, 
Avon, MA 02322, 1-800-344-3555, or go to http://www.nfpa.org;
    (1) NFPA 70-2002 (``NFPA 70''), National Electrical Code 2002 
Edition, IBR approved for Sec. 431.326;

[[Page 465]]

    (2) [Reserved]
    (e) UL. Underwriters Laboratories, Inc., COMM 2000, 1414 Brook 
Drive, Downers Grove, IL 60515, 1-888-853-3503, or go to http://
www.ul.com.
    (1) UL 1029 (ANSI/UL 1029-2007) (``UL 1029''), Standard for Safety 
High-Intensity-Discharge Lamp Ballasts, 5th edition, May 25, 1994, which 
consists of pages dated May 25, 1994, September 28, 1995, August 3, 
1998, February 7, 2001 and December 11, 2007, IBR approved for Sec. 
431.326.
    (2) [Reserved]



Sec. 431.324  Uniform test method for the measurement of energy 
efficiency of metal halide ballasts.

    (a) Scope. This section provides test procedures for measuring, 
pursuant to EPCA, the energy efficiency of metal halide ballasts.
    (b) Testing and Calculations. [Reserved]

                      Energy Conservation Standards



Sec. 431.326  Energy conservation standards and their effective dates.

    (a) Except as provided in paragraph (b) of this section, each metal 
halide lamp fixture manufactured on or after January 1, 2009, and 
designed to be operated with lamps rated greater than or equal to 150 
watts but less than or equal to 500 watts shall contain--
    (1) A pulse-start metal halide ballast with a minimum ballast 
efficiency of 88 percent;
    (2) A magnetic probe-start ballast with a minimum ballast efficiency 
of 94 percent; or
    (3) A nonpulse-start electronic ballast with either a minimum 
ballast efficiency of 92 percent for wattages greater than 250 watts; or 
a minimum ballast efficiency of 90 percent for wattages less than or 
equal to 250 watts.
    (b) The standards described in paragraph (a) of this section do not 
apply to--
    (1) Metal halide lamp fixtures with regulated lag ballasts;
    (2) Metal halide lamp fixtures that use electronic ballasts that 
operate at 480 volts; or
    (3) Metal halide lamp fixtures that;
    (i) Are rated only for 150 watt lamps;
    (ii) Are rated for use in wet locations; as specified by the 
National Fire Protection Association in NFPA 70 (incorporated by 
reference; see Sec. 431.323); and
    (iii) Contain a ballast that is rated to operate at ambient air 
temperatures above 50 [deg]C, as specified in UL 1029, (incorporated by 
reference; see Sec. 431.323).

Subpart T [Reserved]



                          Subpart U_Enforcement

    Source: 69 FR 61941, Oct. 21, 2004, unless otherwise noted. 
Redesignated at 70 FR 60416, Oct. 18, 2005.



Sec. 431.381  Purpose and scope.

    This subpart describes violations of EPCA's energy conservation 
requirements, specific procedures we will follow in pursuing alleged 
non-compliance of an electric motor with an applicable energy 
conservation standard or labeling requirement, and general procedures 
for enforcement action, largely drawn directly from EPCA, that apply to 
both electric motors and commercial HVAC & WH products.



Sec. 431.382  Prohibited acts.

    (a) Each of the following is a prohibited act under sections 332 and 
345 of the Act:
    (1) Distribution in commerce by a manufacturer or private labeler of 
any ``new covered equipment'' which is not labeled in accordance with an 
applicable labeling rule prescribed in accordance with Section 344 of 
the Act, and in this part;
    (2) Removal from any ``new covered equipment'' or rendering 
illegible, by a manufacturer, distributor, retailer, or private labeler, 
of any label required under this Part to be provided with such covered 
equipment;
    (3) Failure to permit access to, or copying of records required to 
be supplied under the Act and this part, or failure to make reports or 
provide other information required to be supplied under the Act and this 
part;
    (4) Advertisement of an electric motor or motors, by a manufacturer, 
distributor, retailer, or private labeler, in a catalog from which the 
equipment may be purchased, without including in the catalog all 
information as required

[[Page 466]]

by Sec. 431.31(b)(1), provided, however, that this shall not apply to 
an advertisement of an electric motor in a catalog if distribution of 
the catalog began before the effective date of the labeling rule 
applicable to that motor;
    (5) Failure of a manufacturer to supply at his expense a reasonable 
number of units of covered equipment to a test laboratory designated by 
the Secretary;
    (6) Failure of a manufacturer to permit a representative designated 
by the Secretary to observe any testing required by the Act and this 
part, and to inspect the results of such testing; and
    (7) Distribution in commerce by a manufacturer or private labeler of 
any new covered equipment which is not in compliance with an applicable 
energy efficiency standard prescribed under the Act and this part.
    (b) In accordance with sections 333 and 345 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 $110 for 
each violation. Each violation of paragraphs (a)(1), (2), and (7) of 
this section shall constitute a separate violation with respect to each 
unit of any covered equipment, and each day of noncompliance with 
paragraphs (a)(3) through (6) of this section shall constitute a 
separate violation.
    (c) For purposes of this section:
    (1) The term ``new covered equipment'' means covered equipment the 
title of which has not passed to a purchaser who buys such product for 
purposes other than:
    (i) Reselling it; or
    (ii) Leasing it for a period in excess of one year; and
    (2) The term ``knowingly'' means:
    (i) Having actual knowledge; or
    (ii) Presumed to have knowledge deemed to be possessed by a 
reasonable person who acts in the circumstances, including knowledge 
obtainable upon the exercise of due care.



Sec. 431.383  Enforcement process for electric motors.

    (a) Test notice. Upon receiving information in writing, concerning 
the energy performance of a particular electric motor sold by a 
particular manufacturer or private labeler, which indicates that the 
electric motor may not be in compliance with the applicable energy 
efficiency standard, or upon undertaking to ascertain the accuracy of 
the efficiency rating on the nameplate or in marketing materials for an 
electric motor, disclosed pursuant to subpart B of this part, the 
Secretary may conduct testing of that electric motor under this subpart 
by means of a test notice addressed to the manufacturer in accordance 
with the following requirements:
    (1) The test notice procedure will only be followed after the 
Secretary or his/her designated representative has examined the 
underlying test data (or, where appropriate, data as to use of an 
alternative efficiency determination method) provided by the 
manufacturer and after the manufacturer has been offered the opportunity 
to meet with the Department to verify, as applicable, compliance with 
the applicable efficiency standard, or the accuracy of labeling 
information, or both. In addition, where compliance of a basic model was 
certified based on an AEDM, the Department shall have the discretion to 
pursue the provisions of Sec. 431.17(a)(4)(iii) prior to invoking the 
test notice procedure. A representative designated by the Secretary 
shall be permitted to observe any re-verification procedures undertaken 
pursuant to this subpart, and to inspect the results of such 
reverification.
    (2) The test notice will be signed by the Secretary or his/her 
designee. The test notice will be mailed or delivered by the Department 
to the plant manager or other responsible official, as designated by the 
manufacturer.
    (3) The test notice will specify the model or basic model to be 
selected for testing, the method of selecting the test sample, the date 
and 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 
specified basic model is unavailable for testing, and may include 
alternative basic models.
    (4) The Secretary may require in the test notice that the 
manufacturer of an electric motor shall ship at his expense

[[Page 467]]

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 
20.
    (5) Within five working days of the time the units are selected, the 
manufacturer shall ship the specified test units of a basic model to the 
testing laboratory.
    (b) Testing laboratory. Whenever the Department 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 the 
Department to make a determination of compliance or noncompliance if a 
sufficient number of tests have been conducted to satisfy the 
requirements of appendix A of this subpart.
    (c) Sampling. The determination that a manufacturer's basic model 
complies with its labeled efficiency, or the applicable energy 
efficiency standard, shall be based on the testing conducted in 
accordance with the statistical sampling procedures set forth in 
appendix A of this subpart and the test procedures set forth in appendix 
B to subpart B of this part.
    (d) Test unit selection. A Department 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.
    (1) The batch may be subdivided by the Department utilizing criteria 
specified in the test notice.
    (2) 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 non-compliance.
    (3) Individual test units comprising the test sample shall be 
randomly selected from the batch sample.
    (4) 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.
    (e) Test unit preparation. (1) Prior to and during the testing, a 
test unit selected in accordance with paragraph (d) of this section 
shall not be prepared, modified, or adjusted in any manner unless such 
preparation, modification, or adjustment is allowed by the applicable 
Department of Energy test procedure. One test shall be conducted for 
each test unit in accordance with the applicable test procedures 
prescribed in appendix B to subpart B of this part.
    (2) No quality control, testing, or assembly procedures shall be 
performed on a test unit, or any parts and sub-assemblies thereof, that 
is not performed during the production and assembly of all other units 
included in the basic model.
    (3) 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 the Department. The 
Department shall authorize testing of an additional unit on a case-by-
case basis.
    (f) Testing at manufacturer's option. (1) If a manufacturer's basic 
model is determined to be in noncompliance with the applicable energy 
performance standard at the conclusion of Department testing in 
accordance with the sampling plan specified in appendix A of this 
subpart, the manufacturer may request that the Department conduct 
additional testing of the basic model according to procedures set forth 
in appendix A of this subpart.
    (2) All units tested under this paragraph shall be selected and 
tested in accordance with the provisions given in paragraphs (a) through 
(e) of this section.
    (3) The manufacturer shall bear the cost of all testing conducted 
under this paragraph.
    (4) The manufacturer shall cease distribution of the basic model 
tested under the provisions of this paragraph from the time the 
manufacturer elects to exercise the option provided in this paragraph 
until the basic model is determined to be in compliance. The Department 
may seek civil penalties for

[[Page 468]]

all units distributed during such period.
    (5) If the additional testing results in a determination of 
compliance, a notice of allowance to resume distribution shall be issued 
by the Department.



Sec. 431.384  [Reserved]



Sec. 431.385  Cessation of distribution of a basic model of an electric
motor.

    (a) In the event that a model of an electric motor is determined 
non-compliant by the Department in accordance with Sec. 431.192 or if a 
manufacturer or private labeler determines a model of an electric motor 
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 the 
Department 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 non-compliant 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 to 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. 431.386  Remedies.

    If the Secretary determines that a basic model of any covered 
equipment does not comply with an applicable energy conservation 
standard:
    (a) The Secretary 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 units of such a basic model unless the manufacturer, private 
labeler or other person as required, delivers, within 15 calendar days, 
a satisfactory statement to the Secretary, of the steps the 
manufacturer, private labeler or other person will take to insure that 
the noncompliant basic model will no longer be distributed in commerce. 
The Secretary 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 basic model, 
the Secretary may seek to restrain such violation in accordance with 
sections 334 and 345 of the Act.
    (c) The Secretary will determine whether the facts of the case 
warrant the assessment of civil penalties for knowing violations in 
accordance with sections 333 and 345 of the Act.



Sec. 431.387  Hearings and appeals.

    (a) Under sections 333(d) and 345 of the Act, before issuing an 
order assessing a civil penalty against any person, the Secretary must 
provide to such a person a notice of the proposed penalty. Such notice 
must inform the person that such person can choose (in writing within 30 
days after receipt of the 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 a person elects, within 30 calendar days after receipt 
of a notice under paragraph (a) of this section, to have paragraph (c) 
of this section apply with respect to the civil penalty under paragraph 
(a), the Secretary will assess the penalty, by order, after providing an 
opportunity for an agency hearing under 5 U.S.C. 554, before an 
administrative law judge appointed

[[Page 469]]

under 5 U.S.C. 3105, and making a determination of violation on the 
record. Such assessment order will include the administrative law 
judge's findings and the basis for such assessment.
    (2) Any person against whom the Secretary assesses a penalty under 
this paragraph may, within 60 calendar days after the date of the order 
assessing such penalty, initiate action in the United States Court of 
Appeals for the appropriate judicial circuit for judicial review of such 
order in accordance with 5 U.S.C. chapter 7. The court will 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 paragraph have been elected, the Secretary will 
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 person has not paid the civil penalty within 60 calendar 
days after the assessment has been made under paragraph (c)(1) of this 
section, the Secretary will institute an action in the appropriate 
District Court of the United States for an order affirming the 
assessment of the civil penalty. The court will have authority to review 
de novo the law and the facts involved and 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 can only be revoked 
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 will 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 will not be subject to review.
    (e)(1) In accordance with the provisions of sections 333(d)(5)(A) 
and 345 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 General Counsel of the Department of Energy (or 
any attorney or attorneys within DOE designated by the Secretary) will 
represent the Secretary, and will 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 will consult with the Attorney General concerning such 
litigation and the Attorney General will provide, on request, such 
assistance in the conduct of such litigation as may be appropriate.
    (2) In accordance with the provisions of sections 333(d)(5)(B) and 
345 of the Act, and subject to the provisions of Section 502(c) of the 
Department of Energy Organization Act, the Secretary will 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) and 
345 of the Act, Section 402(d) of the Department of Energy Organization 
Act will not apply with respect to the function of the Secretary under 
this section.



Sec. Appendix A to Subpart U of Part 431--Sampling Plan for Enforcement 
                       Testing of Electric Motors

    Step 1. The first sample size (n1) must be five 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] TR83AD04.005

where Xi is the measured full-load efficiency of unit i.

[[Page 470]]

    Step 3. Compute the sample standard deviation (S1) of the 
measured full-load efficiency of the n1 units in the first 
sample as follows:
[GRAPHIC] [TIFF OMITTED] TR83AD04.006

    Step 4. Compute the standard error (SE(X1)) of the mean 
full-load efficiency of the first sample as follows:
[GRAPHIC] [TIFF OMITTED] TR83AD04.007

    Step 5. Compute the lower control limit (LCL1) for the 
mean of the first sample using RE as the desired mean as follows:
[GRAPHIC] [TIFF OMITTED] TR83AD04.008

where: RE is the applicable EPCA nominal full-load efficiency when the 
test is to determine compliance with the applicable statutory standard, 
or is the labeled nominal full-load efficiency when the test is to 
determine compliance with the labeled efficiency value, and t is the 
2.5th percentile of a t-distribution for a sample size of n1, 
which yields a 97.5 percent confidence level for a one-tailed t-test.
    Step 6. Compare the mean of the first sample (X1) with 
the lower control limit (LCL1) to determine one of the 
following:
    (i) If the mean of the first sample is below the lower control 
limit, then the basic model is in non-compliance and testing is at an 
end.
    (ii) If the mean is equal to or greater than the lower control 
limit, no final determination of compliance or non-compliance can be 
made; proceed to Step 7.
    Step 7. Determine the recommended sample size (n) as follows:
    [GRAPHIC] [TIFF OMITTED] TR83AD04.009
    
where S1, RE and t have the values used in Steps 3 and 5, 
respectively. The factor
[GRAPHIC] [TIFF OMITTED] TR83AD04.010

is based on a 20 percent tolerance in the total power loss at full-load 
and fixed output power.
    Given the value of n, determine one of the following:
    (i) If the value of n is less than or equal to n1 and if 
the mean energy efficiency of the first sample (X1) is equal 
to or greater than the lower control limit (LCL1), the basic 
model is in compliance and testing is at an end.
    (ii) If the value of n is greater than n1, the basic model is in 
non-compliance. The size of a second sample n2 is determined 
to be the smallest integer equal to or greater than the difference n-
n1. If the value of n2 so calculated is greater 
than 20-n1, set n2 equal to 20-n1.
    Step 8. Compute the combined (X2) mean of the measured 
energy performance of the n1 and n2 units of the 
combined first and second samples as follows:
[GRAPHIC] [TIFF OMITTED] TR83AD04.011

    Step 9. Compute the standard error (SE(X2)) of the mean 
full-load efficiency of the n1 and n2 units in the 
combined first and second samples as follows:
[GRAPHIC] [TIFF OMITTED] TR83AD04.012

(Note that S1 is the value obtained above in Step 3.)
    Step 10. Set the lower control limit (LCL2) to,
    [GRAPHIC] [TIFF OMITTED] TR83AD04.013
    
where t has the value obtained in Step 5, and 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), the basic model is in non-
compliance 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), 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 10, of 
this appendix A, 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 full-load efficiency, standard error, and 
lower control limit of the new combined sample in accordance with the 
procedures prescribed in Steps 8, 9, and 10, of this appendix A.
    Step C. Compare the mean performance of the new combined sample to 
the lower control limit (LCL2) to determine one of the 
following:
    (a) If the new combined sample mean is equal to or greater than the 
lower control

[[Page 471]]

limit, the basic model is in compliance and testing is at an end.
    (b) If the new combined sample mean is less than the lower control 
limit 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.
    (c) Otherwise, the basic model is determined to be in non-
compliance.



                      Subpart V_General Provisions

    Source: 69 FR 61941, Oct. 21, 2004, unless otherwise noted. 
Redesignated at 70 FR 60417, Oct. 18, 2005.



Sec. 431.401  Petitions for waiver, and applications for interim 
waiver, of test procedure.

    (a) General criteria. (1) Any interested person may submit a 
petition to waive for a particular basic model any requirements of 
Sec. Sec. 431.16, 431.76, 431.86, 431.96, and 431.106 of this part, 
upon the grounds that either the basic model contains one or more design 
characteristics which 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 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) Submission, content, and publication. (1) You must submit your 
Petition for Waiver in triplicate, to the Assistant Secretary for Energy 
Efficiency and Renewable Energy, U.S. Department of Energy. Each 
Petition for Waiver must:
    (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 must 
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 the characteristics of the basic model in a manner 
representative of its energy consumption; and
    (iv) Be signed by you 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 will 
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 will solicit comments, 
data and information with respect to the determination of the petition.
    (2) You must submit any Application for Interim Waiver in 
triplicate, with the required three copies of the Petition for Waiver, 
to the Assistant Secretary for Energy Efficiency and Renewable Energy, 
U.S. Department of Energy. Each Application for Interim Waiver must 
reference the Petition for Waiver by identifying the particular basic 
model(s) for which you seek a waiver and temporary exception. Each 
Application for Interim Waiver must demonstrate likely success of the 
Petition for Waiver and address what economic hardship and/or 
competitive disadvantage is likely to result absent a favorable 
determination on the Application for Interim Waiver. You or an 
authorized representative must sign the Application for Interim Waiver.
    (c) Notification to other manufacturers. (1) After filing a Petition 
for Waiver with DOE, and after DOE has published the Petition for Waiver 
in the Federal Register, you must, within five working days of such 
publication, notify in writing all known manufacturers of domestically 
marketed units of the same product type (as defined in Section 340(1) of 
the Act) and must include in the notice a statement that DOE has 
published in the Federal Register on a certain date the Petition for 
Waiver

[[Page 472]]

and supporting documents from which confidential information, if any, as 
determined by DOE, has been deleted in accordance with 10 CFR 1004.11. 
In complying with the requirements of this paragraph, you must file with 
DOE a statement certifying the names and addresses of each person to 
whom you have sent a notice of the Petition for Waiver.
    (2) If you apply for Interim Waiver, whether filing jointly with or 
subsequent to your Petition for Waiver with DOE, you must concurrently 
notify in writing all known manufacturers of domestically marketed units 
of the same product type (as defined in Section 340(1) of the Act), and 
must 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, 
you must in the written notification include a statement that the 
Assistant Secretary for Energy Efficiency and Renewable Energy will 
receive and consider timely written comments on the Application for 
Interim Waiver. Upon filing an Application for Interim Waiver, you must 
in complying with the requirements of this paragraph certify to DOE that 
a copy of these documents has been sent to all known manufacturers of 
domestically marked units of the same product type (as listed in Section 
340(1) of the Act). Such certification must include the names and 
addresses of such persons. You must comply with the provisions of 
paragraph (c)(1) of this Section with respect to the petition for 
waiver.
    (d) Comments; responses to comments. (1) Any person submitting 
written comments to DOE with respect to an Application for Interim 
Waiver must also send a copy of the comments to the applicant.
    (2) Any person submitting written comments to DOE with the respect 
to a Petition for Waiver must also send a copy of such comments to the 
petitioner. In accordance with paragraph (b)(1) of this section, a 
petitioner may submit a rebuttal statement to the Assistant Secretary 
for Energy Efficiency and Renewable Energy.
    (e) Provisions specific to interim waivers--(1) Disposition of 
application. If administratively feasible, DOE will notify the applicant 
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 will be published in 
the Federal Register.
    (2) Consequences of filing application. The filing of an Application 
for Interim Waiver will not constitute grounds for noncompliance with 
any requirements of this subpart, until an Interim Waiver has been 
granted.
    (3) Criteria for granting. The Assistant Secretary for Energy 
Efficiency and Renewable Energy will grant an Interim Waiver from test 
procedure requirements if he or she determines 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 if 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.
    (4) Duration. An interim waiver will terminate 180 days after 
issuance or upon the determination on the Petition for Waiver, whichever 
occurs first. DOE may extend an interim waiver for up to 180 days or 
modify its terms based on relevant information contained in the record 
and any comments received subsequent to issuance of the interim waiver. 
DOE will publish in the Federal Register notice of such extension and/or 
any modification of the terms or duration of the interim waiver.
    (f) Provisions specific to waivers--(1) Rebuttal by petitioner. 
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 
Energy Efficiency and Renewable Energy. A petitioner may rebut more than 
one response in a single rebuttal statement.
    (2) Disposition of petition. DOE will notify the petitioner in 
writing as soon as practicable of the disposition of each Petition for 
Waiver. The Assistant Secretary for Energy Efficiency and Renewable 
Energy will issue a decision on the petition as soon as is practicable

[[Page 473]]

following receipt and review of the Petition for Waiver and other 
applicable documents, including, but not limited to, comments and 
rebuttal statements.
    (3) Consequence of filing petition. The filing of a Petition for 
Waiver will not constitute grounds for noncompliance with any 
requirements of this subpart, until a waiver or interim waiver has been 
granted.
    (4) Granting: criteria, conditions, and publication. The Assistant 
Secretary for Energy Efficiency and Renewable Energy will grant a waiver 
if he or she determines that either the basic model for which the waiver 
was requested contains a design characteristic which 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 data. The Assistant Secretary 
for Energy Efficiency and Renewable Energy may grant a waiver subject to 
conditions, which may include adherence to alternate test procedures. 
DOE will promptly publish in the Federal Register notice of each waiver 
granted or denied, and any limiting conditions of each waiver granted.
    (g) Revision of regulation. Within one year of the granting of any 
waiver, the Department will publish in the Federal Register a notice of 
proposed rulemaking to amend our regulations so as to eliminate any need 
for the continuation of such waiver. As soon thereafter as practicable, 
the Department will publish in the Federal Register a final rule. Such 
waiver will terminate on the effective date of such final rule.
    (h) Exhaustion of remedies. 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.



Sec. 431.402  Preemption of State regulations for commercial HVAC &
WH products.

    Beginning on the effective date of such standard, an energy 
conservation standard set forth in this Part for a commercial HVAC & WH 
product supersedes any State or local regulation concerning the energy 
efficiency or energy use of that product, except as provided for in 
Section 345(b)(2)(B)-(D) of the Act.



Sec. 431.403  Maintenance of records.

    (a) If you are the manufacturer of any covered equipment, you must 
establish, maintain and retain records of the following:
    (1) The test data for all testing conducted pursuant to this part;
    (2) For electric motors, the development, substantiation, 
application, and subsequent verification of any AEDM used under this 
part; and
    (3) For electric motors, any written certification received from a 
certification program, including a certificate or conformity, relied on 
under the provisions of this part.
    (b) You must organize such records and index them so that they are 
readily accessible for review. The records must include the supporting 
test data associated with tests performed on any test units to satisfy 
the requirements of this Part (except tests performed by us directly).
    (c) For each basic model, you must retain all such records for a 
period of two years from the date that production of all units of that 
basic model has ceased. You must retain records in a form allowing ready 
access to DOE, upon request.



Sec. 431.404  Imported equipment.

    (a) Under sections 331 and 345 of the Act, any person importing any 
covered equipment into the United States must comply with the provisions 
of the Act and of this part, and is subject to the remedies of this 
part.
    (b) Any covered equipment offered for importation in violation of 
the Act and of this part will 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 equipment 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 
equipment

[[Page 474]]

will not violate the Act and this part, or will be exported or abandoned 
to the United States.



Sec. 431.405  Exported equipment.

    Under Sections 330 and 345 of the Act, this Part does not apply to 
any covered equipment if:
    (a) Such equipment is manufactured, sold, or held for sale for 
export from the United States (or such equipment was imported for 
export), unless such equipment is, in fact, distributed in commerce for 
use in the United States; and,
    (b) Such equipment, when distributed in commerce, or any container 
in which it is enclosed when so distributed, bears a stamp or label 
stating that such covered equipment is intended for export.



Sec. 431.406  Subpoena.

    Pursuant to sections 329(a) and 345 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. 431.407  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 from public disclosure should submit one complete copy, and 15 
copies from which the information believed to be confidential has been 
deleted. In accordance with the procedures established at 10 CFR 
1004.11, the Department shall make its own determination with regard to 
any claim that information submitted be exempt from public disclosure.



    Subpart W_Petitions To Exempt State Regulation From Preemption; 
           Petitions To Withdraw Exemption of State Regulation

    Source: 69 FR 61941, Oct. 21, 2004, unless otherwise noted. 
Redesignated at 70 FR 60417, Oct. 18, 2005.



Sec. 431.421  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 equipment 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 equipment.



Sec. 431.422  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 covered equipment for which a Federal 
energy conservation standard is applicable, the Secretary shall 
prescribe a rule that such standard not be preempted if he/she 
determines that the State has established by a preponderance of 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 from 
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

[[Page 475]]

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 equipment 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 equipment 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 equipment in 
the State; the extent to which the State regulation would cause a burden 
to manufacturers to redesign and produce the covered equipment 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 equipment 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 
commercial and industrial equipment efficiency requirements and the 
cumulative impact such requirements would have. The Secretary may not 
prescribe such a rule if he/she finds that such a rule will result in 
the unavailability in the State of any covered equipment (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)(vi) 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 equipment 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 covered equipment 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

[[Page 476]]

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;
    (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 covered equipment, 
when the Federal energy conservation standard for such equipment 
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 equipment 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.
    (2) [Reserved]



Sec. 431.423  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,

[[Page 477]]

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.
    (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 Energy 
Efficiency and Renewable Energy, U.S. Department of Energy, Section 327 
Petitions, Building Technologies, EE-2J, 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. 431.212 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 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. 431.424  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. 431.425  Consolidation.

    DOE may consolidate any or all matters at issue in two or more 
proceedings docketed where there exist common parties, common questions 
of

[[Page 478]]

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. 431.426  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. 431.427  Disposition of petitions.

    (a) After the submission of public comments under Sec. 431.213(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 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. 431.428  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. 431.429  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. 431.430  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 covered equipment 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 X_Small Electric Motors

    Source: 74 FR 32072, July 7, 2009, unless otherwise noted.

[[Page 479]]



Sec. 431.441  Purpose and scope.

    This subpart contains definitions, test procedures, and energy 
conservation requirements for small electric motors, pursuant to Part A-
1 of Title III of the Energy Policy and Conservation Act, as amended, 42 
U.S.C. 6311-6317.



Sec. 431.442  Definitions.

    The following definitions are applicable to this subpart:
    Alternative efficiency determination method, or AEDM, means, with 
respect to a small electric motor, a method of calculating the total 
power loss and average full-load efficiency.
    Average full-load efficiency means the arithmetic mean of the full-
load efficiencies of a population of small electric motors of duplicate 
design, where the full-load efficiency of each motor in the population 
is the ratio (expressed as a percentage) of the motor's useful power 
output to its total power input when the motor is operated at its full 
rated load, rated voltage, and rated frequency.
    Basic model means, with respect to a small electric motor, all units 
of a given type of small electric motor (or class thereof) manufactured 
by a single manufacturer, and which have the same rating, have 
electrical characteristics that are essentially identical, and do not 
have any differing physical or functional characteristics that affect 
energy consumption or efficiency. For the purpose of this definition, 
``rating'' means a combination of the small electric motor's group 
(i.e., capacitor-start, capacitor-run; capacitor-start, induction-run; 
or polyphase), horsepower rating (or standard kilowatt equivalent), and 
number of poles with respect to which Sec. 431.446 prescribes nominal 
full load efficiency standards.
    CAN/CSA means Canadian Standards Association.
    DOE or the Department means the U.S. Department of Energy.
    EPCA means the Energy Policy and Conservation Act, as amended, 42 
U.S.C. 6291-6317.
    IEC means International Electrotechnical Commission.
    IEEE means Institute of Electrical and Electronics Engineers, Inc.
    NEMA means National Electrical Manufacturers Association.
    Small electric motor means a NEMA general purpose alternating 
current single-speed induction motor, built in a two-digit frame number 
series in accordance with NEMA Standards Publication MG1-1987, including 
IEC metric equivalent motors.

                             Test Procedures



Sec. 431.443  Materials incorporated by reference.

    (a) General. The Department incorporates by reference the following 
standards into Subpart X of part 431. The Director of the Federal 
Register has approved the material listed in paragraph (b) of this 
section for incorporation by reference 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 the DOE amends its test procedures. DOE incorporates 
the material 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. 
All approved material is available for inspection at the National 
Archives and Records Administration (NARA). For information on the 
availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/federal--register/code--of--federal--
regulations/ibr--locations.html. Also, this material is available for 
inspection at U.S. Department of Energy, Office of Energy Efficiency and 
Renewable Energy, Building Technologies Program, Sixth Floor, 950 
L'Enfant Plaza, SW., Washington, DC 20024, (202) 586-2945, or go to 
http://www1.eere.energy.gov/buildings/appliance--standards/. Standards 
can be obtained from the sources below.
    (b) CAN/CSA. Canadian Standards Association, Sales Department, 5060 
Spectrum Way, Suite 100, Mississauga, Ontario, L4W 5N6, Canada, 1-800-
463-6727, or go to http://www.shopcsa.ca/onlinestore/welcome.asp.
    (1) CAN/CSA-C747-94 (``CAN/CSA-C747'') (Reaffirmed 2005), Energy 
Efficiency Test Methods for Single- and

[[Page 480]]

Three-Phase Small Motors, IBR approved for Sec. 431.444.
    (2) [Reserved]
    (c) IEEE. Institute of Electrical and Electronics Engineers, Inc., 
445 Hoes Lane, P.O. Box 1331, Piscataway, NJ 08855-1331, 1-800-678-IEEE 
(4333), or go to http://www.ieee.org/web/publications/home/index.html.
    (1) IEEE Std 112TM-2004 (Revision of IEEE Std 112-1996) 
(``IEEE Std 112''), IEEE Standard Test Procedure for Polyphase Induction 
Motors and Generators, approved February 9, 2004, IBR approved for Sec. 
431.444.
    (2) IEEE Std 114-2001TM (Revision of IEEE Std 114-1982) 
(``IEEE Std 114''), IEEE Standard Test Procedure for Single-Phase 
Induction Motors, approved December 6, 2001, IBR approved for Sec. 
431.444.



Sec. 431.444  Test procedures for the measurement of energy efficiency.

    (a) Scope. Pursuant to section 346(b)(1) of EPCA, this section 
provides the test procedures for measuring, pursuant to EPCA, the 
efficiency of small electric motors pursuant to EPCA. (42 U.S.C. 
6317(b)(1)) For purposes of this Part 431 and EPCA, the test procedures 
for measuring the efficiency of small electric motors shall be the test 
procedures specified in Sec. 431.444(b).
    (b) Testing and Calculations. Determine the energy efficiency and 
losses by using one of the following test methods:
    (1) Single-phase small electric motors: either IEEE Std 114, 
(incorporated by reference, see Sec. 431.443), or CAN/CSA C747, 
(incorporated by reference, see Sec. 431.443);
    (2) Polyphase small electric motors less than or equal to 1 
horsepower (0.746 kW): IEEE Std 112 (incorporated by reference, see 
Sec. 431.443), Test Method A; or
    (3) Polyphase small electric motors greater than 1 horsepower (0.746 
kW): IEEE Std 112 (incorporated by reference, see Sec. 431.443), Test 
Method B.



Sec. 431.445  Determination of small electric motor efficiency.

    (a) Scope. When a party determines the energy efficiency of a small 
electric motor to comply with an obligation imposed on it by or pursuant 
to Part A-1 of Title III of EPCA, 42 U.S.C. 6311-6317, this section 
applies.
    (b) Provisions applicable to all small electric motors--(1) General 
requirements. The average full-load efficiency of each basic model of 
small electric motor must be determined either by testing in accordance 
with Sec. 431.444 of this subpart, or by application of an alternative 
efficiency determination method (AEDM) that meets the requirements of 
paragraphs (a)(2) and (3) of this section, provided, however, that an 
AEDM may be used to determine the average full-load efficiency of one or 
more of a manufacturer's basic models only if the average full-load 
efficiency of at least five of its other basic models is determined 
through testing.
    (2) Alternative efficiency determination method. An AEDM applied to 
a basic model must be:
    (i) Derived from a mathematical model that represents the mechanical 
and electrical characteristics of that basic model, and
    (ii) Based on engineering or statistical analysis, computer 
simulation or modeling, or other analytic evaluation of performance 
data.
    (3) Substantiation of an alternative efficiency determination 
method. Before an AEDM is used, its accuracy and reliability must be 
substantiated as follows:
    (i) The AEDM must be applied to at least five basic models that have 
been tested in accordance with Sec. 431.444; and
    (ii) The predicted total power loss for each such basic model, 
calculated by applying the AEDM, must be within plus or minus 10 percent 
of the mean total power loss determined from the testing of that basic 
model.
    (4) Subsequent verification of an AEDM. (i) Each manufacturer that 
has used an AEDM under this section shall have available for inspection 
by the Department of Energy records showing the method or methods used; 
the mathematical model, the engineering or statistical analysis, 
computer simulation or modeling, and other analytic evaluation of 
performance data on which the AEDM is based; complete test data,

[[Page 481]]

product information, and related information that the manufacturer has 
generated or acquired pursuant to paragraph (a)(3) of this section; and 
the calculations used to determine the efficiency and total power losses 
of each basic model to which the AEDM was applied.
    (ii) If requested by the Department, the manufacturer shall conduct 
simulations to predict the performance of particular basic models of 
small electric motors specified by the Department, analyses of previous 
simulations conducted by the manufacturer, sample testing of basic 
models selected by the Department, or a combination of the foregoing.
    (c) Additional testing requirements--(1) Selection of basic models 
for testing if an AEDM is to be applied.
    (i) A manufacturer must select basic models for testing in 
accordance with the criteria that follow:
    (A) Two of the basic models must be among the five basic models with 
the highest unit volumes of production by the manufacturer in the prior 
year, or during the prior 12-month period before the effective date of 
the energy efficiency standard, whichever is later, and in identifying 
these five basic models, any small electric motor that does not comply 
with Sec. 431.446 shall be excluded from consideration;
    (B) The basic models should be of different horsepower ratings 
without duplication;
    (C) At least one basic model should be selected from each of the 
frame number series for the designs of small electric motors for which 
the AEDM is to be used; and
    (D) Each basic model should have the lowest nominal full-load 
efficiency among the basic models with the same rating (``rating'' as 
used here has the same meaning as it has in the definition of ``basic 
model'').
    (ii) If it is impossible for a manufacturer to select basic models 
for testing in accordance with all of these criteria, the criteria shall 
be given priority in the order in which they are listed. Within the 
limits imposed by the criteria, basic models shall be selected randomly.
    (2) [Reserved]

                      Energy Conservation Standards



Sec. 431.446  Small electric motors energy conservation standards and
their effective dates. [Reserved]



PART 433_ENERGY EFFICIENCY STANDARDS FOR THE DESIGN AND CONSTRUCTION 
OF NEW FEDERAL COMMERCIAL AND MULTI-FAMILY HIGH-RISE RESIDENTIAL 

BUILDINGS--Table of Contents




Sec.
433.1 Purpose and scope.
433.2 Definitions.
433.3 Materials incorporated by reference.
433.4 Energy efficiency performance standard.
433.5 Performance level determination.
433.6 Sustainable principles for siting, design and construction. 
          [Reserved]
433.7 Water used to achieve energy efficiency. [Reserved]
433.8 Life-cycle costing.

    Authority: 42 U.S.C. 6831-6832, 6834-6835; 42 U.S.C. 7101 et seq.

    Source: 71 FR 70281, Dec. 4, 2006, unless otherwise noted.



Sec. 433.1  Purpose and scope.

    This part establishes an energy efficiency performance standard for 
the new Federal commercial and multi-family high-rise buildings, for 
which design for construction began on or after January 3, 2007, as 
required by section 305(a) of the Energy Conservation and Production 
Act, as amended (42 U.S.C. 6834(a)).



Sec. 433.2  Definitions.

    For purposes of this part, the following terms, phrases and words 
are defined as follows:
    ANSI means the American National Standards Institute.
    ASHRAE means the American Society of Heating, Refrigerating and Air-
Conditioning Engineers.
    Baseline building means a building that is otherwise identical to 
the proposed building but is designed to meet but not exceed the energy 
efficiency specifications of ANSI/ASHRAE/IESNA Standard 90.1-2004, 
Energy Standard for Buildings Except Low-Rise Residential Buildings, 
January 2004 (incorporated by reference, see Sec. 433.3).

[[Page 482]]

    Commercial and multi-family high-rise residential building means all 
buildings other than low-rise residential buildings.
    Design for construction means the stage when the energy efficiency 
and sustainability details (such as insulation levels, HVAC systems, 
water-using systems, etc.) are either explicitly determined or 
implicitly included in a project cost specification.
    DOE means the U.S. Department of Energy.
    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.
    IESNA means Illuminating Engineering Society of North America.
    Life-cycle cost means the total cost related to energy conservation 
measures of owning, operating and maintaining a building over its useful 
life as determined in accordance with 10 CFR part 436.
    Life-cycle cost-effective means that the proposed building has a 
lower life-cycle cost than the life-cycle costs of the baseline 
building, as described by 10 CFR 436.19, or has a positive estimated net 
savings, as described by 10 CFR 436.20; or has a savings-to-investment 
ratio estimated to be greater than one, as described by 10 CFR 436.21; 
or has an adjusted internal rate of return, as described by 10 CFR 
436.22, that is estimated to be greater than the discount rate as listed 
in OMB Circular Number A-94 (Guidelines and Discount Rates for Benefit-
Cost Analysis of Federal Programs.''
    Low-rise residential building means any building three stories or 
less in height above grade that includes sleeping accommodations where 
the occupants are primarily permanent in nature (30 days or more).
    New Federal building means any building to be constructed on a site 
that previously did not have a building or a complete replacement of an 
existing building from the foundation up, by, or for the use of, any 
Federal agency which is not legally subject to State or local building 
codes or similar requirements.
    Process load means the load on a building resulting from energy 
consumed in support of a manufacturing, industrial, or commercial 
process. Process loads do not include energy consumed maintaining 
comfort and amenities for the occupants of the building (including space 
conditioning for human comfort).
    Proposed building means the building design of a new Federal 
commercial and multi-family high-rise building proposed for 
construction.
    Receptacle load means the load on a building resulting from energy 
consumed by any equipment plugged into electrical outlets.

[71 FR 70281, Dec. 4, 2006, as amended at 72 FR 72570, Dec. 21, 2007]



Sec. 433.3  Materials incorporated by reference.

    (a) General. DOE incorporates by reference the energy performance 
standard listed in paragraph (b) of this section into 10 CFR part 433. 
The Director of the Federal Register has approved the material listed in 
paragraph (b) of this section for incorporation by reference in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Any subsequent 
amendment to this material by the standard-setting organization will not 
affect the DOE building energy performance standard unless and until DOE 
amends its building energy performance standards. DOE incorporates the 
material as it exists on the date specified in the approval and a notice 
of any change in the material will be published in the Federal Register.
    (b) List of standards incorporated by reference. ANSI/ASHRAE/IESNA 
Standard 90.1-2004, Energy Standard for Buildings Except Low-Rise 
Residential Buildings, January 2004, American Society of Heating 
Refrigerating and Air-Conditioning Engineers, Inc., ISSN 1041-2336.
    (c) Availability of references. The building energy performance 
standard incorporated by reference is available for inspection at:
    (1) National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call (202) 
741-6030, or go to: http://www.archives.gov/

[[Page 483]]

federal--register/code--of--federal--regulations/ibr--locations.html
    (2) U.S. Department of Energy, Forrestal Building, Room 1M-048 
(Resource Room of the Federal Energy Management Program), 1000 
Independence Avenue, SW., Washington, DC 20585-0121, (202) 586-9138, 
between 9 a.m. and 4 p.m., Monday through Friday, except Federal 
holidays.
    (d) Obtaining copies of standards. The building energy performance 
standard incorporated by reference may be obtained from the American 
Society of Heating Refrigerating and Air-Conditioning Engineers, 1791 
Tullie Circle, NE., Atlanta, GA, 30329, http://
resourcecenter.ashrae.org/store/ashrae/.



Sec. 433.4  Energy efficiency performance standard.

    (a) All Federal agencies shall design new Federal commercial and 
multi-family high-rise residential buildings, for which design for 
construction began on or after January 3, 2007, to:
    (1) Meet ANSI/ASHRAE/IESNA Standard 90.1-2004, Energy Standard for 
Buildings Except Low-Rise Residential Buildings, January 2004 
(incorporated by reference, see 433.3); and
    (2) If life-cycle cost-effective, achieve energy consumption levels, 
calculated consistent with paragraph (b) of this section, that are at 
least 30 percent below the levels of the baseline building.
    (b) Energy consumption for the purposes of calculating the 30 
percent savings shall include space heating, space cooling, ventilation, 
service water heating, lighting and all other energy consuming systems 
normally specified as part of the building design except for receptacle 
and process loads.
    (c) If a 30 percent reduction is not life-cycle cost-effective, the 
design of the proposed building shall be modified so as to achieve an 
energy consumption level at or better than the maximum level of energy 
efficiency that is life-cycle cost-effective, but at a minimum complies 
with paragraph (a) of this section.

[71 FR 70281, Dec. 4, 2006, as amended at 72 FR 72570, Dec. 21, 2007]



Sec. 433.5  Performance level determination.

    (a) Each Federal agency shall determine energy consumption levels 
for both the baseline building and proposed building by using the 
Performance Rating Method found in Appendix G of ANSI/ASHRAE/IESNA 
Standard 90.1-2004, Energy Standard for Buildings Except Low-Rise 
Residential Buildings, January 2004 (incorporated by reference, see ( 
433.3), except the formula for calculating the Performance Rating in 
paragraph G1.2 shall read as follows:
    Percentage improvement = 100 x (Baseline building consumption--
Proposed building consumption)/ (Baseline building consumption--
Receptacle and process loads).
    (b) Each Federal agency shall consider laboratory fume hoods and 
kitchen ventilation systems as part of the ASHRAE-covered HVAC loads 
subject to the 30 percent savings requirements, rather than as process 
loads.



Sec. 433.6  Sustainable principles for siting, design and construction.
[Reserved]



Sec. 433.7  Water used to achieve energy efficiency. [Reserved]



Sec. 433.8  Life-cycle costing.

    Each Federal agency shall determine life-cycle cost-effectiveness by 
using the procedures set out in subpart A of part 436. A Federal agency 
may choose to use any of four methods, including lower life-cycle costs, 
positive net savings, savings-to-investment ratio that is estimated to 
be greater than one, and an adjusted internal rate of return that is 
estimated to be greater than the discount rate as listed in OMB Circular 
Number A-94 ``Guidelines and Discount Rates for Benefit-Cost Analysis of 
Federal Programs.''



PART 434_ENERGY CODE FOR NEW FEDERAL COMMERCIAL AND MULTI-FAMILY HIGH
RISE RESIDENTIAL BUILDINGS--Table of Contents




Sec.
434.99 Explanation of numbering system for codes.

[[Page 484]]

            Subpart A_Administration and Enforcement_General

434.100 Purpose.
434.101 Scope.
434.102 Compliance.
434.103 Referenced standards (RS).
434.105 Materials and equipment.

                          Subpart B_Definitions

434.201 Definitions.

                       Subpart C_Design Conditions

434.301 Design criteria.

  Subpart D_Building Design Requirements_Electric Systems and Equipment

434.401 Electrical power and lighting systems.
434.402 Building envelope assemblies and materials.
434.403 Building mechanical systems and equipment.
434.404 Building service systems and equipment.

          Subpart E_Building Energy Cost Compliance Alternative

434.501 General.
434.502 Determination of the annual energy cost budget.
434.503 Prototype building procedure.
434.504 Use of the prototype building to determine the energy cost 
          budget.
434.505 Reference building method.
434.506 Use of the reference building to determine the energy cost 
          budget.
434.507 Calculation procedure and simulation tool.
434.508 Determination of the design energy consumption and design energy 
          cost.
434.509 Compliance.
434.510 Standard calculation procedure.
434.511 Orientation and shape.
434.512 Internal loads.
434.513 Occupancy.
434.514 Lighting.
434.515 Receptacles.
434.516 Building exterior envelope.
434.517 HVAC systems and equipment.
434.518 Service water heating.
434.519 Controls.
434.520 Speculative buildings.
434.521 The simulation tool.

            Subpart F_Building Energy Compliance Alternative

434.601 General.
434.602 Determination of the annual energy budget.
434.603 Determination of the design energy use.
434.604 Compliance.
434.605 Standard calculation procedure.
434.606 Simulation tool.
434.607 Life cycle cost analysis criteria.

                      Subpart G_Reference Standards

434.701 General.

    Authority: 42 U.S.C. 6831-6832, 6834-6836; 42 U.S.C. 8253-54; 42 
U.S.C. 7101, et seq.

    Source: 65 FR 60012, Oct. 6, 2000, unless otherwise noted.



Sec. 434.99  Explanation of numbering system for codes.

    (a) For purposes of this part, 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 
``434'' which signifies part 434 in 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 section number. For example the lighting 
section of the standards is designated Sec. 434.401.
    (2) Within each section, a numbering system common to many national 
voluntary consensus standards is used. A decimal system is used to 
denote paragraphs and subparagraphs within a section. For example, in 
Sec. 434.401, ``401.2.1'' refers to subsection 401, paragraph 2, 
subparagraph 1.
    (b) The hybrid numbering system is used for two purposes:
    (1) The use of the Code of Federal Regulations' 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 familiar to this 
system numbering. This system was chosen because of its commonality 
among the building industry.



            Subpart A_Administration and Enforcement_General



Sec. 434.100  Purpose.

    The provisions of this part provide minimum standards for energy 
efficiency for the design of new Federal commercial and multi-family 
high rise residential buildings, for which design

[[Page 485]]

for construction began before January 3, 2007. The performance standards 
are designed to achieve the maximum practicable improvements in energy 
efficiency and increases in the use of non-depletable sources of energy. 
This rule is based upon the ASHRAE/IESNA Standard 90.1-1989 and addenda 
b, c, d, e, f, g, and i. (This document is available from the American 
Society of Heating, Refrigerating and Air-Conditioning Engineers, Inc., 
1791 Tullie Circle NE, Atlanta, GA.) It is not incorporated by reference 
in this document, but is mentioned for informational purposes only.

[71 FR 70283, Dec. 4, 2006]



Sec. 434.101  Scope.

    101.1 This part provides design requirements for the building 
envelope, electrical distribution systems and equipment for electric 
power, lighting, heating, ventilating, air conditioning, service water 
heating and energy management. It applies to new Federal multi-family 
high rise residential buildings and new Federal commercial buildings, 
for which design for construction began before January 3, 2007.
    101.1.1 (a) Except as provided by section 101.2, the provisions of 
this part apply if an agency is constructing:
    (1) A building that has never been in service;
    (2) An addition for which design for construction began before 
January 3, 2007, that adds new space with provision for a heating or 
cooling system, or both, or for a hot water system; or
    (3) A substantial renovation of a building for which design for 
construction began before January 3, 2007, involving replacement of a 
heating or cooling system, or both, or hot water system, that is either 
in service or has been in service.
    101.2 The provisions of this part do not apply to:
    101.2.1 Buildings, or portions thereof separated from the remainder 
of the building, that have a peak energy usage for space conditioning, 
service water heating, and lighting of less than 3.5 Btu/
(hft \2\ of gross floor area.
    101.2.2 Buildings of less than 100 square feet of gross floor area.
    101.2.3 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 occupant 
comfort and sanitation without the process;
    101.2.4 Envelope requirements for those spaces where heating or 
cooling requirements are excepted in subsection 101.2.3 of this section.
    101.2.5 Lighting for tasks not listed or encompassed by areas or 
activities listed in Tables 401.3.2b, 401.3.2c and 401.3.2d.
    101.2.6 Buildings that are composed entirely of spaces listed in 
subsections 101.2.4 and 101.2.5.
    101.2.7 Individual components of a building under renovation, if the 
building components are not in the scope of a renovation as defined by 
the agency.

[65 FR 60012, Oct. 6, 2000, as amended at 71 FR 70283, Dec. 4, 2006; 72 
FR 72571, Dec. 21, 2007]



Sec. 434.102  Compliance.

    102.1 A covered building must be designed and constructed consistent 
with the provisions of subpart D of this part.
    102.2 Buildings designed and constructed to meet the alternative 
requirements of subparts E or F of this part shall be deemed to satisfy 
the requirements of this part. Such designs shall be certified by a 
registered architect or engineer stating that the estimated energy cost 
or energy use for the building as designed is no greater than the energy 
cost or energy use of a prototype building or reference building as 
determined pursuant to subparts E or F of this part.



Sec. 434.103  Referenced standards (RS).

    103.1 The standards, technical handbooks, papers and regulations 
listed in Sec. 434.701, shall be considered part of this part to the 
prescribed extent of such reference. Where differences occur between the 
provisions of this part and referenced standards, the provisions of this 
part shall apply. Whenever a reference is made in this part to an RS 
standard it refers to the standards listed in Sec. 434.701.



Sec. 434.105  Materials and equipment.

    105.1 Building materials and equipment shall be identified in 
designs in a

[[Page 486]]

manner that will allow for a determination of their compliance with the 
applicable provisions of this part.



                          Subpart B_Definitions



Sec. 434.201  Definitions.

    For the purposes of this part, the following terms, phrases, and 
words shall be defined as provided:
    Accessible (as applied to equipment): admitting close approach; not 
guarded by locked doors, elevations, or other effective means. (See also 
``readily accessible'')
    Annual Fuel Utilization Efficiency (AFUE): the ratio of annual 
output energy to annual input energy that includes any non-heating 
season pilot input loss.
    Area of the space (A): the horizontal lighted area of a given space 
measured from the inside of the perimeter walls or partitions, at the 
height of the working surface.
    Automatic: 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'')
    Automatic flue damper device: an electrically operated device, in 
the flue outlet or in the inlet of or upstream of the draft hood of an 
individual automatically operated gas-fired appliance, which is designed 
to automatically open the flue outlet during appliance operation and to 
automatically close off the flue outlet when the appliance is in a 
standby condition.
    Automatic vent damper device: a device intended for installation in 
the venting system, in the outlet of or downstream of the appliance 
draft hood, of an individual automatically operated gas-fired appliance, 
which is designed to automatically open the venting system when the 
appliance is in operation and to automatically close off the venting 
system when the appliance is in a standby or shutdown condition.
    (1) Electrically operated: an automatic vent damper device that 
employs electrical energy to control the device.
    (2) Thermally actuated: an automatic vent damper device dependent 
for operation exclusively upon the direct conversion of the thermal 
energy of the vent gases into mechanical energy.
    Boiler capacity: the rated heat output of the boiler, in Btu/h, at 
the design inlet and outlet conditions and rated fuel or energy input.
    Building: means any structure to be constructed which 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 envelope: 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.
    Check metering: measurement instrumentation for the supplementary 
monitoring of energy consumption (electric, gas, oil, etc) to isolate 
the various categories of energy use to permit conservation and control, 
in addition to the revenue metering furnished by the utility.
    Coefficient of performance (COP)--Cooling: 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 (COP) heat pump--Heating: 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.
    Commercial building: a building other than a residential building, 
including any building developed for industrial or public purposes. 
Including but not limited to occupancies for assembly, business, 
education, institutions, food sales and service, merchants, and storage.
    Conditioned floor area: the area of the conditioned space measured 
at floor level from the interior surfaces of the walls.
    Conditioned space: a cooled space, heated space, or indirectly 
conditioned space.

[[Page 487]]

    Cooled space: an enclosed space within a building that is cooled by 
a cooling system whose sensible capacity:
    (1) Exceeds 5 Btu/(h[middot]ft\2\); or
    (2) Is capable of maintaining a space dry bulb temperature of 
90[deg]F or less at design cooling conditions.
    Daylight sensing control (DS): 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.
    Daylighted space: the space bounded by vertical planes rising from 
the boundaries of the daylighted area on the floor to the floor or roof 
above.
    Daylighted zone:
    (1) Under skylights: the area under each skylight whose horizontal 
dimension in each direction is equal to the skylight dimension in that 
direction plus either the floor-to-ceiling height or the dimension to an 
opaque partition, or one-half the distance to an adjacent skylight or 
vertical glazing, whichever is least.
    (2) At vertical glazing: the area adjacent to vertical glazing that 
receives daylighting from the glazing. For purposes of this definition 
and unless more detailed daylighting analysis is provided, the 
daylighting zone depth is assumed to extend into the space a distance of 
15 ft or to the nearest opaque partition, whichever is less. The 
daylighting zone width is assumed to be the width of the window plus 
either 2 ft on each side, the distance to an opaque partition, or one 
half the distance to an adjacent skylight or vertical glazing, whichever 
is least.
    Dead band (dead zone): the range of values within which an input 
variable that can be varied without initiating any noticeable change in 
the output variable.
    Degree-day, cooling: 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: 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.
    Dwelling unit: 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: a ducting arrangement and automatic control system 
that allows a cooling supply fan system to supply outdoor (outside) air 
to reduce or eliminate the need for mechanical refrigeration during mild 
or cold weather.
    Economizer, water: a system by which the supply air of a cooling 
system is cooled directly or indirectly or both by evaporation of water 
or by other appropriate fluid in order to reduce or eliminate the need 
for mechanical refrigeration.
    Efficiency, HVAC system: 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): a system that exists for the 
purpose of operating in the event of failure of a primary system.
    Emergency use: electrical and lighting systems required to supply 
power automatically for illumination and equipment in the event of a 
failure of the normal power supply.
    Energy efficiency ratio (EER): 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''.)

[[Page 488]]

    Fan system energy demand: the sum of the demand of all fans that are 
required to operate at design conditions to supply air from the heating 
or cooling source to the conditioned space(s) and return it back to the 
source or exhaust it to the outdoors.
    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.
    Fenestration: any light-transmitting section in a building wall or 
roof. The fenestration includes glazing material (which may be glass or 
plastic), framing (mullions, muntins, and dividers), external shading 
devices, internal shading devices, and integral (between glass) shading 
devices.
    Fenestration area: the total area of fenestration measured using the 
rough opening and including the glass or plastic, sash, and frame. For 
doors where the glazed vision area is less than 50% of the door area, 
the fenestration area is glazed vision area. For all other doors, the 
fenestration area is the door area.
    Flue damper: a device, in the flue outlet or in the inlet of or 
upstream of the draft hood of an individual automatically operated gas-
fired appliance, which is designed to automatically open the flue outlet 
during appliance operation and to automatically close off the flue 
outlet when the appliance is in a standby condition.
    Gross floor area: the sum of the floor areas of the conditioned 
spaces within the building, including basements, mezzanine and 
intermediate-floor tiers, and penthouses of headroom height 7.5 ft or 
greater. It is measured from the exterior faces of exterior walls or 
from the centerline of walls separating buildings (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 (GLA): the sum of the total lighted areas of a 
building measured from the inside of the perimeter walls for each floor 
of the building.
    Heat capacity (HC): the amount of heat necessary to raise the 
temperature of a given mass 1[deg]F. Numerically, the mass expressed per 
unit of wall surface multiplied by the specific heat Btu/
(ft\2\[middot][deg]F).
    Heat trap: device or piping arrangement that effectively restricts 
the natural tendency of hot water to rise in vertical pipes during 
standby periods. Examples are the U-shaped arrangement of elbows or a 
360-degree loop of tubing.
    Heated space: an enclosed space within a building that is heated by 
a heating system whose output capacity
    (1) Exceeds 10 Btu/(h[middot]ft\2\), or
    (2) Is capable of maintaining a space dry-bulb temperature of 
50[deg]F or more at design heating conditions.
    Heating seasonal performance factor (HSPF): 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.
    High rise residential building: hotels, motels, apartments, 
condominiums, dormitories, barracks, and other residential-type 
facilities that provide complete housekeeping or transient living 
quarters and are over three stories in height above grade.
    Humidistat: an automatic control device responsive to changes in 
humidity.
    HVAC system: the equipment, distribution network, and terminals that 
provide either collectively or individually the processes of heating, 
ventilating, or air conditioning to a building.
    Indirectly conditioned space: an enclosed space within the building 
that is not a heated or cooled space, whose area-weighted heat transfer 
coefficient to heated or cooled spaces exceeds that to the outdoors or 
to unconditioned spaces; or through which air from heated or cooled 
spaces is transferred at a rate exceeding three air changes per hour. 
(See also ``heated space'', ``cooled space'', and ``unconditioned 
space''.)

[[Page 489]]

    Infiltration: the uncontrolled inward air leakage through cracks and 
crevices in any building element and around windows and doors of a 
building.
    Integrated part-load value (IPLV): a single-number figure of merit 
based on part-load EER or COP expressing part-load efficiency for air-
conditioning and heat pump equipment on the basis of weighted operation 
at various load capacities for the equipment.
    Lumen maintenance control: a device that senses the illumination 
level and causes an increase or decrease of illuminance to maintain a 
preset illumination level.
    Manual: action requiring personal intervention for its control. As 
applied to an electric controller, manual control does not necessarily 
imply a manual controller but only that personal intervention is 
necessary. (See automatic.)
    Marked rating: the design load operating conditions of a device as 
shown by the manufacturer on the nameplate or otherwise marked on the 
device.
    Multi-family high rise residential: a residential building 
containing three or more dwelling units and is designed to be 3 or more 
stories above grade.
    Occupancy sensor: a device that detects the presence or absence of 
people within an area and causes any combination of lighting, equipment, 
or appliances to be adjusted accordingly.
    Opaque areas: all exposed areas of a building envelope that enclose 
conditioned space except fenestration areas and building service 
openings such as vents and grilles.
    Orientation: the directional placement of a building on a building 
site with reference to the building's longest horizontal axis or, if 
there is no longest horizontal axis, then with reference to the 
designated main entrance.
    Outdoor air: air taken from the exterior of the building that has 
not been previously circulated through the building. (See ``ventilation 
air'')
    Ozone depletion factor: 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 potential is 
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.
    Packaged terminal air conditioner (PTAC): 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: a PTAC capable of using the 
refrigeration system in a reverse cycle or heat pump mode to provide 
heat.
    Plenum: 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.
    Private driveways, walkways, and parking lots: exterior transit 
areas that are associated with a commercial or residential building and 
intended for use solely by the employees or tenants and not by the 
general public.
    Process energy: 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: the calculated or measured time-integrated load on a 
building resulting from the consumption or release of process energy.
    Programmable: capable of being preset to certain conditions and 
having self-initiation to change to those conditions.
    Projection factor: the exterior horizontal shading projection depth 
divided by the sum of the height of the fenestration and the distance 
from the top of the fenestration to the bottom of the external shading 
projection in units consistent with the projection depth.
    Prototype building: a generic building design of the same size and 
occupancy type as the proposed design that complies with the 
prescriptive requirements of subpart D of this part and has prescribed 
assumptions used to generate the energy budget concerning shape, 
orientation, and HVAC and other system designs.

[[Page 490]]

    Public driveways, walkways, and parking lots: exterior transit areas 
that are intended for use by the general public.
    Public facility restroom: a restroom used by the transient public.
    Readily accessible: 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, etc. (See also accessible.)
    Recooling: lowering the temperature of air that has been previously 
heated by a heating system.
    Reference building: a specific building design that has the same 
form, orientation, and basic systems as the prospective design that is 
to be evaluated for compliance and meets all the criteria listed in 
subsection 501.2 or subsection 601.2.
    Reheating: raising the temperature of air that has been previously 
cooled either by refrigeration or an economizer system.
    Reset: adjustment of the controller setpoint to a higher or lower 
value automatically or manually.
    Roof: those portions of the building envelope, including all opaque 
surfaces, fenestration, doors, and hatches, that are above conditioned 
space and are horizontal or tilted at less than 60[deg] from horizontal. 
(See also''walls'')
    Room air conditioner: 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 (SEER): the total cooling output of 
an air conditioner during its normal annual usage period for cooling, in 
Btu, divided by the total electric energy input during the same period, 
in watt-hours.
    Service systems: all energy-using or energy-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: the supply of hot water for purposes other 
than comfort heating and process requirements.
    Shading coefficient (SC): the ratio of solar heat gain through 
fenestration under a specific set of conditions, with or without 
integral shading devices, to that occurring through unshaded \1/8\-in-
thick clear double-strength glass under the same conditions.
    Shell Building: a building for which the envelope is designed, 
constructed, or both prior to knowing the occupancy type. (See also 
``speculative building'')
    Single-Line Diagram: a simplified schematic drawing that shows the 
connection between two or more items. Common multiple connections are 
shown as one line.
    Skylight: glazing that is horizontal or tilted less than 60[deg] 
from horizontal.
    Solar energy source: natural daylighting or thermal, chemical, or 
electrical energy derived from direct conversion of incident solar 
radiation at the building site.
    Solar heat gain coefficient (SHGC): the ratio of the solar heat gain 
entering the space through the fenestration area to the incident solar 
radiation. Solar heat gain includes directly transmitted solar heat and 
absorbed solar radiation, which is then reradiated, conducted, or 
convected into the space. (See fenestration area)
    Speculative building: a building for which the envelope is designed, 
constructed, or both prior to the design of the lighting, HVAC systems, 
or both. A speculative building differs from a shell building in that 
the intended occupancy is known for the speculative building. (See also 
``shell building'')
    System: 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: pairs of luminaries operating with lamps in each 
luminaire powered from a single ballast contained in one of the 
luminaires.

[[Page 491]]

    Task lighting: lighting that provides illumination for specific 
functions and is directed to a specific surface or area.
    Task location: 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: a device by which the transformed energy from a 
system is finally delivered. Examples include registers, diffusers, 
lighting fixtures, and faucets.
    Thermal conductance (C): the constant time rate of heat flow through 
the unit area of a body induced by a unit temperature difference between 
the surfaces, expressed in Btu/(h[middot]ft\2\[middot][deg]F). It is the 
reciprocal of thermal resistance. (See ``thermal resistance'')
    Thermal mass: materials with mass heat capacity and surface area 
capable of affecting building loads by storing and releasing heat as the 
interior or exterior temperature and radiant conditions fluctuate. (See 
also ``heat capacity'' and ``wall heat capacity'')
    Thermal mass wall insulation position:
    (1) Exterior insulation position: 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: a wall having mass exposed to both 
room and outside (outside) air with substantially equal amounts of mass 
on the inside and outside of the insulation layer.
    (3) Interior insulation position: a wall not meeting either of the 
above definitions, particularly a wall having most of its mass external 
to an insulation layer.
    Thermal resistance (R): the reciprocal of thermal conductance 1/C, 
l/H, 1/U; expressed in (h[middot]ft\2\. [deg]F)/Btu.
    Thermal transmittance (U): 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, expressed in Btu/(h[middot]ft\2\. [deg]F).
    Thermal transmittance, overall (Uo): the gross overall (area 
weighted average) coefficient of heat transfer from air to air for a 
gross area of the building envelope, Btu/(h[middot]ft\2\. [deg]F). The 
Uo 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, composing the gross area of one or more 
building envelope components, such as walls, floors, and roof or 
ceiling.
    Thermostat: an automatic control device responsive to temperature.
    Unconditioned space: space within a building that is not a 
conditioned space. (See ``conditioned space'')
    Unitary cooling equipment: one or more factory-made assemblies that 
normally include an evaporator or cooling coil, a compressor, and a 
condenser combination (and may also include a heating function).
    Unitary heat pump: one or more factory-made assemblies that normally 
include an indoor conditioning coil, compressor(s), and outdoor coil or 
refrigerant-to-water heater exchanger, including means to provide both 
heating and cooling functions.
    Variable-air-volume (VAV) HVAC system: HVAC systems that control the 
dry-bulb temperature within a space by varying the volume of heated or 
cooled supply air to the space.
    Vent damper: a device intended for installation in the venting 
system, in the outlet of or downstream of the appliance draft hood, of 
an individual automatically operating gas-fired appliance, which is 
designed to automatically open the venting system when the appliance is 
in operation and to automatically close off the venting system when the 
appliance is in a standby or shutdown condition.
    Ventilation: 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: that portion of supply air which comes from the 
outside, plus any recirculated air, to maintain the desired quality of 
air within a designated space. (See also ``outdoor air'')
    Visible light transmittance: the fraction of solar radiation in the 
visible light spectrum that passes through the fenestration (window, 
clerestory, or skylight).

[[Page 492]]

    Walls: 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 60* from horizontal or greater. (See 
also ``roof'')
    Wall heat capacity: the sum of the products of the mass of each 
individual material in the wall per unit area of wall surface times its 
individual specific heat, expressed in Btu/(ft \2\[middot][deg]F). 
(See'' thermal mass'')
    Window to wall ratio (WWR): the ratio of the wall fenestration area 
to the gross exterior wall area.
    Zone: a space or group of spaces within a building with any 
combination of heating, cooling, or lighting requirements sufficiently 
similar so that desired conditions can be maintained throughout by a 
single controlling device.



                       Subpart C_Design Conditions



Sec. 434.301  Design criteria.

    301.1 The following design parameters shall be used for calculations 
required under subpart D of this part.
    301.1.1 Exterior Design Conditions. Exterior Design Conditions shall 
be expressed in accordance with Table 301.1.

                 Table 301.1--Exterior Design Conditions
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Winter Design Dry-Bulb (99%)....  ..................  Degrees F.
Summer Design Dry-Bulb (2.5%)...  ..................  Degrees F.
Mean Coincident Wet-Bulb (2.5%).  ..................  Degrees F.
Degree-Days, Heating (Base 65)..  ..................  HDD Base 65[deg]
                                                       F.
Degree-Days, Cooling (Base 65)..  ..................  CDD Base 65[deg]F.
Annual Operting Hours, 8 a.m. to  ..................  Hours.
 4 p.m. when
 55[deg]F<=T<=69[deg]F.
------------------------------------------------------------------------
[The exterior design conditions shall be added to Table 301.1 from the
  city-specific Shading Coefficient table from Appendix A of RS-1
  (incorporated by reference, see Sec. 434.701). Copies of specific
  tables contained in Appendix A of RS-1 (incorporated by reference, see
  Sec. 434.701). can be obtained from the Energy Code for Federal
  Commercial Buildings, Docket No. EE-RM-79-112-C, EE-43, Office of
  Building Research and Standards, U.S. Department of Energy, Room 1J-
  018, 1000 Independence Avenue, SW., Washington, DC 20585, (202) 586-
  9127. Adjustments may be made to reflect local climates which differ
  from the tabulated temperatures or local weather experience as
  determined by the building official. Where local building site
  climatic data are not available, climate data from a nearby location
  included in RS-1, Appendix C, (incorporated by reference, see Sec.
  434.701) and RS-4 Chapter 24, Table 1, (incorporated by reference, see
  Sec. 434.701) shall be used as determined by the building official.]

    301.2 Indoor Design Conditions. Indoor design temperature and 
humidity conditions shall be in accordance with the comfort criteria in 
RS-2 (incorporated by reference, see Sec. 434.701), except that 
humidification and dehumidification are not required.



  Subpart D_Building Design Requirements_Electric Systems and Equipment



Sec. 434.401  Electrical power and lighting systems.

    Electrical power and lighting systems, other than those systems or 
portions thereof required for emergency use only, shall meet these 
requirements.
    401.1 Electrical Distribution Systems.
    401.1.1 Check Metering. Single-tenant buildings with a service over 
250 kVA and tenant spaces with a connected load over 100 kVA in 
multiple-tenant buildings shall have provisions for check metering of 
electrical consumption. The electrical power feeders for which provision 
for check metering is required shall be subdivided as follows:
    401.1.1.1 Lighting and receptacle outlets
    401.1.1.2 HVAC systems and equipment
    401.1.1.3 Service water heating (SWH), elevators, and special 
occupant equipment or systems of more than 20 kW.
    401.1.1.4 Exception to 401.1.1.1 through 401.1.1.3: 10 percent or 
less of the loads on a feeder may be from another usage or category.
    401.1.2 Tenant-shared HVAC and service hot water systems in multiple 
tenant buildings shall have provision to be separately check metered.
    401.1.3 Subdivided feeders shall contain provisions for portable or 
permanent check metering. The minimum

[[Page 493]]

acceptable arrangement for compliance shall provide a safe method for 
access by qualified persons to the enclosures through which feeder 
conductors pass and provide sufficient space to attach clamp-on or split 
core current transformers. These enclosures may be separate compartments 
or combined spaces with electrical cabinets serving another function. 
Dedicated enclosures so furnished shall be identified as to measuring 
function available.
    401.1.4 Electrical Schematic. The person responsible for installing 
the electrical distribution system shall provide the Federal building 
manager a single-line diagram of the record drawing for the electrical 
distribution system, which includes the location of check metering 
access, schematic diagrams of non-HVAC electrical control systems, and 
electrical equipment manufacturer's operating and maintenance 
literature.
    401.2 Electric Motors. All permanently wired polyphase motors of 1 
hp or more shall meet these requirements:
    401.2.1 Efficiency. NEMA design A & B squirrel-cage, foot-mounted, 
T-frame induction motors having synchronous speeds of 3600, 1800, 1200, 
and 900 rpm, expected to operate more than 1000 hours per year shall 
have a nominal full-load efficiency no less than that shown in Table 
401.2.1 or shall be classified as an ``energy efficient motor'' in 
accordance with RS-3 (incorporated by reference, see Sec. 434.701). The 
following are not covered:
    (a) Multispeed motors used in systems designed to use more than one 
speed.
    (b) Motors used as a component of the equipment meeting the minimum 
equipment efficiency requirements of subsection 403, provided that the 
motor input is included when determining the equipment efficiency.

  Table 401.2.1--Minimum Acceptable Nominal Full-Load Efficiency for Single-Speed Polyphase Squirrel-Cage Induction Motors Having Synchronous Speeds of
                                                            3600, 1800, 1200 and 900 rpm \1\
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                  2-Pole                  4-Pole                  6-Pole                  8-Pole
                                                         -----------------------------------------------------------------------------------------------
                           HP                               Nominal     Minimum     Nominal     Minimum     Nominal     Minimum     Nominal     Minimum
                                                          efficiency  efficiency  efficiency  efficiency  efficiency  efficiency  efficiency  efficiency
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                           Full-Load Efficiencies--Open Motors
--------------------------------------------------------------------------------------------------------------------------------------------------------
1.0.....................................................  ..........  ..........        82.5        81.5        80.0        78.5        74.0        72.0
1.5.....................................................        82.5        81.5        84.0        82.5        84.0        82.5        75.5        74.0
2.0.....................................................        84.0        82.5        84.0        82.5        85.5        84.0        85.5        84.0
3.0.....................................................        84.0        82.5        86.5        85.5        86.5        85.5        86.5        85.5
5.0.....................................................        85.5        84.0        87.5        86.5        87.5        86.5        87.5        86.0
7.5.....................................................        87.5        86.5        88.5        87.5        88.5        87.5        88.5        87.5
10.0....................................................        88.5        87.5        89.5        88.5        90.2        89.5        89.5        88.5
15.0....................................................        89.5        88.5        91.0        90.2        90.2        89.5        89.5        88.5
20.0....................................................        90.2        89.5        91.0        90.2        91.0        90.2        90.2        89.5
25.0....................................................        91.0        90.2        91.7        91.0        91.7        91.0        90.2        89.5
30.0....................................................        91.0        90.2        92.4        91.7        92.4        91.7        91.7        90.2
40.0....................................................        91.7        91.0        93.0        92.4        93.0        92.4        91.0        90.2
50.0....................................................        92.4        91.7        93.0        92.4        93.0        92.4        91.7        91.0
60.0....................................................        93.0        92.4        93.6        93.0        93.6        93.0        92.4        91.7
75.0....................................................        93.0        92.4        94.1        93.6        93.6        93.0        93.6        93.0
100.0...................................................        93.0        92.4        94.1        93.6        94.1        93.6        93.6        93.0
125.0...................................................        93.6        93.0        94.5        94.1        94.1        93.6        93.6        93.0
150.0...................................................        93.6        93.0        95.0        94.5        94.5        94.1        93.6        93.0
200.0...................................................        94.5        94.1        95.0        94.5        94.5        94.1        93.6        93.0
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                         Full-Load Efficiencies--Enclosed Motors
--------------------------------------------------------------------------------------------------------------------------------------------------------
1.0.....................................................        75.5        74.5        82.5        81.5        80.0        78.5        74.0        72.0
1.5.....................................................        82.5        81.5        84.0        82.5        85.5        84.0        77.0        75.5
2.0.....................................................        84.0        82.5        84.5        82.5        86.5        85.5        82.5        81.5
3.0.....................................................        85.5        84.0        87.5        86.5        87.5        86.5        84.0        82.5
5.0.....................................................        87.5        86.5        87.5        86.5        87.5        86.5        85.5        84.0
7.5.....................................................        88.5        87.5        89.5        88.5        89.5        88.5        85.5        84.0
10.0....................................................        89.5        88.5        89.5        88.5        89.5        88.5        88.5        87.5
15.0....................................................        90.2        89.5        91.0        90.2        90.2        89.5        88.5        87.5
20.0....................................................        90.2        89.5        91.0        90.2        90.2        89.5        89.5        88.5
25.0....................................................        91.0        90.2        92.4        91.7        91.7        91.0        89.5        88.5
30.0....................................................        91.0        90.2        92.4        91.7        91.7        91.0        91.0        90.2
40.0....................................................        91.7        91.0        93.0        92.4        93.0        92.4        91.0        90.2

[[Page 494]]

 
50.0....................................................        92.4        91.7        93.0        92.4        93.0        92.4        91.7        91.0
60.0....................................................        93.0        92.4        93.6        93.0        93.6        93.0        91.7        91.0
75.0....................................................        93.0        92.4        94.1        93.6        93.6        93.0        93.0        92.4
100.0...................................................        93.6        93.0        94.5        94.1        94.1        93.6        93.0        92.4
125.0...................................................        94.5        94.1        94.5        94.1        94.1        93.6        93.6        93.0
150.0...................................................        94.5        94.1        95.0        94.5        94.5        94.1        94.1        93.0
200.0...................................................        95.0        94.5        95.0        94.5        95.0        94.5        94.1       93.6
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ For many applications, efficiencies greater than those listed are likely to be cost-effective. Guidance for evaluating the cost effectiveness of
  energy efficient motor applications is given in RS-43 and RS-44 (incorporated by reference, see Sec. 434.701).

    401.3 Lighting Power Allowance. The lighting system shall meet the 
provisions of subsections 401.3.1 through 401.3.5.
    401.3.1 Building Exteriors. The total connected exterior lighting 
power for the building, or a facility containing multiple buildings, 
shall not exceed the total exterior lighting power allowance, which is 
the sum of the individual allowances determined from Table 401.3.1. The 
individual allowances are determined by multiplying the specific area or 
length of each area description times the allowance for that area. 
Exceptions are as follows: Lighting for outdoor manufacturing or 
processing facilities, commercial greenhouses, outdoor athletic 
facilities, public monuments, designated high-risk security areas, 
signs, retail storefronts, exterior enclosed display windows, and 
lighting specifically required by local ordinances and regulations.

            Table 401.3.1--Exterior Lighting Power Allowance
------------------------------------------------------------------------
             Area description                         Allowance
------------------------------------------------------------------------
Exit (with or without canopy).............  25 W/lin ft of door opening.
Entrance (without canopy).................  30 W/lin ft of door opening.
Entrance (with canopy):
    High Traffic (retail, hotel, airport,   10 W/ft \2\ of canopied
     theater, etc.).                         area.
    Light Traffic (hospital, office,        4 W/ft \2\ of canopied area.
     school, etc.).
Loading area..............................  0.40 W/ft \2\.
Loading door..............................  20 W/lin ft of door opening.
Building exterior surfaces/facades........  0.25 W/ft \2\ of surface
                                             area to be illuminated.
Storage and non-manufacturing work areas..  0.20 W/ft \2\.
Other activity areas for casual use such    0.10 W/ft \2\.
 as picnic grounds, gardens, parks, and
 other landscaped areas.
Private driveways/walkways................  0.10 W/ft \2\.
Public driveways/walkways.................  0.15 W/ft \2\.
Private parking lots......................  0.12 W/ft \2\.
Public parking lots.......................  0.18 W/ft \2\.
------------------------------------------------------------------------

    401.3.1.1 Trade-offs of exterior lighting budgets among exterior 
areas shall be allowed provided the total connected lighting power of 
the exterior area does not exceed the exterior lighting power allowance. 
Trade-offs between interior lighting power allowances and exterior 
lighting power allowances shall not be allowed.
    401.3.2 Building interiors. The total connected interior lighting 
power for a building, including adjustments in accordance with 
subsection 401.3.3, shall not exceed the total interior lighting power 
allowance explained in this paragraph. Using Table 401.3.2a, multiply 
the interior lighting power allowance value by the gross lighted area of 
the most appropriate building or space activity. For multi-use 
buildings, using Table 401.3.2a, select the interior power allowance 
value for each activity using the column for the gross lighted area of 
the whole building and multiply it by

[[Page 495]]

the associated gross area for that activity. The interior lighting power 
allowance is the sum of all the wattages for each area/activity. Using 
Table 401.3.2b, c, or d, multiply the interior lighting power allowance 
values of each individual area/activity by the area of the space and by 
the area factor from Figure 401.3.2e, based on the most appropriate 
area/activity provided. The interior lighting power allowance is the sum 
of the wattages for each individual space. When over 20% of the 
building's tasks or interior areas are undefined, the most appropriate 
value for that building from Table 401.3.2a shall be used for the 
undefined spaces. Exceptions are as follows:
    (a) Lighting power that is an essential technical element for the 
function performed in theatrical, stage, broadcasting, and similar uses.
    (b) Specialized medical, dental, and research lighting.
    (c) Display lighting for exhibits in galleries, museums, and 
monuments.
    (d) Lighting solely for indoor plant growth (between the hours of 
10:00 pm and 6:00 am).
    (e) Emergency lighting that is automatically off during normal 
building operation.
    (f) High-risk security areas.
    (g) Spaces specifically designed for the primary use by the 
physically impaired or aged.
    (h) Lighting in dwelling units.
    401.3.2.1 Trade-offs of the interior lighting power budgets among 
interior spaces shall be allowed provided the total connected lighting 
power within the building does not exceed the interior lighting power 
allowance. Trade-offs between interior lighting power allowances and 
exterior lighting power allowances shall not be allowed.
    401.3.2.2 Building/Space Activities. Definitions of buildings/space 
activity as they apply to Table 401.3.2a are as follows. These 
definitions are necessary to characterize the activities for which 
lighting is provided. They are applicable only to Table 401.3.2a. They 
are not intended to be used elsewhere in place of building use group 
definitions provided in the Building Code. They are not included in 
Sec. 434.201, ``Definitions,'' to avoid confusion with ``Occupancy Type 
Categories.''
    (a) Food service, fast food, and cafeteria: This group includes 
cafeterias, hamburger and sandwich stores, bakeries, ice cream parlors, 
cookie stores, and all other kinds of retail food service establishments 
in which customers are generally served at a counter and their direct 
selections are paid for and taken to a table or carried out.
    (b) Garages: This category includes all types of parking garages, 
except for service or repair areas.
    (c) Leisure dining and bar: This group includes cafes, diners, bars, 
lounges, and similar establishments where orders are placed with a wait 
person.
    (d) Mall concourse, multi-store service: This group includes the 
interior of multifunctional public spaces, such as shopping center 
malls, airports, resort concourses and malls, entertainment facilities, 
and related types of buildings or spaces.
    (e) Offices: This group includes all kinds of offices, including 
corporate and professional offices, office/laboratories, governmental 
offices, libraries, and similar facilities, where paperwork occurs.
    (f) Retail: A retail store, including departments for the sale of 
accessories, clothing, dry goods, electronics, and toys, and other types 
of establishments that display objects for direct selection and purchase 
by consumers. Direct selection means literally removing an item from 
display and carrying it to the checkout or pick-up at a customer service 
facility.
    (g) Schools: This category, subdivided by pre-school/elementary, 
junior high/high school, and technical/vocational, includes public and 
private educational institutions, for children or adults, and may also 
include community centers, college and university buildings, and 
business educational centers.
    (h) Service establishment: A retail-like facility, such as watch 
repair, real estate offices, auto and tire service facilities, parts 
departments, travel agencies and similar facilities, in which the 
customer obtains services rather than the direct selection of goods.
    (i) Warehouse and storage: This includes all types of support 
facilities, such as warehouses, barns, storage buildings, shipping/
receiving buildings,

[[Page 496]]

boiler or mechanical buildings, electric power buildings, and similar 
buildings where the primary visual task is large items.

                       401.3.2--Tables and Figures

                                               Table 401.3.2a--Interior Lighting Power Allowance W/ft \2\
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                       Gross lighted area of total building
                                                         -----------------------------------------------------------------------------------------------
               Building space activity \1\                 0 to 2,000 ft     2,001 to        10,001 to       25,001 to       50,001 to
                                                                \2\        10,000 ft \2\   25,000 ft \2\   50,000 ft \2\  250,000 ft \2\  250,000 ft \2\
--------------------------------------------------------------------------------------------------------------------------------------------------------
Food Service:
    Fast Food/Cafeteria.................................            1.50            1.38            1.34            1.32            1.31            1.30
    Leisure Dining/Bar..................................            2.20            1.91            1.71            1.56            1.46            1.40
Offices.................................................            1.90            1.81            1.72            1.65            1.57            1.50
Retail \3\..............................................            3.30            3.08            2.83            2.50            2.28            2.10
Mall Concourse Multi-store Service......................            1.60            1.58            1.52            1.46            1.43            1.40
Service Establishment...................................            2.70            2.37            2.08            1.92            1.80            1.70
Garages.................................................            0.30            0.28            0.24            0.22            0.21            0.20
Schools:
    Preschool/Elementary................................            1.80            1.80            1.72            1.65            1.57            1.50
    Jr. High/High School................................            1.90            1.90            1.88            1.83            1.76            1.70
    Technical/Vocational................................            2.40            2.33            2.17            2.01            1.84            1.70
Warehouse/Storage.......................................            0.80            0.66            0.56            0.48            0.43           0.40
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ If at least 10% of the building area is intended for multiple space activities, such as parking, retail, and storage in an office building, then
  calculate for each separate building type/space activity.
\2\ The values in the categories are building wide allowances which include the listed activity and directly related facilities such as conference
  rooms, lobbies, corridors, restrooms, etc.
\3\ Includes general, merchandising, and display lighting.


         Table 401.3.2b--Unit Interior Lighting Power Allowance
------------------------------------------------------------------------
                                                               UPD W/ft
                  Common area/activity \1\                       \2\
------------------------------------------------------------------------
Auditorium \2\.............................................          1.4
Corridor \3\...............................................          0.8
Classroom/Lecture Hall.....................................          2.0
Electrical/Mechanical Equipment Room:
    General \3\............................................          0.7
    Control Rooms \3\......................................          1.5
Food Service:
    Fast Food/Cafeteria....................................          1.3
    Leisure Dining \4\.....................................          1.4
    Bar/Lounge \4\.........................................          2.5
    Kitchen................................................          1.4
Recreation/Lounge..........................................          0.7
Stair:
    Active Traffic.........................................          0.6
    Emergency Exit.........................................          0.4
Toilet & Washroom..........................................          0.8
Garage:
    Auto & Pedestrian Circulation Area.....................          0.3
    Parking Area...........................................          0.2
Laboratory.................................................          2.2
Library:
    Audio Visual...........................................          1.1
    Stack Area.............................................          1.1
    Card File & Cataloging.................................          0.8
    Reading Area...........................................          1.1
Lobby (General):
    Reception & Waiting....................................          1.0
    Elevator Lobbies.......................................          0.4
Atrium (Multi-Story):
    First 3 Floors.........................................          0.7
    Each Additional Floor..................................          0.2
Locker Room & Shower.......................................          0.8
Office Category 1
Enclosed offices, all open plan offices w/o partitions or w/
 partitions \6\ lower than 4.5 ft below the ceiling. \5\
    Reading, Typing and Filing.............................          1.5
    Drafting...............................................          1.9
    Accounting.............................................          1.6

[[Page 497]]

 
Office Category 2:
Open plan offices 900 ft \2\ or larger w/partitions
          1 3.5 to 4.5 ft below the ceiling................
Offices less than 900 ft2 shall use category 1 \3\
    Reading, Typing and Filing.............................          1.5
    Drafting...............................................          2.0
    Accounting.............................................          1.8
Office Category 3:
Open plan offices 900 ft \2\ or larger w/partitions \6\
 higher than 3.5 ft below the ceiling.
Offices less than 900 ft /2 shall use category 1. \3\
    Reading, Typing and Filing.............................          1.7
    Drafting...............................................          2.3
    Accounting.............................................          1.9
Common Activity Areas
    Conference/Meeting Room \2\............................          1.3
Computer/Office Equipment..................................          1.1
    Filing, Inactive.......................................          1.0
    Mail Room..............................................          1.8
Shop (Non-Industrial):
    Machinery..............................................          2.5
    Electrical/Electronic..................................          2.5
    Painting...............................................          1.6
    Carpentry..............................................          2.3
    Welding................................................          1.2
Storage and Warehouse;
    Inactive Storage.......................................          0.2
    Active Storage, Bulky..................................          0.3
    Active Storage, Fine...................................          0.9
    Material Handling......................................          1.0
Unlisted Space.............................................         0.2
------------------------------------------------------------------------
\1\ Use a weighted average UPD in rooms with multiple simultaneous
  activities, weighted in proportion to the area served.
\2\ A 1.5 power adjustment factor is applicable for multi-function
  spaces when a supplementary system having independent controls is
  installed that has installed power <= 33% of the adjusted lighting
  power for that space.
\3\ Area factor of 1.0 shall be used for these spaced.
\4\ UPD includes lighting power required for clean-up purposes.
\5\ Area factor shall not exceed 1.55.
\6\ Not less than 90 percent of all work stations shall be individually
  enclosed with partitions of at least the height described.


         Table 401.3.2c--Unit Interior Lighting Power Allowance
------------------------------------------------------------------------
                                                               UPD W/ft
            Specific building area/activity \1\                  \2\
------------------------------------------------------------------------
Airport, Bus and Rail Station:
    Baggage Area...........................................          0.8
    Concourse/Main Thruway.................................          0.9
    Ticket Counter.........................................          2.0
    Waiting & Lounge Area..................................          0.8
Bank:
    Customer Area..........................................          1.0
    Banking Activity Area..................................          2.2
Barber & Beauty Parlor.....................................          1.6
Church, Synagogue, Chapel:
    Worship/Congregational.................................          1.7
    Preaching & Sermon/Choir...............................          1.8
Dormitory:
    Bedroom................................................          1.0
    Bedroom w/Study........................................          1.3
    Study Hall.............................................          1.2
Fire & Police Department:
    Fire Engine Room.......................................          0.7
    Jail Cell..............................................          0.8
Hospital/Nursing Home:
    Corridor \3\...........................................          1.3
    Dental Suite/Examination/Treatment.....................          1.6
    Emergency..............................................          2.0
    Laboratory.............................................          1.7
    Lounge/Waiting Room....................................          0.9
    Medical Supplies.......................................          2.4
    Nursery................................................          1.6
    Nurse Station..........................................          1.8
    Occupational Therapy/Physical Therapy..................          1.4
    Patient Room...........................................          1.2

[[Page 498]]

 
    Pharmacy...............................................          1.5
    Radiology..............................................          1.8
Surgical & Obstetrics Suites:
    General Area...........................................          1.8
    Operating Room.........................................          6.0
    Recovery...............................................          2.0
Hotel/Conference Center:
    Banquet Room/Multipurpose \2\..........................          1.7
    Bathroom/Powder Room...................................          1.2
    Guest Room.............................................          0.9
    Public Area............................................          1.0
    Exhibition Hall........................................          1.8
    Conference/Meeting \2\.................................          1.5
    Lobby..................................................          1.5
    Reception Desk.........................................          2.4
Laundry:
    Washing................................................          0.9
    Ironing & Sorting......................................          1.3
Museum & Gallery:
    General Exhibition.....................................          1.9
    Inspection/Restoration.................................          3.0
Storage (Artifacts):
    Inactive...............................................          0.6
    Active.................................................          0.7
Post Office:
    Lobby..................................................          1.1
    Sorting & Mailing......................................          2.1
Service Station/Auto Repair................................          0.8
Theater:
    Performance Arts.......................................          1.3
    Motion Picture.........................................          1.0
    Lobby..................................................          1.3
Retail Establishments--Merchandising & Circulation Area
 (Applicable to all lighting, including accent and display
 lighting, installed in merchandising and circulation
 areas):
    Type 1: Jewelry merchandising, where minute examination          5.6
     of displayed merchandise is critical..................
    Type 2: Fine merchandising, such as fine apparel and             2.9
     accessories, china, crystal, and silver art galleries
     and where the detailed display and examination of
     merchandising is important............................
    Type 3: Mass merchandising, such as general apparel,             2.7
     variety goods, stationary, books, sporting goods,
     hobby materials, cameras, gifts, and luggage,
     displayed in a warehouse type of building, where
     focused display and detailed examination of
     merchandise is important..............................
    Type 4: General merchandising, such as general apparel,          2.3
     variety goods, stationary, books, sporting goods,
     hobby materials, cameras, gifts, and luggage,
     displayed in a department store type of building,
     where general display and examination of merchandise
     is adequate...........................................
    Type 5: Food and miscellaneous such as bakeries,                 2.4
     hardware and housewares, grocery stores, appliance and
     furniture stores, where pleasant appearance is
     important.............................................
    Type 6: Service establishments, where functional                 2.6
     performance is important..............................
Mall Concourse.............................................          1.4
Retail Support Areas.......................................          2.1
    Tailoring..............................................          1.1
    Dressing/Fitting Rooms.................................
------------------------------------------------------------------------
\1\ Use a weighted average UPD in rooms with multiple simultaneous
  activities, weighted in proportion to the area served.
\2\ A 1.5 power adjustment factor is applicable for multi-function
  spaces when a supplementary system having independent controls is
  installed that has installed power <= 33% of the adjusted lighting
  power for that space.
\3\ Area factor shall not exceed 1.55.


         Table 401.3.2d--Unit Interior Lighting Power Allowance
------------------------------------------------------------------------
                                                               UPD W/ft
            Indoor athletic area/activity \1,2\                  \2\
------------------------------------------------------------------------
Seating Area, All Sports...................................          0.4
Badminton:
    Club...................................................          0.5
    Tournament.............................................          0.8
Basketball/Volleyball:
    Intramural.............................................          0.8
    College................................................          1.3
    Professional...........................................          1.9
Bowling:
    Approach Area..........................................          0.5
    Lanes..................................................          1.1
Boxing or Wrestling (platform):
    Amateur................................................          2.4

[[Page 499]]

 
    Professional...........................................          4.8
Gymnasium:
    General Exercising and Recreation Only.................          1.0
Handball/Racquetball/Squash:
    Club...................................................          1.3
    Tournament.............................................          2.6
Hockey, Ice:
    Amateur................................................          1.3
    College or Professional................................          2.6
Skating Rink:
    Recreational...........................................          0.6
    Exhibition/Professional................................          2.6
Swimming:
    Recreational...........................................          0.9
    Exhibition.............................................          1.5
    Underwater.............................................          1.0
Tennis:
    Recreational (Class III)...............................          1.3
    Club/College (Class II)................................          1.9
    Professional (Class I).................................          2.6
Tennis, Table:
    Club...................................................          1.0
    Tournament.............................................         1.6
------------------------------------------------------------------------
\1\ Area factor of 1.0 shall be used for these spaces.
\2\ Consider as 10 ft. beyond playing boundaries but less than or equal
  to the total floor area of the sports space minus spectator seating
  area.

                  Figure 401.3.2e--Area Factor Formula
[GRAPHIC] [TIFF OMITTED] TR06OC00.018

Area Factor Formula:

Area Factor (AF) = 0.2 + 0.8(1/0.9n)

Where:

AF = area factor,
CH = ceiling height (ft),
Ar = space area (ft\2\).

If AF <1.0 use 1.0; if AF 1.8 use 1.8

    401.3.3 Lighting Power Control Credits. The interior connected 
lighting power determined in accordance with Sec. 434.401.3.2 can be 
decreased for luminaries that are automatically controlled for 
occupancy, daylight, lumen maintenance, or programmable timing. The 
adjusted interior connected lighting power shall be determined by 
subtracting the sum of all lighting power control credits from the 
interior connected lighting power. Using Table 401.3.3, the lighting 
power control credit equals the power adjustment factor times the 
connected lighting power of the controlled lighting. The lighting power 
adjustment shall be applied with the following limitations:
    (a) It is limited to the specific area controlled by the automatic 
control device.
    (b) Only one lighting power adjustment may be used for each building 
space or luminaire, and 50 percent or more of the controlled luminaire 
shall be within the applicable space.
    (c) Controls shall be installed in series with the lights and in 
series with all manual switching devices.
    (d) When sufficient daylight is available, daylight sensing controls 
shall be capable of reducing electrical power consumption for lighting 
(continuously or in steps) to 50 percent or less of maximum power 
consumption.
    (e) Daylight sensing controls shall control all luminaires to which 
the adjustment is applied and that direct a minimum of 50 percent of 
their light output into the daylight zone.
    (f) Programmable timing controls shall be able to program different 
schedules for occupied and unoccupied days, be readily accessible for 
temporary override with automatic return to the original schedule, and 
keep time during power outages for at least four hours.

[[Page 500]]



            Table 401.3.3--Lighting Power Adjustment Factors
------------------------------------------------------------------------
                 Automatic control devices                       PAF
------------------------------------------------------------------------
(1) Daylight Sensing controls (DS), continuous dimming.....         0.30
(2) DS, multiple step dimming..............................         0.20
(3) DS, ON/OFF.............................................         0.10
(4) DS continuous dimming and programmable timing..........         0.35
(5) DS multiple step dimming and programmable timing.......         0.25
(6) DS ON/OFF and programmable timing......................         0.15
(7) DS continuous dimming, programmable timing, and lumen           0.40
 maintenance...............................................
(8) DS multiple step dimming, programmable timing, and              0.30
 lumen maintenance.........................................
(9) DS ON/OFF, programmable timing, and lumen maintenance..         0.20
(10) Lumen maintenance control.............................         0.10
(11) Lumen maintenance and programmable timing control.....         0.15
(12) Programmable timing control...........................         0.15
(13) Occupancy sensor (OS).................................         0.30
(14) OS and DS, continuous dimming.........................         0.40
(15) OS and DS, multiple-step dimming......................         0.35
(16) OS and DS, ON/OFF.....................................         0.35
(17) OS, DS continuous dimming, and lumen maintenance......         0.45
(18) OS, DS multiple-step dimming and lumen maintenance....         0.40
(19) OS, DS ON/OFF, and lumen maintenance..................         0.35
(20) OS and lumen maintenance..............................         0.35
(21) OS and programmable timing control....................         0.35
------------------------------------------------------------------------

    401.3.4 Lighting controls.
    401.3.4.1 Type of Lighting Controls. All lighting systems shall have 
controls, with the exception of emergency use or exit lighting.
    401.3.4.2 Number of Manual Controls. Spaces enclosed by walls or 
ceiling-high partitions shall have a minimum of one manual control (on/
off switch) for lighting in that space. Additional manual controls shall 
be provided for each task location or for each group of task locations 
within an area of 450 ft\2\ or less. For spaces with only one lighting 
fixture or with a single ballast, one manual control is required. 
Exceptions are as follows:
    401.3.4.2.1 Continuous lighting for security;
    401.3.4.2.2 Systems in which occupancy sensors, local programmable 
timers, or three-level (including OFF) step controls or preset dimming 
controls are substituted for manual controls at the rate of one for 
every two required manual controls, providing at least one control is 
installed for every 1500 watts of power.
    401.3.4.2.3 Systems in which four-level (including OFF) step 
controls or preset dimming controls or automatic or continuous dimming 
controls are substituted for manual controls at a rate of one for every 
three required manual controls, providing at least one control is 
installed for every 1500 watts of power.
    401.3.4.2.4 Spaces that must be used as a whole, such as public 
lobbies, retail stores, warehouses, and storerooms.
    401.3.4.3 Multiple Location Controls. Manual controls that operate 
the same load from multiple locations must be counted as one manual 
control.
    401.3.4.4 Control Accessibility. Lighting controls shall be readily 
accessible from within the space controlled. Exceptions are as follows: 
Controls for spaces that are to be used as a whole, automatic controls, 
programmable controls, controls requiring trained operators, and 
controls for safety hazards and security.
    401.3.4.5 Hotel and Motel Guest Room Control. Hotel and motel guest 
rooms and suites shall have at least one master switch at the main entry 
door that controls all permanently wired lighting fixtures and switched 
receptacles excluding bathrooms. The following exception applies: Where 
switches are provided at the entry to each room of a multiple-room 
suite.
    401.3.4.6 Switching of Exterior Lighting. Exterior lighting not 
intended for 24-hour use shall be automatically switched by either timer 
or photocell or a combination of timer and photocell. When used, timers 
shall be capable of seven-day and seasonal daylight schedule adjustment 
and have power backup for at least four hours.
    401.3.5 Ballasts.

[[Page 501]]

    401.3.5.1 Tandem Wiring. One-lamp or three-lamp fluorescent 
luminaries that are recess mounted within 10 ft center-to-center of each 
other, or pendant mounted, or surface mounted within 1 ft of each other, 
and within the same room, shall be tandem wired, unless three-lamp 
ballasts are used.
    401.3.5.2 Power Factor. All ballasts shall have a power factor of at 
least 90%, with the exception of dimming ballasts, and ballasts for 
circline and compact fluorescent lamps and low wattage high intensity 
discharge (HID) lamps not over 100 W.



Sec. 434.402  Building envelope assemblies and materials.

    The building envelope and its associated assemblies and materials 
shall meet the provisions of this section.
    402.1 Calculations and Supporting Information.
    402.1.1 Material Properties. Information on thermal properties, 
building envelope system performance, and component heat transfer shall 
be obtained from RS-4. When the information is not available from RS-4, 
(incorporated by reference, see Sec. 434.701) the data shall be 
obtained from manufacturer's information or laboratory or field test 
measurements using RS-5, RS-6, RS-7, or RS-8 (incorporated by reference, 
see Sec. 434.701).
    402.1.1.1 The shading coefficient (SC) for fenestration shall be 
obtained from RS-4 (incorporated by reference, see Sec. 434.701) or 
from manufacturer's test data. The shading coefficient of the 
fenestration, including both internal and external shading devices, is 
SCX and excludes the effect of external shading projections, 
which are calculated separately. The shading coefficient used for 
louvered shade screens shall be determined using a profile angle of 30 
degrees as found in Table 41, Chapter 27 of RS-4 (incorporated by 
reference, see Sec. 434.701).
    402.1.2 Thermal Performance Calculations. The overall thermal 
transmittance of the building envelope shall be calculated in accordance 
with Equation 402.1.2:
[GRAPHIC] [TIFF OMITTED] TR06OC00.022

Where:

Uo = the area-weighted average thermal transmittance of the 
gross area of the building envelope; i.e., the exterior wall assembly 
including fenestration and doors, the roof and ceiling assembly, and the 
floor assembly, Btu/(h[middot]ft\2\[middot][deg]F)
Ao = the gross area of the building envelope, ft\2\
Ui = the thermal transmittance of each individual path of the 
building envelope, i.e., the opaque portion or the fenestration, Btu/
(h[middot]ft\2\[middot][deg]F)
Ui = 1/Ri (where Ri is the total 
resistance to heat flow of an individual path through the building 
envelope)
Ai = the area of each individual element of the building 
envelope, ft\2\

    The thermal transmittance of each component of the building envelope 
shall be determined with due consideration of all major series and 
parallel heat flow paths through the elements of the component and film 
coefficients and shall account for any compression of insulation. The 
thermal transmittance of opaque elements of assemblies shall be 
determined using a series path procedure with corrections for the 
presence of parallel paths within an element of the envelope assembly 
(such as wall cavities with parallel paths through insulation and 
studs). The thermal performance of adjacent ground in below-grade 
applications shall be excluded from all thermal calculations.
    402.1.2.1 Envelope Assemblies Containing Metal Framing. The thermal 
transmittance of the envelope assembly containing metal framing shall be 
determined from one of three methods:
    (a) Laboratory or field test measurements based on RS-5, RS-6, RS-7, 
or RS-8 (incorporated by reference, see Sec. 434.701).
    (b) The zone method described in Chapter 22 of RS-4 (incorporated by 
reference, see Sec. 434.701) and the formulas on page 22.10.

[[Page 502]]

    (c) For metal roof trusses or metal studs covered by Tables 
402.1.2.1a and b, the total resistance of the series path shall be 
calculated in accordance with the following Equations:
[GRAPHIC] [TIFF OMITTED] TR06OC00.023

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 (R-value of insulation x Fc). Values for 
Fc and equivalent resistances shall be taken from Tables 
402.1.2.1a or b.

 Table 402.1.2.1a--Parallel Path Correction Factors--Metal Roof Trusses
       Spaced 4 ft. o.c. or Greater That Penetrate the Insulation
------------------------------------------------------------------------
                                                             Equivalent
      Effective framing cavity R-values        Correction    resistance
                                                factor Fc      Re \1\
------------------------------------------------------------------------
R-0.........................................          1.00           R-0
R-5.........................................          0.96         R-4.8
R-10........................................          0.92         R-9.2
R-15........................................          0.88        R-13.2
R-20........................................          0.85        R-17.0
R-25........................................          0.81        R-20.3
R-30........................................          0.79        R-23.7
R-35........................................          0.76        R-26.6
R-40........................................          0.73        R-29.2
R-45........................................          0.71        R-32.0
R-50........................................          0.69        R-34.5
R-55........................................          0.67       R-36.0
------------------------------------------------------------------------
\1\ Based on 0.66-inch-diameter cross members every one foot.


       Table 402.1.2.1b--Parallel Path Correction Factors--Metal Framed Walls With Studs 16 Ga. or Lighter
----------------------------------------------------------------------------------------------------------------
                                                                                                     Equivalent
           Size of members             Spacing of  framing,    Cavity  insulation R-   Correction    resistance
                                                in.                    Value            factor Fc        Re
----------------------------------------------------------------------------------------------------------------
2 x 4...............................  16 O.C.                 R-11                            0.50         R-5.5
                                                              R-13                            0.46         R-6.0
                                                              R-15                            0.43         R-6.4
2 x 4...............................  24 O.C.                 R-11                            0.60         R-6.6
                                                              R-13                            0.55         R-7.2
                                                              R-15                            0.52         R-7.8
2 x 6...............................  16 O.C.                 R-19                            0.37         R-7.1
                                                              R-21                            0.35         R-7.4
2 x 6...............................  24 O.C.                 R-19                            0.45         R-8.6
                                                              R-21                            0.43         R-9.0
2 x 8...............................  16 O.C.                 R-25                            0.31         R-7.8
2 x 8...............................  24 O.C.                 R-25                            0.38         R-9.6
----------------------------------------------------------------------------------------------------------------

    402.1.2.2 Envelope Assemblies Containing Nonmetal Framing. The 
thermal transmittance of the envelope assembly shall be determined from 
laboratory or field test measurements based on RS-5, RS-6, RS-7, or RS-8 
(incorporated by reference, see Sec. 434.701) or from the series-
parallel (isothermal planes) method provided in page 23.2 of Chapter 23 
of RS-4 (incorporated be reference, see Sec. 434.701).
    402.1.2.3 Metal Buildings. For elements with internal metallic 
structures bonded on one or both sides to a metal skin or covering, the 
calculation procedure specified in RS-9 (incorporated by reference, see 
Sec. 434.701) shall be used.
    402.1.2.4 Fenestration Assemblies. Determine the overall thermal 
transmittance of fenestration assemblies in accordance with RS-18 and 
RS-19 (incorporated by reference, see Sec. 434.701) or by calculation. 
Calculation of the overall thermal transmittance of fenestration 
assemblies shall consider the center-of-glass, edge-of-glass, and frame 
components.
    (a) The following equation 402.1.2.4a shall be used.

[[Page 503]]

[GRAPHIC] [TIFF OMITTED] TR06OC00.024

Where:

Uof = the overall thermal transmittance of the fenestration 
assemblies, including the center-of-glass, edge-of-glass, and frame 
components, Btu/(h[middot]ft\2\[middot][deg]F)
i = numerical subscript (1, 2, . . .n) refers to each of the various 
fenestration types present in the wall
n = the number of fenestration assemblies in the wall assembly
Ucg = the thermal transmittance of the center-of-glass area, 
Btu/(h[middot]ft\2\[middot][deg]F)
Acg = the center of glass area, that is the overall visible 
glass area minus the edge-of-glass area, ft\2\
Ueg = the thermal transmittance of the edge of the visible 
glass area including the effects of spacers in multiple glazed units, 
Btu/(h[middot]ft\2\[middot][deg]F)
Aeg = the edge of the visible glass area, that is the 2.5 in. 
perimeter band adjacent to the frame, ft\2\
Uf = the thermal transmittance of the frame area, Btu/
(h[middot]ft\2\[middot][deg]F)
Af = the frame area that is the overall area of the entire 
glazing product minus the center-of-glass area and minus the edge-of-
glass area, ft\2\

    (b) Values of Uof shall be based on one of the following 
methods:
    (1) Results from laboratory test of center-of-glass, edge-of-glass, 
and frame assemblies tested as a unit at winter conditions. One of the 
procedures in Section 8.3.2 of RS-1 (incorporated by reference, see 
Sec. 434.701) shall be used.
    (2) Overall generic product C (commercial) in Table 13, Chapter 27, 
of the RS-4 (incorporated by reference, see Sec. 434.701). The generic 
product C in Table 13, Chapter 27, is based on a product of 24 ft\2\. 
Larger units will produce lower U-values and thus it is recommended to 
use the calculation procedure detailed in Equation 402.1.2.4a.
    (3) Calculations based on the actual area for center-of-glass, edge-
of-glass, and frame assemblies and on the thermal transmittance of 
components derived from 402.1.2.4a, 402.1.2.4b or a combination of the 
two.
    402.1.3 Gross Areas of Envelope Components.
    402.1.3.1 Roof Assembly. The gross area of a roof assembly shall 
consist of the total surface of the roof assembly exposed to outside air 
or unconditioned spaces and is measured from the exterior faces of 
exterior walls and centerline of walls separating buildings. The roof 
assembly includes all roof or ceiling components through which heat may 
flow between indoor and outdoor environments, including skylight 
surfaces but excluding service openings. For thermal transmittance 
purposes when return air ceiling plenums are employed, the roof or 
ceiling assembly shall not include the resistance of the ceiling or the 
plenum space as part of the total resistance of the assembly.
    402.1.3.2 Floor Assembly. The gross area of a floor assembly over 
outside or unconditioned spaces shall consist of the total surface of 
the floor assembly exposed to outside air or unconditioned space and is 
measured from the exterior face of exterior walls and centerline of 
walls separating buildings. The floor assembly shall include all floor 
components through which heat may flow between indoor and outdoor or 
unconditioned space environments.
    402.1.3.3 Wall Assembly. The gross area of exterior walls enclosing 
a heated or cooled space is measured on the exterior and consists of the 
opaque

[[Page 504]]

walls, including between-floor spandrels, peripheral edges of flooring, 
window areas (including sash), and door areas but excluding vents, 
grilles, and pipes.
    402.2 Air Leakage and Moisture Mitigation. The requirements of this 
section shall apply only to those building components that separate 
interior building conditioned space from the outdoors or from 
unconditioned space or crawl spaces. Compliance with the criteria for 
air leakage through building components shall be determined by tests 
conducted in accordance with RS-10 (incorporated by reference, see Sec. 
434.701).
    402.2.1 Air Barrier System. A barrier against leakage shall be 
installed to prevent the leakage of air through the building envelope 
according to the following requirements:
    (a) The air barrier shall be continuous at all plumbing and heating 
penetrations of the building opaque wall.
    (b) The air barrier shall be sealed at all penetrations of the 
opaque building wall for electrical and telecommunications equipment.

            Table 402.2.1--Air Leakage for Fenestration and Doors Maximum Allowable Infiltration Rate
----------------------------------------------------------------------------------------------------------------
                                                                                 cfm/lin ft Sash  crack or cfm/
                Component                          Reference  standard                   ft\2\  of area
----------------------------------------------------------------------------------------------------------------
               Fenestration
Aluminum:
    Operable.............................  RS-11*                              0.37 cfm/lin ft.
    Jalousie.............................  RS-11*                              1.50 cfm/ft\2\.
    Fixed................................  RS-11*                              0.15 cfm/ft\2\.
Poly Vinyl Chloride (PVC):
    Prime Windows........................  RS-12*                              0.37 cfm/ft\2\.
Wood:
    Residential..........................  RS-13*                              0.37 cfm/ft\2\.
    Light Commercial.....................  RS-13*                              0.25 cfm/ft\2\.
    Heavy Commercial.....................  RS-13*                              0.15 cfm/ft\2\.
Sliding Glass Doors:
    Aluminum.............................  RS-11*                              0.37 cfm/ft\2\.
    PVC..................................  RS-12*                              0.37 cfm/lin ft.
Doors--Wood:
    Residential..........................  RS-14*                              0.34 cfm/ft\2\.
    Light Commercial.....................  RS-14*                              0.25 cfm/ft\2\.
    Heavy Commercial.....................  RS-14*                              0.10 cfm/ft\2\.
Commercial Entrance Doors................  RS-10*                              1.25 cfm/ft\2\.
Residential Swinging Doors...............  RS-10*                              0.50 cfm/ft\2\.
Wall Sections Aluminum...................  RS-10*                              0.06 cfm/ft\2\.
----------------------------------------------------------------------------------------------------------------
Note: [The ``Maximum Allowable Infiltration Rates'' are from current standards to allow the use of available
  products.]
* Incorporated by reference, see Sec. 434.701.

    402.2.2 Building Envelope. The following areas of the building 
envelope shall be sealed, caulked, gasketed, or weatherstripped to limit 
air leakage:
    (a) Intersections of the fenestration and door frames with the 
opaque wall sections.
    (b) Openings between walls and foundations, between walls and roof 
and wall panels.
    (c) Openings at penetrations of utility service through, roofs, 
walls, and floors.
    (d) Site built fenestration and doors.
    (e) All other openings in the building envelope.
    Exceptions are as follows: Outside air intakes, exhaust outlets, 
relief outlets, stair shaft, elevator shaft smoke relief openings, and 
other similar elements shall comply with subsection 403.
    402.2.2.1 Fenestration and Doors Fenestration and doors shall meet 
the requirements of Table 402.2.1.
    402.2.2.2 Building Assemblies Used as Ducts or Plenums. Building 
assemblies used as ducts or plenums shall be sealed, caulked, and 
gasketed to limit air leakage.
    402.2.2.3 Vestibules. A door that separates conditioned space from 
the exterior shall be equipped with an enclosed vestibule with all doors 
opening into and out of the vestibule equipped with self-closing 
devices. Vestibules shall be

[[Page 505]]

designed so that in passing through the vestibule, it is not necessary 
for the interior and exterior doors to open at the same time. Exceptions 
are as follows: Exterior doors need not be protected with a vestibule 
where:
    (a) The door is a revolving door.
    (b) The door is used primarily to facilitate vehicular movement or 
material handling.
    (c) The door is not intended to be used as a general entrance door.
    (d) The door opens directly from a dwelling unit.
    (e) The door opens directly from a retail space less than 2,000 
ft\2\ in area, or from a space less than 1,500 ft\2\ for other uses.
    (f) In buildings less than three stories in building height in 
regions that have less than 6,300 heating degree days base 65[deg]F.
    402.2.2.4 Compliance Testing. All buildings shall be tested after 
completion using the methodology in RS-11, (incorporated by reference, 
see Sec. 434.701) or an equivalent approved method to determine the 
envelope air leakage. A standard blower door test is an acceptable 
technique to pressurize the building if the building is 5,000 ft\2\ or 
less in area. The buildings's air handling system can be used to 
pressurize the building if the building is larger than 5,000 ft\2\. The 
following test conditions shall be:
    (a) The measured envelope air leakage shall not exceed 1.57 pounds 
per square foot of wall area at a pressure difference of 0.3 inches 
water.
    (b) At the time of testing, all windows and outside doors shall be 
installed and closed, all interior doors shall be open, and all air 
handlers and dampers shall be operable. The building shall be 
unoccupied.
    (c) During the testing period, the average wind speed during the 
test shall be less than 6.6 feet per second, the average outside 
temperature greater than 59[deg]F, and the average inside-outside 
temperature difference is less than 41[deg]F.
    402.2.2.5 Moisture Migration. The building envelope shall be 
designed to limit moisture migration that leads to deterioration in 
insulation or equipment performance as determined by the following 
construction practices:
    (a) A vapor retarder shall be installed to retard, or slow down the 
rate of water vapor diffusion through the building envelope. The 
position of the vapor retarder shall be determined taking into account 
local climate and indoor humidity levels. The methodologies presented in 
Chapter 20 of RS-4 (incorporated by reference, see Sec. 434.701) shall 
be used to determine temperature and water vapor profiles through the 
envelope systems to assess the potential for condensation within the 
envelope and to determine the position of the vapor retarder within the 
envelope system.
    (b) The vapor retarder shall be installed over the entire building 
envelope.
    (c) The perm rating requirements of the vapor retarder shall be 
determined using the methodologies contained in Chapter 20 of RS-4, 
(incorporated by reference, see Sec. 434.701) and shall take into 
account local climate and indoor humidity level. The vapor retarder 
shall have a performance rating of 1 perm or less.
    402.3 Thermal Performance Criteria.
    402.3.1 Roofs; Floors and Walls Adjacent to Unconditioned Spaces. 
The area weighted average thermal transmittance of roofs and also of 
floors and walls adjacent to unconditioned spaces shall not exceed the 
criteria in Table 402.3.1a. Exceptions are as follows: Skylights for 
which daylight credit is taken may be excluded from the calculations of 
the roof assembly Uor if all of the following conditions are 
met:
    (a) The opaque roof thermal transmittance is less than the criteria 
in Table 402.3.1b.
    (b) Skylight areas, including framing, as a percentage of the roof 
area do not exceed the values specified in Table 402.3.1b. The maximum 
skylight area from Table 402.3.1b 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. For shell buildings, the permitted skylight 
area shall be based on a light level of 30 foot candles and a lighting 
power density (LPD) of less than 1.0 w/ft \2\. For speculative 
buildings, the permitted skylight area shall be based on the unit 
lighting power allowance from Table 401.3.2a and an illuminance level

[[Page 506]]

as follows: for LPD < 1.0, use 30 footcandles; for 1.0 < LPD < 2.5, use 
50 footcandles; and for LPD = 2.5, use 70 footcandles.
    (c) All electric lighting fixtures within daylighted zones under 
skylights are controlled by automatic daylighting controls.
    (d) The Uo of the skylight assembly including framing 
does not exceed------------Btu/(h[middot]ft \2\[middot][deg]F) [Use 0.70 
for <= 8000 HDD65 and 0.45 for 8000 HDD65 or both if the 
jurisdiction includes cities that are both below and above 8000 HDD65.]
    (e) Skylight curb U-value does not exceed 0.21 Btu/(h[middot]ft 
\2\[middot][deg]F).
    (f) The infiltration coefficient of the skylights does not exceed 
0.05 cfm/ft \2\.
    402.3.2 Below-Grade Walls and Slabs-on-Grade. The thermal resistance 
(R-value) of insulation for slabs-on-grade, or the overall thermal 
resistance of walls in contact with the earth, shall be equal to or 
greater than the values in Table 402.3.2.
    402.4 Exterior Walls. Exterior walls shall comply with either 
402.4.1 or 402.4.2.
    402.4.1 Prescriptive Criteria. (a) The exterior wall shall be 
designed in accordance with subsections 402.4.1.1 and 402.4.1.2. When 
the internal load density range is not known, the 0-1.50 W/ft \2\ range 
shall be used for residential, hotel/motel guest rooms, or warehouse 
occupancies; the 3.01-3.50 w/ft \2\ range shall be used for retail 
stores smaller than 2,000 ft \2\ and technical and vocational schools 
smaller than 10,000 ft \2\; and the 1.51-3.00 W/ft \2\ range shall be 
used for all other occupancies and building sizes. When the building 
envelope is designed or constructed prior to knowing the building 
occupancy type, an internal load density of ------ W/ft \2\ shall be 
used. [Use 3.0 W/ft \2\ for HDD65 <3000, 2.25 W/ft \2\ for 3000 < HDD65 
< 6000, and 1.5 W/ft \2\ for HDD65  6000.]
    (b) When more than one condition exists, area weighted averages 
shall be used. This requirement shall apply to all thermal 
transmittances, shading coefficients, projection factors, and internal 
load densities rounded to the same number of decimal places as shown in 
the respective table.
    402.4.1.1 Opaque Walls. The weighted average thermal transmittance 
(U-value) of opaque wall elements shall be less than the values in Table 
402.4.1.1. For mass walls (HC = 5), criteria are presented 
for low and high window/wall ratios and the criteria shall be determined 
by interpolating between these values for the window/wall ratio of the 
building.
    402.4.1.2 Fenestration. The design of the fenestration shall meet 
the criteria of Table 402.4.1.2. When the fenestration columns labeled 
``Perimeter Daylighting'' are used, automatic daylighting controls shall 
be installed in the perimeter daylighted zones of the building. These 
daylighting controls shall be capable of reducing electric lighting 
power to at least 50% of full power. Only those shading or lighting 
controls for perimeter daylighting that are shown on the plans shall be 
considered. The column labeled ``VLT  = SC'' shall be used 
only when the shading coefficient of the glass is less than its visible 
light transmittance.

                               Appendix A

    The example Alternate Component Package tables illustrate the 
requirements of subsections 434.301.1, 434.402.3.1, 434.402.3.2, 
434.402.4.1.1 and 434.402.4.1.2. Copies of specific tables contained in 
this Appendix A can be obtained from the Energy Code for Federal 
Commercial Buildings, Docket No. EE-RM-79-112-C, EE-43, Office of 
Building Research and Standards, U.S. Department of Energy, Room 1J-018, 
1000 Independence Avenue, SW., Washington, DC 20585, (202) 586-9127.

[[Page 507]]

[GRAPHIC] [TIFF OMITTED] TR06OC00.011

    402.4.2 System Performance Criteria. The cumulative annual energy 
flux attributable to thermal transmittance and solar gains shall be less 
than the criteria determined using the ENVSTD24 computer program in 
Standard 90.1-1989, or the equations in RS-1, (incorporated by 
reference, see Sec. 434.701) Attachment 8-B. The cumulative annual 
energy flux shall be calculated using the ENVSTD24 computer program or 
the equations in RS-1, (incorporated by reference, see Sec. 434.701) 
Attachment 8-B.

[[Page 508]]



                                Table 402.4.2--EQUIP Default Values for ENVSTD24
----------------------------------------------------------------------------------------------------------------
                                                                      Default                         Default
                                                                     equipment        Default        adjusted
                            Occupancy                              power density   occupant load     equipment
                                                                        \1\       adjustment \1\   power density
----------------------------------------------------------------------------------------------------------------
Assembly........................................................            0.25            0.75            1.00
Health/Institutional............................................            1.00           -0.26            0.74
Hotel/Motel.....................................................            0.25           -0.33            0.00
Warehouse/Storage...............................................            0.10           -0.60            0.00
Multi-Family High Rise..........................................            0.75             N/A            0.00
Office..........................................................            0.75           -0.35            0.40
Restaurant......................................................            0.10            0.07            0.17
Retail..........................................................            0.25           -0.38            0.00
School..........................................................            0.50            0.30           0.80
----------------------------------------------------------------------------------------------------------------
\1\ Defaults as defined in Section 8.6.10.5, Table 8-4, and Sections 8.6.10.6 and 13.7.2.1, Table 13-2 from RS-1
  (incorporated by reference, see Sec. 434.701).

    402.4.2.1 Equipment Power Density (EQUIP). The equipment power 
density used in the ENVSTD24 computer program shall use the actual 
equipment power density from the building plans and specifications or be 
taken from Table 402.4.2 using the column titled ``Default Adjusted 
Equipment Power Density'' or calculated for the building using the 
procedures of RS-1. (incorporated by reference, see Sec. 434.701). The 
program limits consideration of the equipment power density to a maximum 
of 1 W/ft \2\.
    402.4.2.2 Lighting Power Density (LIGHTS). The lighting power 
density used in the ENVSTD24 computer program shall use the actual 
lighting power density from the building plans and specifications or the 
appropriate value from Tables 401.3.2a, b, c, or d.
    402.4.2.3 Daylighting Control Credit Fraction (DLCF). When the 
daylighting control credit fraction is other than zero, automatic 
daylighting controls shall be installed in the appropriate perimeter 
zones(s) of the building to justify the credit.



Sec. 434.403  Building mechanical systems and equipment.

    Mechanical systems and equipment used to provide heating, 
ventilating, and air conditioning functions as well as additional 
functions not related to space conditioning, such as, but not limited 
to, freeze protection in fire projection systems and water heating, 
shall meet the requirements of this section.
    403.1 Mechanical Equipment Efficiency. When equipment shown in 
Tables 403.1a through 403.1f is used, it shall have a minimum 
performance at the specified rating conditions when tested in accordance 
with the specified reference standard. The reference standards listed in 
Tables 403.1a through 403.1f are incorporated by reference, see Sec. 
434.701. Omission of minimum performance requirements for equipment not 
listed in Tables 403.1a through 403.1f does not preclude use of such 
equipment.

     Table 403.1a--Unitary Air Conditioners and Condensing Units, Electrically Operated, Minimum Efficiency
                                                  Requirements
----------------------------------------------------------------------------------------------------------------
                                                        Subcategory or          Minimum         Test  procedure
         Equipment type              Size category     rating condition     Efficiency \2\            \1\
----------------------------------------------------------------------------------------------------------------
Air Conditioners, Air Cooled....  < 65,000 Btu/h....  Split system......  10.0 SEER.........  ARI 210/240
                                                      Single Package....  9.7 SEER..........  (RS-15)*
                                  =        Split System and    8.9 EER \3\.......  ARI 210/240
                                   65,000 Btu/h and    Single Package.    8.3 IPLV \3\......  (RS-15)*
                                   < 135,00.
                                  Btu/h.............
                                  =        Split System and    8.5 EER\3\........
                                   135,000 Btu/h and   Single Package.    7.5 IPLV\3\.......
                                   < 240,000 Btu/h.
                                  =        Split System and    8.5 EER\3\........  ARI-340/360
                                   240,000 Btu/h and   Single Package.    7.5 IPLV\3\.......  (RS-16)*
                                   < 760,000 Btu/h.
                                  =        Split System and    8.3 EER\3\........  ARI-340/360
                                   760,000 Btu/h.      Package.           7.5 IPLV\3\.......  (RS-16)*

[[Page 509]]

 
Air Conditioners, Water and       < 65,000 Btu/h....  Split System and    9.3 EER\3\........  ARI 210/240
 Evaporatively Cooled.                                 Single Package.    8.4 IPLV\3\.......  (RS-15)*
                                  =        Split System and    10.5 EER\c\.......  ARI 210/240
                                   65,000 Btu/h and    Single Package.    9.7 IPLV\c\.......  (RS-15)*
                                   < 135,000 Btu/h.
                                  =        Split System and    9.6 EER\c\........  ARI-340/360
                                   135,000 Btu/h and   Single Package.    9.0 IPLV\c\.......  (RS-16)*
                                   < 240,000 Btu/h.
                                  =        Split System and    9.6 EER\c\........  ARI-340/360
                                   240,000 Btu/h.      Single Package.    9.0 IPLV\c\.......  (RS-16)*
Condensing Units, Air Cooled....  135,000 Btu/h.....  ..................  9.9 EER...........  ARI 365
                                                                          11.0 IPLV.........  (RS-29)*
Condensing Units, Water or        135,000 Btu/h.....  ..................  12.9 EER..........  ARI 365
 Evaporatively Cooled.                                                    12.9 IPLV.........  (RS-29)*
----------------------------------------------------------------------------------------------------------------
\1\ See Subpart E for detailed references
\2\ IPLVs are only applicable to equipment with capacity modulation.
\3\ Deduct 0.2 from the required EERs and IPLVs for units that have a heating section.
* Incorporation by reference, see Sec. 434.701


      Table 403.1b--Unitary and Applied Heat Pumps, Electrically Operated, Minimum Efficiency Requirements
----------------------------------------------------------------------------------------------------------------
                                                        Subcategory or    Minimum efficiency
         Equipment type              Size category     rating condition           \2\         Test procedure \1\
----------------------------------------------------------------------------------------------------------------
Air Cooled (Cooling Mode).......  <65,000 Btu/h.....  Split System......  10.0 SEER.........  ARI 210/240
                                                      Single Package....  9.7 SEER..........  (RS-15)*
                                  =65,000  Split System and    8.9 EER \3\.......  ARI 210/240
                                   Btu/h and           Single Package.    8.3 IPLV \3\......  (RS-15)*
                                   <135,000 Btu/h.
                                  =135,00  Split System and    8.5 EER \3\.......  ARI-340/360
                                   0 Btu/h and         Single Package.    7.5 IPLV \3\......  (RS-16)*
                                   <240,000 Btu/h.
                                  =240,00  Split System and    8.5 EER \3\.......  ARI-340/360
                                   0 Btu/h.            Single Package.    7.5 IPLV \3\......  (RS-16)*
Water Source....................  <65,000 Btu/h.....  85 [deg]F Entering  9.3 EER...........  ARI-320
(Cooling Mode)..................                       Water.             10.2 EER..........  (RS-27)*
                                                      75 [deg]F Entering
                                                       Water.
                                  =65,000  85 [deg]F Entering  10.5 EER..........  ARI-320
                                   Btu/h and           Water.             11.0 EER..........  (RS-27)*
                                   <135,000.          75 [deg]F Entering
                                  Btu/h.............   Water.
Groundwater-Source (Cooling       <135,000 Btu/h....  70 F Entering       11.0 EER..........  ARI 325
 Mode).                                                Water.             11.5 EER..........  (RS-28)*
                                                      50 F Entering
                                                       Water.
Ground Source (Cooling Mode)....  <135,000 Btu/h....  77 F Entering       10.0 EER..........  ARI 325
                                                       Water.             10.4 EER..........  (RS-28)*
                                                      70 F Entering
                                                       Water.
Air Cooled (Heating Mode).......  <65,000 Btu/h       Split System......  6.8 HSPF..........  ARI 210/240
                                   (Cooling           Single Package....  6.6 HSPF..........  (RS-15)*
                                   Capacity).
                                  65,000 Btu/h and    47 F db/43 F wb     3.00 COP..........  ARI 210/240
                                   <135,000 Btu/h      Outdoor Air.       2.00 COP..........  (RS-15)*
                                   (Cooling           17 F db/15 F wb
                                   Capacity).          Outdoor Air.
                                  135,000 Btu/h       47 F db/43 F wb     2.90 COP..........  ARI-340/360
                                   (Cooling            Outdoor Air.       2.00 COP..........  (RS-1/)*
                                   Capacity).         17 F db/15 F wb
                                                       Outdoor.
Water-Source (Heating Mode).....  <135,000 Btu/h      70 F Entering       3.80 COP..........  ARI-320
                                   (Cooling            Water.             3.90 COP..........  (RS-27)*
                                   Capacity).         75 F Entering
                                                       Water.
Groundwater-Source (Heating       <135,000 Btu/h      70 F Entering       3.40 COP..........  ARI 325
 Mode).                            (Cooling            Water.             3.00 COP..........  (RS-28)*
                                   Capacity).         50 F Entering
                                                       Water.
Ground Source (Heating Mode)....  <135,000 Btu/h      32 F Entering       2.50 EER..........  ARI-330
                                   (Cooling            Water.             2.70 EER..........  (RS-45)*
                                   Capacity).         41 F Entering
                                                       Water.
----------------------------------------------------------------------------------------------------------------
\1\ See Subpart E for detailed references.
\2\ IPLVs are only applicable to equipment with capacity modulation.
\3\ Deduct 0.2 from the required EERs and IPLVs for units that have a heating section.
* Incorporation by reference, see Sec. 434.701.


[[Page 510]]


                     Table 403.1c--Water Chilling Packages, Minimum Efficiency Requirements
----------------------------------------------------------------------------------------------------------------
                                                        Subcategory or    Minimum efficiency
         Equipment type              Size category     rating condition           \2\         Test procedure \1\
----------------------------------------------------------------------------------------------------------------
Air-Cooled, With Condenser,       <150 Tons.........  2.70 COP..........  2.50 COP..........  ARI 550
 Electrically Operated.           =150     2.80 IPLV.........  2.50 IPLV.........   Centrifugal/
                                   Tons.                                                       Rotary Screw (RS-
                                                                                               30)* or ARI 590
                                                                                               Reciprocating (RS-
                                                                                               31)*
Air-Cooled, Without Condenser,    All Capacities....  ..................  3.10 COP
 Electrically Operated.                                                   3.20 IPLV.........
Water Cooled, Electrically        All Capacities....  ..................  3.80 COP
 Operated, Positive Displacement                                          3.90 IPLV.........
 (Reciprocating).
Water Cooled, Electrically        <150 Tons                               3.80 COP
 Operated, Positive Displacement  =150     ..................  3.90 IPLV.........
 (Rotary Screw and Scroll).        Tons and <300                          4.20 COP..........
                                   Tons.                                  4.50 IPLV.........
                                  =300                         5.20 COP..........
                                   Tons.                                  5.30 IPLV.........
Water-Cooled, Electrically        <150 Tons.........                      3.80 COP..........  ARI 550
 Operated, Centrifugal.           150 Tons and <300   ..................  3.90 IPLV.........  (RS-30)*
                                   Tons.              ..................  4.20 COP..........
                                  300 Tons..........                      4.50 IPLV.........
                                                                          5.20 COP..........
                                                                          5.30 IPLV.........
Absorption Single Effect........  All Capacities....  ..................  0.48 COP..........
Absorption Double Effect,         All Capacities....  ..................  0.95 COP..........  ARI 560
 Indirect-Fired.                                                          1.00 IPLV.........  (RS-46)*
Absorption Double-Effect, Direct- All Capacities....  ..................  0.95 COP
 Fired.                                                                   1.00 IPLV ........
----------------------------------------------------------------------------------------------------------------
\1\ See Subpart E for detailed references.
\2\ Equipment must comply with all efficiencies when multiple efficiencies are indicated.
*Incorporation by reference, see Sec. 434.701.


 Table 403.1d--Packaged Terminal Air Conditioners, Packaged Terminal Heat Pumps, Room Air Conditioners, and Room
                Air-Conditioner Heat Pumps Electrically Operated, Minimum Efficiency Requirements
----------------------------------------------------------------------------------------------------------------
                                                        Subcategory or    Minimum efficiency
         Equipment type              Size category     rating condition           \2\         Test procedure \1\
----------------------------------------------------------------------------------------------------------------
PTAC (Cooling Mode).............  All Capacities....  95[deg]F db         10.0- (0.16 x Cap/  ARI 310/380
                                                       Outdoor Air.        1,000) \3\EER.     (RS-17)*
                                                      ..................  12.2-(0.20 x Cap/   ARI 310/380
                                                      82[deg]F db          1,000) \3\EER.     (RS-17)*
                                                       Outdoor Air.
PTHP (Cooling Mode).............  All Capacities....  95[deg]F db         10.0-(0.16 x Cap/
                                                       Outdoor Air.        1,000) \3\ EER.
                                                      ..................  12.2-(0.20 x Cap/
                                                      82[deg]F db          1,000) EER.
                                                       Outdoor Air.
PTHP (Heating Mode).............  All Capacities....  ..................  2.90-(0.026 x CAP/
                                                                           1,000) \3\ COP.
Room Air Conditioners, With       <6,000 Btu/h......  ..................  8.0 EER...........  ANSI/AHAM RAC-1
 Louvered Sides.                  =6,000                       8.5 EER...........  (RS-40)*
                                   Btu/h and <8,000                       ..................
                                   Btu/h.                                 9.0 EER...........
                                  =8,000                       ..................
                                   Btu/h and <14,000                      8.8 EER...........
                                   Btu/h.                                 ..................
                                  =14,000                      8.2 EER...........
                                   Btu/h and <20,000
                                   Btu/h.
                                  =20,000
                                   Btu/h.
Room Air Conditioner, Without     <6,000 Btu/h......  ..................  8.0 EER...........  ANSI/AHAM RAC-1
 Louvered Sides.                  =6,000                       8.5 EER...........  (RS-40)*
                                   Btu/h and <20,000                      ..................
                                   Btu/h.                                 8.2 EER...........
                                  =20,000
                                   Btu/h.
Room Air-Conditioner Heat Pumps   All Capacities....  ..................  8.5 EER...........  ANSI/AHAM RAC-1
 With Louvered Sides.                                                                         (RS-40)*
Room Air-Conditioner Heat Pumps   All Capacities....  ..................  8.0 EER...........  ANSI/AHAM RAC-1
 Without Louvered Sides.                                                                      (RS-40*
----------------------------------------------------------------------------------------------------------------
\1\ See Subpart E for detailed references.
\2\ Equipment must comply with all efficiencies when multiple efficiencies are indicated. (Note products covered
  by the 1992 Energy Policy Act have no efficiency requirement for operation at other than standard rating
  conditions for products manufactured after 1/1/94).

[[Page 511]]

 
\3\ Cap means the rated capacity of the product in Btu/h. If the unit's capacity is less than 7,000 Btu/h, use
  7,000 Btu/h in the calculation. If the unit's capacity is greater than 15,000 Btu/h, use 15,000 Btu/h in the
  calculation.
* Incorporation by reference, see Sec. 434.701.


Table 403.1e--Warm Air Furnaces and Combination Warm Air Furnaces/Air Conditioning Units, Warm Air Duct Furnaces
                                and Unit Heaters, Minimum Efficiency Requirements
----------------------------------------------------------------------------------------------------------------
                                                        Subcategory or          Minimum
         Equipment type              Size category     rating condition      efficiencyb,e    Test procedure \a\
----------------------------------------------------------------------------------------------------------------
Warm Air-Furnace, Gas-Fired.....  < 225,000 Btu/h...  ..................  78% AFUE or 80% Et  DOE 10 CFR 430
                                                                                              Appendix N
                                  =        Maximum Capacity c  80% Et............  ANSI Z21.47
                                   225,000 Btu/h.     Minimum Capacityc.  78% Et............  (RS-21)*
Warm Air-Furnace, Oil-Fired.....  < 225,000 Btu/h...  ..................  78% AFUE or 80%     DOE 10 CFR 430
                                                                           Et\d\.             Appendix N
                                  =        Maximum Capacity c  81% Et............  U.L. 727
                                   225,000 But/h.     Minimum Capacity..  81% Et............  (RS-22)*
Warm Air Duct Furnaces, Gas-      All Capacities....  Maximum Capacity c  78% Et............  ANSI Z83.9
 Fired.                                               Minimum Capacity..  75% Et............  (RS-23)
Warm Air Unit Heaters, Gas Fired  All Capacities....  Maximum Capacity c  78% Et............  ANSI Z83.8
                                                      Minimum Capacity..  74% Et............  (RS-24)*
Oil-Fired.......................  All Capacities....  Maximum Capacity c  81% Et............  U.L. 731
                                                      Minimum Capacity..  81% Et............  (RS-25)*
----------------------------------------------------------------------------------------------------------------
\a\ See Subpart E for detailed references.
\b\ Minimum and maximum ratings as provided for and allowed by the unit's controls.
\c\ Combination units not covered by NAECA (Three-phase power or cooling capacity = 65,000 Btu/h) may
  comply with either rating.
\d\ Et = thermal efficiency. See referenced document for detailed discussion.
\e\ Ec = combustion efficiency. Units must also include an IID and either power venting or a flue damper. For
  those furnaces where combustion air is drawn from the conditioned space, a vent damper may be substituted for
  a flue damper.
* Incorporation by reference, see Sec. 434.701


                   Table 403.1f--Boilers, Gas- and Oil-Fired, Minimum Efficiency Requirements
----------------------------------------------------------------------------------------------------------------
                                                        Subcategory or    Minimum efficiency
         Equipment type              Size category     rating condition           \b\         Test procedure \a\
----------------------------------------------------------------------------------------------------------------
 Boilers, Gas-Fired.............  <300,000 Btu/h....  Hot Water.........  80% AGUE..........  DOE 10 CFR 430
                                                                                              Appendix N
                                  ..................  Steam.............  75% AGUE..........  DOE 10 CFR 430
                                                                                              Appendix N
                                  <300,000 Btu/h....  Maximum Capacity c  80% Ec............  ANSI Z21.13
                                                      Minimum Capacity..  80% Ec............  (RS-32)*
Boilers, Oil-Fired..............  <300,000 Btu/h....  ..................  80% AGUE..........  DOE 10 CFR 430
                                                                                              (RS-20)*
                                  <300,000 Btu/h....  Maximum Capacity c  83% Ec............  U.L. 726
                                                      Minimum Capacity..  83% Ec............  (RS-33)*
Oil-Fired (Residual)............  <3000,000 Btu/h...  Maximum Capacity c  83% Ec............
                                                      Minimum Capacity..  83% Ec ...........
----------------------------------------------------------------------------------------------------------------
\a\ See Subpart E for detailed references.
\b\ Minimum and maximum ratings as provided for and allowed by the unit's controls.
\c\ Ec = combustion efficiency (100% less flue losses). See reference document for detailed information.
* Incorporation by reference, see Sec. 434.701.

    403.1.1 Where multiple rating conditions and/or performance 
requirements are provided, the equipment shall satisfy all stated 
requirements.
    403.1.2 Equipment used to provide water heating functions as part of 
a combination integrated system shall satisfy all stated requirements 
for the appropriate space heating or cooling category.
    403.1.3 The equipment efficiency shall be supported by data 
furnished by the manufacturer or shall be certified under a nationally 
recognized certification program or rating procedure.
    403.1.4 Where components, such as indoor or outdoor coils, from 
different manufacturers are used, the system designer shall specify 
component efficiencies whose combined efficiency meets the standards 
herein.
    403.2 HVAC Systems.
    403.2.1 Load Calculations. Heating and cooling system design loads 
for the purpose of sizing systems and equipment shall be determined in 
accordance with the procedures described in RS-1 (incorporated by 
reference, see Sec. 434.701) using the design parameters specified in 
subpart C of this part.

[[Page 512]]

    403.2.2 Equipment and System Sizing. Heating and cooling equipment 
and systems shall be sized to provide no more than the loads calculated 
in accordance with subsection 403.2.1. A single piece of equipment 
providing both heating and cooling must satisfy this provision for one 
function with the other function sized as small as possible to meet the 
load, within available equipment options. Exceptions are as follows:
    (a) When the equipment selected is the smallest size needed to meet 
the load within available options of the desired equipment line.
    (b) Standby equipment provided with controls and devices that allow 
such equipment to operate automatically only when the primary equipment 
is not operating.
    (c) Multiple units of the same equipment type with combined 
capacities exceeding the design load and provided with controls that 
sequence or otherwise optimally control the operation of each unit based 
on load.
    403.2.3 Separate Air Distribution System. Zones with special process 
temperature and/or humidity requirements shall be served by air 
distribution systems separate from those serving zones requiring only 
comfort conditions or shall include supplementary provisions so that the 
primary systems may be specifically controlled for comfort purposes 
only. Exceptions: Zones requiring only comfort heating or comfort 
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 comfort zones is no more than 25% of 
the total system supply air or the total conditioned floor area of the 
zones is less than 1000 ft2.
    403.2.4 Ventilation and Fan System Design. Ventilation systems shall 
be designed to be capable of reducing the supply of outdoor air to the 
minimum ventilation rates required by Section 6.1.3 of RS-41 
(incorporated by reference, see Sec. 434.701) through the use of return 
ducts, manually or automatically operated control dampers, fan volume 
controls, or other devices. Exceptions are as follows: Minimum outdoor 
air rates may be greater if:
    (a) Required to make up air exhausted for source control of 
contaminants such as in a fume hood.
    (b) Required by process systems.
    (c) Required to maintain a slightly positive building pressure. For 
this purpose, minimum outside air intake may be increased up to no 
greater than 0.30 air changes per hour in excess of exhaust quantities.
    403.2.4.1 Ventilation controls for variable or high occupancy areas. 
Systems with design outside air capacities greater than 3,000 cfm 
serving areas having an average design occupancy density exceeding 100 
people per 1,000 ft\2\ shall include means to automatically reduce 
outside air intake to the minimum values required by RS-41 (incorporated 
by reference, see Sec. 434.701) during unoccupied or low-occupancy 
periods. Outside air shall not be reduced below 0.14 cfm/ft\2\. Outside 
air intake shall be controlled by one or more of the following:
    (a) A clearly labeled, readily accessible bypass timer that may be 
used by occupants or operating personnel to temporarily increase minimum 
outside air flow up to design levels.
    (b) A carbon dioxide (CO2) control system having sensors 
located in the spaces served, or in the return air from the spaces 
served, capable of maintaining space CO2 concentrations below 
levels recommended by the manufacturer, but no fewer than one sensor per 
25,000 ft\2\ of occupied space shall be provided.
    (c) An automatic timeclock that can be programmed to maintain 
minimum outside air intake levels commensurate with scheduled occupancy 
levels.
    (d) Spaces equipped with occupancy sensors.
    403.2.4.2 Ventilation Controls for enclosed parking garages. Garage 
ventilation fan systems with a total design capacity greater than 30,000 
cfm shall have automatic controls that stage fans or modulate fan volume 
as required to maintain carbon monoxide (CO) below levels recommended in 
RS-41.
    403.2.4.3 Ventilation and Fan Power. The fan system energy demand of 
each HVAC system at design conditions shall not exceed 0.8 W/cfm of 
supply air for constant air volume systems and 1.25 W/cfm of supply air 
for variable-

[[Page 513]]

air-volume (VAV) systems. Fan system energy demand shall not include the 
additional power required by air treatment or filtering systems with 
pressure drops over 1 in. w.c. Individual VAV fans with motors 75 hp and 
larger shall include controls and devices necessary for the fan motor to 
demand no more than 30 percent of design wattage at 50 percent of design 
air volume, based on manufacturer's test data. Exceptions are as 
follows:
    (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 subsection 403.1.
    403.2.5 Pumping System Design. HVAC pumping systems used for comfort 
heating and/or comfort air conditioning that serve control valves 
designed to modulate or step open and closed as a function of load shall 
be designed for variable fluid flow and capable of reducing system flow 
to 50 percent of design flow or less. Exceptions are as follows:
    (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) Systems with a total pump system horse power <=10 hp.
    (d) Systems that comply with subsection 403.2.6.8 without exception.
    403.2.6 Temperature and Humidity Controls.
    403.2.6.1 System Controls. Each heating and cooling system shall 
include at least one temperature control device.
    403.2.6.2 Zone Controls. The supply of heating and cooling energy to 
each zone shall be controlled by individual thermostatic controls 
responding to temperature within the zone. For the purposes of this 
section, a dwelling unit is considered a zone. Exceptions are as 
follows: Independent perimeter systems that are designed to offset 
building envelope heat losses or gains or both may serve one or more 
zones also served by an interior system when the perimeter system 
includes at least one thermostatic control zone for each building 
exposure having exterior walls facing only one orientation for at least 
50 contiguous ft and the perimeter system heating and cooling supply is 
controlled by thermostat(s) located within the zone(s) served by the 
system.
    403.2.6.3 Zone Thermostatic Control Capabilities. Where used to 
control comfort heating, zone thermostatic controls shall be capable of 
being set locally or remotely by adjustment or selection of sensors down 
to 55[deg]F or lower. Where used to control comfort cooling, zone 
thermostatic controls shall be capable of being set locally or remotely 
by adjustment or selection of sensors up to 85[deg]F or higher. Where 
used to control both comfort heating and cooling, zone thermostatic 
controls shall be capable of providing a temperature range or deadband 
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. Exceptions are 
as follows:
    (a) Special occupancy or special usage conditions approved by the 
building official or
    (b) Thermostats that require manual changeover between heating and 
cooling modes.
    403.2.6.4 Heat Pump Auxiliary Heat. Heat pumps having supplementary 
electric resistance heaters shall have controls that prevent heater 
operation when the heating load can be met by the heat pump. 
Supplemental heater operation is permitted during outdoor coil defrost 
cycles not exceeding 15 minutes.
    403.2.6.5 Humidistats. Humidistats used for comfort purposes shall 
be capable of being set to prevent the use of fossil fuel or electricity 
to reduce relative humidity below 60% or increase relative humidity 
above 30%.
    403.2.6.6 Simultaneous Heating and Cooling. Zone thermostatic and 
humidistatic controls shall be capable of operating in sequence the 
supply of heating and cooling energy to the zone. Such controls shall 
prevent: Reheating; recooling; mixing or 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 
other simultaneous operation of heating and cooling systems to

[[Page 514]]

the same zone. Exceptions are as follows:
    (a) Variable-air-volume systems that, during periods of occupancy, 
are designed to reduce the air supply to each zone to a minimum before 
heating, recooling, or mixing takes place. This minimum volume shall be 
no greater than the larger of 30% of the peak supply volume, the minimum 
required to meet minimum ventilation requirements of the Federal agency. 
(0.4 cfm/ft\2\ of zone conditioned floor area, and 300 cfm).
    (b) Zones where special pressurization relationships or cross-
contamination requirements are such that variable-air-volume systems are 
impractical, such as isolation rooms, operating areas of hospitals and 
clean rooms.
    (c) At least 75% of the energy for reheating or for providing warm 
air in mixing systems is provided from a site-recovered or site-solar 
energy source.
    (d) Zones where specified humidity levels are required to satisfy 
process needs, such as computer rooms and museums.
    (e) Zones with a peak supply air quantity of 300 cfm or less.
    403.2.6.7 Temperature Reset for Air Systems. Air 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. Exception are as follows: Systems that comply with 
subsection 403.2.6.6 without using exceptions (a) or (b).
    403.2.6.8 Temperature Reset for Hydronic Systems. Hydronic systems 
of at least 600,000 Btu/hr design capacity 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. Exceptions are as 
follows:
    (a) Systems that comply with subsection 403.2.5 without exception or
    (b) Where the design engineer certifies to the building official 
that supply temperature reset controls cannot be implemented without 
causing improper operation of heating, cooling, humidification, or 
dehumidification systems.
    403.2.7 Off Hour Controls.
    403.2.7.1 Automatic Setback or Shutdown Controls. HVAC systems shall 
be equipped with automatic controls capable of accomplishing a reduction 
of energy use through control setback or equipment shutdown. Exceptions 
are as follows:
    (a) Systems serving areas expected to operate continuously or
    (b) Equipment with full load demands not exceeding 2 kW controlled 
by readily accessible, manual off-hour controls.
    403.2.7.2 Shutoff Dampers. Outdoor air supply and exhaust systems 
shall be provided with motorized or gravity dampers or other means of 
automatic volume shutoff or reduction. Exceptions are as follows:
    (a) Systems serving areas expected to operate continuously.
    (b) Individual systems which have a design airflow rate or 3000 cfm 
or less.
    (c) Gravity and other non-electrical ventilation systems controlled 
by readily accessible, manual damper controls.
    (d) Where restricted by health and life safety codes.
    403.2.7.3 Zone Isolation systems that serve zones that can be 
expected to operate nonsimultaneously for more than 750 hours per year 
shall include isolation devices and controls to shut off or set back the 
supply 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. For buildings 
where occupancy patterns are not known at the time of system design, 
such as speculative buildings, the designer may predesignate isolation 
areas. The grouping of zones on one floor into a single isolation area 
shall

[[Page 515]]

be permitted when the total conditioned floor area does not exceed 
25,000 ft\2\ per group.
    403.2.8 Economizer Controls.
    403.2.8.1 Each fan system shall be designed and capable of being 
controlled to take advantage of favorable weather conditions to reduce 
mechanical cooling requirements. The system shall include either: A 
temperature or enthalpy air economizer system that is capable of 
automatically modulating outside air and return air dampers to provide 
up to 85% of the design supply air quantity as outside air, or a water 
economizer system that is capable of cooling supply air by direct and/or 
indirect evaporation and is capable of providing 100% of the expected 
system cooling load at outside air temperatures of 50[deg]F dry-bulb/
45[deg]F wet-bulb and below. Exceptions are as follows:
    (a) Individual fan-cooling units with a supply capacity of less than 
3000 cfm or a total cooling capacity less than 90,000 Btu/h.
    (b) Systems with air-cooled or evaporatively cooled condensers that 
include extensive filtering equipment provided in order to meet the 
requirements of RS-41 (incorporated by reference, see Sec. 434.701).
    (c) Systems with air-cooled or evaporatively cooled condensers where 
the design engineer certifies to the building official that use of 
outdoor air cooling affects the operation of other systems, such as 
humidification, dehumidification, and supermarket refrigeration systems, 
so as to increase overall energy usage.
    (d) Systems that serve envelope-dominated spaces whose sensible 
cooling load at design conditions, excluding transmission and 
infiltration loads, is less than or equal to transmission and 
infiltration losses at an outdoor temperature of 60[deg]F.
    (e) Systems serving residential spaces and hotel or motel rooms.
    (f) Systems for which at least 75% of the annual energy used for 
mechanical cooling is provided from a site-recovered or site-solar 
energy source.
    (g) The zone(s) served by the system each have operable openings 
(windows, doors, etc.) with an openable area greater than 5% of the 
conditioned floor area. This applies only to spaces open to and within 
20 ft of the operable openings. Automatic controls shall be provided 
that lock out system mechanical cooling to these zones when outdoor air 
temperatures are less than 60[deg]F.
    403.2.8.2 Economizer systems shall be capable of providing partial 
cooling even when additional mechanical cooling is required to meet the 
remainder of the cooling load. Exceptions are as follows:
    (a) Direct-expansion systems may include controls to reduce the 
quantity of outdoor 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.
    (b) Systems in climates with less than 750 average operating 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.
    403.2.8.3 System design and economizer controls shall be such that 
economizer operation does not increase the building heating energy use 
during normal operation.
    403.2.9 Distribution System Construction and Insulation.
    403.2.9.1 Piping Insulation. All HVAC system piping shall be 
thermally insulated in accordance with Table 403.2.9.1. Exceptions are 
as follows:
    (a) Factory-installed piping within HVAC equipment tested and rated 
in accordance with subsection 403.1.
    (b) Piping that conveys fluids that have a design operating 
temperature range between 55[deg]F and 105[deg]F.
    (c) Piping that conveys fluids that have not been heated or cooled 
through the use of fossil fuels or electricity.

[[Page 516]]



                               Table 403.2.9.1--Minimum Pipe Insulation (in.) \a\
----------------------------------------------------------------------------------------------------------------
                                         Insulation conductivity a           Nominal pipe diameter (in.)
----------------------------------------------------------------------------------------------------------------
                                          Conductivity
 Fluid Design Operating Temp. Range (F)  Range Btu in./     Mean      <1.0    1.0 to   1.5 to    4.0 to    8.0
                                           (h ft\2\ F)    Temp. F              1.25      3.0      6.0
----------------------------------------------------------------------------------------------------------------
                          Heating systems (Steam, Steam Condensate, and Hot Water) b,c
----------------------------------------------------------------------------------------------------------------
350.........................       0.32-0.34        250      1.0      1.5      1.5       2.0      2.5
251-350................................       0.29-0.32        200      1.0      1.0      1.5       2.0      2.0
201-250................................       0.27-0.30        150      1.0      1.0      1.0       1.5      1.5
141-200................................       0.25-0.29        125      1.0      1.0      1.0       1.5      1.5
105-140................................       0.22-0.28        100      0.5      0.5      0.75      1.0      1.0
----------------------------------------------------------------------------------------------------------------
                                     Domestic and Service Hot Water Systems
----------------------------------------------------------------------------------------------------------------
105 and Greater........................       0.22-0.28        100      0.5      0.5      0.75      1.0      1.0
----------------------------------------------------------------------------------------------------------------
                            Cooling Systems (Chilled Water, Brine, and Refrigerant) d
----------------------------------------------------------------------------------------------------------------
40-55..................................       0.22-0.28        100      0.5      0.5      0.5       0.5      0.5
Below 40...............................       0.22-0.28        100      0.5      0.5      0.5       0.5     0.5
----------------------------------------------------------------------------------------------------------------
a For insulation outside the stated conductivity range, the minimum thickness (T) shall be determined as
  follows: T=r1+t/r)K/k-1{time}
Where T = minimum insulation thickness (in), r = actual outside radius of pipe (in), t = insulation thickness
  listed in this table for applicable fluid temperature and pipe size, K = conductivity of alternate material at
  mean rating temperature indicated for the applicable fluid temperature (Btu in/h ft\2\ F); and k = the upper
  value of the conductivity range listed in this table for the applicable fluid temperature.
b These thicknesses are based on energy efficiency considerations only. Safety issues, such as insulation
  surface temperatures, have not been considered.
c Piping insulation is not required between the control valve and coil on run-outs when the control valve is
  located within four feet of the coil and the pipe diameter is 1 inch or less.
d Note that the required minimum thickness does not take water vapor transmission and possible surface
  condensation into account.


                                                  Table 403.2.9.2--Minimum Duct Insulation R-value \a\
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                  Cooling supply ducts                                   Heating supply ducts
                               ---------------------------------------------------------------------------------------------------------------
         Duct location                                    1,000<                                       1,500<     4,500<                         Return
                                   CDD65    500< CDD65     CDD65       CDD65 =2,000         <=1,500    <=4,500    <=7,500        eq>=7,500
--------------------------------------------------------------------------------------------------------------------------------------------------------
Exterior of Building..........  R-3.3.....  R-5.0.....  R-6.5.....  R-8.0..............  R-3.3.....  R-5.0....  R-6.5....  R-8.0.............  R-5.0
Ventilated Attic..............  R-3.3.....  R-3.3.....  R-3.3.....  R-5.0..............  R-5.0.....  R-5.0....  R-5.0....  R-5.0.............  R-3.3
Unvented Attic................  R-5.0.....  R-5.0.....  R-5.0.....  R-5.0..............  R-5.0.....  R-5.0....  R-5.0....  R-5.0.............  R-3.3
Other Conditioned Spaces b....  R-3.3.....  R-3.3.....  R-3.3.....  R-3.3..............  R-3.3.....  R-3.3....  R-3.3....  R-3.3.............  R-3.3
Indirectly Conditioned Spaces   none......  R-3.3.....  R-3.3.....  R-3.3..............  R-3.3.....  R-3.3....  R-3.3....  R-3.3.............  none
 c.
Buried........................  none......  none......  none......  none...............  R-5.0.....  R-5.0....  R-5.0....  R-5.0.............  R-3.3
--------------------------------------------------------------------------------------------------------------------------------------------------------
a Insulation R-values, measured in (h.ft \2\.[deg]F)/Btu, are for the insulation as installed and do not include film resistance. The required minimum
  thickness do not consider water vapor transmission and possible surface condensation. The required minimum thicknesses do not consider water vapor
  transmission and condensation. For ducts that are designed to convey both heated and cooled air, duct insulation shall be as required by the most
  restrictive condition. Where exterior walls are used as plenum walls, wall insulation shall be as required by the most restrictive condition of this
  section or subsection 402. Insulation resistance measured on a horizontal plane in accordance with RS-6 (incorporated by reference, see Sec.
  434.701) at a mean temperature of 75 [deg]F. RS-6 is in incorporated by reference at Sec. 434.701.
b Includes crawl spaces, both ventilated and non-ventilated.
c Includes return air plenums, with and without exposed roofs above.

    403.2.9.2Duct and Plenum Insulation. All supply and return air ducts 
and plenums installed as part of an HVAC air distribution system shall 
be thermally insulated in accordance with Table 403.2.9.1. Exceptions 
are as follows:
    (a) Factory-installed plenums, casings, or ductwork furnished as a 
part of the HVAC equipment tested and rated in accordance with 
subsection 403.1
    (b) Ducts within the conditioned space that they serve. 
(incorporated by reference, see Sec. 434.701)ca a06oc0.186
    403.2.9.3  Duct and Plenum Construction. All air-handling ductwork 
and plenums shall be constructed and erected in accordance with RS-34, 
RS-

[[Page 517]]

35, and RS-36 (incorporated by reference, see Sec. 434.701). Where 
supply ductwork and plenums designed to operate at static pressures from 
0.25 in. wc to 2 in. wc, inclusive, are located outside of the 
conditioned space or in return plenums, joints shall be sealed in 
accordance with Seal Class C as defined in RS-34 (incorporated by 
reference, see Sec. 434.701). Pressure sensitive tape shall not be used 
as the primary sealant where such ducts are designed to operate at 
static pressures of 1 in. wc, or greater.
    403.2.9.3.1 Ductwork designed to operate at static pressures in 
excess of 3 in. wc shall be leak-tested in accordance with Section 5 of 
RS-35, (incorporated by reference, see Sec. 434.701), or equivalent. 
Test reports shall be provided in accordance with Section 6 of RS-35, 
(incorporated by reference, see Sec. 434.701)m 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 RS-35 (incorporated by reference, see Sec. 
434.701). Representative sections totaling at least 25% of the total 
installed duct area for the designated pressure class shall be tested.
    403.2.10 Completion.
    403.2.10.1 Manuals. Construction documents shall require an 
operating and maintenance manual provided to the Federal Agency. The 
manual shall include, at a minimum, the following:
    (a) Submittal data stating equipment size and selected options for 
each piece of equipment requiring maintenance, including assumptions 
used in outdoor design calculations.
    (b) Operating and maintenance manuals for each piece of equipment 
requiring maintenance. Required maintenance activity shall be specified.
    (c) Names and addresses of at least one qualified service agency to 
perform the required periodic maintenance shall be provided.
    (d) HVAC controls systems maintenance and calibration information, 
including wiring diagrams, schematics, and control sequence 
descriptions. Desired or field determined setpoints shall be permanently 
recorded on control drawings, at control devices, or, for digital 
control systems, in programming comments.
    (e) A complete narrative, prepared by the designer, of how each 
system is intended to operate shall be included with the construction 
documents.
    403.2.10.2 Drawings. Construction documents shall require that 
within 30 days after the date of system acceptance, record drawings of 
the actual installation be provided to the Federal agency. The drawings 
shall include details of the air barrier installation in every envelope 
component, demonstrating continuity of the air barrier at all joints and 
penetrations.
    403.2.10.3 Air System Balancing. Construction documents shall 
require that all HVAC systems be balanced in accordance with the 
industry accepted procedures (such as National Environmental Balancing 
Bureau (NEBB) Procedural Standards, Associated Air Balance Council 
(AABC) National Standards, or ANSI/ASHRAE Standard 111). Air and water 
flow rates shall be measured and adjusted to deliver final flow rates 
within 10% of design rates, except variable flow distribution systems 
need not be balanced upstream of the controlling device (VAV box or 
control valve).
    403.2.10.3.1 Construction documents shall require a written balance 
report be provided to the Federal agency for HVAC systems serving zones 
with a total conditioned area exceeding 5,000 ft\2\.
    403.2.10.3.2 Air systems shall be balanced in a manner to first 
minimize throttling losses, then fan speed shall be adjusted to meet 
design flow conditions or equivalent procedures. Exceptions are as 
follows: Damper throttling may be used for air system balancing;
    (a) With fan motors of 1 hp (0.746 kW) or less, or
    (b) Of throttling results in no greater than \1/3\ hp (0.248 kW) fan 
horsepower draw above that required if the fan speed were adjusted.
    403.2.10.4 Hydronic System Balancing. Hydronic systems shall be 
balanced in a manner to first minimize throttling losses; then the pump 
impeller shall be trimmed or pump speed shall be adjusted to meet design 
flow conditions. Exceptions are as follows:

[[Page 518]]

    (a) Pumps with pump motors of 10 hp (7.46 kW) or less.
    (b) If throttling results in no greater than 3 hp (2.23 kW) pump 
horsepower draw 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.
    403.2.10.5 Control System Testing. HVAC control systems shall be 
tested to assure that control elements are calibrated, adjusted, and in 
proper working condition. For projects larger than 50,000 ft2 
conditioned area, detailed instructions for commissioning HVAC systems 
shall be provided by the designer in plans and specifications.



Sec. 434.404  Building service systems and equipment.

    404.1 Service Water Heating Equipment Efficiency. Equipment must 
satisfy the minimum performance efficiency specified in Table 404.1 when 
tested in accordance with RS-37, RS-38, or RS-39 (incorporated by 
reference, see Sec. 434.701). Omission of equipment from Table 404.1 
shall not preclude the use of such equipment. Service water heating 
equipment used to provide additional function of space heating as part 
of a combination (integrated) system shall satisfy all stated 
requirements for the service water heating equipment. All gas-fired 
storage water heaters that are not equipped with a flue damper and use 
indoor air for combustion or draft hood dilution and that are installed 
in a conditioned space, shall be equipped with a vent damper listed in 
accordance with RS-42 (incorporated by reference, see Sec. 434.701). 
Unless the water heater has an available electrical supply, the 
installation of such a vent damper shall not require an electrical 
connection.

                                               Table 404.1--Minimum Performance of Water Heating Equipment
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                            Input to                                Thermal
           Category                    Type               Fuel           Input       VT     VT ratio    Test Method     Energy     efficiency   Standby
                                                                        rating              Btuh/gal         a          factor        Et%      loss %/HR
--------------------------------------------------------------------------------------------------------------------------------------------------------
NAECA.........................  all..............  electric.........  12 kW       all \c\  ..........  DOE Test      0.93-0.0013
                                                                                                                      2V
Covered.......................  storage..........  gas..............  75,000      all \c\  ..........  Procedure 10  0.62-0.0019
                                                                       Btuh                                           V
Water.........................  instantaneous....  gas..............  200,000     all      ..........  CFR Part 430  0.62-0.0019
                                                                                                                      V
Heating.......................  storage..........  oil..............  Btuh \c\    all      ..........  430           0.59-0.0019
                                                                                                                      V
Equipment \b\.................  instantaneous....  oil..............  105,000     all      ..........  Appendix E    0.59-0.0019
                                                                      Btuh                                            V
                                pool heater......  gas/oil..........  210,000     all      ..........  ANSI Z21.56   ...........  78
                                                                       Btuh
                                                                      all         .......  ..........  (RS-38) *
--------------------------------------------------------------------------------------------------------------------------------------------------------
Other Water...................  storage..........  electric.........  all         all      ..........  ANSI
Heating.......................                                        ..........  .......  ..........  Z21.10.3      ...........  78           .030+27/
                                                                                                                                                VT
Equipment \d\.................  storage/.........  gas/oil..........  155m999     all      <4,000      (RS-39)*      ...........  78           1.3+114//
                                instantaneous....                      Btuh                                                                     VT
                                                                                  all      <4,000      ............  ...........  80           1.3+95/VT
                                                                      155,000
                                                                       Btuh
                                                                                  10       4,000       ............  ...........  ...........  2.3+67/VT
--------------------------------------------------------------------------------------------------------------------------------------------------------
Unfired.......................                                        ..........  .......  all         ............  ...........  ...........  6.5 Btuh/
Storage.......................                                                                                                                  ft\2\
Tanks.........................
--------------------------------------------------------------------------------------------------------------------------------------------------------
a For detailed references see Subpart E.
b Consistent with National Appliance Energy Conservation Act (NAECA) of 1987.
c DOE Test Procedures apply to electric and gas storage water heaters with rated volumes 20 gallons and gas instantaneous water heaters with input
  ratings of 50,000 to 200,000 Btuh.
d All except those water heaters covered by NAECA.
* Incorporated by reference, see Sec. 434.701.


[[Page 519]]

    404.1.1 Testing Electric and Oil Storage Water Heaters for Standby 
Loss.
    (a) When testing an electric storage water heater, the procedures of 
Z21.10.3-1990 (RS-39, incorporated by reference, see Sec. 434.701), 
Section 2.9, shall be used. The electrical supply voltage shall be 
maintained with 1% of the center of the voltage 
range specified on the water heater nameplate. Also, when needed for 
calculations, the thermal efficiency (Et) shall be 98%. When 
testing an oil-fired water heater, the procedures of Z21.10.3-1990 (RS-
39 incorporated by reference, see Sec. 434.701), Sections 2.8 and 2.9, 
shall be used.
    (b) The following modifications shall be made: A vertical length of 
flue pipe shall be connected to the flue gas outlet of sufficient height 
to establish the minimum draft specified in the manufacturer's 
installation instructions. All measurements of oil consumption shall be 
taken by instruments with an accuracy of 1% or 
better. The burner rate shall be adjusted to achieve an hourly Btu input 
rate within 2% of the manufacturer's specified 
input rate with the CO2 reading as specified by the 
manufacturer with smoke no greater than 1 and the fuel pump pressure 
within 1% of the manufacturer's specification.
    404.1.2 Unfired Storage Tanks. The heat loss of the tank surface 
area Btu/(h[middot]ft\2\) shall be based on an 80[deg]F water-air 
temperature difference.
    404.1.3 Storage Volume Symbols in Table 404.1. The symbol ``V'' is 
the rated storage volume in gallons as specified by the manufacturer. 
The symbol ``VT'' is the storage volume in gallons as 
measured during the test to determine the standby loss. VT 
may differ from V, but it is within tolerances allowed by the applicable 
Z21 and Underwriters Laboratories standards. Accordingly, for the 
purpose of estimating the standby loss requirement using the rated 
volume shown on the rating plate, VT should be considered as 
no less than 0.95V for gas and oil water heaters and no less than 0.90V 
for electric water heaters.
    404.1.4 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 an electric resistance water 
heater(s). The analysis shall compare the extra installed 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. Exceptions are as follows: Electric water heaters used in 
conjunction with site-recovered or site-solar energy sources that 
provide 50% or more of the water heating load or off-peak heating with 
thermal storage.
    404.2 Service Hot Water Piping Insulation. Circulating system piping 
and noncirculating systems without heat traps, the first eight feet of 
outlet piping from a constant-temperature noncirculating storage system, 
and the inlet pipe between the storage tank and a heat trap in a 
noncirculating storage system shall meet the provisions of subsection 
403.2.9.
    404.2.1 Vertical risers serving storage water heaters not having an 
integral heat trap and serving a noncirculating system shall have heat 
traps on both the inlet and outlet piping as close as practical to the 
water heater.
    404.3 Service Water Heating System Controls. Temperature controls 
that allow for storage temperature adjustment from 110[deg]F to a 
temperature compatible with the intended use shall be provided in 
systems serving residential dwelling units and from 90[deg]F for other 
systems. When designed to maintain usage temperatures in hot water 
pipes, such as circulating hot water systems or heat trace, the system 
shall be equipped with automatic time switches or other controls that 
can be set to turn off the system.
    404.3.1 The outlet temperature of lavatory faucets in public 
facility restrooms shall be limited to 110[deg]F.
    404.4 Water Conservation. Showerheads and lavatory faucets must meet 
the requirements of 10 CFR 430.32 (o)-(p).
    404.4.1 Lavatory faucets in public facility restrooms shall be 
equipped with a foot switch, occupancy sensor, or similar device or, in 
other than lavatories for physically handicapped persons, limit water 
delivery to 0.25 gal/cycle.

[[Page 520]]

    404.5 Swimming Pools. All pool heaters shall be equipped with a 
readily accessible on-off switch.
    404.5.1 Time switches shall be installed on electric heaters and 
pumps. Exceptions are as follows:
    (a) Pumps required to operate solar or heat recovery pool heating 
systems.
    (b) Where public health requirements require 24-hour pump operation.
    404.5.2 Heated swimming pools shall be equipped with pool covers. 
Exception: When over 70% of the annual energy for heating is obtained 
from a site-recovered or site-solar energy source.
    404.6 Combined Service Water Heating and Space Heating Equipment. A 
single piece of equipment shall not be used to provide both space 
heating and service water heating. Exceptions are as follows:
    (a) The energy input or storage volume of the combined boiler or 
water heater is less than twice the energy input or storage volume of 
the smaller of the separate boilers or water heaters otherwise required 
or
    (b) The input to the combined boiler is less than 150,000 Btuh.



          Subpart E_Building Energy Cost Compliance Alternative



Sec. 434.501  General.

    501.1 Subpart E permits the use of the Building Energy Cost 
Compliance Alternative as an alternative to many elements of subpart D. 
When this subpart is used, it must be used with subpart C and subpart D, 
401.1, 401.2, 401.3.4 and in conjunction with the minimum requirements 
found in subsections 402.1, 402.2, and 402.3., 403.1, 403.2.1-7, 403.2.9 
and 404.
    501.2 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. This 
subpart 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 subsections 401 
through 404.
    501.3 Designers are encouraged to employ the Building Energy Cost 
Budget compliance method set forth in this section for evaluating 
proposed design alternatives to using the elements prescribed in subpart 
D. 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 for a specific building 
design. Other alternative designs are likely to have lower annual energy 
costs and life cycle costs than those used to minimally meet the Energy 
Cost Budget.
    501.4 The Energy Cost Budget is a numerical reference for annual 
energy cost. It's purpose is to assure neutrality with respect to 
choices such as HVAC system type, architectural design and fuel choice 
by providing a fixed, repeatable budget 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 necessarily 
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 provisions 
of subsections 401 through 404.



Sec. 434.502  Determination of the annual energy cost budget.

    502.1 The annual Energy Cost Budgets shall be determined in 
accordance with the Prototype Building Procedure in Sec. 434.503 and 
Sec. 434.504 or the Reference Building Procedure in Sec. 434.505. Both 
methods calculate an annual Energy

[[Page 521]]

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.
    502.2 The Energy Cost Budget shall be determined in accordance with 
Equation 502.2.a as follows:
[GRAPHIC] [TIFF OMITTED] TR06OC00.025


Based on:
[GRAPHIC] [TIFF OMITTED] TR06OC00.026

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

    502.3 The monthly Energy Cost Budget shall be determined using 
current rate schedules or contract prices available at the building site 
for all types of energy purchased. These costs shall include demand 
charges, rate blocks, time of use rates, interruptible 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.



Sec. 434.503  Prototype building procedure.

    503.1 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 buildings not 
listed below, the Reference Building procedure of Sec. 434.505 shall be 
used. 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.



Sec. 434.504  Use of the prototype building to determine the energy cost budget.

    504.1 Determine the building type of the Proposed Design using the 
categories in subsection 503.1. Using the appropriate Prototype Building 
characteristics from all of the tables contained in Subpart E, the 
building shall be simulated using the same gross floor area and number 
of floors for the Prototype Building as in the Proposed Design.
    504.2 The form, orientation, occupancy and use profiles for the 
Prototype Building shall be fixed as described in subsection 511. 
Envelope, lighting, other internal loads and HVAC systems and equipment 
shall meet the requirements of subsection 301, 401, 402, 403, and 404 
and are standardized inputs.



Sec. 434.505  Reference building method.

    505.1 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 subsection 503.1 or the assumptions for the 
Prototype Building in Subsection 510, such as occupancy and use-
profiles, do not reasonably represent the Proposed Design.

[[Page 522]]



Sec. 434.506  Use of the reference building to determine the energy cost budget.

    506.1 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 
requirements of subsections 301, 401, 402, 403 and 404.



Sec. 434.507  Calculation procedure and simulation tool.

    507.1 The Prototype or Reference Buildings shall be modeled using 
the criteria of subsections 510 and 521. 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 used in the 
absence of other appropriate data.



Sec. 434.508  Determination of the design energy consumption and design energy cost.

    508.1 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 509 through 534. The Design Energy Cost 
shall be calculated per Equation 508.1.
[GRAPHIC] [TIFF OMITTED] TR06OC00.027


Based on:


DECOSm = DECONml x ECOSml +. . .+ 
DECONmi x ECOSmi (Equation 508.1.2)

Where:

DECOS = The annual Design Energy Cost
DECOSm = The monthly Design Energy Cost
DECONmi = 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.



Sec. 434.509  Compliance.

    509.1 If the Design Energy Cost is less than or equal to the Energy 
Cost Budget, and all of the minimum requirements of subsection 501.2 are 
met, the Proposed Design complies with the standards.



Sec. 434.510  Standard calculation procedure.

    510.1 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.
    510.2 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. The default assumptions shall be used in 
modeling both the Prototype or Reference Building and the Proposed 
Design, unless the designer demonstrates clear cause to modify these 
assumptions. Special procedures for speculative buildings are discussed 
in subsection 503. Shell buildings may not use subpart E.

[[Page 523]]



Sec. 434.511  Orientation and shape.

    511.1 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. The fenestration shall be uniformly distributed in 
proportion to exterior wall area. 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.
    511.2 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.



Sec. 434.512  Internal loads.

    512.1 The systems and types of energy specified in this section are 
provided only for purposes of calculating the Energy Cost Budget. They 
are not requirements for either systems or the type of energy to be used 
in the Proposed Design or for calculation of Design Energy Cost.
    512.2 Internal loads for multi-family high-rise residential 
buildings are prescribed in Tables 512.2.a and b, Multi-Family High Rise 
Residential Building Schedules. Internal loads for other building types 
shall be modeled as noted in this subsection.

          Table 512.2.a--Multi-Family High Rise Residential Buildings Schedules--One-Zone Dwelling Unit
                                    [Internal loads per dwelling unit Btu/h]
----------------------------------------------------------------------------------------------------------------
                                                         Occupants            Lights            Equipment
                      Hour                      ----------------------------------------------------------------
                                                   Sensible      Latent      Sensible     Sensible      Latent
----------------------------------------------------------------------------------------------------------------
1..............................................          300          260            0          750          110
2..............................................          300          260            0          750          110
3..............................................          300          260            0          750          110
4..............................................          300          260            0          750          110
5..............................................          300          260            0          750          110
6..............................................          300          260            0          750          110
7..............................................          300          260            0          750          110
8..............................................          210          260          980         1250          190
9..............................................          100           80          840         2600          420
10.............................................          100           80            0         1170          180
11.............................................          100           80            0         1270          190
12.............................................          100           80            0         2210          330
13.............................................          100           80            0         2210          330
14.............................................          100           80            0         1270          190
15.............................................          100           80            0         1270          190
16.............................................          100           80            0         1270          190
17.............................................          100           80            0         1270          190
18.............................................          300          260            0         3040          450
19.............................................          300          260            0         3360          500
20.............................................          300          260          960         1490          220
21.............................................          300          260          960         1490          220
22.............................................          300          260          960         1490          220
23.............................................          300          260          960         1060          160
24.............................................          300          260          960         1060          160
----------------------------------------------------------------------------------------------------------------


                               Table 512.2.b--Multi-Family High Rise Residential Building Schedules-Two-Zone Dwelling Unit
                                                        [Internal loads per dwelling unit Btu/h]
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                    Bedrooms & bathrooms                                   Other rooms
                                                     ---------------------------------------------------------------------------------------------------
                        Hour                               Occupants       Lights        Equipment           Occupants       Lights        Equipment
                                                     ---------------------------------------------------------------------------------------------------
                                                      Sensible   Latent   Sensible  Sensible   Latent   Sensible   Latent   Sensible  Sensible   Latent
--------------------------------------------------------------------------------------------------------------------------------------------------------
1...................................................       300       260         0       750       110
2...................................................       300       260         0       750       110
3...................................................       300       260         0       750       110
4...................................................       300       260         0       750       110

[[Page 524]]

 
5...................................................       300       260         0       750       110
6...................................................       300       260         0       750       110
7...................................................       300       260         0       750       110
8...................................................       210       260       980      1250       190
9...................................................       100        80       840      2600       420
10..................................................       100        80         0      1170       180
11..................................................       100        80         0      1270       190
12..................................................       100        80         0      2210       330
13..................................................       100        80         0      2210       330
14..................................................       100        80         0      1270       190
15..................................................       100        80         0      1270       190
16..................................................       100        80         0      1270       190
17..................................................       100        80         0      1270       190
18..................................................       300       260         0      3040       450
19..................................................       300       260         0      3360       500
20..................................................       300       260       960      1490       220
21..................................................       300       260       960      1490       220
22..................................................       300       260       960      1490       220
23..................................................       300       260       960      1060       160
24..................................................       300       260       960      1060       160
--------------------------------------------------------------------------------------------------------------------------------------------------------


                               Table 512.2.b--Multi-Family High Rise Residential Building Schedules-Two-Zone Dwelling Unit
                                                        [Internal loads per dwelling unit Btu/h]
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                    Bedrooms & bathrooms                                   Other rooms
                                                     ---------------------------------------------------------------------------------------------------
                        Hour                               Occupants       Lights        Equipment           Occupants       Lights        Equipment
                                                     ---------------------------------------------------------------------------------------------------
                                                      Sensible   Latent   Sensible  Sensible   Latent   Sensible   Latent   Sensible  Sensible   Latent
--------------------------------------------------------------------------------------------------------------------------------------------------------
1...................................................       300       260         0       100        20         0         0         0       650        90
2...................................................       300       260         0       100        20         0         0         0       650        90
3...................................................       300       260         0       100        20         0         0         0       650        90
4...................................................       300       260         0       100        20         0         0         0       650        90
5...................................................       300       260         0       100        20         0         0         0       650        90
6...................................................       300       260         0       100        20         0         0         0       650        90
7...................................................       200       180       680       200        40       100        80       300      1050       150
8...................................................       110       120       240       200        40       100        80       600      2400       380
9...................................................         0         0         0       100        20       100        80         0      1070       160
0...................................................         0         0         0       100        20       100        80         0      1170       170
0...................................................         0         0         0       100        20       100        80         0      1170       170
0...................................................         0         0         0       100        20       100        80         0      2110       310
0...................................................         0         0         0       100        20       100        80         0      2110       310
14..................................................         0         0         0       100        20       100        80         0      1170       170
15..................................................         0         0         0       100        20       100        80         0      1170       170
16..................................................         0         0         0       100        20       100        80         0      1170       170
17..................................................         0         0         0       100        20       100        80         0      1170       170
18..................................................         0         0         0       100        20       300       260         0      2940       430
19..................................................         0         0         0       100        20       300       260         0      3260       480
20..................................................       100        80       320       300        60       200       180       640      1190       160
21..................................................       100        80       320       300        60       200       180       640      1190       160
22..................................................       150       130       480       700        90       150       130       480       790       130
23..................................................       300       260       640       410        70         0         0       320       650        90
24..................................................       300       260       640       410        70         0         0       320       650        90
--------------------------------------------------------------------------------------------------------------------------------------------------------



Sec. 434.513  Occupancy.

    5131 Occupancy schedules are default assumptions. The same 
assumptions shall be made in computing Design Energy Consumption as were 
used in calculating the Energy Cost Budget.
    513.2 Table 513.2.a, Occupancy Density, establishes the density, in 
ft\2\ person of conditioned floor area, to be

[[Page 525]]

used for each building type. Table 513.2.b, Building Schedule Percentage 
Multipliers, establishes the percentage of total occupants in the 
building by hour of the day for each building type.

                    Table 513.2.a--Occupancy Density
------------------------------------------------------------------------
                                                             Conditioned
                                                              floor area
                       Building type                            Ft \2\
                                                                person
------------------------------------------------------------------------
Assembly...................................................           50
Office.....................................................          275
Retail.....................................................          300
Warehouse..................................................        15000
School.....................................................           75
Hotel/Motel................................................          250
Restaurant.................................................          100
Health/Institutional.......................................          200
Multi-family High-rise Residential.........................   2 per unit
                                                                  . \1\
------------------------------------------------------------------------
\1\ Heat generation: Btu/h per person: 230 Btu/h per person sensible,
  and 190 Btu/h per person latent. See Tables 512.2 a and b.


[[Page 526]]

[GRAPHIC] [TIFF OMITTED] TR06OC00.012


[[Page 527]]

[GRAPHIC] [TIFF OMITTED] TR06OC00.013


[[Page 528]]

[GRAPHIC] [TIFF OMITTED] TR06OC00.014


[[Page 529]]

[GRAPHIC] [TIFF OMITTED] TR06OC00.015


[[Page 530]]

[GRAPHIC] [TIFF OMITTED] TR06OC00.016



Sec. 434.514  Lighting.

    514.1 Interior Lighting Power Allowance (ILPA), for calculating the 
Energy Cost Budget shall be determined from subsection 401.3.2. 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 subsection 401.3.1 and 401.3.2, 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

[[Page 531]]

power shall not be adjusted by the Power Adjustment Factors listed in 
Table 514.1.

               Table 514.1--Power Adjustment Factor (PAF)
------------------------------------------------------------------------
                                                               Standard
                Automatic control device(s)                      PAF
------------------------------------------------------------------------
(1) Occupancy Sensor.......................................         0.30
(2) Daylight Sensing Continuous Dimming....................         0.30
(3) Daylight Sensing Multiple Step Dimming.................         0.20
(4) Daylight Sensing On/Off................................         0.10
(5) Lumen Maintenance......................................         0.10
------------------------------------------------------------------------

    514.2 Table 513.2.b establishes default assumptions for the 
percentage of the lighting load switched-on in each Prototype or 
Reference Building by hour of the day. These default assumptions can be 
changed when calculating the Energy Cost Budget to provide, for example, 
a 12-hour rather than an 8-hour workday.



Sec. 434.515  Receptacles.

    515.1 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.
    515.2 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 515.2, 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 513.2.b. This profile establishes 
the percentage of the receptacle load that is switched on by hour of the 
day and by building type.

                 Table 515.2--Receptacle Power Densities
------------------------------------------------------------------------
                                                            W/ft\2\ of
                      Building type                         conditioned
                                                            floor  area
------------------------------------------------------------------------
Assembly................................................            0.25
Office..................................................            0.75
Retail..................................................            0.25
Warehouse...............................................             0.1
School..................................................             0.5
Hotel/Motel.............................................            0.25
Restaurant..............................................             0.1
Health..................................................             1.0
Multi-family High Rise Residential......................
------------------------------------------------------------------------
Included in Lights and Equipment portions of Tables 512.2 a and b.



Sec. 434.516  Building exterior envelope.

    516.1 Insulation and Glazing. 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 Table 402.4.1.2, 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.
    516.2 Infiltration. For Prototype and Reference Buildings, the 
infiltration assumptions in subsection 516.2.1 shall be prescribed 
assumptions for calculating the Energy Cost Budget and default 
assumptions for the Design Energy Consumption. Infiltration shall impact 
perimeter zones only.
    516.2.1 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.
    516.3 Envelope and Ground Absorptivities. 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).
    516.4 Window Management. 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

[[Page 532]]

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.
    516.5 Shading. 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. A 
permanent fixture is one that is likely to remain for the life of the 
Proposed Design.



Sec. 434.517  HVAC systems and equipment.

    517.1 The specifications and requirements for the HVAC systems of 
the Prototype and Reference Buildings shall be those in Table 517.1.1, 
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.
    517.2 The systems and types of energy presented in Table 517.1.1 are 
assumptions for calculating the Energy Cost Budget. They are not 
requirements for either systems or the type of energy to be used in the 
Proposed Building or for the calculation of the Design Energy Cost.

 Table 517.1.1--HVAC Systems of Prototype and Reference Buildings \1,2\
------------------------------------------------------------------------
                               System No.  (Table     Remarks  (Table
   Building/space occupancy         517.4.1)              517.4.1)
------------------------------------------------------------------------
Assembly:
    a. Churches (any size)...                  1
    b. <=50,000 ft \2\ or <=3             1 or 3   Note 1.
     floors.
    c. 50,000 ft                    3
     \2\ or 3
     floors.
Office:
    a. <=20,000 ft \2\.......                  1
    b. <=50,000 ft \2\ and                     4
     either <=3 floors or
     <=75,000 ft \2\.
    c. <75,000 ft \2\ or 3 floors.
Retail:
    a. <=50,000 ft \2\.......             1 or 3   Note 1.
    b. 50,000 ft               4 or 5   Note 1.
     \2\.
Warehouse....................                  1   Note 1.
School:
    a. <=75,000 ft \2\ or <=3                  1
     floors.
    b. 75,000 ft                    3
     \2\ or 3
     floors.
Hotel/Motel:
    a. <=3 stories...........             2 or 7   Note 5, 7.
    b. 3 stories..                  6   Note 6.
Restaurant...................             1 or 3   Note 1.
Health:
    a. Nursing Home (any                  2 or 7   Note 7.
     size).
    b. <=15,000 ft \2\.......                  1
    c. <15,000 ft \2\ or                       4   Note 2.
     <=50,000 ft \2\.
    d. 50,000 ft                    5   Note 2, 3.
     \2\.
Multi-family High Rise                        7
 Residential 3
 stories.
------------------------------------------------------------------------
\1\ Space and Service Water Heating budget calculations shall be made
  using both electricity and natural gas. The Energy Cost Budget shall
  be the lower of these two calculations. If natural gas is not
  available at the rate, electricity and 2 fuel oil shall be
  used for the budget calculations.
\2\ The system and energy types presented in this Table are not intended
  as requirements or recommendations for the proposed design. Floor
  areas below are the total conditioned floor areas for the listed
  occupancy type in the building. The number of floors indicated below
  is the total number of occupied floors for the listed occupancy type.

    517.3 HVAC Zones. 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

[[Page 533]]

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.
    517.4 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.

               Table 517.4.1--HVAC System Description for Prototype and Reference Buildings \1,2\
----------------------------------------------------------------------------------------------------------------
         HVAC component            System 1   System 2   System 3   System 4
----------------------------------------------------------------------------------------------------------------
System Description..............  Packaged rooftop    Packaged terminal   Air handler per     Packaged rooftop
                                   single room, one    air conditioner     zone with central   VAV w/perimeter
                                   unit per zone.      with space heater   plant.              reheat.
                                                       or heat pump, one
                                                       heating/cooling
                                                       unit per zone.
Fan system--Design supply         Note 9............  Note 10...........  Note 9............  Note 9.
 circulation rate.
Supply fan total static pressure  1.3 in. W.C.......  N/A...............  2.0 in. W.C.......  3.0 in. W.C.
Combined supply fan, motor, and   40%...............  N/A...............  50%...............  45%.
 drive efficiency.
Supply fan control..............  Constant volume...  Fan Cycles with     Constant volume...  VAV w/forward
                                                       call for heating                        curved
                                                       or cooling.                             contrifugal fan
                                                                                               and variable
                                                                                               inlet vanes.
Return fan total static pressure  N/A...............  N/A...............  0.6 in. W.C.......  0.6 in. W.C.
Combined return fan, motor, and   N/A...............  N/A...............  25%...............  25%.
 drive efficiency.
Return fan control..............  N/A...............  N/A...............  Constant volume...  VAV w/forward
                                                                                               curved
                                                                                               centrifugal fan
                                                                                               and discharge
                                                                                               dampers.
Cooling System..................  Direct expansion    Direct expansion    Chilled water       Direct expansion
                                   air cooled.         air cooled.         (Note 1).           air cooled.
Heating System..................  Furnace, heat       Heat pump w/        Hot water (Note 8,  Hot water (Note
                                   pump, or electric   electric            12).                12) or electric
                                   resistance (Note    resistance                              resistance (Note
                                   8).                 auxiliary or air                        B).
                                                       conditioner w/
                                                       space heater
                                                       (Note 8).
Remarks.........................  Dry bulb            No economizer.....  Dry bulb            Dry bulb
                                   economizer per                          economizer per      economizer per
                                   Section 7.4.3                           Section 434.514.    Section 434.514.
                                   (barometric                                                 Minimum VAV
                                   relief).                                                    setting per
                                                                                               434.514 exception
                                                                                               1. Supply air
                                                                                               reset by zone of
                                                                                               greatest cooling
                                                                                               demand.
----------------------------------------------------------------------------------------------------------------
\1\ The systems and energy types presented in this Table are not intended as requirements or recommendations for
  the proposed design.
\2\ For numbered notes see end of Table 517.4.1.


                Table 517.4.1--HVAC System Description for Prototype and Reference Buildings \1\
----------------------------------------------------------------------------------------------------------------
            HVAC component                Systems 5       System 6        System 7
----------------------------------------------------------------------------------------------------------------
System Description...................  Built-up central VAV     Fourpipe fan coil per    Water source heat pump
                                        with perimeter reheat.   zone with central
                                                                 plant.
Fan system--Design supply circulation  Note 9.................  Note 9.................  Note 10.
 rate.
Supply fan total static pressure.....  4.0 in W.C.............  0.5 in W.C.............  0.5 in. W.C.
Combined supply fan, motor, and drive  55%....................  25A....................  25%.
 efficiency.

[[Page 534]]

 
Supply fan control...................  VAV w/air-foil           Fan Cycles with call     Fan cycles w/call for
                                        centrifugal fan and AC   for heating or cooling.  heating or cooling.
                                        frequency variable
                                        speed drive.
Return fan total static pressure.....  1.0 in W.C.............  N/A....................  N/A.
Combined return fan, motor, and drive  30%....................  N/A....................  N/A.
 efficiency.
Return fan control...................  VAV with air-foil        N/A....................  N/A.
                                        centrifugal fan and AC
                                        frequency variable
                                        speed drive.
Cooling System.......................  Chilled water (Note 11)  Chilled water (Note 11)  Closed circuit,
                                                                                          centrifugal blower
                                                                                          type cooling tower
                                                                                          sized per Note 11.
                                                                                          Circulating pump sized
                                                                                          for 2.7 GPM per ton.
Heating System.......................  Hot water (Note 12) or   Hot water (Note 12) or   Electric or natural
                                        electric resistance      electric resistance      draft fossil fuel
                                        (Note 8).                (Note 8).                boiler (Note 8).
Remarks..............................  Dry bulb economizer per  No economizer..........  Tower fans and boiler
                                        Section 7.4.3. Minimum                            cycled to maintain
                                        VAV setting per                                   circulating water
                                        Section 7.4.4.3.                                  temperature between 60
                                        Supply air reset by                               and design tower
                                        zone of greatest                                  leaving water
                                        cooling demand.                                   temperature.
----------------------------------------------------------------------------------------------------------------

                    Numbered Notes for Table 517.4.1

     HVAC System Descriptions for Prototype and Reference Buildings

    Notes:
    1. For occupancies such as restaurants, assembly and retail which 
are part of a mixed use building which, according to Table 517.4.1, 
includes a central chilled water plant (systems 3, 5, or 6), chilled 
water system type 3 or 5, as indicated in the Table, shall be used.
    2. Constant volume may be used in zones where pressurization 
relationships must be maintained by code. VAV shall be used in all other 
areas, in accordance with Sec. 517.4
    3. Provide run-around heat recovery systems for all fan systems with 
minimum outside air intake greater than 75%. Recovery effectiveness 
shall be 0.60.
    4. If a warehouse is not intended to be mechanically cooled, both 
the Energy Cost Budgets and Design Energy Costs, may be calculated 
assuming no mechanical cooling.
    5. The system listed is for guest rooms only. Areas such as public 
areas and back-of-house areas shall be served by system 4. Other areas 
such as offices and retail shall be served by the systems listed in 
Table 517.4.1 for those occupancy types.
    6. The system listed is for guest rooms only. Areas such as public 
areas and back-of-house areas shall be served by System 5. Other areas 
such as offices and retail shall be served by the systems listed in 
Table 517.4.1.1 for those occupancy types.
    7. System 2 shall be used for Energy Cost Budget calculation except 
in areas with design heating outside air temperatures less than 
10[deg]F.
    8. Prototype energy budget cost calculations shall be made using 
both electricity and natural gas. If natural gas is not available at the 
site, electricity and 2 fuel oil shall be used. The Energy Cost 
Budget shall be the lower of these results. Alternatively, the Energy 
Cost Budget may be based on the fuel source that minimizes total 
operating, maintenance, equipment, and installation costs for the 
prototype over the building lifetime. Equipment and installation cost 
estimates shall be prepared using professionally recognized cost 
estimating tools, guides, and techniques. The methods of analysis shall 
conform to those of Subpart A of 10 CFR part 436. Energy costs shall be 
based on actual costs to the building as defined in this Section.
    9. Design supply air circulation rate shall be based on a supply air 
to room air temperature differences of 20[deg]F. A higher supply air 
temperature may be used if required to maintain a minimum circulation 
rate of 4.5 air changes per hour or 15 cfm per person at design 
conditions to each zone served by the system. If return fans are 
specified, they shall be sized from the supply fan capacity less the 
required minimum ventilation with outside air, or 75% or the supply air 
capacity, whichever is larger. Except where noted, supply and return 
fans shall be operated continually during occupied hours.
    10. Fan System Energy when included in the efficiency rating of the 
unit as defined in Sec. 403.2.4.3 need not be modeled explicitly for 
this system. The fan shall cycle with calls for heating or cooling.
    11. Chilled water systems shall be modeled using a reciprocating 
chiller for systems with total cooling capacities less than 175 tons, 
and centrifugal chillers for systems

[[Page 535]]

with cooling capacities of 175 tons or greater. For systems with cooling 
or 600 ton or more, the Energy Cost Budget shall be calculated using two 
centrifugal chillers lead/lag controlled. Chilled water pumps shall be 
sized using a 12[deg]F temperature rise, from 44[deg]F to 56[deg]F 
operating at 65 feed of head and 65% combined impeller and motor 
efficiency. Condenser water pumps shall be sized using a 10[deg]F 
temperature rise, operating at 60 feet of head and 60% combined impeller 
and motor efficiency. The cooling tower shall be an open circuit, 
centrifugal blower type sized for the larger of 85[deg]F leaving water 
temperature or 10[deg]F approach to design wet bulb temperature. The 
tower shall be controlled to provide a 65[deg]F leaving water 
temperature whenever weather conditions permit, floating up to design 
leaving water temperature at design conditions. Chilled water supply 
temperature shall be reset in accordance with Sec. 434.518.
    12. Hot water system shall include a natural draft fossil fuel or 
electric boiler per Note 8. The hot water pump shall be sized based on a 
30[deg]F temperature drop, for 18[deg]F to 150[deg]F, operating at 60 
feet of head and a combined impeller and motor efficiency of 60%. Hot 
water supply temperature shall be reset in accordance with Sec. 
434.518.

    517.5 Equipment Sizing and Redundant Equipment. For calculating the 
Energy Cost Budget of Prototype or Reference Buildings, HVAC equipment 
shall be sized to meet the requirements of subsection 403.2.2, without 
using any of the exceptions. The size of equipment shall be that 
required for the building without process loads considered. Redundant 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.
    517.6 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 unless 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.
    517.6.1 Redundant or emergency equipment need not be simulated if it 
is controlled to not be operated during normal operations of the 
building.



Sec. 434.518  Service water heating.

    518.1 The service water loads for Prototype and Reference Buildings 
are defined in terms of Btu/h per person in Table 518.1.1, Service Hot 
Water Quantities. The service water heating loads from Table 518.1.1 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 used in calculating the Energy Cost Budget.

               Table 518.1.1--Service Hot water Quantities
------------------------------------------------------------------------
                                                             Btu/person-
                       Building type                           hour \1\
------------------------------------------------------------------------
Assembly...................................................          215
Office.....................................................          175
Retail.....................................................          135
Warehouse..................................................          225
School.....................................................          215
Hotel/Motel................................................         1110
Restaurant.................................................          390
Health.....................................................          135
Multi-family High Rise Residential.........................    \2\ 1700
------------------------------------------------------------------------
\1\ This value is the number to be multiplied by the percentage
  multipliers of the Building Profile Schedules in Table 513.2.b. See
  Table 513.2.a for occupancy levels.
\2\ Total hot water use per dwelling unit for each hour shall be 3,400
  Btu/h times the multi-family high rise residential building SWH system
  multiplier from Table 513.2.b.

    518.2 The service water heating system, including piping losses for 
the Prototype Building, shall be modeled using the methods of the RS-47 
(incorporated by reference, see Sec. 434.701) using a system that meets 
all requirements of subsection 404. The service water heating equipment 
for the Prototype or Reference Building shall be either an electric heat 
pump or natural gas, or if natural gas is not available at the site, 
2 fuel oil. Exception: If electric resistance service water 
heating is preferable to an electric heat pump when analyzed according 
to the criteria of Sec. 434.404.1.4 or when service water temperatures 
exceeding 145[deg]F are required for a particular application, electric 
resistance water heating may be used.



Sec. 434.519  Controls.

    519.1 All occupied conditioned spaces in the Prototype, Reference 
and

[[Page 536]]

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 517.4.1 HVAC System Description for Prototype and 
Reference Buildings. Exceptions to 519.1 are as follows:
    519.1.1 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. Such an 
assumption cannot be made unless the building interior temperature meets 
the comfort criteria of RS-2 (incorporated by reference, see Sec. 
434.701) at least 98% of the occupied hours during the year.
    519.1.2 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
    519.1.3 In climates where winter design temperature (97.5% 
occurrence) is greater than 59[deg]F, space heating need not be modeled.
    519.2 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 subsection 403.2.6.3. The system shut off during off-hours 
shall be according to the schedule in Table 515.2, 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. Exceptions to 519.2 are as follows:
    (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; and
    (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.
    519.2.1 For multi-family buildings, the thermostat schedule for the 
dwelling units shall be as in Table 519.1.2, Thermostat Settings for 
Multi-Family High-rise Buildings. 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.
    519.3 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 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 RS-41, (incorporated by 
reference, see Sec. 434.701) or the Proposed Design, whichever is 
greater.
    519.4 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.

[[Page 537]]



                                   Table 519.1.2--Thermostat Settings for Multi-Family High-Rise Residential Buildings
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                             Single zone dwelling unit                        Two zone dwelling unit
                                                         -----------------------------------------------------------------------------------------------
                       Time of day                                                              Bedrooms/bathrooms                  Other rooms
                                                               Heat            Cool      ---------------------------------------------------------------
                                                                                               Heat            Cool            Heat            Cool
--------------------------------------------------------------------------------------------------------------------------------------------------------
Midnight-6 a.m..........................................              60              78              60              78              60              85
6 a.m.-9 a.m............................................              70              78              70              78              70              78
9 a.m.-5 p.m............................................              70              78              60              85              70              78
5 p.m.-11 p.m...........................................              70              78              70              78              70              78
11 p.m.-Midnight........................................              60              78              60              78              60              78
--------------------------------------------------------------------------------------------------------------------------------------------------------



Sec. 434.520  Speculative buildings.

    520.1 Lighting. The interior lighting power allowance (ILPA) for 
calculating the Energy Cost Budget shall be determined from Table 
401.3.2a. The Design Energy Consumption may be based on an assumed 
adjusted lighting power for future lighting improvements.
    520.2 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 or the Systems Performance method of 
subsection 401.3.
    520.3 Documentation for future lighting systems that use subsection 
401.3 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.
    520.4 Documentation for future lighting systems that use subsection 
401.3 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 401.3.2c 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.
    520.5 HVAC Systems and Equipment. 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.



Sec. 434.521  The simulation tool.

    521.1 Annual energy consumption shall be simulated with a multi-
zone, 8760 hours per year building energy model. The model shall account 
for:
    521.1.1 The dynamic heat transfer of the building envelope such as 
solar and internal gains;
    521.1.2 Equipment efficiencies as a function of load and climate;
    521.1.3 Lighting and HVAC system controls and distribution systems 
by simulating the whole building;
    521.1.4 The operating schedule of the building including night 
setback during various times of the year; and
    521.1.5 Energy consumption information at a level necessary to 
determine the Energy Cost Budget and Design Energy Cost through the 
appropriate utility rate schedules.
    521.1.6 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.
    521.1.7 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

[[Page 538]]

affected by the dynamic patterns of 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.
    521.1.8 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.



            Subpart F_Building Energy Compliance Alternative



Sec. 434.601  General.

    601.1 This subpart 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 use method. This path 
provides an opportunity for the use of innovative designs, materials, 
and equipment such as daylighting, passive solar heating, and heat 
recovery, that may not be adequately evaluated by methods found in 
Subpart D.
    601.2 The Building Energy Compliance Alternative shall be used with 
subpart C and subpart D, 401.1, 401.2, 401.3.4 and in conjunction with 
the minimum requirements found in subsections 402.1, 402.2, and 402.3., 
403.1, 403.2.1-7, 403.2.9 and 404.
    601.3 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 601.3, Building 
Energy Compliance Alternative). The analytical procedures in this 
subpart are only for determining design compliance, and are not to be 
used either to predict, document or verify annual energy consumption.

[[Page 539]]

[GRAPHIC] [TIFF OMITTED] TR06OC00.017

    601.4 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.
    601.5 The Design Energy Use is defined as the energy that is 
consumed within the five foot line of a proposed building per ft\2\ over 
a 24-hour day, 365-

[[Page 540]]

day year period and specified operating hours. The calculated Design 
Energy Use is then compared to a calculated Energy Use Budget.
    601.6 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 Subpart E 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.
    601.7 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.



Sec. 434.602  Determination of the annual energy budget.

    602.1 The Energy Use Budget shall be calculated for the appropriate 
Prototype or Reference Building in accordance with the procedures 
prescribed in subsection 502 with the following exceptions: The Energy 
Use Budget shall be stated in units of Btu/ft\2\/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).
    602.2 The Energy Use Budget is calculated similarly for the 
Reference or Prototype Building using equation 602.2.
[GRAPHIC] [TIFF OMITTED] TR06OC00.029

    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 602.2, Fuel Conversion 
Factors for Computing Design Annual Energy Uses. 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 subpart E of this part.

Table 602.2--Fuel Conversion Factors, for Computing Design Annual Energy
                                  Uses
------------------------------------------------------------------------
                 Fuels                          Conversion factor
------------------------------------------------------------------------
Electricity............................  3412 Btu/kilowatt hour.
Fuel Oil...............................  138,700 Btu/gallon.
Natural Gas............................  1,031,000 Btu/1000 ft\2\.
Liquified Petroleum (including Propane   95,5000 Btu/gallon.
 and Butane).
Anthracite Coal........................  28,300,000 Btu/short ton.
Bituminous Coal........................  24,580,000 Btu/short ton.
Purchase Steam and Steam from Central    1,000 Btu/Pound.
 Plants.
High Temperature or Medium Temperature   Use the heat value based on the
 Water from Central Plants.               water actually delivered at
                                          the building five foot line.
------------------------------------------------------------------------
Note: At specific locations where the energy source Btu content varies
  significantly from the value presented above then the local fuel value
  may be used provided there is supporting documentation from the fuel
  source supplier stating this actual energy value and varifying that
  this value will remain consistent for the foreseeable future. The fuel
  content for fuels not given this table shall be determined from the
  best available source.


[[Page 541]]



Sec. 434.603  Determination of the design energy use.

    603.1 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 602.2 yields the Design Energy Use for the 
proposed design:
[GRAPHIC] [TIFF OMITTED] TR06OC00.030

    Where f1, f2, * * * fi are the fuel 
conversion factors in Table 602.2.
    603.2 Required Life Cycle Cost Analysis for Fuel Selection.
    603.2.1 Fuel sources selected for the Proposed Design and Prototype 
or Reference buildings shall be determined by considering the energy 
cost and other costs and cost savings that occur during the expected 
economic life of the alternative.
    603.2.2 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:
    603.2.2.1 Determine the feasible alternatives for energy sources of 
the Proposed Design's HVAC systems, service hot water, and process 
loads.
    603.2.2.2 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 subpart E with the exception that all process loads 
shall be included in the calculation. Separate the output of the 
analysis by fuel type.
    603.2.2.3 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 subpart E 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.
    603.2.2.4 Perform a life cycle cost analysis using the procedure 
specified in subsection 603.2.
    603.2.2.5 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.



Sec. 434.604  Compliance.

    604.1 Compliance with this section is demonstrated if the Design 
Energy Use is equal to or less than the Energy Use Budget.
[GRAPHIC] [TIFF OMITTED] TR06OC00.031

    604.2 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.

[[Page 542]]



Sec. 434.605  Standard Calculation Procedure.

    605.1 The Standard Calculation Procedure consists of methods and 
assumptions for calculating the Energy Use Budgets for Prototype and 
Reference Buildings and the Energy Use for the Proposed Design. In order 
to maintain consistency between the Energy Use Budgets and the Design 
Energy Use, the input assumptions stated in subsection 510.2 are to be 
used.
    605.2 The terms Energy Cost Budget and Design Energy Cost or Design 
Energy Consumption used in subpart E of this part correlate to Energy 
Use Budget and Design Energy Use, respectively, in subpart F of this 
part.



Sec. 434.606  Simulation tool.

    606.1 The criteria established in subsection 521 for the selection 
of a simulation tool shall be followed when using the compliance path 
prescribed in subpart F of this part.



Sec. 434.607  Life cycle cost analysis criteria.

    607.1 The following life cycle cost criteria applies to the fuel 
selection requirements of this subpart 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. When performing optional 
life cycle cost analyses of energy conservation opportunities the 
designer may use the life cycle cost procedures of subpart A of 10 CFR 
part 436 or OMB Circular 1-94 or an equivalent procedure that meets the 
assumptions listed below:
    607.1.1 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.
    607.1.2 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.
    607.1.3 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 latest ``Annual Energy Outlook'' (DOE/EIA-0383) as 
published by the Department of Energy's Energy Information 
Administration.
    607.1.4 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 G_Reference Standards



Sec. 434.701  General.

    701.1 General. The standards, technical handbooks, papers, 
regulations, and portions thereof, that are referred to in the sections 
and subsections in the following list are hereby incorporated by 
reference into this part 434. The following standards have been approved 
for incorporation by reference by the Director of the Federal Register 
in accordance with 5 U.S.C. 522(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 
U.S. Department of Energy, Office of Energy Efficiency, Hearings and 
Dockets, Forrestal Building, 1000 Independence Avenue SW, Washington, DC 
20585, or at the National Archives and Records Administration (NARA). 
For information on the availability of this material at NARA, call 202-
741-6030, or go to: http://www.archives.gov/federal--register/code--of--
federal--regulations/ibr--locations.html. The standards may be purchased 
at the addresses listed at the end of each standard. The following 
standards are incorporated by reference in this part:

[[Page 543]]



----------------------------------------------------------------------------------------------------------------
               Ref. No.                              Standard designation                      CFR section
----------------------------------------------------------------------------------------------------------------
RS-1.................................  ANSI/ASHRAE/IESNA 90.1-1989, Energy Efficient     434.301.1;
                                        Design of New Buildings Except Low-Rise           434.402.1.2.4;
                                        Residential Buildings, and Addenda 90.1b-1992,    434.402.4.2;
                                        90.1c-1993, 90.1d-1992, 90.1e-1992, 90.1f-1995,   434.403.2.1.
                                        90.1g-1993, 90.1i-1993, American Society of
                                        Heating, Refrigerating and Air-Conditioning
                                        Engineers, Inc., ASHRAE 1791 Tullie Circle NE,
                                        Atlanta, GA 30329.
RS-2.................................  ANSI/ASHRAE 55-1992 including addenda 55a-1995,   434.301.2; 434.519.1.1.
                                        Thermal Environmental Conditions for Human
                                        Occupancy, American Society of Heating,
                                        Refrigerating and Air-Conditioning Engineers,
                                        Inc., 1791 Tullie Circle NE, Atlanta, GA 30329.
RS-3.................................  NEMA MG1-1993, ``Motors and Generators,''         434.401.2.1.
                                        Revision No. 1, December 7, 1993, National
                                        Electrical Manufacturers Association, 1300
                                        North 17th Street, Suite 1847, Rosslyn, VA
                                        22209.
RS-4.................................  ASHRAE, Handbook, 1993 Fundamentals Volume,       434.402.1.1;
                                        American Society of Heating, Refrigerating, and   434.402.1.2.1;
                                        Air-Conditioning Engineers, Inc., 1791 Tullie     434.402.1.2.2;
                                        Circle NE, Atlanta, GA 30329.                     434.402.1.2.4;
                                                                                          434.402.2.2.5.
RS-5.................................  ASTM C 177-85 (Reapproved 1993), Test Method for  434.402.1.1;
                                        Steady-State Heat Flux Measurements and Thermal   434.402.1.2.1;
                                        Transmission Properties by Means of the Guarded-  434.402.1.2.2.
                                        Hot-Plate Apparatus, American Society for
                                        Testing and Materials, 1916 Race Street,
                                        Philadelphia, PA 19103.
RS-6.................................  ASTM C 518-91, Test Method for Steady-State Heat  434.402.1.1;
                                        Flux Measurements and Thermal Transmission        434.402.1.2.1; Table
                                        Properties by Means of the Heat Flow Meter        402.1.2.2; Table
                                        Apparatus, American Society for Testing and       403.2.9.2.
                                        Materials, 1916 Race Street, Philadelphia, PA
                                        19103.
RS-7.................................  ASTM C 236-89 (Reapproved 1993), Test Method for  434.402.1.1;
                                        Steady-State Thermal Performance of Building      434.402.1.2.1;
                                        Assemblies by Means of a Guarded Hot Box,         434.402.1.2.2.
                                        American Society for Testing and Materials,
                                        1916 Race Street, Philadelphia, PA 19103.
RS-8.................................  ASTM C 976-90, Test Method for Thermal            434.402.1.1;
                                        Performance of Building Assemblies by Means of    434.402.1.2.1;
                                        a Calibrated Hot Box, American Society for        434.402.1.2.2.
                                        Testing and Materials, 1916 Race Street,
                                        Philadelphia, PA 19103.
RS-9.................................  Report TVAHB-3007, 1981, ``Thermal Bridges in     434.402.1.2.3.
                                        Sheet Metal Construction'' by Gudni
                                        Johannesson. Lund Institute of Technology,
                                        Lund, Sweden.
RS-10................................  ASTM E 283-91, Test Method for Determining the    434.402.2; 434.402.2.1.
                                        Rate of Air Leakage Through Exterior Windows,
                                        Curtain Walls, and Doors Under Specified
                                        Pressure Difference Across the Specimen,
                                        American Society for Testing and Materials,
                                        1916 Race Street, Philadelphia, PA 19103.
RS-11................................  ANSI/AAMA/NWWDA 101/I.S.2-97, Voluntary           434.402.2.1;
                                        Specifications for Aluminum, Vinyl (PVC) and      434.402.2.2.4.
                                        Wood Windows and Glass Doors, American
                                        Architectural Manufacturers Association, 1827
                                        Walden Office Square, Suite 104, Schaumburg, IL
                                        60173-4628.
RS-12................................  ASTM D 4099-95, Standard Specification for Poly   434.402.2.1.
                                        (Vinyl Chloride) (PVC) Prime Windows/Sliding
                                        Glass Doors, American Society for Testing and
                                        Materials, 1916 Race Street, Philadelphia, PA
                                        19103.
RS-13................................  ANSI/AAMA/NWWDA 101/I.S.2-97, Voluntary           434.402.2.1.
                                        Specifications for Aluminum, Vinyl (PVC) and
                                        Wood Windows and Glass Doors, National Wood
                                        Window and Door Association (formerly the
                                        National Woodwork Manufacturers Association),
                                        1400 East Toughy Avenue, Suite 470, Des
                                        Plaines, IL 60018.
RS-14................................  ANSI/NWWDA I.S.3-95, Wood Sliding Patio Doors,    434.402.2.2.1.
                                        National Wood Window and Door Association
                                        (formerly the National Woodwork Manufacturers
                                        Association), 1400 East Toughy Avenue, Suite
                                        470, Des Plaines, IL 60018.
RS-15................................  ARI Standard 210/240-94, Unitary Air-             434.403.1.
                                        Conditioning and Air-Source Heat Pump Equipment
                                        1994. Air-Conditioning and Refrigeration
                                        Institute, 4301 North Fairfax Drive, Suite 425,
                                        Arlington, VA 22203.
RS-16................................  ARI Standard 340/360-93, Commercial and           434.403.1.
                                        Industrial Unitary Air-Conditioning and Heat
                                        Pump Equipment 1993 edition. Air-Conditioning
                                        and Refrigeration Institute, 4301 North Fairfax
                                        Drive, Suite 425, Arlington, VA 22203.
RS-17................................  ARI 310/380-93, Packaged Terminal Air-            434.403.1.
                                        Conditioners and Heat Pumps, 1993 edition. Air-
                                        Conditioning and Refrigeration Institute, 4301
                                        North Fairfax Drive, Suite 425, Arlington, VA
                                        22203.
RS-18................................  NFRC 100-97, Procedure for Determining            434.402.1.2.4.
                                        Fenestration Product Thermal Properties,
                                        National Fenestration Rating Council, Inc.,
                                        1300 Spring Street, Suite 500, Silver Spring,
                                        MD 20910.
RS-19................................  NFRC 200--Procedure for Determining Fenestration  434.402.1.2.4.
                                        Product Solar Heat Gain Coefficients at Normal
                                        Incidence (1995) National Fenestration Rating
                                        Council, Inc., 1300 Spring Street, Suite 500,
                                        Silver Spring, MD 20910.
RS-20................................  RESERVED........................................
RS-21................................  Z21.47-1993, Gas-Fired Central Furnaces,          434.403.1.
                                        including addenda Z21.47a-1995, American Gas
                                        Association, 400 North Capitol Street, N.W.
                                        Washington, DC 20001.
RS-22................................  U.L. 727, including addendum dated January 30,    434.403.1.
                                        1996, Oil-Fired Central Furnaces (Eighth
                                        Edition) 1994, available from: Global
                                        Documents, 15 Inverness Way East, Englewood, CO
                                        80112-5704, Underwriters Laboratories,
                                        Northbrook, IL 60062, 1994..
RS-23................................  ANSI Z83.9-90, Including addenda Z83.9a-1992,     434.403.1.
                                        Gas-Fired Duct Furnaces, 1990. (Addendum 90.1b)
                                        available from: Global Documents, 15 Inverness
                                        Way East, Englewood, CO 80112-5704.
RS-24................................  ANSI Z83.8-96, Gas Unit Heater and Gas-Fired      434.403.1.
                                        Duct Furnaces, American National Standards
                                        Institute, 11 West 42nd Street, New York, NY
                                        10036.

[[Page 544]]

 
RS-25................................  U.L. 731, Oil-Fired Unit Heaters (Fifth Edition)  434.403.1.
                                        1995 available from: Global Documents, 15
                                        Inverness Way East, Englewood, CO 80112-5704,
                                        Underwriters Laboratories, Northbrook, IL 60062.
RS-26................................  CTI Standard-201, Standard for the Certification  434.403.1.
                                        of Water-Cooling Towers Thermal Performance,
                                        November 1996, Cooling Tower Institute, P.O.
                                        Box 73383, Houston, TX 77273.
RS-27................................  ARI Standard 320-93, Water-Source Heat Pumps,     434.403.1.
                                        Air-Conditioning and Refrigeration Institute,
                                        4301 North Fairfax Drive, Arlington, VA 22203.
RS-28................................  ARI Standard 325-93, Ground Water-Source Heat     434.403.1.
                                        Pumps, Air-Conditioning and Refrigeration
                                        Institute, 4301 North Fairfax Drive, Arlington,
                                        VA 22203.
RS-29................................  ARI Standard 365-94, Commercial and Industrial    434.403.1.
                                        Unitary Air-Conditioning Condensing Units, Air-
                                        Conditioning and Refrigeration Institute, 4301
                                        North Fairfax Drive, Arlington, VA 22203.
RS-30................................  ARI Standard 550-92, Centrifugal and Rotary       434.403.1.
                                        Screw Water-Chilling Packages, Air-Conditioning
                                        and Refrigeration Institute, 4301 North Fairfax
                                        Drive, Arlington, VA 22203.
RS-31................................  ARI Standard 590-92, Positive Displacement        434.403.1.
                                        Compressor Water-Chilling Packages, Air-
                                        Conditioning and Refrigeration Institute, 4301
                                        North Fairfax Drive, Arlington, VA 22203.
RS-32................................  ANSI Z21.13-1991, including addenda Gas-Fired     434.403.1.
                                        Low-Pressure Steam and Hot Water Boilers,
                                        Addenda Z21.13a-1993 and Z21-13b-1994, American
                                        National Standards Institute, 11 West 42nd
                                        Street, New York, NY 10036.
RS-33................................  ANSI/U.L. 726 (7th edition, 1995), Oil-Fired      434.403.1.
                                        Boiler Assemblies, available from: Global
                                        Documents, 15 Inverness Way East, Englewood, CO
                                        80112-5704, Underwriters Laboratories,
                                        Northbrook, IL 60062.
RS-34................................  HVAC Duct Construction Standards--Metal and       434.403.2.9.3.
                                        Flexible, 2nd edition, 1995, Sheet Metal and
                                        Air-Conditioning Contractors' National
                                        Association, Inc., 4201 Lafayette Center Drive,
                                        Chantilly, VA 20151.
RS-35................................  HVAC Air Duct Leakage Test Manual, 1st edition,   434.403.2.9.3;
                                        1985, Sheet Metal and Air-Conditioning            434.403.1.
                                        Contractors' National Association, Inc., 4201
                                        Lafayette Center Drive, Chantilly, VA 20151.
RS-36................................  Fibrous Glass Duct Construction Standards, 6th    434.403.2.9.3.
                                        edition, 1992, Sheet Metal and Air-Conditioning
                                        Contractors National Association, Inc., 4201
                                        Lafayette Center Drive, Chantilly, VA 20151.
RS-37................................  RESERVED........................................
RS-38................................  ANSI Z21.56-1994, Gas-Fired Pool Heaters;         Table 404.1.
                                        Addenda Z21.56a-1996, American National
                                        Standards Institute, 11 West 42nd Street, New
                                        York, NY 10036; American Gas Association, 1515
                                        Wilson Boulevard, Arlington, VA 22209.
RS-39................................  ANSI Z21.10.3-1993, Gas Water Heaters, Volume     Table 404.1;
                                        III, Storage with Input Ratings above 75,000      434.404.1.1.
                                        Btu's per Hour, Circulating and Instantaneous
                                        Water Heaters, American National Standards
                                        Institute, 11 West 42nd Street, New York, NY
                                        10036; American Gas Association, 1515 Wilson
                                        Boulevard, Arlington, VA 22209.
RS-40................................  ANSI/AHAM RAC-1-1992, Room Air Conditioners,      434.403.1.
                                        Association of Home Appliance Manufacturers, 20
                                        North Wacker Drive, Chicago, IL 60606.
RS-41................................  ASHRAE Standard 62-1989, Ventilation for          434.403.2.4;
                                        Acceptable Indoor Air Quality, American Society   434.403.2.8;
                                        of Heating, Refrigerating and Air-Conditioning    434.519.3.
                                        Engineers, 1791 Tulle Circle, Atlanta, GA 30329.
RS-42................................  ANSI Z21.66-1996, Automatic Vent Damper Devices   434.404.1.
                                        for Use with Gas-Fired Appliances, available
                                        from: Global Documents, 15 Inverness Way East,
                                        Englewood, CO 80112-5704..
RS-43................................  NEMA MG 10-1994, Energy Management Guide for      434.401.2.1.
                                        Selection and Use of Polyphase Motors, National
                                        Electric Manufacturers Association, National
                                        Electrical Manufacturers Association, 1300
                                        North 17th Street, Suite 1847, Rosslyn, VA
                                        22209.
RS-44................................  NEMA MG 11-1977 (Revised 1982, 1987, Energy       434.401.2.1.
                                        Management Guide for Selection and Use of
                                        Single-Phase Motors, National Electrical
                                        Manufacturers Association, National Electrical
                                        Manufacturers Association, 1300 North 17th
                                        Street, Suite 1847, Rosslyn, VA 22209.
RS-45................................  ARI Standard 330-93, Ground-Source Closed-Loop    434.403.1.
                                        Heat Pumps, Air-Conditioning and Refrigeration
                                        Institute, 4301 North Fairfax Drive, Arlington,
                                        VA 22209.
RS-46................................  ARI Standard 560-92, Absorption Water Chilling    434.403.1.
                                        and Water Heating Packages, Air-Conditioning
                                        and Refrigeration Institute, 4301 North Fairfax
                                        Drive, Arlington, VA 22209.
RS-47................................  ASHRAE, Handbook, HVAC Applications; I-P          434.518.2.
                                        Edition, 1995, American Society of Heating,
                                        Refrigerating, and Air-Conditioning Engineers,
                                        Inc., 1791 Tullie Circle NE, Atlanta, GA 30329.
----------------------------------------------------------------------------------------------------------------


[65 FR 60012, Oct. 6, 2000, as amended at 69 FR 18803, Apr. 9, 2004]

[[Page 545]]



PART 435_ENERGY EFFICIENCY STANDARDS FOR NEW FEDERAL LOW-RISE 
RESIDENTIAL BUILDINGS--Table of Contents




  Subpart A_Mandatory Energy Efficiency Standards for Federal Low-Rise 
                         Residential Buildings.

Sec.
435.1 Purpose and scope.
435.2 Definitions.
435.3 Material incorporated by reference.
435.4 Energy efficiency performance standard.
435.5 Performance level determination.
435.6 Sustainable principles for siting, design and construction. 
          [Reserved]
435.7 Water used to achieve energy efficiency. [Reserved]
435.8 Life-cycle costing.

Subpart B--Voluntary Performance Standards for New Non-Federal Residential 
Buildings [Reserved]

Subpart C_Mandatory Energy Efficiency Standards for 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. 6831-6832; 6834-6836; 42 U.S.C. 8253-54; 42 
U.S.C. 7101 et seq.

    Source: 53 FR 32545, Aug. 25, 1988, unless otherwise noted.



  Subpart A_Mandatory Energy Efficiency Standards for Federal Low-Rise 
                         Residential Buildings.

    Source: 71 FR 70283, Dec. 4, 2006.



Sec. 435.1  Purpose and scope.

    This part establishes energy efficiency performance standard for the 
construction of new Federal low-rise residential buildings as required 
by section 305(a) of the Energy Conservation and Production Act, as 
amended (42 U.S.C. 6834(a)).



Sec. 435.2  Definitions.

    For purposes of this part, the following terms, phrases and words 
shall be defined as follows:
    Baseline building means a new Federal low-rise residential building 
that is otherwise identical to the proposed building but is designed to 
meet but not exceed the energy efficiency specifications in the ICC 
International Energy Conservation Code, 2004 Supplement Edition, January 
2005 (incorporated by reference, see Sec. 435.3).
    Design for construction means the stage when the energy efficiency 
and sustainability details (such as insulation levels, HVAC systems, 
water-using systems, etc.) are either explicitly determined or 
implicitly included in a project cost specification.
    DOE means U.S. Department of Energy.
    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.
    ICC means International Code Council.
    IECC means International Energy Conservation Code.
    Life-cycle cost means the total cost related to energy conservation 
measures of owning, operating and maintaining a building over its useful 
life as determined in accordance with 10 CFR part 436.
    Life-cycle cost-effective means that the proposed building has a 
lower life-cycle cost than the life-cycle costs of the baseline 
building, as described by 10 CFR 436.19, or has a positive estimated net 
savings, as described by 10 CFR 436.20, or has a savings-to-investment 
ratio estimated to be greater than one, as described by 10 CFR 436.21; 
or has an adjusted internal rate of return, as described by 10 CFR 
436.22, that is estimated to be greater than the discount rate as listed 
in OMB Circular Number A-94 ``Guidelines and Discount Rates for Benefit-
Cost Analysis of Federal Programs.''
    Low-rise residential building means any building three stories or 
less in

[[Page 546]]

height above grade that includes sleeping accommodations where the 
occupants are primarily permanent in nature (30 days or more).
    New 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. A new building is a 
building constructed on a site that previously did not have a building 
or a complete replacement of an existing building from the foundation 
up.
    Proposed building means the building design of a new Federal low-
rise residential building proposed for construction.

[71 FR 70283, Dec. 4, 2006, as amended at 72 FR 72571, Dec. 21, 2007]



Sec. 435.3  Material incorporated by reference.

    (a) General. DOE incorporates by reference the energy performance 
standard listed in paragraph (b) of this section into 10 CFR Part 435 
subpart A. The Director of the Federal Register has approved the 
material listed in paragraph (b) of this section for incorporation by 
reference in accordance with 5 U.S.C. 552(a) and 1 CFR Part 51. Any 
subsequent amendment to this material by the standard-setting 
organization will not affect the DOE building energy performance 
standard unless and until DOE amends its building energy performance 
standards. DOE incorporates the material as it exists on the date 
specified in the approval and a notice of any change in the material 
will be published in the Federal Register.
    (b) List of standards incorporated by reference. ICC International 
Energy Conservation Code (IECC), 2004 Supplement Edition, January 2005, 
International Code Council, ISBN 7801S04.
    (c) Availability of references. The building energy performance 
standard incorporated by reference is available for inspection at:
    (1) National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call (202) 
741-6030, or go to: http://www.archives.gov/federal--register/code--of--
federal--regulations/ibr--locations.html
    (2) U.S. Department of Energy, Forrestal Building, Room 1M-048 
(Resource Room of the Federal Energy Management Program), 1000 
Independence Avenue, SW., Washington, DC 20585-0121, (202) 586-9138, 
between 9 a.m. and 4 p.m., Monday through Friday, except Federal 
holidays.
    (d) Obtaining copies of standards. The building energy performance 
standard incorporated by reference may be obtained from the following 
source: the International Code Council, 4051 West Flossmoor Road, 
Country Club Hills, IL 60478-5795, http://www.iccsafe.org/e/
category.html



Sec. 435.4  Energy efficiency performance standard.

    (a) All Federal agencies shall design new Federal low-rise 
residential buildings, for which design for construction began on or 
after January 3, 2007, to:
    (1) Meet ICC International Energy Conservation Code, 2004 Supplement 
Edition, January 2005 (incorporated by reference, see Sec. 435.3), and
    (2) If life-cycle cost-effective, achieve energy consumption levels, 
calculated consistent with paragraph (b) of this section, that are at 
least 30 percent below the levels of the baseline building.
    (b) Energy consumption for the purposes of calculating the 30 
percent savings shall include space heating, space cooling, and domestic 
water heating.
    (c) If a 30 percent reduction is not life-cycle cost-effective, the 
design of the proposed building shall be modified so as to achieve an 
energy consumption level at or better than the maximum level of energy 
efficiency that is life-cycle cost-effective, but at a minimum complies 
with paragraph (a) of this section.

[71 FR 70283, Dec. 4, 2006, as amended at 72 FR 72571, Dec. 21, 2007]



Sec. 435.5  Performance level determination.

    Each Federal agency shall determine energy consumption levels for 
both the baseline building and proposed building by using the Simulated 
Performance Alternative found in section 404 of the ICC International 
Energy Conservation

[[Page 547]]

Code, 2004 Supplement Edition, January 2005 (incorporated by reference, 
see Sec. 435.3).



Sec. 435.6  Sustainable principles for siting, design and 
construction. [Reserved]



Sec. 435.7  Water used to achieve energy efficiency. [Reserved]



Sec. 435.8  Life-cycle costing.

    Each Federal agency shall determine life-cycle cost-effectiveness by 
using the procedures set out in subpart A of 10 CFR part 436. A Federal 
agency may choose to use any of four methods, including lower life-cycle 
costs, positive net savings, savings-to-investment ratio that is 
estimated to be greater than one, and an adjusted internal rate of 
return that is estimated to be greater than the discount rate as listed 
in OMB Circular Number A-94 ``Guidelines and Discount Rates for Benefit-
Cost Analysis of Federal Programs.''

Subpart B--Voluntary Performance Standards for New Non-Federal Residential 
Buildings [Reserved]



Subpart C_Mandatory Energy Efficiency Standards for 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 Federal 
buildings for which design for construction began before January 3, 
2007.
    (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 
Federal residential buildings for which design for construction began 
January 3, 2007.

[53 FR 32545, Aug. 25, 1988, as amended at 71 FR 70284, Dec. 4, 2006]



Sec. 435.301  Scope.

    (a) The energy conservation performance standards in this subpart 
will apply to all Federal residential buildings for which design of 
construction began before January 3, 2007 except multifamily buildings 
more than three stories above grade.
    (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.

[53 FR 32545, Aug. 25, 1988, as amended at 71 FR 70284, Dec. 4, 2006]



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

[[Page 548]]

    (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.
    (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 residential building to be designed or constructed by or 
for the agency, for

[[Page 549]]

which design for construction began before January 3, 2007.
    (b) The energy consumption goal for a Federal residential building 
for which design for construction began before January 3, 2007, 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.

[53 FR 32545, Aug. 25, 1988, as amended at 71 FR 70284, Dec. 4, 2006]



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 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

[[Page 550]]

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--
[GRAPHIC] [TIFF OMITTED] TC14NO91.084

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.
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--
    [GRAPHIC] [TIFF OMITTED] TC14NO91.085
    

[[Page 551]]


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.

        Subpart C_Agency Procurement of Energy Efficient Products

436.40 Purpose and scope.
436.41 Definitions.
436.42 Evaluation of Life-Cycle Cost Effectiveness.
436.43 Procurement Planning.

Subparts D-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
Appendix D to Part 436--Energy Program Conservation Elements

    Authority: 42 U.S.C. 7101 et seq.; 42 U.S.C. 8258; 42 U.S.C. 8259b.

    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

[[Page 552]]

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 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

[[Page 553]]

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 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

[[Page 554]]

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 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.

[[Page 555]]

    (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 Sec. Sec. 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 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

[[Page 556]]

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 
Sec. Sec. 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]



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

[[Page 557]]

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 on or before September 30, 
2003. This subpart applies in addition to the Federal Acquisition 
Regulation at Title 48 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;

[[Page 558]]

    (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; 
65 FR 39786, June 28, 2000]



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, 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

[[Page 559]]

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.



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;

[[Page 560]]

    (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 15.602 and 15.602-2(a)(1); 48 CFR 15.603; and 
48 CFR 15.607(a), (a)(2), (a)(3), (a)(4) and (a)(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 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

[[Page 561]]

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.

[60 FR 18334, Apr. 10, 1995, as amended at 65 FR 39786, June 28, 2000]



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 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

[[Page 562]]

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.



        Subpart C_Agency Procurement of Energy Efficient Products

    Source: 74 FR 10835, Mar. 13, 2009, unless otherwise noted.



Sec. 436.40  Purpose and scope.

    This subpart provides guidance to promote the procurement of energy 
efficient products by Federal agencies and promote procurement practices 
which facilitate the procurement of energy efficient products, 
consistent with the requirements in section 553 of the National Energy 
Conservation Policy Act. (42 U.S.C. 8259b)



Sec. 436.41  Definitions.

    Agency means each authority of the Government of the United States, 
whether or not it is within or subject to review by another agency, but 
does not include--
    (1) The Congress, and agencies thereof;
    (2) The courts of the United States;
    (3) The governments of the territories or possessions of the United 
States; or
    (4) The government of the District of Columbia.
    Covered product means a product that is of a category for which an 
ENERGY STAR qualification or FEMP designation is established.
    ENERGY STAR qualified product means a product that is rated for 
energy efficiency under an ENERGY STAR program established by section 
324A of the Energy Policy and Conservation Act (42 U.S.C. 6294a).
    FEMP designated product means a product that is designated under the 
Federal Energy Management Program as being among the highest 25 percent 
of equivalent products for energy efficiency.

[[Page 563]]



Sec. 436.42  Evaluation of Life-Cycle Cost Effectiveness.

    For the purpose of compliance with section 553 of the National 
Energy Conservation Policy Act:
    (a) ENERGY STAR qualified and FEMP designated products may be 
assumed to be life-cycle cost-effective.
    (b) In making a determination that a covered product is not life-
cycle cost-effective, an agency should rely on the life-cycle cost 
analysis method in part 436, subpart A, of title 10 of the Code of 
Federal Regulations.



Sec. 436.43  Procurement planning.

    (a) Agencies should consider the procurement planning requirements 
of section 553 of the National Energy Conservation Policy Act as 
applying to:
    (1) Design, design/build, renovation, retrofit and services 
contracts; facility maintenance and operations contracts;
    (2) Energy savings performance contracts and utility energy service 
contracts;
    (3) If applicable, lease agreements for buildings or equipment, 
including build-to-lease contracts;
    (b) Agencies should require the procurement of ENERGY STAR and FEMP 
designated products in new service contracts and other existing service 
contracts as they are recompeted and should, to the extent possible, 
incorporate such requirements and preferences into existing contracts as 
they are modified or extended through options.
    (c) Agencies should include criteria for energy efficiency that are 
consistent with the criteria used for rating qualified products in the 
factors for the evaluation of:
    (1) Offers received for procurements involving covered products, and
    (2) Offers received for construction, renovation, and services 
contracts that include provisions for covered products.
    (d) Agencies should notify their vendors of the Federal requirements 
for energy efficient purchasing.

Subparts D-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 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.

[[Page 564]]

    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.
    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.

[[Page 565]]

    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.



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

[[Page 566]]

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);
    (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:

[[Page 567]]

    (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 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.

[[Page 568]]

    (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
    (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

[[Page 569]]

    (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 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,

[[Page 570]]

in the DOE annual report to the President, entitled ``Energy Management 
in the Federal Government.''



 Sec. Appendix A to Part 436--Energy Conservation Standards for General 
                          Operations [Reserved]



          Sec. 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

    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

[[Page 571]]

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.
[GRAPHIC] [TIFF OMITTED] TC04OC91.243

    A comparison of these projections will show the energy use avoidance 
resulting from the investment program as depicted in

[[Page 572]]

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 573]]

[GRAPHIC] [TIFF OMITTED] TC04OC91.244

    (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

[[Page 574]]

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



  Sec. 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 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.

[[Page 575]]

    (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.
    (35) Lighting Fixtures--Includes measures to increase energy 
efficiency of lighting. The following reveals the relative efficiencies 
of common lamp types.

[[Page 576]]



------------------------------------------------------------------------
                                                             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.



    Sec. 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 National Environmental Policy Act in developing 
its plan.

[[Page 577]]



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 Weatherization materials standards and energy audit procedures.
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 et seq.; 42 U.S.C. 7101 et seq.

    Source: 49 FR 3629, Jan. 27, 1984, unless otherwise noted.



Sec. 440.1  Purpose and scope.

    This part implements a weatherization assistance program to increase 
the energy efficiency of dwellings owned or occupied by low-income 
persons or to provide such persons renewable energy systems or 
technologies, reduce their total residential expenditures, and improve 
their health and safety, especially low-income persons who are 
particularly vulnerable such as the elderly, persons with disabilities, 
families with children, high residential energy users, and households 
with high energy burden.

[65 FR 77217, Dec. 8, 2000, as amended at 71 FR 35778, June 22, 2006]



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).
    Base temperature means the temperature used to compute heating and 
cooling degree days. The average daily outdoor temperature is subtracted 
from the base temperature to compute heating degree days, and the base 
temperature is subtracted from the average daily outdoor temperature to 
compute cooling degree days.
    Biomass means any organic matter that is available on a renewable or 
recurring basis, including agricultural crops and trees, wood and wood 
wastes and residues, plants (including aquatic plants), grasses, 
residues, fibers, and animal wastes, municipal wastes, and other waste 
materials.
    CAA means a Community Action Agency.
    Capital-Intensive furnace or cooling efficiency modifications means 
those major heating and cooling modifications which require a 
substantial

[[Page 578]]

amount of funds, including replacement and major repairs, but excluding 
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.
    Electric base-load measures means measures which address the energy 
efficiency and energy usage of lighting and appliances.
    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.
    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.
    High residential energy user means a low-income household whose 
residential energy expenditures exceed the median level of residential 
expenditures for all low-income households in the State.
    Household with a high energy burden means a low-income household 
whose residential energy burden (residential expenditures divided by the 
annual income of that household) exceeds the median level of energy 
burden for all low-income households in the State.
    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.
    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) At or below 200 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

[[Page 579]]

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 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 200 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.
    Non-Federal leveraged resources means those benefits identified by 
State or local agencies to supplement the Federal grant activities and 
that are made available to or used in conjunction with the DOE 
Weatherization Assistance Program for the purposes of the Act for use in 
eligible low-income dwelling units.
    Persons with Disabilities 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.
    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.
    Renewable energy system means a system which when installed in 
connection with a dwelling--
    (1) Transmits or uses solar energy, energy derived from geothermal 
deposits, energy derived from biomass (or any other form of renewable 
energy which DOE subsequently specifies through an amendment of this 
part) for the purpose of heating or cooling such dwelling or providing 
hot water or electricity for use within such dwelling; or wind energy 
for nonbusiness residential purposes; and
    (2) Which meets the performance and quality standards prescribed in 
Sec. 440.21 (c) of this part.
    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, the District of Columbia, American 
Samoa, Guam, Commonwealth of the Northern Mariana Islands, Commonwealth 
of Puerto Rico, and the Virgin Islands.
    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.

[[Page 580]]

    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; 65 FR 77217, Dec. 8, 2000; 71 FR 35778, 
June 22, 2006; 74 FR 12539, Mar. 25, 2009]



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.
    (b) Based on total program allocations at or above the amount of 
$209,724,761, 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.

                          Base Allocation Table
 
                                                               Base
                          State                             allocation
------------------------------------------------------------------------
Alabama.................................................      $1,636,000
Alaska..................................................       1,425,000
Arizona.................................................         760,000
Arkansas................................................       1,417,000
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
American Samoa..........................................         120,000
Guam....................................................         120,000
Puerto Rico.............................................         120,000
Northern Mariana Islands................................         120,000
Virgin Islands..........................................         120,000
Total...................................................     171,858,000
------------------------------------------------------------------------

    (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

[[Page 581]]

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.
    (c) Should total program allocations for any fiscal year fall below 
$209,724,761, then each State's program allocation shall be reduced from 
its allocated amount under a total program allocation of $209,724,761 by 
the same percentage as total program allocations for the fiscal year 
fall below $209,724,761.
    (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, as amended at 74 FR 12539, Mar. 25, 2009]



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

[[Page 582]]

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 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;

[[Page 583]]

    (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]



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 to DOE an application, a State must provide at 
least 10 days notice of a hearing to inform prospective subgrantees, and 
must conduct one or more public hearings to receive comments on a 
proposed State plan. The notice for the hearing must specify that copies 
of the plan are available and state how the public may obtain them. The 
State must prepare a transcript of the hearings and accept written 
submission of views and data for the record.
    (b) The proposed State plan must:
    (1) Identify and describe proposed weatherization projects, 
including a statement of proposed subgrantees and the amount of funding 
each will receive;

[[Page 584]]

    (2) Address the other items contained in paragraph (c) of this 
section; and
    (3) Be made available throughout the State prior to the hearing.
    (c) After the hearing, the State must prepare a final State plan 
that identifies and describes:
    (1) The production schedule for the State indicating projected 
expenditures and the number of dwelling units, including previously 
weatherized units which are expected to be weatherized annually during 
the program year;
    (2) The climatic conditions within the State;
    (3) The type of weatherization work to be done;
    (4) An estimate of the amount of energy to be conserved;
    (5) Each area to be served by a weatherization project within the 
State, and must include for each area:
    (i) The tentative allocation;
    (ii) The number of dwelling units expected to be weatherized during 
the program year; and
    (iii) Sources of labor.
    (6) How the State plan is to be implemented, including:
    (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 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 (9) to be applied to any dwelling unit;
    (ix) [Reserved]
    (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;
    (xii) The definition of ``low-income'' which the State has chosen 
for determining eligibility for use statewide in accordance with Sec. 
440.22(a);
    (xiii) The definition of ``children'' which the State has chosen 
consistent with Sec. 440.3; and
    (xiv) The amount of Federal funds and 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.

[65 FR 77217, Dec. 8, 2000, as amended at 66 FR 58366, Nov. 21, 2001]



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;

[[Page 585]]

    (iii) The number, qualifications, and experience of the staff 
members of the subgrantee; and
    (iv) The ability of the subgrantee to secure volunteers, training 
participants, public service employment workers, and other Federal or 
State training programs.
    (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; 65 FR 77218, Dec. 8, 2000]



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:
    (1) Elderly persons;
    (2) Persons with disabilities;
    (3) Families with children;
    (4) High residential energy users; and
    (5) Households with a high energy burden.
    (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, other 
Federal or State training program workers, 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--

[[Page 586]]

    (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;
    (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; 65 
FR 77218, Dec. 8, 2000]



Sec. 440.17  Policy Advisory Council.

    (a) Prior to the expenditure of any grant funds, a State policy 
advisory council, or a State commission or council which serves the same 
functions as a State policy advisory council, must be established by a 
State or by the Regional 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.
    (b) Any person employed in any State Weatherization Program may also 
be a member of an existing commission or council, but must abstain from 
reviewing and approving activities associated with the DOE 
Weatherization Assistance Program.
    (c) States which opt to utilize an existing commission or council 
must certify to DOE, as a part of the annual application, of the 
council's or commission's independence in reviewing and approving 
activities associated with the DOE Weatherization Assistance Program.

[49 FR 3629, Jan. 27, 1984, as amended at 58 FR 12529, Mar. 4, 1993; 65 
FR 77218, Dec. 8, 2000]



Sec. 440.18  Allowable expenditures.

    (a) Except as adjusted, the expenditure of financial assistance 
provided under this part for labor, weatherization materials, and 
related matters included in paragraphs (c)(1) through (9) of this 
section shall not exceed an average of $6,500 per dwelling unit 
weatherized in the State, except as adjusted in paragraph (c) of this 
section.
    (b) The expenditure of financial assistance provided under this part 
for labor, weatherization materials, and related matters for a renewable 
energy system, shall not exceed an average of $3,000 per dwelling unit.
    (c) The $6,500 average will be adjusted annually by DOE beginning in 
calendar year 2010 and the $3,000 average for renewable energy systems 
will be adjusted annually by DOE beginning in calendar year 2007, by 
increasing the limitations by an amount equal to:
    (1) The limitation amount for the previous year, multiplied by
    (2) The lesser of:
    (i) 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
    (ii) Three percent.
    (3) For the purposes of determining the average cost per dwelling 
limitation, costs for the purchase of vehicles or other certain types of 
equipment as defined in 10 CFR part 600 may be amortized over the useful 
life of the vehicle or equipment.
    (d) 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;

[[Page 587]]

    (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;
    (5) Maintenance of tools and equipment;
    (6) The cost of purchasing vehicles, except that any purchase of 
vehicles must 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.
    (e) 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.
    (f) 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, 1993, 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, as amended at 65 FR 77218, Dec. 8, 2000; 66 
FR 58366, Nov. 21, 2001; 71 FR 35778, June 22, 2006; 74 FR 12540, Mar. 
25, 2009]



Sec. 440.19  Labor.

    Payments for labor costs under Sec. 440.18(c)(2) must consist of:
    (a) Payments permitted by the Department of Labor to supplement 
wages paid to training participants, public service employment workers, 
or other Federal or State training programs; and
    (b) Payments to employ labor 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, 
public service employment workers, or other

[[Page 588]]

Federal or State training programs are not available to weatherize 
dwelling units for a subgrantee under the supervision of qualified 
supervisors.

[65 FR 77218, Dec. 8, 2000]



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  Weatherization materials standards and energy audit procedures.

    (a) Paragraph (b) of this section describes the required standards 
for weatherization materials. Paragraph (c)(1) of this section describes 
the performance and quality standards for renewable energy systems. 
Paragraph (c)(2) of this section specifies the procedures and criteria 
that are used for considering a petition from a manufacturer requesting 
the Secretary to certify an item as a renewable energy system. 
Paragraphs (d) and (e) of this section describe the cost-effectiveness 
tests that weatherization materials must pass before they may be 
installed in an eligible dwelling unit. Paragraph (f) of this section 
lists the other energy audit requirements that do not pertain to cost-
effectiveness tests of weatherization materials. Paragraphs (g) and (h) 
of this section describe the use of priority lists and presumptively 
cost-effective general heat waste reduction materials as part of a 
State's energy audit procedures. Paragraph (i) of this section explains 
that a State's energy audit procedures and priority lists must be re-
approved by DOE every five years.
    (b) Only weatherization materials which are listed in appendix A to 
this part and which meet or exceed standards prescribed in appendix A to 
this part may be purchased with funds provided under this part. However, 
DOE may approve an unlisted material upon application from any State.
    (c)(1) A system or technology shall not be considered by DOE to be a 
renewable energy system under this part unless:
    (i) It will result in a reduction in oil or natural gas consumption;
    (ii) It will not result in an increased use of any item which is 
known to be, or reasonably expected to be, environmentally hazardous or 
a threat to public health or safety;
    (iii) Available Federal subsidies do not make such a specification 
unnecessary or inappropriate (in light of the most advantageous 
allocation of economic resources); and
    (iv) If a combustion rated system, it has a thermal efficiency 
rating of at least 75 percent; or, in the case of a solar system, it has 
a thermal efficiency rating of at least 15 percent.
    (2) Any manufacturer may submit a petition to DOE requesting the 
Secretary to certify an item as a renewable energy system.
    (i) Petitions should be submitted to: Weatherization Assistance 
Program, Office of Energy Efficiency and Renewable, Mail Stop EE-2K, 
1000 Independence Avenue, SW., Washington, DC 20585.
    (ii) A petition for certification of an item as a renewable energy 
system must be accompanied by information demonstrating that the item 
meets the criteria in paragraph (c)(1) of this section.
    (iii) DOE may publish a document in the Federal Register that 
invites public comment on a petition.

[[Page 589]]

    (iv) DOE shall notify the petitioner of the Secretary's action on 
the request within one year after the filing of a complete petition, and 
shall publish notice of approvals and denials in the Federal Register.
    (d) Except for materials to eliminate health and safety hazards 
allowable under Sec. 440.18(c)(15), each individual weatherization 
material and package of weatherization materials installed in an 
eligible dwelling unit must be cost-effective. These materials must 
result in energy cost savings over the lifetime of the measure(s), 
discounted to present value, that equal or exceed the cost of materials, 
installation, and on-site supervisory personnel as defined by the 
Department. States have the option of requiring additional related costs 
to be included in the determination of cost-effectiveness. The cost of 
incidental repairs must be included in the cost of the package of 
measures installed in a dwelling.
    (e) The energy audit procedures must assign priorities among 
individual weatherization materials in descending order of their cost-
effectiveness according to paragraph (d) of this section after:
    (1) Adjusting for interaction between architectural and mechanical 
weatherization materials by using generally accepted engineering methods 
to decrease 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
    (2) Eliminating any weatherization materials that are no longer 
cost-effective, as adjusted under paragraph (e)(1) of this section.
    (f) The energy audit procedures also must--
    (1) Compute the cost of fuel saved per year by taking into account 
the climatic data of the area where the dwelling unit is located, where 
the base temperature that determines the number of heating or cooling 
degree days (if used) reasonably approximates conditions when operation 
of heating and cooling equipment is required to maintain comfort, and 
must otherwise use reasonable energy estimating methods and assumptions;
    (2) Determine existing energy use and energy requirements of the 
dwelling unit from actual energy bills or by generally accepted 
engineering calculations;
    (3) Address significant heating and cooling needs;
    (4) Make provision for the use of advanced diagnostic and assessment 
techniques which DOE has determined are consistent with sound 
engineering practices;
    (5) 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);
    (6) Treat the dwelling unit as a whole system by examining its 
heating and cooling system, its air exchange system, and its 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; and
    (7) Be specifically approved by DOE for use on each major dwelling 
type that represents a significant portion of the State's weatherization 
program in light of the varying energy audit requirements of different 
dwelling types including single-family dwellings, multi-family 
buildings, and mobile homes.
    (g) For similar dwelling units without unusual energy-consuming 
characteristics, energy audits may be accomplished by using a priority 
list developed by conducting, in compliance with paragraphs (b) through 
(f) of this section, site-specific energy audits of a representative 
subset of these dwelling units. For DOE approval, States must describe 
how the priority list was developed, how the subset of similar homes was 
determined, and circumstances that will require site-specific audits 
rather than the use of the priority lists. States also must provide the 
input data and list of weatherization measures recommended by the energy 
audit software or manual methods for several dwelling units from the 
subset of similar units.
    (h) States may use, as a part of an energy audit, general heat waste 
reduction weatherization materials that DOE has determined to be 
generally

[[Page 590]]

cost-effective. States may request approval to use general heat waste 
materials not listed in DOE policy guidance by providing documentation 
of their cost-effectiveness and a description of the circumstances under 
which such materials will be used.
    (i) States must resubmit their energy audit procedures (and priority 
lists, if applicable, under certain conditions) to DOE for approval 
every five years. States must also resubmit to DOE, for approval every 
five years, their list of general heat waste materials in addition to 
those approved by DOE in policy guidance, if applicable. Policy guidance 
will describe the information States must submit to DOE and the 
circumstances that reduce or increase documentation requirements.

[65 FR 77218, Dec. 8, 2000, as amended at 71 FR 35778, June 22, 2006]



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 200 percent of the poverty level 
determined in accordance with criteria established 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 200 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, and certain eligible types of large multi-family 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

[[Page 591]]

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, as amended at 65 FR 77219, Dec. 8, 2000; 74 
FR 12540, Mar. 25, 2009]



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 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 20 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; 74 
FR 12540, Mar. 25, 2009]



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

[[Page 592]]

Secretary of Health and Human Services under this part.

(Approved by the Office of Management and Budget under control number 
1901-0127)



Sec. Sec. 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.
    (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]



   Sec. Appendix A to Part 440--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;

[[Page 593]]

    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 National Archives and 
Records Administration (NARA). For information on the availability of 
this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html.
    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.
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.

[[Page 594]]

 
Insulation-organic cellular:
  Preformed block-type polystyrene insulation.....  ASTM C578-87a.
  Rigid preformed polyurethane insulation board...  ASTM C591-85.
  Polyurethane or polyisocyanurate insulation       FS \2\ HH-I-1972/1
   board faced with aluminum foil on both sides.     (1981).
  Polyurethane or polyisocyanurate insulation       FS HH-I-1972/2
   board faced with felt on both sides.              (1981). And
                                                     Amendment 1,
                                                     October 3, 1985.
Insulation--composite boards:
  Mineral fiber and rigid cellular polyurethane     ASTM C726-88.
   composite roof insulation board.
  Perlite board and rigid cellular polyurethane     ASTM C984-83.
   composite roof insulation.
  Gypsum board and polyurethane or polisocyanurate  FS HH-I-1972/4
   composite board.                                  (1981).
Materials used as a patch to reduce infiltration    Commercially
 through the building envelope.                      available.
------------------------------------------------------------------------
\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            ASTM C553-70 (1977).
   (industrial type).
  Blanket insulation and blanket type    ASTM C592-80.
   pipe insulation (metal-mesh covered)
   (industrial type).
  Block and board insulation...........  ASTM C612-83.
  Spray applied fibrous insulation for   ASTM C720-89.
   elevated temperature.
  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         ASTM C534-88.
   cellular 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          Insulation materials, including
 ceilings.                           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         Commercially available.
 windows.
------------------------------------------------------------------------
\1\ ANSI/AAMA indicates American National Standards Institute/American
  Architectural Manufacturers Association.

[[Page 595]]

 
\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.
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        FS TT-S-00230C, February 2, 1970
   sealants.                            and Amendment 2, October 9,
                                        1970.
  Latex sealing compounds............  ASTM C834-76 (1986).
  Elastomeric joint sealants           ASTM C920-87.
   (normally considered to include
   polysulfide, polyurethane, and
   silicone).
  Preformed gaskets and sealing        ASTM C509-84.
   materials.
------------------------------------------------------------------------
\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     ASME \1\ Boiler and Pressure Vessel
 and steam-to-water.                 Code, 1992, Sections II, V, VIII,
                                     IX, and X, as applicable to
                                     pressure vessels. Standards of
                                     Tubular Exchanger Manufacturers
                                     Association, Seventh Edition, 1988.

[[Page 596]]

 
Heat exchangers with gas-fired      Conformance to AGA \3\ Requirements
 appliances \2\.                     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        Electrical components to be listed
 recovery systems.                   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.


                       Water Heater Modifications
                       [Standards for conformance]
Insulate tank and distribution piping  (See insulation section of this
                                        appendix).
Install heat traps on inlet and        Applicable local plumbing code.
 outlet piping.
Install/replace water heater heating   Listed by UL. \1\
 elements.
Electric, freeze-prevention tape for   Listed by UL.
 pipes.
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 CSD-
 install automatic boiler temperature     1a-1989, ANSI Z223.1-1988, and
 reset control.                           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-      instructions.
 fueled equipment. Check operation of
 pump(s) and replacement filters.

[[Page 597]]

 
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        Commercially available. NFPA
 system.                                  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).
Reduce input of burner; derate gas-      Local utility company and
 fueled 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 54-1988)
 adjust air shutter and check CO2 and     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 31-
 heating systems.                         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 54-1988)
   fueled appliances.                     Part 9 and Appendices G & H.
  B: Adjust barometric draft regulator   NFPA 31-1987 and per
   for oil fuels.                         manufacturers' (furnace or
                                          boiler) instructions.
Replace constant burning pilot with      ANSI Z21.71-1981, Z21.71a-1985,
 electric ignition device on gas-fueled   and Z21.71b-1989.
 furnaces or boilers.
Readjust fan switch on forced air gas    Applicable sections and
 or 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,          Commercially available.
 registers, 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    NFPA \1\ 211-1988.
 fuel 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,     UL 507, August 23, 1990
   and 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.

[[Page 598]]

 
  Room size units............................  ANSI/AHAM \2\ RAC-1-1982.
Other cooling equipment:
  Including evaporative coolers, heat pumps    UL \3\ 1995, November 30,
   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.
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 heat-   Commercially available.
 reflective measure on awnings, window
 louvers, doors, and exterior duct work
 (exposed).
------------------------------------------------------------------------


[58 FR 12529, Mar. 4, 1993, as amended at 69 FR 18803, Apr. 9, 2004]

                           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. 7101, et seq.; 42 U.S.C. 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, under the authority of 42 U.S.C. 13317, for 
electric energy generated and sold by a qualified renewable energy 
facility owned by a State or political subdivision thereof; a not-for-
profit electric cooperative; a public utility described in section 115 
of the Internal Revenue Code of 1986; an Indian tribal government or 
subdivision thereof; or a Native corporation.
    (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.

[60 FR 36964, July 19, 1995, as amended at 71 FR 46386, Aug. 14, 2006]



Sec. 451.2  Definitions.

    As used in this part--
    Biomass means biologically generated energy sources such as heat 
derived from combustion of plant matter, or from combustion of gases or 
liquids derived from plant matter, animal wastes, or sewage, or from 
combustion of gases derived from landfills, or hydrogen derived from 
these same sources.
    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.
    Date of first use means, at the option of the facility owner, the 
date of the first kilowatt-hour sale, the date of

[[Page 599]]

completion of facility equipment testing, or the date when all approved 
permits required for facility construction are received.
    Deciding Official means the Manager of the Golden Field Office of 
the Department of Energy (or any DOE official to whom the authority of 
the Manager of the Golden Field Office 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.
    Indian tribal government means the governing body of an Indian tribe 
as defined in section 4 of the Indian Self-Determination and Education 
Assistance Act (25 U.S.C. 450b).
    Native corporation has the meaning set forth in the Alaska Native 
Claims Settlement Act (25 U.S.C. 1602).
    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.
    Not-for-profit electrical cooperative means a cooperative 
association that is legally obligated to operate on a not-for-profit 
basis and is organized under the laws of any State for the purpose of 
providing electric service to its members.
    Ocean means the waters of the Atlantic Ocean (including the Gulf of 
Mexico) and the Pacific Ocean within the jurisdiction of the United 
States from which energy may be derived through application of tides, 
waves, currents, thermal differences, or other means.
    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, ocean, 
geothermal heat, and biomass, except for--
    (1) Heat from the burning of municipal solid waste; or
    (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, Commonwealths, territories, and possessions of the United 
States.

[60 FR 36964, July 19, 1995, as amended at 71 FR 46386, Aug. 14, 2006]



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 public utility described in section 115 of the Internal 
Revenue Code of 1986;
    (3) A not-for-profit electrical cooperative;
    (4) An Indian tribal government or subdivision thereof; or
    (5) A Native corporation.
    (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

[[Page 600]]

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, 2016. For 
facilities whose date of first use occurred in the period October 1, 
2003, through September 30, 2004, the time of first use shall be deemed 
to be October 1, 2004.
    (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 ocean, 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 ocean, 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 or in U.S. jurisdictional waters.

[60 FR 36964, July 19, 1995, as amended at 71 FR 46386, Aug. 14, 2006]



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) 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, except as provided in paragraph (b)(2) of this section.
    (2) For facilities whose date of first use occurred in the period 
October 1, 2003, through September 30, 2005, applications for incentive 
payments for electric energy generated and sold in fiscal year 2005 must 
be filed by August 31, 2006.
    (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.
    (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.

[60 FR 36964, July 19, 1995, as amended at 71 FR 46387, Aug. 14, 2006]



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 consecutive 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 2026.

[60 FR 36964, July 19, 1995, as amended at 71 FR 46387, Aug. 14, 2006]



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.

[[Page 601]]



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 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;
    (i) Copies of permit authorizations if the date of first use is 
based on permit approvals and this is the initial application;
    (j) Instructions for payment by electronic funds transfer;
    (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 the information contained in the application is 
accurate.
    (m) If a not-for-profit electric cooperative, a statement certifying 
that no claim for tax credit has been made for the same electricity for 
which incentive payments are requested.

[60 FR 36964, July 19, 1995, as amended at 71 FR 46387, Aug. 14, 2006]



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. 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. Upon evaluating each application and any other 
relevant information, DOE shall further determine:
    (1) Eligibility of the applicant for receipt of an incentive 
payment, based on the criteria for eligibility specified in this part;
    (2) The number of kilowatt-hours to be used in calculating a 
potential incentive payment, based on the net electric energy generated 
from a qualified

[[Page 602]]

renewable energy source at the qualified renewable energy facility and 
sold during the prior fiscal year;
    (3) The number of kilowatt-hours to be used in calculating a 
potential additional incentive payment, based on the total quantity of 
accrued energy generated during prior fiscal years;
    (4) The amounts represented by 60 percent of available funds and by 
40 percent of available funds; and
    (5) Whether justification exists for altering the 60:40 payment 
ratio specified in paragraph (e) of this section. If DOE intends to 
modify the 60:40 ratio, the Department shall notify Congress, setting 
forth reasons for such change.
    (d) Calculating payments. Subject to the provisions of paragraph (e) 
of this section, potential 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. Using 
the same procedure, a potential additional payment shall be determined 
for the number of kilowatt-hours determined under paragraph (c)(3) of 
this section. If the sum of these calculated payments does not exceed 
the funds determined to be available by the Assistant Secretary for 
Energy Efficiency and Renewable Energy under Sec. 451.9(c), DOE shall 
make payments to all qualified applicants.
    (e) Insufficient funds. If funds are not sufficient to make full 
incentive payments to all qualified applicants, DOE shall--
    (1) Calculate potential incentive payments, if necessary on a pro 
rata basis, not to exceed 60 percent of available funds to owners or 
operators of qualified renewable energy facilities using solar, wind, 
ocean, geothermal, and closed-loop biomass technologies based on prior 
year energy generation;
    (2) Calculate potential incentive payments, if necessary on a pro 
rata basis, not to exceed 40 percent of available funds to owners or 
operators of all other qualified renewable energy facilities based on 
prior year energy generation;
    (3) If the amounts calculated in paragraph (e)(1) and (2) of this 
section result in one owner group with insufficient funds and one with 
excess funds, allocate excess funds to the owner group with insufficient 
funds and calculate additional incentive payments, on a pro rata basis 
if necessary, to such owners or operators based on prior year energy 
generation.
    (4) If potential payments calculated in paragraphs (e)(1), (2), and 
(3) of this section do not exceed available funding, allocate 60% of 
remaining funds to paragraph (e)(1) recipients and 40% to paragraph 
(e)(2) recipients and calculate additional incentive payments, if 
necessary on a pro rata basis, to owners or operators based on accrued 
energy;
    (5) If the amounts calculated in paragraph (e)(4) of this section 
result in one owner group with insufficient funds and one with excess 
funds, allocate excess funds to the owner group with insufficient funds 
and calculate additional incentive payments, on a pro rata basis if 
necessary, to such owners or operators based on accrued energy.
    (6) Notify Congress if potential payments resulting from paragraphs 
(e)(3) or (5) of this section above will result in alteration of the 
60:40 payment ratio;
    (7) Make incentive payments based on the sum of the amounts 
determined in paragraphs (e)(1) through (5) of this section for each 
applicant;
    (8) Treat the number of kilowatt-hours for which an incentive 
payment is not made as a result of insufficient funds as accrued energy 
for which future incentive payment may be made; and
    (9) Maintain a record of each applicant's accrued energy.
    (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;

[[Page 603]]

    (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.

[60 FR 36964, July 19, 1995, as amended at 71 FR 46387, Aug. 14, 2006]



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.
    (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 452_PRODUCTION INCENTIVES FOR CELLULOSIC BIOFUELS--Table of 
Contents




Sec.
452.1 Purpose and scope.
452.2 Definitions.
452.3 Solicitations.
452.4 Eligibility requirements.
452.5 Bidding procedures.
452.6 Incentive award terms and limitations.

    Authority: 42 U.S.C. 7101 et seq.; 42 U.S.C. 16251.

    Source: 74 FR 52871, Oct. 15, 2009, unless otherwise noted.



Sec. 452.1  Purpose and scope.

    (a) This part sets forth the standards, policies, and procedures 
that the Department of Energy uses for receiving, evaluating, and 
awarding bids in reverse auctions of production incentive payments for 
cellulosic biofuels under section 942 of the Energy Policy Act of 2005 
(42 U.S.C. 16251).
    (b) Part 1024 of chapter X of title 10 of the Code of Federal 
Regulations shall not apply to actions taken under this part.



Sec. 452.2  Definitions.

    As used in this part:
    Cellulosic biofuel means any liquid fuel produced from cellulosic 
feedstocks.
    Cellulosic feedstock means any lignocellulosic feedstock as defined 
by EPAct, section 932(a)(2).
    Commercially significant quantity means 10 million gallons or more 
of cellulosic biofuels produced in one year.
    DOE means the U.S. Department of Energy.
    Eligible biofuels producer means a business association, including 
but not limited to a sole proprietorship, partnership, joint venture, 
corporation, or other business entity that owns and operates, or plans 
to own and operate, an eligible cellulosic biofuels production facility 
and that meets all other eligibility requirements that are conditions on 
the receipt of production incentives under this part.
    Eligible cellulosic biofuels production facility means a facility--
    (1) Located in the United States (including U.S. territories and 
possessions);
    (2) Which meets all applicable Federal and State permitting 
requirements;
    (3) Employs a demonstrated refining technology; and
    (4) Meets any relevant financial criteria established by the 
Secretary.

[[Page 604]]

    EPAct 2005 means the Energy Policy Act of 2005, Public Law 109-58 
(August 8, 2005).
    Open window means the period during each reverse auction, as 
specified in an associated solicitation, during which DOE accepts bids 
for production incentives under this part.
    Secretary means the Secretary of Energy.



Sec. 452.3  Solicitations.

    The reverse auction process commences with the issuance of a 
solicitation by DOE. DOE will publish a solicitation in the Federal 
Register and shall post the solicitation on its website at 
www.eere.energy.gov no later than 60 days before the bidding in a 
reverse auction under this part commences. The solicitation shall:
    (a) Invite interested persons and businesses to submit pre-
qualification statements;
    (b) Set forth the terms on which bids will be accepted;
    (c) Specify the open window for bidding; and
    (d) Specify the date by which successful bidders will be required to 
file pre-auction eligibility submissions.



Sec. 452.4  Eligibility requirements.

    (a) Pre-auction eligibility submissions. (1) Entities that intend to 
participate in a reverse auction, within the time period stated in the 
relevant solicitation, must file a pre-auction eligibility submission 
that provides all information requested in the applicable solicitation 
to which it is responding, including an implementation plan.
    (2) Each pre-auction eligibility submission's implementation plan 
must, at a minimum:
    (i) Demonstrate that the filing party owns and operates or plans to 
own and operate an eligible cellulosic biofuels production facility;
    (ii) Identify the site or proposed site for the filing party's 
eligible cellulosic biofuels production facility;
    (iii) Demonstrate that the cellulosic biofuel to be produced for 
purposes of receiving an award either currently is suitable for 
widespread general use as a transportation fuel or will be suitable for 
such use in a timeframe and in sufficient volumes to significantly 
contribute to the goal of 1 billion gallons of refined cellulosic 
biofuel by August 2015.
    (iv) Provide audited or pro forma financial statements for the 
latest 12 month period; and
    (v) Identify one or more proposed sources of financing for the 
construction or expansion of the filing party's eligible cellulosic 
biofuels production facility.
    (b) Notification of pre-auction eligibility status. DOE shall notify 
each entity that files a pre-auction eligibility submission of its 
acceptance or rejection no later than 15 days before the reverse auction 
for which the submission was made. A DOE decision constitutes final 
agency action and is conclusive.
    (c) Progress reports. Within one year after the reverse auction in 
which a bidder successfully competed, the bidder must submit a progress 
report that includes all additional information required by the 
solicitation in which the bidder submitted a successful bid and which 
demonstrates that the bidder has:
    (1) Acquired the site where its proposed eligible cellulosic 
biofuels production facility is or will be located;
    (2) Obtained secure financing commitments for the plant or expansion 
thereof, as necessary to produce cellulosic biofuels; and
    (3) Entered into a written engineering, procurement, and 
construction (EPC) contract for design and construction of the eligible 
cellulosic biofuels production facility; such EPC contract must provide 
for completion of construction of the eligible cellulosic biofuels 
production facility such that operations at the plant or plant expansion 
will commence within three years of the reverse auction in which the 
bidder successfully competed.
    (d) Production agreement. Within 90 days after submission of its 
progress report under paragraph (c) of this section, the successful 
bidder must enter into an agreement with DOE which requires the bidder 
to begin production of commercially significant quantities of cellulosic 
biofuels, at the eligible cellulosic biofuels production facility that 
was the subject of the relevant bid, not later than three years from the 
date of the acceptance of the successful bid.

[[Page 605]]

    (e) Confirmation of continuing eligibility. After receiving the 
progress report described in the paragraph (e) of the section and upon 
confirmation by DOE that the successful bidder has entered into a 
production agreement with DOE, as described in paragraph (d) of this 
section, DOE will confirm to the bidder that it continues to meet the 
eligibility requirements of this part.
    (f) Contractual condition on eligibility. (1) As a condition of the 
receipt of an award under this part, a successful bidder in a reverse 
auction under this part must demonstrate that it has fulfilled the terms 
of its production agreement entered into with DOE pursuant to paragraph 
(d) of this section.
    (2) As a condition of continuing to receive production incentive 
payments under this part, a bidder that has entered into a production 
agreement with DOE must annually submit to DOE, by a commercially 
reasonable date specified by DOE, verification of the bidder's 
production volumes for the prior calendar year. Within 90 days of the 
submission of such verification, DOE shall notify the successful bidder 
whether the bidder has fulfilled the terms of the production agreement 
and shall make payment of any production incentive awards then 
outstanding for the one year period covered by the verified data 
submission.



Sec. 452.5  Bidding procedures.

    DOE shall conduct an electronic reverse auction through a limited 
duration single bid per producer auction process open only to pre-
auction eligible cellulosic biofuels producers. The following procedures 
shall be used:
    (a) DOE shall accept only electronic bids received from pre-auction 
eligible cellulosic biofuels producers during the open window 
established in the solicitation. The open window shall consist of a 
single continuous period of at least four hours for each auction.
    (b) Bids shall identify an estimated annual production amount from 
an eligible cellulosic biofuels production facility on a per gallon, 
site, entity, and year specific basis for a consecutive six year 
production period. A bid also may be submitted for additional incentives 
for uncovered production volumes at a site where an award was made in an 
earlier auction round.
    (c) All bids must set forth the methodology used to derive the 
estimates of annual production volumes covered by the bid and the bid 
shall be calculated on a gasoline equivalent volumetric basis using the 
lower heating Btu value of the fuel compared to the lower heating Btu 
value of gasoline.
    (d) All bids will be confidential until 45 days after the close of 
the window for submission of bids for the reverse auction.
    (e) Bid evaluation and incentive awards selection procedures include 
the following:
    (1) After DOE evaluates the bids received during the open window, it 
shall, within 45 days following the close of the open window for 
submission of bids for the reverse auction, announce on DOE's website 
and by direct mail the names of the successful bidders and the terms of 
their bids.
    (2) DOE shall issue awards for the bid production amounts beginning 
with the bidder that submitted the bid for the lowest level of 
production incentive on a per gallon basis.
    (3) In the event of a tie among the lowest bids, preference will be 
given to the lowest tied bidder based on DOE's evaluation of the extent 
to which the tied bids meet the following criteria:
    (i) Demonstrates outstanding potential for local and regional 
economic development;
    (ii) Includes agricultural producers or cooperatives of agricultural 
producers as equity partners in the ventures; and
    (iii) Has a strategic agreement in place to fairly reward feedstock 
suppliers.
    (4) In the event more than one lowest tied bid equally meets the 
standards in paragraph (c)(3) of this section, the award will be 
distributed equally on a per capita basis among those lowest tied 
bidders meeting the standards.



Sec. 452.6  Incentive award terms and limitations.

    (a) Amount of incentive. Subject to the availability of appropriated 
funds and the limitations in paragraph (c) of this section, an eligible 
cellulosic biofuels producer selected to receive an award

[[Page 606]]

shall receive the amount of the production incentive on the per gallon 
basis requested in the auction solicitation for each gallon produced and 
sold by the entity during the first six years of operation of its 
eligible cellulosic biofuels production facility.
    (b) Failure to commence production. Except in the circumstance of a 
force majeure event, as solely determined by DOE, failure by an eligible 
cellulosic biofuels producer that made a successful bid to commence 
production of cellulosic biofuels, at the eligible cellulosic biofuels 
production facility that was the subject of the successful bid, by the 
end of the third year after the close of submission of the open window 
of bids for the reverse auction in which it submitted a successful bid, 
shall result in immediate revocation of DOE's award to that producer.
    (c) Failure of the successful bidder to meet annual production 
obligations. Except in the circumstance of a force majeure event, as 
solely determined by DOE, a successful bidder's failure to produce at 
least 50 percent of the volumes specified in its production agreement by 
December 31 of any year covered by the bid shall result in immediate 
revocation of DOE's award; if the successful bidder produces 50 percent 
or more of the volumes set forth in the production agreement on an 
annual basis by December 31 of any year covered by the agreement, any 
production shortfall will be carried forward and added to the successful 
bidder's production obligations for next year covered by the agreement.
    (d) Shortfalls remaining at the end of the production period. If, 
for any reason, by December 31 of the last year of the production 
agreement, the bidder has failed to produce the total production volumes 
for all years covered by the agreement, any such remaining shortfall 
shall be awarded to the bidder with the next lowest bid in the auction 
round for which the award was made. If, however, the next best bidder is 
unable to enter into a production agreement with DOE within 30 days 
after being notified of its award, the shortfall shall be allocated 
instead to the next reverse auction.
    (e) Incentive award limitations. The following limits shall apply to 
awards of cellulosic biofuels production incentives under this part:
    (1) During the first four years after the commencement of the 
program, the incentive shall be limited to $1.00 per gallon. For 
purposes of this limitation, the program shall be deemed to have 
commenced on the date that the first solicitation for a reverse auction 
is issued;
    (2) A per gallon cap over the remaining lifetime of the program of 
$.95 per gallon provided that--
    (i) This cap shall be lowered by $.05 each year commencing the first 
year after annual cellulosic biofuels production in the United States 
exceeds 1 billion gallons;
    (ii) Not more than 25 percent of the funds committed within each 
reverse auction shall be awarded to any single project;
    (iii) Not more than $100 million in production incentives shall be 
awarded in any one calendar year; and
    (iv) Not more than $1 billion in production incentives shall be 
awarded over the lifetime of the program.
    (f) Participation in subsequent auctions. A successful bidder in a 
reverse auction under this part may participate in subsequent reverse 
auctions if the incentives sought will assist the addition of plant 
production capacity for the eligible cellulosic biofuels production 
facility associated with its previously successful bid.

    (g) Transferability of awards. A production incentive award under 
this part may be transferred to a successor entity at the same 
production facility for which the award was made, provided that the 
successor entity meets all eligibility requirements of this part, 
including execution of an agreement with DOE to commence production of 
cellulosic biofuels in commercially significant quantities not later 
than three years of the date that bidding closes on the reverse auction 
in which the predecessor entity submitted a successful bid.

[[Page 607]]



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.

                    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.

[[Page 608]]

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 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.

[[Page 609]]

    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.
    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;

[[Page 610]]

    (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 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.

[[Page 611]]

    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
    (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

[[Page 612]]

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;
    (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;

[[Page 613]]

    (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.
    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.

[[Page 614]]



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;
    (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 Sec. Sec. 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;

[[Page 615]]

    (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;
    (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

[[Page 616]]

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 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

[[Page 617]]

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 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

[[Page 618]]

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:
    [GRAPHIC] [TIFF OMITTED] TC14NO91.086
    

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.
    (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

[[Page 619]]

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;
    (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.

[[Page 620]]



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 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,

[[Page 621]]

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 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

[[Page 622]]

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 Sec. Sec. 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.



    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,

[[Page 623]]

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 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

[[Page 624]]

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 Sec. Sec. 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 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;

[[Page 625]]

    (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 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-

[[Page 626]]

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 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

[[Page 627]]

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:
    (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

[[Page 628]]

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 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

[[Page 629]]

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
    (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;

[[Page 630]]

    (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 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 Sec. Sec. 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,

[[Page 631]]

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 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

[[Page 632]]

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 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.

[[Page 633]]



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 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.

[[Page 634]]

    (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 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

[[Page 635]]

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
    (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

[[Page 636]]

$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.



                     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

[[Page 637]]

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.



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.

[[Page 638]]



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).
    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

[[Page 639]]

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--
    (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.

[[Page 640]]

    (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 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

[[Page 641]]

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 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

[[Page 642]]

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 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

[[Page 643]]

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 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

[[Page 644]]

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 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

[[Page 645]]

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.



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

[[Page 646]]

    (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;
    (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.

[[Page 647]]



PART 474_ELECTRIC AND HYBRID VEHICLE RESEARCH, DEVELOPMENT, AND 
DEMONSTRATION PROGRAM; PETROLEUM-EQUIVALENT FUEL ECONOMY 

CALCULATION--Table of Contents




Sec.
474.1 Purpose and scope.
474.2 Definitions.
474.3 Petroleum-equivalent fuel economy calculation.
474.4 Test procedures.
474.5 Review and update.

Appendix to Part 474--Sample Petroleum-Equivalent Fuel Economy 
          Calculations

    Authority: 49 U.S.C. 32901 et seq.

    Source: 65 FR 36991, June 12, 2000, unless otherwise noted.



Sec. 474.1  Purpose and Scope.

    This part contains procedures for calculating a value for the 
petroleum-equivalent fuel economy of electric vehicles, as required by 
49 U.S.C. 32904(a)(2). The petroleum-equivalent fuel economy value is 
intended to be used by the Environmental Protection Agency in 
calculating corporate average fuel economy values pursuant to 
regulations at 40 CFR Part 600--Fuel Economy of Motor Vehicles.



Sec. 474.2  Definitions.

    For the purposes of this part, the term:
    Combined energy consumption value means the weighted average of the 
Urban Dynamometer Driving Schedule and the Highway Fuel Economy Driving 
Schedule energy consumption values (weighted 55/45 percent, 
respectively), as determined by the Environmental Protection Agency in 
accordance with 40 CFR parts 86 and 600.
    Electric vehicle means a vehicle that is powered by an electric 
motor drawing current from rechargeable storage batteries or other 
portable electrical energy storage devices, provided that:
    (1) Recharge energy must be drawn from a source off the vehicle, 
such as residential electric service; and
    (2) The vehicle must comply with all provisions of the Zero Emission 
Vehicle definition found in 40 CFR 88.104-94(g).
    Highway Fuel Economy Driving Schedule energy consumption value means 
the average number of watt-hours of electrical energy required for an 
electric vehicle to travel one mile of the Highway Fuel Economy Driving 
Schedule, as determined by the Environmental Protection Agency.
    Petroleum equivalency factor means the value specified in Sec. 
474.3(b) of this part, which incorporates the parameters listed in 49 
U.S.C. 32904(a)(2)(B) and is used to calculate petroleum-equivalent fuel 
economy.
    Petroleum-equivalent fuel economy means the value, expressed in 
miles per gallon, that is calculated for an electric vehicle in 
accordance with Sec. 474.3(a) of this part, and reported to the 
Administrator of the Environmental Protection Agency for use in 
determining the vehicle manufacturer's corporate average fuel economy.
    Petroleum-powered accessory means a vehicle accessory (e.g., a cabin 
heater, defroster, and/or air conditioner) that:
    (1) Uses gasoline or diesel fuel as its primary energy source; and
    (2) Meets the requirements for fuel, operation, and emissions in 40 
CFR part 88.104-94(g).
    Urban Dynamometer Driving Schedule energy consumption value means 
the average number of Watt-hours of electrical energy required for an 
electric vehicle to travel one mile of the Urban Dynamometer Driving 
Schedule, as determined by the Environmental Protection Agency.



Sec. 474.3  Petroleum-equivalent fuel economy calculation.

    (a) The petroleum-equivalent fuel economy for an electric vehicle is 
calculated as follows:
    (1) Determine the electric vehicle's Urban Dynamometer Driving 
Schedule energy consumption value and the Highway Fuel Economy Driving 
Schedule energy consumption value in units of Watt-hours per mile;
    (2) Determine the combined energy consumption value by averaging the 
Urban Dynamometer Driving Schedule energy consumption value and the 
Highway Fuel Economy Driving Schedule energy consumption value using a 
weighting of 55 percent urban/45 percent highway; and

[[Page 648]]

    (3) Calculate the petroleum-equivalent fuel economy by dividing the 
appropriate petroleum-equivalency factor (depending on whether any 
petroleum-powered accessories are installed; see paragraph (b) of this 
section) by the combined energy consumption value, and round to the 
nearest 0.01 miles per gallon.
    (b) The petroleum-equivalency factors for electric vehicles are as 
follows:
    (1) If the electric vehicle does not have any petroleum-powered 
accessories installed, the value of the petroleum equivalency factor is 
82,049 Watt-hours per gallon.
    (2) If the electric vehicle has any petroleum-powered accessories 
installed, the value of the petroleum-equivalency factor is 73,844 Watt-
hours per gallon.



Sec. 474.4  Test procedures.

    (a) The electric vehicle energy consumption values used in the 
calculation of petroleum-equivalent fuel economy under Sec. 474.3 of 
this part will be determined by the Environmental Protection Agency 
using the Highway Fuel Economy Driving Schedule and Urban Dynamometer 
Driving Schedule test cycles at 40 CFR parts 86 and 600.
    (b) The ``Special Test Procedures'' provisions of 40 CFR 86.090-27 
may be used to accommodate any special test procedures required for 
testing the energy consumption of electric vehicles.



Sec. 474.5  Review and Update

    The Department will review Part 474 five years after the date of 
publication as a final rule to determine whether any updates and/or 
revisions are necessary. DOE will publish a notice in the Federal 
Register soliciting stakeholder input in this review. The Department 
will publish the findings of the review and any resulting adjustments to 
Part 474 in the Federal Register.



  Sec. Appendix to Part 474--Sample Petroleum-Equivalent Fuel Economy 
                              Calculations

    Example 1: An electric vehicle is tested in accordance with 
Environmental Protection Agency procedures and is found to have an Urban 
Dynamometer Driving Schedule energy consumption value of 265 Watt-hours 
per mile and a Highway Fuel Economy Driving Schedule energy consumption 
value of 220 Watt-hours per mile. The vehicle is not equipped with any 
petroleum-powered accessories. The combined electrical energy 
consumption value is determined by averaging the Urban Dynamometer 
Driving Schedule energy consumption value and the Highway Fuel Economy 
Driving Schedule energy consumption value using weighting factors of 55 
percent urban, and 45 percent highway:

combined electrical energy consumption value = (0.55 * urban) + (0.45 * 
highway) = (0.55 * 265) + (0.45 * 220) = 244.75 Wh/mile

    Since the vehicle does not have any petroleum-powered accessories 
installed, the value of the petroleum equivalency factor is 82,049 Watt-
hours per gallon, and the petroleum-equivalent fuel economy is:

(82,049 Wh/gal) (244.75 Wh/mile) = 335.24 mpg
    Example 2: The vehicle from Example 1 is equipped with an optional 
diesel-fired cabin heater/defroster. For the purposes of this example, 
it is assumed that the electrical efficiency of the vehicle is 
unaffected.
    Since the vehicle has a petroleum-powered accessory installed, the 
value of the petroleum equivalency factor is 73,844 Watt-hours per 
gallon, and the petroleum-equivalent fuel economy is:

(73,844 Wh/gal) (244.75 Wh/mile) = 301.71 mpg



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.
490.8 Replacement fuel production goal.

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.

[[Page 649]]

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.

                   Subpart H_Biodiesel Fuel Use Credit

490.701 Purpose and scope.
490.702 Definitions.
490.703 Biodiesel fuel use credit allocation.
490.704 Procedures and documentation.
490.705 Use of credits.
490.706 Procedure for modifying the biodiesel component percentage.
490.707 Increasing the qualifying volume of the biodiesel component.
490.708 Violations.

                    Subpart I_Alternative Compliance

490.801 Purpose and scope.
490.802 Eligibility for alternative compliance waiver.
490.803 Waiver requirements.
490.804 Eligible reductions in petroleum consumption.
490.805 Application for waiver.
490.806 Action on an application for waiver.
490.807 Reporting requirement.
490.808 Use of credits to offset petroleum reduction shortfall.
490.809 Violations.
490.810 Record retention.

    Authority: 42 U.S.C. 7191 et seq.; 42 U.S.C. 13201, 13211, 13220, 
13251 et seq.

    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:
    (1) The definitions applicable throughout this part;
    (2) Procedures to obtain an interpretive ruling and to petition for 
a generally applicable rule to amend this part; and
    (3) The goal of the replacement fuel supply and demand program 
established under section 502(a) of the Act (42 U.S.C. 13252(a)).

[61 FR 10653, Mar. 14, 1996, as amended at 72 FR 12060, Mar. 15, 2007]



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 by volume of methanol, 
denatured ethanol, and other alcohols with gasoline

[[Page 650]]

or other fuels; natural gas; liquefied petroleum gas; hydrogen; coal-
derived liquid fuels; fuels (other than alcohol) derived from biological 
materials (including neat biodiesel); three P-series fuels (specifically 
known as Pure Regular, Pure Premium and Pure Cold Weather) as described 
by United States Patent number 5,697,987, dated December 16, 1997, and 
containing at least 60 percent non-petroleum energy content derived from 
methyltetrahydrofuran, which must be manufactured solely from biological 
materials, and ethanol, which must be manufactured solely from 
biological materials; 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.

[[Page 651]]

    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 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.

[[Page 652]]

    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.
    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.

[61 FR 10653, Mar. 14, 1996, as amended at 64 FR 26829, May 17, 1999]



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 Sec. Sec. 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.

[[Page 653]]

    (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;
    (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

[[Page 654]]

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.



Sec. 490.8  Replacement fuel production goal.

    The goal of the replacement fuel supply and demand program 
established by section 502(b)(2) of the Act (42 U.S.C. 13252(b)(2)) and 
revised by DOE pursuant to section 504(b) of the Act (42 U.S.C. 
13254(b)) is to achieve a production capacity of replacement fuels 
sufficient to replace, on an energy equivalent basis, at least 30 
percent of motor fuel consumption in the United States by the year 2030.

[72 FR 12060, Mar. 15, 2007]



   Sec. 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

[[Page 655]]

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
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

[[Page 656]]

    (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 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

[[Page 657]]

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
    (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.

[[Page 658]]

    (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 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.

[[Page 659]]



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.
    (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

[[Page 660]]

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 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

[[Page 661]]

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.
    (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

[[Page 662]]

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 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

[[Page 663]]

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., 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 sections 501, 
503(b), 507, 508, or 514 of the Act, or any regulation issued under such 
sections.

[72 FR 12964, Mar.20, 2007]



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 sections 
501, 503(b), 507, 514 of the Act, or any regulations issued under such 
sections.

[72 FR 12964, Mar.20, 2007]



Sec. 490.604  Penalties and Fines.

    (a) Civil Penalties. Whoever violates Sec. 490.603 of this part 
shall be subject to a civil penalty of not more than $5,500 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.

[61 FR 10653, Mar. 14, 1996, as amended at 62 FR 46183, Sept. 2, 1997]

    Effective Date Note: At 74 FR 66032, Dec. 14, 2009, Sec. 490.604 
was amended by revising paragraph (a), effective Jan. 13, 2010. For the

[[Page 664]]

convenience of the user, the revised text is set forth as follows:



Sec. 490.604  Penalties and fines.

    (a) Civil Penalties. Whoever violates Sec. 490.603 of this part 
shall be subject to a civil penalty of not more than $8,000 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 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.



                   Subpart H_Biodiesel Fuel Use Credit

    Source: 64 FR 27174, May 19, 1999, unless otherwise noted.



Sec. 490.701  Purpose and scope.

    (a) This subpart implements provisions of the Energy Conservation 
Reauthorization Act of 1998 (Pub. L. 105-388) that require, subject to 
some limitations, the allocation of credit to a fleet or covered person 
under Titles III and V of the Energy Policy Act of 1992 for the purchase 
of a qualifying volume of the biodiesel component of a fuel containing 
at least 20 percent biodiesel by volume.
    (b) Fleets and covered persons may use these credits to meet, in 
part, their mandated alternative fueled vehicle acquisition 
requirements.



Sec. 490.702  Definitions.

    In addition to the definitions found in Sec. 490.2, the following 
definitions apply to this subpart--
    Biodiesel means a diesel fuel substitute produced from nonpetroleum 
renewable resources that meets the registration requirements for fuels 
and fuel additives established by the Environmental Protection Agency 
under section 211 of the Clean Air Act; and
    Qualifying volume means--
    (1) 450 gallons; or
    (2) If DOE determines by rule that the average annual alternative 
fuel use in light duty vehicles by fleets and covered persons exceeds 
450 gallons or gallon equivalents, the amount of such average annual 
alternative fuel use.



Sec. 490.703  Biodiesel fuel use credit allocation.

    (a) DOE shall allocate to a fleet or covered person one credit for 
each

[[Page 665]]

qualifying volume of the biodiesel component of a fuel that contains at 
least 20 percent biodiesel by volume if:
    (1) Each qualifying volume of the biodiesel component of a fuel was 
purchased after November 13, 1998;
    (2) The biodiesel component of fuel is used in vehicles owned or 
operated by the fleet or covered person; and
    (3) The biodiesel component of the fuel is used in vehicles weighing 
more than 8,500 pounds gross vehicle weight rating.
    (b) No credit shall be allocated under this subpart for a purchase 
of the biodiesel component of a fuel if the fuel is:
    (1) For use in alternative fueled vehicles which have been used to 
satisfy the alternative fueled vehicle acquisition requirements under 
Titles III and V of the Energy Policy Act of 1992; or
    (2) Required by Federal or State law.

[64 FR 27174, May 19, 1999, as amended at 66 FR 2210, Jan. 11, 2001]



Sec. 490.704  Procedures and documentation.

    (a) To receive a credit under this subpart, the fleet or covered 
person shall submit its request, on a form obtained from DOE, to the 
Office of Energy Efficiency and Renewable Energy, U. S. Department of 
Energy, EE-34, 1000 Independence Ave. SW., Washington, DC 20585, or such 
other address as DOE may publish in the Federal Register, along with the 
documentation required by paragraph (b) of this section.
    (b) Each request for a credit under this subpart must be submitted 
on or before the December 31 after the close of the applicable model 
year and must include written documentation stating the quantity of 
biodiesel purchased, for the given model year, for use in vehicles 
weighing in excess of 8,500 lbs. gross vehicle weight;
    (c) A fleet or covered person submitting a request for a credit 
under this subpart must maintain and retain purchase records verifying 
information in the request for a period of three years from December 31 
immediately after the close of the model year for which the request is 
submitted.



Sec. 490.705  Use of credits.

    (a) At the request of a fleet or covered person allocated a credit 
under this subpart, DOE shall, for the model year in which the purchase 
of a qualifying volume is made, treat that purchase as the acquisition 
of one alternative fueled vehicle the fleet or covered person is 
required to acquire under titles III and V of the Energy Policy Act of 
1992.
    (b) Except as provided in paragraph (c) of this section, credits 
allocated under this subpart may not be used to satisfy more than 50 
percent of the alternative fueled vehicle requirements of a fleet or 
covered person under titles III and V of the Energy Policy Act of 1992.
    (c) A fleet or covered person that is a biodiesel alternative fuel 
provider described in section 490.303 of this part may use its credits 
allocated under this subpart to satisfy all of its alternative fueled 
vehicle requirements under section 490.302.
    (d) A fleet or covered person may not trade or bank biodiesel fuel 
credits.

[64 FR 27174, May 19, 1999, as amended at 66 FR 2210, Jan. 11, 2001]



Sec. 490.706  Procedure for modifying the biodiesel component percentage.

    (a) DOE may, by rule, lower the 20 percent biodiesel volume 
requirement of this subpart for reasons related to cold start, safety, 
or vehicle function considerations.
    (b) Any person may use the procedures in section 490.6 of this part 
to petition DOE for a rulemaking to lower the biodiesel volume 
percentage. A petitioner should include any data or information that it 
wants DOE to consider in deciding whether or not to begin a rulemaking.



Sec. 490.707  Increasing the qualifying volume of the biodiesel component.

    DOE may increase the qualifying volume of the biodiesel component of 
fuel for purposes of allocation of credits under this subpart only after 
it:
    (a) Collects data establishing that the average annual alternative 
fuel use in light duty vehicles by fleets and covered persons exceeds 
450 gallons or gallon equivalents; and
    (b) Conducts a rulemaking to amend the provisions of this subpart to 
change the qualifying volume to the average annual alternative fuel use.

[[Page 666]]



Sec. 490.708  Violations.

    Violations of this subpart are subject to investigation and 
enforcement under subpart G of this part.



                    Subpart I_Alternative Compliance

    Source: 72 FR 12964, Mar. 20, 2007, unless otherwise noted.



Sec. 490.801  Purpose and scope.

    This subpart implements section 514 of the Act (42 U.S.C. 13263a) 
which permits States and alternative fuel providers to petition for 
alternative compliance waivers from the alternative fueled vehicle 
acquisition requirements in subparts C and D of this part, respectively.



Sec. 490.802  Eligibility for alternative compliance waiver.

    Any State subject to subpart C of this part and any covered person 
subject to subpart D of this part may apply to DOE for a waiver from the 
applicable alternative fueled vehicle acquisition requirements.



Sec. 490.803  Waiver requirements.

    DOE grants a State or covered person a waiver:
    (a) If DOE determines that the State or covered person will achieve 
a reduction in petroleum consumption, through eligible reductions as 
specified in Sec. 490.804 of this subpart, equal to the amount of 
alternative fuel used if the following vehicles were operated 100 
percent of the time on alternative fuel during the model year for which 
a waiver is requested:
    (1) Previously required alternative fueled vehicles in the fleet's 
inventory at the start of the model year for which a waiver is 
requested;
    (2) Alternative fueled vehicles that the State or covered person 
would have been required to acquire in the model year for which a waiver 
is requested, and in previous model years in which a waiver was granted, 
absent any waivers;
    (b) The State or covered person is in compliance with all applicable 
vehicle emission standards established by the Administrator of the 
Environmental Protection Agency under the Clean Air Act (42 U.S.C. 7401 
et seq.); and
    (c) The State or covered person is in compliance with all applicable 
requirements of this subpart.



Sec. 490.804  Eligible reductions in petroleum consumption.

    (a) Motor vehicles. Demonstrated reductions in petroleum consumption 
during the model year for which a waiver is requested that are 
attributable to motor vehicles owned, operated, leased or otherwise 
under the control of a State or covered person are applicable towards 
the petroleum fuel reduction required in Sec. 490.803(a) of this 
subpart.
    (b) Qualified nonroad vehicles. Demonstrated reductions in petroleum 
consumption during the model year for which a waiver is requested that 
are attributable to nonroad vehicles owned, operated, leased or 
otherwise under the control of a State or covered person acquired during 
waiver years are applicable towards the petroleum fuel reduction 
required in Sec. 490.803(a) of this subpart:
    (1) If acquisition of the nonroad vehicles leads directly to the 
establishment or upgrading of refueling or recharging infrastructure 
during a waiver year that would also allow for increased petroleum 
replacement by serving the fleet's on-road light-duty vehicles; and
    (2) To the extent that additional reductions attributable to motor 
vehicles are not reasonably available.
    (c) Rollover of excess petroleum reductions. (1) Petroleum 
reductions achieved by a fleet in excess of the amount required for 
alternative compliance in a previous model year are applicable towards 
the petroleum fuel reduction requirements for that fleet under Sec. 
490.803(a) of this subpart upon approval by DOE.
    (2) Requests for approval to apply rollover reductions to future 
model years for which a waiver is requested must be made to DOE in 
writing as part of the reporting requirement specified in Sec. 490.807 
of this subpart.
    (3) DOE will apply approved rollover reductions to a model year for 
which a waiver was granted but the required reduction in petroleum use 
was not

[[Page 667]]

achieved only to the extent that additional reductions attributable to 
motor vehicles were not reasonably available.
    (4) Following receipt of a request to roll over excess petroleum 
reduction, DOE notifies the State or covered person of the amount of 
petroleum reduction that may be applied to a future model year's 
petroleum reduction requirement.
    (5) Excess petroleum reductions are not tradable.
    (d) Ineligible reductions. The petroleum reduction plan required by 
paragraph (c)(4) of this section must not include reductions in 
petroleum attributable to incentives for third parties to reduce their 
petroleum use, petroleum reductions that are not transportation-related, 
or petroleum reductions attributable to non-qualified nonroad vehicles.



Sec. 490.805  Application for waiver.

    (a) A State or covered person must apply for a waiver applicable to 
an entire fleet for a full model year in accordance with the deadlines 
specified in paragraph (b) of this section. DOE will not grant a waiver 
for less than an entire fleet or less than a full model year.
    (b)(1) A State or covered person must register a preliminary intent 
to apply for a waiver by March 31 prior to the model year for which a 
waiver is sought.
    (2) If a complete waiver application is dependent on information 
regarding the availability of motor vehicle models to be released by 
motor vehicle manufacturers, the waiver application must be received by 
DOE no later than July 31 prior to the model year for which a waiver is 
sought.
    (3) If a complete waiver application is not dependent on information 
regarding the availability of motor vehicle models to be released by 
motor vehicle manufacturers, the waiver application must be received by 
DOE no later than June 30 prior to the model year for which a waiver is 
sought.
    (c) A waiver application must include verifiable data that is 
sufficient to enable DOE to determine whether the State or covered 
person is likely to achieve the amount of petroleum reduction required 
for alternative compliance and whether the fleet is in compliance with 
Clean Air Act vehicle emission standards. At a minimum, the State entity 
or covered person must provide DOE with the following information:
    (1) The model year for which the waiver is requested;
    (2) The total number of required alternative fueled vehicle 
acquisitions in the fleet including:
    (i) The number of alternative fueled vehicle acquisitions that the 
State or covered person would, without a waiver, be required to acquire 
during the model year for which the waiver is requested;
    (ii) The number of alternative fueled vehicle acquisitions that the 
State or covered person would, without a waiver, have been required to 
acquire during the model years for which waivers were previously 
granted;
    (iii) The number of required alternative fueled vehicles existing in 
the fleet that were acquired during years in which no waiver was in 
force; and excluding
    (iv) Any required alternative fuel vehicles acquired during a waiver 
or non-waiver year or light-duty vehicles acquired in lieu of 
alternative fuels vehicles during a waiver year that are to be retired 
before the beginning of the waiver year;
    (3) The anticipated amount of gasoline and diesel and alternative 
fuel (calculated in gasoline gallon equivalents (gge)) to be used by the 
covered light-duty vehicles in the fleet for the waiver year including 
an estimate of per vehicle average fuel use in these vehicles;
    (4) A petroleum reduction plan as described in paragraph (d) of this 
section; and
    (5) Documents, or a certification by a responsible official of the 
State or covered person, demonstrating that the fleet is in compliance 
with all applicable vehicle emission standards established by the 
Administrator of the Environmental Protection Agency under the Clean Air 
Act.
    (d) The petroleum reduction plan required by paragraph (c)(4) of 
this section must contain a documented explanation as to how the State 
or covered

[[Page 668]]

person will meet the reduction in petroleum consumption required by 
Sec. 490.803(a) of this subpart.
    (1) The planned actions must:
    (i) Be verifiable;
    (ii) Demonstrate a reduction in petroleum use by motor vehicles or 
qualified nonroad vehicles owned, operated, leased or otherwise 
controlled by the State or covered person;
    (iii) Provide for a net reduction in petroleum consumption as 
specified in Sec. 490.803(a) of this subpart.
    (2) The documentation for the plan may include, but is not limited 
to, published data on fuel efficiency, Government data, letters from 
manufacturers, and data on actual usage.
    (e) A State or covered person must send its report, and two copies, 
to DOE on official company or agency letterhead, and the report must be 
signed by a responsible company or agency official. Send to: Regulatory 
Manager, Alternative Fuel Transportation Program, FreedomCAR and Vehicle 
Technologies Program, EE-2G/Forrestal Building, U.S. Department of 
Energy, 1000 Independence Avenue, SW., Washington, DC 20585.



Sec. 490.806  Action on an application for waiver.

    (a) DOE grants or denies a complete waiver application within 45 
business days after receipt of a complete application.
    (b) If DOE determines that an application is not complete in that 
sufficient information is not provided for DOE to make a determination, 
DOE notifies the State or covered person of the information that must be 
submitted to complete the application.
    (c) If DOE denies a waiver, and the State or covered person wishes 
to exhaust administrative remedies, the State or covered person 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. 
DOE's determination shall be stayed during the pendency of an appeal 
under this paragraph.



Sec. 490.807  Reporting requirement.

    (a) By December 31 following a model year for which an alternative 
compliance waiver is granted, a State or covered person must submit a 
report to DOE that includes:
    (1) A statement certifying:
    (i) The total number of petroleum gallons and/or alternative fuel 
gge used by the fleet during the waiver year in its covered light-duty 
vehicles; and
    (ii) The amount of petroleum motor fuel reduced by the fleet in the 
waiver year through alternative compliance.
    (b) A State or covered person must send its report to DOE on 
official company or agency letterhead, and the report must be signed by 
a responsible company or agency official. Send to: Regulatory Manager, 
Alternative Fuel Transportation Program, FreedomCAR and Vehicle 
Technologies Program, EE-2G/Forrestal Building, U.S. Department of 
Energy, 1000 Independence Avenue, SW., Washington, DC 20585.



Sec. 490.808  Use of credits to offset petroleum reduction shortfall.

    (a) If a State or covered person granted a waiver under this subpart 
wants to use alternative fueled vehicle credits purchased or earned 
pursuant to subpart F of this part to offset any shortfall in meeting 
the petroleum reduction required under Sec. 490.803(a) of this subpart, 
it must make a written request to DOE.
    (1) The State or covered person must provide details about the 
particular circumstances that led to the shortfall and provide 
documentation that shows a good faith effort to meet the requirements.
    (2) DOE may request that a State or covered person supply additional 
information about the fleet and its operations if DOE deems such 
information necessary for a decision on the request.
    (b) If DOE grants the request, it notifies the State or covered 
person of the credit amount required to offset the shortfall. DOE 
derives the credit amount using the fleet's fuel use per vehicle data.
    (c) DOE gives the State entity or covered person until March 31 
following the model year for which the waiver is

[[Page 669]]

granted, to acquire the number of credits required for compliance with 
this subpart.



Sec. 490.809  Violations.

    If a State or covered person that receives a waiver under this 
subpart fails to comply with the petroleum motor fuel reduction or 
reporting requirements of this subpart, DOE will revoke the waiver. DOE 
may impose on the State or covered person a penalty under subpart G of 
this part.



Sec. 490.810  Record retention.

    A State or covered person that receives a waiver under this subpart 
must retain documentation pertaining to its waiver application and 
alternative compliance, including petroleum fuel reduction by its fleet, 
for a period of three years following the model year for which the 
waiver is granted.

                        PARTS 491	499 [RESERVED]

[[Page 671]]



                              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.

  Table of CFR Titles and Chapters
  Alphabetical List of Agencies Appearing in the CFR
  List of CFR Sections Affected

[[Page 673]]



                    Table of CFR Titles and Chapters




                     (Revised as of January 1, 2010)

                      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--Grants and Agreements

            Subtitle A--Office of Management and Budget Guidance 
                for Grants and Agreements
         I  Office of Management and Budget Governmentwide 
                Guidance for Grants and Agreements (Parts 100--
                199)
        II  Office of Management and Budget Circulars and Guidance 
                (200--299)
            Subtitle B--Federal Agency Regulations for Grants and 
                Agreements
       III  Department of Health and Human Services (Parts 300-- 
                399)
        VI  Department of State (Parts 600--699)
      VIII  Department of Veterans Affairs (Parts 800--899)
        IX  Department of Energy (Parts 900--999)
        XI  Department of Defense (Parts 1100--1199)
       XII  Department of Transportation (Parts 1200--1299)
      XIII  Department of Commerce (Parts 1300--1399)
       XIV  Department of the Interior (Parts 1400--1499)
        XV  Environmental Protection Agency (Parts 1500--1599)
     XVIII  National Aeronautics and Space Administration (Parts 
                1880--1899)
      XXII  Corporation for National and Community Service (Parts 
                2200--2299)
     XXIII  Social Security Administration (Parts 2300--2399)
      XXIV  Housing and Urban Development (Parts 2400--2499)
       XXV  National Science Foundation (Parts 2500--2599)
      XXVI  National Archives and Records Administration (Parts 
                2600--2699)
     XXVII  Small Business Administration (Parts 2700--2799)
    XXVIII  Department of Justice (Parts 2800--2899)
       XXX  Department of Homeland Security (Parts 3000--3099)
      XXXI  Institute of Museum and Library Services (Parts 3100--
                3199)
     XXXII  National Endowment for the Arts (Parts 3200--3299)
    XXXIII  National Endowment for the Humanities (Parts 3300--
                3399)

[[Page 674]]

      XXXV  Export-Import Bank of the United States (Parts 3500--
                3599)
    XXXVII  Peace Corps (Parts 3700--3799)

                        Title 3--The President

         I  Executive Office of the President (Parts 100--199)

                           Title 4--Accounts

         I  Government Accountability Office (Parts 1--99)
        II  Recovery Accountability and Transparency Board (Parts 
                200--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)
         V  The International Organizations Employees Loyalty 
                Board (Parts 1500--1599)
        VI  Federal Retirement Thrift Investment Board (Parts 
                1600--1699)
      VIII  Office of Special Counsel (Parts 1800--1899)
        IX  Appalachian Regional Commission (Parts 1900--1999)
        XI  Armed Forces Retirement Home (Parts 2100--2199)
       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 (Parts 3200--
                3299)
     XXIII  Department of Energy (Parts 3300--3399)
      XXIV  Federal Energy Regulatory Commission (Parts 3400--
                3499)
       XXV  Department of the Interior (Parts 3500--3599)
      XXVI  Department of Defense (Parts 3600-- 3699)
    XXVIII  Department of Justice (Parts 3800--3899)
      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 (Parts 4300--
                4399)
      XXXV  Office of Personnel Management (Parts 4500--4599)
        XL  Interstate Commerce Commission (Parts 5000--5099)
       XLI  Commodity Futures Trading Commission (Parts 5100--
                5199)
      XLII  Department of Labor (Parts 5200--5299)
     XLIII  National Science Foundation (Parts 5300--5399)

[[Page 675]]

       XLV  Department of Health and Human Services (Parts 5500--
                5599)
      XLVI  Postal Rate Commission (Parts 5600--5699)
     XLVII  Federal Trade Commission (Parts 5700--5799)
    XLVIII  Nuclear Regulatory Commission (Parts 5800--5899)
         L  Department of Transportation (Parts 6000--6099)
       LII  Export-Import Bank of the United States (Parts 6200--
                6299)
      LIII  Department of Education (Parts 6300--6399)
       LIV  Environmental Protection Agency (Parts 6400--6499)
        LV  National Endowment for the Arts (Parts 6500--6599)
       LVI  National Endowment for the Humanities (Parts 6600--
                6699)
      LVII  General Services Administration (Parts 6700--6799)
     LVIII  Board of Governors of the Federal Reserve System 
                (Parts 6800--6899)
       LIX  National Aeronautics and Space Administration (Parts 
                6900--6999)
        LX  United States Postal Service (Parts 7000--7099)
       LXI  National Labor Relations Board (Parts 7100--7199)
      LXII  Equal Employment Opportunity Commission (Parts 7200--
                7299)
     LXIII  Inter-American Foundation (Parts 7300--7399)
      LXIV  Merit Systems Protection Board (Parts 7400--7499)
       LXV  Department of Housing and Urban Development (Parts 
                7500--7599)
      LXVI  National Archives and Records Administration (Parts 
                7600--7699)
     LXVII  Institute of Museum and Library Services (Parts 7700--
                7799)
    LXVIII  Commission on Civil Rights (Parts 7800--7899)
      LXIX  Tennessee Valley Authority (Parts 7900--7999)
      LXXI  Consumer Product Safety Commission (Parts 8100--8199)
    LXXIII  Department of Agriculture (Parts 8300--8399)
     LXXIV  Federal Mine Safety and Health Review Commission 
                (Parts 8400--8499)
     LXXVI  Federal Retirement Thrift Investment Board (Parts 
                8600--8699)
    LXXVII  Office of Management and Budget (Parts 8700--8799)
     XCVII  Department of Homeland Security Human Resources 
                Management System (Department of Homeland 
                Security--Office of Personnel Management) (Parts 
                9700--9799)
      XCIX  Department of Defense Human Resources Management and 
                Labor Relations Systems (Department of Defense--
                Office of Personnel Management) (Parts 9900--9999)

                      Title 6--Domestic Security

         I  Department of Homeland Security, Office of the 
                Secretary (Parts 0--99)

[[Page 676]]

                         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 Nutrition Service, Department of Agriculture 
                (Parts 210--299)
       III  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 300--399)
        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)
        XX  Local Television Loan Guarantee Board (Parts 2200--
                2299)
      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 Policy and New Uses, Department of 
                Agriculture (Parts 2900--2999)
       XXX  Office of the Chief Financial Officer, Department of 
                Agriculture (Parts 3000--3099)

[[Page 677]]

      XXXI  Office of Environmental Quality, Department of 
                Agriculture (Parts 3100--3199)
     XXXII  Office of Procurement and Property Management, 
                Department of Agriculture (Parts 3200--3299)
    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)
    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)
         L  Rural Business-Cooperative Service, Rurual Housing 
                Service, and Rural Utilities Service, Department 
                of Agriculture (Parts 5000--5099)

                    Title 8--Aliens and Nationality

         I  Department of Homeland Security (Immigration and 
                Naturalization) (Parts 1--499)
         V  Executive Office for Immigration Review, Department of 
                Justice (Parts 1000--1399)

                 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, 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)
      XIII  Nuclear Waste Technical Review Board (Parts 1303--
                1399)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)

[[Page 678]]

     XVIII  Northeast Interstate Low-Level Radioactive Waste 
                Commission (Parts 1800--1899)

                      Title 11--Federal Elections

         I  Federal Election Commission (Parts 1--9099)
        II  Election Assistance Commission (Parts 9400--9499)

                      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)
        IX  Federal Housing Finance Board (Parts 900--999)
        XI  Federal Financial Institutions Examination Council 
                (Parts 1100--1199)
       XII  Federal Housing Finance Agency (Parts 1200--1299)
       XIV  Farm Credit System Insurance Corporation (Parts 1400--
                1499)
        XV  Department of the Treasury (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)
        IV  Emergency Steel Guarantee Loan Board (Parts 400--499)
         V  Emergency Oil and Gas Guaranteed Loan Board (Parts 
                500--599)

                    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)

[[Page 679]]

         V  National Aeronautics and Space Administration (Parts 
                1200--1299)
        VI  Air Transportation System Stabilization (Parts 1300--
                1399)

                 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 Industry and Security, 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
        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)

[[Page 680]]

          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  Bureau of Customs and Border Protection, Department of 
                Homeland Security; Department of the Treasury 
                (Parts 0--199)
        II  United States International Trade Commission (Parts 
                200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  Bureau of Immigration and Customs Enforcement, 
                Department of Homeland Security (Parts 400--599)

                     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)
        IX  Office of the Assistant Secretary for Veterans' 
                Employment and Training Service, 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 (Parts 200--299)
       III  Peace Corps (Parts 300--399)

[[Page 681]]

        IV  International Joint Commission, United States and 
                Canada (Parts 400--499)
         V  Broadcasting Board of Governors (Parts 500--599)
       VII  Overseas Private Investment Corporation (Parts 700--
                799)
        IX  Foreign Service Grievance Board (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  Millenium Challenge Corporation (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)

                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 
                HousingCommissioner, Department of Housing and 
                Urban Development (Parts 200--299)
       III  Government National Mortgage Association, Department 
                of Housing and Urban Development (Parts 300--399)
        IV  Office of Housing and Office of Multifamily Housing 
                Assistance Restructuring, Department of Housing 
                and Urban Development (Parts 400--499)
         V  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 500--599)

[[Page 682]]

        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, Section 202 Direct Loan Program, Section 
                202 Supportive Housing for the Elderly Program and 
                Section 811 Supportive Housing for Persons With 
                Disabilities Program) (Parts 800--899)
        IX  Office of Assistant Secretary for Public and Indian 
                Housing, Department of Housing and Urban 
                Development (Parts 900--1699)
         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)
      XXIV  Board of Directors of the HOPE for Homeowners Program 
                (Parts 4000--4099)
       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 (Parts 1000--1199)
       VII  Office of the Special Trustee for American Indians, 
                Department of the Interior (Parts 1200--1299)

                      Title 26--Internal Revenue

         I  Internal Revenue Service, Department of the Treasury 
                (Parts 1--899)

[[Page 683]]

           Title 27--Alcohol, Tobacco Products and Firearms

         I  Alcohol and Tobacco Tax and Trade Bureau, Department 
                of the Treasury (Parts 1--399)
        II  Bureau of Alcohol, Tobacco, Firearms, and Explosives, 
                Department of Justice (Parts 400--699)

                   Title 28--Judicial Administration

         I  Department of Justice (Parts 0--299)
       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)
      VIII  Court Services and Offender Supervision Agency for the 
                District of Columbia (Parts 800--899)
        IX  National Crime Prevention and Privacy Compact Council 
                (Parts 900--999)
        XI  Department of Justice and Department of State (Parts 
                1100--1199)

                            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 Standards, 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  Employee Benefits Security 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)

[[Page 684]]

                      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)
       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)
       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)
        IX  Federal Claims Collection Standards (Department of the 
                Treasury--Department of Justice) (Parts 900--999)

                      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)
      XVII  Office of the Director of National Intelligence (Parts 
                1700--1799)
     XVIII  National Counterintelligence Center (Parts 1800--1899)
       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)

[[Page 685]]

    XXVIII  Office of the Vice President of the United States 
                (Parts 2800--2899)

               Title 33--Navigation and Navigable Waters

         I  Coast Guard, Department of Homeland Security (Parts 
                1--199)
        II  Corps of Engineers, Department of the Army (Parts 
                200--399)
        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 Improvmeent, 
                Department of Education [Reserved]
        XI  National Institute for Literacy (Parts 1100--1199)
            Subtitle C--Regulations Relating to Education
       XII  National Council on Disability (Parts 1200--1299)

                          Title 35 [Reserved]

             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)
        VI  [Reserved]
       VII  Library of Congress (Parts 700--799)
      VIII  Advisory Council on Historic Preservation (Parts 800--
                899)
        IX  Pennsylvania Avenue Development Corporation (Parts 
                900--999)
         X  Presidio Trust (Parts 1000--1099)

[[Page 686]]

        XI  Architectural and Transportation Barriers Compliance 
                Board (Parts 1100--1199)
       XII  National Archives and Records Administration (Parts 
                1200--1299)
        XV  Oklahoma City National Memorial Trust (Parts 1500--
                1599)
       XVI  Morris K. Udall Scholarship and Excellence in National 
                Environmental Policy Foundation (Parts 1600--1699)

             Title 37--Patents, Trademarks, and Copyrights

         I  United States Patent and Trademark Office, Department 
                of Commerce (Parts 1--199)
        II  Copyright Office, Library of Congress (Parts 200--299)
       III  Copyright Royalty Board, Library of Congress (Parts 
                301--399)
        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)
        II  Armed Forces Retirement Home

                       Title 39--Postal Service

         I  United States Postal Service (Parts 1--999)
       III  Postal Regulatory Commission (Parts 3000--3099)

                  Title 40--Protection of Environment

         I  Environmental Protection Agency (Parts 1--1099)
        IV  Environmental Protection Agency and Department of 
                Justice (Parts 1400--1499)
         V  Council on Environmental Quality (Parts 1500--1599)
        VI  Chemical Safety and Hazard Investigation Board (Parts 
                1600--1699)
       VII  Environmental Protection Agency and Department of 
                Defense; Uniform National Discharge Standards for 
                Vessels of the Armed Forces (Parts 1700--1799)

          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)

[[Page 687]]

        61  Office of the Assistant Secretary for Veterans' 
                Employment and Training Service, Department of 
                Labor (Parts 61-1--61-999)
            Chapters 62--100 [Reserved]
            Subtitle C--Federal Property Management Regulations 
                System
       101  Federal Property Management Regulations (Parts 101-1--
                101-99)
       102  Federal Management Regulation (Parts 102-1--102-299)
            Chapters 103--104 [Reserved]
       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)
            Chapters 129--200 [Reserved]
            Subtitle D--Other Provisions Relating to Property 
                Management [Reserved]
            Subtitle E--Federal Information Resources Management 
                Regulations System [Reserved]
            Subtitle F--Federal Travel Regulation System
       300  General (Parts 300-1--300-99)
       301  Temporary Duty (TDY) 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 (Part 303-1--303-99)
       304  Payment of Travel Expenses from a Non-Federal Source 
                (Parts 304-1--304-99)

                        Title 42--Public Health

         I  Public Health Service, Department of Health and Human 
                Services (Parts 1--199)
        IV  Centers for Medicare & Medicaid Services, 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--10010)

[[Page 688]]

             Title 44--Emergency Management and Assistance

         I  Federal Emergency Management Agency, Department of 
                Homeland Security (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 
                (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) 
                [Reserved]
         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  Corporation for National and Community Service (Parts 
                1200--1299)
      XIII  Office of Human Development Services, Department of 
                Health and Human Services (Parts 1300--1399)
       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)
     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 Homeland Security (Parts 
                1--199)
        II  Maritime Administration, Department of Transportation 
                (Parts 200--399)

[[Page 689]]

       III  Coast Guard (Great Lakes Pilotage), Department of 
                Homeland Security (Parts 400--499)
        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)
        IV  National Telecommunications and Information 
                Administration, Department of Commerce, and 
                National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 400--499)

           Title 48--Federal Acquisition Regulations System

         1  Federal Acquisition Regulation (Parts 1--99)
         2  Defense Acquisition Regulations System, Department of 
                Defense (Parts 200--299)
         3  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)
        19  Broadcasting Board of Governors (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)

[[Page 690]]

        29  Department of Labor (Parts 2900--2999)
        30  Department of Homeland Security, Homeland Security 
                Acquisition Regulation (HSAR) (Parts 3000--3099)
        34  Department of Education Acquisition Regulation (Parts 
                3400--3499)
        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 [Reserved]
        54  Defense Logistics Agency, Department of Defense (Parts 
                5400--5499)
        57  African Development Foundation (Parts 5700--5799)
        61  Civilian Board of Contract Appeals, General Services 
                Administration (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  Pipeline and Hazardous Materials Safety 
                Administration, Department of Transportation 
                (Parts 100--199)
        II  Federal Railroad Administration, Department of 
                Transportation (Parts 200--299)
       III  Federal Motor Carrier Safety Administration, 
                Department of Transportation (Parts 300--399)
        IV  Coast Guard, Department of Homeland Security (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)
         X  Surface Transportation Board, Department of 
                Transportation (Parts 1000--1399)
        XI  Research and Innovative Technology Administration, 
                Department of Transportation [Reserved]
       XII  Transportation Security Administration, Department of 
                Homeland Security (Parts 1500--1699)

[[Page 691]]

                   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
            List of CFR Titles, Chapters, Subchapters, and Parts
            Alphabetical List of Agencies Appearing in the CFR

[[Page 693]]





           Alphabetical List of Agencies Appearing in the CFR




                     (Revised as of January 1, 2010)

                                                  CFR Title, Subtitle or 
                     Agency                               Chapter

Administrative Committee of the Federal Register  1, I
Advanced Research Projects Agency                 32, I
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                            5, LXXIII
  Agricultural Marketing Service                  7, I, IX, X, XI
  Agricultural Research Service                   7, V
  Animal and Plant Health Inspection Service      7, III; 9, I
  Chief Financial Officer, Office of              7, XXX
  Commodity Credit Corporation                    7, XIV
  Cooperative State Research, Education, and      7, XXXIV
       Extension Service
  Economic Research Service                       7, XXXVII
  Energy, Office of                               2, IX; 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
  Food and Nutrition 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
  Procurement and Property Management, Office of  7, XXXII
  Rural Business-Cooperative Service              7, XVIII, XLII, L
  Rural Development Administration                7, XLII
  Rural Housing Service                           7, XVIII, XXXV, L
  Rural Telephone Bank                            7, XVI
  Rural Utilities Service                         7, XVII, XVIII, XLII, L
  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
Air Transportation Stabilization Board            14, VI
Alcohol and Tobacco Tax and Trade Bureau          27, I
Alcohol, Tobacco, Firearms, and Explosives,       27, II
     Bureau of
AMTRAK                                            49, VII
American Battle Monuments Commission              36, IV
American Indians, Office of the Special Trustee   25, VII
Animal and Plant Health Inspection Service        7, III; 9, I
Appalachian Regional Commission                   5, IX

[[Page 694]]

Architectural and Transportation Barriers         36, XI
     Compliance Board
Arctic Research Commission                        45, XXIII
Armed Forces Retirement Home                      5, XI
Army Department                                   32, V
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 51
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
Broadcasting Board of Governors                   22, V
  Federal Acquisition Regulation                  48, 19
Census Bureau                                     15, I
Centers for Medicare & Medicaid Services          42, IV
Central Intelligence Agency                       32, XIX
Chief Financial Officer, Office of                7, XXX
Child Support Enforcement, Office of              45, III
Children and Families, Administration for         45, II, III, IV, X
Civil Rights, Commission on                       5, LXVIII; 45, VII
Civil Rights, Office for                          34, I
Coast Guard                                       33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage)                46, III
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
  Federal Acquisition Regulation                  48, 13
  Fishery Conservation and Management             50, VI
  Foreign-Trade Zones Board                       15, IV
  Industry and Security, Bureau of                15, VII
  International Trade Administration              15, III; 19, III
  National Institute of Standards and Technology  15, II
  National Marine Fisheries Service               50, II, IV, VI
  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, United States      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
Copyright Royalty Board                           37, III
Corporation for National and Community Service    2, XXII; 45, XII, XXV
Cost Accounting Standards Board                   48, 99
Council on Environmental Quality                  40, V
Court Services and Offender Supervision Agency    28, VIII
     for the District of Columbia
Customs and Border Protection Bureau              19, I
Defense Contract Audit Agency                     32, I
Defense Department                                5, XXVI; 32, Subtitle A; 
                                                  40, VII

[[Page 695]]

  Advanced Research Projects Agency               32, I
  Air Force Department                            32, VII
  Army Department                                 32, V; 33, II; 36, III, 
                                                  48, 51
  Defense Acquisition Regulations System          48, 2
  Defense Intelligence Agency                     32, I
  Defense Logistics Agency                        32, I, XII; 48, 54
  Engineers, Corps of                             33, II; 36, III
  Human Resources Management and Labor Relations  5, XCIX
       Systems
  National Imagery and Mapping Agency             32, I
  Navy Department                                 32, VI; 48, 52
  Secretary of Defense, Office of                 2, XI; 32, I
Defense Contract Audit Agency                     32, I
Defense Intelligence Agency                       32, I
Defense Logistics Agency                          32, XII; 48, 54
Defense Nuclear Facilities Safety Board           10, XVII
Delaware River Basin Commission                   18, III
District of Columbia, Court Services and          28, VIII
     Offender Supervision Agency for the
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
Election Assistance Commission                    11, II
Elementary and Secondary Education, Office of     34, II
Emergency Oil and Gas Guaranteed Loan Board       13, V
Emergency Steel Guarantee Loan Board              13, IV
Employee Benefits Security Administration         29, XXV
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
Environmental Protection Agency                   2, XV; 5, LIV; 40, I, IV, 
                                                  VII
  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                5, III, LXXVII; 14, VI; 
                                                  48, 99

[[Page 696]]

  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-Import Bank of the United States           2, XXXV; 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
  Commercial Space Transportation                 14, III
Federal Claims Collection Standards               31, IX
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 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
Federal Home Loan Mortgage Corporation            1, IV
Federal Housing Enterprise Oversight Office       12, XVII
Federal Housing Finance Agency                    12, XII
Federal Housing Finance Board                     12, IX
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 Management Regulation                     41, 102
Federal Maritime Commission                       46, IV
Federal Mediation and Conciliation Service        29, XII
Federal Mine Safety and Health Review Commission  5, LXXIV; 29, XXVII
Federal Motor Carrier Safety Administration       49, III
Federal Prison Industries, Inc.                   28, III
Federal Procurement Policy Office                 48, 99
Federal Property Management Regulations           41, 101
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
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 Nutrition 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

[[Page 697]]

General Services Administration                   5, LVII; 41, 105
  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5
  Federal Management Regulation                   41, 102
  Federal Property Management Regulations         41, 101
  Federal Travel Regulation System                41, Subtitle F
  General                                         41, 300
  Payment From a Non-Federal Source for Travel    41, 304
       Expenses
  Payment of Expenses Connected With the Death    41, 303
       of Certain Employees
  Relocation Allowances                           41, 302
  Temporary Duty (TDY) Travel Allowances          41, 301
Geological Survey                                 30, IV
Government Accountability Office                  4, I
Government Ethics, Office of                      5, XVI
Government National Mortgage Association          24, III
Grain Inspection, Packers and Stockyards          7, VIII; 9, II
     Administration
Harry S. Truman Scholarship Foundation            45, XVIII
Health and Human Services, Department of          2, III; 5, XLV; 45, 
                                                  Subtitle A,
  Centers for Medicare & Medicaid Services        42, IV
  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
  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
Homeland Security, Department of                  2, XXX; 6, I
  Coast Guard                                     33, I; 46, I; 49, IV
  Coast Guard (Great Lakes Pilotage)              46, III
  Customs and Border Protection Bureau            19, I
  Federal Emergency Management Agency             44, I
  Human Resources Management and Labor Relations  5, XCVII
       Systems
  Immigration and Customs Enforcement Bureau      19, IV
  Immigration and Naturalization                  8, I
  Transportation Security Administration          49, XII
HOPE for Homeowners Program, Board of Directors   24, XXIV
     of
Housing and Urban Development, Department of      2, XXIV; 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
  Housing, Office of, and Multifamily Housing     24, IV
       Assistance Restructuring, Office of
  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
Housing, Office of, and Multifamily Housing       24, IV
     Assistance Restructuring, Office of
Human Development Services, Office of             45, XIII
Immigration and Customs Enforcement Bureau        19, IV
Immigration and Naturalization                    8, I
Immigration Review, Executive Office for          8, V
Independent Counsel, Office of                    28, VII

[[Page 698]]

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
Industry and Security, Bureau of                  15, VII
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
Interior Department
  American Indians, Office of the Special         25, VII
       Trustee
  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
  National Indian Gaming Commission               25, III
  National Park Service                           36, I
  Reclamation, Bureau of                          43, I
  Secretary of the Interior, Office of            2, XIV; 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, United States Agency   22, II
     for
  Federal Acquisition Regulation                  48, 7
International Development Cooperation Agency,     22, XII
     United States
International Fishing and Related Activities      50, III
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
Investment Security, Office of                    31, VIII
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                                2, XXVII; 5, XXVIII; 28, 
                                                  I, XI; 40, IV
  Alcohol, Tobacco, Firearms, and Explosives,     27, II
       Bureau of
  Drug Enforcement Administration                 21, II
  Federal Acquisition Regulation                  48, 28
  Federal Claims Collection Standards             31, IX
  Federal Prison Industries, Inc.                 28, III
  Foreign Claims Settlement Commission of the     45, V
       United States
  Immigration Review, Executive Office for        8, V
  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
  Employee Benefits Security Administration       29, XXV
  Employees' Compensation Appeals Board           20, IV
  Employment and Training Administration          20, V

[[Page 699]]

  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 Standards, Office of           29, II, IV
  Mine Safety and Health Administration           30, I
  Occupational Safety and Health Administration   29, XVII
  Public Contracts                                41, 50
  Secretary of Labor, Office of                   29, Subtitle A
  Veterans' Employment and Training Service,      41, 61; 20, IX
       Office of the Assistant Secretary for
  Wage and Hour Division                          29, V
  Workers' Compensation Programs, Office of       20, I
Labor-Management Standards, Office of             29, II, IV
Land Management, Bureau of                        43, II
Legal Services Corporation                        45, XVI
Library of Congress                               36, VII
  Copyright Office                                37, II
  Copyright Royalty Board                         37, III
Local Television Loan Guarantee Board             7, XX
Management and Budget, Office of                  5, III, LXXVII; 14, VI; 
                                                  48, 99
Marine Mammal Commission                          50, V
Maritime Administration                           46, II
Merit Systems Protection Board                    5, II, LXIV
Micronesian Status Negotiations, Office for       32, XXVII
Millenium Challenge Corporation                   22, XIII
Mine Safety and Health Administration             30, I
Minerals Management Service                       30, II
Minority Business Development Agency              15, XIV
Miscellaneous Agencies                            1, IV
Monetary Offices                                  31, I
Morris K. Udall Scholarship and Excellence in     36, XVI
     National Environmental Policy Foundation
Museum and Library Services, Institute of         2, XXXI
National Aeronautics and Space Administration     2, XVIII; 5, LIX; 14, V
  Federal Acquisition Regulation                  48, 18
National Agricultural Library                     7, XLI
National Agricultural Statistics Service          7, XXXVI
National and Community Service, Corporation for   45, XII, XXV
National Archives and Records Administration      2, XXVI; 5, LXVI; 36, XII
  Information Security Oversight Office           32, XX
National Capital Planning Commission              1, IV
National Commission for Employment Policy         1, IV
National Commission on Libraries and Information  45, XVII
     Science
National Council on Disability                    34, XII
National Counterintelligence Center               32, XVIII
National Credit Union Administration              12, VII
National Crime Prevention and Privacy Compact     28, IX
     Council
National Drug Control Policy, Office of           21, III
National Endowment for the Arts                   2, XXXII
National Endowment for the Humanities             2, XXXIII
National Foundation on the Arts and the           45, XI
     Humanities
National Highway Traffic Safety Administration    23, II, III; 49, V
National Imagery and Mapping Agency               32, I
National Indian Gaming Commission                 25, III
National Institute for Literacy                   34, XI
National Institute of Standards and Technology    15, II
National Intelligence, Office of Director of      32, XVII
National Labor Relations Board                    5, LXI; 29, I
National Marine Fisheries Service                 50, II, IV, VI
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

[[Page 700]]

National Science Foundation                       2, XXV; 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
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
Northeast Interstate Low-Level Radioactive Waste  10, XVIII
     Commission
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
Oklahoma City National Memorial Trust             36, XV
Operations Office                                 7, XXVIII
Overseas Private Investment Corporation           5, XXXIII; 22, VII
Patent and Trademark Office, United States        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 Benefit Guaranty Corporation              29, XL
Personnel Management, Office of                   5, I, XXXV; 45, VIII
  Human Resources Management and Labor Relations  5, XCIX
       Systems, Department of Defense
  Human Resources Management and Labor Relations  5, XCVII
       Systems, Department of Homeland Security
  Federal Acquisition Regulation                  48, 17
  Federal Employees Group Life Insurance Federal  48, 21
       Acquisition Regulation
  Federal Employees Health Benefits Acquisition   48, 16
       Regulation
Pipeline and Hazardous Materials Safety           49, I
     Administration
Postal Regulatory 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 Documents                            3
Presidio Trust                                    36, X
Prisons, Bureau of                                28, V
Procurement and Property Management, Office of    7, XXXII
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
Recovery Accountability and Transparency Board    4, II
Refugee Resettlement, Office of                   45, IV
Relocation Allowances                             41, 302
Research and Innovative Technology                49, XI
     Administration
Rural Business-Cooperative Service                7, XVIII, XLII, L
Rural Development Administration                  7, XLII
Rural Housing Service                             7, XVIII, XXXV, L
Rural Telephone Bank                              7, XVI
Rural Utilities Service                           7, XVII, XVIII, XLII, L
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
[[Page 701]]

Secret Service                                    31, IV
Securities and Exchange Commission                17, II
Selective Service System                          32, XVI
Small Business Administration                     2, XXVII; 13, I
Smithsonian Institution                           36, V
Social Security Administration                    2, XXIII; 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                                  2, VI; 22, I; 28, XI
  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 Supervision Office, Department of the      12, V
     Treasury
Trade Representative, United States, Office of    15, XX
Transportation, Department of                     2, XII; 5, L
  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
  Federal Motor Carrier Safety Administration     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
  Pipeline and Hazardous Materials Safety         49, I
       Administration
  Saint Lawrence Seaway Development Corporation   33, IV
  Secretary of Transportation, Office of          14, II; 49, Subtitle A
  Surface Transportation Board                    49, X
  Transportation Statistics Bureau                49, XI
Transportation, Office of                         7, XXXIII
Transportation Security Administration            49, XII
Transportation Statistics Bureau                  49, XI
Travel Allowances, Temporary Duty (TDY)           41, 301
Treasury Department                               5, XXI; 12, XV; 17, IV; 
                                                  31, IX
  Alcohol and Tobacco Tax and Trade Bureau        27, I
  Community Development Financial Institutions    12, XVIII
       Fund
  Comptroller of the Currency                     12, I
  Customs and Border Protection Bureau            19, I
  Engraving and Printing, Bureau of               31, VI
  Federal Acquisition Regulation                  48, 10
  Federal Claims Collection Standards             31, IX
  Federal Law Enforcement Training Center         31, VII
  Fiscal Service                                  31, II
  Foreign Assets Control, Office of               31, V
  Internal Revenue Service                        26, I
  Investment Security, 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
Utah Reclamation Mitigation and Conservation      43, III
     Commission
Veterans Affairs Department                       2, VIII; 38, I
  Federal Acquisition Regulation                  48, 8

[[Page 702]]

Veterans' Employment and Training Service,        41, 61; 20, IX
     Office of the 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 703]]



List of CFR Sections Affected



All changes in this volume of the Code of Federal Regulations that were 
made by documents published in the Federal Register since January 1, 
2001, 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, 2000, see the ``List of 
Sections Affected, 1973-1985, and 1986-2000''.

                                  2001

10 CFR
                                                                   66 FR
                                                                    Page
Chapter II
430 Technical correction...........................................11635
    Effective date confirmed.......................................19714
430.2 Amended................................................7199, 57848
    Regulation at 66 FR 7199 eff. date delayed...............8745, 20191
430.21--430.27 (Subpart B) Appendix J1 amended; eff. 1-20-04; 
        Appendix J amended..........................................3330
    Appendix E amended; eff. 1-20-04................................4497
    Appendix J amended..............................................8745
    Regulation at 66 FR 3330 eff. date delayed......................8744
430.22 (b)(1) introductory text revised; (b)(7) added; eff. 6-17-
        02.........................................................65095
    Regulation at 66 FR 3330 confirmed.............................19714
430.23 Heading and (c) revised; eff. 6-17-02.......................65095
430.21--430.27 (Subpart B) Appendix C revised; eff. 6-17-02........65096
430.32 (g) revised; eff. 1-20-04....................................3332
    (d) revised; eff. 1-20-04.......................................4497
    (c) revised.....................................................7199
    Regulation at 66 FR 7199 eff. date delayed...............8745, 20191
    (f) revised; eff. 6-17-02......................................65097
431.123 (a) amended................................................56607
431.701--431.704 (Subpart Q) Added..................................3354
    Regulation at 66 FR 3354 eff. date delayed......................8745
    Regulation at 66 FR 3354 confirmed.............................27853
440.14 (c)(6)(ix) removed..........................................58366
440.18 (b) introductory text and (2) removed; (b)(1) introductory 
        text, (1)(i), (ii) introductory text, (A) and (B) 
        redesignated as new (b) introductory text, (1) and (2) 
        introductory text, (i) and (ii); (a), new (b) introductory 
        text revised...............................................58366
490 Authority citation revised......................................2210
490.703 (b) revised.................................................2210
    Regulation at 66 FR 2210 eff. date delayed......................8746
    Regulation at 66 FR 2210 confirmed.............................21851
490.705 (a) and (b) revised; (d) added..............................2210
    Regulation at 66 FR 2210 eff. date delayed......................8746
    Regulation at 66 FR 2210 confirmed.............................21851

                                  2002

10 CFR
                                                                   67 FR
                                                                    Page
Chapter II
430.2 Regulation at 66 FR 7199 withdrawn; amended..................36405
430.23 (c)(1)(ii)(B) corrected.....................................21567
430.21--430.27 (Subpart B) Appendix C amended......................21567
430.32 Regulation at 66 FR 7199 withdrawn..........................36405
    (c) revised....................................................36406
    (c)(2) table corrected.........................................38324
430.34 Added.......................................................36406

[[Page 704]]

431 Determination...........................................45018, 45028
431.123 (a) amended; (g) added.....................................70678
    Corrected......................................................72273

                                  2003

10 CFR
                                                                   68 FR
                                                                    Page
Chapter II
430.22 (b)(7) revised..............................................51899
430.23 (c) revised.................................................51899
430.21--430.27 (Subpart B) Appendix A1 amended.....................10960
    Appendix C revised.............................................51900
    Appendix J1 amended............................................62204
430.32 (f) revised.................................................51903
430.62 (a)(4)(vi) revised..........................................51903

                                  2004

10 CFR
                                                                   69 FR
                                                                    Page
Title 10 Nomenclature change.......................................18803
Chapter II
430.2 Amended......................................................51000
430.32 (c)(2) revised..............................................51000
431 Actions on petitions...............30151, 30162, 30168, 30175, 30182
431.2 Revised......................................................61923
431.1--431.2 (Subpart A) Appendix A removed........................61923
431.11--431.36 (Subpart B) Revised.................................61923
431.41--431.43 (Subpart C) Removed.................................61939
431.71--431.77 (Subpart D) Revised.................................61939
431.81--431.83 (Subpart E) Removed.................................61941
431.81--431.87 (Subpart E) Added...................................61960
431.91--431.97 (Subpart F) Added...................................61969
431.121--431.132 (Subpart G) Removed...............................61941
    431.101--431.110 (Subpart G) Added.............................61983
431.110 Table Footnote b corrected.................................63574
431.171--43.172 (Subpart J) Added..................................61941
431.190--431.196 (Subpart K) Added.................................61941
431.201--431.207 (Subpart L) Added.................................61941
431.211--431.220 (Subpart M) Added.................................61941
431.701--431.704 (Subpart Q) Removed...............................61949
490 Policy statement................................................4219

                                  2005

10 CFR
                                                                   70 FR
                                                                    Page
Chapter II
300 (Subchapter B) Added; interim..................................15182
    Workshop.......................................................15164
    Regulation at 70 FR 15182 comment period extended; interim.....24302
    Regulation at 70 FR 15182 eff. date delayed to 6-1-06..........54835
430.2 Amended......................................................60412
430.22 (b)(1) and (5) amended; (b)(8) added; eff. 4-10-06..........59134
430.23 Heading, (m) introductory text, (1), (2) and (3) revised; 
        eff. 4-10-06...............................................59134
430.24 (m)(1) introductory text revised; eff. 4-10-06..............59134
430.21--430.27 (Subpart B) Appendix M revised; eff. 4-10-06........59134
430.21--430.27 (Subpart B) Appendix Q amended......................60412
430.32 Heading revised, (c) introductory text added; eff. 4-10-06 
                                                                   59180
    (m)(1) introductory text revised; (m)(5), (6), (7), (s), (t), 
(u) and (v) added..................................................60412
    (u) table corrected............................................61698
431 Authority citation revised.....................................60414
431.1 Revised......................................................60414
431.61--431.66 (Subpart C) Added...................................60414
431.71 Amended.....................................................60415
431.81 Amended.....................................................60415
431.91 Amended.....................................................60415
431.92 Amended.....................................................60415
431.97 Existing text designated as (a); (b) added..................60415
    (b) table corrected............................................61698
431.101 Amended....................................................60415
431.131--431.136 (Subpart H) Added.................................60415
431.136 Table corrected............................................61698
431.151--431.156 (Subpart I) Added.................................60416
431.190--431.196 (Subpart K) Redesignated as 431.381--431.387 
        (Subpart U)................................................60416

[[Page 705]]

431.191--431.196 (Subpart K) Added.................................60416
431.190 Redesignated as 431.381....................................60416
431.191 Redesignated as 431.382....................................60416
431.192 Redesignated as 431.383....................................60416
431.193 Redesignated as 431.384....................................60416
431.194 Redesignated as 431.385....................................60416
431.195 Redesignated as 431.386....................................60416
431.196 Redesignated as 431.387....................................60416
431.201--431.206 (Subpart L) Added.................................60417
431.201--431.207 (Subpart L) Redesignated as 431.401--431.407 
        (Subpart V)................................................60417
431.201 Redesignated as 431.401....................................60417
431.202 Redesignated as 431.402....................................60417
431.203 Redesignated as 431.403....................................60417
431.204 Redesignated as 431.404....................................60417
431.205 Redesignated as 431.405....................................60417
431.206 Redesignated as 431.406....................................60417
431.207 Redesignated as 431.407....................................60417
431.211--431.220 (Subpart M) Redesignated as 431.421--431.430 
        (Subpart W)................................................60417
431.211 Redesignated as 431.421....................................60417
431.212 Redesignated as 431.422....................................60417
431.213 Redesignated as 431.423....................................60417
431.214 Redesignated as 431.424....................................60417
431.215 Redesignated as 431.425....................................60417
431.216 Redesignated as 431.426....................................60417
431.217 Redesignated as 431.427....................................60417
431.218 Redesignated as 431.428....................................60417
431.219 Redesignated as 431.429....................................60417
431.220 Redesignated as 431.430....................................60417
431.221--431.226 (Subpart M) Added.................................60417
431.241--431.246 (Subpart N) Added.................................60418
431.261--431.266 (Subpart O) Added.................................60418
431.281--431.286 (Subpart P) Added.................................60418
431.381--431.387 (Subpart U) Redesignated from 431.190--431.196 
        (Subpart K)................................................60416
431.381 Redesignated from 431.190..................................60416
431.382 Redesignated from 431.191..................................60416
431.383 Redesignated from 431.192..................................60416
431.384 Redesignated from 431.193..................................60416
431.385 Redesignated from 431.194..................................60416
431.386 Redesignated from 431.195..................................60416
431.387 Redesignated from 431.196..................................60416
431.401--431.407 (Subpart V) Redesignated from 431.201--431.207 
        (Subpart L)................................................60417
431.401 Redesignated from 431.201..................................60417
431.402 Redesignated from 431.202..................................60417
431.403 Redesignated from 431.203..................................60417
431.404 Redesignated from 431.204..................................60417
431.405 Redesignated from 431.205..................................60417
431.406 Redesignated from 431.206..................................60417
431.407 Redesignated from 431.207..................................60417
431.421--431.430 (Subpart W) Redesignated from 431.211--431.220 
        (Subpart M)................................................60417
431.421 Redesignated from 431.211..................................60417
431.422 Redesignated from 431.212..................................60417
431.423 Redesignated from 431.213..................................60417
431.424 Redesignated from 431.214..................................60417
431.425 Redesignated from 431.215..................................60417
431.426 Redesignated from 431.216..................................60417
431.427 Redesignated from 431.217..................................60417
431.428 Redesignated from 431.218..................................60417
431.429 Redesignated from 431.219..................................60417
431.430 Redesignated from 431.220..................................60417
490 Policy statement...............................................70703

                                  2006

10 CFR
                                                                   71 FR
                                                                    Page
Chapter II
300 (Subchapter B) Regulation at 70 FR 15182 confirmed; revised....20805
420.13 (b)(3) revised; (d) added...................................57887
430.2 Amended; eff. 1-8-07.........................................71365

[[Page 706]]

430.22 (b)(9), (10) and (11) added; eff. 1-8-07....................71366
430.23 Heading revised; (w) through (bb) added; eff. 1-8-07........71366
430.21--430.27 (Subpart B) Appendices U through Z added; eff. 1-8-
        07.........................................................71366
430.32 (u) table revised; eff. 1-8-07..............................71368
431.2 Amended; eff. 1-8-07.........................................71369
431.62 Amended; eff. 1-8-07........................................71369
431.63 Undesignated center heading and section added; eff. 1-8-07 
                                                                   71369
431.64 Added; eff. 1-8-07..........................................71369
431.95 (b)(2) revised; eff. 1-8-07.................................71370
431.96 Revised; eff. 1-8-07........................................71370
431.97 (a) and (b) amended; eff. 1-8-07............................71371
431.132 Amended; eff. 1-8-07.......................................71371
431.133 Undesignated center heading and section added; ef. 1-8-07 
                                                                   71372
431.134 Added; eff. 1-8-07.........................................71372
431.191 Revised....................................................24995
431.192 Amended....................................................24995
    Correctly amended..............................................60662
431.193 Added......................................................24997
431.196 (a) table amended..........................................24997
431.197 Added (OMB number pending).................................24997
431.198 Added......................................................24997
431.191--431.198 (Subpart K) Appendix A added (OMB number) and 
        Appendix B added...........................................24999
    Appendix A correctly amended...................................60662
431.202 Amended; eff. 1-8-07.......................................71372
431.203 Undesignated center heading and section added; eff. 1-8-07
                                                                   71373
431.204 Added; eff. 1-8-07.........................................71373
431.222 Amended; eff. 1-8-07.......................................71373
431.223 Undesignated center heading and section added; eff. 1-8-07
                                                                   71373
431.224 Added; eff. 1-8--07........................................71373
431.226 (a) revised; eff. 1-8-07...................................71374
431.242 Amended; eff. 1-8-07.......................................71374
431.246 (b) revised; eff. 1-8-07...................................71374
431.262 Amended; eff. 1-8-07.......................................71374
431.263 Undesignated center heading revised; section added; eff. 
        1-8-07.....................................................71374
431.264 Added; eff. 1-8-07.........................................71374
431.291--431.294 (Subpart Q) Added; eff. 1-8-07....................71375
433 Added; interim; eff. 1-3-07....................................70281
434 Heading revised; interim; eff. 1-3-07..........................70283
434.100 Revised; interim; eff. 1-3-07..............................70283
434.101 Amended; interim; eff. 1-3-07..............................70283
435.1--435.8 (Subpart A) Added; interim; eff. 1-3-07...............70283
435.300--435.306 (Subpart C) Heading revised; interim; eff. 1-3-07
                                                                   70284
435.300 (b) and (c) revised; interim; eff. 1-3-07..................70284
435.301 (a) revised; interim; eff. 1-3-07..........................70284
435.303 Heading, (a) and (b) revised; interim; eff. 1-3-07.........70284
440.1 Amended......................................................35778
440.3 Amended......................................................35778
440.18 (b) through (e) redesignated as (c) through (f); new (b) 
        added; new (c) amended.....................................35778
440.21 (a) revised; (c) through (h) redesignated as (d) through 
        (i); new (c) added; new (e) and (g) amended................35778
451 Authority citation revised.....................................46386
451.1 (a) revised..................................................46386
451.2 Amended......................................................46386
451.4 (a)(2), (3) and (e) revised; (a)(4) and (5) added; (f)(1), 
        (2) and (g) amended........................................46386
451.5 (b)(1) and (2) revised.......................................46387
451.6 Amended......................................................46387
451.8 (a) and (m) amended; (h) removed; (i) redesignated as new 
        (h); new (h) and (j) revised; new (i) added................46387
451.9 (c), (d) and (e) revised.....................................46387

                                  2007

10 CFR
                                                                   72 FR
                                                                    Page
Chapter II
300.13 Amended; interim.............................................4413
    Regulation at 72 FR 4413 confirmed.............................15600
430.2 Amended; eff. 4-21-08........................................59919
430.22 (b)(5) and (8) amended; eff. 4-21-08........................59920
430.23 (m)(5) revised; eff. 4-21-08................................59920
430.24 (m) revised; eff. 4-21-08...................................59920

[[Page 707]]

430.21--430.27 (Subpart B) Appendix M amended; eff. 4-21-08........59922
430.32 (s)(4) added.................................................1273
    Heading and (e) revised; eff. 1-18-08..........................65169
430.62 Amended; eff. 4-21-08.......................................59934
431 Policy statement...............................................10038
431.192 Amended....................................................58239
431.196 (a) introductory text, (b) and (c) revised; (d) added......58239
433.2 Amended; eff. 1-22-08........................................72570
433.4 (c) revised; eff. 1-22-08....................................72570
434.101 Amended; eff. 1-22-08......................................72571
435 Heading revised; eff. 1-22-08..................................72571
435.2 Amended; eff. 1-22-08........................................72571
435.4 (c) revised; eff. 1-22-08....................................72571
490 Authority citation revised..............................12060, 12964
    Policy statement...............................................18860
490.1 (b) revised..................................................12060
490.8 Added........................................................12060
490.600 Revised....................................................12964
490.603 Revised....................................................12964
490.801--490.810 (Subpart I) Added.................................12964

                                  2008

10 CFR
                                                                   73 FR
                                                                    Page
Chapter II
216 Authority citation revised.....................................10983
216.1 Revised......................................................10983
216.2 (e) through (j) revised; (k) through (n) added...............10983
216.3 (a) revised..................................................10983
216.4 (a), (b)(4), (c) and (d) revised.............................10984
216.5 Revised......................................................10984
216.6 Amended......................................................10984
216.7 Amended......................................................10984
216.8 Revised......................................................10984
430.32 (e) revised.................................................43613
431.92 Amended.....................................................58828
431.97 (a) revised; (c) added......................................58828
490 Policy statement...............................................13729

                                  2009

10 CFR
                                                                   74 FR
                                                                    Page
Chapter II
207.7 (c)(1) amended; eff. 1-13-10.................................66032
218.42 (b)(1) revised; eff. 1-13-10................................66032
430.2 Amended.................................12064, 13334, 31840, 34176
430.3 Added........................................................12066
    (c)(2), (h)(1) and (j)(7) removed; (c)(3) through (6), (8) 
through (12) and (h)(2) redesignated as new (c)(2) through (5), 
(9) through (13) and new (h)(1); (c)(1), new (2) and (j)(3) 
amended; new (c)(6) and (8) added; (c)(7), new (12), new (h)(1), 
(2), (j)(2) and (5) revised........................................31840
    (c)(1) removed; (c)(2) through (13) redesignated as new (c)(1) 
through (12); new (c)(1) revised; new (c)(5) amended...............34177
    (c)(12) and (d) through (n) redesignated as (c)(13) and (e) 
through (o); new (c)(12) and (d) added.............................54455
430.4 Added........................................................12068
430.22 Removed.....................................................12068
430.23 (aa) and (bb) revised.......................................13334
    (r) revised....................................................31841
    (q)(4) redesignated as (q)(5); new (q)(4) added................54455
430.24 (r)(1) revised..............................................31841
    (h) removed....................................................53643
430.25 Revised.....................................................31841
430.21--430.27 (Subpart B) Appendix Z amended......................12068
    Appendices Y and Z amended.....................................13334
    Appendix R amended......................................31841, 34177
    Appendix H removed.............................................53643
    Appendix Q amended.............................................54455
430.32 (f) introductory text, (1) (2) and (v) introductory text 
        redesignated as (f)(1) introductory text, (i), (ii) and 
        (v)(1); new (f)(2), (g)(4), (n)(3), (v)(2), (w) and (x) 
        added; (m)(1) introductory text heading, (s)(1)(iii)(B) 
        and (3)(ii) revised........................................12068
    (j) revised....................................................16094
    (n) revised....................................................34177
430.33 Amended; existing text designated as (a); (b) added.........12070
430.35 Added.......................................................12070
430.61 (a)(3) and (4) revised; (a)(5) and (6) added................12070
    (b) amended; eff. 1-13-10......................................66032
430.62 (a)(4)(xviii) through (xxiv) added..........................13335
    (a)(4)(ix) revised.............................................31842
431.2 Amended......................................................12071
431.12 Amended.....................................................12071
431.25 (c) redesignated as (g); new (c) through (f) added..........12071

[[Page 708]]

431.62 Amended......................................................1139
431.63 Revised......................................................1139
431.66 (a)(3) and (d) added.........................................1140
431.82 Amended.....................................................36354
431.85 Revised.....................................................36354
431.86 Revised.....................................................36354
431.87 Revised.....................................................36355
431.92 Amended.....................................................12073
431.97 (a) text and (b) introductory text revised; (b) table 
        amended....................................................12073
    (d) added......................................................36356
431.282 Revised....................................................12074
431.286 Revised....................................................12074
431.292 Amended....................................................44967
431.293 Revised....................................................44967
431.296 Undesignated center heading and section added; eff. 8-31-
        11.........................................................44967
    Corrected......................................................45979
431.301--431.306 (Subpart R) Added.................................12074
431.321--431.326 (Subpart S) Added.................................12075
431.441--431.446 (Subpart X) Added.................................32072
436 Authority citation revised.....................................10835
436.40--436.43 (Subpart C) Added...................................10835
440.3 Amended......................................................12539
440.10 (b) introductory text amended; (b)(1) Table 1 and (c) 
        revised....................................................12539
440.18 (a) introductory text and (c) introductory text revised.....12540
440.22 (a) revised.................................................12540
440.23 (e) revised.................................................12540
452 Added..........................................................52871
490.604 (a) revised; eff. 1-13-10..................................66032


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