[Title 10 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 2025 Edition]
[From the U.S. Government Publishing Office]



[[Page i]]

          

          Title 10

Energy


________________________

Parts 431 to 499

                         Revised as of January 1, 2025

          Containing a codification of documents of general 
          applicability and future effect

          As of January 1, 2025
                    Published by the Office of the Federal Register 
                    National Archives and Records Administration as a 
                    Special Edition of the Federal Register

[[Page ii]]

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[[Page iii]]







As of January 1, 2025

Title 10, Parts 200 to 499

Revised as of January 1, 2025

Is Replaced by

Title 10, Parts 200 to 430

and

Title 10, Parts 431 to 499



[[Page v]]





                            Table of Contents



                                                                    Page
  Explanation.................................................     vii

  Title 10:
          Chapter II--Department of Energy                           3
  Finding Aids:
      Table of CFR Titles and Chapters........................     611
      Alphabetical List of Agencies Appearing in the CFR......     631
      List of CFR Sections Affected...........................     641

[[Page vi]]





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

                     Cite this Code: CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus, 10 CFR 431.1 refers 
                       to title 10, part 431, 
                       section 1.

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

[[Page vii]]



                               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

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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 viii]]

Many agencies have begun publishing numerous OMB control numbers as 
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PAST PROVISIONS OF THE CODE

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``[RESERVED]'' TERMINOLOGY

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this volume.

[[Page ix]]

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Connect to NARA's website at www.archives.gov/federal-register.
    The eCFR is a regularly updated, unofficial editorial compilation of 
CFR material and Federal Register amendments, produced by the Office of 
the Federal Register and the Government Publishing Office. It is 
available at www.ecfr.gov.

    Oliver A. Potts,
    Director,
    Office of the Federal Register
    January 1, 2025







[[Page xi]]



                               THIS TITLE

    Title 10--Energy is composed of five volumes. The parts in these 
volumes are arranged in the following order: Parts 1-50, 51-199, 200-
430, 431-499, 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 200-430, and 431-499, are 
comprised of a portion of chapter II--the Department of Energy 
regulations. The fifth volume containing part 500-End is comprised of 
the remainder of chapter II, chapters III and X--Department of Energy, 
chapter XIII--Nuclear Waste Technical Review Board, chapter XVII--
Defense Nuclear Facilities Safety Board, and chapter XVIII--Northeast 
Interstate Low-Level Radioactive Waste Commission. The contents of these 
volumes represent all current regulations codified under this title of 
the CFR as of January 1, 2025.

    For this volume, Michele Bugenhagen was Chief Editor. The Code of 
Federal Regulations publication program is under the direction of John 
Hyrum Martinez, assisted by Stephen J. Frattini.

[[Page 1]]



                            TITLE 10--ENERGY




                  (This book contains parts 431 to 499)

  --------------------------------------------------------------------
                                                                    Part

chapter ii--Department of Energy............................         202

[[Page 3]]



                    CHAPTER II--DEPARTMENT OF ENERGY




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

                    SUBCHAPTER D--ENERGY CONSERVATION
Part                                                                Page
431             Energy efficiency program for certain 
                    commercial and industrial equipment.....           4
433             Energy efficiency standards for the design 
                    and construction of new Federal 
                    commercial and multi-family high-rise 
                    residential buildings...................         376
434             Energy code for new Federal commercial and 
                    multi-family high rise residential 
                    buildings...............................         399
435             Energy efficiency standards for the design 
                    and construction of new Federal low-rise 
                    residential buildings...................         459
436             Federal energy management and planning 
                    programs................................         475
440             Weatherization assistance for low-income 
                    persons.................................         502
445

[Reserved]

451             Renewable energy production incentives......         524
452             Production incentives for cellulosic 
                    biofuels................................         529
455             Grant programs for schools and hospitals and 
                    buildings owned by units of local 
                    government and public care institutions.         533
456

[Reserved]

460             Energy conservation standards for 
                    manufactured homes......................         564
470             Appropriate Technology Small Grants Program.         572
473             Automotive propulsion research and 
                    development.............................         577
474             Electric and Hybrid Vehicle Research, 
                    Development, and Demonstration Program; 
                    petroleum-equivalent fuel economy 
                    calculation.............................         581
490             Alternative fuel transportation program.....         583
491-499

[Reserved]

[[Page 4]]



                    SUBCHAPTER D_ENERGY CONSERVATION





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.
431.3 Error correction procedure for energy conservation standards 
          rules.
431.4 Procedures, interpretations, and policies for consideration of new 
          or revised energy conservation standards and test procedures 
          for commercial/industrial equipment.

                        Subpart B_Electric Motors

431.11 Purpose and scope.
431.12 Definitions.

   Test Procedures, Materials Incorporated and Methods of Determining 
                               Efficiency

431.14 [Reserved]
431.15 Materials incorporated by reference.
431.16 Test procedures for the measurement of energy efficiency.
431.17 [Reserved]
431.18 Testing laboratories.

                      Energy Conservation Standards

431.25 Energy conservation standards and effective dates.
431.26 Preemption of State regulations.

                                Labeling

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 [Reserved]
Appendix B to Subpart B of Part 431--Uniform Test Method for Measuring 
          the 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.



           Sec. Appendix A to Subpart C of Part 431 [Reserved]

Appendix B to Subpart C of Part 431--Uniform Test Method for the 
          Measurement of Energy Consumption of Commercial Refrigerators, 
          Freezers, and Refrigerator-Freezers
Appendix C to Subpart C of Part 431--Uniform Test Method for the 
          Measurement of Energy Consumption of Buffet Tables or 
          Preparation Tables
Appendix D to Subpart C of Part 431--Uniform Test Method for the 
          Measurement of Energy Consumption of Blast Chillers or Blast 
          Freezers

                 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.

Appendix A to Subpart D of Part 431--Uniform Test Method for Measurement 
          of the Energy Efficiency of Commercial Warm Air Furnaces 
          (Thermal Efficiency)
Appendix B to Subpart D of Part 431-Uniform Test Method for Measurement 
          of the Energy Efficiency of Commercial Warm Air Furnaces 
          (Thermal Efficiency Two)

                  Subpart E_Commercial Packaged Boilers

431.81 Purpose and scope.
431.82 Definitions concerning commercial packaged boilers.

[[Page 5]]

                             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.

Appendix A to Subpart E of Part 431--Uniform Test Method for the 
          Measurement of Thermal Efficiency and Combustion Efficiency of 
          Commercial Packaged Boilers

          Subpart F_Commercial Air Conditioners and Heat Pumps

431.91 Purpose and scope.
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 
          commercial air conditioners and heat pumps.
431.97 Energy efficiency standards and their compliance dates.

Appendix A to Subpart F of Part 431--Uniform Test Method for the 
          Measurement of Energy Consumption of Air-Cooled Small 
          (=65,000 Btu/h), Large, and Very Large Commercial 
          Package Air Conditioning and Heating Equipment
Appendix A1 to Subpart F of Part 431--Uniform Test Method for the 
          Measurement of Energy Consumption of Commercial Package Air 
          Conditioning and Heating Equipment (Excluding Air-Cooled 
          Equipment With a Cooling Capacity Less Than 65,000 Btu/h)
Appendix B to Subpart F of Part 431--Uniform Test Method For Measuring 
          the Energy Consumption of Direct Expansion-Dedicated Outdoor 
          Air Systems
Appendix C to Subpart F of Part 431--Uniform Test Method for Measuring 
          the Energy Consumption of Water-Source Heat Pumps
Appendix C1 to Subpart F of Part 431--Uniform Test Method for Measuring 
          the Energy Consumption of Water-Source Heat Pumps
Appendix D to Subpart F of Part 431--Uniform Test Method for Measuring 
          the Energy Consumption of Variable Refrigerant Flow Multi-
          Split Air Conditioners and Heat Pumps (Other Than Air-Cooled 
          With Rated Cooling Capacity Less Than 65,000 Btu/h)
Appendix D1 to Subpart F of Part 431--Uniform Test Method for Measuring 
          the Energy Consumption of Variable Refrigerant Flow Multi-
          Split Air Conditioners and Heat Pumps (Other Than Air-Cooled 
          With Rated Cooling Capacity Less Than 65,000 Btu/h)
Appendix E to Subpart F of Part 431--Uniform Test Method for Measuring 
          the Energy Consumption of Computer Room Air Conditioners
Appendix E1 to Subpart F of Part 431--Uniform Test Method for Measuring 
          the Energy Consumption of Computer Room Air Conditioners
Appendix F to Subpart F of Part 431--Uniform Test Method for the 
          Measurement of Energy Consumption of Air-Cooled, Three-Phase, 
          Small Commercial Package Air Conditioning and Heating 
          Equipment With a Cooling Capacity of Less Than 65,000 Btu/h 
          and Air-Cooled, Three-Phase, Variable Refrigerant Flow Multi-
          Split Air Conditioners and Heat Pumps With a Cooling Capacity 
          of Less Than 65,000 Btu/h
Appendix G to Subpart F of Part 431--Uniform Test Method for the 
          Measurement of Energy Consumption of Air-Cooled, Three-Phase, 
          Small Commercial Package Air Conditioning and Heating 
          Equipment With a Cooling Capacity of Less Than 65,000 Btu/h 
          and Air-Cooled, Three-Phase, Variable Refrigerant Flow Multi-
          Split Air Conditioners and Heat Pumps With a Cooling Capacity 
          of Less Than 65,000 Btu/h
Appendix G1 to Subpart F of Part 431--Uniform Test Method for Measuring 
          the Energy Consumption of Single Package Vertical Air 
          Conditioners and Single Package Vertical Heat Pumps

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, unfired hot water storage tanks, and 
          commercial heat pump water heaters.

                             Test Procedures

431.105 Materials incorporated by reference.
431.106 Uniform test method for the measurement of energy efficiency of 
          commercial water heating equipment.

                      Energy Conservation Standards

431.110 Energy conservation standards and their effective dates.

Appendix A to Subpart G of part 431--Uniform Test Method for the 
          Measurement of Thermal Efficiency and Standby Loss of Gas-
          Fired and Oil-Fired Storage Water Heaters and Storage-Type 
          Instantaneous Water Heaters

[[Page 6]]

Appendix B to Subpart G of part 431--Uniform Test Method for the 
          Measurement of Standby Loss of Electric Storage Water Heaters 
          and Storage-Type Instantaneous Water Heaters
Appendix C to Subpart G of part 431--Uniform Test Method for the 
          Measurement of Thermal Efficiency and Standby Loss of Gas-
          Fired and Oil-Fired Instantaneous Water Heaters and Hot Water 
          Supply Boilers
Appendix D to Subpart G of part 431--Uniform Test Method for the 
          Measurement of Standby Loss of Electric Instantaneous Water 
          Heaters
Appendix E to Subpart G of part 431--Uniform Test Method for the 
          Measurement of Energy Efficiency of Commercial Heat Pump Water 
          Heaters

                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 harvest rate, 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 Clothes Washers

431.151 Purpose and scope.
431.152 Definitions concerning commercial clothes washers.

                             Test Procedures

431.154 Test procedures.

                      Energy Conservation Standards

431.156 Energy and water conservation standards and effective dates.

                       Subpart J_Fans and Blowers

431.171 Purpose and scope.
431.172 Definitions.
431.173 Materials incorporated by reference.
431.174 Test Procedure for fans or blowers.
431.175-431.176 [Reserved]

Appendix A to Subpart J of Part 431--Uniform Test Method for the 
          Measurement of Energy Consumption of Fans and Blowers Other 
          Than Air Circulating Fans
Appendix B to Subpart J of Part 431--Uniform Test Method for the 
          Measurement of Energy Consumption of Air Circulating Fans

                   Subpart K_Distribution Transformers

431.191 Purpose and scope.
431.192 Definitions.

                             Test Procedures

431.193 Test procedure for measuring energy consumption of distribution 
          transformers.

                      Energy Conservation Standards

431.196 Energy conservation standards and their effective dates.

                       Compliance and Enforcement

Appendix A to Subpart K of Part 431--Uniform Test Method for Measuring 
          the Energy Consumption of Distribution Transformers

                    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.
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.

[[Page 7]]

               Subpart O_Commercial Prerinse Spray Valves

431.261 Purpose and scope.
431.262 Definitions.
431.263 Materials incorporated by reference.

                             Test Procedures

431.264 Uniform test method to measure flow rate and spray force of 
          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.

Appendix A to Subpart Q of Part 431 [Reserved]
Appendix B to Subpart Q of Part 431--Uniform Test Method for the 
          Measurement of Energy Consumption of Refrigerated Bottled or 
          Canned Beverage Vending Machines

             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 Walk-in cooler and walk-in freezer labeling requirements.

                      Energy Conservation Standards

431.306 Energy conservation standards and their effective dates.

Appendix A to Subpart R of Part 431--Uniform Test Method for the 
          Measurement of Energy Consumption of the Components of 
          Envelopes of Walk-In Coolers and Walk-In Freezers
Appendix B to Subpart R of Part 431--Uniform Test Method for the 
          Measurement of R-Value for Envelope Components of Walk-In 
          Coolers and Walk-In Freezers
Appendix C to Subpart R of Part 431--Uniform Test Method for the 
          Measurement of Net Capacity and AWEF of Walk-In Cooler and 
          Walk-In Freezer Refrigeration Systems
Appendix C1 to Subpart R of Part 431--XXX

            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 and 
          standby mode energy consumption of metal halide lamp ballasts.

                      Energy Conservation Standards

431.326 Energy conservation standards and their effective dates.

                          Subpart T_Compressors

431.341 Purpose and scope.
431.342 Definitions concerning compressors.
431.343 Materials incorporated by reference.
431.344 Test procedure for measuring and determining energy efficiency 
          of compressors.
431.345 Energy conservation standards and effective dates.
431.346-431.346 [Reserved]

Appendix A to Subpart T of Part 431--Uniform Test Method for Certain Air 
          Compressors

                Subpart U_Enforcement for Electric Motors

431.381 Purpose and scope for electric motors.
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.

[[Page 8]]

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 interim waiver.
431.402 Preemption of State regulations for commercial HVAC & WH 
          products.
431.403 Maintenance of records for electric motors.
431.404 Imported electric motors.
431.405 Exported electric motors.
431.406 Subpoena--Electric Motors.
431.407 Confidentiality--Electric Motors.
431.408 Preemption of State regulations for covered equipment other than 
          electric motors and commercial heating, ventilating, air-
          conditioning and water heating products.

    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 of 
          small electric motors.
431.445 Determination of small electric motor energy efficiency.

                      Energy Conservation Standards

431.446 Small electric motors energy conservation standards and their 
          effective dates.
431.447 Department of Energy recognition of nationally recognized 
          certification programs.
431.448 Procedures for recognition and withdrawal of recognition of 
          certification programs.

                             Subpart Y_Pumps

431.461 Purpose and scope.
431.462 Definitions.
431.463 Materials incorporated by reference.
431.464 Test procedure for the measurement of energy efficiency, energy 
          consumption, and other performance factors of pumps.
431.465 Circulator pumps energy conservation standards and their 
          compliance dates.
431.466 Pumps labeling requirements.

Appendix A to Subpart Y of Part 431--Uniform Test Method for the 
          Measurement of Energy Consumption of Pumps
Appendix B to Subpart Y of Part 431--Uniform Test Method for the 
          Measurement of Energy Efficiency of Dedicated-Purpose Pool 
          Pumps
Appendix C to Subpart Y of Part 431--Uniform Test Method for the 
          Measurement of Energy Efficiency of Dedicated-Purpose Pool 
          Pumps
Appendix D to Subpart Y of Part 431--Uniform Test Method for the 
          Measurement of Energy Consumption of Circulator Pumps

              Subpart Z_Dedicated-Purpose Pool Pump Motors

431.481 Purpose and scope.
431.482 Materials incorporated by reference.
431.483 Definitions.
431.484 Test procedure.
431.485 Energy conservation standards.

    Authority: 42 U.S.C. 6291-6317; 28 U.S.C. 2461 note.

    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.

[[Page 9]]

    Act means the Energy Policy and Conservation Act of 1975, as 
amended, 42 U.S.C. 6291-6316.
    Alternate efficiency determination method or AEDM means a method of 
calculating the efficiency of a commercial HVAC and WH product, in terms 
of the descriptor used in or under section 342(a) of the Act to state 
the energy conservation standard for that product.
    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.
    Commercial HVAC & WH product means any small, large, or very large 
commercial package air-conditioning and heating equipment (as defined in 
Sec.  431.92), packaged terminal air conditioner (as defined in Sec.  
431.92), packaged terminal heat pump (as defined in Sec.  431.92), 
single package vertical air conditioner (as defined in Sec.  431.92), 
single package vertical heat pump (as defined in Sec.  431.92), computer 
room air conditioner (as defined in Sec.  431.92), variable refrigerant 
flow multi-split air conditioner (as defined in Sec.  431.92), variable 
refrigerant flow multi-split heat pump (as defined in Sec.  431.92), 
unitary dedicated outdoor air system (as defined in Sec.  431.92), 
commercial packaged boiler (as defined in Sec.  431.82), hot water 
supply boiler (as defined in Sec.  431.102), commercial warm air furnace 
(as defined in Sec.  431.72), instantaneous water heater (as defined in 
Sec.  431.102), storage water heater (as defined in Sec.  431.102), or 
unfired hot water storage tank (as defined in Sec.  431.102).
    Covered equipment means any commercial heating, ventilating, and air 
conditioning, and water heating product (HVAC & WH product), as defined 
in Sec.  431.2; electric motor, as defined in Sec.  431.12; 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; fan or blower, 
as defined in Sec.  431.172; 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; compressor, as defined 
in Sec.  431.342; small electric motor, as defined in Sec.  431.442; 
pump, as defined in Sec.  431.462; and dedicated purpose pool pump 
motor, as defined in Sec.  431.483.
    DOE or the Department means the U.S. Department of Energy.
    Energy conservation standard means any standards meeting the 
definitions of that term in 42 U.S.C. 6291(6) and 42 U.S.C. 6311(18) as 
well as any other water conservation standards and design requirements 
found in this part or parts 430 or 431.
    EPCA means the Energy Policy and Conservation Act, as amended, 42 
U.S.C. 6291-6316.
    Flue loss means the sum of the sensible heat and latent heat above 
room temperature of the flue gases leaving the appliance.
    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.
    Independent laboratory means a laboratory or test facility not 
controlled by, affiliated with, having financial ties with, or under 
common control with the manufacturer or distributor of the covered 
equipment being evaluated.
    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).
    ISO means International Organization for Standardization.

[[Page 10]]

    Manufacture means to manufacture, produce, assemble, or import.
    Manufacturer means any person who manufactures industrial equipment, 
including any manufacturer of a commercial packaged boiler.
    Manufacturer's model number means the identifier used by a 
manufacturer to uniquely identify the group of identical or essentially 
identical commercial equipment to which a particular unit belongs. The 
manufacturer's model number typically appears on equipment nameplates, 
in equipment catalogs and in other product advertising literature.
    Private labeler means, with respect to any product covered under 
this part, an owner of a brand or trademark on the label of a covered 
product which bears a private label. A covered 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.
    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.
    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; 75 FR 666, Jan. 5, 2010; 76 FR 12503, Mar. 7, 
2011; 77 FR 28987, May 16, 2012; 79 FR 26601, May 9, 2014; 87 FR 45197, 
July 27, 2022; 89 FR 82071, Oct. 9, 2024]



Sec.  431.3  Error Correction procedure for energy conservation standards
rules.

    Requests for error corrections pertaining to an energy conservation 
standard rule for commercial or industrial equipment shall follow those 
procedures and provisions detailed in 10 CFR 430.5 of this chapter.

[81 FR 57758, Aug. 24, 2016]



Sec.  431.4  Procedures, interpretations, and policies for consideration
of new or revised energy conservation standards and test procedures for
commercial/industrial equipment.

    The procedures, interpretations, and policies for consideration of 
new or revised energy conservation standards and test procedures set 
forth in appendix A to subpart C of part 430 of this chapter shall apply 
to the consideration of new or revised energy conservation standards and 
test procedures considered for adoption under this part.

[85 FR 8711, Feb. 14, 2020]



                        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. This subpart does not cover 
``small electric motors,'' which are addressed in subpart X of this 
part. This subpart does not cover electric motors that are ``dedicated-
purpose pool pump motors,'' which are addressed in subpart Z of this 
part.

[77 FR 26633, May 4, 2012, as amended at 86 FR 40774, July 29, 2021]



Sec.  431.12  Definitions.

    The following definitions apply for purposes of this subpart, and of 
subparts U and V 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 IEEE 112-2017 Test Method 
B, CSA C390-10, or IEC 60034-2-1:2014 Method 2-1-1B (incorporated by 
reference, see Sec.  431.15).

[[Page 11]]

    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.
    Air-over electric motor means an electric motor that does not reach 
thermal equilibrium (i.e., thermal stability), during a rated load 
temperature test according to section 2 of appendix B, without the 
application of forced cooling by a free flow of air from an external 
device not mechanically connected to the motor within the motor 
enclosure.
    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 all units of electric motors manufactured by a 
single manufacturer, that are within the same equipment class, have 
electrical characteristics that are essentially identical, and do not 
have any differing physical or functional characteristics that affect 
energy consumption or efficiency.
    Brake electric motor means a motor that contains a dedicated 
mechanism for speed reduction, such as a brake, either within or 
external to the motor enclosure
    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.
    Component set means a combination of motor parts that require the 
addition of more than two endshields (and their associated bearings) to 
create an operable motor. These parts may consist of any combination of 
a stator frame, wound stator, rotor, shaft, or endshields. For the 
purpose of this definition, the term ``operable motor'' means an 
electric motor engineered for performing in accordance with nameplate 
ratings.
    CSA means Canadian Standards Association.
    Definite purpose electric motor means any electric motor that cannot 
be used in most general purpose applications and is designed either:
    (1) To standard ratings with standard operating characteristics or 
standard mechanical construction for use under service conditions other 
than usual, such as those specified in NEMA MG 1-2016, Paragraph 14.3, 
``Unusual Service Conditions,'' (incorporated by reference, see Sec.  
431.15); or
    (2) For use on a particular type of application.
    Definite purpose motor means any electric motor that cannot be used 
in most general purpose applications and is designed either:
    (1) To standard ratings with standard operating characteristics or 
standard mechanical construction for use under service conditions other 
than usual, such as those specified in NEMA MG 1-2016, Paragraph 14.3, 
``Unusual Service Conditions,'' (incorporated by reference, see Sec.  
431.15); or
    (2) For use on a particular type of application.

[[Page 12]]

    Electric motor means a machine that converts electrical power into 
rotational mechanical power.
    Electric motor with encapsulated windings means an electric motor 
capable of passing the conformance test for water resistance described 
in NEMA MG 1-2016, Paragraph 12.62 (incorporated by reference, see Sec.  
431.15).
    Electric motor with moisture resistant windings means an electric 
motor that is capable of passing the conformance test for moisture 
resistance generally described in NEMA MG 1-2016, paragraph 12.63 
(incorporated by reference, see Sec.  431.15).
    Electric motor with sealed windings means an electric motor capable 
of passing the conformance test for water resistance described in NEMA 
MG 1-2016, paragraph 12.62 (incorporated by reference, see Sec.  
431.15).
    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.
    Equipment class means one of the combinations of an electric motor's 
horsepower (or standard kilowatt equivalent), number of poles, and open 
or enclosed construction, with respect to a category of electric motor 
for which Sec.  431.25 prescribes nominal full-load efficiency 
standards.
    Fire pump electric motor means an electric motor, including any IEC-
equivalent, that meets the requirements of section 9.5 of NFPA 20 
(incorporated by reference, see Sec.  431.15).
    General purpose electric motor means any electric motor that is 
designed in standard ratings with either:
    (1) Standard operating characteristics and mechanical construction 
for use under usual service conditions, such as those specified in NEMA 
MG 1-2016, paragraph 14.2, ``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 MG 1-2016, paragraph 14.3, ``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 a general purpose 
electric motor that:
    (1) Is a single-speed, induction motor;
    (2) Is rated for continuous duty (MG1) operation or for duty type S1 
(IEC);
    (3) Contains a squirrel-cage (MG1) or cage (IEC) rotor;
    (4) Has foot-mounting that may include foot-mounting with flanges or 
detachable feet;
    (5) Is built in accordance with NEMA T-frame dimensions or their IEC 
metric equivalents, including a frame size that is between two 
consecutive NEMA frame sizes or their IEC metric equivalents;
    (6) Has performance in accordance with NEMA Design A (MG1) or B 
(MG1) characteristics or equivalent designs such as IEC Design N (IEC);
    (7) Operates on polyphase alternating current 60-hertz sinusoidal 
power, and:
    (i) Is rated at 230 or 460 volts (or both) including motors rated at 
multiple voltages that include 230 or 460 volts (or both), or
    (ii) Can be operated on 230 or 460 volts (or both); and
    (8) Includes, but is not limited to, explosion-proof construction.

    Note 1 to definition of ``General purpose electric motor (subtype 
I)'': References to ``MG1'' above refer to NEMA Standards Publication MG 
1-2016 (incorporated by reference in Sec.  431.15). References to 
``IEC'' above refer to IEC 60034-1, 60034-12:2016, 60050-411, and 60072-
1 (incorporated by reference in Sec.  431.15), as applicable.

    General purpose electric motor (subtype II) means any general 
purpose electric motor that incorporates design elements of a general 
purpose electric motor (subtype I) but, unlike a general purpose 
electric motor (subtype I), is configured in one or more of the 
following ways:
    (1) Is built in accordance with NEMA U-frame dimensions as described 
in NEMA MG 1-1967 (incorporated by reference, see Sec.  431.15) or in 
accordance with the IEC metric equivalents, including a frame size that 
is between two consecutive NEMA frame sizes or their IEC metric 
equivalents;

[[Page 13]]

    (2) Has performance in accordance with NEMA Design C characteristics 
as described in MG1 or an equivalent IEC design(s) such as IEC Design H;
    (3) Is a close-coupled pump motor;
    (4) Is a footless motor;
    (5) Is a vertical solid shaft normal thrust motor (as tested in a 
horizontal configuration) built and designed in a manner consistent with 
MG1;
    (6) Is an eight-pole motor (900 rpm); or
    (7) Is a polyphase motor with a voltage rating of not more than 600 
volts, is not rated at 230 or 460 volts (or both), and cannot be 
operated on 230 or 460 volts (or both).

    Note 2 to definition of ``General purpose electric motor (subtype 
II)'': With the exception of the NEMA Motor Standards MG1-1967 
(incorporated by reference in Sec.  431.15), references to ``MG1'' above 
refer to NEMA MG 1-2016 (incorporated by reference in Sec.  431.15). 
References to ``IEC'' above refer to IEC 60034-1, 60034-12, 60050-411, 
and 60072-1 (incorporated by reference in Sec.  431.15), as applicable.

    IEC means the International Electrotechnical Commission.
    IEC Design H motor means an electric motor that:
    (1) Is an induction motor designed for use with three-phase power;
    (2) Contains a cage rotor;
    (3) Is capable of direct-on-line starting
    (4) Has 4, 6, or 8 poles;
    (5) Is rated from 0.12 kW to 160 kW at a frequency of 60 Hz; and
    (6) Conforms to Sections 9.1, 9.2, and 9.3 of the IEC 60034-12:2016 
(incorporated by reference, see Sec.  431.15) specifications for 
starting torque, locked rotor apparent power, and starting requirements, 
respectively.
    IEC Design HE means an electric motor that:
    (1) Is an induction motor designed for use with three-phase power;
    (2) Contains a cage rotor;
    (3) Is capable of direct-on-line starting;
    (4) Has 4, 6, or 8 poles;
    (5) Is rated from 0.12 kW to 160 kW at a frequency of 60 Hz; and
    (6) Conforms to section 9.1, Table 3, and Section 9.3 of the IEC 
60034-12:2016 (incorporated by reference, see Sec.  431.15) 
specifications for starting torque, locked rotor apparent power, and 
starting requirements, respectively.
    IEC Design HEY means an electric motor that:
    (1) Is an induction motor designed for use with three-phase power;
    (2) Contains a cage rotor;
    (3) Is capable of star-delta starting;
    (4) Has 4, 6, or 8 poles;
    (5) Is rated from 0.12 kW to 160 kW at a frequency of 60 Hz; and
    (6) Conforms to section 5.7, Table 3 and Section 9.3 of the IEC 
60034-12:2016 (incorporated by reference, see Sec.  431.15) 
specifications for starting torque, locked rotor apparent power, and 
starting requirements, respectively.
    IEC Design HY means an electric motor that:
    (1) Is an induction motor designed for use with three-phase power;
    (2) Contains a cage rotor;
    (3) Is capable of star-delta starting;
    (4) Has 4, 6, or 8 poles;
    (5) Is rated from 0.12 kW to 160 kW at a frequency of 60 Hz; and
    (6) Conforms to Section 5.7, Section 9.2 and Section 9.3 of the IEC 
60034-12:2016 (incorporated by reference, see Sec.  431.15) 
specifications for starting torque, locked rotor apparent power, and 
starting requirements, respectively.
    IEC Design N motor means an electric motor that:
    (1) Is an induction motor designed for use with three-phase power;
    (2) Contains a cage rotor;
    (3) Is capable of direct-on-line starting;
    (4) Has 2, 4, 6, or 8 poles;
    (5) Is rated from 0.12 kW to 1600 kW at a frequency of 60 Hz; and
    (6) Conforms to Sections 6.1, 6.2, and 6.3 of the IEC 60034-12:2016 
(incorporated by reference, see Sec.  431.15) specifications for torque 
characteristics, locked rotor apparent power, and starting requirements, 
respectively. If a motor has an increased safety designation of type 
``e,'', the locked rotor apparent power shall be in accordance with the 
appropriate values specified in IEC 60079-7:2015 (incorporated by 
reference, see Sec.  431.15).
    IEC Design NE means an electric motor that:
    (1) Is an induction motor designed for use with three-phase power;

[[Page 14]]

    (2) Contains a cage rotor;
    (3) Is capable of direct-on-line starting;
    (4) Has 2, 4, 6, or 8 poles;
    (5) Is rated from 0.12 kW to 1600 kW at a frequency of 60 Hz; and
    (6) Conforms to section 6.1, Table 3 and Section 6.3 of the IEC 
60034-12:2016 (incorporated by reference, see Sec.  431.15) 
specifications for starting torque, locked rotor apparent power, and 
starting requirements, respectively.
    IEC Design NEY means an electric motor that:
    (1) Is an induction motor designed for use with three-phase power;
    (2) Contains a cage rotor;
    (3) Is capable of star-delta starting;
    (4) Has 2, 4, 6, or 8 poles;
    (5) Is rated from 0.12 kW to 1600 kW at a frequency of 60 Hz; and
    (6) Conforms to section 5.4, Table 3 and Section 6.3 of the IEC 
60034-12:2016 (incorporated by reference, see Sec.  431.15) 
specifications for starting torque, locked rotor apparent power, and 
starting requirements, respectively.
    IEC Design NY means an electric motor that:
    (1) Is an induction motor designed for use with three-phase power;
    (2) Contains a cage rotor;
    (3) Is capable of star-delta starting;
    (4) Has 2, 4, 6, or 8 poles;
    (5) Is rated from 0.12 kW to 1600 kW at a frequency of 60 Hz; and
    (6) Conforms to Section 5.4, Section 6.2 and Section 6.3 of the IEC 
60034-12:2016 (incorporated by reference, see Sec.  431.15) 
specifications for starting torque, locked rotor apparent power, and 
starting requirements, respectively.
    IEEE means the Institute of Electrical and Electronics Engineers, 
Inc.
    Immersible electric motor means an electric motor primarily designed 
to operate continuously in free-air, but is also capable of temporarily 
withstanding complete immersion in liquid for a continuous period of no 
less than 30 minutes.
    Inverter means an electronic device that converts an input AC or DC 
power into a controlled output AC or DC voltage or current. An inverter 
may also be called a converter.
    Inverter-capable electric motor means an electric motor designed for 
direct online starting and is suitable for operation on an inverter 
without special filtering.
    Inverter-only electric motor means an electric motor designed 
specifically for operation fed by an inverter with a temperature rise 
within the specified insulation thermal class or thermal limits.
    Liquid-cooled electric motor means a motor that is cooled by liquid 
circulated using a designated cooling apparatus such that the liquid or 
liquid-filled conductors come into direct contact with the parts of the 
motor but is not submerged in a liquid during operation.
    NEMA means the National Electrical Manufacturers Association.
    NEMA Design A motor means a squirrel-cage motor that:
    (1) Is designed to withstand full-voltage starting and developing 
locked-rotor torque as shown in NEMA MG 1-2016, paragraph 12.38.1 
(incorporated by reference, see Sec.  431.15);
    (2) Has pull-up torque not less than the values shown in NEMA MG 1-
2016, paragraph 12.40.1;
    (3) Has breakdown torque not less than the values shown in NEMA MG 
1-2016, paragraph 12.39.1;
    (4) Has a locked-rotor current higher than the values shown in NEMA 
MG 1-2016, Paragraph 12.35.2 for 60 hertz and NEMA MG 1-2016, Paragraph 
12.35.4 for 50 hertz; and
    (5) Has a slip at rated load of less than 5 percent for motors with 
fewer than 10 poles.
    NEMA Design B motor means a squirrel-cage motor that is:
    (1) Designed to withstand full-voltage starting;
    (2) Develops locked-rotor, breakdown, and pull-up torques adequate 
for general application as specified in Sections 12.38, 12.39 and 12.40 
of NEMA MG 1-2016 (incorporated by reference, see Sec.  431.15);
    (3) Draws locked-rotor current not to exceed the values shown in 
Section 12.35.2 for 60 hertz and 12.35.4 for 50 hertz of NEMA MG 1-2016; 
and
    (4) Has a slip at rated load of less than 5 percent for motors with 
fewer than 10 poles.
    NEMA Design C motor means a squirrel-cage motor that:

[[Page 15]]

    (1) Is designed to withstand full-voltage starting and developing 
locked-rotor torque for high-torque applications up to the values shown 
in NEMA MG 1-2016, paragraph 12.38.2 (incorporated by reference, see 
Sec.  431.15);
    (2) Has pull-up torque not less than the values shown in NEMA MG 1-
2016, paragraph 12.40.2;
    (3) Has breakdown torque not less than the values shown in NEMA MG 
1-2016, paragraph 12.39.2;
    (4) Has a locked-rotor current not to exceed the values shown in 
NEMA MG 1-2016, paragraphs 12.35.2 for 60 hertz and 12.35.4 for 50 
hertz; and
    (5) Has a slip at rated load of less than 5 percent.
    Nominal full-load efficiency means, with respect to an electric 
motor, a representative value of efficiency selected from the ``nominal 
efficiency'' column of Table 12-10, NEMA MG 1-2016, (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.
    Open motor means an electric motor having ventilating openings which 
permit passage of external cooling air over and around the windings of 
the machine.
    Partial electric motor means an assembly of motor components 
necessitating the addition of no more than two endshields, including 
bearings, to create an electric motor capable of operation in accordance 
with the applicable nameplate ratings.
    Rated frequency means 60 Hz and corresponds to the frequency of the 
electricity supplied either:
    (1) Directly to the motor, in the case of electric motors capable of 
operating without an inverter; or
    (2) To the inverter in the case on inverter-only electric motors.
    Rated load (or full-load, full rated load, or rated full-load) means 
the rated output power of an electric motor.
    Rated voltage means the input voltage of a motor or inverter used 
when making representations of the performance characteristics of a 
given electric motor and selected by the motor's manufacturer to be used 
for testing the motor's efficiency.
    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.
    Special purpose electric motor means any electric motor, other than 
a general purpose motor or definite electric purpose motor, which has 
special operating characteristics or special mechanical construction, or 
both, designed for a particular application.
    Specialized frame size means an electric motor frame size for which 
the rated output power of the motor exceeds the motor frame size limits 
specified for standard frame size. Specialized frame sizes have maximum 
diameters corresponding to the following NEMA Frame Sizes:

--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                               Maximum NEMA frame diameters
                                                                 ---------------------------------------------------------------------------------------
          Motor horsepower/standard kilowatt equivalent                  2 Pole                4 Pole                6 Pole                8 Pole
                                                                 ---------------------------------------------------------------------------------------
                                                                   Enclosed     Open     Enclosed     Open     Enclosed     Open     Enclosed     Open
--------------------------------------------------------------------------------------------------------------------------------------------------------
1/.75...........................................................         48  .........         48         48         48         48        140        140
1.5/1.1.........................................................         48         48         48         48        140        140        140        140
2/1.5...........................................................         48         48         48         48        140        140        180        180
3/2.2...........................................................        140         48        140        140        180        180        180        180
5/3.7...........................................................        140        140        140        140        180        180        210        210
7.5/5.5.........................................................        180        140        180        180        210        210        210        210
10/7.5..........................................................        180        180        180        180        210        210
15/11...........................................................        210        180        210        210  .........  .........
20/15...........................................................        210        210        210        210  .........  .........  .........  .........
--------------------------------------------------------------------------------------------------------------------------------------------------------

    Standard frame size means a motor frame size that aligns with the 
specifications in NEMA MG 1-2016, section 13.2 for open motors, and NEMA 
MG 1-2016, section 13.3 for enclosed motors (incorporated by reference, 
see Sec.  431.15).
    Submersible electric motor means an electric motor that:

[[Page 16]]

    (1) Is intended to operate continuously only while submerged in 
liquid;
    (2) Is capable of operation while submerged in liquid for an 
indefinite period of time; and
    (3) Has been sealed to prevent ingress of liquid from contacting the 
motor's internal parts.
    Total power loss means that portion of the energy used by an 
electric motor not converted to rotational mechanical power, expressed 
in percent.
    Totally enclosed non-ventilated (TENV) electric motor means an 
electric motor that is built in a frame-surface cooled, totally enclosed 
configuration that is designed and equipped to be cooled only by free 
convection.

[69 FR 61923, Oct. 21, 2004, as amended at 74 FR 12071, Mar. 23, 2009; 
77 FR 26633, May 4, 2012; 78 FR 75993, Dec. 13, 2013; 79 FR 31009, May 
29, 2014; 86 FR 21, Jan. 4, 2021; 87 FR 63654, Oct. 19, 2022; 87 FR 
64689, Oct. 26, 2022; 88 FR 36150, Sept. 29, 2023]

   Test Procedures, Materials Incorporated and Methods of Determining 
                               Efficiency



Sec.  431.14  [Reserved]



Sec.  431.15  Materials incorporated by reference.

    (a) Certain material is incorporated by reference into this subpart 
with the approval of the Director of the Federal Register in accordance 
with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other 
than that specified in this section, the U.S. Department of Energy (DOE) 
must publish a document in the Federal Register and the material must be 
available to the public. All approved incorporation by reference (IBR) 
material is available for inspection at DOE and at the National Archives 
and Records Administration (NARA). Contact DOE at: the 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) 586-9127, [email protected], https://www.energy.gov/
eere/buildings/building-technologies-office. For information on the 
availability of this material at NARA, email: [email protected], or 
go to: www.archives.gov/federal-register/cfr/ibr-locations.html. The 
material may be obtained from the sources in the following paragraphs:
    (b) CSA. Canadian Standards Association, Sales Department, 5060 
Spectrum Way, Suite 100, Mississauga, Ontario, L4W 5N6, Canada; (800) 
463-6727; www.shopcsa.ca/onlinestore/welcome.asp.
    (1) CSA C390-10 (reaffirmed 2019), (``CSA C390-10''), Test methods, 
marking requirements, and energy efficiency levels for three-phase 
induction motors, including Updates No. 1 through 3, Revised January 
2020; IBR approved for Sec.  431.12 and appendix B to this subpart.
    (2) CSA C747-09 (reaffirmed 2019) (``CSA C747-09''), Energy 
efficiency test methods for small motors, including Update No. 1 (August 
2016), October 2009; IBR approved for appendix B to this subpart.
    (c) IEC. International Electrotechnical Commission Central Office, 
3, rue de Varemb[eacute], P.O. Box 131, CH-1211 GENEVA 20, Switzerland; 
+ 41 22 919 02 11; webstore.iec.ch.
    (1) IEC 60034-1 Edition 12.0 2010-02, (``IEC 60034-1''), Rotating 
Electrical Machines, Part 1: Rating and Performance, February 2010, IBR 
approved as follows: section 4: Duty, clause 4.2.1 and Figure 1, IBR 
approved for Sec.  431.12.
    (2) IEC 60034-1, Edition 12.0 2010-02, (``IEC 60034-1:2010''), 
Rotating Electrical Machines--Part 1: Rating and Performance, IBR 
approved for appendix B to this subpart.
    (3) IEC 60034-2-1:2014, Rotating electrical machines--Part 2-1: 
Standard methods for determining losses and efficiency from tests 
(excluding machines for traction vehicles), Edition 2.0, 2014-06; IBR 
approved for Sec.  431.12 and appendix B to this subpart.
    (4) IEC 60034-12:2016, Rotating electrical machines, Part 12: 
Starting performance of single-speed three-phase cage induction motors, 
Edition 3.0, 2016-11; IBR approved for Sec.  431.12.
    (5) IEC 60050-411, International Electrotechnical Vocabulary Chapter 
411: Rotating machines, 1996, IBR approved as follows: sections 411-33-
07 and 411-37-26, IBR approved for Sec.  431.12.
    (6) IEC 60051-1:2016, Edition 6.0 2016-02, (``IEC 60051-1:2016''), 
Direct acting indicating analogue electrical measuring instruments and 
their accessories--Part 1: Definitions and general requirements common 
to all parts, IBR

[[Page 17]]

approved for appendix B to this subpart.
    (7) IEC 60072-1, Dimensions and Output Series for Rotating 
Electrical Machines--Part 1: Frame numbers 56 to 400 and flange numbers 
55 to 1080, Sixth edition, 1991-02; IBR approved as follows: clauses 2, 
3, 4.1, 6.1, 7, and 10, and Tables 1, 2 and 4; IBR approved for Sec.  
431.12 and appendix B to this subpart.
    (8) IEC 60079-7:2015, Explosive atmospheres--Part 7: Equipment 
protection by increased safety ``e'', Edition 5.0, 2015-06; IBR approved 
for Sec.  431.12.
    (9) IEC 61800-9-2:2017, Adjustable speed electrical power drive 
systems--Part 9-2: Ecodesign for power drive systems, motor starters, 
power electronics and their driven applications--Energy efficiency 
indicators for power drive systems and motor starters, Edition 1.0, 
2017-03; IBR approved for appendix B to this subpart.
    (d) IEEE. Institute of Electrical and Electronics Engineers, Inc., 
445 Hoes Lane, P.O. Box 1331, Piscataway, NJ 08855-1331; (800) 678-IEEE 
(4333); www.ieee.org/web/publications/home/index.html.
    (1) IEEE Std 112-2017 (``IEEE 112-2017''), IEEE Standard Test 
Procedure for Polyphase Induction Motors and Generators, approved 
December 6, 2017; IBR approved for Sec.  431.12 and appendix B to this 
subpart.
    (2) IEEE Std 114-2010 (``IEEE 114-2010''), Test Procedure for 
Single-Phase Induction Motors, December 23, 2010; IBR approved for 
appendix B to this subpart.
    (e) NEMA. National Electrical Manufacturers Association, 1300 North 
17th Street, Suite 1752, Rosslyn, Virginia 22209; (703) 841-3200; 
www.nema.org/.
    (1) ANSI/NEMA MG 1-2016 (Revision 1, 2018) (``NEMA MG 1-2016''), 
Motors and Generators, ANSI-approved June 15, 2021; IBR approved for 
Sec.  431.12 and appendix B to this subpart.
    (2) NEMA Standards Publication MG1-1967 (``NEMA MG1-1967''), Motors 
and Generators, January 1968; as follows:
    (i) Part 11, Dimension; IBR approved for Sec.  431.12.
    (ii) Part 13, Frame Assignments--A-C Integral-Horsepower Motors; IBR 
approved for Sec.  431.12.
    (f) NFPA. National Fire Protection Association, 1 Batterymarch Park, 
Quincy, MA 02169-7471; (617) 770-3000; www.nfpa.org/.
    (1) NFPA 20, Standard for the Installation of Stationary Pumps for 
Fire Protection, 2022 Edition, ANSI-approved April 8, 2021. IBR approved 
for Sec.  431.12.
    (2) [Reserved]

[77 FR 26634, May 4, 2012, as amended at 78 FR 75994, Dec. 13, 2013; 86 
FR 21, Jan. 4, 2021; 87 FR 63656, Oct. 19, 2022]



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  [Reserved]



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)/National Voluntary Laboratory 
Accreditation Program (NVLAP), 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, April 2020, (referenced for 
guidance only, see Sec.  429.3 of this subchapter) present the technical 
requirements of NVLAP for the Efficiency of Electric Motors field of 
accreditation. This handbook supplements NIST Handbook 150, National 
Voluntary Laboratory Accreditation Program ``Procedures and General 
Requirements,'' which contains 15 CFR

[[Page 18]]

part 285 plus all general NIST/NVLAP procedures, criteria, and policies. 
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, (301) 975-4016 (telephone), or 
(301) 926-2884 (fax).

[69 FR 61923, Oct. 21, 2004, as amended at 77 FR 26635, May 4, 2012; 87 
FR 63657, Oct. 19, 2022]

                      Energy Conservation Standards



Sec.  431.25  Energy conservation standards and effective dates.

    (a) Except as provided for fire pump electric motors in paragraph 
(b) of this section, each general purpose electric motor (subtype I) 
with a power rating of 1 horsepower or greater, but not greater than 200 
horsepower, including a NEMA Design B or an equivalent IEC Design N 
motor that is a general purpose electric motor (subtype I), manufactured 
(alone or as a component of another piece of equipment) on or after 
December 19, 2010, but before June 1, 2016, shall have a nominal full-
load efficiency that is not less than the following:

    Table 1--Nominal Full-Load Efficiencies of General Purpose Electric Motors (Subtype I), Except Fire Pump
                                                 Electric Motors
----------------------------------------------------------------------------------------------------------------
                                                                  Nominal full-load efficiency
                                               -----------------------------------------------------------------
                                                 Open motors (number of poles)      Enclosed motors (number of
 Motor horsepower/Standard kilowatt equivalent ---------------------------------              poles)
                                                                                --------------------------------
                                                    6          4          2          6          4          2
----------------------------------------------------------------------------------------------------------------
1/.75.........................................       82.5       85.5       77.0       82.5       85.5       77.0
1.5/1.1.......................................       86.5       86.5       84.0       87.5       86.5       84.0
2/1.5.........................................       87.5       86.5       85.5       88.5       86.5       85.5
3/2.2.........................................       88.5       89.5       85.5       89.5       89.5       86.5
5/3.7.........................................       89.5       89.5       86.5       89.5       89.5       88.5
7.5/5.5.......................................       90.2       91.0       88.5       91.0       91.7       89.5
10/7.5........................................       91.7       91.7       89.5       91.0       91.7       90.2
15/11.........................................       91.7       93.0       90.2       91.7       92.4       91.0
20/15.........................................       92.4       93.0       91.0       91.7       93.0       91.0
25/18.5.......................................       93.0       93.6       91.7       93.0       93.6       91.7
30/22.........................................       93.6       94.1       91.7       93.0       93.6       91.7
40/30.........................................       94.1       94.1       92.4       94.1       94.1       92.4
50/37.........................................       94.1       94.5       93.0       94.1       94.5       93.0
60/45.........................................       94.5       95.0       93.6       94.5       95.0       93.6
75/55.........................................       94.5       95.0       93.6       94.5       95.4       93.6
100/75........................................       95.0       95.4       93.6       95.0       95.4       94.1
125/90........................................       95.0       95.4       94.1       95.0       95.4       95.0
150/110.......................................       95.4       95.8       94.1       95.8       95.8       95.0
200/150.......................................       95.4       95.8       95.0       95.8       96.2       95.4
----------------------------------------------------------------------------------------------------------------

    (b) Each fire pump electric motor that is a general purpose electric 
motor (subtype I) or general purpose electric motor (subtype II) 
manufactured (alone or as a component of another piece of equipment) on 
or after December 19, 2010, but before June 1, 2016, shall have a 
nominal full-load efficiency that is not less than the following:

                                          Table 2--Nominal Full-Load Efficiencies of Fire Pump Electric Motors
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                               Nominal full-load efficiency
                                                                 ---------------------------------------------------------------------------------------
          Motor horsepower/standard kilowatt equivalent                  Open motors (number of poles)             Enclosed motors (number of poles)
                                                                 ---------------------------------------------------------------------------------------
                                                                      8          6          4          2          8          6          4          2
--------------------------------------------------------------------------------------------------------------------------------------------------------
1/.75...........................................................       74.0       80.0       82.5  .........       74.0       80.0       82.5       75.5
1.5/1.1.........................................................       75.5       84.0       84.0       82.5       77.0       85.5       84.0       82.5
2/1.5...........................................................       85.5       85.5       84.0       84.0       82.5       86.5       84.0       84.0

[[Page 19]]

 
3/2.2...........................................................       86.5       86.5       86.5       84.0       84.0       87.5       87.5       85.5
5/3.7...........................................................       87.5       87.5       87.5       85.5       85.5       87.5       87.5       87.5
7.5/5.5.........................................................       88.5       88.5       88.5       87.5       85.5       89.5       89.5       88.5
10/7.5..........................................................       89.5       90.2       89.5       88.5       88.5       89.5       89.5       89.5
15/11...........................................................       89.5       90.2       91.0       89.5       88.5       90.2       91.0       90.2
20/15...........................................................       90.2       91.0       91.0       90.2       89.5       90.2       91.0       90.2
25/18.5.........................................................       90.2       91.7       91.7       91.0       89.5       91.7       92.4       91.0
30/22...........................................................       91.0       92.4       92.4       91.0       91.0       91.7       92.4       91.0
40/30...........................................................       91.0       93.0       93.0       91.7       91.0       93.0       93.0       91.7
50/37...........................................................       91.7       93.0       93.0       92.4       91.7       93.0       93.0       92.4
60/45...........................................................       92.4       93.6       93.6       93.0       91.7       93.6       93.6       93.0
75/55...........................................................       93.6       93.6       94.1       93.0       93.0       93.6       94.1       93.0
100/75..........................................................       93.6       94.1       94.1       93.0       93.0       94.1       94.5       93.6
125/90..........................................................       93.6       94.1       94.5       93.6       93.6       94.1       94.5       94.5
150/110.........................................................       93.6       94.5       95.0       93.6       93.6       95.0       95.0       94.5
200/150.........................................................       93.6       94.5       95.0       94.5       94.1       95.0       95.0       95.0
250/186.........................................................       94.5       95.4       95.4       94.5       94.5       95.0       95.0       95.4
300/224.........................................................  .........       95.4       95.4       95.0  .........       95.0       95.4       95.4
350/261.........................................................  .........       95.4       95.4       95.0  .........       95.0       95.4       95.4
400/298.........................................................  .........  .........       95.4       95.4  .........  .........       95.4       95.4
450/336.........................................................  .........  .........       95.8       95.8  .........  .........       95.4       95.4
500/373.........................................................  .........  .........       95.8       95.8  .........  .........       95.8       95.4
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (c) Except as provided for fire pump electric motors in paragraph 
(b) of this section, each general purpose electric motor (subtype II) 
with a power rating of 1 horsepower or greater, but not greater than 200 
horsepower, including a NEMA Design B or an equivalent IEC Design N 
motor that is a general purpose electric motor (subtype II), 
manufactured (alone or as a component of another piece of equipment) on 
or after December 19, 2010, but before June 1, 2016, shall have a 
nominal full-load efficiency that is not less than the following:

                Table 3--Nominal Full-Load Efficiencies of General Purpose Electric Motors (Subtype II), Except Fire Pump Electric Motors
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                               Nominal full-load efficiency
                                                                 ---------------------------------------------------------------------------------------
         Motor horsepower/ Standard kilowatt equivalent                  Open motors (number of poles)             Enclosed motors (number of poles)
                                                                 ---------------------------------------------------------------------------------------
                                                                      8          6          4          2          8          6          4          2
--------------------------------------------------------------------------------------------------------------------------------------------------------
1/.75...........................................................       74.0       80.0       82.5  .........       74.0       80.0       82.5       75.5
1.5/1.1.........................................................       75.5       84.0       84.0       82.5       77.0       85.5       84.0       82.5
2/1.5...........................................................       85.5       85.5       84.0       84.0       82.5       86.5       84.0       84.0
3/2.2...........................................................       86.5       86.5       86.5       84.0       84.0       87.5       87.5       85.5
5/3.7...........................................................       87.5       87.5       87.5       85.5       85.5       87.5       87.5       87.5
7.5/5.5.........................................................       88.5       88.5       88.5       87.5       85.5       89.5       89.5       88.5
10/7.5..........................................................       89.5       90.2       89.5       88.5       88.5       89.5       89.5       89.5
15/11...........................................................       89.5       90.2       91.0       89.5       88.5       90.2       91.0       90.2
20/15...........................................................       90.2       91.0       91.0       90.2       89.5       90.2       91.0       90.2
25/18.5.........................................................       90.2       91.7       91.7       91.0       89.5       91.7       92.4       91.0
30/22...........................................................       91.0       92.4       92.4       91.0       91.0       91.7       92.4       91.0
40/30...........................................................       91.0       93.0       93.0       91.7       91.0       93.0       93.0       91.7
50/37...........................................................       91.7       93.0       93.0       92.4       91.7       93.0       93.0       92.4
60/45...........................................................       92.4       93.6       93.6       93.0       91.7       93.6       93.6       93.0
75/55...........................................................       93.6       93.6       94.1       93.0       93.0       93.6       94.1       93.0
100/75..........................................................       93.6       94.1       94.1       93.0       93.0       94.1       94.5       93.6
125/90..........................................................       93.6       94.1       94.5       93.6       93.6       94.1       94.5       94.5
150/110.........................................................       93.6       94.5       95.0       93.6       93.6       95.0       95.0       94.5
200/150.........................................................       93.6       94.5       95.0       94.5       94.1       95.0       95.0       95.0
--------------------------------------------------------------------------------------------------------------------------------------------------------


[[Page 20]]

    (d) Each NEMA Design B or an equivalent IEC Design N motor that is a 
general purpose electric motor (subtype I) or general purpose electric 
motor (subtype II), excluding fire pump electric motors, 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, but before June 1, 2016 shall have a nominal 
full-load efficiency that is not less than the following:

      Table 4--Nominal Full-Load Efficiencies of NEMA Design B General Purpose Electric Motors (Subtype I and II), Except Fire Pump Electric Motors
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                               Nominal full-load efficiency
                                                                 ---------------------------------------------------------------------------------------
         Motor horsepower/ standard kilowatt equivalent                  Open motors (number of poles)             Enclosed motors (number of poles)
                                                                 ---------------------------------------------------------------------------------------
                                                                      8          6          4          2          8          6          4          2
--------------------------------------------------------------------------------------------------------------------------------------------------------
250/186.........................................................       94.5       95.4       95.4       94.5       94.5       95.0       95.0       95.4
300/224.........................................................  .........       95.4       95.4       95.0  .........       95.0       95.4       95.4
350/261.........................................................  .........       95.4       95.4       95.0  .........       95.0       95.4       95.4
400/298.........................................................  .........  .........       95.4       95.4  .........  .........       95.4       95.4
450/336.........................................................  .........  .........       95.8       95.8  .........  .........       95.4       95.4
500/373.........................................................  .........  .........       95.8       95.8  .........  .........       95.8       95.4
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (e) For purposes of determining the required minimum nominal full-
load efficiency of an electric motor that has a horsepower or kilowatt 
rating between two horsepower or two kilowatt ratings listed in any 
table of energy conservation standards in paragraphs (a) through (d) of 
this section, each such motor shall be deemed to have a listed 
horsepower or kilowatt rating, 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. The conversion should be calculated to three significant 
decimal places, and the resulting horsepower shall be rounded in 
accordance with paragraph (e)(1) or (e)(2) of this section, whichever 
applies.
    (f) The standards in Table 1 through Table 4 of this section do not 
apply to definite purpose electric motors, special purpose electric 
motors, or those motors exempted by the Secretary.
    (g) The standards in Table 5 through Table 7 of this section apply 
only to electric motors, including partial electric motors, that satisfy 
the following criteria:
    (1) Are single-speed, induction motors;
    (2) Are rated for continuous duty (MG 1) operation or for duty type 
S1 (IEC);
    (3) Contain a squirrel-cage (MG 1) or cage (IEC) rotor;
    (4) Operate on polyphase alternating current 60-hertz sinusoidal 
line power;
    (5) Are rated 600 volts or less;
    (6) Have a 2-, 4-, 6-, or 8-pole configuration,
    (7) Are built in a three-digit or four-digit NEMA frame size (or IEC 
metric equivalent), including those designs between two consecutive NEMA 
frame sizes (or IEC metric equivalent), or an enclosed 56 NEMA frame 
size (or IEC metric equivalent),
    (8) Produce at least one horsepower (0.746 kW) but not greater than 
500 horsepower (373 kW), and
    (9) Meet all of the performance requirements of one of the following 
motor types: A NEMA Design A, B, or C motor or an IEC Design N, NE, NEY, 
NY or H, HE, HEY, HY motor.
    (h) Each NEMA Design A motor, NEMA Design B motor, and IEC Design N 
(including NE, NEY, or NY variants) motor that is an electric motor 
meeting the criteria in paragraph (g) of this section and with a power 
rating from 1 horsepower through 500 horsepower,

[[Page 21]]

but excluding fire pump electric motors, manufactured (alone or as a 
component of another piece of equipment) on or after June 1, 2016, but 
before June 1, 2027, shall have a nominal full-load efficiency of not 
less than the following:

  Table 5 to Paragraph (h)--Nominal Full-Load Efficiencies of NEMA Design A, NEMA Design B and IEC Design N, NE, NEY or NY Motors (Excluding Fire Pump
                                                                Electric Motors) at 60 Hz
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                             Nominal full-load efficiency (%)
                                                                 ---------------------------------------------------------------------------------------
         Motor horsepower/ standard kilowatt equivalent                  2 Pole                4 Pole                6 Pole                8 Pole
                                                                 ---------------------------------------------------------------------------------------
                                                                   Enclosed     Open     Enclosed     Open     Enclosed     Open     Enclosed     Open
--------------------------------------------------------------------------------------------------------------------------------------------------------
1/.75...........................................................       77.0       77.0       85.5       85.5       82.5       82.5       75.5       75.5
1.5/1.1.........................................................       84.0       84.0       86.5       86.5       87.5       86.5       78.5       77.0
2/1.5...........................................................       85.5       85.5       86.5       86.5       88.5       87.5       84.0       86.5
3/2.2...........................................................       86.5       85.5       89.5       89.5       89.5       88.5       85.5       87.5
5/3.7...........................................................       88.5       86.5       89.5       89.5       89.5       89.5       86.5       88.5
7.5/5.5.........................................................       89.5       88.5       91.7       91.0       91.0       90.2       86.5       89.5
10/7.5..........................................................       90.2       89.5       91.7       91.7       91.0       91.7       89.5       90.2
15/11...........................................................       91.0       90.2       92.4       93.0       91.7       91.7       89.5       90.2
20/15...........................................................       91.0       91.0       93.0       93.0       91.7       92.4       90.2       91.0
25/18.5.........................................................       91.7       91.7       93.6       93.6       93.0       93.0       90.2       91.0
30/22...........................................................       91.7       91.7       93.6       94.1       93.0       93.6       91.7       91.7
40/30...........................................................       92.4       92.4       94.1       94.1       94.1       94.1       91.7       91.7
50/37...........................................................       93.0       93.0       94.5       94.5       94.1       94.1       92.4       92.4
60/45...........................................................       93.6       93.6       95.0       95.0       94.5       94.5       92.4       93.0
75/55...........................................................       93.6       93.6       95.4       95.0       94.5       94.5       93.6       94.1
100/75..........................................................       94.1       93.6       95.4       95.4       95.0       95.0       93.6       94.1
125/90..........................................................       95.0       94.1       95.4       95.4       95.0       95.0       94.1       94.1
150/110.........................................................       95.0       94.1       95.8       95.8       95.8       95.4       94.1       94.1
200/150.........................................................       95.4       95.0       96.2       95.8       95.8       95.4       94.5       94.1
250/186.........................................................       95.8       95.0       96.2       95.8       95.8       95.8       95.0       95.0
300/224.........................................................       95.8       95.4       96.2       95.8       95.8       95.8
350/261.........................................................       95.8       95.4       96.2       95.8       95.8       95.8
400/298.........................................................       95.8       95.8       96.2       95.8
450/336.........................................................       95.8       96.2       96.2       96.2
500/373.........................................................       95.8       96.2       96.2       96.2  .........  .........  .........  .........
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (i) Starting on June 1, 2016, each NEMA Design C motor and IEC 
Design H (including HE, HEY, or HY variants) motor that is an electric 
motor meeting the criteria in paragraph (g) of this section and with a 
power rating from 1 horsepower through 200 horsepower manufactured 
(alone or as a component of another piece of equipment) shall have a 
nominal full-load efficiency that is not less than the following:

Table 6 to Paragraph (i)--Nominal Full-Load Efficiencies of NEMA Design C and IEC Design H, HE, HEY or HY Motors
                                                    at 60 Hz
----------------------------------------------------------------------------------------------------------------
                                                          Nominal full-load efficiency (%)
                                   -----------------------------------------------------------------------------
Motor horsepower/standard kilowatt           4 Pole                    6 Pole                    8 Pole
            equivalent             -----------------------------------------------------------------------------
                                      Enclosed       Open       Enclosed       Open       Enclosed       Open
----------------------------------------------------------------------------------------------------------------
1/.75.............................         85.5         85.5         82.5         82.5         75.5         75.5
1.5/1.1...........................         86.5         86.5         87.5         86.5         78.5         77.0
2/1.5.............................         86.5         86.5         88.5         87.5         84.0         86.5
3/2.2.............................         89.5         89.5         89.5         88.5         85.5         87.5
5/3.7.............................         89.5         89.5         89.5         89.5         86.5         88.5
7.5/5.5...........................         91.7         91.0         91.0         90.2         86.5         89.5
10/7.5............................         91.7         91.7         91.0         91.7         89.5         90.2
15/11.............................         92.4         93.0         91.7         91.7         89.5         90.2
20/15.............................         93.0         93.0         91.7         92.4         90.2         91.0
25/18.5...........................         93.6         93.6         93.0         93.0         90.2         91.0
30/22.............................         93.6         94.1         93.0         93.6         91.7         91.7
40/30.............................         94.1         94.1         94.1         94.1         91.7         91.7
50/37.............................         94.5         94.5         94.1         94.1         92.4         92.4
60/45.............................         95.0         95.0         94.5         94.5         92.4         93.0

[[Page 22]]

 
75/55.............................         95.4         95.0         94.5         94.5         93.6         94.1
100/75............................         95.4         95.4         95.0         95.0         93.6         94.1
125/90............................         95.4         95.4         95.0         95.0         94.1         94.1
150/110...........................         95.8         95.8         95.8         95.4         94.1         94.1
200/150...........................         96.2         95.8         95.8         95.4         94.5         94.1
----------------------------------------------------------------------------------------------------------------

    (j) Starting on June 1, 2016, each fire pump electric motor meeting 
the criteria in paragraph (g) of this section and with a power rating of 
1 horsepower through 500 horsepower, manufactured (alone or as a 
component of another piece of equipment) shall have a nominal full-load 
efficiency that is not less than the following:

                                      Table 7--Nominal Full-Load Efficiencies of Fire Pump Electric Motors at 60 Hz
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                             Nominal full-load efficiency (%)
                                                                 ---------------------------------------------------------------------------------------
         Motor horsepower/ standard kilowatt equivalent                  2 Pole                4 Pole                6 Pole                8 Pole
                                                                 ---------------------------------------------------------------------------------------
                                                                   Enclosed     Open     Enclosed     Open     Enclosed     Open     Enclosed     Open
--------------------------------------------------------------------------------------------------------------------------------------------------------
1/.75...........................................................       75.5  .........       82.5       82.5       80.0       80.0       74.0       74.0
1.5/1.1.........................................................       82.5       82.5       84.0       84.0       85.5       84.0       77.0       75.5
2/1.5...........................................................       84.0       84.0       84.0       84.0       86.5       85.5       82.5       85.5
3/2.2...........................................................       85.5       84.0       87.5       86.5       87.5       86.5       84.0       86.5
5/3.7...........................................................       87.5       85.5       87.5       87.5       87.5       87.5       85.5       87.5
7.5/5.5.........................................................       88.5       87.5       89.5       88.5       89.5       88.5       85.5       88.5
10/7.5..........................................................       89.5       88.5       89.5       89.5       89.5       90.2       88.5       89.5
15/11...........................................................       90.2       89.5       91.0       91.0       90.2       90.2       88.5       89.5
20/15...........................................................       90.2       90.2       91.0       91.0       90.2       91.0       89.5       90.2
25/18.5.........................................................       91.0       91.0       92.4       91.7       91.7       91.7       89.5       90.2
30/22...........................................................       91.0       91.0       92.4       92.4       91.7       92.4       91.0       91.0
40/30...........................................................       91.7       91.7       93.0       93.0       93.0       93.0       91.0       91.0
50/37...........................................................       92.4       92.4       93.0       93.0       93.0       93.0       91.7       91.7
60/45...........................................................       93.0       93.0       93.6       93.6       93.6       93.6       91.7       92.4
75/55...........................................................       93.0       93.0       94.1       94.1       93.6       93.6       93.0       93.6
100/75..........................................................       93.6       93.0       94.5       94.1       94.1       94.1       93.0       93.6
125/90..........................................................       94.5       93.6       94.5       94.5       94.1       94.1       93.6       93.6
150/110.........................................................       94.5       93.6       95.0       95.0       95.0       94.5       93.6       93.6
200/150.........................................................       95.0       94.5       95.0       95.0       95.0       94.5       94.1       93.6
250/186.........................................................       95.4       94.5       95.0       95.4       95.0       95.4       94.5       94.5
300/224.........................................................       95.4       95.0       95.4       95.4       95.0       95.4
350/261.........................................................       95.4       95.0       95.4       95.4       95.0       95.4
400/298.........................................................       95.4       95.4       95.4       95.4
450/336.........................................................       95.4       95.8       95.4       95.8
500/373.........................................................       95.4       95.8       95.8       95.8  .........  .........  .........  .........
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (k) For purposes of determining the required minimum nominal full-
load efficiency of an electric motor that has a horsepower or kilowatt 
rating between two horsepower or two kilowatt ratings listed in any 
table of energy conservation standards in paragraphs (h) through (l) of 
this section, each such motor shall be deemed to have a listed 
horsepower or kilowatt rating, 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. The conversion

[[Page 23]]

should be calculated to three significant decimal places, and the 
resulting horsepower shall be rounded in accordance with paragraph 
(k)(1) or (k)(2) of this section, whichever applies.
    (l) The standards in Table 5 through Table 7 of this section do not 
apply to the following electric motors exempted by the Secretary, or any 
additional electric motors that the Secretary may exempt:
    (1) Air-over electric motors;
    (2) Component sets of an electric motor;
    (3) Liquid-cooled electric motors;
    (4) Submersible electric motors; and
    (5) Inverter-only electric motors.
    (m) The standards in tables 8 through 10 of this section apply only 
to electric motors, including partial electric motors, that satisfy the 
following criteria:
    (1) Are single-speed, induction motors;
    (2) Are rated for continuous duty (MG 1) operation or for duty type 
S1 (IEC);
    (3) Contain a squirrel-cage (MG 1) or cage (IEC) rotor;
    (4) Operate on polyphase alternating current 60-hertz sinusoidal 
line power;
    (5) Are rated 600 volts or less;
    (6) Have a 2-, 4-, 6-, or 8-pole configuration,
    (7) Are built in a three-digit or four-digit NEMA frame size (or IEC 
metric equivalent), including those designs between two consecutive NEMA 
frame sizes (or IEC metric equivalent), or an enclosed 56 NEMA frame 
size (or IEC metric equivalent),
    (8) Produce at least one horsepower (0.746 kW) but not greater than 
750 horsepower (559 kW), and
    (9) Meet all of the performance requirements of one of the following 
motor types: A NEMA Design A, B, or C motor or an IEC Design N, NE, NEY, 
NY or H, HE, HEY, HY motor.
    (n) Starting on June 1, 2027, each NEMA Design A motor, NEMA Design 
B motor, and IEC Design N (including NE, NEY, or NY variants) motor that 
is an electric motor meeting the criteria in paragraph (m) of this 
section and with a power rating from 1 horsepower through 750 
horsepower, but excluding fire pump electric motors and air-over 
electric motors, manufactured (alone or as a component of another piece 
of equipment) shall have a nominal full-load efficiency of not less than 
the following:

  Table 8 to Paragraph (n)--Nominal Full-Load Efficiencies of NEMA Design A, NEMA Design B and IEC Design N, NE, NEY or NY Motors (Excluding Fire Pump
                                                 Electric Motors and Air-Over Electric Motors) at 60 Hz
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                             Nominal full-load efficiency (%)
                                                                 ---------------------------------------------------------------------------------------
          Motor horsepower/standard kilowatt equivalent                  2 Pole                4 Pole                6 Pole                8 Pole
                                                                 ---------------------------------------------------------------------------------------
                                                                   Enclosed     Open     Enclosed     Open     Enclosed     Open     Enclosed     Open
--------------------------------------------------------------------------------------------------------------------------------------------------------
1/.75...........................................................       77.0       77.0       85.5       85.5       82.5       82.5       75.5       75.5
1.5/1.1.........................................................       84.0       84.0       86.5       86.5       87.5       86.5       78.5       77.0
2/1.5...........................................................       85.5       85.5       86.5       86.5       88.5       87.5       84.0       86.5
3/2.2...........................................................       86.5       85.5       89.5       89.5       89.5       88.5       85.5       87.5
5/3.7...........................................................       88.5       86.5       89.5       89.5       89.5       89.5       86.5       88.5
7.5/5.5.........................................................       89.5       88.5       91.7       91.0       91.0       90.2       86.5       89.5
10/7.5..........................................................       90.2       89.5       91.7       91.7       91.0       91.7       89.5       90.2
15/11...........................................................       91.0       90.2       92.4       93.0       91.7       91.7       89.5       90.2
20/15...........................................................       91.0       91.0       93.0       93.0       91.7       92.4       90.2       91.0
25/18.5.........................................................       91.7       91.7       93.6       93.6       93.0       93.0       90.2       91.0
30/22...........................................................       91.7       91.7       93.6       94.1       93.0       93.6       91.7       91.7
40/30...........................................................       92.4       92.4       94.1       94.1       94.1       94.1       91.7       91.7
50/37...........................................................       93.0       93.0       94.5       94.5       94.1       94.1       92.4       92.4
60/45...........................................................       93.6       93.6       95.0       95.0       94.5       94.5       92.4       93.0
75/55...........................................................       93.6       93.6       95.4       95.0       94.5       94.5       93.6       94.1
100/75..........................................................       95.0       94.5       96.2       96.2       95.8       95.8       94.5       95.0
125/90..........................................................       95.4       94.5       96.2       96.2       95.8       95.8       95.0       95.0
150/110.........................................................       95.4       94.5       96.2       96.2       96.2       95.8       95.0       95.0
200/150.........................................................       95.8       95.4       96.5       96.2       96.2       95.8       95.4       95.0
250/186.........................................................       96.2       95.4       96.5       96.2       96.2       96.2       95.4       95.4
300/224.........................................................       95.8       95.4       96.2       95.8       95.8       95.8
350/261.........................................................       95.8       95.4       96.2       95.8       95.8       95.8
400/298.........................................................       95.8       95.8       96.2       95.8  .........  .........
450/336.........................................................       95.8       96.2       96.2       96.2  .........  .........
500/373.........................................................       95.8       96.2       96.2       96.2  .........  .........

[[Page 24]]

 
550/410.........................................................       95.8       96.2       96.2       96.2  .........  .........
600/447.........................................................       95.8       96.2       96.2       96.2  .........  .........
650/485.........................................................       95.8       96.2       96.2       96.2  .........  .........
700/522.........................................................       95.8       96.2       96.2       96.2  .........  .........
750/559.........................................................       95.8       96.2       96.2       96.2  .........  .........  .........  .........
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (o) Starting on June 1, 2027, each NEMA Design A motor, NEMA Design 
B motor, and IEC Design N (including NE, NEY, or NY variants) motor that 
is an air-over electric motor meeting the criteria in paragraph (m) of 
this section and with a power rating from 1 horsepower through 250 
horsepower, built in a standard frame size, but excluding fire pump 
electric motors, manufactured (alone or as a component of another piece 
of equipment) shall have a nominal full-load efficiency of not less than 
the following:

  Table 9 to Paragraph (o)--Nominal Full-Load Efficiencies of NEMA Design A, NEMA Design B and IEC Design N, NE, NEY or NY Standard Frame Size Air-Over
                                             Electric Motors (Excluding Fire Pump Electric Motors) at 60 Hz
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                             Nominal full-load efficiency (%)
                                                                 ---------------------------------------------------------------------------------------
          Motor horsepower/standard kilowatt equivalent                  2 Pole                4 Pole                6 Pole                8 Pole
                                                                 ---------------------------------------------------------------------------------------
                                                                   Enclosed     Open     Enclosed     Open     Enclosed     Open     Enclosed     Open
--------------------------------------------------------------------------------------------------------------------------------------------------------
1/.75...........................................................       77.0       77.0       85.5       85.5       82.5       82.5       75.5       75.5
1.5/1.1.........................................................       84.0       84.0       86.5       86.5       87.5       86.5       78.5       77.0
2/1.5...........................................................       85.5       85.5       86.5       86.5       88.5       87.5       84.0       86.5
3/2.2...........................................................       86.5       85.5       89.5       89.5       89.5       88.5       85.5       87.5
5/3.7...........................................................       88.5       86.5       89.5       89.5       89.5       89.5       86.5       88.5
7.5/5.5.........................................................       89.5       88.5       91.7       91.0       91.0       90.2       86.5       89.5
10/7.5..........................................................       90.2       89.5       91.7       91.7       91.0       91.7       89.5       90.2
15/11...........................................................       91.0       90.2       92.4       93.0       91.7       91.7       89.5       90.2
20/15...........................................................       91.0       91.0       93.0       93.0       91.7       92.4       90.2       91.0
25/18.5.........................................................       91.7       91.7       93.6       93.6       93.0       93.0       90.2       91.0
30/22...........................................................       91.7       91.7       93.6       94.1       93.0       93.6       91.7       91.7
40/30...........................................................       92.4       92.4       94.1       94.1       94.1       94.1       91.7       91.7
50/37...........................................................       93.0       93.0       94.5       94.5       94.1       94.1       92.4       92.4
60/45...........................................................       93.6       93.6       95.0       95.0       94.5       94.5       92.4       93.0
75/55...........................................................       93.6       93.6       95.4       95.0       94.5       94.5       93.6       94.1
100/75..........................................................       95.0       94.5       96.2       96.2       95.8       95.8       94.5       95.0
125/90..........................................................       95.4       94.5       96.2       96.2       95.8       95.8       95.0       95.0
150/110.........................................................       95.4       94.5       96.2       96.2       96.2       95.8       95.0       95.0
200/150.........................................................       95.8       95.4       96.5       96.2       96.2       95.8       95.4       95.0
250/186.........................................................       96.2       95.4       96.5       96.2       96.2       96.2       95.4       95.4
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (p) Starting on June 1, 2027, each NEMA Design A motor, NEMA Design 
B motor, and IEC Design N (including NE, NEY, or NY variants) motor that 
is an air-over electric motor meeting the criteria in paragraph (m) of 
this section and with a power rating from 1 horsepower through 20 
horsepower, built in a specialized frame size, but excluding fire pump 
electric motors, manufactured (alone or as a component of another piece 
of equipment) shall have a nominal full-load efficiency of not less than 
the following:

[[Page 25]]



  Table 10 to Paragraph (p)--Nominal Full-Load Efficiencies of NEMA Design A, NEMA Design B and IEC Design N, NE, NEY or NY Specialized Frame Size Air-
                                           Over Electric Motors (Excluding Fire Pump Electric Motors) at 60 Hz
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                             Nominal full-load efficiency (%)
                                                                 ---------------------------------------------------------------------------------------
          Motor horsepower/standard kilowatt equivalent                  2 Pole                4 Pole                6 Pole                8 Pole
                                                                 ---------------------------------------------------------------------------------------
                                                                   Enclosed     Open     Enclosed     Open     Enclosed     Open     Enclosed     Open
--------------------------------------------------------------------------------------------------------------------------------------------------------
1/.75...........................................................       74.0  .........       82.5       82.5       80.0       80.0       74.0       74.0
1.5/1.1.........................................................       82.5       82.5       84.0       84.0       85.5       84.0       77.0       75.5
2/1.5...........................................................       84.0       84.0       84.0       84.0       86.5       85.5       82.5       85.5
3/2.2...........................................................       85.5       84.0       87.5       86.5       87.5       86.5       84.0       86.5
5/3.7...........................................................       87.5       85.5       87.5       87.5       87.5       87.5       85.5       87.5
7.5/5.5.........................................................       88.5       87.5       89.5       88.5       89.5       88.5       85.5       88.5
10/7.5..........................................................       89.5       88.5       89.5       89.5       89.5       90.2
15/11...........................................................       90.2       89.5       91.0       91.0  .........  .........
20/15...........................................................       90.2       90.2       91.0       91.0  .........  .........  .........  .........
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (q) For purposes of determining the required minimum nominal full-
load efficiency of an electric motor that has a horsepower or kilowatt 
rating between two horsepower or two kilowatt ratings listed in any 
table of energy conservation standards in paragraphs (n) through (p) 
through of this section, each such motor shall be deemed to have a 
listed horsepower or kilowatt rating, 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. The 
conversion should be calculated to three significant decimal places, and 
the resulting horsepower shall be rounded in accordance with paragraphs 
(q)(1) or (2) of this section, whichever applies.
    (r) The standards in tables 8 through 10 of this section do not 
apply to the following electric motors exempted by the Secretary, or any 
additional electric motors that the Secretary may exempt:
    (1) Component sets of an electric motor;
    (2) Liquid-cooled electric motors;
    (3) Submersible electric motors; and
    (4) Inverter-only electric motors.

[79 FR 31010, May 29, 2014, as amended at 87 FR 63657, Oct. 19, 2022; 88 
FR 36150, Sept. 29, 2023]



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.  431.31  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

[[Page 26]]

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 
MG1-2009, (incorporated by reference, see Sec.  431.15) as for example 
``NEMA Nom. Eff. ____.'' The Compliance Certification number issued 
pursuant to Sec.  431.36 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.
    (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.

[69 FR 61923, Oct. 21, 2004, as amended at 77 FR 26637, May 4, 2012]



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. 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

[[Page 27]]

    (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 
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 official 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 
electronically at https://www.regulations.doe.gov/ccms. Alternatively, 
the Compliance Certification may be submitted by certified mail to: 
Certification and Compliance Reports, U.S. Department of Energy, Office 
of Energy Efficiency and Renewable Energy, Building Technologies 
Program, 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

[[Page 28]]

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 
be applicable to all of these other motors.

[69 FR 61923, Oct. 21, 2004, as amended at 76 FR 59006, Sept. 23, 2011; 
77 FR 26638, May 4, 2012]



           Sec. Appendix A to Subpart B of Part 431 [Reserved]



   Sec. Appendix B to Subpart B of Part 431--Uniform Test Method for 
               Measuring the Efficiency of Electric Motors

    Note: Manufacturers of electric motors subject to energy 
conservation standards in Sec.  431.25 must test in accordance with this 
appendix.
    For any other electric motor that is not currently covered by the 
energy conservation standards at Sec.  431.25, manufacturers of this 
equipment must test in accordance with this appendix 180 days after the 
effective date of the final rule adopting energy conservation standards 
for such motor. For any other electric motor that is not currently 
covered by the energy conservation standards at Sec.  431.25, 
manufacturers choosing to make any representations respecting of energy 
efficiency for such motors must test in accordance with this appendix.

                      0. Incorporation by Reference

    In Sec.  431.15, DOE incorporated by reference the entire standard 
for CSA C390-10, CSA C747-09, IEC 60034-1:2010, IEC 60034-2-1:2014, IEC 
60051-1:2016, IEC 61800-9-2:2017, IEEE 112-2017, IEEE 114-2010, and NEMA 
MG 1-2016; however, only enumerated provisions of those documents are 
applicable as follows. In cases where there is a conflict, the language 
of this appendix takes precedence over those documents. Any subsequent 
amendment to a referenced document by the standard-setting organization 
will not affect the test procedure in this appendix, unless and until 
the test procedure is amended by DOE.

                            0.1. CSA C390-10

    (a) Section 1.3 ``Scope,'' as specified in sections 2.1.1 and 
2.3.3.2 of this appendix;
    (b) Section 3.1 ``Definitions,'' as specified in sections 2.1.1 and 
2.3.3.2 of this appendix;
    (c) Section 5 ``General test requirements--Measurements,'' as 
specified in sections 2.1.1 and 2.3.3.2 of this appendix;
    (d) Section 7 ``Test method,'' as specified in sections 2.1.1 and 
2.3.3.2 of this appendix;
    (e) Table 1 ``Resistance measurement time delay,'' as specified in 
sections 2.1.1 and 2.3.3.2 of this appendix;
    (f) Annex B ``Linear regression analysis,'' as specified in sections 
2.1.1 and 2.3.3.2 of this appendix; and
    (g) Annex C ``Procedure for correction of dynamometer torque 
readings'' as specified in sections 2.1.1 and 2.3.3.2 of this appendix.

                            0.2. CSA C747-09

    (a) Section 1.6 ``Scope'' as specified in sections 2.3.1.2 and 
2.3.2.2 of this appendix;
    (b) Section 3 ``Definitions'' as specified in sections 2.3.1.2 and 
2.3.2.2 of this appendix;
    (c) Section 5 ``General test requirements'' as specified in sections 
2.3.1.2 and 2.3.2.2 of this appendix; and
    (d) Section 6 ``Test method'' as specified in sections 2.3.1.2 and 
2.3.2.2 of this appendix.

                          0.3. IEC 60034-1:2010

    (a) Section 4.2.1 as specified in section 1.2 of this appendix;
    (b) Section 7.2 as specified in sections 2.1.2, 2.3.1.3, 2.3.2.3, 
and 2.3.3.3 of this appendix;
    (c) Section 8.6.2.3.3 as specified in sections 2.1.2, 2.3.1.3, 
2.3.2.3, and 2.3.3.3 of this appendix; and
    (d) Table 5 as specified in sections 2.1.2, 2.3.1.3, 2.3.2.3, and 
2.3.3.3 of this appendix.

[[Page 29]]

                         0.4. IEC 60034-2-1:2014

    (a) Method 2-1-1A (which also includes paragraphs (b) through (f) of 
this section) as specified in sections 2.3.1.3 and 2.3.2.3 of this 
appendix;
    (b) Method 2-1-1B (which also includes paragraphs (b) through (e), 
(g), and (i) of this section) as specified in sections 2.1.2 and 2.3.3.3 
of this appendix;
    (c) Section 3 ``Terms and definitions'' as specified in sections 
2.1.2, 2.3.1.3, 2.3.2.3, 2.3.3.3, and 2.4.1 of this appendix;
    (d) Section 4 ``Symbols and abbreviations'' as specified in sections 
2.1.2, 2.3.1.3, 2.3.2.3, 2.3.3.3 and 2.4.1 of this appendix;
    (e) Section 5 ``Basic requirements'' as specified in sections 2.1.2, 
2.3.1.3, 2.3.2.3, 2.3.3.3, and 2.4.1 of this appendix;
    (f) Section 6.1.2 ``Method 2-1-1A--Direct measurement of input and 
output'' (except Section 6.1.2.2, ``Test Procedure'') as specified in 
sections 2.3.1.3 and 2.3.2.3 of this appendix;
    (g) Section 6.1.3 ``Method 2-1-1B--Summations of losses, additional 
load losses according to the method of residual losses'' as specified in 
sections 2.1.2 and 2.3.3.3 of this appendix; and
    (h) Section 7.1. ``Preferred Testing Methods'' as specified in 
section 2.4.1 of this appendix;
    (i) Annex D, ``Test report template for 2-1-1B'' as specified in 
sections 2.1.2 and 2.3.3.3 of this appendix.

                          0.5. IEC 60051-1:2016

    (a) Section 5.2 as specified in sections 2.1.2, 2.3.1.3, 2.3.2.3, 
and 2.3.3.3 of this appendix; and
    (b) [Reserved].

                         0.6. IEC 61800-9-2:2017

    (a) Section 3 ``Terms, definitions, symbols, and abbreviated terms'' 
as specified in sections 2.4.2 and 2.4.3 of this appendix;
    (b) Section 7.7.2, ``Input-output measurement of PDS losses'' as 
specified in sections 2.4.2 and 2.4.3 of this appendix;
    (c) Section 7.7.3.1, ``General'' as specified in sections 2.4.2 and 
2.4.3 of this appendix;
    (d) Section 7.7.3.2. ``Power analyser and transducers'' as specified 
in sections 2.4.2 and 2.4.3 of this appendix;
    (e) Section 7.7.3.3, ``Mechanical Output of the motor'' as specified 
in sections 2.4.2 and 2.4.3 of this appendix;
    (f) Section 7.7.3.5, ``PDS loss determination according to input-
output method'' as specified in sections 2.4.2 and 2.4.3 of this 
appendix;
    (g) Section 7.10 ``Testing Conditions for PDS testing'' as specified 
in sections 2.4.2 and 2.4.3 of this appendix.

                           0.7. IEEE 112-2017

    (a) Test Method A (which also includes paragraphs (c) through (g), 
(i), and (j) of this section) as specified in section 2.3.2.1 of this 
appendix;
    (b) Test Method B (which also includes paragraphs (c) through (f), 
(h), (k) and (l) of this section) as specified in sections 2.1.3 and 
2.3.3.1 of this appendix;
    (c) Section 3, ``General'' as specified in sections 2.1.3, 2.3.2.1, 
and 2.3.3.1 of this appendix;
    (d) Section 4, ``Measurements'' as specified in sections 2.1.3, 
2.3.2.1, and 2.3.3.1 of this appendix;
    (e) Section 5, ``Machine losses and tests for losses'' as specified 
in sections 2.1.3, 2.3.2.1, and 2.3.3.1 of this appendix;
    (f) Section 6.1, ``General'' as specified in sections 2.1.3, 
2.3.2.1, and 2.3.3.1 of this appendix;
    (g) Section 6.3, ``Efficiency test method A--Input-output'' as 
specified in section 2.3.2.1 of this appendix;
    (h) Section 6.4, ``Efficiency test method B--Input-output'' as 
specified in sections 2.1.3 and 2.3.3.1 of this appendix;
    (i) Section 9.2, ``Form A--Method A'' as specified in section 
2.3.2.1 of this appendix;
    (j) Section 9.3, ``Form A2--Method A calculations'' as specified in 
section 2.3.2.1 of this appendix;
    (k) Section 9.4, ``Form B--Method B'' as specified in sections 
2.1.3, and 2.3.3.1 of this appendix; and
    (l) Section 9.5, ``Form B2--Method B calculations'' as specified in 
sections 2.1.3 and 2.3.3.1 of this appendix.

                           0.8. IEEE 114-2010

    (a) Section 3.2, ``Test with load'' as specified in section 2.3.1.1 
of this appendix;
    (b) Section 4, ``Testing Facilities as specified in section 2.3.1.1 
of this appendix;
    (c) Section 5, ``Measurements'' as specified in section 2.3.1.1 of 
this appendix;
    (d) Section 6, ``General'' as specified in section 2.3.1.1 of this 
appendix;
    (e) Section 7, ``Type of loss'' as specified in section 2.3.1.1 of 
this appendix;
    (f) Section 8, ``Efficiency and Power Factor'' as specified in 
section 2.3.1.1 of this appendix;
    (g) Section 10 ``Temperature Tests'' as specified in section 2.4.1.1 
of this appendix;
    (h) Annex A, Section A.3 ``Determination of Motor Efficiency'' as 
specified in section 2.4.1.1 of this appendix; and
    (i) Annex A, Section A.4 ``Explanatory notes for form 3, test data'' 
as specified in section 2.4.1.1 of this appendix.

                           0.9. NEMA MG 1-2016

    (a) Paragraph 1.40.1, ``Continuous Rating'' as specified in section 
1.2 of this appendix;
    (b) Paragraph 12.58.1, ``Determination of Motor Efficiency and 
Losses'' as specified in the introductory paragraph to section 2.1 of 
this appendix, and

[[Page 30]]

    (c) Paragraph 34.1, ``Applicable Motor Efficiency Test Methods'' as 
specified in section 2.2 of this appendix;
    (d) Paragraph 34.2.2 ``AO Temperature Test Procedure 2--Target 
Temperature with Airflow'' as specified in section 2.2 of this appendix;
    (e) Paragraph 34.4, ``AO Temperature Test Procedure 2--Target 
Temperature with Airflow'' as specified in section 2.2 of this appendix.

                        1. Scope and Definitions

    1.1 Scope. The test procedure applies to the following categories of 
electric motors: Electric motors that meet the criteria listed at Sec.  
431.25(g); Electric motors above 500 horsepower; Small, non-small-
electric-motor electric motor; and Electric motors that are synchronous 
motors; and excludes the following categories of motors: inverter-only 
electric motors that are air-over electric motors, component sets of an 
electric motor, liquid-cooled electric motors, and submersible electric 
motors.
    1.2 Definitions. Definitions contained in Sec. Sec.  431.2 and 
431.12 are applicable to this appendix, in addition to the following 
terms (``MG1'' refers to NEMA MG 1-2016 and IEC refers to IEC 60034-
1:2010 and IEC 60072-1):
    Electric motors above 500 horsepower is defined as an electric motor 
having a rated horsepower above 500 and up to 750 hp that meets the 
criteria listed at Sec.  431.25(g), with the exception of criteria Sec.  
431.25(g)(8).
    Small, non-small-electric-motor electric motor (``SNEM'') means an 
electric motor that:
    (a) Is not a small electric motor, as defined Sec.  431.442 and is 
not a dedicated-purpose pool pump motor as defined at Sec.  431.483;
    (b) Is rated for continuous duty (MG 1) operation or for duty type 
S1 (IEC);
    (c) Operates on polyphase or single-phase alternating current 60-
hertz (Hz) sinusoidal line power; or is used with an inverter that 
operates on polyphase or single-phase alternating current 60-hertz (Hz) 
sinusoidal line power;
    (d) Is rated for 600 volts or less;
    (e) Is a single-speed induction motor capable of operating without 
an inverter or is an inverter-only electric motor;
    (f) Produces a rated motor horsepower greater than or equal to 0.25 
horsepower (0.18 kW); and
    (g) Is built in the following frame sizes: any two-, or three-digit 
NEMA frame size (or IEC metric equivalent) if the motor operates on 
single-phase power; any two-, or three-digit NEMA frame size (or IEC 
metric equivalent) if the motor operates on polyphase power, and has a 
rated motor horsepower less than 1 horsepower (0.75 kW); or a two-digit 
NEMA frame size (or IEC metric equivalent), if the motor operates on 
polyphase power, has a rated motor horsepower equal to or greater than 1 
horsepower (0.75 kW), and is not an enclosed 56 NEMA frame size (or IEC 
metric equivalent).
    Synchronous Electric Motor means an electric motor that:
    (a) Is not a dedicated-purpose pool pump motor as defined at Sec.  
431.483 or is not an air-over electric motor;
    (b) Is a synchronous electric motor;
    (c) Is rated for continuous duty (MG 1) operation or for duty type 
S1 (IEC);
    (d) Operates on polyphase or single-phase alternating current 60-
hertz (Hz) sinusoidal line power; or is used with an inverter that 
operates on polyphase or single-phase alternating current 60-hertz (Hz) 
sinusoidal line power;
    (e) Is rated 600 volts or less;
    (f) Produces at least 0.25 hp (0.18 kW) but not greater than 750 hp 
(559 kW).

                           2. Test Procedures

    2.1. Test Procedures for Electric Motors that meet the criteria 
listed at Sec.  431.25(g), and electric motors above 500 horsepower that 
are capable of operating without an inverter. Air-over electric motors 
must be tested in accordance with Section 2.2. Inverter-only electric 
motors must be tested in accordance with 2.4.
    Efficiency and losses must be determined in accordance with NEMA MG 
1-2016, Paragraph 12.58.1, ``Determination of Motor Efficiency and 
Losses,'' or one of the following testing methods:
    2.1.1. CSA C390-10 (see section 0.1 of this appendix)
    2.1.2. IEC 60034-2-1:2014, Method 2-1-1B (see section 0.4(b) of this 
appendix). The supply voltage shall be in accordance with Section 7.2 of 
IEC 60034-1:2010. The measured resistance at the end of the thermal test 
shall be determined in a similar way to the extrapolation procedure 
described in Section 8.6.2.3.3 of IEC 60034-1:2010, using the shortest 
possible time instead of the time interval specified in Table 5 to IEC 
60034-1:2010, and extrapolating to zero. The measuring instruments for 
electrical quantities shall have the equivalent of an accuracy class of 
0,2 in case of a direct test and 0,5 in case of an indirect test in 
accordance with Section 5.2 of IEC 60051-1:2016, or
    2.1.3. IEEE 112-2017, Test Method B (see section 0.7(b) of this 
appendix).
    2.2. Test Procedures for Air-Over Electric Motors
    Except noted otherwise in section 2.2.1 and 2.2.2 of this appendix, 
efficiency and losses of air-over electric motors must be determined in 
accordance with NEMA MG 1-2016 (excluding Paragraph 12.58.1).
    2.2.1. The provisions in Paragraph 34.4.1.a.1 of NEMA MG 1-2016 
related to the determination of the target temperature for polyphase 
motors must be replaced by a single target temperature of 75 [deg]C for 
all insulation classes.

[[Page 31]]

    2.2.2. The industry standards listed in Paragraph 34.1 of NEMA MG 1-
2016, ``Applicable Motor Efficiency Test Methods'' must correspond to 
the versions identified in section 0 of this appendix, specifically IEEE 
112-2017, IEEE 114-2010, CSA C390-10, CSA C747-09, and IEC 60034-2-
1:2014. In addition, when testing in accordance with IEC 60034-2-1:2014, 
the additional testing instructions in section 2.1.2 of this appendix 
apply.
    2.3. Test Procedures for SNEMs capable of operating without an 
inverter. Air-over SNEMs must be tested in accordance with section 2.2. 
of this appendix. Inverter-only SNEMs must be tested in accordance with 
section 2.4. of this appendix.
    2.3.1. The efficiencies and losses of single-phase SNEMs that are 
not air-over electric motors and are capable of operating without an 
inverter, are determined using one of the following methods:
    2.3.1.1. IEEE 114-2010 (see section 0.8 of this appendix);
    2.3.1.2. CSA C747-09 (see section 0.2 of this appendix), or
    2.3.1.3. IEC 60034-2-1:2014 Method 2-1-1A (see section 0.4(a) of 
this appendix),. The supply voltage shall be in accordance with Section 
7.2 of IEC 60034-1:2010. The measured resistance at the end of the 
thermal test shall be determined in a similar way to the extrapolation 
procedure described in Section 8.6.2.3.3 of IEC 60034-1:2010, using the 
shortest possible time instead of the time interval specified in Table 5 
of IEC 60034-1:2010, and extrapolating to zero. The measuring 
instruments for electrical quantities shall have the equivalent of an 
accuracy class of 0,2 in case of a direct test and 0,5 in case of an 
indirect test in accordance with Section 5.2 of IEC 60051-1:2016.
    2.3.1.3.1. Additional IEC 60034-2-1:2014 Method 2-1-1A Torque 
Measurement Instructions. If using IEC 60034-2-1:2014 Method 2-1-1A to 
measure motor performance, follow the instructions in section 2.3.1.3.2. 
of this appendix, instead of Section 6.1.2.2 of IEC 60034-2-1:2014;
    2.3.1.3.2. Couple the machine under test to a load machine. Measure 
torque using an in-line, shaft-coupled, rotating torque transducer or 
stationary, stator reaction torque transducer. Operate the machine under 
test at the rated load until thermal equilibrium is achieved (rate of 
change 1 K or less per half hour). Record U, I, Pel, n, T, [thgr]c.
    2.3.2. The efficiencies and losses of polyphase electric motors 
considered with rated horsepower less than 1 that are not air-over 
electric motors, and are capable of operating without an inverter, are 
determined using one of the following methods:
    2.3.2.1. IEEE 112-2017 Test Method A (see section 0.7(a) of this 
appendix);
    2.3.2.2. CSA C747-09 (see section 0.2 of this appendix); or
    2.3.2.3. IEC 60034-2-1:2014 Method 2-1-1A (see section 0.4(a) of 
this appendix). The supply voltage shall be in accordance with Section 
7.2 of IEC 60034-1:2010. The measured resistance at the end of the 
thermal test shall be determined in a similar way to the extrapolation 
procedure described in Section 8.6.2.3.3 of IEC 60034-1:2010 using the 
shortest possible time instead of the time interval specified in Table 5 
of IEC 60034-1:2010, and extrapolating to zero. The measuring 
instruments for electrical quantities shall have the equivalent of an 
accuracy class of 0,2 in case of a direct test and 0,5 in case of an 
indirect test in accordance with Section 5.2 of IEC 60051-1:2016.
    2.3.2.3.1. Additional IEC 60034-2-1:2014 Method 2-1-1A Torque 
Measurement Instructions. If using IEC 60034-2-1:2014 Method 2-1-1A to 
measure motor performance, follow the instructions in section 2.3.2.3.2. 
of this appendix, instead of Section 6.1.2.2 of IEC 60034-2-1:2014;
    2.3.2.3.2. Couple the machine under test to load machine. Measure 
torque using an in-line shaft-coupled, rotating torque transducer or 
stationary, stator reaction torque transducer. Operate the machine under 
test at the rated load until thermal equilibrium is achieved (rate of 
change 1 K or less per half hour). Record U, I, Pel, n, T, [thgr]c.
    2.3.3. The efficiencies and losses of polyphase SNEMs with rated 
horsepower equal to or greater than 1 that are not air-over electric 
motors, and are capable of operating without an inverter, are determined 
using one of the following methods:
    2.3.3.1. IEEE 112-2017 Test Method B (see section 0.7(b) of this 
appendix);
    2.3.3.2. CSA C390-10 (see section 0.1 of this appendix); or
    2.3.3.3. IEC 60034-2-1:2014 Method 2-1-1B (see section 0.4(b) of 
this appendix). The supply voltage shall be in accordance with Section 
7.2 of IEC 60034-1:2010. The measured resistance at the end of the 
thermal test shall be determined in a similar way to the extrapolation 
procedure described in Section 8.6.2.3.3 of IEC 60034-1:2010 using the 
shortest possible time instead of the time interval specified in Table 5 
of IEC 60034-1:2010, and extrapolating to zero. The measuring 
instruments for electrical quantities shall have the equivalent of an 
accuracy class of 0,2 in case of a direct test and 0,5 in case of an 
indirect test in accordance with Section 5.2 of IEC 60051-1:2016.
    2.4. Test Procedures for Electric Motors that are Synchronous Motors 
and Inverter-only Electric Motors
    Section 2.4.1 of this appendix applies to electric motors that are 
synchronous motors that do not require an inverter to operate. Sections 
2.4.2. and 2.4.3. of this appendix apply to electric motors that are 
synchronous motors and are inverter-only; and

[[Page 32]]

to induction electric motors that are inverter-only electric motors.
    2.4.1. The efficiencies and losses of electric motors that are 
synchronous motors that do not require an inverter to operate, are 
determined in accordance with IEC 60034-2-1:2014, Section 3 ``Terms and 
definitions,'' Section 4 ``Symbols and abbreviations,'' Section 5 
``Basic requirements,'' and Section 7.1. ``Preferred Testing Methods.''
    2.4.2. The efficiencies and losses of electric motors (inclusive of 
the inverter) that are that are inverter-only and do not include an 
inverter, are determined in accordance with IEC 61800-9-2:2017. Test 
must be conducted using an inverter that is listed as recommended in the 
manufacturer's catalog or that is offered for sale with the electric 
motor. If more than one inverter is available in manufacturer's catalogs 
or if more than one inverter is offered for sale with the electric 
motor, test using the least efficient inverter. Record the manufacturer, 
brand and model number of the inverter used for the test. If there are 
no inverters specified in the manufacturer catalogs or offered for sale 
with the electric motor, testing must be conducted using an inverter 
that meets the criteria described in section 2.4.2.2. of this appendix.
    2.4.2.1. The inverter shall be set up according to the 
manufacturer's instructional and operational manual included with the 
product. Manufacturers shall also record switching frequency in Hz, max 
frequency in Hz, Max output voltage in V, motor control method (i.e., V/
f ratio, sensor less vector, etc.), load profile setting (constant 
torque, variable torque, etc.), and saving energy mode (if used). 
Deviation from the resulting settings, such as switching frequency or 
load torque curves for the purpose of optimizing test results shall not 
be permitted.
    2.4.2.2. If there are no inverters specified in the manufacturer 
catalogs or offered for sale with the electric motor, test with a two-
level voltage source inverter. No additional components influencing 
output voltage or output current shall be installed between the inverter 
and the motor, except those required for the measuring instruments. For 
motors with a rated speed up to 3 600 min-1, the switching frequency 
shall not be higher than 5 kHz. For motors with a rated speed above 3 
600 min-1, the switching frequency shall not be higher than 10 kHz. 
Record the manufacturer, brand and model number of the inverter used for 
the test.
    2.4.3. The efficiencies and losses of electric motors (inclusive of 
the inverter) that are inverter-only and include an inverter are 
determined in accordance with IEC 61800-9-2:2017.
    2.4.3.1. The inverter shall be set up according to the 
manufacturer's instructional and operational manual included with the 
product. Manufacturers shall also record switching frequency in Hz, max 
frequency in Hz, Max output voltage in V, motor control method (i.e., V/
f ratio, sensor less vector, etc.), load profile setting (constant 
torque, variable torque, etc.), and saving energy mode (if used). 
Deviation from the resulting settings, such as switching frequency or 
load torque curves for the purpose of optimizing test results shall not 
be permitted.

   3. Procedures for the Testing of Certain Electric Motor Categories

    Prior to testing according to section 2 of this appendix, each basic 
model of the electric motor categories listed below must be set up in 
accordance with the instructions of this section to ensure consistent 
test results. These steps are designed to enable a motor to be attached 
to a dynamometer and run continuously for testing purposes. For the 
purposes of this appendix, a ``standard bearing'' is a 600- or 6000-
series, either open or grease-lubricated double-shielded, single-row, 
deep groove, radial ball bearing.
    3.1. Brake Electric Motors:
    Brake electric motors shall be tested with the brake component 
powered separately from the motor such that it does not activate during 
testing. Additionally, for any 10-minute period during the test and 
while the brake is being powered such that it remains disengaged from 
the motor shaft, record the power consumed (i.e., watts). Only power 
used to drive the motor is to be included in the efficiency calculation; 
power supplied to prevent the brake from engaging is not included in 
this calculation. In lieu of powering the brake separately, the brake 
may be disengaged mechanically, if such a mechanism exists and if the 
use of this mechanism does not yield a different efficiency value than 
separately powering the brake electrically.
    3.2. Close-Coupled Pump Electric Motors and Electric Motors with 
Single or Double Shaft Extensions of Non-Standard Dimensions or Design:
    To attach the unit under test to a dynamometer, close-coupled pump 
electric motors and electric motors with single or double shaft 
extensions of non-standard dimensions or design must be tested using a 
special coupling adapter.
    3.3. Electric Motors with Non-Standard Endshields or Flanges:
    If it is not possible to connect the electric motor to a dynamometer 
with the non-standard endshield or flange in place, the testing 
laboratory shall replace the non-standard endshield or flange with an 
endshield or flange meeting NEMA or IEC specifications. The replacement 
component should be obtained from the manufacturer or, if the 
manufacturer chooses, machined by the testing laboratory after 
consulting with the manufacturer regarding the critical characteristics 
of the endshield.

[[Page 33]]

    3.4. Electric Motors with Non-Standard Bases, Feet or Mounting 
Configurations:
    An electric motor with a non-standard base, feet, or mounting 
configuration may be mounted on the test equipment using adaptive 
fixtures for testing as long as the mounting or use of adaptive mounting 
fixtures does not have an adverse impact on the performance of the 
electric motor, particularly on the cooling of the motor.
    3.5. Electric Motors with a Separately-Powered Blower:
    For electric motors furnished with a separately-powered blower, the 
losses from the blower's motor should not be included in any efficiency 
calculation. This can be done either by powering the blower's motor by a 
source separate from the source powering the electric motor under test 
or by connecting leads such that they only measure the power of the 
motor under test.
    3.6. Immersible Electric Motors:
    Immersible electric motors shall be tested with all contact seals 
removed but be otherwise unmodified.
    3.7. Partial Electric Motors:
    Partial electric motors shall be disconnected from their mated piece 
of equipment. After disconnection from the equipment, standard bearings 
and/or endshields shall be added to the motor, such that it is capable 
of operation. If an endshield is necessary, an endshield meeting NEMA or 
IEC specifications should be obtained from the manufacturer or, if the 
manufacturer chooses, machined by the testing laboratory after 
consulting with the manufacturer regarding the critical characteristics 
of the endshield.
    3.8. Vertical Electric Motors and Electric Motors with Bearings 
Incapable of Horizontal Operation:
    Vertical electric motors and electric motors with thrust bearings 
shall be tested in a horizontal or vertical configuration in accordance 
with the applicable test procedure under section 2 through section 
2.4.3. of this appendix, depending on the testing facility's 
capabilities and construction of the motor, except if the motor is a 
vertical solid shaft normal thrust general purpose electric motor 
(subtype II), in which case it shall be tested in a horizontal 
configuration in accordance with the applicable test procedure under 
section 2 through section 2.4.3. of this appendix. Preference shall be 
given to testing a motor in its native orientation. If the unit under 
test cannot be reoriented horizontally due to its bearing construction, 
the electric motor's bearing(s) shall be removed and replaced with 
standard bearings. If the unit under test contains oil-lubricated 
bearings, its bearings shall be removed and replaced with standard 
bearings. If necessary, the unit under test may be connected to the 
dynamometer using a coupling of torsional rigidity greater than or equal 
to that of the motor shaft.

[87 FR 63657, Oct. 19, 2022]



   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-
                    1400. Expires February 13, 2014)

    An electronic form is available at https://www.regulations.doe.gov/
ccms/.
    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 electronically at https://www.regulations.doe.gov/ccms.
    Submit paper form 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

[[Page 34]]

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 
combinations of an electric motor's horsepower (or standard kilowatt 
equivalent), number of poles, motor type, 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:_______________________________________________________

    Third Party Organization Officially Acting as Representative:

Third Party Organization:_______________________________________________

Responsible Person at the 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 of Certification of Compliance With Energy Efficiency 
                Standards for Electric Motor Efficiencies

Date:___________________________________________________________________

Name of Company:________________________________________________________

    Motor Type (i.e., general purpose electric motor (subtype I), fire 
pump electric motor, general purpose electric motor (subtype II), NEMA 
Design B general purpose electric motor)

________________________________________________________________________


----------------------------------------------------------------------------------------------------------------
                                   Least efficient basic model--(model numbers(s)) Nominal full-load efficiency
                                 -------------------------------------------------------------------------------
    Motor horsepower/standard          Open motors (number of poles)         Enclosed motors (number of poles)
       kilowatt equivalent       -------------------------------------------------------------------------------
                                      8         6         4         2         8         6         4         2
----------------------------------------------------------------------------------------------------------------
1/.75...........................   ______    ______    ______    ______    ______    ______    ______    ______
                                 -------------------------------------------------------------------------------
                                   ______    ______    ______    ______    ______    ______    ______    ______
----------------------------------------------------------------------------------------------------------------
1.5/1.1.........................   ______    ______    ______    ______    ______    ______    ______    ______
                                 -------------------------------------------------------------------------------
                                   ______    ______    ______    ______    ______    ______    ______    ______
----------------------------------------------------------------------------------------------------------------
2/1.5...........................   ______    ______    ______    ______    ______    ______    ______    ______
                                 -------------------------------------------------------------------------------
                                   ______    ______    ______    ______    ______    ______    ______    ______
----------------------------------------------------------------------------------------------------------------
3/2.2...........................   ______    ______    ______    ______    ______    ______    ______    ______
                                 -------------------------------------------------------------------------------
                                   ______    ______    ______    ______    ______    ______    ______    ______
----------------------------------------------------------------------------------------------------------------
5/3.7...........................   ______    ______    ______    ______    ______    ______    ______    ______
                                 -------------------------------------------------------------------------------

[[Page 35]]

 
                                   ______    ______    ______    ______    ______    ______    ______    ______
----------------------------------------------------------------------------------------------------------------
                                   ______    ______    ______    ______    ______    ______    ______    ______
                                 -------------------------------------------------------------------------------
                                   ______    ______    ______    ______    ______    ______    ______    ______
----------------------------------------------------------------------------------------------------------------
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 combinations of an electric motor's 
horsepower (or standard kilowatt equivalent), number of poles, motor 
type, 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
----------------------------------------------------------------------------------------------------------------
                                   Least efficient basic model--(model numbers(s)) Nominal full-load efficiency
                                 -------------------------------------------------------------------------------
    Motor horsepower/standard          Open motors (number of poles)         Enclosed motors (number of poles)
       kilowatt equivalent       -------------------------------------------------------------------------------
                                      8         6         4         2         8         6         4         2
----------------------------------------------------------------------------------------------------------------
______..........................   ______    ______    ______    ______    ______    ______    ______    ______
                                 -------------------------------------------------------------------------------
                                   ______    ______    ______    ______    ______    ______    ______    ______
----------------------------------------------------------------------------------------------------------------
______..........................   ______    ______    ______    ______    ______    ______    ______    ______
                                 -------------------------------------------------------------------------------
                                   ______    ______    ______    ______    ______    ______    ______    ______
----------------------------------------------------------------------------------------------------------------
______..........................   ______    ______    ______    ______    ______    ______    ______    ______
                                 -------------------------------------------------------------------------------
                                   ______    ______    ______    ______    ______    ______    ______    ______
----------------------------------------------------------------------------------------------------------------
______..........................   ______    ______    ______    ______    ______    ______    ______    ______
                                 -------------------------------------------------------------------------------
                                   ______    ______    ______    ______    ______    ______    ______    ______
----------------------------------------------------------------------------------------------------------------
______..........................   ______    ______    ______    ______    ______    ______    ______    ______
                                 -------------------------------------------------------------------------------
                                   ______    ______    ______    ______    ______    ______    ______    ______
----------------------------------------------------------------------------------------------------------------
______..........................   ______    ______    ______    ______    ______    ______    ______    ______
                                 -------------------------------------------------------------------------------
                                   ______    ______    ______    ______    ______    ______    ______    ______
----------------------------------------------------------------------------------------------------------------
Etc.............................   ______    ______    ______    ______    ______    ______    ______    ______
                                 -------------------------------------------------------------------------------
                                   ______    ______    ______    ______    ______    ______    ______    ______
----------------------------------------------------------------------------------------------------------------


[69 FR 61923, Oct. 21, 2004, as amended at 76 FR 59006, Sept. 23, 2011]

[[Page 36]]



 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.



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 all commercial refrigeration equipment 
manufactured by one manufacturer within a single equipment class, having 
the same primary energy source, and that have essentially identical 
electrical, physical, and functional characteristics that affect energy 
consumption.
    Blast chiller means commercial refrigeration equipment, other than a 
blast freezer, that is capable of the rapid temperature pull-down of hot 
food products from 135 [deg]F to 40 [deg]F within a period of four 
hours, when measured according to the test procedure at appendix D to 
subpart C of part 431.
    Blast freezer means commercial refrigeration equipment that is 
capable of the rapid temperature pull-down of hot food products from 135 
[deg]F to 40 [deg]F within a period of four hours and capable of 
achieving a final product temperature of less than 32 [deg]F, when 
measured according to the test procedure at appendix D to subpart C of 
this part.
    Buffet table or preparation table means a commercial refrigerator 
with an open-top refrigerated area, that may or may not include a lid, 
for displaying or storing merchandise and other perishable materials in 
pans or other removable containers for customer self-service or food 
production and assembly. The unit may or may not be equipped with a 
refrigerated storage compartment underneath the pans or other removable 
containers that is not thermally separated from the open-top 
refrigerated area.
    Chef base or griddle stand means commercial refrigeration equipment 
that has a maximum height of 32 in., including any legs or casters, and 
that is designed and marketed for the express purpose of having a 
griddle or other cooking appliance placed on top of it that is capable 
of reaching temperatures hot enough to cook food.
    Closed solid means equipment with doors, and in which more than 75 
percent of the outer surface area of all doors on a unit are not 
transparent.
    Closed transparent means equipment with doors, and in which 25 
percent or more of the outer surface area of all doors on the unit are 
transparent.
    Commercial freezer means a unit of commercial refrigeration 
equipment in which all refrigerated compartments in the unit are capable 
of operating below 32 [deg]F (2 [deg]F).
    Commercial hybrid means a unit of commercial refrigeration 
equipment:
    (1) That consists of two or more thermally separated refrigerated 
compartments that are in two or more different equipment families, and
    (2) That is sold as a single unit.
    Commercial refrigerator means a unit of commercial refrigeration 
equipment in which all refrigerated compartments in the unit are capable 
of operating at or above 32 [deg]F (2 [deg]F).
    Commercial refrigerator-freezer means a unit of commercial 
refrigeration equipment consisting of two or more refrigerated 
compartments where at least one refrigerated compartment is capable of 
operating at or above 32 [deg]F (2 [deg]F) and at 
least one refrigerated compartment is capable of operating below 32 
[deg]F (2 [deg]F).

[[Page 37]]

    Commercial refrigerator, freezer, and refrigerator-freezer means 
refrigeration equipment that--
    (1) Is not a consumer product (as defined in Sec.  430.2 of this 
chapter);
    (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.
    Customer order storage cabinet means a commercial refrigerator, 
freezer, or refrigerator-freezer that stores customer orders and 
includes individual, secured compartments with doors that are accessible 
to customers for order retrieval.
    Door means a movable panel that separates the interior volume of a 
unit of commercial refrigeration equipment from the ambient environment 
and is designed to facilitate access to the refrigerated space for the 
purpose of loading and unloading product. This includes hinged doors, 
sliding doors, and drawers. This does not include night curtains.
    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.
    Fully open (for drawers) means opened not less than 80% of their 
full travel.
    High-temperature refrigerator means a commercial refrigerator that 
is not capable of an operating temperature at or below 40.0 [deg]F.
    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:
    (1) Prior to the compliance date(s) of any amended energy 
conservation standard(s) issued after January 1, 2023 for ice-cream 
freezers (see Sec.  431.66), a commercial freezer that is capable of an 
operating temperature at or below -5.0 [deg]F and that the manufacturer 
designs, markets, or intends specifically for the storing, displaying, 
or dispensing of ice cream or other frozen desserts; or
    (2) Upon the compliance date(s) of any amended energy conservation 
standard(s) issued after January 1, 2023 for ice-cream freezers (see 
Sec.  431.66), a commercial freezer that is capable of an operating 
temperature at or below -13.0 [deg]F and that the manufacturer designs, 
markets, or intends specifically for the storing, displaying, or 
dispensing of ice cream or other frozen desserts.
    Integrated average temperature means the average temperature of all 
test package measurements taken during the test.
    Lighting occupancy sensor means a device which uses passive 
infrared, ultrasonic, or other motion-sensing technology to 
automatically turn off or dim lights within the equipment when no motion 
is detected in the sensor's coverage area for a certain preset period of 
time.
    Lowest application product temperature means the integrated average 
temperature (or for buffet tables or preparation tables, the average pan 
temperature of all measurements taken during the test) at which a given 
basic model is capable of consistently operating that is closest to the 
integrated average temperature (or for buffet tables or preparation 
tables, the average pan

[[Page 38]]

temperature of all measurements taken during the test) specified for 
testing under the DOE test procedure (see Sec.  431.64).
    Low-temperature freezer means a commercial freezer that is not an 
ice-cream freezer.
    Medium-temperature refrigerator means a commercial refrigerator that 
is capable of an operating temperature at or below 40.0 [deg]F.
    Mobile refrigerated cabinet means commercial refrigeration equipment 
that is designed and marketed to operate only without a continuous power 
supply.
    Night curtain means a device which is temporarily deployed to 
decrease air exchange and heat transfer between the refrigerated case 
and the surrounding environment.
    Operating temperature means the range of integrated average 
temperatures at which a self-contained commercial refrigeration unit or 
remote-condensing commercial refrigeration unit with a thermostat is 
capable of operating or, in the case of a remote-condensing commercial 
refrigeration unit without a thermostat, the range of integrated average 
temperatures at which the unit is marketed, designed, or intended to 
operate.
    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.
    Rating temperature means the integrated average temperature a unit 
must maintain during testing (i.e., either as listed in the table at 
Sec.  431.66(d)(1) or the lowest application product temperature).
    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 equipment and 
consists of one or more refrigerant compressors, refrigerant condensers, 
condenser fans and motors, and factory supplied accessories.
    Scheduled lighting control means a device which automatically shuts 
off or dims the lighting in a display case at scheduled times throughout 
the day.
    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 one 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.
    Service over counter means equipment that has sliding or hinged 
doors in the back intended for use by sales personnel, with glass or 
other transparent material in the front for displaying merchandise, and 
that has a height not greater than 66 in. and is intended to serve as a 
counter for transactions between sales personnel and customers.
    Test package means a packaged material that is used as a standard 
product temperature-measuring device.
    Transparent means greater than or equal to 45 percent light 
transmittance, as determined in accordance with ASTM E1084-86 
(Reapproved 2009) (incorporated by reference, see Sec.  431.63) at 
normal incidence and in the intended direction of viewing.
    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.

[88 FR 66222, Sept. 26, 2023]

                             Test Procedures



Sec.  431.63  Materials incorporated by reference.

    (a) Certain material is incorporated by reference into this subpart 
with the approval of the Director of the Federal Register in accordance 
with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other 
than that specified in this section, the DOE must publish a document in 
the Federal Register and the material must be available to

[[Page 39]]

the public. All approved incorporation by reference (IBR) material is 
available for inspection at DOE and at the National Archives and Records 
Administration (NARA). Contact DOE at: the U.S. Department of Energy, 
Office of Energy Efficiency and Renewable Energy, Building Technologies 
Program, 1000 Independence Avenue SW, EE-5B, Washington, DC 20024, 
(202)-586-9127, [email protected], www.energy.gov/eere/buildings/
building-technologies-office. For information on the availability of 
this material at NARA, visit www.archives.gov/federal-register/cfr/ibr-
locations.html or email: [email protected]. The material may be 
obtained from the sources in the following paragraphs of this section:
    (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 and appendices A and B to 
subpart C to part 431.
    (2) AHAM HRF-1-2008 (``HRF-1-2008''), Association of Home Appliance 
Manufacturers, Energy and Internal Volume of Refrigerating Appliances 
(2008) including Errata to Energy and Internal Volume of Refrigerating 
Appliances, Correction Sheet issued November 17, 2009, IBR approved for 
Sec.  431.64 and appendices A and B to subpart C to part 431.
    (c) AHRI. Air-Conditioning, Heating, and Refrigeration Institute, 
2111 Wilson Blvd., Suite 500, Arlington, VA 22201; (703) 524-8800; 
[email protected]; www.ahrinet.org/.
    (1) ARI Standard 1200-2006, Performance Rating of Commercial 
Refrigerated Display Merchandisers and Storage Cabinets, 2006; IBR 
approved for Sec.  431.66.
    (2) AHRI Standard 1200 (I-P)-2010 (``AHRI Standard 1200 (I-P)-
2010''), 2010 Standard for Performance Rating of Commercial Refrigerated 
Display Merchandisers and Storage Cabinets, 2010; IBR approved for Sec.  
431.66.
    (3) AHRI Standard 1200-2023 (I-P) (``AHRI 1200-2023''), 2023 
Standard for Performance Rating of Commercial Refrigerated Display 
Merchandisers and Storage Cabinets, copyright 2023; IBR approved for 
appendices B, C, and D to this subpart.
    (4) AHRI Standard 1320-2011 (I-P), (``AHRI 1320-2011'') 2011 
Standard for Performance Rating of Commercial Refrigerated Display 
Merchandisers and Storage Cabinets for Use With Secondary Refrigerants, 
copyright 2011; IBR approved for appendix B to this subpart.
    (d) ASHRAE. The American Society of Heating, Refrigerating, and Air-
Conditioning Engineers, Inc., 1971 Tullie Circle NE, Atlanta, GA 30329; 
(404) 636-8400; [email protected]; www.ashrae.org/.
    (1) ANSI/ASHRAE Standard 72-2022 (ASHRAE 72-2022), Method of Testing 
Open and Closed Commercial Refrigerators and Freezers, approved June 30, 
2022; IBR approved for appendices B, C, and D to this subpart.
    (2) Errata sheet for ANSI/ASHRAE Standard 72-2022 (ASHRAE 72-2022 
Errata), Method of Testing Open and Closed Commercial Refrigerators and 
Freezers, November 11, 2022; IBR approved for appendices B, C, and D to 
this subpart.
    (e) ASTM. ASTM International, 100 Barr Harbor Drive, P.O. Box C700, 
West Conshohocken, PA 19428; (877) 909-2786; www.astm.org/.
    (1) ASTM E1084-86 (Reapproved 2009), Standard Test Method for Solar 
Transmittance (Terrestrial) of Sheet Materials Using Sunlight, approved 
April 1, 2009; IBR approved for Sec.  431.62.
    (2) ASTM F2143-16, Standard Test Method for Performance of 
Refrigerated Buffet and Preparation Tables, approved May 1, 2016; IBR 
approved for appendix C to this subpart.

[74 FR 1139, Jan. 9, 2009, as amended at 77 FR 10318, Feb. 21, 2012; 78 
FR 62993, Oct. 23, 2013; 79 FR 22308, Apr. 21, 2014; 88 FR 66224, Sept. 
26, 2023]



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 energy consumption or energy efficiency for a 
given equipment category of commercial refrigerators, freezers, and 
refrigerator-freezers.
    (b) Testing and calculations. (1) Determine the daily energy 
consumption and

[[Page 40]]

volume or total display area of each covered commercial refrigerator, 
freezer, or refrigerator-freezer by conducting the appropriate test 
procedure set forth below in appendix B, to this subpart. The daily 
energy consumption of commercial refrigeration equipment shall be 
calculated using raw measured values and the final test results shall be 
reported in increments of 0.01 kWh/day.
    (2) Determine the daily energy consumption and pan storage volume, 
pan display area, and refrigerated volume of each buffet table or 
preparation table by conducting the appropriate test procedure set forth 
below in appendix C to this subpart. The daily energy consumption shall 
be calculated using raw measured values and the final test results shall 
be recorded in increments of 0.01 kWh/day.
    (3) Determine the energy consumption per weight of product and 
product capacity of each blast chiller and blast freezer by conducting 
the appropriate test procedure set forth below in appendix D to this 
subpart. The energy consumption per weight of product shall be 
calculated using raw measured values and the final test results shall be 
recorded in increments of 0.01 kWh/lb.

[88 FR 66225, Sept. 26, 2023]

                      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).
    (3) For the purpose of paragraph (d) of this section, the term 
``TDA'' means the total display area (ft\2\) of the case, as defined in 
ARI Standard 1200-2006, appendix D (incorporated by reference, see Sec.  
431.63). For the purpose of paragraph (e) of this section, the term 
``TDA'' means the total display area (ft\2\) of the case, as defined in 
AHRI Standard 1200 (I-P)-2010, appendix D (incorporated by reference, 
see Sec.  431.63).
    (b)(1) 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 and 
before March 27, 2017 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.
------------------------------------------------------------------------

    (2) Each service over the counter, self-contained, medium 
temperature commercial refrigerator (SOC-SC-M) manufactured on or after 
January 1, 2012, shall have a total daily energy consumption (in 
kilowatt hours per day) of not more than 0.6 x TDA + 1.0. As used in the 
preceding sentence, ``TDA'' means the total display area (ft\2\) of the 
case, as defined in the AHRI Standard 1200 (I-P)-2010, appendix D 
(incorporated by reference, see Sec.  431.63).
    (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 and before March 27, 2017 
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 and before March 27, 2017 shall have a daily energy consumption 
(in kilowatt-hours per day) that does not exceed the levels specified:

[[Page 41]]

    (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)  =32=32=32=32=32=32=32=32=32=32=32=32
 Freezers.
                                                                                        0 (L)         <32  VOP.RC.L..........  2.2 x TDA + 6.85.
                                                             Semivertical Open         38 (M)  =32
                                                                                        0 (L)         <32  SVO.RC.L..........  2.2 x TDA + 6.85.
                                                             Horizontal Open (HZO).    38 (M)  =32
                                                                                        0 (L)         <32  HZO.RC.L..........  0.55 x TDA + 6.88.
                                                             Vertical Closed           38 (M)  =32
                                                                                        0 (L)         <32  VCT.RC.L..........  0.49 x TDA + 2.61.
                                                             Horizontal Closed         38 (M)  =32
                                                                                        0 (L)         <32  HCT.RC.L..........  0.34 x TDA + 0.26.
                                                             Vertical Closed Solid     38 (M)  =32
                                                                                        0 (L)         <32  VCS.RC.L..........  0.21 x V + 0.54.
                                                             Horizontal Closed         38 (M)  =32
                                                                                        0 (L)         <32  HCS.RC.L..........  0.21 x V + 0.54.
                                                             Service Over Counter      38 (M)  =32
                                                                                        0 (L)         <32  SOC.RC.L..........  0.93 x TDA + 0.22.
Self-Contained Commercial            Self-Contained (SC)...  Vertical Open (VOP)...    38 (M)  =32
 Freezers Without Doors.
                                                                                        0 (L)         <32  VOP.SC.L..........  4.25 x TDA + 11.82.
                                                             Semivertical Open         38 (M)  =32
                                                                                        0 (L)         <32  SVO.SC.L..........  4.26 x TDA + 11.51.
                                                             Horizontal Open (HZO).    38 (M)  =32
                                                                                        0 (L)         <32  HZO.SC.L..........  1.9 x TDA + 7.08.
Self-Contained Commercial            Self-Contained (SC)...  Vertical Closed           38 (M)  =32
 Freezers With Doors.
                                                                                        0 (L)         <32  VCT.SC.L..........  0.29 x V + 2.95.
                                                             Vertical Closed Solid     38 (M)  =32
                                                                                     ........         <32  VCS.SC.L..........  0.22 x V + 1.38.
                                                             Horizontal Closed         38 (M)  =32
                                                                                        0 (L)         <32  HCT.SC.L..........  0.08 x V + 1.23.
                                                             Horizontal Closed       ........  =32
                                                                                        0 (L)         <32  HCS.SC.L..........  0.06 x V + 1.12.
                                                             Service Over Counter    ........  =32
                                                                                        0 (L)         <32  SOC.SC.L..........  1.1 x TDA + 2.1.

[[Page 44]]

 
Self-Contained Commercial            Self-Contained (SC)...  Pull-Down (PD)........    38 (M)  =32
 Doors for Pull-Down Temperature
 Applications.
Commercial Ice-Cream Freezers......  Remote (RC)...........  Vertical Open (VOP)...   -15 (I)      <=-5**  VOP.RC.I..........  2.79 x TDA + 8.7.
                                                             Semivertical Open       ........  ..........  SVO.RC.I..........  2.79 x TDA + 8.7.
                                                              (SVO).
                                                             Horizontal Open (HZO).  ........  ..........  HZO.RC.I..........  0.7 x TDA + 8.74.
                                                             Vertical Closed         ........  ..........  VCT.RC.I..........  0.58 x TDA + 3.05.
                                                              Transparent (VCT).
                                                             Horizontal Closed       ........  ..........  HCT.RC.I..........  0.4 x TDA + 0.31.
                                                              Transparent (HCT).
                                                             Vertical Closed Solid   ........  ..........  VCS.RC.I..........  0.25 x V + 0.63.
                                                              (VCS).
                                                             Horizontal Closed       ........  ..........  HCS.RC.I..........  0.25 x V + 0.63.
                                                              Solid (HCS).
                                                             Service Over Counter    ........  ..........  SOC.RC.I..........  1.09 x TDA + 0.26.
                                                              (SOC).
                                     Self-Contained (SC)...  Vertical Open (VOP)...  ........  ..........  VOP.SC.I..........  5.4 x TDA + 15.02.
                                                             Semivertical Open       ........  ..........  SVO.SC.I..........  5.41 x TDA + 14.63.
                                                              (SVO).
                                                             Horizontal Open (HZO).  ........  ..........  HZO.SC.I..........  2.42 x TDA + 9.
                                                             Vertical Closed         ........  ..........  VCT.SC.I..........  0.62 x TDA + 3.29.
                                                              Transparent (VCT).
                                                             Horizontal Closed       ........  ..........  HCT.SC.I..........  0.56 x TDA + 0.43.
                                                              Transparent (HCT).
                                                             Vertical Closed Solid   ........  ..........  VCS.SC.I..........  0.34 x V + 0.88.
                                                              (VCS).
                                                             Horizontal Closed       ........  ..........  HCS.SC.I..........  0.34 x V + 0.88.
                                                              Solid (HCS).
                                                             Service Over Counter    ........  ..........  SOC.SC.I..........  1.53 x TDA + 0.36.
                                                              (SOC).
--------------------------------------------------------------------------------------------------------------------------------------------------------
* The meaning of the letters in this column is indicated in the columns to the left.
** Ice-cream freezer is defined in 10 CFR 431.62 as 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.

    (2) For commercial refrigeration equipment with two or more 
compartments (i.e., hybrid refrigerators, hybrid freezers, hybrid 
refrigerator-freezers, and non-hybrid refrigerator-freezers), the 
maximum daily energy consumption for each model shall be the sum of the 
MDEC values for all of its compartments. For each compartment, measure 
the TDA or volume of that compartment, and determine the appropriate 
equipment class based on that compartment's equipment family, condensing 
unit configuration, and designed operating temperature. The MDEC limit 
for each compartment shall be the calculated value obtained by entering 
that compartment's TDA or volume into the standard equation in paragraph 
(e)(1) of this section for that compartment's equipment class. Measure 
the CDEC or TDEC for the entire case as described in Sec.  
431.66(d)(2)(i) through (iii), except that where measurements and 
calculations reference ARI Standard 1200-2006 (incorporated by 
reference, see Sec.  431.63), AHRI Standard 1200 (I-P)-2010 
(incorporated by reference, see Sec.  431.63) shall be used.
    (3) For remote condensing and self-contained wedge cases, measure 
the CDEC or TDEC according to the AHRI Standard 1200 (I-P)-2010 test 
procedure (incorporated by reference, see Sec.  431.63). For wedge cases 
in equipment classes for which a volume metric is used, the

[[Page 45]]

MDEC shall be the amount derived from the appropriate standards equation 
in paragraph (e)(1) of this section. For wedge cases of equipment 
classes for which a TDA metric is used, the MDEC for each model shall be 
the amount derived by incorporating into the standards equation in 
paragraph (e)(1) of this section for the equipment class a value for the 
TDA that is the product of:
    (i) The vertical height of the air curtain (or glass in a 
transparent door) and
    (ii) The largest overall width of the case, when viewed from the 
front.
    (f) Exclusions. The energy conservation standards in paragraphs (b) 
through (e) of this section do not apply to salad bars, buffet tables, 
and chef bases or griddle stands.

[70 FR 60414, Oct. 18, 2005, as amended at 74 FR 1140, Jan. 9, 2009; 78 
FR 62993, Oct. 23, 2013; 79 FR 22308, Apr. 21, 2014; 79 FR 17816, Mar. 
28, 2014]



           Sec. Appendix A to Subpart C of Part 431 [Reserved]



 Sec. Appendix B to Subpart C of Part 431--Uniform Test Method for the 
Measurement of Energy Consumption of Commercial Refrigerators, Freezers, 
                        and Refrigerator-Freezers

    Note: On or after September 20, 2024, any representations, including 
for certification of compliance, made with respect to the energy use or 
efficiency of commercial refrigeration equipment, except for buffet 
tables or preparation tables, blast chillers, blast freezers, or mobile 
refrigerated cabinets, must be made in accordance with the results of 
testing pursuant to this appendix. Prior to September 20, 2024, any 
representations with respect to energy use or efficiency of commercial 
refrigeration equipment, except for buffet tables or preparation tables, 
blast chillers, blast freezers, or mobile refrigerated cabinets, must be 
made either in accordance with the results of testing pursuant to this 
appendix or with the results of testing pursuant to this appendix as it 
appeared in appendix B to subpart C of part 431 in the 10 CFR parts 200-
499 edition revised as of January 1, 2023. Buffet tables or preparation 
tables are subject to the test method requirements in appendix C to 
subpart C of part 431. Blast chillers and blast freezers are subject to 
the test method requirements in appendix D to subpart C of part 431.
    The test procedure for equipment cooled only by secondary coolants 
in section 1.1.3 of this appendix is not required for use until the 
compliance date(s) of any amended energy conservation standard(s) (see 
Sec.  431.66) for such commercial refrigeration equipment.
    High-temperature refrigerators must be tested as medium-temperature 
refrigerators according to section 2.1.3 of this appendix based on the 
lowest application product temperature until the compliance date(s) of 
any amended energy conservation standard(s) (see Sec.  431.66) 
established for high-temperature refrigerators. On and after the 
compliance date(s) of such energy conservation standard(s) (see Sec.  
431.66), high-temperature refrigerators must be tested as high-
temperature refrigerators according to section 2.1.4 of this appendix.

                      0. Incorporation by Reference

    DOE incorporated by reference in Sec.  431.63 the entire standard 
for AHRI 1200-2023; AHRI 1320-2011; ASHRAE 72-2022 and ASHRAE 72-2022 
Errata (the latter two collectively referenced as ASHRAE 72-2022 with 
Errata). However, only enumerated provisions of AHRI 1200-2023 and AHRI 
1320-2011 are applicable to this appendix as follows:
    0.1. AHRI 1200-2023
    (a) Section 3, ``Definitions,'' as referenced in section 1.1 of this 
appendix.
    (b) Section 3.2.8, ``Dew Point,'' as referenced in section 2.2. of 
this appendix.
    (c) Section 3.2.20, ``Total Display Area (TDA),'' as referenced in 
section 3.2 of this appendix.
    (d) Section 4, ``Test Requirements,'' as referenced in section 1.1 
of this appendix.
    (e) Section 4.1.1.1, ``High Temperature Applications,'' as 
referenced in section 2.1.4 of this appendix.
    (f) Section 4.1.1.2, ``Ice Cream Applications,'' as referenced in 
section 2.1.1 of this appendix.
    (g) Section 4.1.1.3, ``Low Temperature Applications,'' as referenced 
in section 2.1.2 of this appendix.
    (h) Section 4.1.1.4, ``Medium Temperature Applications,'' as 
referenced in section 2.1.3 of this appendix.
    (i) Section 5.1, ``Rating Requirements for Remote Commercial 
Refrigerated Display Merchandisers and Storage Cabinets'' as referenced 
in sections 1.1.2, 1.1.3, and 1.5.3.3 of this appendix.
    (j) Section 5.2, ``Rating Requirements for Self-Contained Commercial 
Refrigerated Display Merchandisers and Storage Cabinets,'' as referenced 
in section 1.1.1 of this appendix.
    (k) Section 9, ``Symbols and Subscripts,'' as referenced in section 
1.1 and 2.2 of this appendix.
    (l) Appendix C, ``Commercial Refrigerated Display Merchandiser and 
Storage Cabinet

[[Page 46]]

Refrigerated Volume Calculation--Normative'' as referenced in section 
3.1 of this appendix.
    (m) Appendix D, ``Commercial Refrigerated Display Merchandiser and 
Storage Cabinet Total Display Area (TDA) Calculation--Normative,'' as 
referenced in section 3.2 of this appendix.
    0.2. AHRI 1320-2011
    (a) Sections 5.2.7 and 5.2.8 as referenced in section 1.1.3 of this 
appendix.
    (b) [Reserved].

                            1. Test Procedure

    1.1. Determination of Daily Energy Consumption. Determine the daily 
energy consumption of each covered commercial refrigerator, freezer, or 
refrigerator-freezer by conducting the test procedure set forth in AHRI 
1200-2023, section 3, ``Definitions,'' section 4, ``Test Requirements,'' 
and section 9, ``Symbols and Subscripts.''
    1.1.1. For each commercial refrigerator, freezer, or refrigerator-
freezer with a self-contained condensing unit, also use AHRI 1200-2023, 
section 5.2, ``Rating Requirements for Self-Contained Commercial 
Refrigerated Display Merchandisers and Storage Cabinets.''
    1.1.2. For each commercial refrigerator, freezer, or refrigerator-
freezer with a remote condensing unit, also use AHRI 1200-2023, section 
5.1, ``Rating Requirements for Remote Commercial Refrigerated Display 
Merchandisers and Storage Cabinets.''
    1.1.3. For each commercial refrigerator, freezer, or refrigerator-
freezer used with a secondary coolant, test according to section 1.1.2 
of this appendix, except in place of the equations for CDEC and CEC in 
sections 5.1.2 and 5.1.2.1 of AHRI 1200-2023, respectively, apply the 
following equations:

CDEC = CEC + [FEC + LEC + AEC + DEC + PEC]* + CPEC

CEC = [(Qrt + QCP) [middot] (t - tdt)]/
          (EER [middot] 1000)

    Where CPEC and QCP are as specified in sections 5.2.7 and 
5.2.8 of AHRI 1320-2011 and EER is determined based on a temperature 
that is 6.0 [deg]F lower than the secondary coolant cabinet inlet 
temperature.
    1.2. Methodology for Determining Applicability of Transparent Door 
Equipment Families. To determine if a door for a given model of 
commercial refrigeration equipment is transparent:
    (a) Calculate the outer door surface area including frames and 
mullions;
    (b) calculate the transparent surface area within the outer door 
surface area excluding frames and mullions;
    (c) calculate the ratio of (2) to (1) for each of the outer doors; 
and
    (d) the ratio for the transparent surface area of all outer doors 
must be greater than 0.25 to qualify as a transparent equipment family.
    1.3. Drawers. Drawers shall be treated as identical to doors when 
conducting the DOE test procedure. Commercial refrigeration equipment 
with drawers intended for use with pans shall be configured with 
stainless steel food service pans, installed in a configuration per the 
manufacturer's instructions utilizing the maximum pan sizes specified. 
If the manufacturer does not specify the pan sizes, the maximum pan 
depth and pan volume allowed shall be used. For commercial refrigeration 
equipment with drawers intended for use with pans, the net usable volume 
includes only the interior volume of the pan(s) in the drawer. The net 
usable volume shall be measured by the amount of water needed to fill 
all the pan(s) to within 0.5 inches of the top rim, or determined by 
calculating the total volume of all pan(s) using the pan manufacturers' 
published pan volume. For commercial refrigeration equipment with 
drawers not intended for pans, the net usable volume shall be equal to 
the total volume of the drawer to the top edge of the drawer. Test 
simulators shall be placed in commercial refrigeration equipment with 
drawers as follows: For each drawer, there shall be two test simulators 
placed at each of the following locations: at the left end, at the right 
end, and at consistent 24 inch to 48 inch intervals across the width of 
the drawer (for drawers wider than 48 inches). For drawers with overall 
internal width of 48 inches or less, only the left and right ends shall 
have test simulators. If test simulators are to be placed at a pan edge 
or divider, the test simulator shall be placed at the nearest adjacent 
location. For each drawer, one test simulator shall be placed on the 
bottom of the pan or drawer at each of the front and rear test simulator 
locations of the drawer. Test simulators shall be placed in contact with 
the drawer or pan end or ends unless load limiting stops are provided as 
part of the case. Test simulators shall be secured such that the test 
simulators do not move during the test. The net usable volume where test 
simulators are not required shall be filled with filler material so that 
between 60 percent and 80 percent of the net usable volume is occupied 
by test simulators and uniformly occupied by filler material.
    1.4. Long-time Automatic Defrost. For commercial refrigeration 
equipment not capable of operating with defrost intervals of 24 hours or 
less, testing may be conducted using a two-part test method.
    1.4.1. First Part of Test. The first part of the test shall be a 24-
hour test starting in steady-state conditions and including eight hours 
of door opening (according to ASHRAE 72-2022 with Errata). The energy 
consumed in this test, ET1, shall be recorded.
    1.4.2. Second Part of Test. The second part of the test shall be a 
defrost cycle, including any operation associated with a defrost. The

[[Page 47]]

start and end of the test period be determined as the last time before 
and first time after a defrost occurrence when the measured average 
simulator temperature (i.e., the instantaneous average of all test 
simulator temperature measurements) is within 0.5 [deg]F of the IAT as 
measured during the first part of the test. The energy consumed in this 
test, ET2, and duration, tDI, shall be recorded.
    1.4.3. Daily Energy Consumption. Based on the measured energy 
consumption in these two tests, the daily energy consumption (DEC) in 
kWh shall be calculated as:
[GRAPHIC] [TIFF OMITTED] TR26SE23.007

Where:

DEC = daily energy consumption, in kWh;
ET 1 = energy consumed during the first part of the test, in kWh;
ET 2 = energy consumed during the second part of the test, in kWh;
tNDI = normalized length of defrosting time per day, in 
          minutes;
tDI = length of time of defrosting test period, in minutes;
tDC = minimum time between defrost occurrences, in days; and
1440 = conversion factor, minutes per day.

    1.5. Customer Order Storage Cabinets. Customer order storage 
cabinets shall conduct door openings according to ASHRAE 72-2022 with 
Errata, except that each door shall be opened to the fully open position 
for 8 seconds, once every 2 hours, for 6 door-opening cycles.
    1.5.1. Ambient Compartments. For customer order storage cabinets 
that have at least one individual-secured compartment that is not 
capable of maintaining an integrated average temperature below the 
ambient dry-bulb temperature, the individual-secured compartment(s) at 
ambient dry-bulb temperature shall be categorized as a high-temperature 
refrigerator compartment for the purpose of testing and rating. All 
volume, total display area, and energy consumption calculations shall be 
included within the high-temperature refrigerator category and summed 
with other high-temperature refrigerator category compartment(s) 
calculations.
    1.5.2. Convertible Compartments. For customer order storage cabinets 
that have individual-secured compartments that are convertible between 
the ambient dry-bulb temperature and the =32 [deg]F operating 
temperature, the convertible compartment shall be tested as a medium-
temperature refrigerator compartment or at the lowest application 
product temperature as specified in section 2.2 of this appendix.
    1.5.3. Inverse Refrigeration Load Test. For customer order storage 
cabinets that supply refrigerant to multiple individual-secured 
compartments and that allow the suction pressure from the evaporator in 
each individual-secured compartment to float based on the temperature 
required to store the customer order in that individual-secured 
compartment, test according to section 1.1.2 of this appendix, except 
that energy (heat) loss shall be allowed at a rate and [Delta]T 
equivalent to the energy gains of a standard refrigerated cabinet as 
specified in sections 1.5.3.1-1.5.3.3 of this appendix.
    1.5.3.1. Anti-sweat door heaters. Anti-sweat door heaters shall be 
de-energized for the inverse refrigeration load test specified in 
section 1.5.3. of this appendix.
    1.5.3.2. Integrated Average Temperature. For medium-temperature 
refrigerator compartments, the integrated average temperature shall be 
112.4 [deg]F 2.0 [deg]F. For low-temperature 
freezer compartments, the integrated average temperature shall be 150.4 
[deg]F 2.0 [deg]F. For ambient compartments, the 
integrated average temperature shall be 75.4 [deg]F 2.0 [deg]F.
    1.5.3.3. Daily Energy Consumption. Determine the calculated daily 
energy consumption (``CDEC'') and the EER based on AHRI 1200-2023, 
section 5.1, ``Rating Requirements for Remote Commercial Refrigerated 
Display Merchandisers and Storage Cabinets,'' except that the compressor 
energy consumption (``CEC'') shall be calculated by applying the 
following equations:

[[Page 48]]

[GRAPHIC] [TIFF OMITTED] TR26SE23.006

ML = Nd x (Ae + Am)

Ae = [(Ha - Hc) - (Ht - Ha)] x ma

Am = Cp,liner x Wliner x [Delta]Tliner

Where:

CEC = compressor energy consumption, kWh per day;
Q = inverse refrigeration load (does not include waste heat from 
          auxiliary components and moisture infiltration), in BTU per h;
t = test duration, in h;
ML = moisture load impacts, BTU per day;
FEC = evaporator fan motor(s) energy consumption, Wh per day;
AEC = anti-condensate heater(s) energy consumption, Wh per day;
DEC = defrost heater(s) energy consumption, Wh per day;
3.412 = conversion factor, BTU per Wh;
EER = energy efficiency ratio, BTU per Wh;
1000 = conversion factor, W per kW;
Win = energy input measured over the test period for all energized 
          components (heaters, controls, and fans) located in the 
          refrigerated compartments, in Wh;
Nd = number of door openings during test, unitless;
Ae = enthalpy adjustment, BTU per day;
Am = moisture/frost accumulation, BTU per day;
Ha = ambient air enthalpy, BTU per pound;
Hc = compartment air enthalpy based on air conditions during cold 
          operation (e.g., 0 [deg]F dry bulb/-20 [deg]F dew point for 
          freezer compartment, 38 [deg]F dry bulb/20 [deg]F dew point 
          for refrigerator compartment, 75 [deg]F dry bulb/20 [deg]F dew 
          point for ambient compartment), BTU per pound;
Ht = compartment air enthalpy during heat leak test based on dew point 
          being equal to ambient air dew point, BTU per pound;
ma = mass of compartment air exchanged (30% of total 
          compartment volume) based density of air during cold 
          operation, pounds;
Cp,liner = specific heat of liner material, BTU per [deg]F per pound;
Wliner = weight of all liner parts, pounds; and
[Delta]Tliner = maximum temperature rise of all liner parts (e.g., 4.5 
          [deg]F, 2.5 [deg]F, and 1 [deg]F for freezer, refrigerator, 
          and ambient compartments, respectively), [deg]F.

                           2. Test Conditions

    2.1. Integrated Average Temperatures. Conduct the testing required 
in section 1 of this appendix, and determine the daily energy 
consumption at the applicable integrated average temperature as follows:
    2.1.1. Ice-Cream Freezers. Test ice-cream freezers and ice-cream 
freezer compartments to the integrated average temperature specified in 
section 4.1.1.2, ``Ice Cream Applications,'' of AHRI 1200-2023.
    2.1.2. Low-Temperature Freezers. Test low-temperature freezers and 
low-temperature freezer compartments to the integrated average 
temperature specified in section 4.1.1.3, ``Low Temperature 
Applications,'' of AHRI 1200-2023.
    2.1.3. Medium-Temperature Refrigerators. Test medium-temperature 
refrigerators and medium-temperature refrigerator compartments to the 
integrated average temperature specified in section 4.1.1.4, ``Medium 
Temperature Applications,'' of AHRI 1200-2023.
    2.1.4. High-Temperature Refrigerators. Test high-temperature 
refrigerators and high-temperature refrigerator compartments to the 
integrated average temperature specified in section 4.1.1.1, ``High 
Temperature Applications,'' of AHRI 1200-2023.
    2.2. Lowest Application Product Temperature. If a unit of commercial 
refrigeration equipment is not able to be operated at the integrated 
average temperature specified in section 2.1 of this appendix, test the 
unit at the lowest application product temperature (LAPT), as defined in 
Sec.  431.62. For units equipped with a thermostat, LAPT is the measured 
temperature at the lowest thermostat setting of the unit (for units that 
are only able to operate at temperatures above the specified test 
temperature) or the highest thermostat setting of the unit (for units 
that are only able to operate at temperatures below the specified test 
temperature). For remote condensing equipment without a thermostat or 
other means of controlling temperature at the case, the lowest 
application product temperature is measured at the temperature achieved 
with the dew point temperature (as defined in section 3.2.8, ``Dew 
Point,'' of AHRI 1200-2023) or mid-point evaporator temperature (as 
defined in section 9, ``Symbols and Subscripts,'' of AHRI 1200-2023) set 
to 5 degrees colder than that required to maintain the manufacturer's

[[Page 49]]

specified application temperature that is closest to the specified 
integrated average temperature.
    2.3. Testing at NSF Test Conditions. For commercial refrigeration 
equipment that is also tested in accordance with NSF test procedures 
(Type I and Type II), integrated average temperatures and ambient 
conditions used for NSF testing may be used in place of the DOE-
prescribed integrated average temperatures and ambient conditions 
provided they result in a more stringent test. That is, the measured 
daily energy consumption of the same unit, when tested at the rating 
temperatures and/or ambient conditions specified in the DOE test 
procedure, must be lower than or equal to the measured daily energy 
consumption of the unit when tested with the rating temperatures or 
ambient conditions used for NSF testing. The integrated average 
temperature measured during the test may be lower than the range 
specified by the DOE applicable temperature specification provided in 
section 2.1 of this appendix, but may not exceed the upper value of the 
specified range. Ambient temperatures and/or humidity values may be 
higher than those specified in the DOE test procedure.
    2.4. Liquid Refrigerant Pressure Required Accuracy. The liquid 
refrigerant pressure required accuracy is 35 kPa 
(5.1 psi).
    2.5 Commercial Refrigerator, Freezer, and Refrigerator-Freezer 
connected to a Direct Expansion Remote Condensing Unit with R-744. For 
commercial refrigerators, freezers, and refrigerator-freezers connected 
to a direct expansion remote condensing unit with R-744, instead of the 
liquid refrigerant measurements for direct-expansion remote units 
specified in appendix A to ASHRAE 72-2022 with Errata, the liquid 
refrigerant measurements for direct-expansion remote units shall be: 
liquid refrigerant temperature shall be 30.0 [deg]F with a tolerance for 
the average over test period of 3.0 [deg]F and a 
tolerance for the individual measurements of 5.0 
[deg]F; liquid refrigerant pressure shall be the saturated liquid 
pressure corresponding to a condensing temperature in the range of 32.0 
[deg]F to 44.0 [deg]F for the average over test period; and liquid 
refrigerant subcooling shall be greater than 2.0 [deg]R for the average 
over test period.
    2.6 Chef Base or Griddle Stand Test Conditions. For chef bases or 
griddle stands, instead of the dry-bulb temperature, wet-bulb 
temperature, and radiant heat temperature specified in appendix A to 
ASHRAE 72-2022 with Errata: dry-bulb temperature shall be 86.0 [deg]F 
with a tolerance for the average over test period of 1.8 [deg]F and a tolerance for the individual 
measurements of 3.6 [deg]F; wet-bulb temperature 
shall be 73.7 [deg]F with a tolerance for the average over test period 
of 1.8 [deg]F and a tolerance for the individual 
measurements of 3.6 [deg]F; and radiant heat 
temperature shall be greater than or equal to 81.0 [deg]F.

                    3. Volume and Total Display Area

    3.1. Determination of Volume. Determine the volume of a commercial 
refrigerator, freezer, and refrigerator-freezer using the method set 
forth in AHRI 1200-2023, appendix C, ``Commercial Refrigerated Display 
Merchandiser and Storage Cabinet Refrigerated Volume Calculation--
Normative.''
    3.2. Determination of Total Display Area. Determine the total 
display area of a commercial refrigerator, freezer, and refrigerator-
freezer using the method set forth in AHRI 1200-2023, section 3.2.20, 
``Total Display Area (TDA),'' and appendix D, ``Commercial Refrigerated 
Display Merchandiser and Storage Cabinet Total Display Area (TDA) 
Calculation--Normative.''

[88 FR 66225, Sept. 26, 2023]



 Sec. Appendix C to Subpart C of Part 431--Uniform Test Method for the 
Measurement of Energy Consumption of Buffet Tables or Preparation Tables

    Note: On or after September 20, 2024, any representations, including 
for certification of compliance, made with respect to the energy use or 
efficiency of buffet tables or preparation tables must be made in 
accordance with the results of testing pursuant to this appendix.

                      0. Incorporation by Reference

    DOE incorporated by reference in Sec.  431.63 the entire standard 
for AHRI 1200-2023, ASHRAE 72-2022, ASHRAE 72-2022 Errata (the latter 
two collectively referenced as ASHRAE 72-2022 with Errata), and ASTM 
F2143-16. However, only enumerated provisions of those documents are 
applicable to this appendix as follows:
    0.1. AHRI 1200-2023
    (a) Section 3.2.17, ``Refrigerated Volume (Vr),'' as referenced in 
section 2.2 of this appendix.
    (b) Normative Appendix C, ``Commercial Refrigerated Display 
Merchandiser and Storage Cabinet Refrigerated Volume Calculation,'' as 
referenced in section 2.2 of this appendix.
    0.2 ASHRAE 72-2022 with Errata
    (a) Section 5.1, ``Installation and Settings,'' as referenced in 
section 1.3 of this appendix.
    (b) Section 5.2, ``Wall or Vertical Partition Placement,'' as 
referenced in section 1.3 of this appendix.
    (c) Section 5.3, ``Components and Accessories,'' as referenced in 
section 1.3 of this appendix.
    (d) Section 6.1, ``Ambient Temperature and Humidity,'' as referenced 
in section 1.2 of this appendix.

[[Page 50]]

    (e) Section 7.1, ``Sequence of Operations,'' as referenced in 
section 1.5 of this appendix.
    (f) Section 7.2, ``Preparation Period'' (excluding sections 7.2.1 
and 7.2.2), as referenced in section 1.5 of this appendix.
    (g) Section 7.3, ``Test Periods A and B'' (excluding sections 7.3.1, 
7.3.2, 7.3.3, and 7.3.4), as referenced in sections 1.5 and 1.5.1 of 
this appendix.
    (h) Section 7.4, ``Test Alignment Period,'' as referenced in section 
1.5 of this appendix.
    (i) Section 7.5, ``Determining Stability,'' as referenced in 
sections 1.5 and 1.5.2 of this appendix.
    (j) Normative Appendix A, ``Measurement Locations, Tolerances, 
Accuracies, and Other Characteristics,'' (only the measured quantities 
specified in section 1.2 of this appendix) as referenced in sections 1.2 
and 1.5.3 of this appendix.
    0.3 ASTM F2143-16
    (a) Section 3, ``Terminology,'' as referenced in section 1.1 of this 
appendix.
    (b) Section 6.1, ``Analytical Balance Scale,'' as referenced in 
section 1.1 of this appendix.
    (c) Section 6.2, ``Pans,'' as referenced in section 1.1 of this 
appendix.
    (d) Section 7, ``Reagents and Materials,'' as referenced in section 
1.1 of this appendix.
    (e) Section 9, ``Preparation of Apparatus'' (section 9.6 only), as 
referenced in sections 1.1 and 1.4.2 of this appendix.
    (f) Section 10.1, ``General'' (section 10.1.1 only), as referenced 
in sections 1.1 and 1.5.3 of this appendix.
    (g) Section 10.2, ``Pan Thermocouple Placement,'' as referenced in 
section 1.1 of this appendix.
    (h) Section 10.5, ``Test'' (sections 10.5.5 and 10.5.6 only), as 
referenced in sections 1.1 and 1.5.1 of this appendix.
    (i) Section 11.4, ``Energy Consumption'' (section 11.4.1 only), as 
referenced in section 1.1 of this appendix.
    (j) Section 11.5, ``Production Capacity,'' as referenced in sections 
1.1 and 2.1 of this appendix.

                            1. Test Procedure

    1.1. Determination of Daily Energy Consumption. Determine the daily 
energy consumption of each buffet table or preparation table with a 
self-contained condensing unit by conducting the test procedure set 
forth in ASTM F2143-16 section 3, ``Terminology,'' section 6.1, 
``Analytical Balance Scale,'' section 6.2, ``Pans,'' section 7, 
``Reagents and Materials,'' section 9.6, ``Preparation of Apparatus'', 
section 10.1, ``General'' (section 10.1.1 only), section 10.2, ``Pan 
Thermocouple Placement,'' section 10.5, ``Test'' (sections 10.5.5 and 
10.5.6 only), section 11.4, ``Energy Consumption'' (section 11.4.1 
only), and section 11.5, ``Production Capacity,'' with additional 
instructions as described in the following sections.
    1.2. Test Conditions. Ambient conditions and instrumentation for 
testing shall be as specified in the ``Chamber conditions'' and 
``Electricity supply and consumption of unit under test and components 
metered separately'' portions of appendix A to ASHRAE 72-2022 with 
Errata and measured according to section 6.1 of ASHRAE 72-2022 with 
Errata and the specifications in appendix A of ASHRAE 72-2022 with 
Errata. The ``highest point'' of the buffet table or preparation table 
shall be determined as the highest point of the open-top refrigerated 
area of the buffet table or preparation table, without including the 
height of any lids or covers. The geometric center of the buffet table 
or preparation table is: for buffet tables or preparation tables without 
refrigerated compartments, the geometric center of the top surface of 
the open-top refrigerated area; and for buffet tables or preparation 
tables with refrigerated compartments, the geometric center of the door 
opening area for the refrigerated compartment.
    1.3. Test Setup. Install the buffet table or preparation table 
according to sections 5.1, 5.2, and 5.3 of ASHRAE 72-2022 with Errata.
    1.4. Test Load.
    1.4.1. Pan Loading. Fill pans with distilled water to within 0.5 in. 
of the top edge of the pan. For pans that are not configured in a 
horizontal orientation, only the lowest side of the pan is filled to 
within 0.5 in. of the top edge of the pan with distilled water.
    1.4.2. Refrigerated Compartments. Measure the temperature of any 
refrigerated compartment(s) as specified in section 9.6 of ASTM F2143-
16. The thermocouples for measuring compartment air temperature shall be 
in thermal contact with the center of a 1.6-oz (45-g) cylindrical brass 
slug with a diameter and height of 0.75 in. The brass slugs shall be 
placed at least 0.5 in from any heat-conducting surface.
    1.5. Stabilization and Test Period. Prepare the unit for testing and 
conduct two test periods to determine stability according to sections 
7.1 through 7.5 of ASHRAE 72-2022 with Errata, excluding sections 7.2.1, 
7.2.2, 7.3.1, 7.3.2, 7.3.3, and 7.3.4. The preparation period under 
section 7.2 of ASHRAE 72-2022 with Errata includes loading the test unit 
pans with distilled water and adjusting the controls to maintain the 
desired performance.
    1.5.1. Test Periods A and B. Conduct two test periods, A and B, as 
specified in section 7.3 of ASHRAE 72-2022 with Errata (excluding 
sections 7.3.1, 7.3.2, 7.3.3, and 7.3.4). The 24-hour test periods shall 
begin with an 8-hour active period as specified in section 10.5.5 of 
ASTM F2143-16. Following the active period, the remaining 16 hours of 
the test period shall be a standby period with the pans remaining in 
place, any pan covers in the closed position, and with no additional 
door openings.

[[Page 51]]

    1.5.2. Stability. Average pan temperatures shall be used to 
determine stability, as specified in section 7.5 of ASHRAE 72-2022 with 
Errata, rather than average test simulator temperatures.
    1.5.3. Data Recording. For each test period, record data as 
specified in section 10.1.1 of ASTM F2143-16, except record wet-bulb 
temperature rather than relative humidity. Rather than voltage, current, 
and power as specified in section 10.1.1 of ASTM F2143-16, record the 
electrical supply potential and frequency and energy consumption as 
specified in appendix A of ASHRAE 72-2022 with Errata.
    1.6. Target Temperatures.
    1.6.1. Average Pan Temperature. The average of all pan temperature 
measurements during the test period shall be 38 [deg]F 2 [deg]F. If the unit under test is not able to be 
operated at this average temperature range, test the unit at the lowest 
application product temperature (LAPT), as defined in Sec.  431.62. For 
units equipped with a thermostat, LAPT is measured at the lowest 
thermostat setting of the unit (for units that are only able to operate 
at temperatures above the specified test temperature) or the highest 
thermostat setting of the unit (for units that are only able to operate 
at temperatures below the specified test temperature).
    1.6.2. Average Compartment Temperature. The average of all 
compartment temperature measurements during the test period shall be 38 
[deg]F 2 [deg]F. If the unit under test is not 
capable of maintaining both average pan temperature and average 
compartment temperature within the specified range, the average 
compartment temperature shall be the average temperature necessary to 
maintain average pan temperature within the specified range. If the unit 
is tested at the LAPT for the average pan temperature, as described in 
section 1.6.1 of this appendix, the average compartment temperature is 
the average of all compartment temperature measurements at that control 
setting.

                           2. Capacity Metrics

    2.1. Pan Volume. Determine pan volume according to section 11.5 of 
ASTM F2143-16.
    2.2. Refrigerated Volume. Determine the volume of any refrigerated 
compartments according to section 3.2.17 and appendix C of AHRI 1200-
2023. The refrigerated volume excludes the volume occupied by pans 
loaded in the open-top display area for testing.
    2.3. Pan Display Area. Determine the pan display area based on the 
total surface area of water in the test pans when filled to within 0.5 
in. of the top edge of the pan, or for test pans that are not configured 
in a horizontal orientation, when the lowest side of the pan is filled 
to within 0.5 in. of the top edge of the pan with water.

[88 FR 66227, Sept. 26, 2023]



 Sec. Appendix D to Subpart C of Part 431--Uniform Test Method for the 
  Measurement of Energy Consumption of Blast Chillers or Blast Freezers

    Note: On or after September 20, 2024, any representations, including 
for certification of compliance, made with respect to the energy use or 
efficiency of blast chillers or blast freezers must be made in 
accordance with the results of testing pursuant to this appendix.

                      0. Incorporation by Reference

    DOE incorporated by reference in Sec.  431.63 the entire standard 
for AHRI 1200-2023, ASHRAE 72-2022, and ASHRAE 72-2022 Errata (the 
latter two collectively referenced as ASHRAE 72-2022 with Errata). 
However, only enumerated provisions of those documents are applicable to 
this appendix as follows:
    0.1 AHRI 1200-2023
    (a) Appendix C, ``Commercial Refrigerated Display Merchandiser and 
Storage Cabinet Refrigerated Volume Calculation--Normative,'' as 
referenced in section 1.1.1. of this appendix.
    (b) Reserved.
    0.2 ASHRAE 72-2022 with Errata
    (a) Section 4, ``Instruments,'' as referenced in section 1.2 of this 
appendix.
    (b) Section 5, ``Preparation of Unit Under Test'' (except section 
5.4, ``Loading of Test Simulators and Filler Material''), as referenced 
in section 1.2 of this appendix.
    (c) Section 6.1, ``Ambient Temperature and Humidity,'' as referenced 
in sections 1.2 and 1.4 of this appendix.
    (d) Figure 6, ``Location of Ambient Temperature Indicators,'' as 
referenced in sections 1.2 and 1.4 of this appendix.
    (e) Normative Appendix A, ``Measurement Locations, Tolerances, 
Accuracies, and Other Characteristics,'' (only the measured quantities 
specified in section 1.2.1 of this appendix) as referenced in sections 
1.2 and 1.4 of this appendix.

                           1. Test Procedures

    1.1. Scope. This section provides the test procedures for measuring 
the energy consumption in kilowatt-hours per pound (kWh/lb) for self-
contained commercial blast chillers and blast freezers that have a 
refrigerated volume of up to 500 ft\3\.
    1.1.1. Determination of Refrigerated Volume. Determine the 
refrigerated volume of a self-contained commercial blast chiller or 
blast freezer using the method set forth in AHRI 1200-2023, appendix C, 
``Commercial Refrigerated Display Merchandiser and Storage Cabinet 
Refrigerated Volume Calculation--Normative.''

[[Page 52]]

    1.2. Determination of Energy Consumption. Determine the energy 
consumption of each covered blast chiller or blast freezer by conducting 
the test procedure set forth in ASHRAE 72-2022 with Errata section 4, 
``Instruments,'' section 5, ``Preparation of Unit Under Test'' (except 
section 5.4, ``Loading of Test Simulators and Filler Material''), 
section 6.1, ``Ambient Temperature and Humidity,'' Figure 6, ``Location 
of Ambient Temperature Indicators,'' and normative appendix A, 
``Measurement Locations, Tolerances, Accuracies, and Other 
Characteristics'' (only the measured quantities specified in section 
1.2.1 of this appendix), as well as the requirements of this appendix.
    1.2.1. Measured Quantities in Normative Appendix A of ASHRAE 72-2022 
with Errata. The following measured quantities shall be in accordance 
with the specifications of normative appendix A of ASHRAE 72-2022 with 
Errata: dry bulb temperature (except for deviations specified in 
sections 1.3 and 1.4 of this appendix), electrical supply frequency, 
electrical supply potential, energy consumed (except for deviations 
specified in section 1.3 of this appendix), extent of non-perforated 
surface beyond edges of unit under test, front clearance, rear or side 
clearance, and time measurements.
    1.2.2. Additional Specifications for ASHRAE 72-2022 with Errata. The 
term ``refrigerator'' used in ASHRAE 72-2022 with Errata shall instead 
refer to ``blast chiller'' or ``blast freezer,'' as applicable. In 
section 5.3 of ASHRAE 72-2022 with Errata, the phrase ``all necessary 
components and accessories shall be installed prior to loading the 
storage and display areas with test simulators and filler material'' 
shall be replaced with ``all necessary components and accessories shall 
be installed prior to precooling the unit under test.'' Section 5.3.5 
shall also require that, prior to precooling the unit under test, the 
condensate pan shall be dry.
    1.3. Data Recording Measurement Intervals. Measurements shall be 
continuously recorded during the test in intervals no greater than 10 
seconds.
    1.4. Test Conditions. The required test conditions shall have dry 
bulb temperature values according to Table D.1 when measured at point A 
in figure 6 of ASHRAE 72-2022 with Errata and according to section 6.1 
of ASHRAE 72-2022 with Errata.

             Table D.1--Test Condition Values and Tolerances
------------------------------------------------------------------------
          Test condition                 Value            Tolerance
------------------------------------------------------------------------
Dry Bulb..........................     86.0 [deg]F  Average over test
                                                     period: 1.8
                                                     [deg]F.
                                                    Individual
                                                     measurements: 3.6
                                                     [deg]F.
------------------------------------------------------------------------

    1.5. Product Pan. The product pan shall be a 12 in. by 20 in. by 2.5 
in., 22 gauge or heavier, and 300 series stainless steel pan. If the 
blast chiller or blast freezer is not capable of holding the 12 in. by 
20 in. by 2.5 in. product pan dimensions, the manufacturer's recommended 
pan size shall be used, conforming as closely as possible to the 12 in. 
by 20 in. by 2.5 in. pan dimensions.
    1.6. Product Temperature Measurement. The product temperature shall 
be measured in the geometric center of the measured product pans using 
an unweighted thermocouple placed \5/8\ of an in. above the bottom of 
the measured product pan. The thermocouple leads shall be secured to the 
bottom of the measured product pan while also allowing for the transfer 
of the measured product pan from the heating source into the blast 
chiller's or blast freezer's cabinet.
    1.7. Product Preparation. The product shall be made for each product 
pan and shall be loaded to 2 in. of product thickness (i.e., depth) 
within the product pan unless an additional product pan with a product 
thickness of less than 2 in. is needed to meet the product capacity 
determined in section 2.1 of this appendix. A 20-percent-by-volume 
propylene glycol (1,2-Propanediol) mixture in water shall be prepared. 
In each product pan, pour the propylene glycol mixture over 20 mesh 
southern yellow pine sawdust to create a 22 percent to 78 percent by 
mass slurry. An example of an acceptable sawdust specification is the 
American Wood Fibers brand, 20 Mesh Pine Sawdust. Mix until the sawdust 
becomes completely saturated and leave uncovered in the product pan. 
Verify that the product pan thermocouple is fully submerged in the 
product mixture and reposition the product pan thermocouple to the 
requirements of section 1.6. of this appendix if the product pan 
thermocouple is incorrectly positioned after mixing. Each product pan 
shall be weighed before and after the food product simulator is added 
and prior to heating the product. The weight of the product shall not 
include the weight of the pans, thermocouples, or wires. A cumulative 
total of the product weight shall be calculated and the product pans 
shall continue to be loaded with the product mixture until the 
cumulative total reaches, but not exceeds, the product capacity 
determined in section 2.1 of this appendix with a tolerance of 5 percent or 2 pounds, whichever 
is less. The cumulative total weight of product, the weight of product 
in each individual pan, and the number of pans shall be recorded.

[[Page 53]]

    1.8. Product Pan Heating. Measured product pans shall be maintained 
at an average temperature of 160.0 [deg]F 1.8 
[deg]F and individual pan temperatures shall be maintained at 160 [deg]F 
10 [deg]F for a minimum of 8 hours prior to being 
loaded into the blast chiller or blast freezer. Non-measured product 
pans shall also be heated for a minimum of 8 hours prior to being loaded 
into the blast chiller or blast freezer and the non-measured product 
pans shall be placed in alternating positions with the measured product 
pans in the heating device. Data acquisition for the temperature of the 
measured product pans and time measurements shall begin to be recorded 
prior to the minimum of 8 hours heating period.
    1.9. Product Pan Distribution. The product pans shall be spaced 
evenly throughout each vertical column of rack positions in the blast 
chiller or blast freezer without the product pans touching any other 
product pans and without the product pans touching the top and the 
bottom of the blast chiller or blast freezer cabinet. For blast chillers 
or blast freezers that have an additional product pan with a product 
thickness of less than 2 in., the additional product pan shall be placed 
as close to the middle rack position as possible while maintaining an 
even distribution of all product pans. If not all rack positions are 
occupied by product pans, the product pan locations shall be recorded.
    1.10. Measured Product Pans. If multiple product pans are required 
per level of the blast chiller or blast freezer (i.e., product pans can 
be loaded side-by-side at the same level), only the product temperature 
of one product pan per level shall be measured and the product pans 
measured should alternate vertical columns of the blast chiller or blast 
freezer cabinet so that each vertical column does not have two measured 
product pans on sequential levels. If a blast chiller or blast freezer 
requires an additional product pan with a thickness less than 2 in., the 
additional product pan shall not be measured for product temperature.
    1.11. Stabilization. The blast chiller or blast freezer shall 
stabilize at the test conditions specified in section 1.4 of this 
appendix for at least 24 hours without operating.
    1.12. Pre-cool Cycle. Data acquisition for the test condition 
temperatures specified in section 1.4 of this appendix and time 
measurements shall begin to be recorded prior to the pre-cool cycle. The 
pre-cool cycle shall be initiated on a blast chiller or blast freezer 
once the stabilization specified in section 1.11 of this appendix is 
complete. The fastest pre-cool cycle shall be selected. The pre-cool 
cycle shall be complete when the blast chiller or blast freezer notifies 
the user that the pre-cool is complete. If the blast chiller or blast 
freezer does not notify the user that the pre-cool cycle is complete, 
the pre-cool cycle shall be deemed complete when the blast chiller or 
blast freezer reaches 40 [deg]F or 2 [deg]F based on the blast chiller's 
or blast freezer's sensing probe for blast chillers and blast freezers, 
respectively. For blast chillers or blast freezers without any defined 
pre-cool cycles, the fastest blast chilling or blast freezing cycle 
shall be run with an empty cabinet until the blast chiller or blast 
freezer reaches 40 [deg]F or 2 [deg]F based on the blast chiller's or 
blast freezer's sensing probe. During the pre-cool cycle, the blast 
chiller's or blast freezer's sensing probe shall remain in its default 
or holstered position. The pre-cool test data to be recorded are the 
test condition temperatures specified in section 1.4 of this appendix, 
pre-cool cycle selected, pre-cool duration, and final pre-cool cabinet 
temperature based on the blast chiller's or blast freezer's sensing 
probe.
    1.13. Loading. The blast chiller or blast freezer door shall be 
fully open to an angle of not less than 75 [deg]F for loading at 4.0 
1.0 minutes after the blast chiller or blast 
freezer completes the pre-cool cycle as specified in section 1.12 of 
this appendix. The door shall remain open to load all of the product 
pans for the entirety of the loading procedure. The door shall remain 
open for 20 seconds per roll-in rack and 15 seconds per product pan for 
roll-in and standard blast chillers or blast freezers, respectively. The 
total door open period shall have a tolerance of 5 
seconds. The blast chiller's or blast freezer's sensing probe shall be 
inserted into the geometric center of a product pan approximately 1 in. 
deep in the product mixture at the median pan level in the blast chiller 
or blast freezer. If the product pan at the median level is the 
additional product pan with less than 2 in. of product thickness, the 
closest product pan or product pan level that is farthest away from the 
evaporator fan shall be used to insert the blast chiller's or blast 
freezer's sensing probe. If the median pan level has capacity for 
multiple product pans, the probed product pan shall be the furthest away 
from the evaporator. The sensing probe shall not touch the bottom of the 
product pan or be exposed to the air. The location of the product pan 
with the sensing probe shall be recorded. The sensing probe shall be 
placed so that there is no interference with the product pan 
thermocouple. The product pan thermocouple wiring shall not affect the 
energy performance of the blast chiller or blast freezer. The door shall 
remain closed for the remainder of the test.
    1.14. Blast Chilling or Blast Freezing Cycle. Determine the blast 
chilling or blast freezing cycle that will conduct the most rapid 
product temperature pulldown that is designed for the densest food 
product, as stated in the blast chiller's or blast freezer's 
manufacturer literature. A blast chilling cycle shall have a target 
temperature of 38.0 [deg]F and a blast

[[Page 54]]

freezing cycle shall have a target temperature of 0.0 [deg]F. The test 
condition temperatures specified in section 1.4 of this appendix and the 
time measurements shall continue to be recorded from the pre-cool cycle. 
Measured product pan temperatures shall continue to be recorded from the 
minimum of 8-hour period of heating prior to the loading of the product 
pans into the blast chiller or blast freezer. Electrical supply 
frequency, electrical supply potential, and energy consumed shall start 
to be recorded as soon as the blast chiller or blast freezer door is 
opened to load the product pans. Once the blast chiller or blast freezer 
door is closed, the blast chilling cycle or blast freezing cycle shall 
be selected and initiated as soon as is practicable. The blast chilling 
cycle or blast freezing cycle selected shall be recorded. The blast 
chilling or blast freezing test period shall continue from the door 
opening until all individual measured pan temperatures are at or below 
40.0 [deg]F or 2.0 [deg]F for blast chiller and blast freezer tests, 
respectively, regardless of whether the selected cycle program has 
terminated. If all individual measured pan temperatures do not reach 
40.0 [deg]F or 2.0 [deg]F for blast chiller and blast freezer tests, 
respectively, two hours after the selected cycle program has terminated, 
the test shall be repeated with the target temperature lowered by 1.0 
[deg]F until all individual measured pan temperatures are at or below 
40.0 [deg]F or 2.0 [deg]F for blast chiller and blast freezer tests, 
respectively, at the conclusion of the test. The duration of the blast 
chiller or blast freezer test shall be recorded.
    1.15. Calculations. The measured energy consumption determined in 
section 1.14 of this appendix shall be reported in kilowatt-hours and 
shall be divided by the cumulative total weight of product determined in 
section 1.7 of this appendix in pounds.

                           2. Capacity Metric

    2.1. Product Capacity. Determine the product capacity by reviewing 
all manufacturer literature that is included with the blast chiller or 
blast freezer. The largest product capacity by weight that is stated in 
the manufacturer literature shall be the product capacity. If the blast 
chiller or blast freezer is able to operate as both a blast chiller and 
a blast freezer when set to different operating modes by the user and 
the manufacturer literature specifies different product capacities for 
blast chilling and blast freezing, the largest capacity by weight stated 
for the respective operating mode shall be the product capacity. If no 
product capacity is stated in the manufacturer literature, the product 
capacity shall be the product capacity that fills the maximum number of 
12 in. by 20 in. by 2.5 in. pans that can be loaded into the blast 
chiller or blast freezer according to section 1.7 of this appendix. If 
the blast chiller or blast freezer with no product capacity stated in 
the manufacturer literature is not capable of meeting the definition of 
a blast chiller or blast freezer according to Sec.  431.62 upon testing 
according to section 1 of this appendix, one 12 in. by 20 in. by 2.5 in. 
pan shall be removed from the blast chiller or blast freezer until the 
definition of a blast chiller or blast freezer is met according to Sec.  
431.62 when testing according to section 1 of this appendix.

[88 FR 66229, Sept. 26, 2023]



                 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.
    Basic model means all commercial warm air furnaces manufactured by 
one manufacturer within a single equipment class, that have the same 
nominal input rating and the same primary energy source (e.g. gas or 
oil) and that do not have any differing physical or functional 
characteristics that affect energy efficiency.
    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.

[[Page 55]]

    Thermal efficiency two for a commercial warm air furnace equals 100 
percent minus percent flue loss and jacket loss.
    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.

[69 FR 61939, Oct. 21, 2004, as amended at 76 FR 12503, Mar. 7, 2011; 78 
FR 79598, Dec. 31, 2013; 88 FR 36233, June 2, 2023]

                             Test Procedures



Sec.  431.75  Materials incorporated by reference.

    (a) Certain material is incorporated by reference into this subpart 
with the approval of the Director of the Federal Register in accordance 
with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other 
than that specified in this section, DOE must publish a document in the 
Federal Register and the material must be available to the public. All 
approved incorporation by reference (IBR) material is available for 
inspection at DOE, and at the National Archives and Records 
Administration (NARA). Contact DOE at: the U.S. Department of Energy, 
Office of Energy Efficiency and Renewable Energy, Building Technologies 
Program, 1000 Independence Ave. SW, EE-5B, Washington, DC 20585, (202) 
586-9127, [email protected], www.energy.gov/eere/buildings/building-
technologies-office. For information on the availability of this 
material at NARA, visit: www.archives.gov/federal-register/cfr/ibr-
locations.html or email: [email protected]. The material may be 
obtained from the sources in the following paragraphs of this section.
    (b) AHRI. Air-Conditioning, Heating, and Refrigeration Institute, 
2311 Wilson Blvd., Suite 400, Arlington, VA 22201, (703) 524-8800, or 
online at: www.ahrinet.org.
    (1) ANSI/AHRI 1500-2015 (``AHRI 1500-2015''), Performance Rating of 
Commercial Space Heating Boilers, ANSI-approved November 28, 2014; IBR 
approved for appendix A to this subpart.
    (2) [Reserved]
    (c) ANSI. American National Standards Institute. 25 W 43rd Street, 
4th Floor, New York, NY 10036. (212) 642-4900 or online at: 
www.ansi.org.
    (1) CSA/ANSI Z21.47:21, (``ANSI Z21.47-2021''), Gas-fired central 
furnaces, ANSI-approved April 21, 2021; IBR approved for appendices A 
and B to this subpart.
    (2) [Reserved]
    (d) ASHRAE. American Society of Heating, Refrigerating and Air-
Conditioning Engineers Inc., 180 Technology Parkway NW, Peachtree 
Corners, Georgia 30092, (404) 636-8400, or online at: www.ashrae.org.
    (1) ANSI/ASHRAE 103-2022 (``ASHRAE 103-2022''), Method of Testing 
for Annual Fuel Utilization Efficiency of Residential Central Furnaces 
and Boilers, approved January 10, 2022; IBR approved for appendix A to 
this subpart.
    (2) [Reserved]
    (e) ASME. American Society of Mechanical Engineers, Service Center, 
22 Law Drive, P.O. Box 2900, Fairfield, NJ 07007, (973) 882-1170, or 
online at: www.asme.org.
    (1) ANSI/ASME PTC 19.3-1974 (R2004), Supplement to ASME Performance 
Test Codes: Part 3: Temperature Measurement, Instruments and Apparatus, 
reaffirmed 2004; IBR approved for appendix A to this subpart.
    (2) [Reserved]
    (f) ASTM. ASTM International, 100 Barr Harbor Drive, P.O. Box C700, 
West Conshohocken, PA 19428, (877) 909-2786, or online at: 
www.astm.org/.
    (1) ASTM D240-09, Standard Test Method for Heat of Combustion of 
Liquid Hydrocarbon Fuels by Bomb Calorimeter, approved July 1, 2009; IBR 
approved for appendix A to this subpart.
    (2) ASTM D396-14a, Standard Specification for Fuel Oils, approved 
October 1, 2014; IBR approved for appendix A to this subpart.
    (3) ASTM D4809-09a, Standard Test Method for Heat of Combustion of 
Liquid Hydrocarbon Fuels by Bomb Calorimeter (Precision Method); 
approved September 1, 2009; IBR approved for appendix A to this subpart.
    (4) ASTM D5291-10, Standard Test Methods for Instrumental 
Determination

[[Page 56]]

of Carbon, Hydrogen, and Nitrogen in Petroleum Products and Lubricants, 
approved May 1, 2010; IBR approved for appendix A to this subpart.
    (5) ASTM E230/E230M-17 (``ASTM E230/E230M-17''), Standard 
Specification for Temperature-Electromotive Force (emf) Tables for 
Standardized Thermocouples, approved November 1, 2017; IBR approved for 
appendix A to this subpart.
    (g) NFPA. National Fire Protection Association, 1 Batterymarch Park, 
Quincy, MA 02169-7471, 1-800-344-3555, or online at: www.nfpa.org.
    (1) NFPA 97 (``NFPA 97-2003''), Standard Glossary of Terms Relating 
to Chimneys, Vents, and Heat-Producing Appliances; copyright 2023; IBR 
approved for appendix A to this subpart.
    (2) [Reserved]
    (h) UL. Underwriters Laboratories, Inc., 333 Pfingsten Road, 
Northbrook, IL 60062, (847) 272-8800, or online at: www.ul.com.
    (1) UL 727 (``UL 727-2018''), Standard for Safety Oil-Fired Central 
Furnaces, Tenth Edition, published January 31, 2018; IBR approved for 
appendix A to this subpart.
    (2) [Reserved]

[88 FR 36234, June 2, 2023]



Sec.  431.76  Uniform test method for the measurement of energy 
efficiency of commercial warm air furnaces.

    (a) Scope. This section prescribes the test requirements used to 
measure the energy efficiency of commercial warm air furnaces with a 
rated maximum input of 225,000 Btu per hour or more.
    (b) Testing and calculations--(1) Thermal efficiency. Test in 
accordance with appendix A to subpart D of this part when making 
representations of thermal efficiency.
    (2) Thermal efficiency two. Test in accordance with appendix B to 
subpart D of this part when making representations of thermal efficiency 
two.

[88 FR 36234, June 2, 2023]

                      Energy Conservation Standards



Sec.  431.77  Energy conservation standards and their effective dates.

    (a) Gas-fired commercial warm air furnaces. Each gas-fired 
commercial warm air furnace must meet the following energy efficiency 
standard levels:
    (1) For gas-fired commercial warm air furnaces manufactured starting 
on January 1, 1994, until January 1, 2023, the TE at the maximum rated 
capacity (rated maximum input) must be not less than 80 percent; and
    (2) For gas-fired commercial warm air furnaces manufactured starting 
on January 1, 2023, the TE at the maximum rated capacity (rated maximum 
input) must be not less than 81 percent.
    (b) Oil-fired commercial warm air furnaces. Each oil-fired 
commercial warm air furnace must meet the following energy efficiency 
standard levels:
    (1) For oil-fired commercial warm air furnaces manufactured starting 
on January 1, 1994, until January 1, 2023, the TE at the maximum rated 
capacity (rated maximum input) must be not less than 81 percent; and
    (2) For oil-fired commercial warm air furnaces manufactured starting 
on January 1, 2023, the TE at the maximum rated capacity (rated maximum 
input) must be not less than 82 percent.

[81 FR 2528, Jan. 15, 2016]



   Sec. Appendix A to Subpart D of Part 431--Uniform Test Method for 
  Measurement of the Energy Efficiency of Commercial Warm Air Furnaces 
                          (Thermal Efficiency)

    Note: On and after May 28, 2024, any representations made with 
respect to the energy use or efficiency of commercial warm air furnaces 
must be made in accordance with the results of testing pursuant to this 
section. At that time, manufacturers must use the relevant procedures 
specified in this appendix, which reference ANSI Z21.47-2021, ASHRAE 
103-2022, UL 727-2018, or AHRI 1500-2015. On and after July 3, 2023 and 
prior to May 28, 2024, manufacturers must test commercial warm air 
furnaces in accordance with this appendix or 10 CFR 431.76 as it 
appeared on January 1, 2023. DOE notes that, because testing under this 
section is required as of May 28, 2024, manufacturers may wish to begin 
using this amended test procedure as soon as possible. Any 
representations made with respect to the energy use or efficiency of 
such commercial warm air furnaces must be made in accordance with 
whichever version is selected.
    Manufacturers must use the results of testing under appendix B to 
this subpart to determine compliance with any standards for commercial 
warm air furnaces that use the thermal efficiency 2 (TE2) metric.
    0. Incorporation by reference.

[[Page 57]]

    In Sec.  431.75, DOE incorporated by reference the entire standard 
for AHRI 1500-2015, ANSI Z21.47-2021, ASHRAE 103-2022, ASME PTC 19.3-
1974 (R2004), ASTM D240-09, ASTM D396-14a, ASTM D4809-09a, ASTM D5291-
10, ASTM E230/E230M-17, NFPA 97-2003, and UL 727-2018. However, for 
standards AHRI 1500-2015, ANSI Z21.47-2021, ASHRAE 103-2022, and UL 727-
2018, only the enumerated provisions of those documents apply to this 
appendix, as follows:
    0.1 ANSI Z21.47-2021
    (a) Sections 5.1, 5.1.4, 5.2, 5.3, 5.4, 5.5, 5.5.1, 5.6, and 7.2.1 
as specified in section 1.1 of this appendix;
    (b) Section 5.40 as specified in sections 1.1 and 3.1 of this 
appendix;
    (c) Section 5.2.8 as specified in section 4.1 of this appendix;
    (d) Annex I as specified in section 3.1 of this appendix.
    0.2 ASHRAE 103-2022
    (a) Sections 7.2.2.4, 7.8, and 9.2 as specified in section 2.2 of 
this appendix;
    (b) Sections 11.3.7.1 and 11.3.7.2 as specified in section 4.1 of 
this appendix.
    0.3 UL 727-2018
    (a) Sections 2, 3, 37, 38 and 39, 40, 40.6, 41, 42, 43.2, 44, 45, 
and 46 as specified in section 1.2 of this appendix;
    (b) Figure 40.3 as specified in section 2.1 of this appendix.
    0.4 AHRI 1500-2015
    (a) Section C3.2.1.1 as specified in section 1.2 of this appendix;
    (b) Sections C7.2.4, C7.2.5, and C7.2.6.2 as specified in section 
3.2 of this appendix.
    1. Test setup and Testing. Where this section prescribes use of ANSI 
Z21.47-2021 or UL 727-2018, perform only the procedures pertinent to the 
measurement of the steady-state efficiency, as specified in this 
section.
    1.1 Gas-fired commercial warm air furnaces. The test setup, 
including flue requirement, instrumentation, test conditions, and 
measurements for determining thermal efficiency are as specified in 
section 1.3 of this appendix, and the following sections of ANSI Z21.47-
2021: 5.1 (General, including ASME PTC 19.3-1974 (R2004) as referenced 
in Section 5.1.4), 5.2 (Basic test arrangements), 5.3 (Test ducts and 
plenums), 5.4 (Test gases), 5.5 (Test pressures and burner adjustments), 
5.6 (Static pressure and air flow adjustments), 5.40 (Thermal 
efficiency), and 7.2.1 (Basic test arrangements for direct vent central 
furnaces). If section 1.3 of this appendix and ANSI Z21.47-2021 have 
conflicting provisions (e.g., the number of thermocouples that should be 
used when testing units with flue outlets that have a cross-sectional 
area of 3.14 square inches or less), follow the provisions in section 
1.3 of this appendix. The thermal efficiency test must be conducted only 
at the normal inlet test pressure, as specified in section 5.5.1 of ANSI 
Z21.47-2021, and at the maximum hourly Btu input rating specified by the 
manufacturer for the product being tested.
    1.2 Oil-fired commercial warm air furnaces. The test setup, 
including flue requirement, instrumentation, test conditions, and 
measurement for measuring thermal efficiency is as specified in section 
1.3 of this appendix and the following sections of UL 727-2018: 2 (Units 
of Measurement), 3 (Glossary, except that the definitions for 
``combustible'' and ``non-combustible'' in sections 3.11 and 3.27 shall 
be as referenced in NFPA 97-2003), 37 (General), 38 and 39 (Test 
Installation), 40 (Instrumentation, except 40.4 and 40.6.2 through 
40.6.7 which are not required for the thermal efficiency test, and 
including ASTM E230/E230M-17 as referenced in Sections 40.6), 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). If section 1.3 of this appendix and UL 727-2018 have conflicting 
provisions (e.g., the number of thermocouples that should be used when 
testing units with flue outlets that have a cross-sectional area of 3.14 
inches or less), follow the provisions in section 1.3 of this appendix. 
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 C3.2.1.1 of AHRI 1500-2015, including 
the applicable provisions of ASTM D240-09, ASTM D4809-09a, ASTM D5291-
10, and ASTM D396-14a, as referenced. The steady-state combustion 
conditions, specified in section 42.1 of UL 727-2018, 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.
    1.3 Additional test setup requirements for gas-fired and oil-fired 
commercial warm air furnaces
    1.3.1 Thermocouple setup for gas-fired and oil-fired commercial warm 
air furnaces with flue outlets that have a cross-sectional area of 3.14 
square inches or less. For units with flue outlets having a cross-
sectional area of 3.14 square inches or less, the flue gas temperatures 
may optionally be measured using five individual thermocouples, instead 
of nine thermocouples.
    1.3.2 Procedure for flue gas measurements when testing units with 
multiple flue outlets. For units that have multiple flue outlets, record 
flue gas measurements (e.g., flue gas temperature, CO2 in the 
flue gasses) separately for each individual flue outlet and calculate a 
weighted-average value based on the readings of all flue outlets. To 
determine the weighted average for each measurement, first determine the 
input rating of the furnace module associated with each flue outlet. 
Then multiply the ratio of the input rating for the furnace module 
associated with each individual flue outlet to the total

[[Page 58]]

nameplate input rating of the furnace (i.e., the input rating associated 
with each individual flue outlet divided by the total nameplate input 
rating) by that flue outlet's respective component measurement and the 
sum of all of the products of the calculations for all of the flue 
outlets to determine the weighted-average values. Use the weighted-
average values to determine flue loss, and whether equilibrium 
conditions are met before the official test period.
    2. Additional test measurements
    2.1 Determination of flue CO2 (carbon dioxide) or 
O2 (oxygen) for oil-fired commercial warm air furnaces. In 
addition to the flue temperature measurement specified in section 40.6.8 
of UL 727-2018, locate one or two sampling tubes within six inches 
downstream from the flue temperature probe (as indicated on Figure 40.3 
of UL 727-2018). If an open end tube is used, it must project into the 
flue one-third of the chimney connector diameter. If other methods of 
sampling the flue gas are used, 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. Collect the flue gas sample at the 
same time the flue gas temperature is recorded. The CO2 or 
O2 concentration of the flue gas must be as specified by the 
manufacturer for the product being tested, with a tolerance of 0.1 percent. Determine the flue CO2 or 
O2 using an instrument with a reading error no greater than 
0.1 percent.
    2.2 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 ASHRAE 103-2022 under the maximum rated input conditions. This 
condensate measurement must be conducted for an additional 30 minutes of 
steady-state operation after completion of the steady-state thermal 
efficiency test specified in section 1.1 of this appendix.
    3. Calculation of thermal efficiency
    3.1 Gas-fired commercial warm air furnaces. Use the calculation 
procedure specified in Section 5.40, Thermal efficiency, of ANSI Z21.47-
2021. When determining the flue loss that is used in the calculation of 
thermal efficiency, the calculation method specified in Annex I of ANSI 
Z21.47-2021 shall be used.
    3.2 Oil-fired commercial warm air furnaces. Calculate the percent 
flue loss (in percent of heat input rate) by following the procedure 
specified in sections C7.2.4, C7.2.5, and C7.2.6.2 of the AHRI 1500-
2015. The thermal efficiency must be calculated as: Thermal Efficiency 
(percent) = 100 percent - flue loss (in percent).
    4. 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.
    4.1 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 103-2022, 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 5.2.8 of ANSI Z21.47.
    4.2 Adjustment to the thermal efficiency for condensing commercial 
warm air furnaces. Adjust the thermal efficiency as calculated in 
section 3.1 of this appendix 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), 
also expressed in percent, both as calculated in section 4.1 of this 
appendix, to obtain the thermal efficiency of a condensing furnace.

[88 FR 36234, June 2, 2203]



    Sec. Appendix B to Subpart D of Part 431-Uniform Test Method for 
  Measurement of the Energy Efficiency of Commercial Warm Air Furnaces 
                        (Thermal Efficiency Two)

    Note: Manufacturers must use the results of testing under this 
appendix B to determine compliance with any standards for commercial 
warm air furnaces that use the thermal efficiency 2 (TE2) metric. In 
addition, manufacturers may optionally make representations of energy 
use or efficiency of this equipment using TE2 as determined using this 
appendix starting on July 3, 2023.
    0. Incorporation by Reference.
    In Sec.  431.75, DOE incorporates by reference the entire standard 
ANSI Z21.47-2021. However, only section 5.40 and Appendix J of ANSI 
Z21.47-2021 apply, as specified in sections 1.2 and 1.6 of this 
appendix.
    1. Testing
    1.1 Set up and test the unit according to sections 0 through 4 of 
appendix A to this subpart, while operating the unit at the maximum 
nameplate input rate (i.e., full load). Calculate thermal efficiency 
(TE) using the procedure specified in sections 3 and 4 of appendix A to 
this subpart.
    1.2 For commercial warm air furnaces that are designed for outdoor 
installation (including but not limited to CWAFs that are weatherized, 
or approved for resistance to wind, rain, or snow), or indoor 
installation within an unheated space (i.e., isolated combustion 
systems), determine the jacket loss using Section 5.40 and Annex J of 
ANSI Z21.47-2021 while the unit is operating at the

[[Page 59]]

maximum nameplate input. The jacket shall consist of the surfaces 
surrounding the heating section of the furnace. The jacket includes all 
surfaces separating the heating section from the supply air, outside 
air, or condenser section, including the bottom surface separating the 
heating section from the basepan.
    1.3 For commercial warm air furnaces that are designed only for 
indoor installation within a heated space, jacket loss shall be zero. 
For commercial warm air furnaces that are designed for indoor 
installation within a heated or unheated space, multiply the jacket loss 
determined in section 1.2 of this appendix by 1.7. For all other 
commercial warm air furnaces, including commercial warm air furnaces 
that are designed for outdoor installation (including but not limited to 
CWAFs that are weatherized, or approved for resistance to wind, rain, or 
snow), multiply the jacket loss determined in section 1.2 of this 
appendix by 3.3.
    1.4 Subtract the jacket loss determined in section 1.3 of this 
appendix from the TE determined in section 1.1 of this appendix to 
determine the full-load efficiency.
    1.5 Set up and test the unit according to sections 0 through 4 of 
appendix A to this subpart, while operating the unit at the nameplate 
minimum input rate (i.e., part load). Calculate TE using the procedure 
specified in sections 3 and 4 of appendix A to this subpart.
    1.6 For commercial warm air furnaces that are designed for outdoor 
installation (including but not limited to CWAFs that are weatherized, 
or approved for resistance to wind, rain, or snow), or indoor 
installation within an unheated space (i.e., isolated combustion 
systems), determine the jacket loss using Section 5.40 and Annex J of 
ANSI Z21.47-2021 while the unit is operating at the minimum nameplate 
input. Alternatively, the jacket loss determined in section 1.2 of this 
appendix at the maximum nameplate input may be used.
    1.7 For commercial warm air furnaces that are designed only for 
indoor installation within a heated space, jacket loss shall be zero. 
For commercial warm air furnaces that are designed for indoor 
installation within a heated or unheated space, multiply the jacket loss 
determined in section 1.6 of this appendix by 1.7. For all other 
commercial warm air furnaces, including commercial warm air furnaces 
that are designed for outdoor installation (including but not limited to 
CWAFs that are weatherized, or approved for resistance to wind, rain, or 
snow), multiply the jacket loss determined in section 1.6 of this 
appendix by 3.3.
    1.8 Subtract the jacket loss determined in section 1.7 of this 
appendix from the TE determined in section 1.5 of this appendix to 
determine the part-load efficiency.
    1.9 Calculate TE2 by taking the average of the full-load and part-
load efficiencies as determined in sections 1.4 and 1.8 of this 
appendix, respectively.

[88 FR 36235, June 2, 2023]



                  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.
    Basic model means all commercial packaged boilers manufactured by 
one manufacturer within a single equipment class having the same primary 
energy source (e.g., gas or oil) and that have essentially identical 
electrical, physical and functional characteristics that affect energy 
efficiency.
    Btu/h or Btu/hr means British thermal units per hour.
    Combustion efficiency for a commercial packaged boiler is a 
measurement of how much of the fuel input energy is converted to useful 
heat in combustion and is calculated as 100-percent minus percent losses 
due to dry flue gas, incomplete combustion, and moisture formed by 
combustion of hydrogen, as determined with the test procedures 
prescribed under Sec.  431.86 of this chapter.
    Commercial packaged boiler means a packaged boiler that meets all of 
the following criteria:
    (1) Has rated input of 300,000 Btu/h or greater;
    (2) Is, to any significant extent, distributed in commerce for space 
conditioning and/or service water heating in

[[Page 60]]

buildings but does not meet the definition of ``hot water supply 
boiler'' in this part;
    (3) Does not meet the definition of ``field-constructed'' in this 
section; and
    (4) Is designed to:
    (i) Operate at a steam pressure at or below 15 psig;
    (ii) Operate at or below a water pressure of 160 psig and water 
temperature of 250 [deg]F; or
    (iii) Operate at the conditions specified in both paragraphs (4)(i) 
and (ii) of this definition.
    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.
    Field-constructed means custom-designed equipment that requires 
welding of structural components in the field during installation. For 
the purposes of this definition, welding does not include attachment 
using mechanical fasteners or brazing; any jackets, shrouds, venting, 
burner, or burner mounting hardware are not structural components.
    Flue condensate means liquid formed by the condensation of moisture 
in the flue gases.
    Fuel input rate for a commercial packaged boiler means the measured 
rate at which the commercial packaged boiler uses energy and is 
determined using test procedures prescribed under Sec.  431.86 of this 
chapter.
    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 and is 
usually shipped in one or more sections. 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.
    Rated input means the maximum rate at which the commercial packaged 
boiler has been rated to use energy as indicated by the nameplate and in 
the manual shipped with the commercial packaged boiler.
    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; 
76 FR 12503, Mar. 7, 2011; 78 FR 79598, Dec. 31, 2013; 81 FR 89304, Dec. 
9, 2016]

                             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

[[Page 61]]

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) 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) AHRI Standard 1500-2015, (``ANSI/AHRI Standard 1500-2015''), 
``2015 Standard for Performance Rating of Commercial Space Heating 
Boilers,'' ANSI approved November 28, 2014, IBR approved for appendix A 
to subpart E as follows:
    (i) Section 3--Definitions (excluding introductory text to section 
3, introductory text to 3.2, 3.2.4, 3.2.7, 3.6, 3.12, 3.13, 3.20, 3.23, 
3.24, 3.26, 3.27, and 3.31);
    (ii) Section 5--Rating Requirements, 5.3 Standard Rating Conditions: 
(excluding introductory text to section 5.3, 5.3.5, 5.3.8, and 5.3.9);
    (iii) Appendix C--Methods of Testing for Rating Commercial Space 
Heating Boilers--Normative, excluding C2.1, C2.7.2.2.2, C3.1.3, C3.5-
C3.7, C4.1.1.1.2, C4.1.1.2.3, C4.1.2.1.5, C4.1.2.2.2, C4.1.2.2.3, C4.2, 
C5, C7.1, C7.2.12, C7.2.20;
    (iv) Appendix D. Properties of Saturated Steam--Normative.
    (v) Appendix E. Correction Factors for Heating Values of Fuel 
Gases--Normative.
    (2) [Reserved].

[74 FR 36354, July 22, 2009, as amended at 81 FR 89305, Dec. 9, 2016]



Sec.  431.86  Uniform test method for the measurement of energy efficiency
of commercial packaged boilers.

    (a) Scope. This section provides test procedures, pursuant to the 
Energy Policy and Conservation Act (EPCA), as amended, which must be 
followed for measuring the combustion efficiency and/or thermal 
efficiency of a gas- or oil-fired commercial packaged boiler.
    (b) Testing and Calculations. Determine the thermal efficiency or 
combustion efficiency of commercial packaged boilers by conducting the 
appropriate test procedure(s) indicated in Table 1 of this section.

                   Table 1--Test Requirements for Commercial Packaged Boiler Equipment Classes
----------------------------------------------------------------------------------------------------------------
                                                                                                Test procedure
                                                                                               (corresponding to
                                                        Certified rated        Standards           standards
       Equipment category             Subcategory         input Btu/h      efficiency metric   efficiency metric
                                                                            (Sec.   431.87)    required by Sec.
                                                                                                    431.87)
----------------------------------------------------------------------------------------------------------------
Hot Water.......................  Gas-fired.........  =300,00  Thermal Efficiency  Appendix A,
                                                       0 and <=2,500,000.                      Section 2.
Hot Water.......................  Gas-fired.........  2,500,0  Combustion          Appendix A,
                                                       00.                 Efficiency.         Section 3.
Hot Water.......................  Oil-fired.........  =300,00  Thermal Efficiency  Appendix A,
                                                       0 and <=2,500,000.                      Section 2.
Hot Water.......................  Oil-fired.........  2,500,0  Combustion          Appendix A,
                                                       00.                 Efficiency.         Section 3.
Steam...........................  Gas-fired (all*)..  =300,00  Thermal Efficiency  Appendix A,
                                                       0 and <=2,500,000.                      Section 2.
Steam...........................  Gas-fired (all*)..  2,500,0  Thermal Efficiency  Appendix A,
                                                       00 and                                  Section 2.
                                                       <=5,000,000.
                                                      5,000,0  Thermal Efficiency  Appendix A,
                                                       00.                                     Section 2.
                                                                                              OR
                                                                                              Appendix A,
                                                                                               Section 3 with
                                                                                               Section 2.4.3.2.
Steam...........................  Oil-fired.........  =300,00  Thermal Efficiency  Appendix A,
                                                       0 and <=2,500,000.                      Section 2.
Steam...........................  Oil-fired.........  2,500,0  Thermal Efficiency  Appendix A,
                                                       00 and                                  Section 2.
                                                       <=5,000,000.
                                                      5,000,0  Thermal Efficiency  Appendix A,
                                                       00.                                     Section 2.
                                                                                              OR
                                                                                              Appendix A,
                                                                                               Section 3. with
                                                                                               Section 2.4.3.2.
----------------------------------------------------------------------------------------------------------------
* Equipment classes for commercial packaged boilers as of July 22, 2009 (74 FR 36355) distinguish between gas-
  fired natural draft and all other gas-fired (except natural draft).

    (c) Field Tests. The field test provisions of appendix A may be used 
only to test a unit of commercial packaged boiler with rated input 
greater than 5,000,000 Btu/h.

[81 FR 89305, Dec. 9, 2016]

[[Page 62]]

                       Energy Efficiency Standards



Sec.  431.87  Energy conservation standards and their effective dates.

    (a) Each commercial packaged boiler listed in table 1 of this 
paragraph (a) and manufactured on or after the effective date listed 
must meet the indicated energy conservation standard.

               Table 1 to Paragraph (a)--Commercial Packaged Boiler Energy Conservation Standards
----------------------------------------------------------------------------------------------------------------
                                                                                     Efficiency level--effective
         Equipment category                Subcategory        Certified rated input     date: March 2, 2012 *
----------------------------------------------------------------------------------------------------------------
Hot Water Commercial Packaged        Gas-fired.............  =300,000     80.0% ET.
 Boilers.                                                     Btu/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     82.0% ET.
 Boilers.                                                     Btu/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     79.0% ET.
                                      natural draft.          Btu/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      =300,000     77.0% ET.
                                      draft.                  Btu/h and <=2,500,000
                                                              Btu/h.
Steam Commercial Packaged Boilers..  Gas-fired--natural      2,500,000    77.0% ET.
                                      draft.                  Btu/h.
Steam Commercial Packaged Boilers..  Oil-fired.............  =300,000     81.0% ET.
                                                              Btu/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.

    (b) Each commercial packaged boiler listed in table 2 of this 
paragraph (b) and manufactured on or after the effective date listed in 
Table 2 must meet the indicated energy conservation standard.

               Table 2 to Paragraph (b)--Commercial Packaged Boiler Energy Conservation Standards
----------------------------------------------------------------------------------------------------------------
                                                                                     Efficiency level--effective
         Equipment category                Subcategory        Certified rated input     date: March 2, 2022 *
----------------------------------------------------------------------------------------------------------------
Steam Commercial Packaged Boilers..  Gas-fired--natural      =300,000     79.0% ET.
                                      draft.                  Btu/h and <=2,500,000
                                                              Btu/h.
Steam Commercial Packaged Boilers..  Gas-fired--natural      2,500,000    79.0% ET.
                                      draft.                  Btu/h.
----------------------------------------------------------------------------------------------------------------
* Where ET is thermal efficiency.


[88 FR 64352, Sept. 19, 2023]



 Sec. Appendix A to Subpart E of Part 431--Uniform Test Method for the 
     Measurement of Thermal Efficiency and Combustion Efficiency of 
                       Commercial Packaged Boilers

    Note: Prior to December 4, 2017, manufacturers must make any 
representations with respect to the energy use or efficiency of 
commercial packaged boilers in accordance with the results of testing 
pursuant to this Appendix or the test procedures as they appeared in 10 
CFR 431.86 revised as of January 1, 2016. On and after December 4, 2017, 
manufacturers must make any representations with respect to energy use 
or efficiency in accordance with the results of testing pursuant to this 
appendix.

    1. Definitions.

[[Page 63]]

    For purposes of this appendix, the Department of Energy incorporates 
by reference the definitions established in section 3 of the American 
National Standards Institute (ANSI) and Air-Conditioning, Heating, and 
Refrigeration Institute (AHRI) Standard 1500, ``2015 Standard for 
Performance Rating of Commercial Space Heating Boilers,'' beginning with 
3.1 and ending with 3.35 (incorporated by reference, see Sec.  431.85; 
hereafter ``ANSI/AHRI Standard 1500-2015''), excluding the introductory 
text to section 3, the introductory text to section 3.2, ``Boiler''; 
3.2.4, ``Heating Boiler''; 3.2.7, ``Packaged Boiler''; 3.6, ``Combustion 
Efficiency''; 3.12, ``Efficiency, Combustion''; 3.13, ``Efficiency, 
Thermal''; 3.20, ``Gross Output''; 3.23, ``Input Rating''; 3.24, ``Net 
Rating''; 3.26, ``Published Rating''; 3.26.1, ``Standard Rating''; 3.27, 
``Rating Conditions''; 3.27.1, ``Standard Rating Conditions''; and 3.31, 
``Thermal Efficiency.'' In cases where there is a conflict, the language 
of the test procedure in this appendix takes precedence over ANSI/AHRI 
Standard 1500-2015.
    1.1. In all incorporated sections of ANSI/AHRI Standard 1500-2015, 
references to the manufacturer's ``specifications,'' 
``recommendations,'' ``directions,'' or ``requests'' mean the 
manufacturer's instructions in the installation and operation manual 
shipped with the commercial packaged boiler being tested or in 
supplemental instructions provided by the manufacturer pursuant to Sec.  
429.60(b)(4) of this chapter. For parameters or considerations not 
specified in this appendix, refer to the manual shipped with the 
commercial packaged boiler. Should the manual shipped with the 
commercial packaged boiler not provide the necessary information, refer 
to the supplemental instructions for the basic model pursuant to Sec.  
429.60(b)(4) of this chapter. The supplemental instructions provided 
pursuant to Sec.  429.60(b)(4) of this chapter do not replace or alter 
any requirements in this appendix nor do they override the manual 
shipped with the commercial packaged boiler. In cases where these 
supplemental instructions conflict with any instructions or provisions 
provided in the manual shipped with the commercial packaged boiler, use 
the manual shipped with the commercial packaged boiler.
    1.2. Unless otherwise noted, in all incorporated sections of ANSI/
AHRI Standard 1500-2015, the term ``boiler'' means a commercial packaged 
boiler as defined in Sec.  431.82.
    1.3. Unless otherwise noted, in all incorporated sections of ANSI/
AHRI Standard 1500-2015, the term ``input rating'' means ``rated input'' 
as defined in Sec.  431.82.
    2. Thermal Efficiency Test.
    2.1. Test Setup.
    2.1.1. Instrumentation. Use instrumentation meeting the minimum 
requirements found in Table C1 of Appendix C of ANSI/AHRI Standard 1500-
2015 (incorporated by reference, see Sec.  431.85).
    2.1.2. Data collection and sampling. Record all test data in 
accordance with Table 2.1 and Table 2.2. Do not use Section C5 and Table 
C4 of Appendix C of ANSI/AHRI Standard 1500-2015.

              Table 2.1--Data To Be Recorded Before Testing
------------------------------------------------------------------------
               Item recorded                   Additional instruction
------------------------------------------------------------------------
Date of Test..............................  None.
Manufacturer..............................  None.
Commercial Packaged Boiler Model Number...  None.
Burner Model Number & Manufacturer........  None.
Nozzle description and oil pressure.......  None.
Oil Analysis--H, C, API Gravity, lb/gal     None.
 and Btu/lb.
Gas Manifold Pressure.....................  Record at start and end of
                                             test.
Gas line pressure at meter................  Measurement may be made
                                             manually.
Gas temperature...........................  Measurement may be made
                                             manually.
Barometric Pressure (Steam and Natural Gas  Measurement may be made
 Only).                                      manually.
Gas Heating Value, Btu/ft \3\*............  Record at start and end of
                                             test.
------------------------------------------------------------------------
* Multiplied by correction factors, as applicable, in accordance with
  Appendix E of ANSI/AHRI Standard 1500-2015.


[[Page 64]]

[GRAPHIC] [TIFF OMITTED] TR09DE16.023

    2.1.3. Instrument Calibration. Instruments must be calibrated at 
least once per year and a calibration record, containing at least the 
date of calibration and the method of calibration, must be kept as part 
of the data underlying each basic model certification, pursuant to Sec.  
429.71 of this chapter.

[[Page 65]]

    2.1.4. Test Setup and Apparatus. Set up the commercial packaged 
boiler for thermal efficiency testing according to the provisions of 
Section C2 (except section C2.1) of Appendix C of ANSI/AHRI Standard 
1500-2015 (incorporated by reference, see Sec.  431.85).
    2.1.4.1. For tests of oil-fired commercial packaged boilers, 
determine the weight of fuel consumed using one of the methods specified 
in the following sections 2.1.4.1.1. or 2.1.4.1.2. of this appendix:
    2.1.4.1.1. If using a scale, determine the weight of fuel consumed 
as the difference between the weight of the oil vessel before and after 
each measurement period, as specified in sections 2.1.4.1.3.1. or 
2.1.4.1.3.2. of this appendix, determined using a scale meeting the 
accuracy requirements of Table C1 of Appendix C of ANSI/AHRI Standard 
1500-2015.
    2.1.4.1.2. If using a flow meter, first determine the volume of fuel 
consumed as the total volume over the applicable measurement period as 
specified in 2.1.4.1.3.1. or 2.1.4.1.3.2. of this appendix and as 
measured by a flow meter meeting the accuracy requirements of Table C1 
of Appendix C of ANSI/AHRI Standard 1500-2015 upstream of the oil inlet 
port of the commercial packaged boiler. Then determine the weight of 
fuel consumed by multiplying the total volume of fuel over the 
applicable measurement period by the density of oil as determined 
pursuant to C3.2.1.1.3. of Appendix C of ANSI/AHRI Standard 1500-2015.
    2.1.4.1.3. The applicable measurement period for the purposes of 
determining fuel input rate must be as specified in section 2.1.4.1.3.1. 
of this appendix for the ``Warm-Up Period'' or section 2.1.4.1.3.2. of 
this appendix for the ``Test Period.''
    2.1.4.1.3.1. For the purposes of confirming steady-state operation 
during the ``Warm-Up Period,'' the measurement period must be 15 minutes 
and tT in Equation C2 in Section C7.2.3.1 of Appendix C of 
ANSI/AHRI Standard 1500-2015 must be 0.25 hours to determine fuel input 
rate.
    2.1.4.1.3.2. For the purposes of determining thermal efficiency 
during the ``Test Period,'' the measurement period and tT are 
as specified in sections 2.3.4 and 2.3.5 of this appendix.
    2.1.4.2 For tests of gas-fired commercial packaged boilers, install 
a volumetric gas meter meeting the accuracy requirements of Table C1 of 
Appendix C of ANSI/AHRI Standard 1500-2015 upstream of the gas inlet 
port of the commercial packaged boiler. Record the accumulated gas 
volume consumed for each applicable measurement period. Use Equation 
C7.2.3.2. of Appendix C of ANSI/AHRI Standard 1500-2015 to calculate 
fuel input rate.
    2.1.4.2.1. The applicable measurement period for the purposes of 
determining fuel input rate must be as specified in section 2.1.4.2.1.1. 
of this appendix for the ``Warm-Up Period'' and 2.1.4.2.1.2. of this 
appendix for the ``Test Period.''
    2.1.4.2.1.1. For the purposes of confirming steady-state operation 
during the ``Warm-Up Period,'' the measurement period must be 15 minutes 
and tT in Equation C2 in Section C7.2.3.1 of Appendix C of 
ANSI/AHRI Standard 1500-2015 must be 0.25 hours to determine fuel input 
rate.
    2.1.4.2.1.2. For the purposes of determining thermal efficiency 
during the ``Test Period,'' the measurement period and tT are 
as specified in sections 2.3.4 and 2.3.5 of this appendix.
    2.1.4.3 In addition to the provisions of Section C2.2.1.2 of ANSI/
AHRI Standard 1500-2015, vent gases may alternatively be discharged 
vertically into a straight stack section without elbows. R-7 minimum 
insulation must extend 6 stack diameters above the flue collar, the 
thermocouple grid must be located at a vertical distance of 3 stack 
diameters above the flue collar, and the sampling tubes for flue gases 
must be installed within 1 stack diameter beyond the thermocouple grid. 
If dilution air is introduced into the flue gases before the plane of 
the thermocouple and flue gas sampling points, utilize an alternate 
plane of thermocouple grid and flue gas sampling point located 
downstream from the heat exchanger and upstream from the point of 
dilution air introduction.
    2.1.5. Additional Requirements for Outdoor Commercial Packaged 
Boilers. If the manufacturer provides more than one outdoor venting 
arrangement, the outdoor commercial packaged boiler (as defined in 
Section 3.2.6 of ANSI/AHRI Standard 1500-2015; incorporated by 
reference, see Sec.  431.85) must be tested with the shortest total 
venting arrangement as measured by adding the straight lengths of 
venting supplied with the equipment. If the manufacturer does not 
provide an outdoor venting arrangement, install the outdoor commercial 
packaged boiler venting consistent with the procedure specified in 
Section C2.2 of Appendix C of ANSI/AHRI Standard 1500-2015.
    2.1.6. Additional Requirements for Steam Tests. In addition to the 
provisions of Section C2 of Appendix C of ANSI/AHRI Standard 1500-2015 
(incorporated by reference, see Sec.  431.85), the following 
requirements apply for steam tests.
    2.1.6.1. Insulate all steam piping from the commercial packaged 
boiler to the steam separator, and extend insulation at least one foot 
(1 ft.) beyond the steam separator, using insulation meeting the 
requirements specified in Table 2.3 of this appendix.

[[Page 66]]

[GRAPHIC] [TIFF OMITTED] TR09DE16.024

    2.1.6.2. A temperature sensing device must be installed in the 
insulated steam piping prior to the water separator if the commercial 
packaged boiler produces superheated steam.
    2.1.6.3. Water entrained in the steam and water condensing within 
the steam piping must be collected and used to calculate the quality of 
steam during the ``Test Period.'' Steam condensate must be collected and 
measured using either a cumulative (totalizing) flow rate or by 
measuring the mass of the steam condensate. Instrumentation used to 
determine the amount of steam condensate must meet the requirements 
identified in Table C1 in Appendix C of ANSI/AHRI Standard 1500-2015.
    2.1.7. Additional Requirements for Water Tests. In addition to the 
provisions of section C2 of Appendix C of ANSI/AHRI Standard 1500-2015 
(incorporated by reference, see Sec.  431.85), the following 
requirements apply for water tests.
    2.1.7.1. Insulate all water piping between the commercial packaged 
boiler and the location of the temperature measuring equipment, 
including one foot (1 ft.) beyond the sensor, using insulation meeting 
the requirements specified in Table 2.3 of this appendix.
    2.1.7.2. Install a temperature measuring device at Point B of Figure 
C9 of ANSI/AHRI Standard 1500-2015 (incorporated by reference, see Sec.  
431.85). Water entering the commercial packaged boiler must first enter 
the run of a tee and exit from the top outlet of the tee. The remaining 
connection of the tee must be plugged. Measure the inlet water 
temperature at Point B in the run of a second tee located 12  2 pipe diameters downstream from the first tee and no 
more than the greater of 12 inches or 6 pipe diameters from the inlet of 
the commercial packaged boiler. The temperature measuring device shall 
extend into the water flow at the point of exit from the side outlet of 
the second tee. All inlet piping between the temperature measuring 
device and the inlet of the commercial packaged boilers must be wrapped 
with R-7 insulation.
    2.1.7.3. Do not use Section C2.7.2.2.2 or its subsections of ANSI/
AHRI Standard 1500-2015 for water meter calibration.
    2.1.8. Flue Gas Sampling. In section C2.5.2 of Appendix C of ANSI/
AHRI Standard 1500-2015, replace the last sentence with the following: 
When taking flue gas samples from a rectangular plane, collect samples 
at \1/4\, \1/2\, and \3/4\ the distance from one side of the rectangular 
plane in the longer dimension and along the centerline midway between 
the edges of the plane in the shorter dimension and use the average of 
the three samples. The tolerance in each dimension for each measurement 
location is  1 inch.
    2.2. Test Conditions.
    2.2.1. General. Use the test conditions from Section 5 and Section 
C3 of Appendix C of ANSI/AHRI Standard 1500-2015 (incorporated by 
reference, see Sec.  431.85) for thermal efficiency testing but do not 
use the following sections:

(1) 5.3 Introductory text
(2) 5.3.5 (and subsections; see sections 2.2.3. and 2.2.4. of this 
appendix)
(3) 5.3.8 (see section 2.2.5. of this appendix)
(4) 5.3.9 (see section 2.2.6. of this appendix)
(5) C3.1.3 (and subsections)
(6) C3.5 (including Table C2; see section 2.2.7. of this appendix)
(7) C3.6 (see section 2.2.5. of this appendix)
(8) C3.7 (see section 2.2.6. of this appendix)

    2.2.2. Burners for Oil-Fired Commercial Packaged Boilers. In 
addition to section C3.3 of Appendix C of ANSI/AHRI Standard 1500-2015, 
the following applies: For oil-fired commercial packaged boilers, test 
the unit with the particular make and model of burner as certified (or 
to be certified) by the manufacturer. If multiple burners are specified 
in the certification report for that basic model, then use any of the 
listed burners for testing.
    2.2.3. Water Temperatures. Maintain the outlet temperature measured 
at Point C in Figure C9 of Appendix C of ANSI/AHRI Standard 1500-2015 at 
180 [deg]F  2 [deg]F and maintain the inlet 
temperature measured at Point B at 80 [deg]F  5 
[deg]F during the ``Warm-up

[[Page 67]]

Period'' and ``Test Period'' as indicated by 1-minute interval data 
pursuant to Table 2.2 of this appendix. Each reading must meet these 
temperature requirements. Use the inlet temperature and flow rate 
measured at Point B in Figure C9 of Appendix C of ANSI/AHRI Standard 
1500-2015 for calculation of thermal efficiency.
    2.2.4 Exceptions to Water Temperature Requirements. For commercial 
packaged boilers that require a higher flow rate than that resulting 
from the water temperature requirements of sections 2.2.3 of this 
appendix to prevent boiling, use a recirculating loop and maintain the 
inlet temperature at Point B of Figure C9 of Appendix C of ANSI/AHRI 
Standard 1500-2015 at 140 [deg]F  5 [deg]F during 
the ``Warm-up Period'' and ``Test Period'' as indicated by 1-minute 
interval data pursuant to Table 2.2 of this appendix. Each reading must 
meet these temperature requirements. Use the inlet temperature and flow 
rate measured at Point A in Figure C9 of Appendix C of ANSI/AHRI 
Standard 1500-2015 for calculation of thermal efficiency.
    2.2.5 Air Temperature. For tests of non-condensing boilers, maintain 
ambient room temperature between 65 [deg]F and 100 [deg]F at all times 
during the ``Warm-up Period'' and ``Test Period'' (as described in 
Section C4 of Appendix C of ANSI/AHRI Standard 1500-2015) as indicated 
by 1-minute interval data pursuant to Table 2.2 of this appendix. For 
tests of condensing boilers, maintain ambient room temperature between 
65 [deg]F and 85 [deg]F at all times during the ``Warm-up Period'' and 
``Test Period'' (as described in Section C4 of Appendix C of ANSI/AHRI 
Standard 1500-2015) as indicated by 1-minute interval data pursuant to 
Table 2.2 of this appendix. The ambient room temperature may not differ 
by more than  5 [deg]F from the average ambient 
room temperature during the entire ``Test Period'' at any reading. 
Measure the room ambient temperature within 6 feet of the front of the 
unit at mid height. The test air temperature, measured at the air inlet 
of the commercial packaged boiler, must be within  
5 [deg]F of the room ambient temperature when recorded at the 1-minute 
interval defined by Table 2.2 of this appendix.
    2.2.6. Ambient Humidity. For condensing boilers, maintain ambient 
room relative humidity below 80-percent at all times during both the 
``Warm-up Period'' and ``Test Period'' (as described in Section C4 of 
Appendix C of ANSI/AHRI Standard 1500-2015) pursuant to Table 2.2 of 
this appendix. Measure the ambient humidity in the same location as 
ambient air temperature in section 2.2.5 of this appendix.
    2.2.7. Flue Gas Temperature. The flue gas temperature during the 
test must not vary from the flue gas temperature measured at the start 
of the Test Period (as defined in Section C4 of ANSI/AHRI Standard 1500-
2015) when recorded at the interval defined in Table 2.2 of this 
appendix by more than the limits prescribed in Table 2.4 of this 
appendix.

                       Table 2.4--Flue Gas Temperature Variation Limits During Test Period
----------------------------------------------------------------------------------------------------------------
            Fuel type                    Non-condensing                           Condensing
----------------------------------------------------------------------------------------------------------------
Gas..............................   2   Greater of  3 percent and
                                    percent.                    5 [deg]F
Light Oil........................   2
                                    percent.
Heavy Oil........................  Greater of  3 percent and
                                     5
                                    [deg]F.
----------------------------------------------------------------------------------------------------------------

    2.3. Test Method.
    2.3.1. General. Conduct the thermal efficiency test as prescribed in 
Section C4 ``Test Procedure'' of Appendix C of ANSI/AHRI Standard 1500-
2015 (incorporated by reference, see Sec.  431.85) excluding sections:

(1) C4.1.1.1.2 (see section 2.3.1.1 of this appendix)
(2) C4.1.1.2.3 (see 2.3.4 of this appendix)
(3) C4.1.2.1.5 (see section 2.3.2. of this appendix)
(4) C4.1.2.2.2
(5) C4.1.2.2.3 (see 2.3.5 of this appendix)
(6) C4.2
(7) C4.2.1
(8) C4.2.2

    2.3.1.1. Adjust oil or non-atmospheric gas to produce the required 
firebox pressure and CO2 or O2 concentration in 
the flue gas, as described in Section 5.3.1 of ANSI/AHRI Standard 1500-
2015. Conduct steam tests with steam pressure at the pressure specified 
in the manufacturer literature shipped with the commercial packaged 
boiler or in the manufacturer's supplemental testing instructions 
pursuant to Sec.  429.60(b)(4) of this chapter, but not exceeding 15 
psig. If no pressure is specified in the manufacturer literature shipped 
with the commercial packaged boiler or in the manufacturer's 
supplemental testing instructions (pursuant to Sec.  429.60(b)(4) of 
this chapter), or if a range of operating pressures is specified, 
conduct testing at a steam pressure equal to atmospheric pressure. If 
necessary to maintain steam quality as required by Section 5.3.7 of 
ANSI/AHRI Standard 1500-2015, increase steam pressure in 1 psig 
increments by throttling with a valve beyond the separator until the 
test is completed and the steam quality requirements have been 
satisfied, but do not increase the steam pressure to greater than 15 
psig.

[[Page 68]]

    2.3.2. Water Test Steady-State. Ensure that a steady-state is 
reached by confirming that three consecutive readings have been recorded 
at 15-minute intervals pursuant to Table 2.2 of this appendix that 
indicate that the measured fuel input rate is within  2-percent of the rated input. Water temperatures must 
meet the conditions specified in sections 2.2.3 and 2.2.4 of this 
appendix as applicable.
    2.3.3. Condensate Collection for Condensing Commercial Packaged 
Boilers. Collect condensate in a covered vessel so as to prevent 
evaporation.
    2.3.4. Steam Test Duration. Replace Section C4.1.1.2.3 of ANSI/AHRI 
Standard 1500-2015 with the following: The test period is one hour in 
duration if the steam condensate is measured or two hours if feedwater 
is measured. The test period must end with a 15-minute reading (steam 
condensate or feedwater and separator weight reading) pursuant to Table 
2.2 of this appendix. When feedwater is measured, the water line at the 
end of the test must be within 0.25 inches of the starting level.
    2.3.5. Water Test Duration. Replace Section C4.1.2.2.3 of ANSI/AHRI 
Standard 1500-2015 with the following: The test period is one hour for 
condensing commercial packaged boilers and 30 minutes for non-condensing 
commercial packaged boilers, and ends with a 15-minute interval reading 
pursuant to Table 2.2 of this appendix.
    2.4. Calculations.
    2.4.1. General. To determine the thermal efficiency of commercial 
packaged boilers, use the variables in section C6 of Appendix C of ANSI/
AHRI Standard 1500-2015 and calculation procedure for the thermal 
efficiency test specified in section C7.2 of Appendix C of ANSI/AHRI 
Standard 1500-2015, excluding sections C7.2.12 and C7.2.20.
    2.4.2. Use of Steam Properties Table. If the average measured 
temperature of the steam is higher than the value in Table D1 in 
Appendix D of ANSI/AHRI Standard 1500-2015 that corresponds to the 
average measured steam pressure, then use Table 2.5 of this appendix to 
determine the latent heat of superheated steam in (Btu/lb). Use linear 
interpolation for determining the latent heat of steam in Btu/lb if the 
measured steam pressure is between two values listed in Table D1 in 
Appendix D of ANSI/AHRI Standard 1500-2015 or in Table 2.5 of this 
appendix.

[[Page 69]]

[GRAPHIC] [TIFF OMITTED] TR09DE16.025


[[Page 70]]


[GRAPHIC] [TIFF OMITTED] TR09DE16.026

    2.4.3. Alternative Thermal Efficiency Calculation for Large Steam 
Commercial Packaged Boilers. To determine the thermal efficiency of 
commercial packaged boilers with a fuel input rate greater than 
5,000,000 Btu/h according to the steam test pursuant to Section C4.1.1 
of ANSI/AHRI Standard 1500-2015, either:
    2.4.3.1. Calculate the thermal efficiency of commercial packaged 
boiler models in steam mode in accordance with the provisions of section 
2.4.1 of this appendix, or
    2.4.3.2. Measure and calculate combustion efficiency 
Effyss in steam mode according to Section 3. Combustion 
Efficiency Test of this appendix and convert to thermal efficiency using 
the following equation:

EffyT = Effyss - 2.0

where EffyT is the thermal efficiency and EFFYss 
is the combustion efficiency as defined in C6 of ANSI/AHRI Standard 
1500-2015. The combustion efficiency Effyss is as calculated 
in Section C7.2.14 of ANSI/AHRI Standard 1500-2015.
    2.4.4. Rounding. Round the final thermal efficiency value to nearest 
one tenth of one percent.
    3. Combustion Efficiency Test.
    3.1. Test Setup.
    3.1.1. Instrumentation. Use instrumentation meeting the minimum 
requirements found in

[[Page 71]]

Table C1 of ANSI/AHRI Standard 1500-2015 (incorporated by reference, see 
Sec.  431.85).
    3.1.2. Data collection and sampling. Record all test data in 
accordance with Table 3.1 and Table 3.2 of this appendix. Do not use 
Section C5 and Table C4 of Appendix C in ANSI/AHRI Standard 1500-2015.

              Table 3.1--Data To Be Recorded Before Testing
------------------------------------------------------------------------
               Item recorded                   Additional instruction
------------------------------------------------------------------------
Date of Test..............................  None.
Manufacturer..............................  None.
Commercial Packaged Boiler Model Number...  None.
Burner Model Number & Manufacturer........  None.
Nozzle description and oil pressure.......  None.
Oil Analysis--H, C, API Gravity, lb/gal     None.
 and Btu/lb.
Gas Manifold Pressure.....................  Record at start and end of
                                             test.
Gas line pressure at meter................  Measurement may be made
                                             manually.
Gas temperature...........................  Measurement may be made
                                             manually.
Barometric Pressure (Steam and Natural Gas  Measurement may be made
 Only).                                      manually.
Gas Heating Value, Btu/ft \3\ *...........  Record at start and end of
                                             test.
------------------------------------------------------------------------
* Multiplied by correction factors, as applicable, in accordance with
  Appendix E of ANSI/AHRI Standard 1500-2015.


[[Page 72]]

[GRAPHIC] [TIFF OMITTED] TR09DE16.027

    3.1.3. Instrument Calibration. Instruments must be calibrated at 
least once per year and a calibration record, containing at least the 
date of calibration and the method of calibration, must be kept as part 
of the data underlying each basic model certification, pursuant to Sec.  
429.71 of this chapter.

[[Page 73]]

    3.1.4. Test Setup and Apparatus. Set up the commercial packaged 
boiler for combustion efficiency testing according to the provisions of 
Section C2 (except section C2.1) of Appendix C of ANSI/AHRI Standard 
1500-2015.
    3.1.4.1. For tests of oil-fired commercial packaged boilers, 
determine the weight of fuel consumed using one of the methods specified 
in sections 3.1.4.1.1. or 3.1.4.1.2. of this appendix:
    3.1.4.1.1. If using a scale, determine the weight of fuel consumed 
as the difference between the weight of the oil vessel before and after 
each measurement period, as specified in sections 3.1.4.1.3.1. or 
3.1.4.1.3.2. of this appendix, determined using a scale meeting the 
accuracy requirements of Table C1 of ANSI/AHRI Standard 1500-2015.
    3.1.4.1.2. If using a flow meter, first determine the volume of fuel 
consumed as the total volume over the applicable measurement period, as 
specified in sections 3.1.4.1.3.1. or 3.1.4.1.3.2. of this appendix, and 
as measured by a flow meter meeting the accuracy requirements of Table 
C1 of ANSI/AHRI Standard 1500-2015 upstream of the oil inlet port of the 
commercial packaged boiler. Then determine the weight of fuel consumed 
by multiplying the total volume of fuel over the applicable measurement 
period by the density of oil, in pounds per gallon, as determined 
pursuant to Section C3.2.1.1.3. of ANSI/AHRI Standard 1500-2015.
    3.1.4.1.3. The applicable measurement period for the purposes of 
determining fuel input rate must be as specified in section 3.1.4.1.3.1. 
of this appendix for the ``Warm-Up Period'' or 3.1.4.1.3.2. of this 
appendix for the ``Test Period.''
    3.1.4.1.3.1. For the purposes of confirming steady-state operation 
during the ``Warm-Up Period,'' the measurement period must be 15 minutes 
and tT in Equation C2 in Section C7.2.3.1 of ANSI/AHRI 
Standard 1500-2015 must be 0.25 hours to determine fuel input rate.
    3.1.4.1.3.2. For the purposes of determining combustion efficiency 
during the ``Test Period,'' the measurement period and tT are 
0.5 hours pursuant to section 3.3.1.1. of this appendix.
    3.1.4.2 For tests of gas-fired commercial packaged boilers, install 
a volumetric gas meter meeting the accuracy requirements of Table C1 of 
ANSI/AHRI Standard 1500-2015 upstream of the gas inlet port of the 
commercial packaged boiler. Record the accumulated gas volume consumed 
for each applicable measurement period. Use Equation C7.2.3.2. of ANSI/
AHRI Standard 1500-2015 to calculate fuel input rate.
    3.1.4.2.1. The applicable measurement period for the purposes of 
determining fuel input rate must be as specified in section 3.1.4.2.1.1. 
of this appendix for the ``Warm-Up Period'' and 3.1.4.2.1.2. of this 
appendix for the ``Test Period.''
    3.1.4.2.1.1. For the purposes of confirming steady-state operation 
during the ``Warm-Up Period,'' the measurement period must be 15 minutes 
and tT in Equation C2 in Section C7.2.3.1 of ANSI/AHRI 
Standard 1500-2015 must be 0.25 hour to determine fuel input rate.
    3.1.4.2.1.2. For the purposes of determining combustion efficiency 
during the ``Test Period,'' the measurement period and tT are 
0.5 hour pursuant to section 3.3.1.1. of this appendix.
    3.1.4.3. In addition to the provisions of Section C2.2.1.2 of ANSI/
AHRI Standard 1500-2015, vent gases may alternatively be discharged 
vertically into a straight stack section without elbows. R-7 minimum 
insulation must extend 6 stack diameters above the flue collar, the 
thermocouple grid must be located at a vertical distance of 3 stack 
diameters above the flue collar, and the sampling tubes for flue gases 
must be installed within 1 stack diameter beyond the thermocouple grid. 
If dilution air is introduced into the flue gases before the plane of 
the thermocouple and flue gas sampling points, utilize an alternate 
plane of thermocouple grid and flue gas sampling point located 
downstream from the heat exchanger and upstream from the point of 
dilution air introduction.
    3.1.5. Additional Requirements for Outdoor Commercial Packaged 
Boilers. If the manufacturer provides more than one outdoor venting 
arrangement, the outdoor commercial packaged boiler (as defined in 
section 3.2.6 of ANSI/AHRI Standard 1500-2015 (incorporated by 
reference, see Sec.  431.85) must be tested with the shortest total 
venting arrangement as measured by adding the straight lengths of 
venting supplied with the equipment. If the manufacturer does not 
provide an outdoor venting arrangement, install the outdoor commercial 
packaged boiler venting consistent with the procedure specified in 
Section C2.2 of Appendix C of ANSI/AHRI Standard 1500-2015.
    3.1.6. Additional Requirements for Field Tests.
    3.1.6.1 Field tests are exempt from the requirements of Section C2.2 
of Appendix C of ANSI/AHRI Standard 1500-2015. Measure the flue gas 
temperature according to Section C2.5.1 of Appendix C of ANSI/AHRI 
Standard 1500-2015 and the thermocouple grids identified in Figure C12 
of ANSI/AHRI Standard 1500-2015, with the following modification: the 
thermocouple grid may be staggered vertically by up to 1.5 inches to 
allow the use of instrumented rods to be inserted through holes drilled 
in the venting.
    3.1.6.2. Field tests are exempt from the requirements of Section 
C2.6.3 of Appendix C of ANSI/AHRI Standard 1500-2015.
    3.1.7. Additional Requirements for Water Tests. In addition to the 
provisions of Section C2 of Appendix C of ANSI/AHRI Standard 1500-2015 
(incorporated by reference, see

[[Page 74]]

Sec.  431.85) the following requirements apply for water tests:
    3.1.7.1. Insulate all water piping between the commercial packaged 
boiler and the location of the temperature measuring equipment, 
including one foot (1 ft.) beyond the sensor, using insulation meeting 
the requirements specified in Table 2.3 of this appendix.
    3.1.7.2. Install a temperature measuring device at Point B of Figure 
C9 of ANSI/AHRI Standard 1500-2015. Water entering the commercial 
packaged boiler must first enter the run of a tee and exit from the top 
outlet of the tee. The remaining connection of the tee must be plugged. 
Measure the inlet water temperature at Point B in the run of a second 
tee located 12  2 pipe diameters downstream from 
the first tee and no more than the greater of 12 inches or 6 pipe 
diameters from the inlet of the commercial packaged boiler. The 
temperature measuring device shall extend into the water flow at the 
point of exit from the side outlet of the second tee. All inlet piping 
between the temperature measuring device and the inlet of the commercial 
packaged boilers must be wrapped with R-7 insulation. Field tests must 
also measure the inlet water temperature at Point B in Figure C9, 
however they are not required to use the temperature measurement piping 
described in this section 3.1.7. of this appendix.
    3.1.7.3. Do not use Section C2.7.2.2.2 or its subsections of ANSI/
AHRI Standard 1500-2015 for water meter calibration.
    3.1.8. Flue Gas Sampling. In section C2.5.2 of Appendix C of ANSI/
AHRI Standard 1500-2015, replace the last sentence with the following: 
When taking flue gas samples from a rectangular plane, collect samples 
at \1/4\, \1/2\, and \3/4\ the distance from one side of the rectangular 
plane in the longer dimension and along the centerline midway between 
the edges of the plane in the shorter dimension and use the average of 
the three samples. The tolerance in each dimension for each measurement 
location is  1 inch.
    3.2. Test Conditions.
    3.2.1. General. Use the test conditions from Sections 5 and C3 of 
Appendix C of ANSI/AHRI Standard 1500-2015 (incorporated by reference; 
see Sec.  431.85) for combustion efficiency testing but do not use the 
following sections:

(1) 5.3 Introductory text
(2) 5.3.5 (and subsections; see sections 3.2.3, 3.2.3.1, and 3.2.3.2 of 
this appendix)
(3) 5.3.7 (excluded for field tests only)
(4) 5.3.8 (see section 3.2.4 of this appendix)
(5) 5.3.9 (see section 3.2.5 of this appendix)
(6) C3.1.3 (and subsections)
(7) C3.5 (including Table C2; see section 3.2.6 of this appendix)
(8) C3.6 (see section 3.2.4 of this appendix)
(9) C3.7 (see section 3.2.5 of this appendix)

    3.2.2. Burners for Oil-Fired Commercial Packaged Boilers. In 
addition to Section C3.3 of Appendix C of ANSI/AHRI Standard 1500-2015, 
the following applies: for oil-fired commercial packaged boilers, test 
the unit with the particular make and model of burner as certified (or 
to be certified) by the manufacturer. If multiple burners are specified 
in the certification report for that basic model, then use any of the 
listed burners for testing.
    3.2.3. Water Temperatures. Maintain the outlet temperature measured 
at Point C in Figure C9 at 180 [deg]F  2 [deg]F 
and maintain the inlet temperature measured at Point B at 80 [deg]F 
 5 [deg]F during the ``Warm-up Period'' and ``Test 
Period'' as indicated by 1-minute interval data pursuant to Table 3.2 of 
this appendix. Each reading must meet these temperature requirements. 
Field tests are exempt from this requirement and instead must comply 
with the requirements of section 3.2.3.1 of this appendix.
    3.2.3.1. For field tests, the inlet temperature measured at Point A 
and Point B in Figure C9 and the outlet temperature measured and Point C 
in Figure C9 of ANSI/AHRI Standard 1500-2015 must be recorded in the 
data underlying that model's certification pursuant to Sec.  429.71 of 
this chapter, and the difference between the inlet (measured at Point B) 
and outlet temperature (measured at Point C) must not be less than 20 
[deg]F at any point during the ``Warm-up Period'' and ``Test Period,'' 
after stabilization has been achieved, as indicated by 1-minute interval 
data pursuant to Table 3.2 of this appendix.
    3.2.3.2 For commercial packaged boilers that require a higher flow 
rate than that resulting from the water temperature requirements of 
sections 3.2.3 of this appendix to prevent boiling, use a recirculating 
loop and maintain the inlet temperature at Point B of Figure C9 of ANSI/
AHRI Standard 1500-2015 at 140 [deg]F  5 [deg]F 
during the ``Warm-up Period'' and ``Test Period'' as indicated by 1-
minute interval data pursuant to Table 3.2 of this appendix. Each 
reading must meet these temperature requirements.
    3.2.4. Air Temperature. For tests of non-condensing boilers (except 
during field tests), maintain ambient room temperature between 65 [deg]F 
and 100 [deg]F at all times during the ``Warm-up Period'' and ``Test 
Period'' (as described in Section C4 of Appendix C of ANSI/AHRI Standard 
1500-2015) as indicated by 1-minute interval data pursuant to Table 3.2 
of this appendix. For tests of condensing boilers (except during field 
tests), maintain ambient room temperature between 65 [deg]F and 85 
[deg]F at all times during the ``Warm-up Period'' and ``Test Period'' 
(as described in Section C4 of Appendix C of ANSI/AHRI Standard 1500-
2015) as indicated by 1-minute interval data pursuant to Table 3.2 of 
this appendix. The ambient room temperature may not differ by more than 
 5 [deg]F from the average ambient room 
temperature during the entire ``Test

[[Page 75]]

Period'' at any 1-minute interval reading. Measure the room ambient 
temperature within 6 feet of the front of the unit at mid height. The 
test air temperature, measured at the air inlet of the commercial 
packaged boiler, must be within  5 [deg]F of the 
room ambient temperature when recorded at the 1-minute interval defined 
by Table 3.2 of this appendix. For field tests, record the ambient room 
temperature at 1-minute intervals in accordance with Table 3.2 of this 
appendix.
    3.2.5. Ambient Humidity. For condensing boilers (except during field 
tests), maintain ambient room relative humidity below 80-percent 
relative humidity at all times during both the ``Warm-up Period'' and 
``Test Period'' (as described in Section C4 of Appendix C of ANSI/AHRI 
Standard 1500-2015) pursuant to Table 3.2 of this appendix. Measure the 
ambient humidity in the same location as ambient air temperature. For 
field tests of condensing boilers, record the ambient room relative 
humidity in accordance with Table 3.2 of this appendix.
    3.2.6. Flue Gas Temperature. The flue gas temperature during the 
test must not vary from the flue gas temperature measured at the start 
of the Test Period (as defined in Section C4 of ANSI/AHRI Standard 1500-
2015) when recorded at the interval defined in Table 3.2 by more than 
the limits prescribed in Table 3.3 of this appendix. For field tests, 
flue gas temperature does not need to be within the limits in Table 3.3 
of this appendix but must be recorded at the interval specified in Table 
3.2 of this appendix.

                       Table 3.3--Flue Gas Temperature Variation Limits During Test Period
----------------------------------------------------------------------------------------------------------------
            Fuel type                    Non-condensing                           Condensing
----------------------------------------------------------------------------------------------------------------
Gas..............................   2   Greater of  3 percent and
                                    percent.                    5 [deg]F.
Light Oil........................   2
                                    percent.
Heavy Oil........................  Greater of  3 percent and
                                     5
                                    [deg]F.
----------------------------------------------------------------------------------------------------------------

    3.3. Test Method.
    3.3.1. General. Conduct the combustion efficiency test using the 
test method prescribed in Section C4 ``Test Procedure'' of Appendix C of 
ANSI/AHRI Standard 1500-2015 excluding sections:

(1) C4.1.1.1.2 (see section 3.3.1.2 of this appendix)
(2) C4.1.1.2.3
(3) C4.1.2.1.5 (see section 3.3.2 of this appendix)
(4) C4.1.2.2.2
(5) C4.1.2.2.3
(6) C4.2
(7) C4.2.1
(8) C4.2.2

    3.3.1.1. The duration of the ``Test Period'' for combustion 
efficiency outlined in sections C4.1.1.2 of Appendix C of ANSI/AHRI 
Standard 1500-2015 (incorporated by reference, see Sec.  431.85) and 
C4.1.2.2 of Appendix C of ANSI/AHRI Standard 1500-2015 is 30 minutes. 
For condensing commercial packaged boilers, condensate must be collected 
for the 30 minute Test Period.
    3.3.1.2. Adjust oil or non-atmospheric gas to produce the required 
firebox pressure and CO2 or O2 concentration in 
the flue gas, as described in section 5.3.1 of ANSI/AHRI Standard 1500-
2015. Conduct steam tests with steam pressure at the pressure specified 
in the manufacturer literature shipped with the commercial packaged 
boiler or in the manufacturer's supplemental testing instructions 
pursuant to Sec.  429.60(b)(4) of this chapter, but not exceeding 15 
psig. If no pressure is specified in the manufacturer literature shipped 
with the commercial packaged boiler or in the manufacturer's 
supplemental testing instructions (pursuant to Sec.  429.60(b)(4)) of 
this chapter, or if a range of operating pressures is specified, conduct 
testing at a steam pressure equal to atmospheric pressure. If necessary 
to maintain steam quality as required by section 5.3.7 of ANSI/AHRI 
Standard 1500-2015, increase steam pressure in 1 psig increments by 
throttling with a valve beyond the separator until the test is completed 
and the steam quality requirements have been satisfied, but do not 
increase the steam pressure to greater than 15 psig.
    3.3.2. Water Test Steady-State. Ensure that a steady-state is 
reached by confirming that three consecutive readings have been recorded 
at 15-minute intervals that indicate that the measured fuel input rate 
is within  2-percent of the rated input. Water 
temperatures must meet the conditions specified in sections 3.2.3, 
3.2.3.1, and 3.2.3.2 of this appendix as applicable.
    3.3.3. Procedure for the Measurement of Condensate for a Condensing 
Commercial Packaged Boiler. Collect flue condensate using a covered 
vessel so as to prevent evaporation. Measure the condensate from the 
flue gas during the ``Test Period.'' Flue condensate mass must be 
measured within 5 minutes after the end of the ``Test Period'' (defined 
in C4.1.1.2 and C4.1.2.2 of ANSI/AHRI Standard 1500-2015) to prevent 
evaporation loss from the sample. Determine the mass of flue condensate 
for the ``Test Period'' by subtracting the tare container weight from 
the total weight of the container and flue condensate measured at the 
end of the ''Warm-up Period.''
    3.4. Calculations.

[[Page 76]]

    3.4.1. General. To determine the combustion efficiency of commercial 
packaged boilers, use the variables in Section C6 and calculation 
procedure for the combustion efficiency test specified in Section C7.3 
of Appendix C (including the specified subsections of C7.2) of ANSI/AHRI 
Standard 1500-2015 (incorporated by reference, see Sec.  431.85).
    3.4.2. Rounding. Round the final combustion efficiency value to 
nearest one tenth of a percent.

[81 FR 89306, Dec. 9, 2016]



          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, 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. For definitions that reference the application for which 
the equipment is marketed, DOE will consider any publicly available 
document published by the manufacturer (e.g., product literature, 
catalogs, and packaging labels) to determine marketing intent. For 
definitions in this section that pertain to computer room air 
conditioners, italicized terms within a definition indicate terms that 
are separately defined in this section.
    Applied Coefficient of performance, or ACOP means the ratio of the 
heating capacity to the power input, including system pump power, for 
water-source heat pumps. ACOP is expressed in watts per watt and 
determined according to appendix C1 of this subpart.
    Basic model means:
    (1) For air-cooled, three-phase, small commercial package air 
conditioning and heating equipment with a cooling capacity of less than 
65,000 Btu/h and air-cooled, three-phase, variable refrigerant flow 
multi-split air conditioners and heat pumps with a cooling capacity of 
less than 65,000 Btu/h. All units manufactured by one manufacturer, 
having the same primary energy source, and, which have essentially 
identical electrical, physical, and functional (or hydraulic) 
characteristics that affect energy consumption, energy efficiency, water 
consumption, or water efficiency; where essentially identical 
electrical, physical, and functional (or hydraulic) characteristics 
means:
    (i) For split systems manufactured by outdoor unit manufacturers 
(OUMs): all individual combinations having the same model of outdoor 
unit, which means comparably performing compressor(s) [a variation of no 
more than five percent in displacement rate (volume per time) as rated 
by the compressor manufacturer, and no more than five percent in 
capacity and power input for the same operating conditions as rated by 
the compressor manufacturer], outdoor coil(s) [no more than five percent 
variation in face area and total fin surface area; same fin material; 
same tube material], and outdoor fan(s) [no more than ten percent 
variation in airflow and no more than twenty percent variation in power 
input];
    (ii) For split systems having indoor units manufactured by 
independent coil manufacturers (ICMs): all individual combinations 
having comparably performing indoor coil(s) [plus or minus one square 
foot face area, plus or minus one fin per inch fin density, and the same 
fin material, tube material, number of tube rows, tube pattern, and tube 
size]; and
    (iii) For single-package systems: all individual models having 
comparably performing compressor(s) [no more than five percent variation 
in displacement rate (volume per time) rated by the compressor 
manufacturer, and no more than five percent variations in capacity and 
power input rated by the

[[Page 77]]

compressor manufacturer corresponding to the same compressor rating 
conditions], outdoor coil(s) and indoor coil(s) [no more than five 
percent variation in face area and total fin surface area; same fin 
material; same tube material], outdoor fan(s) [no more than ten percent 
variation in outdoor airflow], and indoor blower(s) [no more than ten 
percent variation in indoor airflow, with no more than twenty percent 
variation in fan motor power input];
    (iv) Except that:
    (A) For single-package systems and single-split systems, 
manufacturers may instead choose to make each individual model/
combination its own basic model provided the testing and represented 
value requirements in 10 CFR 429.67 are met; and
    (B) For multi-split, multi-circuit, and multi-head mini-split 
combinations, a basic model may not include both individual small-duct, 
high velocity (SDHV) combinations and non-SDHV combinations even when 
they include the same model of outdoor unit. The manufacturer may choose 
to identify specific individual combinations as additional basic models.
    (2) For commercial package air conditioning and heating equipment 
(excluding air-cooled, three-phase, commercial package air conditioning 
and heating equipment with a cooling capacity of less than 65,000 Btu/
h). All units manufactured by one manufacturer within a single equipment 
class, having the same or comparably performing compressor(s), heat 
exchangers, and air moving system(s) that have a common ``nominal'' 
cooling capacity.
    (3) For computer room air conditioners. All units manufactured by 
one manufacturer within a single equipment class, having the same 
primary energy source (e.g., electric or gas), and which have the same 
or comparably performing compressor(s), heat exchangers, and air moving 
system(s) that have a common ``nominal'' cooling capacity.
    (4) For direct expansion-dedicated outdoor air system. All units 
manufactured by one manufacturer, having the same primary energy source 
(e.g., electric or gas), within a single equipment class; with the same 
or comparably performing compressor(s), heat exchangers, ventilation 
energy recovery system(s) (if present), and air moving system(s) that 
have a common ``nominal'' moisture removal capacity.
    (5) For packaged terminal air conditioner (PTAC) or packaged 
terminal heat pump (PTHP). All units manufactured by one manufacturer 
within a single equipment class, having the same primary energy source 
(e.g., electric or gas), and which have the same or comparable 
compressors, same or comparable heat exchangers, and same or comparable 
air moving systems that have a cooling capacity within 300 Btu/h of one 
another.
    (6) For single package vertical units. All units manufactured by one 
manufacturer within a single equipment class, having the same primary 
energy source (e.g., electric or gas), and which have the same or 
comparably performing compressor(s), heat exchangers, and air moving 
system(s) that have a rated cooling capacity within 1500 Btu/h of one 
another.
    (7) For variable refrigerant flow systems (excluding air-cooled, 
three-phase, variable refrigerant flow air conditioners and heat pumps 
with a cooling capacity of less than 65,000 Btu/h). All units 
manufactured by one manufacturer within a single equipment class, having 
the same primary energy source (e.g., electric or gas), and which have 
the same or comparably performing compressor(s) that have a common 
``nominal'' cooling capacity and the same heat rejection medium (e.g., 
air or water) (includes VRF water source heat pumps).
    (8) For water-source heat pumps. All units manufactured by one 
manufacturer within a single equipment class, having the same primary 
energy source (e.g., electric or gas), and which have the same or 
comparable compressors, same or comparable heat exchangers, and same or 
comparable ``nominal'' cooling capacity.
    Ceiling-mounted means a configuration of a computer room air 
conditioner for which the unit housing the evaporator coil is configured 
for indoor installation on or through a ceiling.
    Ceiling-mounted ducted means a configuration of a ceiling-mounted 
computer room air conditioner that is configured for use with discharge 
ducting (even if

[[Page 78]]

the unit is also configurable for use without discharge ducting).
    Ceiling-mounted non-ducted means a configuration of a ceiling-
mounted computer room air conditioner that is configured only for use 
without discharge ducting.
    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. For air-cooled 
commercial package air conditioning and heating equipment (excluding 
equipment with a cooling capacity less than 65,000 Btu/h), COP is 
measured per appendix A to this subpart.
    Coefficient of performance 2, or COP2, 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. COP2 must be used 
with a subscript to indicate the outdoor temperature in degrees 
Fahrenheit at which the COP2 was measured (e.g., COP217 for 
COP2 measured at 17 [deg]F). For air-cooled commercial package air 
conditioning and heating equipment (excluding equipment with a cooling 
capacity less than 65,000 Btu/h), COP2 is measured per appendix A1 to 
this subpart.
    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.
    Computer room air conditioner means commercial package air-
conditioning and heating equipment (packaged or split) that is marketed 
for use in computer rooms, data processing rooms, or other information 
technology cooling applications and not a covered consumer product under 
42 U.S.C. 6291(1)-(2) and 42 U.S.C. 6292. A computer room air 
conditioner may be provided with, or have as available options, an 
integrated humidifier, temperature and/or humidity control of the 
supplied air, and reheating function. Computer room air conditioners 
include, but are not limited to, the following configurations as defined 
in this section: down-flow, horizontal-flow, up-flow ducted, up-flow 
non-ducted, ceiling-mounted ducted, ceiling mounted non-ducted, roof-
mounted, and wall-mounted.
    Direct expansion-dedicated outdoor air system, or DX-DOAS, means a 
unitary dedicated outdoor air system that is capable of dehumidifying 
air to a 55 [deg]F dew point--when operating under Standard Rating 
Condition A as specified in Table 4 or Table 5 of AHRI 920-2020 
(incorporated by reference, see Sec.  431.95) with a barometric pressure 
of 29.92 in Hg--for any part of the range of airflow rates advertised in 
manufacturer materials, and has a moisture removal capacity of less than 
324 lb/h.
    Double-duct air conditioner or heat pump means air-cooled commercial 
package air conditioning and heating equipment that meets the following 
criteria--
    (1) Is either a horizontal single package or split-system unit; or a 
vertical unit that consists of two components that may be shipped or 
installed either connected or split; or a vertical single package unit 
that is not intended for exterior mounting on, adjacent interior to, or 
through an outside wall;
    (2) Is intended for indoor installation with ducting of outdoor air 
from the building exterior to and from the unit (e.g., the unit and/or 
all of its components are non-weatherized);
    (3) If it is a horizontal unit, the complete unit shall have a 
maximum height of 35 inches or the unit shall have components that do 
not exceed a maximum height of 35 inches. If it is a vertical unit, the 
complete (split, connected, or assembled) unit shall have components 
that do not exceed a maximum depth of 35 inches; and
    (4) Has a rated cooling capacity greater than or equal to 65,000 
Btu/h and less than 300,000 Btu/h.
    Down-flow means a configuration of floor-mounted computer room air 
conditioner in which return air enters above the top of the evaporator 
coil and discharge air leaves below the bottom of the evaporator coil.

[[Page 79]]

    Ducted Condenser means a configuration of computer room air 
conditioner for which the condenser or condensing unit that 
manufacturer's installation instructions indicate is intended to exhaust 
condenser air through a duct(s).
    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. For commercial package air conditioning and 
heating equipment (excluding air-cooled equipment with a cooling 
capacity less than 65,000 Btu/h), EER is measured per appendix A to this 
subpart.
    Energy efficiency ratio 2, or EER2, 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. For commercial package air conditioning and 
heating equipment (excluding air-cooled equipment with a cooling 
capacity less than 65,000 Btu/h), EER2 is measured per appendix A1 to 
this subpart.
    Floor-mounted means a configuration of a computer room air 
conditioner for which the unit housing the evaporator coil is configured 
for indoor installation on a solid floor, raised floor, or floor-stand. 
Floor-mounted computer room air conditioners are one of the following 
three configurations: down-flow, horizontal-flow, and up-flow.
    Fluid economizer means an option available with a computer room air 
conditioner in which a fluid (other than air), cooled externally from 
the unit, provides cooling of the indoor air to reduce or eliminate unit 
compressor operation when outdoor temperature is low. The fluid may 
include, but is not limited to, chilled water, water/glycol solution, or 
refrigerant. An external fluid cooler such as, but not limited to a dry 
cooler, cooling tower, or condenser is utilized for heat rejection. This 
component is sometimes referred to as a free cooling coil, econ-o-coil, 
or economizer.
    Heat Recovery (in the context of variable refrigerant flow multi-
split air conditioners or variable refrigerant flow multi-split heat 
pumps) means that the air conditioner or heat pump is also capable of 
providing simultaneous heating and cooling operation, where recovered 
energy from the indoor units operating in one mode can be transferred to 
one or more other indoor units operating in the other mode. A variable 
refrigerant flow multi-split heat recovery heat pump is a variable 
refrigerant flow multi-split heat pump with the addition of heat 
recovery capability.
    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.
    Horizontal-flow means a configuration of a floor-mounted computer 
room air conditioner that is neither a down-flow nor an up-flow unit.
    Integrated energy efficiency ratio, or IEER, means a weighted 
average calculation of mechanical cooling EERs determined for four load 
levels and corresponding rating conditions, expressed in Btu/watt-hour. 
IEER is measured:
    (1) Per appendix A to this subpart for commercial package air 
conditioning and heating equipment (excluding air-cooled equipment with 
a cooling capacity less than 65,000 Btu/h);
    (2) Per appendix C1 to this subpart for water-source heat pumps;
    (3) Per appendix D1 to this subpart for variable refrigerant flow 
multi-split air conditioners and heat pumps (other than air-cooled with 
rated cooling capacity less than 65,000 Btu/h); and
    (4) Per appendix G1 to this subpart for single package vertical air 
conditioners and single package vertical heat pumps.
    Integrated seasonal coefficient of performance 2 or ISCOP2, means a 
seasonal weighted-average heating efficiency for heat pump dedicated 
outdoor air systems, expressed in W/W, as measured according to appendix 
B of this subpart.
    Integrated seasonal moisture removal efficiency 2, or ISMRE2, means 
a seasonal weighted average dehumidification efficiency for dedicated 
outdoor air systems, expressed in lbs. of moisture/kWh, as measured 
according to appendix B of this subpart.
    Integrated ventilation and heating efficiency, or IVHE, means a sum 
of the space heating provided (Btu) divided by

[[Page 80]]

the sum of the energy consumed (Wh), including mechanical heating, 
supplementary electric resistance heating, and heating season 
ventilation operating modes. IVHE with subscript C (IVHEC) 
refers to the IVHE of heat pumps using a cold-climate heating load line. 
For air-cooled commercial package air conditioning and heating equipment 
(excluding equipment with a cooling capacity less than 65,000 Btu/h), 
IVHE and IVHEC are measured per appendix A1 to this subpart.
    Integrated ventilation, economizing, and cooling, or IVEC, means a 
sum of the space cooling provided (Btu) divided by the sum of the energy 
consumed (Wh), including mechanical cooling, economizing, and cooling 
season ventilation operating modes. For commercial package air 
conditioning and heating equipment (excluding air-cooled equipment with 
a cooling capacity less than 65,000 Btu/h), IVEC is measured per 
appendix A1 to this subpart.
    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).
    Net sensible coefficient of performance, or NSenCOP, means a ratio 
of the net sensible cooling capacity in kilowatts to the total power 
input in kilowatts for computer room air conditioners, as measured in 
appendix E1 of this subpart.
    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 the choice 
of hot water, steam, or electric resistant heat, and that is industrial 
equipment.
    Roof-mounted means a configuration of a computer room air 
conditioner that is not wall-mounted, and for which the unit housing the 
evaporator coil is configured for outdoor installation.
    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.
    Sensible Coefficient of Performance, or SCOP means the net sensible 
cooling capacity in watts divided by the total power input in watts 
(excluding reheaters and humidifiers).
    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:
    (1) Air-cooled commercial package air conditioning and heating 
equipment that--
    (i) Is factory-assembled as a single package that--
    (A) Has major components that are arranged vertically;
    (B) Is an encased combination of cooling and optional heating 
components; and
    (C) Is intended for exterior mounting on, adjacent interior to, or 
through an outside wall;
    (ii) Is powered by a single-or 3-phase current;
    (iii) May contain 1 or more separate indoor grilles, outdoor 
louvers, various ventilation options, indoor free air discharges, 
ductwork, well plenum, or sleeves; and
    (iv) Has heating components that may include electrical resistance, 
steam, hot water, or gas, but may not

[[Page 81]]

include reverse-cycle refrigeration as a heating means; and
    (2) Includes single-phase single package vertical air conditioner 
with cooling capacity less than 65,000 Btu/h, as defined in this 
section.
    Single package vertical heat pump means:
    (1) A single package vertical air conditioner that--
    (i) Uses reverse-cycle refrigeration as its primary heat source; and
    (ii) May include secondary supplemental heating by means of 
electrical resistance, steam, hot water, or gas; and
    (2) Includes single-phase single package vertical heat pump with 
cooling capacity less than 65,000 Btu/h, as defined in this section.
    Single-phase single package vertical air conditioner with cooling 
capacity less than 65,000 Btu/h means air-cooled commercial package air 
conditioning and heating equipment that meets the criteria in paragraphs 
(1)(i) through (iv) of the definition for a single package vertical air 
conditioner in this section; that is single-phase; has a cooling 
capacity less than 65,000 Btu/h, and that:
    (1) Is weatherized, determined by a model being denoted for 
``Outdoor Use'' or marked as ``Suitable for Outdoor Use'' on the 
equipment nameplate; or
    (2) Is non-weatherized and is a model that has optional ventilation 
air provisions available. When such ventilation air provisions are 
present on the unit, the unit must be capable of drawing in and 
conditioning outdoor air for delivery to the conditioned space at a rate 
of at least 400 cubic feet per minute, as determined in accordance with 
Sec.  429.134(x)(3) of this chapter, while the equipment is operating 
with the same drive kit and motor settings used to determine the 
certified efficiency rating of the equipment (as required for submittal 
to DOE by Sec.  429.43(b)(4)(xi) of this chapter).
    Single-phase single package vertical heat pump with cooling capacity 
less than 65,000 Btu/h means air-cooled commercial package air 
conditioning and heating equipment that meets the criteria in paragraphs 
(1)(i) and (ii) of the definition for a single package vertical heat 
pump in this section; that is single-phase; has a cooling capacity less 
than 65,000 Btu/h, and that:
    (1) Is weatherized, determined by a model being denoted for 
``Outdoor Use'' or marked as ``Suitable for Outdoor Use'' on the 
equipment nameplate; or
    (2) Is non-weatherized and is a model that has optional ventilation 
air provisions available. When such ventilation air provisions are 
present on the unit, the unit must be capable of drawing in and 
conditioning outdoor air for delivery to the conditioned space at a rate 
of at least 400 cubic feet per minute, as determined in accordance with 
Sec.  429.134(x)(3) of this chapter, while the equipment is operating 
with the same drive kit and motor settings used to determine the 
certified efficiency rating of the equipment (as required for submittal 
to DOE by Sec.  429.43(b)(4)(xii) of this chapter).
    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).
    Small-duct, high-velocity commercial package air conditioning and 
heating equipment means a basic model of commercial package, split-
system air conditioning and heating equipment that:
    (1) Has a rated cooling capacity no greater than 65,000 Btu/h;
    (2) Is powered by three-phase current;
    (3) Is air-cooled; and
    (4) Is paired with an indoor unit that:
    (i) Includes an indoor blower housed with the coil;
    (ii) 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 cooling in the highest default cooling airflow-
controls setting; and
    (iii) When applied in the field, uses high velocity room outlets 
generally greater than 1,000 fpm that have less than 6.0 square inches 
of free area.
    Space-constrained commercial package air conditioning and heating 
equipment means a basic model of commercial package air conditioning and 
heating equipment (packaged or split) that:
    (1) Is air-cooled;
    (2) Is powered by three-phase current;

[[Page 82]]

    (3) Is not a single package vertical air conditioner or a single 
package vertical heat pump;
    (4) Has a rated cooling capacity no greater than 30,000 Btu/h;
    (5) 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
    (6) Of a product type that was available for purchase in the United 
States as of December 1, 2000.
    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.
    Unitary dedicated outdoor air system, or unitary DOAS, means a 
category of small, large, or very large commercial package air-
conditioning and heating equipment that is capable of providing 
ventilation and conditioning of 100-percent outdoor air and is marketed 
in materials (including but not limited to, specification sheets, insert 
sheets, and online materials) as having such capability.
    Up-flow means a configuration of a floor-mounted computer room air 
conditioner in which return air enters below the bottom of the 
evaporator coil and discharge air leaves above the top of the evaporator 
coil.
    Up-flow ducted means a configuration of an up-flow computer room air 
conditioner that is configured for use with discharge ducting (even if 
the unit is also configurable for use without discharge ducting).
    Up-flow non-ducted means a configuration of an up-flow computer room 
air conditioner that is configured only for use without discharge 
ducting.
    Variable Refrigerant Flow Multi-Split Air Conditioner means a unit 
of commercial package air-conditioning and heating equipment that is 
configured as a split system air conditioner incorporating a single 
refrigerant circuit, with one or more outdoor units, at least one 
variable-speed compressor or an alternate compressor combination for 
varying the capacity of the system by three or more steps, and multiple 
indoor fan coil units, each of which is individually metered and 
individually controlled by an integral control device and common 
communications network and which can operate independently in response 
to multiple indoor thermostats. Variable refrigerant flow implies three 
or more steps of capacity control on common, inter-connecting piping.
    Variable Refrigerant Flow Multi-Split Heat Pump means a unit of 
commercial package air-conditioning and heating equipment that is 
configured as a split system heat pump that uses reverse cycle 
refrigeration as its primary heating source and which may include 
secondary supplemental heating by means of electrical resistance, steam, 
hot water, or gas. The equipment incorporates a single refrigerant 
circuit, with one or more outdoor units, at least one variable-speed 
compressor or an alternate compressor combination for varying the 
capacity of the system by three or more steps, and multiple indoor fan 
coil units, each of which is individually metered and individually 
controlled by a control device and common communications network and 
which can operate independently in response to multiple indoor 
thermostats. Variable refrigerant flow implies three or more steps of 
capacity control on common, inter-connecting piping.
    Ventilation energy recovery system, or VERS, means a system that 
preconditions outdoor ventilation air entering the equipment through 
direct or indirect thermal and/or moisture exchange with the exhaust 
air, which is

[[Page 83]]

defined as the building air being exhausted to the outside from the 
equipment.
    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).
    Wall-mounted means a configuration of a computer room air 
conditioner for which the unit housing the evaporator coil is configured 
for installation on or through a wall.
    Water-source heat pump means commercial package air-conditioning and 
heating equipment that is a single-phase or three-phase reverse-cycle 
heat pump that uses a circulating water loop as the heat source for 
heating and as the heat sink for cooling. The main components are a 
compressor, refrigerant-to-water heat exchanger, refrigerant-to-air heat 
exchanger, refrigerant expansion devices, refrigerant reversing valve, 
and indoor fan (except that coil-only units do not include an indoor 
fan). Such equipment includes, but is not limited to, water-to-air 
water-loop heat pumps.

[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; 76 FR 12503, Mar. 
7, 2011; 77 FR 28988, May 16, 2012; 78 FR 79598, Dec. 31, 2013; 80 FR 
42664, July 17, 2015; 80 FR 79669, Dec. 23, 2015; 81 FR 2529, Jan. 15, 
2016; 87 FR 45197, July 27, 2022; 87 FR 63896, Oct. 20, 2022; 87 FR 
75167, Dec. 7, 2022; 87 FR 77325, Dec. 16, 2022; 88 FR 21838, Apr. 11, 
2023; 88 FR 36386, 36424, June 2, 2023; 88 FR 84228, Dec. 4, 2023; 89 FR 
44035, May 20, 2024]

                             Test Procedures



Sec.  431.95  Materials incorporated by reference.

    (a) Certain material is incorporated by reference into this subpart 
with the approval of the Director of the Federal Register in accordance 
with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other 
than that specified in this section, DOE must publish a document in the 
Federal Register and the material must be available to the public. All 
approved incorporation by reference (IBR) material is available for 
inspection at DOE, and at the National Archives and Records 
Administration (NARA). Contact DOE at: the 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) 
586-9127, [email protected], https://www.energy.gov/eere/buildings/
building-technologies-office. For information on the availability of 
this material at NARA, email: [email protected], or go to: 
www.archives.gov/federal-register/cfr/ibr-locations.html. The material 
may be obtained from the sources in the following paragraphs of this 
section.
    (b) AHRI. Air-Conditioning, Heating, and Refrigeration Institute, 
2311 Wilson Blvd., Suite 400, Arlington, VA 22201; (703) 524-8800; 
www.ahrinet.org.
    (1) ANSI/AHRI Standard 210/240-2008 (AHRI 210/240-2008), 2008 
Standard for Performance Rating of Unitary Air-Conditioning & Air-Source 
Heat Pump Equipment, approved by ANSI on October 27, 2011, and updated 
by addendum 1 in June 2011 and addendum 2 in March 2012; IBR approved 
for Sec.  431.96 and appendix F to this subpart.
    (2) AHRI Standard 210/240-2023 (AHRI 210/240-2023), 2023 Standard 
for Performance Rating of Unitary Air-conditioning & Air-source Heat 
Pump Equipment, copyright May 2020; IBR approved for appendix F1 to this 
subpart.
    (3) AHRI Standard 310/380-2014 (``AHRI 310/380-2014''), ``Standard 
for Packaged Terminal Air-Conditioners and Heat Pumps,'' February 2014; 
IBR approved for Sec.  431.96.
    (4) AHRI Standard 340/360-2022 (I-P) (``AHRI 340/360-2022''), 2022 
Standard for Performance Rating of Commercial and Industrial Unitary 
Air-conditioning and Heat Pump Equipment, approved January 26, 2022; IBR 
approved for appendix A to this subpart.
    (5) AHRI Standard 390(I-P)-2021 (``AHRI 390-2021''), 2021 Standard 
for Performance Rating of Single Package Vertical Air-Conditioners and 
Heat Pumps, copyright 2021; (AHRI 390-2021), IBR approved for appendices 
G and G1 to this subpart.
    (6) AHRI Standard 600-2023 (I-P) (``AHRI 600-2023''), 2023 Standard 
for Performance Rating of Water/Brine to Air Heat Pump Equipment, AHRI-
approved

[[Page 84]]

September 11, 2023; IBR approved for appendix C1 to this subpart.
    (7) AHRI Standard 920 (I-P) with Addendum 1 (``AHRI 920-2020''), 
``2020 Standard for Performance Rating of Direct Expansion-Dedicated 
Outdoor Air System Units,'' copyright 2021; IBR approved for Sec.  
431.92; appendix B to this subpart.
    (8) AHRI Standard 1060 (I-P) (``AHRI 1060-2018''), ``2018 Standard 
for Performance Rating of Air-to-Air Exchangers for Energy Recovery 
Ventilation Equipment,'' copyright 2018; IBR approved for appendix B to 
this subpart.
    (9) ANSI/AHRI Standard 1230-2010 (AHRI 1230-2010), 2010 Standard for 
Performance Rating of Variable Refrigerant Flow (VRF) Multi-Split Air-
Conditioning and Heat Pump Equipment, approved August 2, 2010, and 
updated by addendum 1 in March 2011; IBR approved for Sec.  431.96 and 
appendices D and F to this subpart.
    (10) AHRI Standard 1230 (I-P), (``AHRI 1230-2021'), ``2021 Standard 
for Performance Rating of Variable Refrigerant Flow (VRF) Multi-Split 
Air-Conditioning and Heat Pump Equipment'', copyright in 2021; IBR 
approved for appendix D1 to this subpart.
    (11) AHRI Standard 1340-2023 (I-P) (``AHRI 1340-2023''), 2023 
Standard for Performance Rating of Commercial and Industrial Unitary 
Air-conditioning and Heat Pump Equipment, approved November 16, 2023; 
IBR approved for appendix A1 to this subpart.
    (12) AHRI Standard 1360-2022 (I-P) (``AHRI 1360-2022''), 2022 
Standard for Performance Rating of Computer and Data Processing Room Air 
Conditioners, copyright 2022; IBR approved for appendix E1 to this 
subpart.
    (c) ASHRAE. American Society of Heating, Refrigerating and Air-
Conditioning Engineers, 180 Technology Parkway, Peachtree Corners, 
Georgia 30092; (404) 636-8400; www.ashrae.org.
    (1) ANSI/ASHRAE Standard 16-1983 (RA 2014), (``ANSI/ASHRAE 16''), 
``Method of Testing for Rating Room Air Conditioners and Packaged 
Terminal Air Conditioners,'' ASHRAE reaffirmed July 3, 2014, IBR 
approved for Sec.  431.96.
    (2) ANSI/ASHRAE Standard 37-2009 (``ANSI/ASHRAE 37-2009''), Methods 
of Testing for Rating Electrically Driven Unitary Air-Conditioning and 
Heat Pump Equipment, approved June 24, 2009; IBR approved for Sec.  
431.96 and appendices A, A1, B, C1, D1, E1, F1, G, and G1 to this 
subpart.
    (3) Errata Sheet for ANSI/ASHRAE Standard 37-2009, Methods of 
Testing for Rating Electrically Driven Unitary Air-Conditioning and Heat 
Pump Equipment, March 27, 2019; IBR approved for appendices C1 and D1 to 
this subpart.
    (4) ANSI/ASHRAE Standard 41.1- 2013 (``ANSI/ASHRAE 41.1-2013''), 
``Standard Method for Temperature Measurement,'' ANSI-approved January 
30, 2013; IBR approved for appendix B to this subpart.
    (5) ANSI/ASHRAE Standard 41.6- 2014 (``ANSI/ASHRAE 41.6-2014''), 
``Standard Method for Humidity Measurement,'' ANSI-approved July 3, 
2014; IBR approved for appendix B to this subpart.
    (6) ANSI/ASHRAE Standard 58-1986 (RA 2014), (``ANSI/ASHRAE 58''), 
``Method of Testing for Rating Room Air-Conditioner and Packaged 
Terminal Air-Conditioner Heating Capacity,'' ASHRAE reaffirmed July 3, 
2014, IBR approved for Sec.  431.96.
    (7) ASHRAE Standard 127-2007, ``Method of Testing for Rating 
Computer and Data Processing Room Unitary Air Conditioners,'' approved 
on June 28, 2007, (ASHRAE 127-2007), IBR approved for Sec.  431.96 and 
appendix E to this subpart.
    (8) ANSI/ASHRAE Standard 127-2020 (``ANSI/ASHRAE 127-2020''), Method 
of Rating Air-Conditioning Units Serving Data Center (DC) and Other 
Information Technology Equipment (ITE) Spaces, ANSI-approved on November 
30, 2020; IBR approved for appendix E1 to this subpart.
    (9) ANSI/ASHRAE Standard 198- 2013 (``ANSI/ASHRAE 198-2013''), 
``Method of Test for Rating DX-Dedicated Outdoor Air Systems for 
Moisture Removal Capacity and Moisture Removal Efficiency,'' ANSI-
approved January 30, 2013; IBR approved for appendix B to this subpart.
    (d) IIR. International Institute of Refrigeration, 177 Boulevard 
Malesherbes 75017 Paris, France; +33 (0)1 42 27 32 35; www.iifiir.org.
    (1) Properties of Secondary Working Fluids for Indirect Systems, 
including

[[Page 85]]

Section 2.3 Errata Sheet, Melinder, published 2010 (``Melinder 2010''), 
IBR approved for appendix C1 to this subpart.
    (2) [Reserved]
    (e) ISO. International Organization for Standardization, Chemin de 
Blandonnet 8, CP 401, 1214 Vernier, Geneva, Switzerland; +41 22 749 01 
11; www.iso.org/store.html.
    (1) ISO Standard 13256-1 (``ISO 13256-1:1998''), ``Water-source heat 
pumps--Testing and rating for performance--Part 1: Water-to-air and 
brine-to-air heat pumps,'' approved 1998; IBR approved for appendix C to 
this subpart.
    (2) [Reserved]

[77 FR 28989, May 16, 2012, as amended at 80 FR 37148, June 30, 2015; 80 
FR 79669, Dec. 23, 2015; 87 FR 45198, July 27, 2022; 87 FR 63896, Oct. 
20, 2022; 87 FR 75168, Dec. 7, 2022; 87 FR 77325, Dec. 16, 2022; 88 FR 
21839, Apr. 11, 2023; 88 FR 84228, Dec. 4, 2023; 89 FR 44037, May 20, 
2024]



Sec.  431.96  Uniform test method for the measurement of energy efficiency
of commercial air conditioners and 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 conditioners and packaged terminal heat pumps, 
computer room air conditioners, variable refrigerant flow systems, 
single package vertical air conditioners and single package vertical 
heat pumps, and direct expansion-dedicated outdoor air systems.
    (b) Testing and calculations. (1) Determine the energy efficiency 
and capacity of each category of covered equipment by conducting the 
test procedure(s) listed in table 1 to this paragraph (b) along with any 
additional testing provisions set forth in paragraphs (c) through (g) of 
this section and appendices A through G1 to this subpart, that apply to 
the energy efficiency descriptor for that equipment, category, and 
cooling capacity. The omitted sections of the test procedures listed in 
table 1 must not be used. For equipment with multiple appendices listed 
in table 1, consult the notes at the beginning of those appendices to 
determine the applicable appendix to use for testing.
    (2) After June 24, 2016, any representations made with respect to 
the energy use or efficiency of packaged terminal air conditioners and 
heat pumps (PTACs and PTHPs) must be made in accordance with the results 
of testing pursuant to this section. Manufacturers conducting tests of 
PTACs and PTHPs after July 30, 2015 and prior to June 24, 2016, must 
conduct such test in accordance with either table 1 to this section or 
Sec.  431.96 as it appeared at 10 CFR part 431, subpart F, in the 10 CFR 
parts 200 to 499 edition revised as of January 1, 2014. Any 
representations made with respect to the energy use or efficiency of 
such packaged terminal air conditioners and heat pumps must be in 
accordance with whichever version is selected.

                                Table 1 to Paragraph (b)--Test Procedures for Commercial Air Conditioners and Heat Pumps
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                                      Additional test
                                                              Cooling  capacity or                                Use tests,        procedure provisions
             Equipment                      Category            moisture  removal      Energy  efficiency       conditions, an      as indicated in the
                                                                  capacity \1\             descriptor           procedures in       listed paragraphs of
                                                                                                                                        this section
--------------------------------------------------------------------------------------------------------------------------------------------------------
Commercial Package Air Conditioning  Air-Cooled, 3-Phase,    <65,000 Btu/h.........  SEER and HSPF........  Appendix F to this     None.
 and Heating Equipment.               AC and HP.                                                             subpart \2\.

[[Page 86]]

 
Commercial Package Air Conditioning  Air-Cooled, 3-Phase,    <65,000 Btu/h.........  SEER2 and HSPF2......  Appendix F1 to this    None.
 and Heating Equipment.               AC and HP.                                                             subpart \2\.
Commercial Package Air Conditioning  Air-Cooled AC and HP    =65,000 Btu/ EER, IEER, and COP...  Appendix A to this     None.
 and Heating Equipment.               (excluding double-      h and <760,000 Btu/h.                          subpart \2\.
                                      duct AC and HP).
Commercial Package Air Conditioning  Air-Cooled AC and HP    =65,000 Btu/ EER2, COP2, IVEC, and  Appendix A1 to this    None.
 and Heating Equipment.               (excluding double-      h and <760,000 Btu/h.   IVHE.                  subpart \2\.
                                      duct AC and HP).
Commercial Package Air Conditioning  Double-duct AC and HP.  =65,000 Btu/ EER, IEER, and COP...  Appendix A to this     None.
 and Heating Equipment.                                       h and <300,000 Btu/h.                          subpart \2\.
Commercial Package Air Conditioning  Double-duct AC and HP.  =65,000 Btu/ EER2, COP2, IVEC, and  Appendix A1 to this    None.
 and Heating Equipment.                                       h and <300,000 Btu/h.   IVHE.                  subpart \2\.
Commercial Package Air Conditioning  Water-Cooled and        <760,000 Btu/h........  EER and IEER.........  Appendix A to this     None.
 and Heating Equipment.               Evaporatively-Cooled                                                   subpart \2\.
                                      AC.
Commercial Package Air Conditioning  Water-Cooled and        <760,000 Btu/h........  EER2 and IVEC........  Appendix A1 to this    None.
 and Heating Equipment.               Evaporatively-Cooled                                                   subpart \2\.
                                      AC.
Water-Source Heat Pumps............  HP....................  <760,000 Btu/h........  EER and COP..........  Appendix C to this     None.
                                                                                                             subpart \2\.
Water-Source Heat Pumps............  HP....................  <760,000 Btu/h........  IEER and ACOP........  Appendix C1 to this    None.
                                                                                                             subpart \2\.
Packaged Terminal Air Conditioners   AC and HP.............  <760,000 Btu/h........  EER and COP..........  Paragraph (g) of this  Paragraphs (c), (e),
 and Heat Pumps.                                                                                             section.               and (g).
Computer Room Air Conditioners.....  AC....................  <760,000 Btu/h........  SCOP.................  Appendix E to this     None.
                                                                                                             subpart \2\.
Computer Room Air Conditioners.....  AC....................  <760,000 Btu/h or       NSenCOP..............  Appendix E1 to this    None.
                                                              <930,000 Btu/h \3\.                            subpart \2\.
Variable Refrigerant Flow Multi-     AC....................  <65,000 Btu/h (3-       SEER.................  Appendix F to this     None.
 split Systems.                                               phase).                                        subpart \2\.
Variable Refrigerant Flow Multi-     AC....................  <65,000 Btu/h (3-       SEER2................  Appendix F1 to this    None.
 split Systems.                                               phase).                                        subpart \2\.

[[Page 87]]

 
Variable Refrigerant Flow Multi-     HP....................  <65,000 Btu/h (3-       SEER and HSPF........  Appendix F to this     None.
 split Systems, Air-cooled.                                   phase).                                        subpart \2\.
Variable Refrigerant Flow Multi-     HP....................  <65,000 Btu/h (3-       SEER2 and HSPF2......  Appendix F1 to this    None.
 split Systems, Air-cooled.                                   phase).                                        subpart \2\.
Variable Refrigerant Flow Multi-     AC and HP.............  =65,000 Btu/ EER and COP..........  Appendix D to this     None.
 split Systems, Air-cooled.                                   h and <760,000 Btu/h.                          subpart \2\.
Variable Refrigerant Flow Multi-     AC and HP.............  =65,000 Btu/ IEER and COP.........  Appendix D1 to this    None.
 split Systems, Air-cooled.                                   h and <760,000 Btu/h.                          subpart \2\.
Variable Refrigerant Flow Multi-     HP....................  <760,000 Btu/h........  EER and COP..........  Appendix D to this     None.
 split Systems, Water-source.                                                                                subpart \2\.
Variable Refrigerant Flow Multi-     HP....................  <760,000 Btu/h........  IEER and COP.........  Appendix D1 to this    None.
 split Systems, Water-source.                                                                                subpart \2\.
Single Package Vertical Air          AC and HP.............  <760,000 Btu/h........  EER and COP..........  Appendix G to this     None.
 Conditioners and Single Package                                                                             subpart \2\.
 Vertical Heat Pumps.
Single Package Vertical Air          AC and HP.............  <760,000 Btu/h........  EER, IEER, and COP...  Appendix G1 to this    None.
 Conditioners and Single Package                                                                             subpart \2\.
 Vertical Heat Pumps.
Direct Expansion-Dedicated Outdoor   All...................  <324 lbs. of moisture   ISMRE2 and ISCOP2....  Appendix B to this     None.
 Air Systems.                                                 removal/hr.                                    subpart.
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Moisture removal capacity applies only to direct expansion-dedicated outdoor air systems.
\2\ For equipment with multiple appendices listed in this table, consult the notes at the beginning of those appendices to determine the applicable
  appendix to use for testing.
\3\ For upflow ducted and downflow floor-mounted computer room air conditioners, the test procedure in appendix E1 to this subpart applies to equipment
  with net sensible cooling capacity less than 930,000 Btu/h. For all other configurations of computer room air conditioners, the test procedure in
  appendix E1 to this subpart applies to equipment with net sensible cooling capacity less than 760,000 Btu/h.


[[Page 88]]

    (c) Optional break-in period for tests conducted using AHRI 210/240-
2008, AHRI 1230-2010, and ASHRAE 127-2007. Manufacturers may optionally 
specify a ``break-in'' period, not to exceed 20 hours, to operate the 
equipment under test prior to conducting the test method specified by 
AHRI 210/240-2008 or ASHRAE 127-2007 (incorporated by reference; see 
Sec.  431.95). A manufacturer who elects to use an optional compressor 
break-in period in its certification testing should record this 
information (including the duration) in the test data underlying the 
certified ratings that is required to be maintained under 10 CFR 429.71.
    (d) Refrigerant line length corrections for tests conducted using 
AHRI 1230-2010. For test setups where it is physically impossible for 
the laboratory to use the required line length listed in Table 3 of the 
AHRI 1230-2010 (incorporated by reference, see Sec.  431.95), then the 
actual refrigerant line length used by the laboratory may exceed the 
required length and the following correction factors are applied:

                        Table 2 to Paragraph (d)
------------------------------------------------------------------------
                                                              Cooling
  Piping length beyond minimum, X   Piping length beyond     capacity
               (ft)                    minimum, Y (m)      correction %
------------------------------------------------------------------------
0X <=20................  0Y <=6.1.               1
20X <=40...............  6.1Y                    2
                                     <=12.2.
40X <=60...............  12.2Y                   3
                                     <=18.3.
60X <=80...............  18.3Y                   4
                                     <=24.4.
80X <=100..............  24.4Y                   5
                                     <=30.5.
100 X <=120............  30.5Y                   6
                                     <=36.6.
------------------------------------------------------------------------

    (e) Additional provisions for equipment set-up. The only additional 
specifications that may be used in setting up the basic model for test 
are those set forth in the installation and operation manual shipped 
with the unit. Each unit should be set up for test in accordance with 
the manufacturer installation and operation manuals. Paragraphs (e)(1) 
through (3) of this section provide specifications for addressing key 
information typically found in the installation and operation manuals.
    (1) If a manufacturer specifies a range of superheat, sub-cooling, 
and/or refrigerant pressure in its installation and operation manual for 
a given basic model, any value(s) within that range may be used to 
determine refrigerant charge or mass of refrigerant, unless the 
manufacturer clearly specifies a rating value in its installation and 
operation manual, in which case the specified rating value shall be 
used.
    (2) The air flow rate used for testing must be that set forth in the 
installation and operation manuals being shipped to the commercial 
customer with the basic model and clearly identified as that used to 
generate the DOE performance ratings. If a rated air flow value for 
testing is not clearly identified, a value of 400 standard cubic feet 
per minute (scfm) per ton shall be used.
    (3) For VRF systems, the test set-up and the fixed compressor speeds 
(i.e., the maximum, minimum, and any intermediate speeds used for 
testing) should be recorded and maintained as part of the test data 
underlying the certified ratings that is required to be maintained under 
10 CFR 429.71.
    (f) Manufacturer involvement in assessment or enforcement testing 
for variable refrigerant flow systems. A manufacturer's representative 
will be allowed to witness assessment and/or enforcement testing for VRF 
systems. The manufacturer's representative will be allowed to inspect 
and discuss set-up only with a DOE representative and adjust only the 
modulating components during testing in the presence of a DOE 
representative that are necessary to achieve steady-state operation. 
Only previously documented specifications for set-up as specified under 
paragraphs (d) and (e) of this section will be used.
    (g) Test Procedures for Packaged Terminal Air Conditioners and 
Packaged Terminal Heat Pumps--(1) Cooling mode testing. The test method 
for testing packaged terminal air conditioners and packaged terminal 
heat pumps in cooling mode shall consist of application of the methods 
and conditions in AHRI 310/380-2014 sections 3, 4.1, 4.2, 4.3, and 4.4 
(incorporated by reference; see Sec.  431.95), and in ANSI/ASHRAE 16 
(incorporated by reference; see Sec.  431.95) or ANSI/ASHRAE 37 
(incorporated by reference; see Sec.  431.95), except that instruments 
used for measuring electricity input shall be accurate to within 0.5 percent of the quantity measured. Where definitions 
provided in AHRI 310/380-2014, ANSI/ASHRAE 16, and/or ANSI/ASHRAE 37 
conflict with the definitions provided in 10 CFR 431.92,

[[Page 89]]

the 10 CFR 431.92 definitions shall be used. Where AHRI 310/380-2014 
makes reference to ANSI/ASHRAE 16, it is interpreted as reference to 
ANSI/ASHRAE 16-1983 (RA 2014).
    (2) Heating mode testing. The test method for testing packaged 
terminal heat pumps in heating mode shall consist of application of the 
methods and conditions in AHRI 310/380-2014 sections 3, 4.1, 4.2 (except 
the section 4.2.1.2(b) reference to ANSI/ASHRAE 37), 4.3, and 4.4 
(incorporated by reference; see Sec.  431.95), and in ANSI/ASHRAE 58 
(incorporated by reference; see Sec.  431.95). Where definitions 
provided in AHRI 310/380-2014 or ANSI/ASHRAE 58 conflict with the 
definitions provided in 10 CFR 431.92, the 10 CFR 431.92 definitions 
shall be used. Where AHRI 310/380-2014 makes reference to ANSI/ASHRAE 
58, it is interpreted as reference to ANSI/ASHRAE 58-1986 (RA 2014).
    (3) Wall sleeves. For packaged terminal air conditioners and 
packaged terminal heat pumps, the unit must be installed in a wall 
sleeve with a 14 inch depth if available. If a 14 inch deep wall sleeve 
is not available, use the available wall sleeve option closest to 14 
inches in depth. The area(s) between the wall sleeve and the insulated 
partition between the indoor and outdoor rooms must be sealed to 
eliminate all air leakage through this area.
    (4) Optional pre-filling of the condensate drain pan. For packaged 
terminal air conditioners and packaged terminal heat pumps, test 
facilities may add water to the condensate drain pan of the equipment 
under test (until the water drains out due to overflow devices or until 
the pan is full) prior to conducting the test method specified by AHRI 
310/380-2014 (incorporated by reference, see Sec.  431.95). No specific 
level of water mineral content or water temperature is required for the 
water added to the condensate drain pan.
    (5) Filter selection. For packaged terminal air conditioners and 
packaged terminal heat pumps, the indoor filter used during testing 
shall be the standard or default filter option shipped with the model. 
If a particular model is shipped without a filter, the unit must be 
tested with a MERV-1 filter sized appropriately for the filter slot.

[77 FR 28989, May 16, 2012; 80 FR 11857, Mar. 5, 2015, as amended at 80 
FR 37148, June 30, 2015; 80 FR 79669, Dec. 23, 2015; 87 FR 45198, July 
27, 2022; 87 FR 63897, Oct. 20, 2022; 87 FR 75168, Dec. 7, 2022; 87 FR 
77325, Dec. 16, 2022; 88 FR 21839, Apr. 11, 2023; 88 FR 36424, June 2, 
2023; 88 FR 84228, Dec. 4, 2023; 89 FR 44037, May 20, 2024]

                       Energy Efficiency Standards



Sec.  431.97  Energy efficiency standards and their compliance dates.

    (a) All basic models of commercial package air conditioning and 
heating equipment must be tested for performance using the applicable 
DOE test procedure in Sec.  431.96, be compliant with the applicable 
standards set forth in paragraphs (b) through (i) of this section, and 
be certified to the Department under 10 CFR part 429.
    (b) Each air-cooled commercial package air conditioning and heating 
equipment (excluding air-cooled equipment with cooling capacity less 
than 65,000 Btu/h and double-duct air conditioners or heat pumps) 
manufactured on or after January 1, 2023, and before January 1, 2029, 
must meet the applicable minimum energy efficiency standard level(s) set 
forth in table 1 to this paragraph (b). Each air-cooled commercial 
package air conditioning and heating equipment (excluding air-cooled 
equipment with cooling capacity less than 65,000 Btu/h and double-duct 
air conditioners or heat pumps) manufactured on or after January 1, 
2029, must meet the applicable minimum energy efficiency standard 
level(s) set forth in table 2 to this paragraph (b). Each water-cooled 
commercial package air conditioning and heating equipment manufactured 
on or after the compliance date listed in table 3 to this paragraph (b) 
must meet the applicable minimum energy efficiency standard level(s) set 
forth in table 3. Each evaporatively-cooled commercial air conditioning 
and heating equipment manufactured on or after the compliance date 
listed in table 4 to this paragraph (b) must meet the applicable minimum 
energy efficiency standard level(s) set forth in table 4. Each double-
duct air conditioner or heat pump manufactured on or after January 1, 
2010, must

[[Page 90]]

meet the applicable minimum energy efficiency standard level(s) set 
forth in table 5 to this paragraph (b).

  Table 1 to Paragraph (b)--Minimum Efficiency Standards for Air-Cooled Commercial Package Air Conditioning and
   Heating Equipment With a Cooling Capacity Greater Than or Equal to 65,000 Btu/h (Excluding Double-Duct Air-
                                          Conditioners and Heat Pumps)
----------------------------------------------------------------------------------------------------------------
                                                                                              Compliance date:
                                                    Supplementary    Minimum  efficiency         equipment
       Cooling capacity            Subcategory      heating type             \1\                manufactured
                                                                                             starting on . . .
----------------------------------------------------------------------------------------------------------------
  Air-Cooled Commercial Package Air Conditioning and Heating Equipment With a Cooling Capacity Greater Than or
                  Equal to 65,000 Btu/h (Excluding Double-Duct Air Conditioners and Heat Pumps)
----------------------------------------------------------------------------------------------------------------
=65,000 Btu/h and    AC..............  Electric          IEER = 14.8..........  January 1, 2023.
 <135,000 Btu/h.                                   Resistance
                                                   Heating or No
                                                   Heating.
=65,000 Btu/h and    AC..............  All Other Types   IEER = 14.6..........  January 1, 2023.
 <135,000 Btu/h.                                   of Heating.
=65,000 Btu/h and    HP..............  Electric          IEER = 14.1..........  January 1, 2023.
 <135,000 Btu/h.                                   Resistance       COP = 3.4............
                                                   Heating or No
                                                   Heating.
=65,000 Btu/h and    HP..............  All Other Types   IEER = 13.9..........  January 1, 2023.
 <135,000 Btu/h.                                   of Heating.      COP = 3.4............
=135,000 Btu/h and   AC..............  Electric          IEER = 14.2..........  January 1, 2023.
 <240,000 Btu/h.                                   Resistance
                                                   Heating or No
                                                   Heating.
=135,000 Btu/h and   AC..............  All Other Types   IEER = 14.0..........  January 1, 2023.
 <240,000 Btu/h.                                   of Heating.
=135,000 Btu/h and   HP..............  Electric          IEER = 13.5..........  January 1, 2023.
 <240,000 Btu/h.                                   Resistance       COP = 3.3............
                                                   Heating or No
                                                   Heating.
=135,000 Btu/h and   HP..............  All Other Types   IEER = 13.3..........  January 1, 2023.
 <240,000 Btu/h.                                   of Heating.      COP = 3.3............
=240,000 Btu/h and   AC..............  Electric          IEER = 13.2..........  January 1, 2023.
 <760,000 Btu/h.                                   Resistance
                                                   Heating or No
                                                   Heating.
=240,000 Btu/h and   AC..............  All Other Types   IEER = 13.0..........  January 1, 2023.
 <760,000 Btu/h.                                   of Heating.
=240,000 Btu/h and   HP..............  Electric          IEER = 12.5..........  January 1, 2023.
 <760,000 Btu/h.                                   Resistance       COP = 3.2............
                                                   Heating or No
                                                   Heating.
=240,000 Btu/h and   HP..............  All Other Types   IEER = 12.3..........  January 1, 2023.
 <760,000 Btu/h.                                   of Heating.      COP = 3.2............
----------------------------------------------------------------------------------------------------------------
\1\ See section 3 of appendix A to this subpart for the test conditions upon which the COP standards are based.


      Table 2 to Paragraph (b)--Updated Minimum Efficiency Standards for Air-Cooled Commercial Package Air
   Conditioning and Heating Equipment With a Cooling Capacity Greater Than or Equal to 65,000 Btu/h (Excluding
                                  Double-Duct Air Conditioners and Heat Pumps)
----------------------------------------------------------------------------------------------------------------
                                                                                              Compliance date:
                                                    Supplementary                                equipment
       Cooling capacity            Subcategory      heating type      Minimum efficiency        manufactured
                                                                                             starting on . . .
----------------------------------------------------------------------------------------------------------------
  Air-Cooled Commercial Package Air Conditioning and Heating Equipment With a Cooling Capacity Greater Than or
                  Equal to 65,000 Btu/h (Excluding Double-Duct Air Conditioners and Heat Pumps)
----------------------------------------------------------------------------------------------------------------
=65,000 Btu/h and    AC..............  Electric          IVEC = 14.3..........  January 1, 2029.
 <135,000 Btu/h.                                   Resistance
                                                   Heating or No
                                                   Heating.

[[Page 91]]

 
=65,000 Btu/h and    AC..............  All Other Types   IVEC = 13.8..........  January 1, 2029.
 <135,000 Btu/h.                                   of Heating.
=65,000 Btu/h and    HP..............  All Types of      IVEC = 13.4..........  January 1, 2029.
 <135,000 Btu/h.                                   Heating.         IVHE = 6.2...........
=135,000 Btu/h and   AC..............  Electric          IVEC = 13.8..........  January 1, 2029.
 <240,000 Btu/h.                                   Resistance
                                                   Heating or No
                                                   Heating.
=135,000 Btu/h and   AC..............  All Other Types   IVEC = 13.3..........  January 1, 2029.
 <240,000 Btu/h.                                   of Heating.
=135,000 Btu/h and   HP..............  All Types of      IVEC = 13.1..........  January 1, 2029.
 <240,000 Btu/h.                                   Heating.         IVHE = 6.0...........
=240,000 Btu/h and   AC..............  Electric          IVEC = 12.9..........  January 1, 2029.
 <760,000 Btu/h.                                   Resistance
                                                   Heating or No
                                                   Heating.
=240,000 Btu/h and   AC..............  All Other Types   IVEC = 12.2..........  January 1, 2029.
 <760,000 Btu/h.                                   of Heating.
=240,000 Btu/h and   HP..............  All Types of      IVEC = 12.1..........  January 1, 2029.
 <760,000 Btu/h.                                   Heating.         IVHE = 5.8...........
----------------------------------------------------------------------------------------------------------------


     Table 3 to Paragraph (b)--Minimum Cooling Efficiency Standards for Water-Cooled Commercial Package Air
                                             Conditioning Equipment
----------------------------------------------------------------------------------------------------------------
                                                                                             Compliance date:
           Cooling capacity             Supplementary heating      Minimum efficiency    equipment  manufactured
                                                 type                                        starting on . . .
----------------------------------------------------------------------------------------------------------------
                           Water-Cooled Commercial Package Air Conditioning Equipment
----------------------------------------------------------------------------------------------------------------
<65,000 Btu/h........................  All....................  EER = 12.1.............  October 29, 2003.
=65,000 Btu/h and <135,000  No Heating or Electric   EER = 12.1.............  June 1, 2013.
 Btu/h.                                 Resistance Heating.
=65,000 Btu/h and <135,000  All Other Types of       EER = 11.9.............  June 1, 2013.
 Btu/h.                                 Heating.
=135,000 Btu/h and          No Heating or Electric   EER = 12.5.............  June 1, 2014.
 <240,000 Btu/h.                        Resistance Heating.
=135,000 Btu/h and          All Other Types of       EER = 12.3.............  June 1, 2014.
 <240,000 Btu/h.                        Heating.
=240,000 Btu/h and          No Heating or Electric   EER = 12.4.............  June 1, 2014.
 <760,000 Btu/h.                        Resistance Heating.
=240,000 Btu/h and          All Other Types of       EER = 12.2.............  June 1, 2014.
 <760,000 Btu/h.                        Heating.
----------------------------------------------------------------------------------------------------------------


 Table 4 to Paragraph (b)--Minimum Cooling Efficiency Standards for Evaporatively-Cooled Commercial Package Air
                                             Conditioning Equipment
----------------------------------------------------------------------------------------------------------------
                                                                                             Compliance date:
           Cooling capacity             Supplementary heating      Minimum efficiency    equipment  manufactured
                                                 type                                        starting on . . .
----------------------------------------------------------------------------------------------------------------
                       Evaporatively-Cooled Commercial Package Air Conditioning Equipment
----------------------------------------------------------------------------------------------------------------
<65,000 Btu/h........................  All....................  EER = 12.1.............  October 29, 2003.
=65,000 Btu/h and <135,000  No Heating or Electric   EER = 12.1.............  June 1, 2013.
 Btu/h.                                 Resistance Heating.
=65,000 Btu/h and <135,000  All Other Types of       EER = 11.9.............  June 1, 2013.
 Btu/h.                                 Heating.
=135,000 Btu/h and          No Heating or Electric   EER = 12.0.............  June 1, 2014.
 <240,000 Btu/h.                        Resistance Heating.
=135,000 Btu/h and          All Other Types of       EER = 11.8.............  June 1, 2014.
 <240,000 Btu/h.                        Heating.
=240,000 Btu/h and          No Heating or Electric   EER = 11.9.............  June 1, 2014.
 <760,000 Btu/h.                        Resistance Heating.
=240,000 Btu/h and          All Other Types of       EER = 11.7.............  June 1, 2014.
 <760,000 Btu/h.                        Heating.
----------------------------------------------------------------------------------------------------------------


[[Page 92]]


      Table 5 to Paragraph (b)--Minimum Efficiency Standards for Double-Duct Air Conditioners or Heat Pumps
----------------------------------------------------------------------------------------------------------------
                                                                                              Compliance date:
                                                    Supplementary    Minimum  efficiency         equipment
       Cooling capacity            Subcategory      heating type             \1\                manufactured
                                                                                             starting on . . .
----------------------------------------------------------------------------------------------------------------
                                   Double-Duct Air Conditioners or Heat Pumps
----------------------------------------------------------------------------------------------------------------
=65,000 Btu/h and    AC..............  Electric          EER = 11.2...........  January 1, 2010.
 <135,000 Btu/h.                                   Resistance
                                                   Heating or No
                                                   Heating.
=65,000 Btu/h and    AC..............  All Other Types   EER = 11.0...........  January 1, 2010.
 <135,000 Btu/h.                                   of Heating.
=65,000 Btu/h and    HP..............  Electric          EER = 11.0...........  January 1, 2010.
 <135,000 Btu/h.                                   Resistance       COP = 3.3............
                                                   Heating or No
                                                   Heating.
=65,000 Btu/h and    HP..............  All Other Types   EER = 10.8...........  January 1, 2010.
 <135,000 Btu/h.                                   of Heating.      COP = 3.3............
=135,000 Btu/h and   AC..............  Electric          EER = 11.0...........  January 1, 2010.
 <240,000 Btu/h.                                   Resistance
                                                   Heating or No
                                                   Heating.
=135,000 Btu/h and   AC..............  All Other Types   EER = 10.8...........  January 1, 2010.
 <240,000 Btu/h.                                   of Heating.
=135,000 Btu/h and   HP..............  Electric          EER = 10.6...........  January 1, 2010.
 <240,000 Btu/h.                                   Resistance       COP = 3.2............
                                                   Heating or No
                                                   Heating.
=135,000 Btu/h and   HP..............  All Other Types   EER = 10.4...........  January 1, 2010.
 <240,000 Btu/h.                                   of Heating.      COP = 3.2............
=240,000 Btu/h and   AC..............  Electric          EER = 10.0...........  January 1, 2010.
 <300,000 Btu/h.                                   Resistance
                                                   Heating or No
                                                   Heating.
=240,000 Btu/h and   AC..............  All Other Types   EER = 9.8............  January 1, 2010.
 <300,000 Btu/h.                                   of Heating.
=240,000 Btu/h and   HP..............  Electric          EER = 9.5............  January 1, 2010.
 <300,000 Btu/h.                                   Resistance       COP = 3.2............
                                                   Heating or No
                                                   Heating.
=240,000 Btu/h and   HP..............  All Other Types   EER = 9.3............  January 1, 2010.
 <300,000 Btu/h.                                   of Heating.      COP = 3.2............
----------------------------------------------------------------------------------------------------------------
\1\ See section 3 of appendix A to this subpart for the test conditions upon which the COP standards are based.

    (c) Each water-source heat pump manufactured starting on the 
compliance date listed in table 6 to this paragraph (c) must meet the 
applicable minimum energy efficiency standard level(s) set forth in this 
paragraph (c).

 Table 6 to Paragraph (c)--Minimum Efficiency Standards for Water-Source
                  Heat Pumps (Water-to-Air, Water-Loop)
------------------------------------------------------------------------
                                                       Compliance date:
                                                           equipment
        Cooling capacity          Minimum efficiency     manufactured
                                                       starting on . . .
------------------------------------------------------------------------
           Water-Source Heat Pumps (Water-to-Air, Water-Loop)
------------------------------------------------------------------------
<17,000 Btu/h...................  EER = 12.2........  October 9, 2015.
                                  COP = 4.3.........
=17,000 Btu/h and      EER = 13.0........  October 9, 2015.
 <65,000 Btu/h.                   COP = 4.3.........
=65,000 Btu/h and      EER = 13.0........  October 9, 2015.
 <135,000 Btu/h.                  COP = 4.3.........
------------------------------------------------------------------------

    (d) Each non-standard size packaged terminal air conditioner (PTAC) 
and packaged terminal heat pump (PTHP) manufactured on or after October 
7,

[[Page 93]]

2010, must meet the applicable minimum energy efficiency standard 
level(s) set forth in table 7 to this paragraph (d). Each standard size 
PTAC manufactured on or after October 8, 2012, and before January 1, 
2017, must meet the applicable minimum energy efficiency standard 
level(s) set forth in table 7. Each standard size PTHP manufactured on 
or after October 8, 2012, must meet the applicable minimum energy 
efficiency standard level(s) set forth in table 7. Each standard size 
PTAC manufactured on or after January 1, 2017, must meet the applicable 
minimum energy efficiency standard level(s) set forth in table 8 to this 
paragraph (d).

                    Table 7 to Paragraph (d)--Minimum Efficiency Standards for PTAC and PTHP
----------------------------------------------------------------------------------------------------------------
                                                                                      Compliance date: products
        Equipment type             Category      Cooling capacity       Minimum       manufactured on  and after
                                                                      efficiency                . . .
----------------------------------------------------------------------------------------------------------------
PTAC.........................  Standard Size...  <7,000 Btu/h....  EER = 11.7......  October 8, 2012.\2\
                                                 =7,00  EER = 13.8-(0.3   October 8, 2012.\2\
                                                  0 Btu/h and       x Cap \1\).
                                                  <=15,000 Btu/h.
                                                 15,00  EER = 9.3.......  October 8, 2012.\2\
                                                  0 Btu/h.
                               Non-Standard      <7,000 Btu/h....  EER = 9.4.......  October 7, 2010.
                                Size.
                                                 =7,00  EER = 10.9-       October 7, 2010.
                                                  0 Btu/h and       (0.213 x Cap
                                                  <=15,000 Btu/h.   \1\).
                                                 15,00  EER = 7.7.......  October 7, 2010.
                                                  0 Btu/h.
PTHP.........................  Standard Size...  <7,000 Btu/h....  EER = 11.9......  October 8, 2012.
                                                                   COP = 3.3.......
                                                 =7,00  EER = 14.0-(0.3   October 8, 2012.
                                                  0 Btu/h and       x Cap \1\).
                                                  <=15,000 Btu/h.  COP = 3.7-(0.052
                                                                    x Cap \1\).
                                                 15,00  EER = 9.5.......  October 8, 2012.
                                                  0 Btu/h.         COP = 2.9.......
                               Non-Standard      <7,000 Btu/h....  EER = 9.3.......  October 7, 2010.
                                Size.                              COP = 2.7.......
                                                 =7,00  EER = 10.8-       October 7, 2010.
                                                  0 Btu/h and       (0.213 x Cap
                                                  <=15,000 Btu/h.   \1\).
                                                                   COP = 2.9-(0.026
                                                                    x Cap \1\).
                                                 15,00  EER = 7.6.......  October 7, 2010.
                                                  0 Btu/h.         COP = 2.5.......
----------------------------------------------------------------------------------------------------------------
\1\ ``Cap'' means cooling capacity in thousand Btu/h at 95 [deg]F outdoor dry-bulb temperature.
\2\ And manufactured before January 1, 2017. See table 8 to this paragraph (d) for updated efficiency standards
  that apply to this category of equipment manufactured on and after January 1, 2017.


                     Table 8 to Paragraph (d)--Updated Minimum Efficiency Standards for PTAC
----------------------------------------------------------------------------------------------------------------
                                                                                      Compliance date: products
        Equipment type             Category      Cooling capacity       Minimum       manufactured on  and after
                                                                      efficiency                . . .
----------------------------------------------------------------------------------------------------------------
PTAC.........................  Standard Size...  <7,000 Btu/h....  EER = 11.9......  January 1, 2017.
                                                 =7,00  EER = 14.0-(0.3   January 1, 2017.
                                                  0 Btu/h and       x Cap \1\).
                                                  <=15,000 Btu/h.
                                                 15,00  EER = 9.5.......  January 1, 2017.
                                                  0 Btu/h.
----------------------------------------------------------------------------------------------------------------
\1\ ``Cap'' means cooling capacity in thousand Btu/h at 95 [deg]F outdoor dry-bulb temperature.

    (e)(1) Each single package vertical air conditioner and single 
package vertical heat pump manufactured on or after January 1, 2010, but 
before October 9, 2015 (for models =65,000 Btu/h and <135,000 
Btu/h), or October 9, 2016 (for models =135,000 Btu/h and 
<240,000 Btu/h), must meet the applicable minimum energy conservation 
standard level(s) set forth in this paragraph (e)(1).

[[Page 94]]



   Table 9 to Paragraph (e)(1)--Minimum Efficiency Standards for Single Package Vertical Air Conditioners and
                                       Single Package Vertical Heat Pumps
----------------------------------------------------------------------------------------------------------------
                                                                                               Compliance date:
                                                                                                   products
          Equipment type             Cooling capacity   Sub-  category    Efficiency level   manufactured on and
                                                                                                 after . . .
----------------------------------------------------------------------------------------------------------------
Single package vertical air        <65,000 Btu/h......  AC              EER = 9.0..........  January 1, 2010.
 conditioners and single package                        HP              EER = 9.0..........  January 1, 2010.
 vertical heat pumps, single-                                           COP = 3.0..........
 phase and three-phase.
Single package vertical air        =65,000   AC              EER = 8.9..........  January 1, 2010.
 conditioners and single package    Btu/h and <135,000  HP              EER = 8.9..........  January 1, 2010.
 vertical heat pumps.               Btu/h.                              COP = 3.0..........
Single package vertical air        =135,000  AC              EER = 8.6..........  January 1, 2010.
 conditioners and single package    Btu/h and <240,000  HP              EER = 8.6..........  January 1, 2010.
 vertical heat pumps.               Btu/h.                              COP = 2.9..........
----------------------------------------------------------------------------------------------------------------

    (2) Each single package vertical air conditioner and single package 
vertical heat pump manufactured on and after October 9, 2015 (for models 
=65,000 Btu/h and <135,000 Btu/h), or October 9, 2016 (for 
models =135,000 Btu/h and <240,000 Btu/h), but before 
September 23, 2019, must meet the applicable minimum energy conservation 
standard level(s) set forth in this paragraph (e)(2).

   Table 10 to Paragraph (e)(2)--Minimum Efficiency Standards for Single Package Vertical Air Conditioners and
                                       Single Package Vertical Heat Pumps
----------------------------------------------------------------------------------------------------------------
                                                                                               Compliance date:
                                                                                                   products
          Equipment type             Cooling capacity   Sub-  category    Efficiency level   manufactured on and
                                                                                                 after . . .
----------------------------------------------------------------------------------------------------------------
Single package vertical air        <65,000 Btu/h......  AC              EER = 9.0..........  January 1, 2010.
 conditioners and single package                        HP              EER = 9.0..........  January 1, 2010.
 vertical heat pumps, single-                                           COP = 3.0..........
 phase and three-phase.
Single package vertical air        =65,000   AC              EER = 10.0.........  October 9, 2015.
 conditioners and single package    Btu/h and <135,000  HP              EER = 10.0.........  October 9, 2015.
 vertical heat pumps.               Btu/h.                              COP = 3.0..........
Single package vertical air        =135,000  AC              EER = 10.0.........  October 9, 2016.
 conditioners and single package    Btu/h and <240,000  HP              EER = 10.0.........  October 9, 2016.
 vertical heat pumps.               Btu/h.                              COP = 3.0..........
----------------------------------------------------------------------------------------------------------------

    (3) Each single package vertical air conditioner and single package 
vertical heat pump manufactured on and after September 23, 2019, must 
meet the applicable minimum energy conservation standard level(s) set 
forth in this paragraph (e)(3).

 Table 11 to Paragraph (e)(3)--Updated Minimum Efficiency Standards for Single Package Vertical Air Conditioners
                                     and Single Package Vertical Heat Pumps
----------------------------------------------------------------------------------------------------------------
                                                                                               Compliance date:
                                                                                                   products
          Equipment type             Cooling capacity   Sub-  category    Efficiency level   manufactured on and
                                                                                                 after . . .
----------------------------------------------------------------------------------------------------------------
Single package vertical air        <65,000 Btu/h......  AC              EER = 11.0.........  September 23, 2019.
 conditioners and single package                        HP              EER = 11.0.........  September 23, 2019.
 vertical heat pumps, single-                                           COP = 3.3..........
 phase and three-phase.

[[Page 95]]

 
Single package vertical air        =65,000   AC              EER = 10.0.........  October 9, 2015.
 conditioners and single package    Btu/h and <135,000  HP              EER = 10.0.........  October 9, 2015.
 vertical heat pumps.               Btu/h.                              COP = 3.0..........
Single package vertical air        =135,000  AC              EER = 10.0.........  October 9, 2016.
 conditioners and single package    Btu/h and <240,000  HP              EER = 10.0.........  October 9, 2016.
 vertical heat pumps.               Btu/h.                              COP = 3.0..........
----------------------------------------------------------------------------------------------------------------

    (f)(1) Each computer room air conditioner with a net sensible 
cooling capacity less than 65,000 Btu/h manufactured on or after October 
29, 2012, and before May 28, 2024 and each computer room air conditioner 
with a net sensible cooling capacity greater than or equal to 65,000 
Btu/h and less than 760,000 Btu/h manufactured on or after October 29, 
2013, and before May 28, 2024 must meet the applicable minimum energy 
efficiency standard level(s) set forth in this paragraph (f)(1).

          Table 12 to Paragraph (f)(1)--Minimum Efficiency Standards for Computer Room Air Conditioners
----------------------------------------------------------------------------------------------------------------
                                                                                      Minimum SCOP efficiency
               Equipment type                   Net sensible cooling capacity    -------------------------------
                                                                                     Downflow         Upflow
----------------------------------------------------------------------------------------------------------------
Air-Cooled.................................  <65,000 Btu/h......................            2.20            2.09
                                             =65,000 Btu/h and                   2.10            1.99
                                              <240,000 Btu/h.
                                             =240,000 Btu/h and                  1.90            1.79
                                              <760,000 Btu/h.
Water-Cooled...............................  <65,000 Btu/h......................            2.60            2.49
                                             =65,000 Btu/h and                   2.50            2.39
                                              <240,000 Btu/h.
                                             =240,000 Btu/h and                  2.40            2.29
                                              <760,000 Btu/h.
Water-Cooled with Fluid Economizer.........  <65,000 Btu/h......................            2.55            2.44
                                             =65,000 Btu/h and                   2.45            2.34
                                              <240,000 Btu/h.
                                             =240,000 Btu/h and                  2.35            2.24
                                              <760,000 Btu/h.
Glycol-Cooled..............................  <65,000 Btu/h......................            2.50            2.39
                                             =65,000 Btu/h and                   2.15            2.04
                                              <240,000 Btu/h.
                                             =240,000 Btu/h and                  2.10            1.99
                                              <760,000 Btu/h.
Glycol-Cooled with Fluid Economizer........  <65,000 Btu/h......................            2.45            2.34
                                             =65,000 Btu/h and                   2.10            1.99
                                              <240,000 Btu/h.
                                             =240,000 Btu/h and                  2.05            1.94
                                              <760,000 Btu/h.
----------------------------------------------------------------------------------------------------------------

    (2) Each computer room air conditioner manufactured on or after May 
28, 2024, must meet the applicable minimum energy efficiency standard 
level(s) set forth in this paragraph (f)(2).

[[Page 96]]



                   Table 13 to Paragraph (f)(2)--Updated Minimum Efficiency Standards for Floor-Mounted Computer Room Air Conditioners
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                       Downflow and upflow ducted                         Upflow non-ducted and horizontal flow
                                       -----------------------------------------------------------------------------------------------------------------
                                                                            Minimum NSenCOP                                          Minimum NSenCOP
            Equipment type                                                    efficiency                                               efficiency
                                        Net sensible cooling capacity -------------------------- Net sensible cooling capacity -------------------------
                                                                                       Upflow                                   Upflow  non-  Horizontal
                                                                         Downflow      ducted                                      ducted        flow
--------------------------------------------------------------------------------------------------------------------------------------------------------
Air-Cooled............................  <80,000 Btu/h................         2.70         2.67  <65,000 Btu/h................         2.16         2.65
                                        =80,000 Btu/h and          2.58         2.55  =65,000 Btu/h and          2.04         2.55
                                         <295,000 Btu/h.                                          <240,000 Btu/h.
                                        =295,000 Btu/h and         2.36         2.33  =240,000 Btu/h and         1.89         2.47
                                         <930,000 Btu/h.                                          <760,000 Btu/h.
Air-Cooled with Fluid Economizer......  <80,000 Btu/h................         2.70         2.67  <65,000 Btu/h................         2.09         2.65
                                        =80,000 Btu/h and          2.58         2.55  =65,000 Btu/h and          1.99         2.55
                                         <295,000 Btu/h.                                          <240,000 Btu/h.
                                        =295,000 Btu/h and         2.36         2.33  =240,000 Btu/h and         1.81         2.47
                                         <930,000 Btu/h.                                          <760,000 Btu/h.
Water-Cooled..........................  <80,000 Btu/h................         2.82         2.79  <65,000 Btu/h................         2.43         2.79
                                        =80,000 Btu/h and          2.73         2.70  =65,000 Btu/h and          2.32         2.68
                                         <295,000 Btu/h.                                          <240,000 Btu/h.
                                        =295,000 Btu/h and         2.67         2.64  =240,000 Btu/h and         2.20         2.60
                                         <930,000 Btu/h.                                          <760,000 Btu/h.
Water-Cooled with Fluid Economizer....  <80,000 Btu/h................         2.77         2.74  <65,000 Btu/h................         2.35         2.71
                                        =80,000 Btu/h and          2.68         2.65  =65,000 Btu/h and          2.24         2.60
                                         <295,000 Btu/h.                                          <240,000 Btu/h.
                                        =295,000 Btu/h and         2.61         2.58  =240,000 Btu/h and         2.12         2.54
                                         <930,000 Btu/h.                                          <760,000 Btu/h.
Glycol-Cooled.........................  <80,000 Btu/h................         2.56         2.53  <65,000 Btu/h................         2.08         2.48
                                        =80,000 Btu/h and          2.24         2.21  =65,000 Btu/h and          1.90         2.18
                                         <295,000 Btu/h.                                          <240,000 Btu/h.
                                        =295,000 Btu/h and         2.21         2.18  =240,000 Btu/h and         1.81         2.18
                                         <930,000 Btu/h.                                          <760,000 Btu/h.
Glycol-Cooled with Fluid Economizer...  <80,000 Btu/h................         2.51         2.48  <65,000 Btu/h................         2.00         2.44
                                        =80,000 Btu/h and          2.19         2.16  =65,000 Btu/h and          1.82         2.10
                                         <295,000 Btu/h.                                          <240,000 Btu/h.
                                        =295,000 Btu/h and         2.15         2.12  =240,000 Btu/h and         1.73         2.10
                                         <930,000 Btu/h.                                          <760,000 Btu/h.
--------------------------------------------------------------------------------------------------------------------------------------------------------


[[Page 97]]


 Table 14 to Paragraph (f)(2)--Minimum Efficiency Standards for Ceiling-
                 Mounted Computer Room Air Conditioners
------------------------------------------------------------------------
                                                     Minimum NSenCOP
                                 Net sensible          efficiency
        Equipment type             cooling     -------------------------
                                   capacity        Ducted     Non-ducted
------------------------------------------------------------------------
Air-Cooled with Free Air       <29,000 Btu/h..         2.05         2.08
 Discharge Condenser.
                               =29,         2.02         2.05
                                000 Btu/h and
                                <65,000 Btu/h.
                               =65,         1.92         1.94
                                000 Btu/h and
                                <760,000 Btu/h.
Air-Cooled with Free Air       <29,000 Btu/h..         2.01         2.04
 Discharge Condenser and
 Fluid Economizer.
                               =29,         1.97            2
                                000 Btu/h and
                                <65,000 Btu/h.
                               =65,         1.87         1.89
                                000 Btu/h and
                                <760,000 Btu/h.
Air-Cooled with Ducted         <29,000 Btu/h..         1.86         1.89
 Condenser.
                               =29,         1.83         1.86
                                000 Btu/h and
                                <65,000 Btu/h.
                               =65,         1.73         1.75
                                000 Btu/h and
                                <760,000 Btu/h.
Air-Cooled with Fluid          <29,000 Btu/h..         1.82         1.85
 Economizer and Ducted
 Condenser.
                               =29,         1.78         1.81
                                000 Btu/h and
                                <65,000 Btu/h.
                               =65,         1.68          1.7
                                000 Btu/h and
                                <760,000 Btu/h.
Water-Cooled.................  <29,000 Btu/h..         2.38         2.41
                               =29,         2.28         2.31
                                000 Btu/h and
                                <65,000 Btu/h.
                               =65,         2.18          2.2
                                000 Btu/h and
                                <760,000 Btu/h.
Water-Cooled with Fluid        <29,000 Btu/h..         2.33         2.36
 Economizer.
                               =29,         2.23         2.26
                                000 Btu/h and
                                <65,000 Btu/h.
                               =65,         2.13         2.16
                                000 Btu/h and
                                <760,000 Btu/h.
Glycol-Cooled................  <29,000 Btu/h..         1.97            2
                               =29,         1.93         1.98
                                000 Btu/h and
                                <65,000 Btu/h.
                               =65,         1.78         1.81
                                000 Btu/h and
                                <760,000 Btu/h.
Glycol-Cooled with Fluid       <29,000 Btu/h..         1.92         1.95
 Economizer.
                               =29,         1.88         1.93
                                000 Btu/h and
                                <65,000 Btu/h.
                               =65,         1.73         1.76
                                000 Btu/h and
                                <760,000 Btu/h.
------------------------------------------------------------------------

    (g)(1) Each variable refrigerant flow air conditioner or heat pump 
manufactured on or after the compliance date listed in table 15 to this 
paragraph (g)(1) and prior to January 1, 2024, must meet the applicable 
minimum energy efficiency standard level(s) set forth in this paragraph 
(g)(1).

[[Page 98]]



    Table 15 to Paragraph (g)(1)--Minimum Efficiency Standards for Variable Refrigerant Flow Multi-Split Air
                                           Conditioners and Heat Pumps
----------------------------------------------------------------------------------------------------------------
                                                                                              Compliance date:
                                    Cooling                                                       equipment
        Equipment type             capacity      Heating type \1\      Efficiency level     manufactured  on and
                                                                                                 after . . .
----------------------------------------------------------------------------------------------------------------
VRF Multi-Split Air            =65,0  No Heating or     11.2 EER...............  January 1, 2010.
 Conditioners (Air-Cooled).     00 Btu/h and      Electric
                                <135,000 Btu/h.   Resistance
                                                  Heating.
                                                 All Other Types   11.0 EER...............  January 1, 2010.
                                                  of Heating.
                               =135,  No Heating or     11.0 EER...............  January 1, 2010.
                                000 Btu/h and     Electric
                                <240,000 Btu/h.   Resistance
                                                  Heating.
                                                 All Other Types   10.8 EER...............  January 1, 2010.
                                                  of Heating.
                               =240,  No Heating or     10.0 EER...............  January 1, 2010.
                                000 Btu/h and     Electric
                                <760,000 Btu/h.   Resistance
                                                  Heating.
                                                 All Other Types   9.8 EER................  January 1, 2010.
                                                  of Heating.
VRF Multi-Split Heat Pumps     =65,0  No Heating or     11.0 EER, 3.3 COP......  January 1, 2010.
 (Air-Cooled).                  00 Btu/h and      Electric
                                <135,000 Btu/h.   Resistance
                                                  Heating.
                                                 All Other Types   10.8 EER, 3.3 COP......  January 1, 2010.
                                                  of Heating.
                               =135,  No Heating or     10.6 EER, 3.2 COP......  January 1, 2010.
                                000 Btu/h and     Electric
                                <240,000 Btu/h.   Resistance
                                                  Heating.
                                                 All Other Types   10.4 EER, 3.2 COP......  January 1, 2010.
                                                  of Heating.
                               =240,  No Heating or     9.5 EER, 3.2 COP.......  January 1, 2010.
                                000 Btu/h and     Electric
                                <760,000 Btu/h.   Resistance
                                                  Heating.
                                                 All Other Types   9.3 EER, 3.2 COP.......  January 1, 2010.
                                                  of Heating.
VRF Multi-Split Heat Pumps     <17,000 Btu/h...  Without Heat      12.0 EER,..............  October 29, 2012.
 (Water-Source).                                  Recovery.        4.2 COP................  October 29, 2003.
                                                 With Heat         11.8 EER...............  October 29, 2012.
                                                  Recovery.        4.2 COP................  October 29, 2003.
                               =17,0  All.............  12.0 EER, 4.2 COP......  October 29, 2003.
                                00 Btu/h and
                                <65,000 Btu/h.
                               =65,0  All.............  12.0 EER, 4.2 COP......  October 29, 2003.
                                00 Btu/h and
                                <135,000 Btu/h.
                               =135,  Without Heat      10.0 EER, 3.9 COP......  October 29, 2013.
                                000 Btu/h and     Recovery.
                                <760,000 Btu/h.
                                                 With Heat         9.8 EER, 3.9 COP.......  October 29, 2013.
                                                  Recovery.
----------------------------------------------------------------------------------------------------------------
\1\ VRF multi-split heat pumps (air-cooled) with heat recovery fall under the category of ``All Other Types of
  Heating'' unless they also have electric resistance heating, in which case it falls under the category for
  ``No Heating or Electric Resistance Heating.''


[[Page 99]]

    (2) Each variable refrigerant flow air conditioner or heat pump 
(except air-cooled systems with cooling capacity less than 65,000 Btu/h) 
manufactured on or after January 1, 2024, must meet the applicable 
minimum energy efficiency standard level(s) set forth in this paragraph 
(g)(2).

Table 16 to Paragraph (g)(2)--Updated Minimum Efficiency Standards for Variable Refrigerant Flow Multi-Split Air
                                           Conditioners and Heat Pumps
----------------------------------------------------------------------------------------------------------------
          Equipment type                Size category          Heating type             Minimum efficiency
----------------------------------------------------------------------------------------------------------------
VRF Multi-Split Air Conditioners    =65,000     All.................  15.5 IEER.
 (Air-Cooled).                       and <135,000 Btu/h.
                                    =135,000    All.................  14.9 IEER.
                                     and <240,000 Btu/h.
                                    =240,000    All.................  13.9 IEER.
                                     Btu/h and <760,000
                                     Btu/h.
VRF Multi-Split Heat Pumps (Air-    =65,000     Heat Pump without     14.6 IEER, 3.3 COP.
 Cooled).                            and <135,000 Btu/h.    Heat Recovery.
                                                           Heat Pump with Heat   14.4 IEER, 3.3 COP.
                                                            Recovery.
                                    =135,000    Heat Pump without     13.9 IEER, 3.2 COP.
                                     and <240,000 Btu/h.    Heat Recovery.       13.7 IEER, 3.2 COP.
                                                           Heat Pump with Heat
                                                            Recovery.
                                    =240,000    Heat Pump without     12.7 IEER, 3.2 COP.
                                     Btu/h and <760,000     Heat Recovery.       12.5 IEER, 3.2 COP.
                                     Btu/h.                Heat Pump with Heat
                                                            Recovery.
VRF Multi-Split Heat Pumps (Water-  <65,000 Btu/h........  Heat Pump without     16.0 IEER, 4.3 COP.
 Source).                                                   Heat Recovery.       15.8 IEER, 4.3 COP.
                                                           Heat Pump with Heat
                                                            Recovery.
                                    =65,000     Heat Pump without     16.0 IEER, 4.3 COP.
                                     and <135,000 Btu/h.    Heat Recovery.       15.8 IEER, 4.3 COP.
                                                           Heat Pump with Heat
                                                            Recovery.
                                    =135,000    Heat Pump without     14.0 IEER, 4.0 COP.
                                     and <240,000 Btu/h.    Heat Recovery.       13.8 IEER, 4.0 COP.
                                                           Heat Pump with Heat
                                                            Recovery.
                                    =240,000    Heat Pump without     12.0 IEER, 3.9 COP.
                                     Btu/h and <760,000     Heat Recovery.       11.8 IEER, 3.9 COP.
                                     Btu/h.                Heat Pump with Heat
                                                            Recovery.
----------------------------------------------------------------------------------------------------------------

    (h) Each direct expansion-dedicated outdoor air system manufactured 
on or after the compliance date listed in table 17 to this paragraph (h) 
must meet the applicable minimum energy efficiency standard level(s) set 
forth in this paragraph (h).

   Table 17 to Paragraph (h)--Minimum Efficiency Standards for Direct Expansion-Dedicated Outdoor Air Systems
----------------------------------------------------------------------------------------------------------------
                                                                                            Compliance date:
        Equipment  category                 Subcategory            Efficiency level      equipment manufactured
                                                                                           starting on . . .
----------------------------------------------------------------------------------------------------------------
Direct expansion-dedicated outdoor  (AC)--Air-cooled without    ISMRE2 = 3.8.........  May 1, 2024.
 air systems.                        ventilation energy
                                     recovery systems.
                                    (AC w/VERS)--Air-cooled     ISMRE2 = 5.0.........  May 1, 2024.
                                     with ventilation energy
                                     recovery systems.
                                    (ASHP)--Air-source heat     ISMRE2 = 3.8.........  May 1, 2024.
                                     pumps without ventilation  ISCOP2 = 2.05........
                                     energy recovery systems.

[[Page 100]]

 
                                    (ASHP w/VERS)--Air-source   ISMRE2 = 5.0.........  May 1, 2024.
                                     heat pumps with            ISCOP2 = 3.20........
                                     ventilation energy
                                     recovery systems.
                                    (WC)--Water-cooled without  ISMRE2 = 4.7.........  May 1, 2024.
                                     ventilation energy
                                     recovery systems.
                                    (WC w/VERS)--Water-cooled   ISMRE2 = 5.1.........  May 1, 2024.
                                     with ventilation energy
                                     recovery systems.
                                    (WSHP)--Water-source heat   ISMRE2 = 3.8.........  May 1, 2024.
                                     pumps without ventilation  ISCOP2 = 2.13........
                                     energy recovery systems.
                                    (WSHP w/VERS)--Water-       ISMRE2 = 4.6.........  May 1, 2024.
                                     source heat pumps with     ISCOP2 = 4.04........
                                     ventilation energy
                                     recovery systems.
----------------------------------------------------------------------------------------------------------------

    (i) Air-cooled, three-phase, commercial package air conditioning and 
heating equipment with a cooling capacity of less than 65,000 Btu/h and 
air-cooled, three-phase variable refrigerant flow multi-split air 
conditioning and heating equipment with a cooling capacity of less than 
65,000 Btu/h manufactured on or after the compliance date listed in 
tables 18 and 19 to this paragraph (i) must meet the applicable minimum 
energy efficiency standard level(s) set forth in this paragraph (i).

   Table 18 to Paragraph (i)--Minimum Efficiency Standards for Air-Cooled, Three-Phase, Commercial Package Air
   Conditioning and Heating Equipment With a Cooling Capacity of Less Than 65,000 Btu/h and Air-Cooled, Three-
    Phase, Small Variable Refrigerant Flow Multi-Split Air Conditioning and Heating Equipment With a Cooling
                                       Capacity of Less Than 65,000 Btu/h
----------------------------------------------------------------------------------------------------------------
                                                                                              Compliance date:
                                     Cooling                                                     equipment
        Equipment type              capacity         Subcategory      Minimum efficiency        manufactured
                                                                                             starting on . . .
----------------------------------------------------------------------------------------------------------------
Commercial Package Air          <65,000 Btu/h...  Split-System....  13.0 SEER............  June 16, 2008.\1\
 Conditioning Equipment.
Commercial Package Air          <65,000 Btu/h...  Single-Package..  14.0 SEER............  January 1, 2017.\1\
 Conditioning Equipment.
Commercial Package Air          <65,000 Btu/h...  Split-System....  14.0 SEER............  January 1, 2017.\1\
 Conditioning and Heating                                           8.2 HSPF.............
 Equipment.
Commercial Package Air          <65,000 Btu/h...  Single-Package..  14.0 SEER............  January 1, 2017.\1\
 Conditioning and Heating                                           8.0 HSPF.............
 Equipment.
VRF Air Conditioners..........  <65,000 Btu/h...  ................  13.0 SEER............  June 16, 2008.\1\
VRF Heat Pumps................  <65,000 Btu/h...  ................  13.0 SEER............  June 16, 2008.\1\
                                                                    7.7 HSPF.............
----------------------------------------------------------------------------------------------------------------
\1\ And manufactured before January 1, 2025. For equipment manufactured on or after January 1, 2025, see table
  19 to this paragraph (i) for updated efficiency standards.


[[Page 101]]


 Table 19 to Paragraph (i)--Updated Minimum Efficiency Standards for Air-Cooled, Three-Phase, Commercial Package
 Air Conditioning and Heating Equipment With a Cooling Capacity of Less Than 65,000 Btu/h and Air-Cooled, Three-
    Phase, Small Variable Refrigerant Flow Multi-Split Air Conditioning and Heating Equipment With a Cooling
                                       Capacity of Less Than 65,000 Btu/h
----------------------------------------------------------------------------------------------------------------
                                                                                              Compliance date:
                                     Cooling                                                     equipment
        Equipment type              capacity         Subcategory      Minimum efficiency        manufactured
                                                                                             starting on . . .
----------------------------------------------------------------------------------------------------------------
Commercial Package Air          <65,000 Btu/h...  Split-System....  13.4 SEER2...........  January 1, 2025.
 Conditioning Equipment.
Commercial Package Air          <65,000 Btu/h...  Single-Package..  13.4 SEER2...........  January 1, 2025.
 Conditioning Equipment.
Commercial Package Air          <65,000 Btu/h...  Split-System....  14.3 SEER2...........  January 1, 2025.
 Conditioning and Heating                                           7.5 HSPF2............
 Equipment.
Commercial Package Air          <65,000 Btu/h...  Single-Package..  13.4 SEER2...........  January 1, 2025.
 Conditioning and Heating                                           6.7 HSPF2............
 Equipment.
Space-Constrained Commercial    <=30,000 Btu/h..  Split-System....  12.7 SEER2...........  January 1, 2025.
 Package Air Conditioning
 Equipment.
Space-Constrained Commercial    <=30,000 Btu/h..  Single-Package..  13.9 SEER2...........  January 1, 2025.
 Package Air Conditioning
 Equipment.
Space-Constrained Commercial    <=30,000 Btu/h..  Split-System....  13.9 SEER2...........  January 1, 2025.
 Package Air Conditioning and                                       7.0 HSPF2............
 Heating Equipment.
Space-Constrained Commercial    <=30,000 Btu/h..  Single-Package..  13.9 SEER2...........  January 1, 2025.
 Package Air Conditioning and                                       6.7 HSPF2............
 Heating Equipment.
Small-Duct, High-Velocity       <65,000 Btu/h...  Split-System....  13.0 SEER2...........  January 1, 2025.
 Commercial Package Air
 Conditioning.
Small-Duct, High-Velocity       <65,000 Btu/h...  Split-System....  14.0 SEER2...........  January 1, 2025.
 Commercial Package Air                                             6.9 HSPF2............
 Conditioning and Heating
 Equipment.
VRF Air Conditioners..........  <65,000 Btu/h...  ................  13.4 SEER2...........  January 1, 2025.
VRF Heat Pumps................  <65,000 Btu/h...  ................  13.4 SEER2...........  January 1, 2025.
                                                                    7.5 HSPF2............
----------------------------------------------------------------------------------------------------------------


[[Page 102]]


[89 FR 44134, May 20, 2024]



 Sec. Appendix A to Subpart F of Part 431--Uniform Test Method for the 
Measurement of Energy Consumption of Commercial Package Air Conditioning 
  and Heating Equipment (Excluding Air-Cooled Equipment With a Cooling 
                    Capacity Less Than 65,000 Btu/h)

    Note: Prior to May 15, 2025, representations with respect to the 
energy use or efficiency of commercial package air conditioning and 
heating equipment (excluding air-cooled equipment with a cooling 
capacity less than 65,000 Btu/h), including compliance certifications, 
must be based on testing conducted in accordance with:
    (a) The applicable provisions (appendix A to subpart F of part 431 
for air-cooled equipment, and table 1 to Sec.  431.96 for water-cooled 
and evaporatively-cooled equipment) as they appeared in subpart F of 10 
CFR part 431, revised as of January 1, 2024; or
    (b) This appendix.
    Beginning May 15, 2025, and prior to the compliance date of amended 
standards for commercial package air conditioning and heating equipment 
(excluding air-cooled equipment with a cooling capacity less than 65,000 
Btu/h) based on integrated ventilation, economizing, and cooling (IVEC) 
and integrated ventilation and heating efficiency (IVHE) (see Sec.  
431.97), representations with respect to energy use or efficiency of 
commercial package air conditioning and heating equipment (excluding 
air-cooled equipment with a cooling capacity less than 65,000 Btu/h), 
including compliance certifications, must be based on testing conducted 
in accordance with this appendix.
    Beginning on the compliance date of amended standards for commercial 
package air conditioning and heating equipment (excluding equipment with 
a cooling capacity less than 65,000 Btu/h) based on IVEC and IVHE (see 
Sec.  431.97), representations with respect to energy use or efficiency 
of commercial package air conditioning and heating equipment (excluding 
air-cooled equipment with a cooling capacity less than 65,000 Btu/h), 
including compliance certifications, must be based on testing conducted 
in accordance with appendix A1 to this subpart.
    Manufacturers may also certify compliance with any amended energy 
conservation standards for commercial package air conditioning and 
heating equipment (excluding air-cooled equipment with a cooling 
capacity less than 65,000 Btu/h) based on IVEC or IVHE prior to the 
applicable compliance date for those standards (see Sec.  431.97), and 
those compliance certifications must be based on testing in accordance 
with appendix A1 to this subpart.

                      1. Incorporation by Reference

    DOE incorporated by reference in Sec.  431.95, the entire standard 
for AHRI 340/360-2022 and ANSI/ASHRAE 37-2009. However, certain 
enumerated provisions of AHRI 340/360-2022 and ANSI/ASHRAE 37-2009, as 
set forth in this section 1 are inapplicable. To the extent there is a 
conflict between the terms or provisions of a referenced industry 
standard and the CFR, the CFR provisions control.
    1.1. AHRI 340/360-2022:
    (a) Section 1 Purpose is inapplicable,
    (b) Section 2 Scope is inapplicable,
    (c) The following subsections of Section 3 Definitions are 
inapplicable: 3.2 (Basic Model), 3.4 (Commercial and Industrial Unitary 
Air-conditioning Equipment), 3.5 (Commercial and Industrial Unitary Heat 
Pump), 3.7 (Double-duct System), 3.8 (Energy Efficiency Ratio (EER)), 
3.12 (Heating Coefficient of Performance (COPH)), 3.14 
(Integrated Energy Efficiency Ratio (IEER)), 3.23 (Published Rating), 
3.26 (Single Package Air-Conditioners), 3.27 (Single Package Heat 
Pumps), 3.29 (Split System Air-conditioners), 3.30 (Split System Heat 
Pump), 3.36 (Year Round Single Package Air-conditioners),
    (d) Section 7 Minimum Data Requirements for Published Ratings is 
inapplicable,
    (e) Section 8 Operating Requirements is inapplicable,
    (f) Section 9 Marking and Nameplate Data is inapplicable,
    (g) Section 10 Conformance Conditions is inapplicable,
    (h) Appendix B References--Informative is inapplicable,
    (i) Appendix D Unit Configuration for Standard Efficiency 
Determination--Normative is inapplicable,
    (j) Appendix F International Rating Conditions--Normative is 
inapplicable,
    (k) Appendix G Examples of IEER Calculations--Informative is 
inapplicable,
    (l) Appendix H Example of Determination of Fan and Motor Efficiency 
for Non-standard Integrated Indoor Fan and Motors--Informative is 
inapplicable, and
    (m) Appendix I Double-duct System Efficiency Metrics with Non-Zero 
Outdoor Air External Static Pressure (ESP)--Normative is inapplicable.
    1.2. ANSI/ASHRAE 37-2009:
    (a) Section 1 Purpose is inapplicable
    (b) Section 2 Scope is inapplicable, and
    (c) Section 4 Classifications is inapplicable.

                               2. General

    Determine the applicable energy efficiency metrics (IEER, EER, and 
COP) in accordance with this appendix and the applicable sections of 
AHRI 340/360-2022 and ANSI/ASHRAE 37-2009.
    Section 3 of this appendix provides additional instructions for 
testing. In cases

[[Page 103]]

where there is a conflict, the language of this appendix takes highest 
precedence, followed by AHRI 340/360-2022, followed by ANSI/ASHRAE 37-
2009. Any subsequent amendment to a referenced document by the standard-
setting organization will not affect the test procedure in this 
appendix, unless and until the test procedure is amended by DOE.

                           3. Test Conditions

    The following conditions specified in Table 6 of AHRI 340/360-2022 
apply when testing to certify to the energy conservation standards in 
Sec.  431.97. For cooling mode tests for equipment subject to standards 
in terms of EER, test using the ``Standard Rating Conditions Cooling''. 
For cooling mode tests for equipment subject to standards in terms of 
IEER, test using the ``Standard Rating Conditions Cooling'' and the 
``Standard Rating Part-Load Conditions (IEER)''. For heat pump heating 
mode tests for equipment subject to standards in terms of COP, test 
using the ``Standard Rating Conditions (High Temperature Steady State 
Heating)''.
    For equipment subject to standards in terms of EER, representations 
of IEER made using the ``Standard Rating Part-Load Conditions (IEER)'' 
in Table 6 of AHRI 340/360-2022 are optional. For equipment subject to 
standards in terms of IEER, representations of EER made using the 
``Standard Rating Conditions Cooling'' in Table 6 of AHRI 340/360-2022 
are optional. Representations of COP made using the ``Standard Rating 
Conditions (Low Temperature Steady State Heating)'' in Table 6 of AHRI 
340/360-2022 are optional and are not to be used as the basis for 
determining compliance with energy efficiency standards in terms of COP.

[89 FR 44046, May 20, 2024]



 Sec. Appendix A1 to Subpart F of Part 431--Uniform Test Method for the 
Measurement of Energy Consumption of Commercial Package Air Conditioning 
  and Heating Equipment (Excluding Air-Cooled Equipment With a Cooling 
                    Capacity Less Than 65,000 Btu/h)

    Note: Prior to May 15, 2025, representations with respect to the 
energy use or efficiency of commercial package air conditioning and 
heating equipment (excluding air-cooled equipment with a cooling 
capacity less than 65,000 Btu/h), including compliance certifications, 
must be based on testing conducted in accordance with:
    (a) The applicable provisions (appendix A to subpart F of part 431 
for air-cooled equipment, and table 1 to Sec.  431.96 for water-cooled 
and evaporatively-cooled equipment) as it appeared in subpart F of 10 
CFR part 431, revised as of January 1, 2024; or
    (b) Appendix A to this subpart.
    Beginning May 15, 2025, and prior to the compliance date of amended 
standards for commercial package air conditioning and heating equipment 
(excluding air-cooled equipment with a cooling capacity less than 65,000 
Btu/h) based on integrated ventilation, economizing, and cooling (IVEC) 
and integrated ventilation and heating efficiency (IVHE) (see Sec.  
431.97), representations with respect to energy use or efficiency of 
commercial package air conditioning and heating equipment (excluding 
air-cooled equipment with a cooling capacity less than 65,000 Btu/h), 
including compliance certifications, must be based on testing conducted 
in accordance with appendix A to this subpart.
    Beginning on the compliance date of amended standards for commercial 
package air conditioning and heating equipment (excluding air-cooled 
equipment with a cooling capacity less than 65,000 Btu/h) based on IVEC 
and IVHE (see Sec.  431.97), representations with respect to energy use 
or efficiency of commercial package air conditioning and heating 
equipment (excluding air-cooled equipment with a cooling capacity less 
than 65,000 Btu/h), including compliance certifications, must be based 
on testing conducted in accordance with this appendix.
    Manufacturers may also certify compliance with any amended energy 
conservation standards for commercial package air conditioning and 
heating equipment (excluding air-cooled equipment with a cooling 
capacity less than 65,000 Btu/h) based on IVEC or IVHE prior to the 
applicable compliance date for those standards (see Sec.  431.97), and 
those compliance certifications must be based on testing in accordance 
with this appendix.

                      1. Incorporation by Reference

    DOE incorporated by reference in Sec.  431.95, the entire standard 
for AHRI 1340-2023 and ANSI/ASHRAE 37-2009. However, certain enumerated 
provisions of AHRI 1340-2023 and ANSI/ASHRAE 37-2009, as listed in this 
section 1 are inapplicable. To the extent there is a conflict between 
the terms or provisions of a referenced industry standard and the CFR, 
the CFR provisions control.
    1.1. AHRI 1340-2023:
    (a) Section 1 Purpose is inapplicable,
    (b) Section 2 Scope is inapplicable,
    (c) The following subsections of section 3 Definitions are 
inapplicable: 3.2.2 (Barometric Relief Damper), 3.2.3 (Basic Model), 
3.2.5 (Commercial and Industrial Unitary Air-conditioner and Heat Pump 
Equipment), 3.2.5.1 (Commercial and Industrial Unitary Air-Conditioning 
System), 3.2.5.2 (Commercial and Industrial Unitary Heat Pump System), 
3.2.7 (Double-duct System), 3.2.9 (Desiccant Dehumidification 
Component), 3.2.10

[[Page 104]]

(Drain Pan Heater), 3.2.11.1 (Air Economizer), 3.2.12 (Energy Efficiency 
Ratio 2), 3.2.13 (Evaporative Cooling), 3.2.13.1 (Direct Evaporative 
Cooling System), 3.2.13.2 (Indirect Evaporative Cooling System), 3.2.14 
(Fresh Air Damper), 3.2.15 (Fire, Smoke, or Isolation Damper), 3.2.17 
(Hail Guard), 3.2.19 (Heating Coefficient of Performance 2 
(COP2H)), 3.2.20 (High-Effectiveness Indoor Air Filtration), 
3.2.22 (Indoor Single Package Air-conditioners), 3.2.23 (Integrated 
Ventilation, Economizing, and Cooling Efficiency (IVEC)), 3.2.34 
(Integrated Ventilation and Heating Efficiency (IVHE)), 3.2.29 (Non-
standard Ducted Condenser Fan), 3.2.31.2 (Boost2 Heating Operating Level 
(B2)), 3.2.34 (Power Correction Capacitor), 3.2.35 (Powered Exhaust Air 
Fan), 3.2.36 (Powered Return Air Fan), 3.2.37 (Process Heat Recovery, 
Reclaim, or Thermal Storage Coil), 3.2.38 (Published Rating), 3.2.41 
(Refrigerant Reheat Coil), 3.2.42 (Single Package Air-conditioner), 
3.2.43 (Single Package Heat Pumps), 3.2.44 (Single Package System), 
3.2.45 (Sound Trap), 3.2.46 (Split System), 3.2.51 (Steam or Hydronic 
Heat Coils), 3.2.53 (UV Lights), 3.2.55 (Ventilation Energy Recovery 
System (VERS)), 3.2.56 (Year Round Single Package Air-conditioner), 
3.2.57 (Year Round Single Package Heat Pump),
    (d) Subsection 5.2 (Optional System Features) of section 5 Test 
Requirements is inapplicable,
    (e) The following subsections of section 6 Rating Requirements are 
inapplicable: 6.4 (Rating Values), 6.5 (Uncertainty), and 6.6 
(Verification Testing),
    (f) Section 7 Minimum Data Requirements for Published Ratings is 
inapplicable,
    (g) Section 8 Operating Requirements is inapplicable,
    (h) Section 9 Marking and Nameplate Data is inapplicable,
    (i) Section 10 Conformance Conditions is inapplicable,
    (j) Appendix B References--Informative is inapplicable,
    (k) Sections D.1 (Purpose) and D.2 (Configuration Requirements) of 
Appendix D Unit Configuration for Standard Efficiency Determination--
Normative are inapplicable,
    (l) Appendix F International Rating Conditions--Normative is 
inapplicable,
    (m) Appendix G Example of Determination of Fan and Motor Efficiency 
for Non-standard Integrated Indoor Fan and Motors--Informative is 
inapplicable, and
    (n) Appendix H Determination of Low-temperature Cut-in and Cut-out 
Temperatures--Normative is inapplicable.
    1.2. ANSI/ASHRAE 37-2009:
    (a) Section 1 Purpose is inapplicable
    (b) Section 2 Scope is inapplicable, and
    (c) Section 4 Classifications is inapplicable.

                               2. General

    For air conditioners and heat pumps, determine IVEC and IVHE (as 
applicable) in accordance with this appendix and the applicable sections 
of AHRI 1340-2023 and ANSI/ASHRAE 37-2009. Representations of energy 
efficiency ratio 2 (EER2) and IVHEC may optionally be made. 
Representations of coefficient of performance 2 (COP2) at 5 [deg]F, 17 
[deg]F, and 47 [deg]F may optionally be made.
    Sections 3 and 4 of this appendix provide additional instructions 
for testing. In cases where there is a conflict, the language of this 
appendix takes highest precedence, followed by AHRI 1340-2023, followed 
by ANSI/ASHRAE 37-2009. Any subsequent amendment to a referenced 
document by the standard-setting organization will not affect the test 
procedure in this appendix, unless and until the test procedure is 
amended by DOE.

                           3. Test Conditions

    The following conditions specified in AHRI 1340-2023 apply when 
testing to certify to the energy conservation standards in Sec.  431.97. 
For cooling mode, use the rating conditions in Table 7 of AHRI 1340-
2023. For heat pump heating mode tests, use the rating conditions in 
Table 23 of AHRI 1340-2023 and the IVHE building load profile in Table 
22 of AHRI 1340-2023.
    Representations of EER2 made using the ``Cooling Bin A'' conditions 
in Table 7 of AHRI 1340-2023 are optional. Representations of 
IVHEC made using the IVHEC Cold Climate building 
load profile in Table 22 of AHRI 1340-2023 are optional. Representations 
of COP247, COP217, and COP25 are 
optional.

                4. Tower Fan and Pump Power Rate (TFPPR)

    Where equations 8, 10, 11, and 13 to AHRI 1340-2023 call for using 
the cooling tower fan and condenser water pump power rate (TFPPR) for 
the cooling bin specified in Table 7 to AHRI 1340-2023, instead use the 
TFPPR value for the cooling bin specified in table 1 to this appendix. 
Where equation 22 to AHRI 1340-2023 calls for using a value of 0.0094 W/
(Btu/h) for TFPPR, instead use a value of 0.0102 W/(Btu/h).

                                     Table 1--Tower Fan and Pump Power Rate
                                                     [TFPPR]
----------------------------------------------------------------------------------------------------------------
                 Cooling bin                   Cooling Bin A    Cooling Bin B    Cooling Bin C    Cooling Bin D
----------------------------------------------------------------------------------------------------------------
Tower Fan and Pump Power Rate (TFPPR), W/             0.0102           0.0099           0.0121           0.0430
 (Btu/h)....................................
----------------------------------------------------------------------------------------------------------------


[[Page 105]]

            5. Additional Heating Operating Level Provisions

             5.1. Boost2 Heating Operating Level Definition

    In place of the boost2 heating operating level definition in section 
3.2.31.2 of AHRI 1340-2023, use the following definition: An operating 
level allowed by the controls at 5.0 [deg]F outdoor dry-bulb temperature 
with a capacity at 5.0 [deg]F outdoor dry-bulb temperature that is less 
than or equal to the maximum capacity allowed by the controls at 5.0 
[deg]F outdoor dry-bulb temperature and greater than the capacity of:
    (a) The boost heating operating level at 5.0 [deg]F outdoor dry-bulb 
temperature, if there is an operating level that meets the definition 
for boost heating operating level specified in section 3.2.31.1 of AHRI 
1340-2023; or
    (b) The high heating operating level at 5.0 [deg]F outdoor dry-bulb 
temperature, if there is not an operating level that meets the 
definition for boost heating operating level specified in section 
3.2.31.1 of AHRI 1340-2023.

      5.2. Requirements for H5B2 Test in Table 23 to AHRI 1340-2023

    In place of the third to last paragraph of section 6.3.6 of AHRI 
1340-2023, use the following provisions.
    Run the H5B2 test in Table 23 of AHRI 1340-2023 only if there is an 
operating level allowed by the controls at 5.0 [deg]F that meets the 
definition of the boost2 heating operating level specified in section 
5.1 of this appendix, and the H5B2 test is being used to determine the 
capacity at 5.0 [deg]F outdoor dry-bulb temperature and/or 
COP25.
    If the unit has a boost heating operating level, run the H5B2 test 
in Table 23 of AHRI 1340-2023 with an operating level allowed by the 
controls at 5.0 [deg]F outdoor dry-bulb temperature that has a capacity 
at 5.0 [deg]F outdoor dry-bulb temperature that is greater than the 
capacity of the boost heating operating level at 5.0 [deg]F outdoor dry-
bulb temperature and less than or equal to the maximum capacity allowed 
by the controls at 5.0 [deg]F outdoor dry-bulb temperature.
    If the unit does not have a boost heating operating level, run the 
H5B2 test in Table 23 of AHRI 1340-2023 with an operating level allowed 
by the controls at 5.0 [deg]F outdoor dry-bulb temperature that has a 
capacity at 5.0 [deg]F outdoor dry-bulb temperature that is greater than 
the capacity of the high heating operating level at 5.0 [deg]F outdoor 
dry-bulb temperature and less than or equal to the maximum capacity 
allowed by the controls at 5.0 [deg]F outdoor dry-bulb temperature. Use 
the indoor airflow that is used by the controls at 5.0 [deg]F outdoor 
dry-bulb temperature when operating at the chosen operating level.
    The H5B2 test shall not be used in the calculation of IVHE or 
IVHEC.

               5.3. Operating Level Requirements for COP2

    Any references to COP2H in AHRI 1340-2023 shall be 
considered synonymous with COP2 as defined in Sec.  431.92. In place of 
section 6.3.14.2 of AHRI 1340-2023, use the following provisions.
    To determine COP247, use capacity and power determined 
for the H47H test.
    To determine COP217, the following provisions apply. For 
units without a boost heating operating level, use capacity and power 
determined for the H17H test. For units with a boost operating level, 
use capacity and power determined for the H17B test.
    To determine COP25, the following provisions apply. For 
units without a boost heating operating level and without a boost2 
heating operating level, use capacity and power determined for the H5H 
test. For units with a boost heating operating level and without a 
boost2 heating operating level, use capacity and power determined for 
the H5B test. For units with a boost2 heating operating level, use 
capacity and power determined for the H5B2 test.

          6. Set-Up and Test Provisions for Specific Components

    When testing equipment that includes any of the features listed in 
table 2 to this appendix, test in accordance with the set-up and test 
provisions specified in table 2.

            Table 2--Test Provisions for Specific Components
------------------------------------------------------------------------
           Component                 Description        Test provisions
------------------------------------------------------------------------
Air Economizers................  An automatic system  For any air
                                  that enables a       economizer that
                                  cooling system to    is factory-
                                  supply outdoor air   installed, place
                                  to reduce or         the economizer in
                                  eliminate the need   the 100% return
                                  for mechanical       position and
                                  cooling during       close and seal
                                  mild or cold         the outside air
                                  weather              dampers for
                                                       testing. For any
                                                       modular air
                                                       economizer
                                                       shipped with the
                                                       unit but not
                                                       factory-
                                                       installed, do not
                                                       install the
                                                       economizer for
                                                       testing.

[[Page 106]]

 
Barometric Relief Dampers......  An assembly with     For any barometric
                                  dampers and means    relief dampers
                                  to automatically     that are factory-
                                  set the damper       installed, close
                                  position in a        and seal the
                                  closed position      dampers for
                                  and one or more      testing. For any
                                  open positions to    modular
                                  allow venting        barometric relief
                                  directly to the      dampers shipped
                                  outside a portion    with the unit but
                                  of the building      not factory-
                                  air that is          installed, do not
                                  returning to the     install the
                                  unit, rather than    dampers for
                                  allowing it to       testing.
                                  recirculate to the
                                  indoor coil and
                                  back to the
                                  building
Desiccant Dehumidification       An assembly that     Disable desiccant
 Components.                      reduces the          dehumidification
                                  moisture content     components for
                                  of the supply air    testing.
                                  through moisture
                                  transfer with
                                  solid or liquid
                                  desiccants
Drain Pan Heaters..............  A heater that heats  Disconnect drain
                                  the drain pan to     pan heaters for
                                  make certain that    testing.
                                  water shed from
                                  the outdoor coil
                                  during a defrost
                                  does not freeze
Evaporative Pre-cooling of Air-  Water is evaporated  Disconnect the
 cooled Condenser Intake Air.     into the air         unit from a water
                                  entering the air-    supply for
                                  cooled condenser     testing i.e.,
                                  to lower the dry-    operate without
                                  bulb temperature     active
                                  and thereby          evaporative
                                  increase             cooling.
                                  efficiency of the
                                  refrigeration
                                  cycle
Fire/Smoke/Isolation Dampers...  A damper assembly    For any fire/smoke/
                                  including means to   isolation dampers
                                  open and close the   that are factory-
                                  damper mounted at    installed, set
                                  the supply or        the dampers in
                                  return duct          the fully open
                                  opening of the       position for
                                  equipment            testing. For any
                                                       modular fire/
                                                       smoke/isolation
                                                       dampers shipped
                                                       with the unit but
                                                       not factory-
                                                       installed, do not
                                                       install the
                                                       dampers for
                                                       testing.
Fresh Air Dampers..............  An assembly with     For any fresh air
                                  dampers and means    dampers that are
                                  to set the damper    factory-
                                  position in a        installed, close
                                  closed and one       and seal the
                                  open position to     dampers for
                                  allow air to be      testing. For any
                                  drawn into the       modular fresh air
                                  equipment when the   dampers shipped
                                  indoor fan is        with the unit but
                                  operating            not factory-
                                                       installed, do not
                                                       install the
                                                       dampers for
                                                       testing.
Hail Guards....................  A grille or similar  Remove hail guards
                                  structure mounted    for testing.
                                  to the outside of
                                  the unit covering
                                  the outdoor coil
                                  to protect the
                                  coil from hail,
                                  flying debris and
                                  damage from large
                                  objects
High-Effectiveness Indoor Air    Indoor air filters   Test with the
 Filtration.                      with greater air     standard filter.
                                  filtration
                                  effectiveness than
                                  the filters used
                                  for testing
Power Correction Capacitors....  A capacitor that     Remove power
                                  increases the        correction
                                  power factor         capacitors for
                                  measured at the      testing.
                                  line connection to
                                  the equipment
Process Heat recovery/Reclaim    A heat exchanger     Disconnect the
 Coils/Thermal Storage.           located inside the   heat exchanger
                                  unit that            from its heat
                                  conditions the       source for
                                  equipment's supply   testing.
                                  air using energy
                                  transferred from
                                  an external source
                                  using a vapor,
                                  gas, or liquid
Refrigerant Reheat Coils.......  A heat exchanger     De-activate
                                  located downstream   refrigerant
                                  of the indoor coil   reheat coils for
                                  that heats the       testing so as to
                                  supply air during    provide the
                                  cooling operation    minimum (none if
                                  using high           possible) reheat
                                  pressure             achievable by the
                                  refrigerant in       system controls.
                                  order to increase
                                  the ratio of
                                  moisture removal
                                  to cooling
                                  capacity provided
                                  by the equipment
Steam/Hydronic Heat Coils......  Coils used to        Test with steam/
                                  provide              hydronic heat
                                  supplemental         coils in place
                                  heating              but providing no
                                                       heat.

[[Page 107]]

 
UV Lights......................  A lighting fixture   Turn off UV lights
                                  and lamp mounted     for testing.
                                  so that it shines
                                  light on the
                                  indoor coil, that
                                  emits ultraviolet
                                  light to inhibit
                                  growth of
                                  organisms on the
                                  indoor coil
                                  surfaces, the
                                  condensate drip
                                  pan, and/other
                                  locations within
                                  the equipment
Ventilation Energy Recovery      An assembly that     For any VERS that
 System (VERS).                   preconditions        is factory-
                                  outdoor air          installed, place
                                  entering the         the VERS in the
                                  equipment through    100% return
                                  direct or indirect   position and
                                  thermal and/or       close and seal
                                  moisture exchange    the outside air
                                  with the exhaust     dampers and
                                  air, which is        exhaust air
                                  defined as the       dampers for
                                  building air being   testing, and do
                                  exhausted to the     not energize any
                                  outside from the     VERS
                                  equipment            subcomponents
                                                       (e.g., energy
                                                       recovery wheel
                                                       motors). For any
                                                       VERS module
                                                       shipped with the
                                                       unit but not
                                                       factory-
                                                       installed, do not
                                                       install the VERS
                                                       for testing.
------------------------------------------------------------------------


[89 FR 44047, May 20, 2024]



   Sec. Appendix B to Subpart F of Part 431--Uniform Test Method For 
 Measuring the Energy Consumption of Direct Expansion-Dedicated Outdoor 
                               Air Systems

    Note: Beginning July 24, 2023, representations with respect to 
energy use or efficiency of direct expansion-dedicated outdoor air 
systems must be based on testing conducted in accordance with this 
appendix. Manufacturers may elect to use this appendix early.

                      1. Incorporation by Reference

    DOE incorporated by reference in Sec.  431.95, the entire standard 
for AHRI 920-2020, AHRI 1060-2018; ANSI/ASHRAE 37-2009, ANSI/ASHRAE 
41.1-2013, ANSI/ASHRAE 41.6-2014, and ANSI/ASHRAE 198-2013. However, 
only enumerated provisions of AHRI 920-2020, ANSI/ASHRAE 37-2009, ANSI/
ASHRAE 41.6-2014, and ANSI/ASHRAE 198-2013, as listed in this section 1 
are required. To the extent there is a conflict between the terms or 
provisions of a referenced industry standard and the CFR, the CFR 
provisions control.

                           1.1. AHRI 920-2020

    (a) Section 3--Definitions, as specified in section 2.2.1(a) of this 
appendix;
    (b) Section 5--Test Requirements, as specified in section 2.2.1(b) 
of this appendix;
    (c) Section 6--Rating Requirements, as specified in section 2.2.1(c) 
of this appendix, omitting section 6.1.2 (but retaining sections 
6.1.2.1-6.1.2.8) and 6.6.1;
    (d) Section 11--Symbols and Subscripts, as specified in section 
2.2.1(d) of this appendix;
    (e) Appendix A--References--Normative, as specified in section 
2.2.1(e) of this appendix; and
    (f) Appendix C--ANSI/ASHRAE Standard 198 and ANSI/ASHRAE Standard 37 
Additions, Clarifications and Exceptions--Normative, as specified in 
section 2.2.1(f) of this appendix.

                        1.2. ANSI/ASHRAE 37-2009

    (a) Section 5.1--Temperature Measuring Instruments (excluding 
sections 5.1.1 and 5.1.2), as specified in sections 2.2.1(b) and (f) of 
this appendix;
    (b) Section 5.2--Refrigerant, Liquid, and Barometric Pressure 
Measuring Instruments, as specified in section 2.2.1(b) of this 
appendix;
    (c) Sections 5.3--Air Differential Pressure and Airflow 
Measurements, as specified in section 2.2.1(b) of this appendix;
    (d) Sections 5.5(b)--Volatile Refrigerant Measurement, as specified 
in section 2.2.1(b) of this appendix;
    (e) Section 6.1--Enthalpy Apparatus (excluding 6.1.1 and 6.1.3 
through 6.1.6), as specified in section 2.2.1(b) of this appendix;
    (f) Section 6.2--Nozzle Airflow Measuring Apparatus, as specified in 
section 2.2.1(b) of this appendix;
    (g) Section 6.3--Nozzles, as specified in section 2.2.1(b) of this 
appendix;
    (h) Section 6.4--External Static Pressure Measurements, as specified 
in section 2.2.1(b) of this appendix;
    (i) Section 6.5--Recommended Practices for Static Pressure 
Measurements, as specified in section 2.2.1(f) of this appendix;
    (j) Section 7.3--Indoor and Outdoor Air Enthalpy Methods, as 
specified in section 2.2.1(f) of this appendix;
    (k) Section 7.4--Compressor Calibration Method, as specified in 
section 2.2.1(f) of this appendix;
    (l) Section 7.5--Refrigerant Enthalpy Method, as specified in 
section 2.2.1(f) of this appendix;
    (m) Section 7.6--Outdoor Liquid Coil Method, as specified in section 
2.2.1(f) of this appendix;

[[Page 108]]

    (n) Section 7.7--Airflow Rate Measurement (excluding sections 
7.7.1.2, 7.7.3, and 7.7.4), as specified in section 2.2.1(b) of this 
appendix;
    (o) Table 1--Applicable Test Methods, as specified in section 
2.2.1(f) of this appendix;
    (p) Section 8.6--Additional Requirements for the Outdoor Air 
Enthalpy Method, as specified in section 2.2.1(f) of this appendix;
    (q) Table 2b--Test Tolerances (I-P Units), as specified in sections 
2.2.1(c) and 2.2(f) of this appendix; and
    (r) Errata sheet issued on October 3, 2016, as specified in section 
2.2.1(f) of this appendix.

                       1.3. ANSI/ASHRAE 41.6-2014

    (a) Section 4--Classifications, as specified in section 2.2.1(f) of 
this appendix;
    (b) Section 5--Requirements, as specified in section 2.2.1(f) of 
this appendix;
    (c) Section 6--Instruments and Calibration, as specified in section 
2.2.1(f) of this appendix;
    (d) Section 7.1--Standard Method Using the Cooled-Surface 
Condensation Hygrometer as specified in section 2.2.1(f) of this 
appendix; and
    (e) Section 7.4--Electronic and Other Humidity Instruments. As 
specified in section 2.2.1(f) of this appendix.

                        1.4. ANSI/ASHRAE 198-2013

    (a) Section 4.4--Temperature Measuring Instrument, as specified in 
section 2.2.1(b) of this appendix;
    (b) Section 4.5--Electrical Instruments, as specified in section 
2.2.1(b) of this appendix;
    (c) Section 4.6--Liquid Flow Measurement, as specified in section 
2.2.1(b) of this appendix;
    (d) Section 4.7--Time and Mass Measurements, as specified in section 
2.2.1(b) of this appendix;
    (e) Section 6.1--Test Room Requirements, as specified in section 
2.2.1(b) of this appendix;
    (f) Section 6.6--Unit Preparation, as specified in section 2.2.1(b) 
of this appendix;
    (g) Section 7.1--Preparation of the Test Room(s), as specified in 
section 2.2.1(b) of this appendix;
    (h) Section 7.2--Equipment Installation, as specified in section 
2.2.1(b) of this appendix;
    (i) Section 8.2--Equilibrium, as specified in section 2.2.1(b) of 
this appendix; and
    (j) Section 8.4--Test Duration and Measurement Frequency, as 
specified in section 2.2.1(b) of this appendix.

                             2. Test Method

                              2.1. Capacity

    Moisture removal capacity (in pounds per hour) and supply airflow 
rate (in standard cubic feet per minute) are determined according to 
AHRI 920-2020 as specified in section 2.2 of this appendix.

                             2.2. Efficiency

    2.2.1. Determine the ISMRE2 for all DX-DOASes and the ISCOP2 for all 
heat pump DX-DOASes in accordance with the following sections of AHRI 
920-2020 and the additional provisions described in this section.
    (a) Section 3--Definitions, including the references to AHRI 1060-
2018;
    (i) Non-standard Low-static Fan Motor. A supply fan motor that 
cannot maintain external static pressure as high as specified in Table 7 
of AHRI 920-2020 when operating at a manufacturer-specified airflow rate 
and that is distributed in commerce as part of an individual model 
within the same basic model of a DX-DOAS that is distributed in commerce 
with a different motor specified for testing that can maintain the 
required external static pressure.
    (ii) Manufacturer-specified. Information provided by the 
manufacturer through manufacturer's installation instructions, as 
defined in Section 3.14 of AHRI 920-2020.
    (iii) Reserved
    (b) Section 5--Test Requirements, including the references to 
Sections 5.1, 5.2, 5.3, 5.5, 6.1, 6.2, 6.3, 6.4, and 7.7 (not including 
Sections 7.7.1.2, 7.7.3, and 7.7.4) of ANSI/ASHRAE 37-2009, and Sections 
4.4, 4.5, 4.6, 4.7, 5.1, 6.1, 6.6, 7.1, 7.2, 8.2, and 8.4 of ANSI/ASHRAE 
198-2013;
    (i) All control settings are to remain unchanged for all Standard 
Rating Conditions once system set up has been completed, except as 
explicitly allowed or required by AHRI 920-2020 or as indicated in the 
supplementary test instructions (STI). Component operation shall be 
controlled by the unit under test once the provisions in section 
2.2.1(c) of this appendix are met.
    (ii) Break-in. The break-in conditions and duration specified in 
section 5.6 of AHRI 920-2020 shall be manufacturer-specified values.
    (iii) Reserved
    (c) Section 6--Rating Requirements (omitting sections 6.1.2 and 
6.6.1), including the references to Table 2b of ANSI/ASHRAE 37-2009, and 
ANSI/ASHRAE 198-2013.
    (i) For water-cooled DX-DOASes, the ``Condenser Water Entering 
Temperature, Cooling Tower Water'' conditions specified in Table 4 of 
AHRI 920-2020 shall be used. For water-source heat pump DX-DOASes, the 
``Water-Source Heat Pumps'' conditions specified in Table 5 of AHRI 920-
2020 shall be used.
    (ii) For water-cooled or water-source DX- DOASes with integral 
pumps, set the external head pressure to 20 ft. of water column, with a 
-0/+1 ft. condition tolerance and a 1 ft. operating tolerance.
    (iii) When using the degradation coefficient method as specified in 
Section 6.9.2 of AHRI 920-2020, Equation 20 applies to DX-

[[Page 109]]

DOAS without VERS, with deactivated VERS (see Section 5.4.3 of AHRI 920-
2020), or sensible-only VERS tested under Standard Rating Conditions 
other than D.
    (iv) Rounding requirements for representations are to be followed as 
stated in Sections 6.1.2.1 through 6.1.2.8 of AHRI 920-2020;
    (d) Section 11--Symbols and Subscripts, including references to AHRI 
1060-2018;
    (e) Appendix A--References--Normative;
    (f) Appendix C--ANSI/ASHRAE 198-2013 and ANSI/ASHRAE 37 Additions, 
Clarifications and Exceptions--Normative, including references to 
Sections 5.1, 6.5, 7.3, 7.4, 7.5, 7.6, 8.6, Table 1, Table 2b, and the 
errata sheet of ANSI/ASHRAE 37-2009, ANSI/ASHRAE 41.1-2013, Sections 4, 
5, 6, 7.1, and 7.4 of ANSI/ASHRAE 41.6-2014, and AHRI 1060-2018;
    (g) Appendix E--Typical Test Unit Installations--Informative, for 
information only.
    2.2.2. Set-Up and Test Provisions for Specific Components. When 
testing a DX-DOAS that includes any of the features listed in Table 2.1 
of this section, test in accordance with the set-up and test provisions 
specified in Table 2.1 of this section.

           Table 2.1--Test Provisions for Specific Components
------------------------------------------------------------------------
          Component                Description         Test provisions
------------------------------------------------------------------------
Return and Exhaust Dampers..  An automatic system   All dampers that
                               that enables a DX-    allow return air to
                               DOAS Unit to supply   pass into the
                               and use some return   supply airstream
                               air (even if an       shall be closed and
                               optional VERS is      sealed. Exhaust air
                               not utilized) to      dampers of DOAS
                               reduce or eliminate   units with VERS
                               the need for          shall be open.
                               mechanical            Gravity dampers
                               dehumidification or   activated by
                               heating when          exhaust fan
                               ventilation air       discharge airflow
                               requirements are      shall be allowed to
                               less than design.     open by action of
                                                     the exhaust
                                                     airflow.
VERS Bypass Dampers.........  An automatic system   Test with the VERS
                               that enables a DX-    bypass dampers
                               DOAS Unit to let      installed, closed,
                               outdoor ventilation   and sealed.
                               air and return air    However, VERS
                               bypass the VERS       bypass dampers may
                               when                  be opened if
                               preconditioning of    necessary for
                               outdoor ventilation   testing with
                               is not beneficial.    deactivated VERS
                                                     for Standard Rating
                                                     Condition D.
Fire/Smoke/Isolation Dampers  A damper assembly     The fire/smoke/
                               including means to    isolation dampers
                               open and close the    shall be removed
                               damper mounted at     for testing. If it
                               the supply or         is not possible to
                               return duct opening   remove such a
                               of the equipment.     damper, test with
                                                     the damper fully
                                                     open. For any fire/
                                                     smoke/isolation
                                                     dampers shipped
                                                     with the unit but
                                                     not factory-
                                                     installed, do not
                                                     install the dampers
                                                     for testing.
Furnaces and Steam/Hydronic   Furnaces and steam/   Test with the coils
 Heat Coils.                   hydronic heat coils   in place but
                               used to provide       providing no heat.
                               primary or
                               supplementary
                               heating.
Power Correction Capacitors.  A capacitor that      Remove power
                               increases the power   correction
                               factor measured at    capacitors for
                               the line connection   testing.
                               to the equipment.
                               These devices are a
                               requirement of the
                               power distribution
                               system supplying
                               the unit.
Hail Guards.................  A grille or similar   Remove hail guards
                               structure mounted     for testing.
                               to the outside of
                               the unit covering
                               the outdoor coil to
                               protect the coil
                               from hail, flying
                               debris and damage
                               from large objects.
Ducted Condenser Fans.......  A condenser fan/      Test with the ducted
                               motor assembly        condenser fan
                               designed for          installed and
                               optional external     operating using
                               ducting of            zero external
                               condenser air that    static pressure,
                               provides greater      unless the
                               pressure rise and     manufacturer
                               has a higher rated    specifies use of an
                               motor horsepower      external static
                               than the condenser    pressure greater.
                               fan provided as a     than zero, in which
                               standard component    case, use the
                               with the equipment.   manufacturer-
                                                     specified external
                                                     static pressure.
Sound Traps/Sound             An assembly of        Removable sound
 Attenuators.                  structures through    traps/sound
                               which the supply      attenuators shall
                               air passes before     be removed for
                               leaving the           testing. Otherwise,
                               equipment or          test with sound
                               through which the     traps/attenuators
                               return air from the   in place.
                               building passes
                               immediately after
                               entering the
                               equipment for which
                               the sound insertion
                               loss is at least 6
                               dB for the 125 Hz
                               octave band
                               frequency range.
Humidifiers.................  A device placed in    Remove humidifiers
                               the supply air        for testing.
                               stream for moisture
                               evaporation and
                               distribution. The
                               device may require
                               building steam or
                               water, hot water,
                               electric or gas to
                               operate.
UV Lights...................  A lighting fixture    Remove UV lights for
                               and lamp mounted so   testing.
                               that it shines
                               light on the
                               conditioning coil,
                               that emits
                               ultraviolet light
                               to inhibit growth
                               of organisms on the
                               conditioning coil
                               surfaces, the
                               condensate drip
                               pan, and/other
                               locations within
                               the equipment.
High-Effectiveness Indoor     Indoor air filters    Test with a MERV 8
 Air Filtration.               with greater air      filter or the
                               filtration            lowest MERV filter
                               effectiveness than    distributed in
                               MERV 8 or the         commerce, whichever
                               lowest MERV filter    is greater
                               distributed in
                               commerce, whichever
                               is greater.
------------------------------------------------------------------------


[[Page 110]]

    2.2.3. Optional Representations. Test provisions for the 
determination of the metrics indicated in paragraphs (a) through (d) of 
this section are optional and are determined according to the applicable 
provisions in section 2.2.1 of this appendix. The following metrics in 
AHRI 920-2020 are optional:
    (a) ISMRE270;
    (b) COPFull,x:
    (c) COPDOAS,x: and
    (d) ISMRE2 and ISCOP2 for water-cooled DX-DOASes using the 
``Condenser Water Entering Temperature, Chilled Water'' conditions 
specified in Table 4 of AHRI 920-2020 and for water-source heat pump DX-
DOASes using the ``Water-Source Heat Pump, Ground-Source Closed Loop'' 
conditions specified in Table 5 of AHRI 920-2020.

                          2.3 Synonymous Terms

    (a) Any references to energy recovery or energy recovery ventilator 
(ERV) in AHRI 920-2020 and ANSI/ASHRAE 198-2013 shall be considered 
synonymous with ventilation energy recovery system (VERS) as defined in 
Sec.  431.92.
    (b) Reserved

[87 FR 45199, July 27, 2022]



   Sec. Appendix C to Subpart F of Part 431--Uniform Test Method for 
       Measuring the Energy Consumption of Water-Source Heat Pumps

    Note: Manufacturers must use the results of testing under this 
appendix to determine compliance with the relevant standard at Sec.  
431.97 as that standard appeared in the January 1, 2023 edition of 10 
CFR parts 200-499. Specifically, representations must be based on 
testing according to either this appendix or 10 CFR 431.96 as it 
appeared in the 10 CFR parts 200-499 edition revised as of January 1, 
2023.
    Starting on November 29, 2024, voluntary representations with 
respect to energy use or efficiency of water-source heat pumps with 
cooling capacity greater than or equal to 135,000 Btu/h and less than 
760,000 Btu/h must be based on testing according to this appendix. 
Manufacturers may also use this appendix to make voluntary 
representations with respect to energy use or efficiency prior to 
November 29, 2024.
    Starting on November 29, 2024, voluntary representations with 
respect to the integrated energy efficiency ratio (IEER) and applied 
coefficient of performance (ACOP) of water-source heat pumps must be 
based on testing according to appendix C1 of this subpart. Manufacturers 
may also use appendix C1 to make voluntary representations with respect 
to IEER and ACOP prior to November 29, 2024.
    Starting on the compliance date for any amended energy conservation 
standards for water-source heat pumps based on IEER and ACOP, any 
representations, including compliance certifications, made with respect 
to the energy use or energy efficiency of water-source heat pumps must 
be based on testing according to appendix C1 of this subpart.
    Manufacturers may also certify compliance with any amended energy 
conservation standards for water-source heat pumps based on IEER and 
ACOP prior to the applicable compliance date for those standards, and 
those compliance certifications must be based on testing according to 
appendix C1 of this subpart.

                      1. Incorporation by Reference

    DOE incorporated by reference in Sec.  431.95, the entire standard 
for ISO 13256-1:1998. To the extent there is a conflict between the 
terms or provisions of a referenced industry standard and this appendix, 
the appendix provisions control.

                               2. General

    Determine the energy efficiency ratio (EER) and coefficient of 
performance (COP) in accordance with ISO 13256-1:1998.
    Section 3 of this appendix provides additional instructions for 
determining EER and COP.

              3. Additional Provisions for Equipment Set-Up

    The only additional specifications that may be used in setting up 
the basic model for testing are those set forth in the installation and 
operation manual shipped with the unit. Each unit should be set up for 
test in accordance with the manufacturer installation and operation 
manuals. Sections 3.1 through 3.2 of this appendix provide 
specifications for addressing key information typically found in the 
installation and operation manuals.
    3.1. If a manufacturer specifies a range of superheat, sub-cooling, 
and/or refrigerant pressure in its installation and operation manual for 
a given basic model, any value(s) within that range may be used to 
determine refrigerant charge or mass of refrigerant, unless the 
manufacturer clearly specifies a rating value in its installation and 
operation manual, in which case the specified rating value must be used.
    3.2. The airflow rate used for testing must be that set forth in the 
installation and operation manuals being shipped to the commercial 
customer with the basic model and clearly identified as that used to 
generate the DOE performance ratings. If a rated airflow value for 
testing is not clearly identified, a value of 400 standard cubic feet 
per minute (scfm) per ton must be used.

[88 FR 84230, Dec. 4, 2023]

[[Page 111]]



   Sec. Appendix C1 to Subpart F of Part 431--Uniform Test Method for 
       Measuring the Energy Consumption of Water-Source Heat Pumps

    Note: Prior to the compliance date of amended standards for water-
source heat pumps that rely on integrated energy efficiency ratio (IEER) 
and applied coefficient of performance (ACOP) published after January 1, 
2023, representations with respect to the energy use or energy 
efficiency of water-source heat pumps, including compliance 
certifications, must be based on testing according to appendix C of this 
subpart.
    Starting on November 29, 2024, voluntary representations with 
respect to the IEER and ACOP of water-source heat pumps must be based on 
testing according to this appendix. Manufacturers may also use this 
appendix to make voluntary representations with respect to IEER and ACOP 
prior to November 29, 2024.
    Starting on the compliance date for any amended energy conservation 
standards for water-source heat pumps based on IEER and ACOP, any 
representations, including compliance certifications, made with respect 
to the energy use or energy efficiency of water-source heat pumps must 
be based on testing according to this appendix.
    Manufacturers may also certify compliance with any amended energy 
conservation standards for water-source heat pumps based on IEER and 
ACOP prior to the applicable compliance date for those standards, and 
those compliance certifications must be based on testing according to 
this appendix.

                      1. Incorporation by Reference

    DOE incorporated by reference in Sec.  431.95 the entire standards 
for AHRI 600-2023, ANSI/ASHRAE 37-2009 (as corrected by the Errata sheet 
for ANSI/ASHRAE 37-2009), and Melinder 2010. However, certain enumerated 
provisions of AHRI 600-2023 and ASHRAE 37-2009, as listed in this 
section 1, are inapplicable.
    To the extent there is a conflict between the terms or provisions of 
a referenced industry standard and the CFR, the CFR provisions control.

                           1.1. AHRI 600-2023

    (a) Section 1 Purpose is inapplicable,
    (b) Section 2 Scope is inapplicable,
    (c) The following subsections of section 3 Definitions are 
inapplicable:
    (1) 3.2.1 (Air Economizer),
    (2) 3.2.3 (Barometric Relief Dampers),
    (3) 3.2.4 (Basic Model),
    (4) 3.2.5 (Coated Coils),
    (5) 3.2.6 (Coefficients of Performance),
    (6) 3.2.9 (Condenser Pump/Valves/Fittings),
    (7) 3.2.10 (Condenser Water Reheat),
    (8) 3.2.13 (Desiccant Dehumidification Components),
    (9) 3.2.14 (Desuperheater),
    (10) 3.2.15.1 (Energy Efficiency Ratio),
    (11) 3.2.16 (Evaporative Cooling of Ventilation Air),
    (12) 3.2.17 (Fire/Smoke/Isolation Dampers),
    (13) 3.2.19 (Fresh Air Dampers),
    (14) 3.2.21 (Grill Options),
    (15) 3.2.23 (High-effectiveness Indoor Air Filtration),
    (16) 3.2.24 (Hot Gas Bypass),
    (17) 3.2.27 (Integrated Energy Efficiency Ratio),
    (18) 3.2.28 (Low-static Heat Pump),
    (19) 3.2.35 (Power Correction Capacitors),
    (20) 3.2.36 (Powered Exhaust Air Fan),
    (21) 3.2.37 (Powered Return Air Fan),
    (22) 3.2.38 (Process Heat Recovery/Reclaim Coils/Thermal Storage),
    (23) 3.2.40 (Published Rating),
    (24) 3.2.42 (Refrigerant Reheat Coils),
    (25) 3.2.43 (Single Package Heat Pumps),
    (26) 3.2.44 (Sound Traps/Sound Attenuators),
    (27) 3.2.45 (Split System Heat Pump),
    (28) 3.2.51 (Steam/Hydronic Heat Coils),
    (29) 3.2.53 (UV Lights),
    (30) 3.2.54 (Ventilation Energy Recovery System),
    (31) 3.2.55 (Water/Brine to Air Heat Pump Equipment), and
    (32) 3.2.56 (Waterside Economizer),
    (d) The following subsections of section 6 Rating Requirements are 
inapplicable:
    (1) 6.5 (Residential Cooling Capacity and Efficiency),
    (2) 6.6 (Residential Heating Capacity and Efficiency),
    (3) 6.7 (Test Data vs Computer Simulation),
    (4) 6.8 (Rounding and Precision),
    (5) 6.9 (Uncertainty), and
    (6) 6.10 (Verification Testing),
    (e) Section 7 Minimum Data Requirements for Published Ratings is 
inapplicable
    (f) Section 8 Operating Requirements is inapplicable,
    (g) Section 9 Marking and Nameplate Data is inapplicable,
    (h) Section 10 Conformance Conditions is inapplicable,
    (i) Appendix B References--Informative is inapplicable,
    (j) Sections D.1 (Purpose), D.2 (Configuration Requirements), and 
D.3 (Optional System Features) of Appendix D Unit Configuration For 
Standard Efficiency Determination--Normative are inapplicable, and
    (k) Appendix F Example of Determination of Fan and Motor Efficiency 
for Non-standard Integrated Indoor Fan and Motors--Informative is 
inapplicable.

    1.2. ANSI/ASHRAE 37-2009 (Even if Corrected by the Errata Sheet)

    (a) Section 1 Purpose is inapplicable.
    (b) Section 2 Scope is inapplicable.

[[Page 112]]

    (c) Section 4 Classification is inapplicable.

                               2. General

    Determine integrated energy efficiency ratio (IEER) and heating 
applied coefficient of performance (ACOP) in accordance with this 
appendix and the applicable sections of AHRI 600-2023, ANSI/ASHRAE 37-
2009, and Melinder 2010. Representations of AEER, EER, and COP may 
optionally be made.
    Section 3 of this appendix provides additional instructions for 
testing. In cases where there is a conflict, the language of this 
appendix takes highest precedence, followed by AHRI 600-2023, followed 
by ANSI/ASHRAE 37-2009. Any subsequent amendment to a referenced 
document by the standard-setting organization will not affect the test 
procedure in this appendix, unless and until the test procedure is 
amended by DOE. Material is incorporated as it exists on the date of the 
approval, and a notification of any change in the incorporation must be 
published in the Federal Register.

          3. Setup and Test Provisions for Specific Components

    When testing a water-source heat pump that includes any of the 
features listed in table 1 to this appendix, test in accordance with the 
setup and test provisions specified in table 1 to this appendix.

     Table 1 to Appendix C1--Setup and Test Provisions for Specific
                               Components
------------------------------------------------------------------------
                                                       Setup and test
          Component                Description           provisions
------------------------------------------------------------------------
Air Economizers.............  An automatic system   For any air
                               that enables a        economizer that is
                               cooling system to     factory-installed,
                               supply outdoor air    place the
                               to reduce or          economizer in the
                               eliminate the need    100 percent return
                               for mechanical        position and close
                               cooling during mild   and seal the
                               or cold weather.      outside air dampers
                                                     for testing. For
                                                     any modular air
                                                     economizer shipped
                                                     with the unit but
                                                     not factory-
                                                     installed, do not
                                                     install the
                                                     economizer for
                                                     testing.
Barometric Relief Dampers...  An assembly with      For any barometric
                               dampers and means     relief dampers that
                               to automatically      are factory-
                               set the damper        installed, close
                               position in a         and seal the
                               closed position and   dampers for
                               one or more open      testing. For any
                               positions to allow    modular barometric
                               venting directly to   relief dampers
                               the outside a         shipped with the
                               portion of the        unit but not
                               building air that     factory-installed,
                               is returning to the   do not install the
                               unit, rather than     dampers for
                               allowing it to        testing.
                               recirculate to the
                               indoor coil and
                               back to the
                               building.
Desiccant Dehumidification    An assembly that      Disable desiccant
 Components.                   reduces the           dehumidification
                               moisture content of   components for
                               the supply air        testing.
                               through moisture
                               transfer with solid
                               or liquid
                               desiccants.
Fire/Smoke/Isolation Dampers  A damper assembly     For any fire/smoke/
                               including means to    isolation dampers
                               open and close the    that are factory-
                               damper mounted at     installed, set the
                               the supply or         dampers in the
                               return duct opening   fully open position
                               of the equipment.     for testing. For
                                                     any modular fire/
                                                     smoke/isolation
                                                     dampers shipped
                                                     with the unit but
                                                     not factory-
                                                     installed, do not
                                                     install the dampers
                                                     for testing.
Fresh Air Dampers...........  An assembly with      For any fresh air
                               dampers and means     dampers that are
                               to set the damper     factory-installed,
                               position in a         close and seal the
                               closed and one open   dampers for
                               position to allow     testing. For any
                               air to be drawn       modular fresh air
                               into the equipment    dampers shipped
                               when the indoor fan   with the unit but
                               is operating.         not factory-
                                                     installed, do not
                                                     install the dampers
                                                     for testing.
Power Correction Capacitors.  A capacitor that      Remove power
                               increases the power   correction
                               factor measured at    capacitors for
                               the line connection   testing.
                               to the equipment.
Process Heat recovery/        A heat exchanger      Disconnect the heat
 Reclaim Coils/Thermal         located inside the    exchanger from its
 Storage.                      unit that             heat source for
                               conditions the        testing.
                               equipment's supply
                               air using energy
                               transferred from an
                               external source
                               using a vapor, gas,
                               or liquid.
Refrigerant Reheat Coils....  A heat exchanger      De-activate
                               located downstream    refrigerant reheat
                               of the indoor coil    coils for testing
                               that heats the        so as to provide
                               supply air during     the minimum (none
                               cooling operation     if possible) reheat
                               using high-pressure   achievable by the
                               refrigerant in        system controls.
                               order to increase
                               the ratio of
                               moisture removal to
                               cooling capacity
                               provided by the
                               equipment.
Steam/Hydronic Heat Coils...  Coils used to         Test with steam/
                               provide               hydronic heat coils
                               supplemental          in place but
                               heating.              providing no heat.
UV Lights...................  A lighting fixture    Turn off UV lights
                               and lamp mounted so   for testing.
                               that it shines
                               light on the indoor
                               coil, that emits
                               ultraviolet light
                               to inhibit growth
                               of organisms on the
                               indoor coil
                               surfaces, the
                               condensate drip
                               pan, and/other
                               locations within
                               the equipment.

[[Page 113]]

 
Ventilation Energy Recovery   An assembly that      For any VERS that is
 System (VERS).                preconditions         factory-installed,
                               outdoor air           place the VERS in
                               entering the          the 100 percent
                               equipment through     return position and
                               direct or indirect    close and seal the
                               thermal and/or        outside air dampers
                               moisture exchange     and exhaust air
                               with the exhaust      dampers for
                               air, which is         testing, and do not
                               defined as the        energize any VERS
                               building air being    subcomponents
                               exhausted to the      (e.g., energy
                               outside from the      recovery wheel
                               equipment.            motors). For any
                                                     VERS module shipped
                                                     with the unit but
                                                     not factory-
                                                     installed, do not
                                                     install the VERS
                                                     for testing.
------------------------------------------------------------------------


[88 FR 84230, Dec. 4, 2023]



   Sec. Appendix D to Subpart F of Part 431--Uniform Test Method for 
  Measuring the Energy Consumption of Variable Refrigerant Flow Multi-
Split Air Conditioners and Heat Pumps (Other Than Air-Cooled With Rated 
                Cooling Capacity Less Than 65,000 Btu/h)

    Note: Manufacturers must use the results of testing under this 
appendix to determine compliance with the relevant standard from Sec.  
431.97 as that standard appeared in the January 1, 2022 edition of 10 
CFR parts 200-499. Specifically, representations must be based upon 
results generated either under this appendix or under 10 CFR 431.96 as 
it appeared in the 10 CFR parts 200-499 edition revised as of January 1, 
2022.
    For any amended standards for variable refrigerant flow multi-split 
air conditioners and heat pumps that rely on integrated energy 
efficiency ratio (IEER) published after January 1, 2022, manufacturers 
must use the results of testing under appendix D1 of this subpart to 
determine compliance. Representations related to energy consumption must 
be made in accordance with the appropriate appendix that applies (i.e., 
appendix D or appendix D1) when determining compliance with the relevant 
standard.

                      1. Incorporation by Reference

    DOE incorporated by reference in Sec.  431.95, the entire standard 
for ANSI/AHRI 1230-2010. However, enumerated provisions of ANSI/AHRI 
1230-2010, as listed in this section 1, are excluded. To the extent 
there is a conflict between the terms or provisions of a referenced 
industry standard and the CFR, the CFR provisions control.

                        1.1 ANSI/AHRI 1230-2010:

    (a) Section 5.1.2--Manufacturer involvement.
    (b) Section 6.6--Verification testing and uncertainty is 
inapplicable as specified in section 2.2 of this appendix.

                             1.2 [Reserved.]

    2. General. Determine the energy efficiency ratio (EER) and 
coefficient of performance (COP) (as applicable) in accordance with 
ANSI/AHRI 1230-2010.
    Note: Sections 3 through 6 of this appendix provide additional 
instructions for determining EER and COP.
    3. Optional break-in period. Manufacturers may optionally specify a 
``break-in'' period, not to exceed 20 hours, to operate the equipment 
under test prior to conducting the test method specified in this 
appendix. A manufacturer who elects to use an optional compressor break-
in period in its certification testing should record this period's 
duration as part of the information in the supplemental testing 
instructions under 10 CFR 429.43.
    4. Refrigerant line length corrections. For test set-ups where it is 
physically impossible for the laboratory to use the required line length 
listed in Table 3 of the ANSI/AHRI 1230-2010, then the actual 
refrigerant line length used by the laboratory may exceed the required 
length and the following cooling capacity correction factors are 
applied:

------------------------------------------------------------------------
 Piping length beyond minimum,   Piping length beyond   Cooling capacity
            X  (ft)                minimum, Y  (m)      correction  (%)
------------------------------------------------------------------------
0 X <=20...........  0 Y <=6.1.                  1
20 X <=40..........  6.1 Y                       2
                                 <=12.2.
40 X <=60..........  12.2 Y                      3
                                 <=18.3.
60 X <=80..........  18.3 Y                      4
                                 <=24.4.
80 X <=100.........  24.4 Y                      5
                                 <=30.5.
100 X <=120........  30.5Y                       6
                                 <=36.6.
------------------------------------------------------------------------


[[Page 114]]

    5. Additional provisions for equipment set-up. The only additional 
specifications that may be used in setting up the basic model for test 
are those set forth in the installation and operation manual shipped 
with the unit. Each unit should be set up for test in accordance with 
the manufacturer installation and operation manuals. Sections 5.1 
through 5.3 of this appendix provide specifications for addressing key 
information typically found in the installation and operation manuals.
    5.1. If a manufacturer specifies a range of superheat, sub-cooling, 
and/or refrigerant pressure in its installation and operation manual for 
a given basic model, any value(s) within that range may be used to 
determine refrigerant charge or mass of refrigerant, unless the 
manufacturer clearly specifies a rating value in its installation and 
operation manual, in which case the specified rating value must be used.
    5.2. The airflow rate used for testing must be that set forth in the 
installation and operation manual being shipped to the commercial 
customer with the basic model and clearly identified as that used to 
generate the DOE performance ratings. If a rated airflow value for 
testing is not clearly identified, a value of 400 standard cubic feet 
per minute (scfm) per ton must be used.
    5.3. The test set-up and the fixed compressor speeds (i.e., the 
maximum, minimum, and any intermediate speeds used for testing) should 
be recorded and maintained as part of the test data underlying the 
certified ratings that is required to be maintained under 10 CFR 429.71.
    6. Manufacturer involvement in assessment or enforcement testing. A 
manufacturer's representative will be allowed to witness assessment and/
or enforcement testing for variable refrigerant flow multi-split air 
conditioners and heat pumps. The manufacturer's representative will be 
allowed to inspect and discuss set-up only with a DOE representative. 
During testing, the manufacturer's representative may adjust only the 
modulating components that are necessary to achieve steady-state 
operation in the presence of a DOE representative. Only previously 
documented specifications for set-up as specified under sections 4 and 5 
of this appendix will be used.

[87 FR 63898, Oct. 20, 2022]



   Sec. Appendix D1 to Subpart F of Part 431--Uniform Test Method for 
  Measuring the Energy Consumption of Variable Refrigerant Flow Multi-
Split Air Conditioners and Heat Pumps (Other Than Air-Cooled With Rated 
                Cooling Capacity Less Than 65,000 Btu/h)

    Note: Manufacturers must use the results of testing under this 
appendix to determine compliance with any amended standards for variable 
refrigerant flow multi-split air conditioners and heat pumps provided in 
Sec.  431.97 that are published after January 1, 2022, and that rely on 
integrated energy efficiency ratio (IEER). Representations related to 
energy consumption must be made in accordance with the appropriate 
appendix that applies (i.e., appendix D or appendix D1) when determining 
compliance with the relevant standard.

                      1. Incorporation by Reference

    DOE incorporated by reference in Sec.  431.95, the entire standard 
for AHRI 1230-2021 and ANSI/ASHRAE 37-2009, as corrected by the Errata 
sheet for ANSI/ASHRAE 37-2009 issued on March 27, 2019 (``ANSI/ASHRAE 
37-2009 (as corrected)''). However, only enumerated provisions of AHRI 
1230-2021 and ANSI/ASHRAE 37-2009 are required or excluded, as listed in 
this section 1. To the extent there is a conflict between the terms or 
provisions of a referenced industry standard and the CFR, the CFR 
provisions control.

                         1.1 Provisions Required

                          1.1.1 AHRI 1230-2021

    (a) Section 3--Definitions, except section 3.11, as specified in 
section 2 of this appendix,
    (b) Section 5--Test Requirements, except section 5.1.2, as specified 
in sections 2 and 5.1 of this appendix,
    (c) Section 6--Rating Requirements, except sections 6.3.3 and 6.5, 
as specified in sections 2, 4.1, 4.1.1, 4.2, 4.2.1, and 5.1 of this 
appendix,
    (d) Section 11--Calculations is applicable as specified in sections 
2, 5.2.1.2, and 5.2.2 of this appendix,
    (e) Section 12--Symbols, Subscripts, and Superscripts as specified 
in section 2 of this appendix,
    (f) Appendix E--ANSI/ASHRAE Standard 37-2009 Clarifications/
Exceptions--Normative as specified in section 2 of this appendix.

                            1.1.2 [Reserved]

                         1.2 Provisions Excluded

                1.2.1 ANSI/ASHRAE 37-2009 (as Corrected)

    (a) Section 1--Purpose,
    (b) Section 2--Scope, and

[[Page 115]]

    (c) Section 4--Classification.
    2. General. Determine IEER and coefficient of performance (COP) (as 
applicable) in accordance with AHRI 1230-2021 and ANSI/ASHRAE 37-2009 
(as corrected). Sections 3 through 5 of this appendix provide additional 
instructions for determining IEER and COP. In cases where there is a 
conflict, the language of this appendix takes highest precedence, 
followed by AHRI 1230-2021, followed by ANSI/ASHRAE 37-2009 (as 
corrected).
    Note: The controls verification procedure specified in Appendix C of 
AHRI 1230-2021 is referenced as part of DOE's certification provisions 
at Sec.  429.43(b) and product-specific enforcement provisions located 
at Sec.  429.134(v)(3).

                             3. Definitions

    3.1. Critical Parameter(s) are the following settings of modulating 
components of variable refrigerant flow multi-split air conditioners and 
heat pumps: compressor speed(s), outdoor fan speed(s), and outdoor 
variable valve position(s).

                           4. Test Conditions

    4.1 Test Conditions for Air-Cooled VRF Multi-split Systems with 
Rated Cooling Capacity Greater Than 65,000 Btu/h. When testing to 
certify to the energy conservation standards in Sec.  431.97, test using 
the ``Standard Rating Conditions, Cooling'' and ``Standard Rating Part-
Load Conditions (IEER)'' conditions for cooling mode tests and 
``Standard Rating Conditions (High Temperature Steady-state Test for 
Heating)'' conditions for heat pump heating mode tests, as specified in 
Table 9 in Section 6 of AHRI 1230-2021.
    4.1.1 Representations of COP for air-cooled VRF multi-split systems 
with rated cooling capacity greater than 65,000 Btu/h made using the 
``Low Temperature Operation, Heating'' condition specified in Table 9 in 
Section 6 of AHRI 1230-2021 are optional.
    4.2 Test Conditions for Water-source VRF Multi-split Systems. When 
testing to certify to the energy conservation standards in Sec.  431.97, 
test using the ``Part-load Conditions (IEER)'' conditions specified for 
``Water Loop Heat Pumps'' in Table 10 of AHRI 1230-2021 for cooling mode 
tests and the ``Standard Rating Test'' conditions specified for ``Water 
Loop Heat Pumps'' in Table 11 in Section 6 of AHRI 1230-2021 for heat 
pump heating mode tests.
    4.2.1 For water-source VRF multi-split systems, representations of 
EER made using the ``Standard Rating Test'' conditions specified for 
``Ground-loop Heat pumps'' in Table 10 of Section 6 of AHRI 1230-2021 
and representations of COP made using the ``Standard Rating Test'' 
conditions specified for ``Ground-loop Heat Pumps'' in Table 11 of 
Section 6 of AHRI 1230-2021 are optional.

                            5. Test Procedure

    5.1 Control Settings. Control settings must be set in accordance 
with Sections 5.1.3, 5.1.4, 5.1.5, and 5.2 of AHRI 1230-2021. For 
systems equipped with head pressure controls, the head pressure controls 
must be set per manufacturer installation instructions or per factory 
settings if no instructions are provided. Indoor airflow-control 
settings must be set in accordance with Section 6.3.1 of AHRI 1230-2021. 
At each load point, critical parameters must be set to the values 
certified in the supplemental testing instructions (STI) provided by the 
manufacturer pursuant to Sec.  429.43(b)(4) of this chapter. In cases in 
which a certified critical parameter value is not in the STI, the system 
must operate per commands from the system controls for that parameter. 
Once set, control settings must remain unchanged for the remainder of 
the test (except for allowable adjustment of critical parameters as 
described in section 5.2 of this appendix).
    5.2 Allowable Critical Parameter Adjustments for IEER Cooling Tests. 
The following sections describe allowable adjustments to critical 
parameters after the initial system set-up (during which all control 
settings, including certified critical parameters, are set). Adjust 
critical parameters in order to achieve full- and part-load cooling 
capacity targets and sensible heat ratio (SHR) limits.
    5.2.1 Critical Parameter Adjustments for Meeting Cooling Capacity 
Targets. Once critical parameters have been set to the values certified 
in the STI, if the unit cannot operate within 3% of the target cooling 
capacity (i.e., within 3% of the load fraction for a given part-load 
cooling test (75%, 50%, or 25% load) or within 3% of the certified 
cooling capacity for a 100% full-load cooling test), manually-controlled 
critical parameters must be adjusted according to the following 
provisions:
    5.2.1.1. Cooling Capacity is Below Lower Tolerance. If, for any 
test, the cooling capacity operates below the lower tolerance for the 
target cooling capacity, increase the compressor speed(s) beyond the 
STI-certified value(s) until the cooling capacity operates within 3% of 
the target cooling capacity. If multiple compressors are present in the 
system, increase compressor speed by the same absolute increment in RPM 
or Hz for each compressor for which the following conditions apply:
    (a) The STI specifies a non-zero compressor speed for the compressor 
for that test and
    (b) The compressor has not yet reached its maximum capable operating 
speed. The compressor speed(s) must not be less than the STI-certified 
value(s) at any point during the test. Upward adjustments to compressor 
speed are not constrained by a budget on RSS Points Total (See section 
5.2.1.2.1 of this appendix).

[[Page 116]]

    5.2.1.2 Cooling Capacity is Above Upper Tolerance. If, for any test, 
the cooling capacity operates above the upper tolerance for the target 
cooling capacity, adjust any manually-controlled critical parameters per 
the STI. If the STI does not include a hierarchy of instructions for 
adjustment of critical parameters to reduce cooling capacity during IEER 
cooling tests, then reduce only the compressor speed(s) to reduce 
cooling capacity. If multiple compressors are present in the system, 
decrease compressor speed by the same absolute increment for each 
compressor for which the following conditions apply:
    (a) The STI specifies a non-zero compressor speed for the compressor 
for that test and
    (b) The compressor has not yet reached minimum speed. Continue 
reducing cooling capacity in this manner until one of the following 
occurs:
    (1) The unit operates within 3% of the target cooling capacity; or
    (2) The RSS point total reaches a budget of 70 points (see section 
5.2.1.2.1 of this appendix). For the 75%, 50%, and 25% part-load cooling 
test points, if the RSS point total reaches 70 during critical parameter 
adjustments before the capacity operates within 3% of the target cooling 
capacity, stop adjustment and follow cyclic degradation procedures in 
accordance with Section 11.2.2.1 of AHRI 1230-2021.
    5.2.1.2.1 Measuring Critical Parameter Variation During Adjustment 
Period. When adjusting critical parameters to reduce cooling capacity, 
critical parameter variation must be calculated each time the critical 
parameters are adjusted, using the following equations:
    (a) First, use equation 5.2-1 to calculate the absolute parameter 
percent difference () between each adjusted critical parameter and the 
value for that parameter certified in the STI.
[GRAPHIC] [TIFF OMITTED] TR20OC22.002

Where:

``i'' identifies the critical parameter--either compressors speed(s), 
outdoor fan speed(s), or outdoor variable valve position(s)
CPi,Adj = The adjusted position of critical parameter ``i'' recorded at 
each measurement interval. If multiple components corresponding to a 
single parameter are present (e.g., multiple compressors), calculate the 
average position across all components corresponding to that parameter 
at each measurement interval when determining CPi,Adj.
CPi,STI = The position of critical parameter ``i'' as certified in the 
STI. If multiple components corresponding to a single parameter are 
present, calculate the average position across all components 
corresponding to that parameter at each measurement interval when 
determining CPi,STI.
CPMax = The maximum operating position for Critical Parameter ``i'' as 
certified in the STI for the 100% load condition. If multiple components 
corresponding to a single parameter are present, calculate as the 
average value across all components corresponding to that critical 
parameter certified in the STI for the 100% load condition.

    (b) Next, use equation 5.2-2 to this section to determine the 
accrued points for each critical parameter:
[GRAPHIC] [TIFF OMITTED] TR20OC22.003

Where:

``i'' identifies the critical parameter--either compressors speed(s), 
outdoor fan speed(s), or outdoor variable valve position(s)
NPVi = the nominal point value for critical parameter ``i'' as follows:

           Table 5.1--Critical Parameter Nominal Point Values
------------------------------------------------------------------------
                                                           Nominal point
                   Critical parameter                          value
------------------------------------------------------------------------
Compressor Speed(s).....................................              13
Outdoor Fan Speed(s)....................................               7
Outdoor Variable Valve Position(s)......................               1
------------------------------------------------------------------------

    (c) Finally, use equation 5.2-3 to this section to calculate the 
root-sum-squared (RSS) Points Total across all critical parameters.

[[Page 117]]

[GRAPHIC] [TIFF OMITTED] TR20OC22.004

    5.2.2 Critical Parameter Adjustments for Meeting SHR Limits. The SHR 
for the 100% load test point and the 75% part-load test point must not 
be higher than 0.82 and 0.85, respectively (measured to the nearest 
hundredth). If the SHR is above the allowable limit, increase the 
compressor speed(s) until either the SHR is less than or equal to the 
allowable limit or the cooling capacity reaches 3% greater than the 
target cooling capacity for that test, whichever happens first. If 
multiple compressors are present in the system, increase compressor 
speed by the same absolute increment for each compressor for which the 
following conditions apply:
    (a) The STI specifies a non-zero compressor speed for the compressor 
for that test and
    (b) The compressor has not yet reached maximum speed. Upwards 
adjustments to compressor speed are not constrained by a budget on RSS 
Points Total. Should the SHR remain above the maximum limit when the 
cooling capacity reaches its upper 3% tolerance, no further compressor 
adjustments shall be made, and the calculation procedures specified in 
Section 11.2.2.2 of AHRI 1230-2021 must be applied using the adjusted 
SHR value obtained after increasing the compressor speed(s).
    6. Set-Up and Test Provisions for Specific Components. When testing 
a VRF multi-split system that includes any of the specific components 
listed in table 6.1 to this appendix, test in accordance with the set-up 
and test provisions specified in table 6.1.

           Table 6.1--Test Provisions for Specific Components
------------------------------------------------------------------------
          Component                Description         Test provisions
------------------------------------------------------------------------
Desiccant Dehumidification    An assembly that      Disable desiccant
 Components.                   reduces the           dehumidification
                               moisture content of   components for
                               the supply air        testing.
                               through moisture
                               transfer with solid
                               or liquid
                               desiccants.
Air Economizers.............  An automatic system   For any air
                               that enables a        economizer that is
                               cooling system to     factory-installed,
                               supply outdoor air    place the
                               to reduce or          economizer in the
                               eliminate the need    100% return
                               for mechanical        position and close
                               cooling during mild   and seal the
                               or cold weather.      outside air dampers
                                                     for testing. For
                                                     any modular air
                                                     economizer shipped
                                                     with the unit but
                                                     not factory-
                                                     installed, do not
                                                     install the
                                                     economizer for
                                                     testing.
Fresh Air Dampers...........  An assembly with      For any fresh air
                               dampers and means     dampers that are
                               to set the damper     factory-installed,
                               position in a         close and seal the
                               closed and one open   dampers for
                               position to allow     testing. For any
                               air to be drawn       modular fresh air
                               into the equipment    dampers shipped
                               when the indoor fan   with the unit but
                               is operating.         not factory-
                                                     installed, do not
                                                     install the dampers
                                                     for testing.
Hail Guards.................  A grille or similar   Remove hail guards
                               structure mounted     for testing.
                               to the outside of
                               the unit covering
                               the outdoor coil to
                               protect the coil
                               from hail, flying
                               debris, and damage
                               from large objects.
Low Ambient Cooling Dampers.  An assembly with      Remove low ambient
                               dampers and means     cooling dampers for
                               to set the dampers    testing.
                               in a position to
                               recirculate the
                               warmer condenser
                               discharge air to
                               allow for reliable
                               operation at low
                               outdoor ambient
                               conditions.
Power Correction Capacitors.  A capacitor that      Remove power
                               increases the power   correction
                               factor measured at    capacitors for
                               the line connection   testing.
                               to the equipment.
                               These devices are a
                               requirement of the
                               power distribution
                               system supplying
                               the unit.
Ventilation Energy Recovery   An assembly that      For any VERS that is
 Systems (VERS).               preconditions         factory-installed,
                               outdoor air           place the VERS in
                               entering the          the 100% return
                               equipment through     position and close
                               direct or indirect    and seal the
                               thermal and/or        outside air dampers
                               moisture exchange     and exhaust air
                               with the exhaust      dampers for
                               air, which is         testing, and do not
                               defined as the        energize any VERS
                               building air being    subcomponents
                               exhausted to the      (e.g., energy
                               outside from the      recovery wheel
                               equipment.            motors). For any
                                                     VERS module shipped
                                                     with the unit but
                                                     not factory-
                                                     installed, do not
                                                     install the VERS
                                                     for testing.
------------------------------------------------------------------------


[[Page 118]]


[87 FR 63898, Oct. 20, 2022]



   Sec. Appendix E to Subpart F of Part 431--Uniform Test Method for 
   Measuring the Energy Consumption of Computer Room Air Conditioners

    Note: Manufacturers must use the results of testing under this 
appendix to determine compliance with the relevant energy conservation 
standards for computer room air conditioners from Sec.  431.97 as that 
standard appeared in the January 1, 2022 edition of 10 CFR parts 200 
through 499. Specifically, representations, including compliance 
certifications, must be based upon results generated either under this 
appendix or under 10 CFR 431.96 as it appeared in the 10 CFR parts 200 
through 499 edition revised as of January 1, 2022.
    For any amended standards for computer room air conditioners that 
rely on net sensible coefficient of performance (NSenCOP) published 
after January 1, 2022, manufacturers must use the results of testing 
under appendix E1 to this subpart to determine compliance. Manufacturers 
may use appendix E1 to certify compliance with any amended standards 
prior to the applicable compliance date for those standards.
    Specifically, representations, including compliance certifications, 
related to energy consumption must be based upon results generated under 
the appropriate appendix that applies (i.e., this appendix or appendix 
E1 to this subpart) when determining compliance with the relevant 
standard.
    1. Incorporation by Reference.
    DOE incorporated by reference in Sec.  431.95 the entire standard 
for ASHRAE 127-2007. However, certain enumerated provisions of ASHRAE 
127-2007, as listed in section 1.1, are inapplicable. To the extent that 
there is a conflict between the terms or provisions of a referenced 
industry standard and the CFR, the CFR provisions control.
    1.1 ASHRAE 127-2007:
    (a) Section 5.11 is inapplicable as specified in section 2 of this 
appendix.
    (b) [Reserved]
    1.2 [Reserved]
    2. General. Determine the sensible coefficient of performance (SCOP) 
in accordance with ASHRAE 127-2007.
    3. Optional break-in period. Manufacturers may optionally specify a 
``break-in'' period, not to exceed 20 hours, to operate the equipment 
under test prior to conducting the test method specified in this 
appendix. A manufacturer who elects to use an optional compressor break-
in period in its certification testing should record this period's 
duration as part of the information in the supplemental testing 
instructions under 10 CFR 429.43.
    4. Additional provisions for equipment set-up. The only additional 
specifications that may be used in setting up the basic model for test 
are those set forth in the installation and operation manual shipped 
with the unit. Each unit should be set up for test in accordance with 
the manufacturer installation and operation manuals. Sections 4.1 and 
4.2 of this appendix provide specifications for addressing key 
information typically found in the installation and operation manuals.
    4.1. If a manufacturer specifies a range of superheat, sub-cooling, 
and/or refrigerant pressure in its installation and operation manual for 
a given basic model, any value(s) within that range may be used to 
determine refrigerant charge or mass of refrigerant, unless the 
manufacturer clearly specifies a rating value in its installation and 
operation manual, in which case the specified rating value must be used.
    4.2. The airflow rate used for testing must be that set forth in the 
installation and operation manuals being shipped to the commercial 
customer with the basic model and clearly identified as that used to 
generate the DOE performance ratings. If a rated airflow value for 
testing is not clearly identified, a value of 400 standard cubic feet 
per minute (scfm) per ton must be used.

[88 FR 21840, Apr. 11, 2023]



   Sec. Appendix E1 to Subpart F of Part 431--Uniform Test Method for 
   Measuring the Energy Consumption of Computer Room Air Conditioners

    Note: Prior to the compliance date for any amended energy 
conservation standards based on NSenCOP for computer room air 
conditioners, representations with respect to energy use or efficiency 
of this equipment, including compliance certifications, must be based on 
testing pursuant to appendix E to this subpart. Subsequently, 
manufacturers must use the results of testing under this appendix to 
determine compliance with any amended energy conservation standards for 
computer room air conditioners provided in Sec.  431.97 that are 
published after January 1, 2022, and that rely on net sensible 
coefficient of performance (NSenCOP). Specifically, representations, 
including compliance certifications, related to energy consumption must 
be based upon results generated under the appropriate appendix that 
applies (i.e., appendix E to this subpart or this appendix) when 
determining compliance with the relevant standard. Manufacturers may use 
this appendix to certify compliance with any amended standards prior to 
the applicable compliance date for those standards.
    1. Incorporation by Reference
    DOE incorporated by reference in Sec.  431.95 the entire standards 
for AHRI 1360-2022,

[[Page 119]]

ANSI/ASHRAE 37-2009, and ANSI/ASHRAE 127-2020. However, as listed in 
sections 1.1, 1.2, and 1.3 of this appendix, only certain enumerated 
provisions of AHRI 1360-2022 and ANSI/ASHRAE 127-2020 are applicable, 
and only certain enumerated provisions of ANSI/ASHRAE 37-2009 are not 
applicable. To the extent that there is a conflict between the terms or 
provisions of a referenced industry standard and the CFR, the CFR 
provisions control.
    1.1 AHRI 1360-2022:
    (a) The following sections of Section 3. Definitions--3.1 
(Expressions of Provision), 3.2.2 (Air Sampling Device(s)), 3.2.7 
(Computer and Data Processing Room Air Conditioner), 3.2.22 (Indoor 
Unit), 3.2.25 (Manufacturer's Installation Instruction), 3.2.27 (Net 
Sensible Cooling Capacity), 3.2.28 (Net Total Cooling Capacity), 3.2.37 
(Standard Air) and 3.2.38 (Standard Airflow) are applicable.
    (b) Section 5. Test Requirements, is applicable.
    (c) The following sections of Section 6. Rating Requirements--6.1-
6.3, 6.5 and 6.7 are applicable.
    (d) Appendix C. Standard Configurations--Normative, is applicable.
    (e) Section D2 of Appendix D. Non-Standard Indoor Fan Motors for 
CRAC units, is applicable.
    (f) Appendix E. Method of Testing Computer and Data Processing Room 
Air Conditioners--Normative, is applicable.
    (g) Appendix F. Indoor and Outdoor Air Condition Measurement--
Normative is applicable.
    1.2 ANSI/ASHRAE 127-2020:
    (a) Appendix A--Figure A-1, Test duct for measuring air flow and 
static pressure on downflow units, is applicable.
    (b) [Reserved].
    1.3 ASHRAE 37-2009:
    (a) Section 1 Purpose is inapplicable.
    (b) Section 2 Scope is inapplicable.
    (c) Section 4 Classification is inapplicable.
    2. General. Determine the net sensible coefficient of performance 
(NSenCOP), in accordance with AHRI 1360-2022, ANSI/ASHRAE 127-2020, and 
ANSI/ASHRAE 37-2009. In cases where there is a conflict between these 
sources, the language of this appendix takes highest precedence, 
followed by AHRI 1360-2022, followed by ANSI/ASHRAE 127-2020, followed 
by ANSI/ASHRAE 37-2009. Any subsequent amendment to a referenced 
document by a standard-setting organization will not affect the test 
procedure in this appendix, unless and until this test procedure is 
amended by DOE. Material is incorporated as it exists on the date of the 
approval, and notification of any change in the incorporation will be 
published in the Federal Register.
    3. Test Conditions
    3.1. Test Conditions for Certification. When testing to certify to 
the energy conservation standards in Sec.  431.97, test using the 
``Indoor Return Air Temperature Standard Rating Conditions'' and ``Heat 
Rejection/Cooling Fluid Standard Rating Conditions'' conditions, as 
specified in Tables 3 and 4 of AHRI 1360-2022, respectively.
    4. Set-Up and Test Provisions for Specific Components. When testing 
a unit that includes any of the features listed in Table 4.1 of this 
appendix, test in accordance with the set-up and test provisions 
specified in Table 4.1 of this appendix.

           Table 4.1--Test Provisions for Specific Components
------------------------------------------------------------------------
          Component                Description         Test provisions
------------------------------------------------------------------------
Air Economizers.............  An automatic system   For any air
                               that enables a        economizer that is
                               cooling system to     factory-installed,
                               supply outdoor air    place the
                               to reduce or          economizer in the
                               eliminate the need    100% return
                               for mechanical        position and close
                               cooling during mild   and seal the
                               or cold weather.      outside air dampers
                                                     for testing. For
                                                     any modular air
                                                     economizer shipped
                                                     with the unit but
                                                     not factory-
                                                     installed, do not
                                                     install the
                                                     economizer for
                                                     testing.
Process Heat Recovery/        A heat exchanger      Disconnect the heat
 Reclaim Coils/Thermal         located inside the    exchanger from its
 Storage.                      unit that             heat source for
                               conditions the        testing.
                               equipment's supply
                               air using energy
                               transferred from an
                               external source
                               using a vapor, gas,
                               or liquid.
Evaporative Pre-cooling of    Water is evaporated   Disconnect the unit
 Condenser Intake Air.         into the air          from the water
                               entering the air-     supply for testing
                               cooled condenser to   (i.e., operate
                               lower the dry-bulb    without active
                               temperature and       evaporative
                               thereby increase      cooling).
                               efficiency of the
                               refrigeration cycle.

[[Page 120]]

 
Steam/Hydronic Heat Coils...  Coils used to         Test with steam/
                               provide               hydronic heat coils
                               supplemental heat.    in place but
                                                     providing no heat.
Refrigerant Reheat Coils....  A heat exchanger      De-activate
                               located downstream    refrigerant re-heat
                               of the indoor coil    coils so as to
                               that heats the        provide the minimum
                               supply air during     (none if possible)
                               cooling operation     reheat achievable
                               using high pressure   by the system
                               refrigerant in        controls.
                               order to increase
                               the ratio of
                               moisture removal to
                               cooling capacity
                               provided by the
                               equipment.
Fire/Smoke/Isolation Dampers  A damper assembly     For any fire/smoke/
                               including means to    isolation dampers
                               open and close the    that are factory-
                               damper mounted at     installed, close
                               the supply or         and seal the
                               return duct opening   dampers for
                               of the equipment.     testing. For any
                                                     modular fire/smoke/
                                                     isolation dampers
                                                     shipped with the
                                                     unit but not
                                                     factory-installed,
                                                     do not install the
                                                     dampers for
                                                     testing.
Harmonic Distortion           A high voltage        Remove harmonic
 Mitigation Devices.           device that reduces   distortion
                               harmonic distortion   mitigation devices
                               measured at the       for testing.
                               line connection of
                               the equipment that
                               is created by
                               electronic
                               equipment in the
                               unit.
Humidifiers.................  A device placed in    Test with
                               the supply air        humidifiers in
                               stream for moisture   place but providing
                               evaporation and       no humidification.
                               distribution. The
                               device may require
                               building steam or
                               water, hot water,
                               electricity, or gas
                               to operate.
Electric Reheat Elements....  Electric reheat       Test with electric
                               elements and          reheat elements in
                               controls that are     place but providing
                               located downstream    no heat.
                               of the cooling coil
                               that may heat the
                               air using
                               electrical power
                               during the
                               dehumidification
                               process.
Non-standard Power            A device applied to   Disable the non-
 Transformer.                  a high voltage load   standard power
                               that transforms       transformer during
                               input electrical      testing.
                               voltage to that
                               voltage necessary
                               to operate the load.
Chilled Water Dual Cooling    A secondary chilled   Test with chilled
 Coils.                        water coil added in   water dual cooling
                               the indoor air        coils in place but
                               stream for use as     providing no
                               the primary or        cooling.
                               secondary cooling
                               circuit in
                               conjunction with a
                               separate chiller.
High-Effectiveness Indoor     Indoor air filters    Test with the filter
 Air Filtration.               with greater air      offered by the
                               filtration            manufacturer with
                               effectiveness than    the least air
                               Minimum Efficiency    filtration
                               Reporting Value       effectiveness that
                               (MERV) 8 for ducted   meets or exceeds
                               units and MERV 1      MERV 8 for ducted
                               for non-ducted        units and MERV 1
                               units.                for non-ducted
                                                     units.
------------------------------------------------------------------------


[[Page 121]]


[88 FR 21841, Apr. 11, 2023]



 Sec. Appendix F to Subpart F of Part 431--Uniform Test Method for the 
  Measurement of Energy Consumption of Air-Cooled, Three-Phase, Small 
Commercial Package Air Conditioning and Heating Equipment With a Cooling 
Capacity of Less Than 65,000 Btu/h and Air-Cooled, Three-Phase, Variable 
  Refrigerant Flow Multi-Split Air Conditioners and Heat Pumps With a 
               Cooling Capacity of Less Than 65,000 Btu/h

    Note: Manufacturers must use the results of testing under this 
appendix to determine compliance with the relevant standard from Sec.  
431.97 as that standard appeared in the January 1, 2022, edition of 10 
CFR parts 200-499. Specifically, representations must be based upon 
results generated either under this appendix or under 10 CFR 431.96 as 
it appeared in the 10 CFR parts 200-499 edition revised as of January 1, 
2021.
    For any amended standards for air-cooled, three-phase, small 
commercial package air conditioning and heating equipment with a cooling 
capacity of less than 65,000 Btu/h and air-cooled, three-phase, variable 
refrigerant flow multi-split air conditioners and heat pumps with a 
cooling capacity of less than 65,000 Btu/h that rely on SEER2 and HSPF2 
published after January 1, 2021, manufacturers must use the results of 
testing under appendix F1 to determine compliance. Representations 
related to energy consumption must be made in accordance with the 
appropriate appendix that applies (i.e., appendices F or F1) when 
determining compliance with the relevant standard. Manufacturers may 
also use appendix F1 to certify compliance with any amended standards 
that rely on SEER2 and HSPF2 prior to the applicable compliance date for 
those standards.

                      1. Incorporation by Reference

    DOE incorporated by reference in Sec.  431.95, the entire standard 
for ANSI/AHRI 210/240-2008 and ANSI/AHRI 1230-2010. However, certain 
enumerated provisions of those standards, as set forth in this section 
1, are inapplicable. To the extent there is a conflict between the terms 
or provisions of a referenced industry standard and the CFR, the CFR 
provisions control.
    1.1 ANSI/AHRI 210/240-2008:
    (a) Section 6.5--Tolerances
    (b) Reserved.
    1.2 ANSI/AHRI 1230-2010:
    (a) Section 5.1.2--Manufacturer involvement
    (b) Section 6.6--Verification testing and uncertainty

                               2. General

    2.1 Air-cooled, three-phase, small commercial package air 
conditioning and heating equipment with a cooling capacity of less than 
65,000 Btu/h. Determine the seasonal energy efficiency ratio (SEER) and 
heating seasonal performance factor (HSPF) (as applicable) in accordance 
with ANSI/AHRI 210/240-2008. Sections 3 to 6 of this appendix provide 
additional instructions for determining SEER and HSPF.
    2.2 Air-cooled, three-phase, variable refrigerant flow multi-split 
air conditioners and heat pumps with a cooling capacity of less than 
65,000 Btu/h. Determine the SEER and HSPF (as applicable) in accordance 
with ANSI/AHRI 1230-2010.
    Sections 3 through 6 of this appendix provide additional 
instructions for determining SEER and HSPF.
    3. Optional break-in period. Manufacturers may optionally specify a 
``break-in'' period, not to exceed 20 hours, to operate the equipment 
under test prior to conducting the test method specified in this 
appendix. A manufacturer who elects to use an optional compressor break-
in period in its certification testing should record this period's 
duration as part of the information in the supplemental testing 
instructions under 10 CFR 429.43.
    4. Additional provisions for equipment set-up. The only additional 
specifications that may be used in setting up the basic model for test 
are those set forth in the installation and operation manual shipped 
with the unit. Each unit should be set up for test in accordance with 
the manufacturer installation and operation manuals. Sections 3.1 
through 3.3 of this appendix provide specifications for addressing key 
information typically found in the installation and operation manuals.
    4.1. If a manufacturer specifies a range of superheat, sub-cooling, 
and/or refrigerant pressure in its installation and operation manual for 
a given basic model, any value(s) within that range may be used to 
determine refrigerant charge or mass of refrigerant, unless the 
manufacturer clearly specifies a rating value in its installation and 
operation manual, in which case the specified rating value shall be 
used.
    4.2. The airflow rate used for testing must be that set forth in the 
installation and operation manuals being shipped to the commercial 
customer with the basic model and clearly identified as that used to 
generate the DOE performance ratings. If a rated airflow value for 
testing is not clearly identified, a value of 400 standard cubic feet 
per minute (scfm) per ton shall be used.
    4.3. For air-cooled, three-phase, variable refrigerant flow multi-
split air conditioners and heat pumps with a cooling capacity of less 
than 65,000 Btu/h, the test set-up and the fixed compressor speeds 
(i.e., the maximum,

[[Page 122]]

minimum, and any intermediate speeds used for testing) should be 
recorded and maintained as part of the test data underlying the 
certified ratings that is required to be maintained under 10 CFR 429.71.
    5. Refrigerant line length corrections for air-cooled, three-phase, 
variable refrigerant flow multi-split air conditioners and heat pumps 
with a cooling capacity of less than 65,000 Btu/h. For test setups where 
it is physically impossible for the laboratory to use the required line 
length listed in Table 3 of ANSI/AHRI 1230-2010, then the actual 
refrigerant line length used by the laboratory may exceed the required 
length and the following cooling capacity correction factors are 
applied:

------------------------------------------------------------------------
                                                               Cooling
  Piping length beyond minimum, X     Piping length beyond     capacity
                (ft)                     minimum, Y (m)       correction
                                                                 (%)
------------------------------------------------------------------------
0X <=20.................  0Y <=6.1...            1
20X <=40................  6.1Y <=12.2            2
40X <=60................  12.2Y                  3
                                      <=18.3.
60X <=80................  18.3Y                  4
                                      <=24.4.
80X <=100...............  24.4Y                  5
                                      <=30.5.
100 X <=120.............  30.5Y                  6
                                      <=36.6.
------------------------------------------------------------------------

    6. Manufacturer involvement in assessment or enforcement testing for 
air-cooled, three-phase, variable refrigerant flow multi-split air 
conditioners and heat pumps with a cooling capacity of less than 65,000 
Btu/h. A manufacturer's representative will be allowed to witness 
assessment and/or enforcement testing. The manufacturer's representative 
will be allowed to inspect and discuss set-up only with a DOE 
representative and adjust only the modulating components during testing 
in the presence of a DOE representative that are necessary to achieve 
steady-state operation. Only previously documented specifications for 
set-up as specified under sections 3 and 4 of this appendix will be 
used.

[87 FR 77327, Dec. 16, 2022; 87 FR 78513, Dec. 22, 2022]



 Sec. Appendix F1 to Subpart F of Part 431--Uniform Test Method for the 
  Measurement of Energy Consumption of Air-Cooled, Three-Phase, Small 
Commercial Package Air Conditioning and Heating Equipment With a Cooling 
Capacity of Less Than 65,000 Btu/h and Air-Cooled, Three-Phase, Variable 
  Refrigerant Flow Multi-Split Air Conditioners and Heat Pumps With a 
               Cooling Capacity of Less Than 65,000 Btu/h

    Note: Manufacturers must use the results of testing under this 
appendix to determine compliance with any amended standards for air-
cooled, three-phase, small commercial package air conditioning and 
heating equipment with a cooling capacity of less than 65,000 Btu/h and 
air-cooled, three-phase, variable refrigerant flow multi-split air 
conditioners and heat pumps with a cooling capacity of less than 65,000 
Btu/h provided in Sec.  431.97 that are published after January 1, 2021, 
and that rely on seasonal energy efficiency ratio 2 (SEER2) and heating 
seasonal performance factor 2 (HSPF2). Representations related to energy 
consumption must be made in accordance with the appropriate appendix 
that applies (i.e., appendices F or F1) when determining compliance with 
the relevant standard. Manufacturers may also use this appendix to 
certify compliance with any amended standards that rely on SEER2 and 
HSPF2 prior to the applicable compliance date for those standards.
    1. Incorporation by Reference. DOE incorporated by reference in 
Sec.  431.95, the entire standard for AHRI 210/240-2023 and ANSI/ASHRAE 
37-2009. However, certain enumerated provisions of AHRI 210/240-2023 and 
ANSI/ASHRAE 37-2009, as set forth in this section 1, are inapplicable. 
To the extent there is a conflict between the terms or provisions of a 
referenced industry standard and the CFR, the CFR provisions control. 
Any subsequent amendment to a referenced document by the standard-
setting organization will not affect the test procedure in this 
appendix, unless and until the test procedure is amended by DOE.
    1.1. AHRI 210/240-2023:
    (a) Section 6 Rating Requirements--6.1 Standard Ratings--6.1.8 
Tested Combinations or Tested Units

(b) Section 6 Rating Requirements--6.2 Application Ratings
(c) Section 6 Rating Requirements--6.4 Ratings
(d) Section 6 Rating Requirements--6.5 Uncertainty and Variability
(e) Section 7--Minimum Data Requirements for Published Ratings
(f) Section 8--Operating Requirements
(g) Section 9--Marking and Nameplate Data
(h) Section 10--Conformance Conditions
(i) Appendix C--Certification of Laboratory Facilities Used to Determine 
Performance of Unitary Air-Conditioning & Air-Source Heat Pump 
Equipment--Informative
(j) Appendix F--ANSI/ASHRAE Standard 116-2010 Clarifications/
Exceptions--Normative--F15.2 and F17
(k) Appendix G--Unit Configuration for Standard Efficiency 
Determination--Normative
(l) Appendix H--Off-Mode Testing--Normative
(m) Appendix I Verification Testing--Normative

    1.2. ANSI/ASHRAE 37-2009:

(a) Section 1--Purpose
(b) Section 2--Scope
(c) Section 4--Classification


[[Page 123]]


    2. General. Determine the seasonal energy efficiency ratio 2 (SEER2) 
and heating seasonal performance factor 2 (HSPF2) (as applicable) in 
accordance with AHRI 210/240-2023 and ANSI/ASHRAE 37-2009. Sections 3 
and 4 to this appendix provide additional instructions for determining 
SEER2 and HSPF2.
    3. Energy Measurement Accuracy. The Watt-hour (W[sdot]h) measurement 
system(s) shall be accurate within  0.5 percent or 
0.5 W[sdot]h, whichever is greater, for both ON and OFF cycles. If two 
measurement systems are used, then the meters shall be switched within 
15 seconds of the start of the OFF cycle and switched within 15 seconds 
prior to the start of the ON cycle.
    4. Cycle Stability Requirements. Conduct three complete compressor 
OFF/ON cycles. Calculate the degradation coefficient CD for each 
complete cycle. If all three CD values are within 0.02 of the average CD 
then stability has been achieved, and the highest CD value of these 
three shall be used. If stability has not been achieved, conduct 
additional cycles, up to a maximum of eight cycles total, until 
stability has been achieved between three consecutive cycles. Once 
stability has been achieved, use the highest CD value of the three 
consecutive cycles that establish stability. If stability has not been 
achieved after eight cycles, use the highest CD from cycle one through 
cycle eight, or the default CD, whichever is lower.

[87 FR 77328, Dec. 16, 2022]



   Sec. Appendix G to Subpart F of Part 431--Uniform Test Method for 
    Measuring the Energy Consumption of Single Package Vertical Air 
           Conditioners and Single Package Vertical Heat Pumps

    Note: Prior to December 4, 2023, manufacturers must use the results 
of testing under either this appendix or Sec.  431.96 as it appeared in 
the 10 CFR parts 200-499 edition revised as of January 1, 2021, to 
determine compliance with the relevant standard from Sec.  431.97 as 
that standard appeared in the January 1, 2021, edition of 10 CFR parts 
200-499. On or after December 4, 2023, manufacturers must use the 
results of testing generated under this appendix to demonstrate 
compliance with the relevant standard from Sec.  431.97 as that standard 
appeared in the January 1, 2021, edition of 10 CFR parts 200-499.
    Beginning December 4, 2023, if manufacturers make voluntary 
representations with respect to the integrated energy efficiency ratio 
(IEER) of single packaged vertical air conditioners and single package 
vertical heat pumps, such representations must be based on testing 
conducted in accordance with appendix G1 to this subpart.
    For any amended standards for single packaged vertical air 
conditioners and single package vertical heat pumps based on IEER 
published after January 1, 2021, manufacturers must use the results of 
testing under appendix G1 to this subpart to determine compliance. 
Representations related to energy consumption must be made in accordance 
with the appropriate appendix that applies (i.e., this appendix or 
appendix G1) when determining compliance with the relevant standard. 
Manufacturers may also use appendix G1 to certify compliance with any 
amended standards prior to the applicable compliance date for those 
standards.

                     1. Incorporation by Reference.

    DOE incorporated by reference in Sec.  431.95 the entire standard 
for AHRI 390-2021 and ASHRAE 37-2009. However, only certain enumerated 
provisions of AHRI 390-2021 and ANSI/ASHRAE 37-2009 are required or 
excluded as listed in this section 1. To the extent there is a conflict 
between the terms or provisions of a referenced industry standard and 
this appendix, the appendix provisions control, followed by AHRI 390-
2021, followed by ANSI/ASHRAE 37-2009.
    1.1. Only the following provisions of AHRI 390-2021 apply:

(a) Section 3--Definitions (omitting sections 3.1, 3.2, 3.5, 3.12, and 
3.15)
(b) Section 5--Test Requirements (omitting section 5.8.5)
(c) Section 6--Rating Requirements (omitting sections 6.1.1 and 6.2 
through 6.5)
(d) Appendix A. ``References--Normative''
(e) Appendix D. ``Indoor and Outdoor Air Condition Measurement--
Normative''
(f) Appendix E. ``Method of Testing Single Package Vertical Units--
Normative''

    1.2. All provisions of ANSI/ASHRAE 37-2009 apply except for the 
following provisions:

(a) Section 1--Purpose
(b) Section 2--Scope
(c) Section 4--Classifications

    2. General. Determine cooling capacity (Btu/h) and energy efficiency 
ratio (EER) for all single package vertical air conditioners and heat 
pumps and coefficient of performance (COP) for all single package 
vertical heat pumps, in accordance with the specified sections of AHRI 
390-2021 and the specified sections of ANSI/ASHRAE 37-2009. Only 
identified provisions of AHRI 390-2021 are applicable and certain 
sections of ANSI/ASHRAE 37-2009 are inapplicable, as set forth in 
section 1 of this appendix. In addition, the instructions in section 3 
of this appendix apply to determining EER and COP. Any subsequent 
amendment to a referenced document by a standard-setting organization 
will not affect the test procedure in this appendix, unless and until 
the test procedure is amended by DOE.

[[Page 124]]

    3. Test Conditions. The ``Standard Rating Full Load Capacity Test, 
Cooling'' conditions for cooling mode tests and ``Standard Rating Full 
Load Capacity Test, Heating'' conditions for heat pump heating mode 
tests specified in Table 3 of section 5.8.3 of AHRI 390-2021 shall be 
used.
    3.1. Optional Representations. Representations of COP for single 
package vertical heat pumps made using the ``Low Temperature Operation, 
Heating'' condition specified in Table 3 of section 5.8.3 of AHRI 390-
2021 are optional and are determined according to the applicable 
provisions in section 1 of this appendix.
    3.2. [Reserved]

[87 FR 75169, Dec. 7, 2022]



   Sec. Appendix G1 to Subpart F of Part 431--Uniform Test Method for 
    Measuring the Energy Consumption of Single Package Vertical Air 
           Conditioners and Single Package Vertical Heat Pumps

    Note: Beginning December 4, 2023, if manufacturers make voluntary 
representations with respect to the integrated energy efficiency ratio 
(IEER) of single packaged vertical air conditioners and single package 
vertical heat pumps, such representations must be based on testing 
conducted in accordance with this appendix.
    Manufacturers must use the results of testing under this appendix to 
determine compliance with any amended standards for single packaged 
vertical air conditioners and single package vertical heat pumps based 
on IEER provided in Sec.  431.97 that are published after January 1, 
2021. Representations related to energy consumption must be made in 
accordance with the appropriate appendix that applies (i.e., appendix G 
to this subpart or this appendix) when determining compliance with the 
relevant standard. Manufacturers may also use this appendix to certify 
compliance with any amended standards prior to the applicable compliance 
date for those standards.

                      1. Incorporation by Reference

    DOE incorporated by reference in Sec.  431.95 the entire standard 
for AHRI 390-2021 and ASHRAE 37-2009. However, only certain enumerated 
provisions of AHRI 390-2021 and ANSI/ASHRAE 37-2009 are required or 
excluded as listed in this section 1. To the extent there is a conflict 
between the terms or provisions of a referenced industry standard and 
this appendix, the appendix provisions control, followed by AHRI 390-
2021, followed by ANSI/ASHRAE 37-2009.
    1.1. Only the following provisions of AHRI 390-2021 apply:

(a) Section 3--Definitions (omitting sections 3.1, 3.2, 3.5, 3.12, and 
3.15)
(b) Section 5--Test Requirements (omitting section 5.8.5)
c) Section 6--Rating Requirements (omitting sections 6.1.1 and 6.3 
through 6.5)
(d) Appendix A. ``References--Normative''
(e) Appendix D. ``Indoor and Outdoor Air Condition Measurement--
Normative''
(f) Appendix E. ``Method of Testing Single Package Vertical Units--
Normative''

    1.2. All provisions of ANSI/ASHRAE 37-2009 apply except for the 
following provisions:
(a) Section 1--Purpose
(b) Section 2--Scope
(c) Section 4--Classifications

    2. General. Determine cooling capacity (Btu/h) and integrated energy 
efficiency ratio (IEER) for all single package vertical air conditioners 
and heat pumps and coefficient of performance (COP) for all single 
package vertical heat pumps, in accordance with the specified sections 
of AHRI 390-2021and the specified sections of ANSI/ASHRAE 37-2009. Only 
identified provisions of AHRI 390-2021 and ANSI/ASHRAE 37-2009 are 
applicable, as set forth in section 1 of this appendix. In addition, the 
instructions in section 4 of this appendix apply to determining IEER and 
COP. Any subsequent amendment to a referenced document by a standard-
setting organization will not affect the test procedure in this 
appendix, unless and until the test procedure is amended by DOE.
    3. Test Conditions. The ``Part-Load Standard Rating Conditions'' 
conditions for cooling mode tests and ``Standard Rating Full Load 
Capacity Test, Heating'' conditions for heat pump heating mode tests 
specified in Table 3 of section 5.8.3 of AHRI 390-2021 shall be used.
    3.1. Optional Representations. Representations of COP for single 
package vertical heat pumps made using the ``Low Temperature Operation, 
Heating'' condition specified in Table 3 of section 5.8.3 of AHRI 390-
2021 are optional and are determined according to the applicable 
provisions in section 1.1 of this appendix.
    4. Set-Up and Test Provisions for Specific Components. When testing 
a single package vertical unit (SPVU) that includes any of the features 
listed in table 4.1 to this appendix, test in accordance with the set-up 
and test provisions specified in table 4.1 to this appendix.

[[Page 125]]



           Table 4.1--Test Provisions for Specific Components
------------------------------------------------------------------------
            Component                 Description       Test provisions
------------------------------------------------------------------------
Desiccant Dehumidification        An assembly that    Disable desiccant
 Components.                       reduces the         dehumidification
                                   moisture content    components for
                                   of the supply air   testing.
                                   through moisture
                                   transfer with
                                   solid or liquid
                                   desiccants.
Air Economizers.................  An automatic        For any air
                                   system that         economizer that
                                   enables a cooling   is factory-
                                   system to supply    installed, place
                                   outdoor air to      the economizer in
                                   reduce or           the 100% return
                                   eliminate the       position and
                                   need for            close and seal
                                   mechanical          the outside air
                                   cooling during      dampers for
                                   mid or cold         testing. For any
                                   weather.            modular air
                                                       economizer
                                                       shipped with the
                                                       unit but not
                                                       factory-
                                                       installed, do not
                                                       install the
                                                       economizer for
                                                       testing.
Fresh Air Dampers...............  An assembly with    For any fresh air
                                   dampers and means   dampers that are
                                   to set the damper   factory-
                                   position in a       installed, close
                                   closed and one      and seal the
                                   open position to    dampers for
                                   allow air to be     testing. For any
                                   drawn into the      modular fresh air
                                   equipment when      dampers shipped
                                   the indoor fan is   with the unit but
                                   operating.          not factory-
                                                       installed, do not
                                                       install the
                                                       dampers for
                                                       testing.
Hail Guards.....................  A grille or         Remove hail guards
                                   similar structure   for testing.
                                   mounted to the
                                   outside of the
                                   unit covering the
                                   outdoor coil to
                                   protect the coil
                                   from hail, flying
                                   debris and damage
                                   from large
                                   objects.
Power Correction Capacitors.....  A capacitor that    Remove power
                                   increases the       correction
                                   power factor        capacitors for
                                   measured at the     testing.
                                   line connection
                                   to the equipment.
Ventilation Energy Recovery       An assembly that    For any VERS that
 System (VERS).                    preconditions       is factory-
                                   outdoor air         installed, place
                                   entering the        the VERS in the
                                   equipment through   100% return
                                   direct or           position and
                                   indirect thermal    close and seal
                                   and/or moisture     the outside air
                                   exchange with the   dampers and
                                   exhaust air,        exhaust air
                                   which is defined    dampers for
                                   as the building     testing, and do
                                   air being           not energize any
                                   exhausted to the    VERS
                                   outside from the    subcomponents
                                   equipment.          (e.g., energy
                                                       recovery wheel
                                                       motors). For any
                                                       VERS module
                                                       shipped with the
                                                       unit but not
                                                       factory-
                                                       installed, do not
                                                       install the VERS
                                                       for testing.
Barometric Relief Dampers.......  An assembly with    For any barometric
                                   dampers and means   relief dampers
                                   to automatically    that are factory-
                                   set the damper      installed, close
                                   position in a       and seal the
                                   closed position     dampers for
                                   and one or more     testing. For any
                                   open positions to   modular
                                   allow venting       barometric relief
                                   directly to the     dampers shipped
                                   outside a portion   with the unit but
                                   of the building     not factory-
                                   air that is         installed, do not
                                   returning to the    install the
                                   unit, rather than   dampers for
                                   allowing it to      testing.
                                   recirculate to
                                   the indoor coil
                                   and back to the
                                   building.
UV Lights.......................  A lighting fixture  Turn off UV lights
                                   and lamp mounted    for testing.
                                   so that it shines
                                   light on the
                                   indoor coil, that
                                   emits ultraviolet
                                   light to inhibit
                                   growth of
                                   organisms on the
                                   indoor coil
                                   surfaces, the
                                   condensate drip
                                   pan, and/other
                                   locations within
                                   the equipment.
Steam/Hydronic Heat Coils.......  Coils used to       Test with steam/
                                   provide             hydronic heat
                                   supplemental        coils in place
                                   heating.            but providing no
                                                       heat.
Hot Gas Reheat..................  A heat exchanger    De-activate
                                   located             refrigerant
                                   downstream of the   reheat coils for
                                   indoor coil that    testing so as to
                                   heats the Supply    provide the
                                   Air during          minimum (none if
                                   cooling operation   possible) reheat
                                   using high          achievable by the
                                   pressure            system controls.
                                   refrigerant in
                                   order to increase
                                   the ratio of
                                   moisture removal
                                   to Cooling
                                   Capacity provided
                                   by the equipment.
Sound Traps/Sound Attenuators...  An assembly of      Removable sound
                                   structures          traps/sound
                                   through which the   attenuators shall
                                   Supply Air passes   be removed for
                                   before leaving      testing.
                                   the equipment or    Otherwise, test
                                   through which the   with sound traps/
                                   return air from     attenuators in
                                   the building        place.
                                   passes
                                   immediately after
                                   entering the
                                   equipment for
                                   which the sound
                                   insertion loss is
                                   at least 6 dB for
                                   the 125 Hz octave
                                   band frequency
                                   range.
Fire/Smoke/Isolation Dampers....  A damper assembly   For any fire/smoke/
                                   including means     isolation dampers
                                   to open and close   that are factory-
                                   the damper          installed, set
                                   mounted at the      the dampers in
                                   supply or return    the fully open
                                   duct opening of     position for
                                   the equipment.      testing. For any
                                                       modular fire/
                                                       smoke/isolation
                                                       dampers shipped
                                                       with the unit but
                                                       not factory-
                                                       installed, do not
                                                       install the
                                                       dampers for
                                                       testing.
------------------------------------------------------------------------


[[Page 126]]


[87 FR 75170, Dec. 7, 2022]



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, unfired hot water storage tanks, and commercial heat pump
water heaters.

    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.
    Air-source commercial heat pump water heater means a commercial heat 
pump water heater that utilizes indoor or outdoor air as the heat 
source.
    Basic model means all water heaters, hot water supply boilers, or 
unfired hot water storage tanks manufactured by one manufacturer within 
a single equipment class, having the same primary energy source (e.g., 
gas or oil) and that have essentially identical electrical, physical and 
functional characteristics that affect energy efficiency.
    Coefficient of performance (COPh) means the dimensionless 
ratio of the rate of useful heat transfer gained by the water (expressed 
in Btu/h), to the rate of electric power consumed during operation 
(expressed in Btu/h).
    Commercial heat pump water heater (CHPWH) means a water heater 
(including all ancillary equipment such as fans, blowers, pumps, storage 
tanks, piping, and controls, as applicable) that uses a refrigeration 
cycle, such as vapor compression, to transfer heat from a low-
temperature source to a higher-temperature sink for the purpose of 
heating potable water, and operates with a current rating greater than 
24 amperes or a voltage greater than 250 volts. Such equipment includes, 
but is not limited to, air-source heat pump water heaters, water-source 
heat pump water heaters, and direct geo-exchange heat pump water 
heaters.
    Direct geo-exchange commercial heat pump water heater means a 
commercial heat pump water heater that utilizes the earth as a heat 
source and allows for direct exchange of heat between the earth and the 
refrigerant in the evaporator coils.
    Flow-activated instantaneous water heater means an instantaneous 
water heater or hot water supply boiler that activates the burner or 
heating element only if heated water is drawn from the unit.
    Fuel input rate means the maximum measured rate at which gas-fired 
or oil-fired commercial water heating equipment uses energy as 
determined using test procedures prescribed under Sec.  431.106 of this 
part.
    Ground-source closed-loop commercial heat pump water heater means a 
commercial heat pump water heater that utilizes a fluid circulated 
through a closed piping loop as a medium to transfer heat from the 
ground to the refrigerant in the evaporator. The piping loop may be 
buried inside the ground in horizontal trenches or vertical bores, or 
submerged in a surface water body.
    Ground water-source commercial heat pump water heater means a 
commercial heat pump water heater that utilizes ground water as the heat 
source.
    Hot water supply boiler means a packaged boiler (defined in Sec.  
431.82 of this part) that is industrial equipment and that:
    (1) Has a rated input from 300,000 Btu/h to 12,500,000 Btu/h and of 
at least 4,000 Btu/h per gallon of stored water;
    (2) Is suitable for heating potable water; and
    (3) Meets either or both of the following conditions:

[[Page 127]]

    (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.
    Indoor water-source commercial heat pump water heater means a 
commercial heat pump water heater that utilizes indoor water as the heat 
source.
    Instantaneous water heater means a water heater that uses gas, oil, 
or electricity, including:
    (1) Gas-fired instantaneous water heaters with a rated input both 
greater than 200,000 Btu/h and not less than 4,000 Btu/h per gallon of 
stored water;
    (2) Oil-fired instantaneous water heaters with a rated input both 
greater than 210,000 Btu/h and not less than 4,000 Btu/h per gallon of 
stored water; and
    (3) Electric instantaneous water heaters with a rated input both 
greater than 12 kW and not less than 4,000 Btu/h per gallon of stored 
water.
    Rated input means the maximum rate at which commercial water heating 
equipment is rated to use energy as specified on the nameplate.
    R-value means the thermal resistance of insulating material as 
determined using ASTM C177-13 or C518-15 (incorporated by reference; see 
Sec.  431.105) and expressed in ( [deg]F[middot]ft\2\[middot]h/Btu).
    Residential-duty commercial water heater means any gas-fired 
storage, oil-fired storage, or electric instantaneous commercial water 
heater that meets the following conditions:
    (1) For models requiring electricity, uses single-phase external 
power supply;
    (2) Is not designed to provide outlet hot water at temperatures 
greater than 180 [deg]F; and
    (3) Does not meet any of the following criteria:

------------------------------------------------------------------------
                                        Indicator of non-residential
        Water heater type                       application
------------------------------------------------------------------------
Gas-fired Storage................  Rated input 105 kBtu/h;
                                    Rated storage volume 120
                                    gallons.
Oil-fired Storage................  Rated input 140 kBtu/h;
                                    Rated storage volume 120
                                    gallons.
Electric Instantaneous...........  Rated input 58.6 kW; Rated
                                    storage volume 2 gallons.
------------------------------------------------------------------------

    Standby loss means:
    (1) For electric commercial water heating equipment (not including 
commercial heat pump water heaters), the average hourly energy required 
to maintain the stored water temperature expressed as a percent per hour 
(%/h) of the heat content of the stored water above room temperature and 
determined in accordance with appendix B or D to subpart G of part 431 
(as applicable), denoted by the term ``S''; or
    (2) For gas-fired and oil-fired commercial water heating equipment, 
the average hourly energy required to maintain the stored water 
temperature expressed in British thermal units per hour (Btu/h) based on 
a 70 [deg]F temperature differential between stored water and ambient 
room temperature and determined in accordance with appendix A or C to 
subpart G of part 431 (as applicable), denoted by the term ``SL.''
    Storage-type instantaneous water heater means an instantaneous water 
heater that includes a storage tank with a rated storage volume greater 
than or equal to 10 gallons.
    Storage water heater means a water heater that uses gas, oil, or 
electricity to heat and store water within the appliance at a 
thermostatically-controlled temperature for delivery on demand, 
including:
    (1) Gas-fired storage water heaters with a rated input both greater 
than 75,000 Btu/h and less than 4,000 Btu/h per gallon of stored water;
    (2) Oil-fired storage water heaters with a rated input both greater 
than 105,000 Btu/h and less than 4,000 Btu/h per gallon of stored water; 
and
    (3) Electric storage water heaters with a rated input both greater 
than 12 kW and less than 4,000 Btu/h per gallon of stored water.
    Tank surface area means, for the purpose of determining portions of 
a tank 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.

[[Page 128]]

    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.

[69 FR 61983, Oct. 21, 2004, as amended at 76 FR 12503, Mar. 7, 2011; 78 
FR 79599, Dec. 31, 2013; 79 FR 40586, July 11, 2014; 81 FR 79321, Nov. 
10, 2016; 88 FR 40494, June 21, 2023; 88 FR 69821, Oct. 6, 2023]

                             Test Procedures



Sec.  431.105  Materials incorporated by reference.

    (a) Certain material is incorporated by reference into this subpart 
with the approval of the Director of the Federal Register in accordance 
with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other 
than that specified in this section, the DOE must publish a document in 
the Federal Register and the material must be available to the public. 
All approved incorporation by reference (IBR) material is available for 
inspection at DOE and at the National Archives and Records 
Administration (NARA). Contact DOE at: the U.S. Department of Energy, 
Office of Energy Efficiency and Renewable Energy, Building Technologies 
Program, 1000 Independence Avenue SW, EE-5B, Washington, DC 20024, (202) 
586-9127, [email protected], www.energy.gov/eere/buildings/building-
technologies-office. For information on the availability of this 
material at NARA, visit www.archives.gov/federal-register/cfr/ibr-
locations.html or email: [email protected]. The material may be 
obtained from the sources in the following paragraphs of this section.
    (b) ASHRAE. American Society of Heating, Refrigerating and Air-
Conditioning Engineers, 1791 Tullie Circle NE. Atlanta, GA 30329, (800) 
527-4723, or go to https://www.ashrae.org.
    (1) ANSI/ASHRAE Standard 118.1-2012, ``Method of Testing for Rating 
Commercial Gas, Electric, and Oil Service Water-Heating Equipment,'' 
approved by ASHRAE on October 26, 2012, IBR approved for appendix E to 
this subpart, as follows:
    (i) Section 3--Definitions and Symbols;
    (ii) Section 4--Classifications by Mode of Operation (sections 4.4, 
and 4.5 only);
    (iii) Section 6--Instruments (except sections 6.3, 6.4 and 6.6);
    (iv) Section 7--Apparatus (except section 7.4, Figures 1 through 4, 
section 7.7.5, Table 2, and section 7.7.7.4);
    (v) Section 8--Methods of Testing:
    (A) Section 8.2--Energy Supply, Section 8.2.1--Electrical Supply;
    (B) Section 8.7--Water Temperature Control;
    (vi) Section 9--Test Procedures: 9.1--Input Rating, Heating 
Capacity, Thermal Efficiency, Coefficient of Performance (COP), and 
Recovery Rating; 9.1.1--Full Input Rating;
    (vii) Section 10--Calculation of Results: Section 10.3--Heat-Pump 
Water Heater Water-Heating Capacity, Coefficient of Performance (COP), 
and Recovery Rating; Section 10.3.1--Type IV and Type V Full-Capacity 
Test Method.
    (2) [Reserved]
    (c) ASTM. ASTM International, 100 Barr Harbor Drive, P.O. Box C700, 
West Conshohocken, PA 19428-2959, (610) 832-9585, or go to http://
www.astm.org.
    (1) ASTM C177-13, ``Standard Test Method for Steady-State Heat Flux 
Measurements and Thermal Transmission Properties by Means of the 
Guarded-Hot-Plate Apparatus,'' approved September 15, 2013, IBR approved 
for Sec.  431.102.
    (2) ASTM C518-15, ``Standard Test Method for Steady-State Thermal 
Transmission Properties by Means of the Heat Flow Meter Apparatus,'' 
approved September 1, 2015, IBR approved for Sec.  431.102t.
    (3) ASTM D2156-09 (Reapproved 2013), ``Standard Test Method for 
Smoke Density in Flue Gases from Burning Distillate Fuels,'' approved 
October 1, 2013, IBR approved for appendices A and C to this subpart.
    (d) CSA Group, 5060 Spectrum Way, Suite 100, Mississauga, Ontario, 
Canada L4W 5N6, 800-463-6727, or go to http://www.csagroup.org/.

[[Page 129]]

    (1) ANSI Z21.10.3-2015 * CSA 4.3-2015 (``ANSI Z21.10.3-2015''), 
``Gas-fired water heaters, volume III, storage water heaters with input 
ratings above 75,000 Btu per hour, circulating and instantaneous,'' 
approved by ANSI on October 5, 2015, IBR approved for appendices A, B, 
and C to this subpart, as follows:
    (i) Annex E (normative) Efficiency test procedures--E.1--Method of 
test for measuring thermal efficiency, paragraph c--Vent requirements; 
and
    (ii) Annex E (normative) Efficiency test procedures--E.1--Method of 
test for measuring thermal efficiency, paragraph f--Installation of 
temperature sensing means.
    (2) [Reserved]

[77 FR 28996, May 16, 2012, as amended at 81 FR 79322, Nov. 10, 2016; 88 
FR 69821, Oct. 6, 2023]



Sec.  431.106  Uniform test method for the measurement of energy
efficiency of commercial water heating equipment.

    (a) Scope. This section contains test procedures for measuring, 
pursuant to EPCA, the energy efficiency of commercial water heating 
equipment.
    (b) Testing and calculations. Determine the energy efficiency of 
commercial water heating equipment by conducting the applicable test 
procedure(s):
    (1) Residential-duty commercial water heaters. Test in accordance 
with appendix E to subpart B of part 430 of this chapter.
    (2) Commercial water heating equipment other than residential-duty 
commercial water heaters. Test in accordance with the appropriate test 
procedures in appendices to subpart G of this part.
    (i) Gas-fired and oil-fired storage water heaters and storage-type 
instantaneous water heaters. Test according to appendix A to subpart G 
of this part.
    (ii) Electric storage water heaters and storage-type instantaneous 
water heaters. Test according to appendix B to subpart G of this part.
    (iii) Gas-fired and oil-fired instantaneous water heaters and hot 
water supply boilers (other than storage-type instantaneous water 
heaters). Test according to appendix C to subpart G of this part.
    (iv) Electric instantaneous water heaters (other than storage-type 
instantaneous water heaters). Test according to appendix D to subpart G 
of this part.
    (v) Commercial heat pump water heaters. Test according to appendix E 
to subpart G of this part.

[81 FR 79322, Nov. 10, 2016]

                      Energy Conservation Standards



Sec.  431.110  Energy conservation standards and their effective dates.

    (a) Each commercial storage water heater, instantaneous water 
heater, and hot water supply boiler (excluding residential-duty 
commercial water heaters) must meet the applicable energy conservation 
standard level(s) as specified in the table to this paragraph. Any 
packaged boiler that provides service water that meets the definition of 
``commercial packaged boiler'' in subpart E of this part, but does not 
meet the definition of ``hot water supply boiler'' in subpart G of this 
part, must meet the requirements that apply to it under subpart E of 
this part.

                                   Table 1 to Sec.   431.110(a)--Commercial Water Heater Energy Conservation Standards
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                           Energy conservation standards \a\
                                                             -------------------------------------------------------------------------------------------
                                                                 Minimum thermal       Minimum thermal
                                                                   efficiency            efficiency        Maximum standby loss    Maximum standby loss
              Equipment                        Size                (equipment            (equipment             (equipment              (equipment
                                                               manufactured on and   manufactured on and    manufactured on and     manufactured on and
                                                                after October 9,      after October 6,       after October 29,    after October 6, 2026)
                                                                    2015) (%)             2026) (%)              2003) \b\                  \b\
--------------------------------------------------------------------------------------------------------------------------------------------------------
Electric storage water heaters......  All...................                   N/A                   N/A  0.30 + 27/Vm (%/h)....  0.30 + 27/Vm (%/h)

[[Page 130]]

 
Gas-fired storage water heaters and   All...................                    80                    95  Q/800 + 110(Vr)\1/2\    0.86 x [Q/800 +
 storage-type instantaneous water                                                                          (Btu/h).                110(Vr)\1/2\] (Btu/h)
 heaters.
Oil-fired storage water heaters.....  All...................                    80                    80  Q/800 + 110(Vr)\1/2\    Q/800 + 110(Vr)\1/2\
                                                                                                           (Btu/h).                (Btu/h)
Electric instantaneous water heaters  <10 gal...............                    80                    80  N/A...................  N/A
 \c\.                                 =10 gal....                    77                    77  2.30 + 67/Vm (%/h)....  2.30 + 67/Vm (%/h)
Gas-fired instantaneous water         <10 gal...............                    80                    96  N/A...................  N/A
 heaters and hot water supply         =10 gal....                    80                    96  Q/800 + 110(Vr)\1/2\    Q/800 + 110(Vr)\1/2\
 boilers.                                                                                                  (Btu/h).                (Btu/h)
Oil-fired instantaneous water heater  <10 gal...............                    80                    80  N/A...................  N/A
 and hot water supply boilers.        =10 gal....                    78                    78  Q/800 + 110(Vr)\1/2\    Q/800 + 110(Vr)\1/2\
                                                                                                           (Btu/h).                (Btu/h)
--------------------------------------------------------------------------------------------------------------------------------------------------------
\a\ Vm is the measured storage volume, and Vr is the rated storage volume, both in gallons. Q is the rated input in Btu/h, as determined pursuant to 10
  CFR 429.44.
\b\ Water heaters and hot water supply boilers with a rated storage volume greater than 140 gallons need not meet the standby loss requirement if:
(1) The tank surface area is thermally insulated to R-12.5 or more, with the R-value as defined in Sec.   431.102
(2) A standing pilot light is not used; and
(3) For gas-fired or oil-fired storage water heaters, they have a flue damper or fan-assisted combustion.
\c\ The compliance date for energy conservation standards for electric instantaneous water heaters is January 1, 1994.

    (b) Each unfired hot water storage tank manufactured on and after 
October 29, 2003, must have a minimum thermal insulation of R-12.5.
    (c) Each residential-duty commercial water heater must meet the 
applicable energy conservation standard level(s) as follows:

                          Table 2 to Sec.   431.110(c)--Residential-Duty Commercial Water Heater Energy Conservation Standards
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                         Uniform energy factor \b\
                                                                                 -----------------------------------------------------------------------
             Equipment                Specifications \a\        Draw pattern         Equipment manufactured before       Equipment manufactured after
                                                                                            October 6, 2026                     October 6, 2026
--------------------------------------------------------------------------------------------------------------------------------------------------------
Gas-fired storage.................  75 kBtu/hr  Very Small...........  0.2674-(0.0009 x Vr)..............  0.5374-(0.0009 x Vr)
                                     and <=105 kBtu/hr     Low..................  0.5362-(0.0012 x Vr)..............  0.8062-(0.0012 x Vr)
                                     and <=120 gal.        Medium...............  0.6002-(0.0011 x Vr)..............  0.8702-(0.0011 x Vr)
                                                           High.................  0.6597-(0.0009 x Vr)..............  0.9297-(0.0009 x Vr)

[[Page 131]]

 
Oil-fired storage.................  105 kBtu/   Very Small...........  0.2932-(0.0015 x Vr)..............  0.2932-(0.0015 x Vr)
                                     hr and <=140 kBtu/hr  Low..................  0.5596-(0.0018 x Vr)..............  0.5596-(0.0018 x Vr)
                                     and <=120 gal.        Medium...............  0.6194-(0.0016 x Vr)..............  0.6194-(0.0016 x Vr)
                                                           High.................  0.6470-(0.0013 x Vr)..............  0.6470-(0.0013 x Vr)
Electric instantaneous............  12 kW and   Very Small...........  0.80..............................  0.80
                                     <=58.6 kW and <=2     Low..................  0.80..............................  0.80
                                     gal.                  Medium...............  0.80..............................  0.80
                                                           High.................  0.80..............................  0.80
--------------------------------------------------------------------------------------------------------------------------------------------------------
\a\ Additionally, to be classified as a residential-duty commercial water heater, a commercial water heater must meet the following conditions: (1) If
  the water heater requires electricity, it must use a single-phase external power supply; and (2) The water heater must not be designed to heat water
  to temperatures greater than 180 [deg]F.
\b\ Vr is the rated storage volume (in gallons), as determined pursuant to 10 CFR 429.44.


[88 FR 69822, Oct. 6, 2023]



 Sec. Appendix A to Subpart G of Part 431--Uniform Test Method for the 
Measurement of Thermal Efficiency and Standby Loss of Gas-Fired and Oil-
Fired Storage Water Heaters and Storage-Type Instantaneous Water Heaters

    Note: Prior to November 6, 2017, manufacturers must make any 
representations with respect to the energy use or efficiency of the 
subject commercial water heating equipment in accordance with the 
results of testing pursuant to this appendix or the procedures in 10 CFR 
431.106 that were in place on January 1, 2016. On and after November 6, 
2017, manufacturers must make any representations with respect to energy 
use or efficiency of gas-fired and oil-fired storage water heaters and 
storage-type instantaneous water heaters in accordance with the results 
of testing pursuant to this appendix to demonstrate compliance with the 
energy conservation standards at 10 CFR 431.110.

                               1. General

    Determine the thermal efficiency and standby loss (as applicable) in 
accordance with the following sections of this appendix. Certain 
sections reference sections of Annex E.1 of ANSI Z21.10.3-2015 
(incorporated by reference; see Sec.  431.105). Where the instructions 
contained in the sections below conflict with instructions in Annex E.1 
of ANSI Z21.10.3-2015, the instructions contained in this appendix 
control.

                             2. Test Set-Up

    2.1. Placement of Water Heater. A water heater for installation on 
combustible floors must be placed on a \3/4\-inch plywood platform 
supported by three 2 x 4-inch runners. If the water heater is for 
installation on noncombustible floors, suitable noncombustible material 
must be placed on the platform. When the use of the platform for a large 
water heater is not practical, the water heater may be placed on any 
suitable flooring. A wall-mounted water heater must be mounted on a 
simulated wall section.
    2.2. Installation of Temperature Sensors. Inlet and outlet water 
piping must be turned vertically downward from the connections on the 
water heater so as to form heat traps. Temperature sensors for measuring 
supply and outlet water temperatures must be installed upstream from the 
inlet heat trap piping and downstream from the outlet heat trap piping, 
respectively, in accordance with Figure 2.1, 2.2, or 2.3 (as applicable 
based on the location of inlet and outlet piping connections) of this 
section.
    The water heater must meet the requirements shown in Figure 2.1, 
2.2, or 2.3 (as applicable) at all times during the conduct of the 
thermal efficiency and standby loss tests. Any factory-supplied heat 
traps must be installed per the installation instructions while ensuring 
the requirements in Figure 2.1, 2.2, or 2.3 are met. All dimensions 
specified in Figure 2.1, 2.2, and 2.3 and in this section are measured 
from the outer surface of the pipes and water heater outer casing (as 
applicable).

[[Page 132]]

[GRAPHIC] [TIFF OMITTED] TR10NO16.012


[[Page 133]]


[GRAPHIC] [TIFF OMITTED] TR10NO16.013

    2.3 Installation of Temperature Sensors for Measurement of Mean Tank 
Temperature. Install temperature sensors inside the tank for measurement 
of mean tank temperature according to the instructions in paragraph f of 
Annex E.1 of ANSI Z21.10.3-2015 (incorporated by reference; see Sec.  
431.105). Calculate the mean tank temperature as the average of the six 
installed temperature sensors.
    2.4. Piping Insulation. Insulate all water piping external to the 
water heater jacket, including heat traps and piping that are installed 
by the manufacturer or shipped with the unit, for at least 4 ft of 
piping length from the connection at the appliance, with material having 
an R-value not less than 4 [deg]F[middot]ft\2\[middot]h/Btu. Ensure that 
the insulation does not contact any appliance surface except at the 
location where the pipe connections penetrate the appliance jacket or 
enclosure.
    2.5. Temperature and Pressure Relief Valve Insulation. If the 
manufacturer has not provided a temperature and pressure relief valve, 
one shall be installed and insulated as specified in section 2.4 of this 
appendix.
    2.6. Vent Requirements. Follow the requirements for venting 
arrangements specified in paragraph c of Annex E.1 of ANSI Z21.10.3-2015 
(incorporated by reference; see Sec.  431.105).
    2.7. Energy Consumption. Install equipment that determines, within 
 1 percent:
    2.7.1. The quantity and rate of fuel consumed.
    2.7.2. The quantity of electricity consumed by factory-supplied 
water heater components.

                           3. Test Conditions

    3.1. Water Supply
    3.1.1. Water Supply Pressure. The pressure of the water supply must 
be maintained between 40 psi and the maximum pressure specified by the 
manufacturer of the unit being tested. The accuracy of the pressure-
measuring devices must be within  1.0 pounds per 
square inch (psi).
    3.1.2. Water Supply Temperature. During the steady-state 
verification period and the thermal efficiency test, the temperature of 
the supply water must be maintained at 70 [deg]F  
2 [deg]F.
    3.1.3. Isolate the water heater using a shutoff valve in the supply 
line with an expansion tank installed in the supply line downstream of 
the shutoff valve. There must be no shutoff means between the expansion 
tank and the appliance inlet.
    3.2. Gas Pressure for Gas-Fired Equipment. The supply gas pressure 
must be within the range specified by the manufacturer on the nameplate 
of the unit being tested. The difference between the outlet pressure of 
the gas appliance pressure regulator and the value specified by the 
manufacturer on the nameplate of the unit being tested must not exceed 
the greater of:  10 percent of the nameplate value 
or  0.2 inches water column (in. w.c.). Obtain the 
higher heating value of the gas burned.
    3.3. Ambient Room Temperature. During the soak-in period (as 
applicable), the steady-state verification period, the thermal 
efficiency test, and the standby loss test, maintain the ambient room 
temperature at 75 [deg]F  10 [deg]F at all times. 
Measure the ambient room temperature at 1-minute intervals during these 
periods, except for the soak-in period. Measure the ambient room 
temperature

[[Page 134]]

once before beginning the soak-in period, and ensure no actions are 
taken during the soak-in period that would cause the ambient room 
temperature to deviate from the allowable range. Measure the ambient 
room temperature at the vertical mid-point of the water heater and 
approximately 2 feet from the water heater jacket. Shield the sensor 
against radiation. Calculate the average ambient room temperature 
separately for the thermal efficiency test and standby loss test. During 
the thermal efficiency and standby loss tests, the ambient room 
temperature must not vary by more than  5.0 [deg]F 
at any reading from the average ambient room temperature.
    3.4. Test Air Temperature. During the steady-state verification 
period, the thermal efficiency test, and the standby loss test, the test 
air temperature must not vary by more than  5 
[deg]F from the ambient room temperature at any reading. Measure the 
test air temperature at 1-minute intervals during these periods and at a 
location within two feet of the air inlet of the water heater or the 
combustion air intake vent, as applicable. Shield the sensor against 
radiation. For units with multiple air inlets, measure the test air 
temperature at each air inlet, and maintain the specified tolerance on 
deviation from the ambient room temperature at each air inlet. For units 
without a dedicated air inlet, measure the test air temperature within 
two feet of any location on the water heater where combustion air is 
drawn.
    3.5. Maximum Air Draft. During the steady-state verification period, 
the thermal efficiency test, and the standby loss test, the water heater 
must be located in an area protected from drafts of more than 50 ft/min. 
Prior to beginning the steady-state verification period and the standby 
loss test, measure the air draft within three feet of the jacket or 
enclosure of the water heater to ensure this condition is met. Ensure 
that no other changes that would increase the air draft are made to the 
test set-up or conditions during the conduct of the tests.
    3.6. Setting the Tank Thermostat. Before starting the steady-state 
verification period (as applicable) or before the soak-in period (as 
applicable), the thermostat setting must first be obtained by starting 
with the water in the system at 70 [deg]F  2 
[deg]F. Set the thermostat to ensure:
    3.6.1. With the supply water temperature set as per section 3.1.2 of 
this appendix (i.e., 70 [deg]F  2 [deg]F), the 
water flow rate can be varied so that the outlet water temperature is 
constant at 70 [deg]F  2 [deg]F above the supply 
water temperature while the burner is firing at full firing rate; and
    3.6.2. After the water supply is turned off and the thermostat 
reduces the fuel supply to a minimum, the maximum water temperature 
measured by the topmost tank temperature sensor (i.e., the highest of 
the 6 temperature sensors used for calculating mean tank temperature, as 
required by section 2.3 of this appendix) is 140 [deg]F  5 [deg]F.
    3.7. Additional Requirements for Oil-Fired Equipment.
    3.7.1. 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.
    3.7.2. Oil Supply. Adjust the burner rate so that the following 
conditions are met:
    3.7.2.1. The CO2 reading is within the range specified by 
the manufacturer;
    3.7.2.2. The fuel pump pressure is within  10 
percent of manufacturer's specifications;
    3.7.2.3. If either the fuel pump pressure or range for 
CO2 reading are not specified by the manufacturer on the 
nameplate of the unit, in literature shipped with the unit, or in 
supplemental test report instructions included with a certification 
report, then a default value of 100 psig is to be used for fuel pump 
pressure, and a default range of 9-12 percent is to be used for 
CO2 reading; and
    3.7.2.4. Smoke in the flue does not exceed No. 1 smoke as measured 
by the procedure in ASTM D2156-09 (Reapproved 2013) (incorporated by 
reference, see Sec.  431.105). To determine the smoke spot number, 
connect the smoke measuring device to an open-ended tube. This tube must 
project into the flue \1/4\ to \1/2\ of the pipe diameter.
    3.7.2.5. If no settings on the water heater have been changed and 
the water heater has not been turned off since the end of a previously 
run thermal efficiency or standby loss test, measurement of the 
CO2 reading and conduct of the smoke spot test are not 
required prior to beginning a test. Otherwise, measure the 
CO2 reading and determine the smoke spot number, with the 
burner firing, before the beginning of the steady-state verification 
period prior to the thermal efficiency test, and prior to beginning the 
standby loss test.
    3.8. Data Collection Intervals. Follow the data recording intervals 
specified in the following sections.
    3.8.1. Soak-In Period. For units that require a soak-in period, 
measure the ambient room temperature, in [deg]F, prior to beginning the 
soak-in period.
    3.8.2. Steady-State Verification Period and Thermal Efficiency Test. 
For the steady-state verification period and the thermal efficiency 
test, follow the data recording intervals specified in Table 3.1 of this 
appendix.

[[Page 135]]



  Table 3.1--Data To Be Recorded Before and During the Steady-State Verification Period and Thermal Efficiency
                                                      Test
----------------------------------------------------------------------------------------------------------------
                                         Before steady-state
            Item recorded                verification period       Every 1 minute \a\        Every 10 minutes
----------------------------------------------------------------------------------------------------------------
Gas supply pressure, in w.c.........  X.......................
Gas outlet pressure, in w.c.........  X.......................
Barometric pressure, in Hg..........  X.......................
Fuel higher heating value, Btu/ft\3\  X.......................
 (gas) or Btu/lb (oil).
Oil pump pressure, psig (oil only)..  X.......................
CO2 reading, % (oil only)...........   X \b\..................
Oil smoke spot reading (oil only)...   X \b\..................
Air draft, ft/min...................  X.......................
Time, minutes/seconds...............  ........................  X......................
Fuel weight or volume, lb (oil) or    ........................  .......................  X \c\
 ft\3\ (gas).
Supply water temperature (TSWT),      ........................  X......................
 [deg]F.
Outlet water temperature (TOWT),      ........................  X......................
 [deg]F.
Ambient room temperature, [deg]F....  ........................  X......................
Test air temperature, [deg]F........  ........................  X......................
Water flow rate, (gpm)..............  ........................  X......................
----------------------------------------------------------------------------------------------------------------
Notes:
\a\ These measurements are to be recorded at the start of the steady-state verification period and the end of
  the thermal efficiency test, as well as every minute during both periods.
\b\ The smoke spot test and CO2 reading are not required prior to beginning the steady-state verification period
  if no settings on the water heater have been changed and the water heater has not been turned off since the
  end of a previously-run efficiency test (i.e., thermal efficiency or standby loss).
\c\ Fuel and electricity consumption over the course of the entire thermal efficiency test must be measured and
  used in calculation of thermal efficiency.

    3.8.3. Standby Loss Test. For the standby loss test, follow the data 
recording intervals specified in Table 3.2 of this appendix. 
Additionally, the fuel and electricity consumption over the course of 
the entire test must be measured and used in calculation of standby 
loss.

 Table 3.2--Data To Be Recorded Before and During the Standby Loss Test
------------------------------------------------------------------------
         Item recorded               Before test      Every 1 minute \a\
------------------------------------------------------------------------
Gas supply pressure, in w.c....  X..................
Gas outlet pressure, in w.c....  X..................
Barometric pressure, in Hg.....  X..................
Fuel higher heating value, Btu/  X..................
 ft \3\ (gas) or Btu/lb (oil).
Oil pump pressure, psig (oil     X..................
 only).
CO2 reading, % (oil only)......  X \b\..............
Oil smoke spot reading (oil      X \b\..............
 only).
Air draft, ft/min..............  X..................
Time, minutes/seconds..........  ...................  X
Mean tank temperature, [deg]F..  ...................  X \c\
Ambient room temperature,        ...................  X
 [deg]F.
Test air temperature, [deg]F...  ...................  X
------------------------------------------------------------------------
Notes:
\a\ These measurements are to be recorded at the start and end of the
  test, as well as every minute during the test.
\b\ The smoke spot test and CO2 reading are not required prior to
  beginning the standby loss test if no settings on the water heater
  have been changed and the water heater has not been turned off since
  the end of a previously-run efficiency test (i.e., thermal efficiency
  or standby loss).
\c\ Mean tank temperature is calculated as the average of the 6 tank
  temperature sensors, installed per section 2.3 of this appendix.

    4. Determination of Storage Volume. Determine the storage volume by 
subtracting the tare weight, measured while the system is dry and empty, 
from the weight of the system when filled with water and dividing the 
resulting net weight of water by the density of water at the measured 
water temperature. The volume of the water contained in the water heater 
must be computed in gallons.
    5. Thermal Efficiency Test. Before beginning the steady-state 
verification period, record the applicable parameters as specified in 
section 3.8.2 of this appendix. Begin drawing water from the unit by 
opening the main supply, and adjust the water flow rate to achieve an 
outlet water temperature of 70 [deg]F  2 [deg]F 
above supply water temperature. The thermal efficiency test shall be 
deemed complete when there is a continuous, one-hour-long period where 
the steady-state conditions specified in section 5.1 of this appendix 
have been met, as confirmed by consecutive readings of the relevant 
parameters recorded at 1-minute intervals (except for fuel input rate, 
which is determined at 10-minute intervals, as specified in section 5.4 
of this appendix). During the one-hour-long period, the water heater 
must fire continuously at its full firing rate (i.e., no modulations or 
cut-outs) and no settings can be changed on the unit being tested at any 
time. The first 30

[[Page 136]]

minutes of the one-hour-period where the steady-state conditions in 
section 5.1 of this appendix are met is the steady-state verification 
period. The final 30 minutes of the one-hour-period where the steady-
state conditions in section 5.1 of this appendix are met is the thermal 
efficiency test. The last reading of the steady-state verification 
period must be the first reading of the thermal efficiency test (i.e., 
the thermal efficiency test starts immediately once the steady-state 
verification period ends).
    5.1. Steady-State Conditions. The following conditions must be met 
at consecutive readings taken at 1-minute intervals (except for fuel 
input rate, for which measurements are taken at 10-minute intervals) to 
verify the water heater has achieved steady-state operation during the 
steady-state verification period and thermal efficiency test.
    5.1.1. The water flow rate must be maintained within  0.25 gallons per minute (gpm) of the initial reading at 
the start of the steady-state verification period;
    5.1.2. Outlet water temperature must be maintained at 70 [deg]F 
 2 [deg]F above supply water temperature;
    5.1.3. Fuel input rate must be maintained within  2 percent of the rated input certified by the 
manufacturer;
    5.1.4. The supply water temperature must be maintained within  0.50 [deg]F of the initial reading at the start of the 
steady-state verification period; and
    5.1.5. The rise between the supply and outlet water temperatures 
must be maintained within  0.50 [deg]F of its 
initial value taken at the start of the steady-state verification period 
for units with rated input less than 500,000 Btu/h, and maintained 
within  1.00 [deg]F of its initial value for units 
with rated input greater than or equal to 500,000 Btu/h.
    5.2. Water Flow Measurement. Measure the total weight of water 
heated during the 30-minute thermal efficiency test with either a scale 
or a water flow meter. With either method, the error of measurement of 
weight of water heated must not exceed 1 percent of the weight of the 
total draw.
    5.3. Determination of Fuel Input Rate. During the steady-state 
verification period and the thermal efficiency test, record the fuel 
consumed at 10-minute intervals. Calculate the fuel input rate over each 
10-minute period using the equations in section 5.4 of this appendix. 
The measured fuel input rates for these 10-minute periods must not vary 
by more than  2 percent between any two readings. 
Determine the overall fuel input rate using the fuel consumption for the 
entire duration of the thermal efficiency test.
    5.4. Fuel Input Rate Calculation. To calculate the fuel input rate, 
use the following equation:
[GRAPHIC] [TIFF OMITTED] TR10NO16.014

Where,

Q = Fuel input rate, expressed in Btu/h
Qs = Total fuel flow as metered, expressed in ft\3\ for gas-
          fired equipment and lb for oil-fired equipment
Cs = Correction applied to the heating value of a gas H, when 
          it is metered at temperature and/or pressure conditions other 
          than the standard conditions for which the value of H is 
          based. Cs=1 for oil-fired equipment.
H = Higher heating value of fuel, expressed in Btu/ft\3\ for gas-fired 
          equipment and Btu/lb for oil-fired equipment.
t = Duration of measurement of fuel consumption

    5.5. Thermal Efficiency Calculation. Thermal efficiency must be 
calculated using data from the 30-minute thermal efficiency test. 
Calculate thermal efficiency, Et, using the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR10NO16.015

Where,
K = 1.004 Btu/lb[middot] [deg]F, the nominal specific heat of water at 
          105 [deg]F
W = Total weight of water heated, expressed in lb
[thetas]1 = Average supply water temperature, expressed in 
          [deg]F
[thetas]2 = Average outlet water temperature, expressed in 
          [deg]F

[[Page 137]]

Q = Total fuel flow as metered, expressed in ft\3\ for gas-fired 
          equipment and lb for oil-fired equipment.
Cs = Correction applied to the heating value of a gas H, when 
          it is metered at temperature and/or pressure conditions other 
          than the standard conditions for which the value of H is 
          based. Cs=1 for oil-fired equipment
H. = Higher heating value of the fuel, expressed in Btu/ft\3\ for gas-
          fired equipment and Btu/lb for oil-fired equipment.
Ec = Electrical consumption of the water heater and, when 
          used, the test set-up recirculating pump, expressed in Btu

                          6. Standby Loss Test

    6.1. If no settings on the water heater have changed and the water 
heater has not been turned off since a previously run thermal efficiency 
or standby loss test, skip to section 6.3 of this appendix. Otherwise, 
conduct the soak-in period according to section 6.2 of this appendix.
    6.2. Soak-In Period. Conduct a soak-in period, in which the water 
heater must sit without any draws taking place for at least 12 hours. 
Begin the soak-in period after setting the tank thermostat as specified 
in section 3.6 of this appendix, and maintain these thermostat settings 
throughout the soak-in period.
    6.3. Begin the standby loss test at the first cut-out following the 
end of the soak-in period (if applicable); or at a cut-out following the 
previous thermal efficiency or standby loss test (if applicable). Allow 
the water heater to remain in standby mode. Do not change any settings 
on the water heater at any point until measurements for the standby loss 
test are finished. Begin recording the applicable parameters specified 
in section 3.8.3 of this appendix.
    6.4. At the second cut-out, record the time and ambient room 
temperature, and begin measuring the fuel and electricity consumption. 
Record the initial mean tank temperature and initial ambient room 
temperature. For the remainder of the test, continue recording the 
applicable parameters specified in section 3.8.3 of this appendix.
    6.5. Stop the test after the first cut-out that occurs after 24 
hours, or at 48 hours, whichever comes first.
    6.6. Immediately after conclusion of the standby loss test, record 
the total fuel flow and electrical energy consumption, the final ambient 
room temperature, the duration of the standby loss test, and if the test 
ends at 48 hours without a cut-out, the final mean tank temperature, or 
if the test ends after a cut-out, the maximum mean tank temperature that 
occurs after the cut-out. Calculate the average of the recorded values 
of the mean tank temperature and of the ambient room temperature taken 
at each measurement interval, including the initial and final values.
    6.7. Standby Loss Calculation. To calculate the standby loss, follow 
the steps below:
    6.7.1. The standby loss expressed as a percentage (per hour) of the 
heat content of the stored water above room temperature must be 
calculated using the following equation:
[GRAPHIC] [TIFF OMITTED] TR10NO16.016

Where,
[Delta]T3 = Average value of the mean tank temperature minus 
          the average value of the ambient room temperature, expressed 
          in [deg]F
[Delta]T4 = Final mean tank temperature measured at the end 
          of the test minus the initial mean tank temperature measured 
          at the start of the test , expressed in [deg]F
k = 8.25 Btu/gallon[middot] [deg]F, the nominal specific heat of water
Va = Volume of water contained in the water heater in gallons 
          measured in accordance with section 4 of this appendix
Et = Thermal efficiency of the water heater determined in 
          accordance with this appendix, expressed in %
Ec = Electrical energy consumed by the water heater during 
          the duration of the test in Btu
t = Total duration of the test in hours
Cs = Correction applied to the heating value of a gas H, when 
          it is metered at temperature and/or pressure conditions other 
          than the standard conditions for which the value of H is 
          based. Cs=1 for oil-fired equipment.
Qs = Total fuel flow as metered, expressed in ft\3\ (gas) or 
          lb (oil)
H = Higher heating value of fuel, expressed in Btu/ft\3\ (gas) or Btu/lb 
          (oil)
S = Standby loss, the average hourly energy required to maintain the 
          stored water temperature expressed as a percentage of the heat 
          content of the stored water above room temperature


[[Page 138]]


    6.7.2. The standby loss expressed in Btu per hour must be calculated 
as follows:
    SL (Btu per hour) = S (% per hour) x 8.25 (Btu/gal- [deg]F) x 
Measured Volume (gal) x 70 ( [deg]F).
    Where, SL refers to the standby loss of the water heater, defined as 
the amount of energy required to maintain the stored water temperature 
expressed in Btu per hour

[81 FR 79323, Nov. 10, 2016]



 Sec. Appendix B to Subpart G of Part 431--Uniform Test Method for the 
   Measurement of Standby Loss of Electric Storage Water Heaters and 
                Storage-Type Instantaneous Water Heaters

    Note: Prior to November 6, 2017, manufacturers must make any 
representations with respect to the energy use or efficiency of the 
subject commercial water heating equipment in accordance with the 
results of testing pursuant to this appendix or the procedures in 10 CFR 
431.106 that were in place on January 1, 2016. On and after November 6, 
2017, manufacturers must make any representations with respect to energy 
use or efficiency of electric storage water heaters and storage-type 
instantaneous water heaters in accordance with the results of testing 
pursuant to this appendix to demonstrate compliance with the energy 
conservation standards at 10 CFR 431.110.

                               1. General

    Determine the standby loss in accordance with the following sections 
of this appendix. Certain sections reference sections of Annex E.1 of 
ANSI Z21.10.3-2015 (incorporated by reference; see Sec.  431.105). Where 
the instructions contained in the sections below conflict with 
instructions in Annex E.1 of ANSI Z21.10.3-2015, the instructions 
contained in this appendix control.

                             2. Test Set-Up

    2.1. Placement of Water Heater. A water heater for installation on 
combustible floors must be placed on a \3/4\-inch plywood platform 
supported by three 2 x 4-inch runners. If the water heater is for 
installation on noncombustible floors, suitable noncombustible material 
must be placed on the platform. When the use of the platform for a large 
water heater is not practical, the water heater may be placed on any 
suitable flooring. A wall-mounted water heater must be mounted on a 
simulated wall section.
    2.2. Installation of Temperature Sensors. Inlet and outlet piping 
must be turned vertically downward from the connections on a tank-type 
water heater so as to form heat traps. Temperature sensors for measuring 
supply water temperature must be installed upstream of the inlet heat 
trap piping, in accordance with Figure 2.1, 2.2, or 2.3 (as applicable) 
of this appendix.
    The water heater must meet the requirements shown in either Figure 
2.1, 2.2, or 2.3 (as applicable) at all times during the conduct of the 
standby loss test. Any factory-supplied heat traps must be installed per 
the installation instructions while ensuring the requirements in Figure 
2.1, 2.2, or 2.3 are met. All dimensions specified in Figure 2.1, 2.2, 
and 2.3 are measured from the outer surface of the pipes and water 
heater outer casing (as applicable).

[[Page 139]]

[GRAPHIC] [TIFF OMITTED] TR10NO16.017


[[Page 140]]


[GRAPHIC] [TIFF OMITTED] TR10NO16.018

    2.3. Installation of Temperature Sensors for Measurement of Mean 
Tank Temperature. Install temperature sensors inside the tank for 
measurement of mean tank temperature according to the instructions in 
paragraph f of Annex E.1 of ANSI Z21.10.3-2015 (incorporated by 
reference; see Sec.  431.105 rt). Calculate the mean tank temperature as 
the average of the six installed temperature sensors.
    2.4. Piping Insulation. Insulate all water piping external to the 
water heater jacket, including heat traps and piping that is installed 
by the manufacturer or shipped with the unit, for at least 4 ft of 
piping length from the connection at the appliance, with material having 
an R-value not less than 4 [deg]F[middot]ft\2\[middot]h/Btu. Ensure that 
the insulation does not contact any appliance surface except at the 
location where the pipe connections penetrate the appliance jacket or 
enclosure.
    2.5. Temperature and Pressure Relief Valve Insulation. If the 
manufacturer or has not provided a temperature and pressure relief 
valve, one shall be installed and insulated as specified in section 2.4 
of this appendix.
    2.6. Energy Consumption. Install equipment that determines, within 
 1 percent, the quantity of electricity consumed 
by factory-supplied water heater components.

                           3. Test Conditions

                            3.1. Water Supply

    3.1.1. Water Supply Pressure. The pressure of the water supply must 
be maintained between 40 psi and the maximum pressure specified by the 
manufacturer of the unit being tested. The accuracy of the pressure-
measuring devices must be within  1.0 pounds per 
square inch (psi).
    3.1.2. Water Supply Temperature. When filling the tank with water 
prior to the soak-in period, maintain the supply water temperature at 70 
[deg]F  2 [deg]F.
    3.1.3. Isolate the water heater using a shutoff valve in the supply 
line with an expansion tank installed in the supply line downstream of 
the shutoff valve. There must be no shutoff means between the expansion 
tank and the appliance inlet.
    3.2. Electrical Supply. Maintain the electrical supply voltage to 
within  5 percent of the voltage specified on the 
water heater nameplate. If a voltage range is specified on the 
nameplate, maintain the voltage to within  5 
percent of the center of the voltage range specified on the nameplate.
    3.3. Ambient Room Temperature. During the soak-in period and the 
standby loss test, maintain the ambient room temperature at 75 [deg]F 
 10 [deg]F at all times. Measure the ambient room 
temperature at 1-minute intervals during these periods, except for the 
soak-in period. Measure the ambient room temperature once before 
beginning the soak-in period, and ensure no actions are taken during the 
soak-in period that would cause the ambient room temperature to deviate 
from the allowable range. Measure the ambient room temperature at the 
vertical mid-point of the water heater and approximately 2 feet from the 
water heater jacket. Shield the sensor against radiation. Calculate the 
average ambient room temperature for the standby loss test. During the 
standby loss test, the ambient room temperature must not vary by

[[Page 141]]

more than  5.0 [deg]F at any reading from the 
average ambient room temperature.
    3.4. Maximum Air Draft. During the standby loss test, the water 
heater must be located in an area protected from drafts of more than 50 
ft/min. Prior to beginning the standby loss test, measure the air draft 
within three feet of the jacket of the water heater to ensure this 
condition is met. Ensure that no other changes that would increase the 
air draft are made to the test set-up or conditions during the conduct 
of the test.
    3.5. Setting the Tank Thermostat(s). Before starting the required 
soak-in period, the thermostat setting(s) must first be obtained as 
explained in the following sections. The thermostat setting(s) must be 
obtained by starting with the tank full of water at 70 [deg]F  2 [deg]F. After the tank is completely filled with 
water at 70 [deg]F  2 [deg]F, turn off the water 
flow, and set the thermostat(s) as follows.
    3.5.1. For water heaters with a single thermostat, the thermostat 
setting must be set so that the maximum mean tank temperature after cut-
out is 140 [deg]F  5 [deg]F.
    3.5.2. For water heaters with multiple adjustable thermostats, set 
only the topmost and bottommost thermostats, and turn off any other 
thermostats for the duration of the standby loss test. Set the topmost 
thermostat first to yield a maximum mean water temperature after cut-out 
of 140 [deg]F  5 [deg]F, as calculated using only 
the temperature readings measured at locations in the tank higher than 
the heating element corresponding to the topmost thermostat (the 
lowermost heating element corresponding to the topmost thermostat if the 
thermostat controls more than one element). While setting the topmost 
thermostat, all lower thermostats must be turned off so that no elements 
below that (those) corresponding to the topmost thermostat are in 
operation. After setting the topmost thermostat, set the bottommost 
thermostat to yield a maximum mean water temperature after cut-out of 
140 [deg]F  5 [deg]F. When setting the bottommost 
thermostat, calculate the mean tank temperature using all the 
temperature sensors installed in the tank as per section 2.3 of this 
appendix.
    3.6. Data Collection Intervals. Follow the data recording intervals 
specified in the following sections.
    3.6.1. Soak-In Period. Measure the ambient room temperature, in 
[deg]F, every minute during the soak-in period.
    3.6.2. Standby Loss Test. Follow the data recording intervals 
specified in Table 3.1 of this appendix. Additionally, the electricity 
consumption over the course of the entire test must be measured and used 
in calculation of standby loss.

 Table 3.1--Data To Be Recorded Before and During the Standby Loss Test
------------------------------------------------------------------------
         Item recorded               Before test      Every 1 minute \a\
------------------------------------------------------------------------
Air draft, ft/min..............  X..................
Time, minutes/seconds..........  ...................  X
Mean tank temperature, [deg]F..  ...................  X \b\
Ambient room temperature,        ...................  X
 [deg]F.
------------------------------------------------------------------------
Notes:
\a\ These measurements are to be recorded at the start and end of the
  test, as well as every minute during the test.
\b\ Mean tank temperature is calculated as the average of the 6 tank
  temperature sensors, installed per section 2.3 of this appendix.

    4. Determination of Storage Volume. Determine the storage volume by 
subtracting the tare weight, measured while the system is dry and empty, 
from the weight of the system when filled with water and dividing the 
resulting net weight of water by the density of water at the measured 
water temperature. The volume of water contained in the water heater 
must be computed in gallons.

                          5. Standby Loss Test

    5.1. If no settings on the water heater have changed and the water 
heater has not been turned off since a previously run standby loss test, 
skip to section 5.3 of this appendix. Otherwise, conduct the soak-in 
period according to section 5.2 of this appendix.
    5.2. Soak-In Period. Conduct a soak-in period, in which the water 
heater must sit without any draws taking place for at least 12 hours. 
Begin the soak-in period after setting the tank thermostat(s) as 
specified in section 3.5 of this appendix, and maintain these settings 
throughout the soak-in period.
    5.3. Begin the standby loss test at the first cut-out following the 
end of the soak-in period (if applicable), or at a cut-out following the 
previous standby loss test (if applicable). Allow the water heater to 
remain in standby mode. At this point, do not change any settings on the 
water heater until measurements for the standby loss test are finished. 
Begin recording applicable parameters as specified in section 3.6.2 of 
this appendix.
    5.4. At the second cut-out, record the time and ambient room 
temperature, and begin measuring the electric consumption. Record the 
initial mean tank temperature and initial ambient room temperature. For 
the remainder of the test, continue recording the applicable parameters 
specified in section 3.6.2 of this appendix.
    5.5. Stop the test after the first cut-out that occurs after 24 
hours, or at 48 hours, whichever comes first.
    5.6. Immediately after conclusion of the standby loss test, record 
the total electrical energy consumption, the final ambient room 
temperature, the duration of the standby

[[Page 142]]

loss test, and if the test ends at 48 hours without a cut-out, the final 
mean tank temperature, or if the test ends after a cut-out, the maximum 
mean tank temperature that occurs after the cut-out. Calculate the 
average of the recorded values of the mean tank temperature and of the 
ambient air temperatures taken at each measurement interval, including 
the initial and final values.
    5.7. Standby Loss Calculation. To calculate the standby loss, follow 
the steps below:
    5.7.1 The standby loss expressed as a percentage (per hour) of the 
heat content of the stored water above room temperature must be 
calculated using the following equation:
[GRAPHIC] [TIFF OMITTED] TR10NO16.019

Where,
[Delta]T3 = Average value of the mean tank temperature minus 
          the average value of the ambient room temperature, expressed 
          in [deg]F
[Delta]T4 = Final mean tank temperature measured at the end 
          of the test minus the initial mean tank temperature measured 
          at the start of the test, expressed in [deg]F
k = 8.25 Btu/gallon[middot] [deg]F, the nominal specific heat of water
Va = Volume of water contained in the water heater in gallons 
          measured in accordance with section 4 of this appendix
Et = Thermal efficiency = 98 percent for electric water 
          heaters with immersed heating elements
Ec = Electrical energy consumed by the water heater during 
          the duration of the test in Btu
t = Total duration of the test in hours
S = Standby loss, the average hourly energy required to maintain the 
          stored water temperature expressed as a percentage of the heat 
          content of the stored water above room temperature

[81 FR 79328, Nov. 10, 2016]



 Sec. Appendix C to Subpart G of Part 431--Uniform Test Method for the 
Measurement of Thermal Efficiency and Standby Loss of Gas-Fired and Oil-
 Fired Instantaneous Water Heaters and Hot Water Supply Boilers (Other 
             Than Storage-Type Instantaneous Water Heaters)

    Note: Prior to November 6, 2017, manufacturers must make any 
representations with respect to the energy use or efficiency of the 
subject commercial water heating equipment in accordance with the 
results of testing pursuant to this appendix or the procedures in 10 CFR 
431.106 that were in place on January 1, 2016. On and after November 6, 
2017, manufacturers must make any representations with respect to energy 
use or efficiency of gas-fired and oil-fired instantaneous water heaters 
and hot water supply boilers (other than storage-type instantaneous 
water heaters) in accordance with the results of testing pursuant to 
this appendix to demonstrate compliance with the energy conservation 
standards at 10 CFR 431.110.

                               1. General

    Determine the thermal efficiency and standby loss (as applicable) in 
accordance with the following sections of this appendix. Certain 
sections reference sections of Annex E.1 of ANSI Z21.10.3-2015 
(incorporated by reference; see Sec.  431.105). Where the instructions 
contained in the sections below conflict with instructions in Annex E.1 
of ANSI Z21.10.3-2015, the instructions contained in this appendix 
control.

                             2. Test Set-Up

    2.1. Placement of Water Heater. A water heater for installation on 
combustible floors must be placed on a \3/4\-inch plywood platform 
supported by three 2 x 4-inch runners. If the water heater is for 
installation on noncombustible floors, suitable noncombustible material 
must be placed on the platform. When the use of the platform for a large 
water heater is not practical, the water heater may be placed on any 
suitable flooring. A wall-mounted water heater must be mounted on a 
simulated wall section.
    2.2. Test Configuration. If the instantaneous water heater or hot 
water supply boiler is not required to be tested using a recirculating 
loop, then set up the unit in accordance with Figures 2.1, 2.2, or 2.3 
of this appendix (as applicable). If the unit is required to be tested 
using a recirculating loop, then set up the unit as per Figure 2.4 of 
this appendix.

[[Page 143]]

[GRAPHIC] [TIFF OMITTED] TR10NO16.020


[[Page 144]]


[GRAPHIC] [TIFF OMITTED] TR10NO16.021

    2.2.1. If the instantaneous water heater or hot water supply boiler 
does not have any external piping, install an outlet water valve within 
10 inches of piping length of the water heater jacket or enclosure. If 
the instantaneous water heater or hot water supply boiler includes 
external piping assembled at the manufacturer's premises prior to 
shipment,

[[Page 145]]

install water valves in the outlet piping within 5 inches of the end of 
the piping supplied with the unit.
    2.2.2. If the water heater is not able to achieve an outlet water 
temperature of 70 [deg]F  2 [deg]F 
(TOWT) above the supply water temperature at full firing 
rate, a recirculating loop with pump as shown in Figure 2.4 of this 
appendix must be used.
    2.2.2.1. If a recirculating loop with a pump is used, then ensure 
that the inlet water temperature labeled as TIWT in Figure 
2.4 of this appendix, is greater than or equal to 70 [deg]F and less 
than or equal to 120 [deg]F at all times during the thermal efficiency 
test and steady-state verification period (as applicable).

                2.3. Installation of Temperature Sensors

    2.3.1. Without Recirculating Loop.
    2.3.1.1. Vertical Connections. Use Figure 2.1 (for top connections) 
and 2.2 (for bottom connections) of this appendix.
    2.3.1.2. Horizontal Connections. Use Figure 2.3 of this appendix.
    2.3.2. With Recirculating Loop. Set up the recirculating loop as 
shown in Figure 2.4 of this appendix.
    2.3.3. For water heaters with multiple outlet water connections 
leaving the water heater jacket that are required to be operated to 
achieve the rated input, temperature sensors must be installed for each 
outlet water connection leaving the water heater jacket or enclosure 
that is used during testing, in accordance with the provisions in 
sections 2.3.1 and 2.3.2 of this appendix (as applicable).
    2.4. Piping Insulation. Insulate all water piping external to the 
water heater jacket or enclosure, including piping that is installed by 
the manufacturer or shipped with the unit, for at least 4 ft of piping 
length from the connection at the appliance with material having an R-
value not less than 4 [deg]F[middot]ft\2\[middot]h/Btu. Ensure that the 
insulation does not contact any appliance surface except at the location 
where the pipe connections penetrate the appliance jacket or enclosure.
    2.5. Temperature and Pressure Relief Valve Insulation. If the 
manufacturer has not provided a temperature and pressure relief valve, 
one shall be installed and insulated as specified in section 2.4 of this 
appendix. The temperature and pressure relief valve must be installed in 
the outlet water piping, between the unit being tested and the outlet 
water valve.
    2.6. Vent Requirements. Follow the requirements for venting 
arrangements specified in paragraph c of Annex E.1 of ANSI Z21.10.3-2015 
(incorporated by reference; see Sec.  431.105).
    2.7. Energy Consumption. Install equipment that determines, within 
 1 percent:
    2.7.1. The quantity and rate of fuel consumed.
    2.7.2. The quantity of electricity consumed by factory-supplied 
water heater components, and of the test loop recirculating pump, if 
used.

                           3. Test Conditions

                            3.1. Water Supply

    3.1.1. Water Supply Pressure. The pressure of the water supply must 
be maintained between 40 psi and the maximum pressure specified by the 
manufacturer of the unit being tested. The accuracy of the pressure-
measuring devices must be within  1.0 psi.
    3.1.2. Water Supply Temperature. During the thermal efficiency test 
and steady-state verification period (as applicable), the temperature of 
the supply water (TSWT) must be maintained at 70 [deg]F 
 2 [deg]F.
    3.2. Gas Pressure for Gas-Fired Equipment. The supply gas pressure 
must be within the range specified by the manufacturer on the nameplate 
of the unit being tested. The difference between the outlet pressure of 
the gas appliance pressure regulator and the value specified by the 
manufacturer on the nameplate of the unit being tested must not exceed 
the greater of:  10 percent of the nameplate value 
or  0.2 inches water column (in. w.c.). Obtain the 
higher heating value of the gas burned.
    3.3. Ambient Room Temperature. Maintain the ambient room temperature 
at 75 [deg]F  10 [deg]F at all times during the 
steady-state verification period, the thermal efficiency test, and the 
standby loss test (as applicable). Measure the ambient room temperature 
at 1-minute intervals during these periods. Measure the ambient room 
temperature at the vertical mid-point of the water heater and 
approximately 2 feet from the water heater jacket or enclosure. Shield 
the sensor against radiation. Calculate the average ambient room 
temperature separately for the thermal efficiency test and the standby 
loss test. During the thermal efficiency and standby loss tests, the 
ambient room temperature must not vary by more than  5.0 [deg]F at any reading from the average ambient room 
temperature.
    3.4. Test Air Temperature. During the steady-state verification 
period, the thermal efficiency test, and the standby loss test (as 
applicable), the test air temperature must not vary by more than  5 [deg]F from the ambient room temperature at any 
reading. Measure the test air temperature at 1-minute intervals during 
these periods and at a location within two feet of the air inlet of the 
water heater or the combustion air intake vent, as applicable. Shield 
the sensor against radiation. For units with multiple air inlets, 
measure the test air temperature at each air inlet, and maintain the 
specified tolerance on deviation from the ambient room temperature at 
each air inlet. For units without a dedicated air inlet, measure the 
test air

[[Page 146]]

temperature within two feet of any location on the water heater where 
combustion air is drawn.
    3.5. Maximum Air Draft. During the steady-state verification period, 
the thermal efficiency test, and the standby loss test (as applicable), 
the water heater must be located in an area protected from drafts of 
more than 50 ft/min. Prior to beginning the steady-state verification 
period and the standby loss test, measure the air draft within three 
feet of the jacket or enclosure of the water heater to ensure this 
condition is met. Ensure that no other changes that would increase the 
air draft are made to the test set-up or conditions during the conduct 
of the tests.

                          3.6. Primary Control

    3.6.1. Thermostatically-Activated Water Heaters With an Internal 
Thermostat. Before starting the thermal efficiency test and the standby 
loss test (unless the thermostat is already set before the thermal 
efficiency test), the thermostat setting must be obtained. Set the 
thermostat to ensure:
    3.6.1.1. With supply water temperature set as per section 3.1.2 of 
this appendix (i.e., 70 [deg]F  2 [deg]F) the 
water flow rate can be varied so that the outlet water temperature is 
constant at 70 [deg]F  2 [deg]F above the supply 
water temperature, while the burner is firing at full firing rate; and
    3.6.1.2. After the water supply is turned off and the thermostat 
reduces the fuel supply to a minimum, the maximum heat exchanger outlet 
water temperature (TOHX) is 140 [deg]F  
5 [deg]F.
    3.6.1.3. If the water heater includes a built-in safety mechanism 
that prevents it from achieving a heat exchanger outlet water 
temperature of 140 [deg]F  5 [deg]F, adjust the 
thermostat to its maximum setting.
    3.6.2. Flow-Activated Instantaneous Water Heaters and 
Thermostatically-Activated Instantaneous Water Heaters With an External 
Thermostat. Energize the primary control such that it is always calling 
for heating and the burner is firing at the full firing rate. Maintain 
the supply water temperature as per section 3.1.2 of this appendix 
(i.e., 70 [deg]F  2 [deg]F). Set the control so 
that the outlet water temperature (TOWT) is 140 [deg]F  5 [deg]F. If the water heater includes a built-in 
safety mechanism that prevents it from achieving a heat exchanger outlet 
water temperature of 140 [deg]F  5 [deg]F, adjust 
the control to its maximum setting.

            3.7. Units With Multiple Outlet Water Connections

    3.7.1. For each connection leaving the water heater that is required 
for the unit to achieve the rated input, the outlet water temperature 
must not differ from that of any other outlet water connection by more 
than 2 [deg]F during the steady-state verification period and thermal 
efficiency test.
    3.7.2. Determine the outlet water temperature representative for the 
entire unit at every required measurement interval by calculating the 
average of the outlet water temperatures measured at each connection 
leaving the water heater jacket or enclosure that is used during 
testing. Use the outlet water temperature representative for the entire 
unit in all calculations for the thermal efficiency and standby loss 
tests, as applicable.
    3.8. Additional Requirements for Oil-Fired Equipment.
    3.8.1. 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.
    3.8.2. Oil Supply. Adjust the burner rate so that the following 
conditions are met:
    3.8.2.1. The CO2 reading is within the range specified by 
the manufacturer;
    3.8.2.2. The fuel pump pressure is within  10 
percent of manufacturer's specifications;
    3.8.2.3. If either the fuel pump pressure or range for 
CO2 reading are not specified by the manufacturer on the 
nameplate of the unit, in literature shipped with the unit, or in 
supplemental test report instructions included with a certification 
report, then a default value of 100 psig is to be used for fuel pump 
pressure, and a default range of 9-12 percent is to be used for 
CO2 reading; and
    3.8.2.4. Smoke in the flue does not exceed No. 1 smoke as measured 
by the procedure in ASTM D2156-09 (Reapproved 2013) (incorporated by 
reference, see Sec.  431.105). To determine the smoke spot number, the 
smoke measuring device shall be connected to an open-ended tube. This 
tube must project into the flue \1/4\ to \1/2\ of the pipe diameter.
    3.8.2.5. If no settings on the water heater have been changed and 
the water heater has not been turned off since the end of a previously 
run thermal efficiency (or standby loss test for thermostatically-
activated instantaneous water heaters with an internal thermostat), 
measurement of the CO2 reading and conduct of the smoke spot 
test are not required prior to beginning a test. Otherwise, measure the 
CO2 reading and determine the smoke spot number, with the 
burner firing, before beginning measurements for the steady-state 
verification period (prior to beginning the thermal efficiency test or 
standby loss test, as applicable). However, measurement of the 
CO2 reading and conduct of the smoke spot test are not 
required for the standby loss test for thermostatically-activated 
instantaneous water heaters with an external thermostat and flow-
activated instantaneous water heaters.
    3.9. Data Collection Intervals. Follow the data recording intervals 
specified in the following sections.

[[Page 147]]

    3.9.1. Steady-State Verification Period and Thermal Efficiency Test. 
For the steady-state verification period and the thermal efficiency 
test, follow the data recording intervals specified in Table 3.1 of this 
appendix. These data recording intervals must also be followed if 
conducting a steady-state verification period prior to conducting the 
standby loss test.

  Table 3.1--Data To Be Recorded Before and During the Steady-State Verification Period and Thermal Efficiency
                                                      Test
----------------------------------------------------------------------------------------------------------------
                                         Before steady-state
            Item recorded                verification period       Every 1 minute \a\        Every 10 minutes
----------------------------------------------------------------------------------------------------------------
Gas supply pressure, in w.c.........  X.......................
Gas outlet pressure, in w.c.........  X.......................
Barometric pressure, in Hg..........  X.......................
Fuel higher heating value, Btu/ft     X.......................
 \3\ (gas) or Btu/lb (oil).
Oil pump pressure, psig (oil only)..  X.......................
CO2 reading, % (oil only)...........  X \b\...................
Oil smoke spot reading (oil only)...  X \b\...................
Air draft, ft/min...................  X.......................
Time, minutes/seconds...............  ........................  X......................
Fuel weight or volume, lb (oil) or    ........................  .......................  X\c\
 ft \3\ (gas).
Supply water temperature (TSWT),      ........................  X......................
 [deg]F.
Inlet water temperature (TIWT),       ........................  X \d\..................
 [deg]F.
Outlet water temperature (TOWT),      ........................  X......................
 [deg]F.
Ambient room temperature, [deg]F....  ........................  X......................
Test air temperature, [deg]F........  ........................  X......................
Water flow rate, gpm................  ........................  X......................
----------------------------------------------------------------------------------------------------------------
Notes:
\a\ These measurements are to be recorded at the start and end of both the steady-state verification period and
  the thermal efficiency test, as well as every minute during both periods.
\b\ The smoke spot test and CO2 reading are not required prior to beginning the steady-state verification period
  if no settings on the water heater have been changed and the water heater has not been turned off since the
  end of a previously-run efficiency test (i.e., thermal efficiency or standby loss).
\c\ Fuel and electricity consumption over the course of the entire thermal efficiency test must be measured and
  used in calculation of thermal efficiency.
\d\ Only measured when a recirculating loop is used.

    3.9.2. Standby Loss Test. For the standby loss test, follow the data 
recording intervals specified in Table 3.2 of this appendix. (Follow the 
data recording intervals specified in Table 3.1 of this appendix of the 
steady-state verification period, if conducted prior to the standby loss 
test.) Additionally, the fuel and electricity consumption over the 
course of the entire test must be measured and used in calculation of 
standby loss.

 Table 3.2--Data To Be Recorded Before and During the Standby Loss Test
------------------------------------------------------------------------
         Item recorded              Before test     Every 1 minute \a\
-----------------------------------------------------------------------
Gas supply pressure, in w.c...  X.................
Gas outlet pressure, in w.c...  X.................
Barometric pressure, in Hg....  X.................
Fuel higher heating value, Btu/ X.................
 ft \3\ (gas) or Btu/lb (oil).
Oil pump pressure, psig (oil    X.................
 only).
Air draft, ft/min.............  X.................
Time, minutes/seconds.........  ..................  X.................
Heat exchanger outlet water     ..................  X.................
 temperature (TOHX), [deg]F.
Ambient room temperature,       ..................  X.................
 [deg]F.
Test air temperature, [deg]F..  ..................  X.................
Water flow rate, gpm..........  X \b\.............
Inlet water temperature         X \b\.............
 (TIWT), [deg]F.
------------------------------------------------------------------------
Notes:
\a\ These measurements are to be recorded at the start and end of the
  test, as well as every minute during the test.
\b\ The water flow rate and supply water temperature and inlet water
  temperature (if a recirculating loop is used) must be measured during
  the steady-state verification period at 1-minute intervals. After the
  steady-state verification period ends, flow rate, supply water
  temperature, and inlet water temperature (if measured) are not
  required to be measured during the standby loss test, as there is no
  flow occurring during the standby loss test.

    4. Determination of Storage Volume. Determine the storage volume by 
subtracting the tare weight, measured while the system is dry and empty, 
from the weight of the system when filled with water and dividing the 
resulting net weight of water by the density

[[Page 148]]

of water at the measured water temperature. The volume of water 
contained in the water heater must be computed in gallons.

                           5. Fuel Input Rate

    5.1. Determination of Fuel Input Rate. During the steady-state 
verification period and thermal efficiency test, as applicable, record 
the fuel consumption at 10-minute intervals. Calculate the fuel input 
rate for each 10-minute period using the equations in section 5.2 of 
this appendix. The measured fuel input rates for these 10-minute periods 
must not vary by more than  2 percent between any 
two readings. Determine the overall fuel input rate using the fuel 
consumption for the entire duration of the thermal efficiency test.
    5.2. Fuel Input Rate Calculation. To calculate the fuel input rate, 
use the following equation:
[GRAPHIC] [TIFF OMITTED] TR10NO16.022

Where:

Q = Fuel input rate, expressed in Btu/h
Qs = Total fuel flow as metered, expressed in ft\3\ for gas-
          fired equipment and lb for oil-fired equipment
Cs = Correction applied to the heating value of a gas H, when 
          it is metered at temperature and/or pressure conditions other 
          than the standard conditions for which the value of H is 
          based. Cs=1 for oil-fired equipment.
H = Higher heating value of the fuel, expressed as Btu/ft\3\ for gas-
          fired equipment and Btu/lb for oil-fired equipment.
t = Duration of measurement of fuel consumption

    6. Thermal Efficiency Test. Before beginning the steady-state 
verification period, record the applicable parameters as specified in 
section 3.9.1 of this appendix. Begin drawing water from the unit by 
opening the main supply and outlet water valve, and adjust the water 
flow rate to achieve an outlet water temperature of 70 [deg]F  2 [deg]F above supply water temperature. The thermal 
efficiency test shall be deemed complete when there is a continuous, 
one-hour-long period where the steady-state conditions specified in 
section 6.1 of this appendix have been met, as confirmed by consecutive 
readings of the relevant parameters at 1-minute intervals (except for 
fuel input rate, which is determined at 10-minute intervals, as 
specified in section 5.1 of this appendix). During the one-hour-long 
period, the water heater must fire continuously at its full firing rate 
(i.e., no modulation or cut-outs) and no settings can be changed on the 
unit being tested at any time. The first 30 minutes of the one-hour-
period where the steady-state conditions in section 6.1 of this appendix 
are met is the steady-state verification period. The final 30 minutes of 
the one-hour-period where the steady-state conditions in section 6.1 of 
this appendix are met is the thermal efficiency test. The last reading 
of the steady-state verification period must be the first reading of the 
thermal efficiency test (i.e., the thermal efficiency test starts 
immediately once the steady-state verification period ends).
    6.1. Steady-State Conditions. The following conditions must be met 
at consecutive readings taken at 1-minute intervals (except for fuel 
input rate, for which measurements are taken at 10-minute intervals) to 
verify the water heater has achieved steady-state operation during the 
steady-state verification period and the thermal efficiency test.
    6.1.1. The water flow rate must be maintained within  0.25 gallons per minute (gpm) of the initial reading at 
the start of the steady-state verification period.
    6.1.2. Outlet water temperature must be maintained at 70 [deg]F 
 2 [deg]F above supply water temperature.
    6.1.3. Fuel input rate must be maintained within  2 percent of the rated input certified by the 
manufacturer.
    6.1.4. The supply water temperature (TSWT) (or inlet 
water temperature (TIWT) if a recirculating loop is used) 
must be maintained within  0.50 [deg]F of the 
initial reading at the start of the steady-state verification period.
    6.1.5. The rise between supply (or inlet if a recirculating loop is 
used) and outlet water temperatures must be maintained within  0.50 [deg]F of its initial value taken at the start of 
the steady-state verification period for units with rated input less 
than 500,000 Btu/h, and maintained within  1.00 
[deg]F of its initial value for units with rated input greater than or 
equal to 500,000 Btu/h.
    6.2. Water Flow Measurement. Measure the total weight of water 
heated during the 30-minute thermal efficiency test with either a scale 
or a water flow meter. With either method, the error of measurement of 
weight of water heated must not exceed 1 percent of the weight of the 
total draw.
    6.3. Thermal Efficiency Calculation. Thermal efficiency must be 
calculated using data from the 30-minute thermal efficiency test.

[[Page 149]]

Calculate thermal efficiency, Et, using the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR10NO16.023

Where:

K = 1.004 Btu/lb[middot] [deg]F, the nominal specific heat of water at 
          105 [deg]F
W = Total weight of water heated, lb
[theta]1 = Average supply water temperature, expressed in 
          [deg]F
[theta]2 = Average outlet water temperature, expressed in 
          [deg]F
Q = Total fuel flow as metered, expressed in ft\3\ (gas) or lb (oil)
Cs = Correction applied to the heating value of a gas H, when 
          it is metered at temperature and/or pressure conditions other 
          than the standard conditions for which the value of H is 
          based. Cs=1 for oil-fired equipment.
H = Higher heating value of the fuel, expressed in Btu/ft\3\ (gas) or 
          Btu/lb (oil)
Ec = Electrical consumption of the water heater and, when 
          used, the test set-up recirculating pump, expressed in Btu

    7. Standby Loss Test. If the standby loss test is conducted 
immediately after a thermal efficiency test and no settings or 
conditions have been changed since the completion of the thermal 
efficiency test, then skip to section 7.2 or 7.3 of this appendix (as 
applicable). Otherwise, perform the steady-state verification in section 
7.1 of this appendix. For thermostatically-activated instantaneous water 
heaters with an internal thermostat, use section 7.2 of this appendix to 
conduct the standby loss test, and for flow-activated and/or 
thermostatically-activated instantaneous water heaters with an external 
thermostat use section 7.3 of this appendix to conduct the standby loss 
test.
    7.1. Steady-State Verification Period. For water heaters where the 
standby loss test is not conducted immediately following the thermal 
efficiency test, the steady-state verification period must be conducted 
before starting the standby loss test. Set the primary control in 
accordance with section 3.6 of this appendix, such that the primary 
control is always calling for heat and the water heater is firing 
continuously at the full firing rate (i.e., no modulation or cut-outs). 
Begin drawing water from the unit by opening the main supply and the 
outlet water valve, and adjust the water flow rate to achieve an outlet 
water temperature of 70 [deg]F  2 [deg]F above 
supply water temperature. The steady-state verification period is 
complete when there is a continuous 30-minute period where the steady-
state conditions specified in section 7.1.1 of this appendix are met, as 
confirmed by consecutive readings of the relevant parameters recorded at 
1-minute intervals (except for fuel input rate, which is determined at 
10-minute intervals, as specified in section 5.1 of this appendix).
    7.1.1. Steady-State Conditions. The following conditions must be met 
at consecutive readings taken at 1-minute intervals (except for fuel 
input rate, for which measurements are taken at 10-minute intervals) to 
verify the water heater has achieved steady-state operation during the 
steady-state verification period prior to conducting the standby loss 
test.
    7.1.1.1. The water flow rate must be maintained within  0.25 gallons per minute (gpm) of the initial reading at 
the start of the steady-state verification period;
    7.1.1.2. Fuel input rate must be maintained within  2 percent of the rated input certified by the 
manufacturer;
    7.1.1.3. The supply water temperature (TSWT) (or inlet 
water temperature (TIWT) if a recirculating loop is used) 
must be maintained within  0.50 [deg]F of the 
initial reading at the start of the steady-state verification period; 
and
    7.1.1.4. The rise between the supply (or inlet if a recirculating 
loop is used) and outlet water temperatures must be maintained within 
 0.50 [deg]F of its initial value taken at the 
start of the steady-state verification period for units with rated input 
less than 500,000 Btu/h, and maintained within  
1.00 [deg]F of its initial value for units with rated input greater than 
or equal to 500,000 Btu/h.
    7.2. Thermostatically-Activated Instantaneous Water Heaters with an 
Internal Thermostat. For water heaters that will experience cut-in based 
on a temperature-activated control that is internal to the water heater, 
use the following steps to conduct the standby loss test.
    7.2.1. Immediately after the thermal efficiency test or the steady-
state verification period (as applicable), turn off the outlet water 
valve(s) (installed as per the provisions in section 2.2 of this 
appendix), and the water pump (if applicable) simultaneously and ensure 
that there is no flow of water through the water heater.
    7.2.2. After the first cut-out following the end of the thermal 
efficiency test or steady-state verification period (as applicable),

[[Page 150]]

allow the water heater to remain in standby mode. Do not change any 
settings on the water heater at any point until measurements for the 
standby loss test are finished. Begin recording the applicable 
parameters specified in section 3.9.2 of this appendix.
    7.2.3. At the second cut-out, record the time and ambient room 
temperature, and begin measuring the fuel and electricity consumption. 
Record the initial heat exchanger outlet water temperature 
(TOHX) and initial ambient room temperature. For the 
remainder of the test, continue recording the applicable parameters 
specified in section 3.9.2 of this appendix.
    7.2.4. Stop the test after the first cut-out that occurs after 24 
hours, or at 48 hours, whichever comes first.
    7.2.5. Immediately after conclusion of the standby loss test, record 
the total fuel flow and electrical energy consumption, the final ambient 
room temperature, the duration of the standby loss test, and if the test 
ends at 48 hours without a cut-out, the final heat exchanger outlet 
temperature, or if the test ends after a cut-out, the maximum heat 
exchanger outlet temperature that occurs after the cut-out. Calculate 
the average of the recorded values of the heat exchanger outlet water 
temperature and the ambient room temperature taken at each measurement 
interval, including the initial and final values.
    7.2.6. Standby Loss Calculation. To calculate the standby loss, 
follow the steps below:
    7.2.6.1. The standby loss expressed as a percentage (per hour) of 
the heat content of the stored water above room temperature must be 
calculated using the following equation:
[GRAPHIC] [TIFF OMITTED] TR10NO16.024

Where:

[Delta]T3 = Average value of the heat exchanger outlet water 
          temperature (TOHX) minus the average value of the 
          ambient room temperature, expressed in [deg]F
[Delta]T4 = Final heat exchanger outlet water temperature 
          (TOHX) measured at the end of the test minus the 
          initial heat exchanger outlet water temperature 
          (TOHX) measured at the start of the test, expressed 
          in [deg]F
K = 8.25 Btu/gallon[middot] [deg]F, the nominal specific heat of water
Va = Volume of water contained in the water heater in gallons 
          measured in accordance with section 4 of this appendix
Et = Thermal efficiency of the water heater determined in 
          accordance with section 6 of this appendix, expressed in %
Ec = Electrical energy consumed by the water heater during 
          the duration of the test in Btu
T = Total duration of the test in hours
Cs = Correction applied to the heating value of a gas H, when 
          it is metered at temperature and/or pressure conditions other 
          than the standard conditions for which the value of H is 
          based. Cs=1 for oil-fired equipment.
Qs = Total fuel flow as metered, expressed in ft\3\ (gas) or 
          lb (oil)
H = Higher heating value of gas or oil, expressed in Btu/ft\3\ (gas) or 
          Btu/lb (oil)
S = Standby loss, the average hourly energy required to maintain the 
          stored water temperature expressed as a percentage of the 
          initial heat content of the stored water above room 
          temperature

    7.2.6.2. The standby loss expressed in Btu per hour must be 
calculated as follows:
    SL (Btu per hour) = S (% per hour) x 8.25 (Btu/gal- [deg]F) x 
Measured Volume (gal) x 70 ( [deg]F).
    Where, SL refers to the standby loss of the water heater, defined as 
the amount of energy required to maintain the stored water temperature 
expressed in Btu per hour.
    7.3. Flow-Activated and Thermostatically-Activated Instantaneous 
Water Heaters with an External Thermostat. For water heaters that are 
either flow-activated or thermostatically-activated with an external 
thermostat, use the following steps to conduct the standby loss test.
    7.3.1. Immediately after the thermal efficiency test or the steady-
state verification period (as applicable), de-energize the primary 
control to end the call for heating. If the main burners do not cut out, 
then turn off the fuel supply.
    7.3.1.1. If the unit does not have an integral pump purge 
functionality, then turn off the outlet water valve and water pump at 
this time.
    7.3.1.2. If the unit has an integral pump purge functionality, allow 
the pump purge operation to continue. After the pump purge operation is 
complete, immediately turn off the outlet water valve and water pump and 
continue recording the required parameters for the remainder of the 
test.

[[Page 151]]

                          7.3.2. Recording Data

    7.3.2.1. For units with pump purge functionality, record the initial 
heat exchanger outlet water temperature (TOHX), and ambient 
room temperature when the main burner(s) cut-out or the fuel supply is 
turned off. After the pump purge operation is complete, record the time 
as t = 0 and the initial electricity meter reading. Continue to monitor 
and record the heat exchanger outlet water temperature (TOHX) 
and time elapsed from the start of the test, and the electricity 
consumption as per the requirements in section 3.9.2 of this appendix.
    7.3.2.2. For units not equipped with pump purge functionality, begin 
recording the measurements as per the requirements of section 3.9.2 of 
this appendix when the main burner(s) cut-out or the fuel supply is 
turned off. Specifically, record the time as t = 0, and record the 
initial heat exchanger outlet water temperature (TOHX), 
ambient room temperature, and electricity meter readings. Continue to 
monitor and record the heat exchanger outlet water temperature 
(TOHX) and the time elapsed from the start of the test as per 
the requirements in section 3.9.2 of this appendix.
    7.3.3. Stopping Criteria. Stop the test when one of the following 
occurs:
    7.3.3.1. The heat exchanger outlet water temperature 
(TOHX) decreases by 35 [deg]F from its value recorded 
immediately after the main burner(s) has cut-out, and the pump purge 
operation (if applicable) is complete; or
    7.3.3.2. 24 hours have elapsed from the start of the test.
    7.3.4. At the end of the test, record the final heat exchanger 
outlet water temperature (TOHX), fuel consumed, electricity 
consumed from time t=0, and the time elapsed from the start of the test.

                     7.3.5. Standby Loss Calculation

    7.3.5.1. Once the test is complete, use the following equation to 
calculate the standby loss as a percentage (per hour) of the heat 
content of the stored water above room temperature:

[GRAPHIC] [TIFF OMITTED] TR10NO16.025

Where,
[Delta]T1 = Heat exchanger outlet water temperature 
          (TOHX) measured after the pump purge operation is 
          complete (if the unit is integrated with pump purge 
          functionality); or after the main burner(s) cut-out (if the 
          unit is not equipped with pump purge functionality) minus heat 
          exchanger outlet water temperature (TOHX) measured 
          at the end of the test, expressed in [deg]F
[Delta]T2 = Heat exchanger outlet water temperature 
          (TOHX) minus the ambient temperature, both measured 
          after the main burner(s) cut-out, at the start of the test, 
          expressed in [deg]F
K = 8.25 Btu/gallon[middot] [deg]F, the nominal specific heat of water
Va = Volume of water contained in the water heater in gallons 
          measured in accordance with section 4 of this appendix
Et = Thermal efficiency of the water heater determined in 
          accordance with section 6 of this appendix, expressed in %
Ec = Electrical energy consumed by the water heater during 
          the duration of the test in Btu
t = Total duration of the test in hours
S = Standby loss, the average hourly energy required to maintain the 
          stored water temperature expressed as a percentage of the 
          initial heat content of the stored water above room 
          temperature

    7.3.5.2. The standby loss expressed in terms of Btu per hour must be 
calculated as follows:
    SL (Btu per hour) = S (% per hour) x 8.25 (Btu/gal- [deg]F) x 
Measured Volume (gal) x 70 ( [deg]F)
    Where, SL refers to the standby loss of the water heater, defined as 
the amount of energy required to maintain the stored water temperature 
expressed in Btu per hour.

[81 FR 79332, Nov. 10, 2016]



 Sec. Appendix D to Subpart G of Part 431--Uniform Test Method for the 
  Measurement of Standby Loss of Electric Instantaneous Water Heaters 
          (Other Than Storage-Type Instantaneous Water Heaters)

    Note: Prior to November 6, 2017, manufacturers must make any 
representations with respect to the energy use or efficiency of the 
subject commercial water heating equipment in accordance with the 
results of testing pursuant to this appendix or the procedures in 10 CFR 
431.106 that were in place on January

[[Page 152]]

1, 2016. On and after November 6, 2017, manufacturers must make any 
representations with respect to energy use or efficiency of electric 
instantaneous water heaters (other than storage-type instantaneous water 
heaters) in accordance with the results of testing pursuant to this 
appendix to demonstrate compliance with the energy conservation 
standards at 10 CFR 431.110.

                               1. General

    Determine the standby loss (as applicable) in accordance with the 
following sections of this appendix.

                             2. Test Set-Up

    2.1. Placement of Water Heater. A water heater for installation on 
combustible floors must be placed on a \3/4\-inch plywood platform 
supported by three 2 x 4-inch runners. If the water heater is for 
installation on noncombustible floors, suitable noncombustible material 
must be placed on the platform. When the use of the platform for a large 
water heater is not practical, the water heater may be placed on any 
suitable flooring. A wall-mounted water heater must be mounted on a 
simulated wall section.
    2.2. Test Configuration. If the instantaneous water heater is not 
required to be tested using a recirculating loop, then set up the unit 
in accordance with Figure 2.1, 2.2, or 2.3 of this appendix (as 
applicable). If the unit is required to be tested using a recirculating 
loop, then set up the unit as per Figure 2.4 of this appendix.

[[Page 153]]

[GRAPHIC] [TIFF OMITTED] TR10NO16.026


[[Page 154]]


[GRAPHIC] [TIFF OMITTED] TR10NO16.027

    2.2.1. If the instantaneous water heater does not have any external 
piping, install an outlet water valve within 10 inches of the piping 
length of the water heater jacket or enclosure. If the instantaneous 
water heater includes external piping assembled at the manufacturer's 
premises prior to shipment, install water valves in the outlet piping 
within 5 inches of the end of the piping supplied with the unit.

[[Page 155]]

    2.2.2. If the water heater is not able to achieve an outlet water 
temperature of 70 [deg]F  2 [deg]F above the 
supply water temperature at a constant maximum electricity input rate, a 
recirculating loop with pump as shown in Figure 2.4 of this appendix 
must be used.
    2.2.2.1. If a recirculating loop with a pump is used, then ensure 
that the inlet water temperature (labeled as TIWT in Figure 
2.4 of this appendix) is greater than or equal to 70 [deg]F and less 
than or equal to 120 [deg]F at all times during the steady-state 
verification period.

                2.3. Installation of Temperature Sensors

                    2.3.1. Without Recirculating Loop

    2.3.1.1. Vertical Connections. Use Figure 2.1 (for top connections) 
and 2.2 (for bottom connections) of this appendix.
    2.3.1.2. Horizontal Connections. Use Figure 2.3 of this appendix.
    2.3.2. With Recirculating Loop. Set up the recirculating loop as 
shown in Figure 2.4 of this appendix.
    2.3.3. For water heaters with multiple outlet water connections 
leaving the water heater jacket that are required to be operated to 
achieve the rated input, temperature sensors must be installed for each 
outlet water connection leaving the water heater jacket or enclosure 
that is used during testing, in accordance with sections 2.3.1 and 2.3.2 
of this appendix.
    2.4. Piping Insulation. Insulate all the water piping external to 
the water heater jacket or enclosure, including piping that is installed 
by the manufacturer or shipped with the unit, for at least 4 ft of 
piping length from the connection at the appliance with material having 
an R-value not less than 4 [deg]F[middot]f \t2\[middot]h/Btu. Ensure 
that the insulation does not contact any appliance surface except at the 
location where the pipe connections penetrate the appliance jacket or 
enclosure.
    2.5. Temperature and Pressure Relief Valve Insulation. If the 
manufacturer has not provided a temperature and pressure relief valve, 
one shall be installed and insulated as specified in section 2.4 of this 
appendix. The temperature and pressure relief valve must be installed in 
the outlet water piping between the unit being tested and the outlet 
water valve.
    2.6. Energy Consumption. Install equipment that determines, within 
 1 percent, the quantity of electricity consumed 
by factory-supplied water heater components, and of the test loop 
recirculating pump, if used.

                           3. Test Conditions

                            3.1. Water Supply

    3.1.1. Water Supply Pressure. The pressure of the water supply must 
be maintained between 40 psi and the maximum pressure specified by the 
manufacturer of the unit being tested. The accuracy of the pressure-
measuring devices must be  1.0 psi.
    3.1.2. Water Supply Temperature. During the steady-state 
verification period, the temperature of the supply water 
(TSWT) must be maintained at 70 [deg]F  
2 [deg]F.
    .2. Electrical Supply. Maintain the electrical supply voltage to 
within  5 percent of the voltage specified on the 
water heater nameplate. If a voltage range is specified on the 
nameplate, maintain the voltage to within  5 
percent of the center of the voltage range specified on the nameplate.
    3.3. Ambient Room Temperature. Maintain the ambient room temperature 
at 75 [deg]F  10 [deg]F at all times during the 
steady-state verification period and the standby loss test. Measure the 
ambient room temperature at 1-minute intervals during these periods. 
Measure the ambient room temperature at the vertical mid-point of the 
water heater and approximately 2 feet from the water heater jacket or 
enclosure. Shield the sensor against radiation. Calculate the average 
ambient room temperature for the standby loss test. During the standby 
loss test, the ambient room temperature must not vary more than  5.0 [deg]F at any reading from the average ambient room 
temperature.
    3.4. Maximum Air Draft. During the steady-state verification period 
and the standby loss test, the water heater must be located in an area 
protected from drafts of more than 50 ft/min. Prior to beginning steady-
state verification before the standby loss test, measure the air draft 
within three feet of the jacket or enclosure of the water heater to 
ensure this condition is met. Ensure that no other changes that would 
increase the air draft are made to the test set-up or conditions during 
the conduct of the test.

                          3.5. Primary Control

    3.5.1. Thermostatically-Activated Water Heaters with an Internal 
Thermostat. Before starting the steady-state verification prior to the 
standby loss test, the thermostat setting must be obtained. Set the 
thermostat to ensure:
    3.5.1.1. With supply water temperature as per section 3.1.2 of this 
appendix (i.e., 70 [deg]F  2 [deg]F) the water 
flow rate can be varied so that the outlet water temperature is constant 
at 70 [deg]F  2 [deg]F above the supply water 
temperature, while the heating element is operating at the rated input.
    3.5.1.2. After the water supply is turned off and the thermostat 
reduces the electricity supply to the heating element to a minimum, the 
maximum heat exchanger outlet water temperature (TOHX) is 140 
[deg]F  5 [deg]F.
    3.5.1.3. If the water heater includes a built-in safety mechanism 
that prevents it from achieving a heat exchanger outlet water 
temperature of 140 [deg]F  5 [deg]F, adjust the 
thermostat to its maximum setting.

[[Page 156]]

    3.5.2. Flow-Activated Instantaneous Water Heaters and 
Thermostatically-Activated Instantaneous Water Heaters with an External 
Thermostat. Before starting the steady-state verification prior to the 
standby loss test energize the primary control such that it is always 
calling for heating and the heating element is operating at the rated 
input. Maintain the supply water temperature as per section 3.1.2 of 
this appendix (i.e., 70 [deg]F  2 [deg]F). Set the 
control so that the outlet water temperature (TOWT) is 140 
[deg]F  5 [deg]F. If the water heater includes a 
built-in safety mechanism that prevents it from achieving a heat 
exchanger outlet water temperature of 140 [deg]F  
5 [deg]F, adjust the control to its maximum setting.

          3.6. For Units With Multiple Outlet Water Connections

    3.6.1. For each connection leaving the water heater that is required 
for the unit to achieve the rated input, the outlet water temperature 
must not differ from that of any other outlet water connection by more 
than 2 [deg]F during the steady-state verification period prior to the 
standby loss test.
    3.6.2. Determine the outlet water temperature representative for the 
entire unit at every required measurement interval by calculating the 
average of the outlet water temperatures measured at each connection 
leaving the water heater jacket or enclosure that is used during 
testing. Use the outlet water temperature representative for the entire 
unit in all calculations for the standby loss test.
    3.7. Data Collection Intervals. During the standby loss test, follow 
the data recording intervals specified in Table 3.1 of this appendix. 
Also, the electricity consumption over the course of the entire test 
must be measured and used in calculation of standby loss.
    3.7.1. Steady-State Verification Period. Follow the data recording 
intervals specified in Table 3.1 of this appendix.

              Table 3.1--Data to be Recorded Before and During the Steady-State Verification Period
----------------------------------------------------------------------------------------------------------------
                                         Before steady-state
            Item recorded                verification period       Every 1 minute \a\        Every 10 minutes
----------------------------------------------------------------------------------------------------------------
Air draft, ft/min...................  X.......................
Time, minutes/seconds...............  ........................  X......................
Electricity Consumed, Btu...........  ........................  .......................  X
Supply water temperature (TSWT),      ........................  X......................
 [deg]F.
Inlet water temperature (TIWT),       ........................  X \b\..................
 [deg]F.
Outlet water temperature (TOWT),      ........................  X......................
 [deg]F.
Ambient room temperature, [deg]F....  ........................  X......................
Water flow rate, (gpm)..............  ........................  X......................
----------------------------------------------------------------------------------------------------------------
Notes:
\a\ These measurements are to be recorded at the start and end, as well as every minute of the steady-state
  verification period.
\b\ Only measured when a recirculating loop is used.

    3.7.2. Standby Loss Test. Follow the data recording intervals 
specified in Table 3.2 of this appendix. Additionally, the electricity 
consumption over the course of the entire test must be measured and used 
in calculation of standby loss.

 Table 3.2--Data to be Recorded Before and During the Standby Loss Test
------------------------------------------------------------------------
         Item recorded               Before test      Every 1 minute \a\
------------------------------------------------------------------------
Air draft, ft/min..............  X..................
Time, minutes/seconds..........  ...................  X
Heat exchanger outlet water      ...................  X
 temperature, [deg]F (TOHX).
Ambient room temperature,        ...................  X
 [deg]F.
------------------------------------------------------------------------
Note:
\a\ These measurements are to be recorded at the start and end of the
  test, as well as every minute during the test.

    4. Determination of Storage Volume. Determine the storage volume by 
subtracting the tare weight--measured while the system is dry and 
empty--from the weight of the system when filled with water and dividing 
the resulting net weight of water by the density of water at the 
measured water temperature. The volume of water contained in the water 
heater must be computed in gallons.
    5. Standby Loss Test. Perform the steady-state verification period 
in accordance with section 5.1 of this appendix. For thermostatically-
activated instantaneous water heaters with an internal thermostat, use 
section 5.2 of this appendix to conduct the standby loss test, and for 
flow-activated and/or thermostatically-activated instantaneous water 
heaters with an external thermostat (including remote thermostatically 
activated and/or flow-activated instantaneous water heaters), use 
section 5.3 of this appendix to conduct the standby loss test.
    Set the primary control in accordance with section 3.5 of this 
appendix, such that the

[[Page 157]]

primary control is always calling for heat and the water heater is 
operating at its full rated input. Begin drawing water from the unit by 
opening the main supply and the outlet water valve, and adjust the water 
flow rate to achieve an outlet water temperature of 70 [deg]F  2 [deg]F above supply water temperature. At this time, 
begin recording the parameters specified in section 3.7.1 of this 
appendix. The steady-state verification period is complete when there is 
a continuous 30-minute period where the steady-state conditions 
specified in section 5.1 of this appendix are met, as confirmed by 
consecutive readings of the relevant parameters recorded at 1-minute 
intervals (except for electric power input rate, which is determined at 
10-minute intervals, as specified in section 3.7.1 of this appendix).
    5.1. Steady-State Conditions. The following conditions must be met 
at consecutive readings taken at 1-minute intervals (except for 
electricity input rate, for which measurements are taken at 10-minute 
intervals) to verify the water heater has achieved steady-state 
operation prior to conducting the standby loss test.
    5.1.1. The water flow rate must be maintained within  0.25 gallons per minute (gpm) of the initial reading at 
the start of the steady-state verification period;
    5.1.2. Electric power input rate must be maintained within 2 percent 
of the rated input certified by the manufacturer.
    5.1.3. The supply water temperature (or inlet water temperature if a 
recirculating loop is used) must be maintained within  0.50 [deg]F of the initial reading at the start of the 
steady-state verification period; and
    5.1.4. The rise between the supply (or inlet if a recirculating loop 
is used) and outlet water temperatures is maintained within  0.50 [deg]F of its initial value taken at the start of 
the steady-state verification period for units with rated input less 
than 500,000 Btu/h, and maintained within  1.00 
[deg]F of its initial value for units with rated input greater than or 
equal to 500,000 Btu/h.
    5.2. Thermostatically-Activated Instantaneous Water Heaters with an 
Internal Thermostat. For water heaters that will experience cut-in based 
on a temperature-activated control that is internal to the water heater, 
use the following steps to conduct the standby loss test.
    5.2.1. Immediately after the steady-state verification period, turn 
off the outlet water valve(s) (installed as per the provisions in 
section 2.2 of this appendix), and the water pump (if applicable) 
simultaneously and ensure that there is no flow of water through the 
water heater.
    5.2.2. After the first cut-out following the steady-state 
verification period, allow the water heater to remain in standby mode. 
Do not change any settings on the water heater at any point until 
measurements for the standby loss test are finished. Begin recording the 
applicable parameters specified in section 3.7.2 of this appendix.
    5.2.3. At the second cut-out, record the time and ambient room 
temperature, and begin measuring the electricity consumption. Record the 
initial heat exchanger outlet water temperature (TOHX) and 
initial ambient room temperature. For the remainder of the test, 
continue recording the applicable parameters specified in section 3.7.2 
of this appendix.
    5.2.4. Stop the test after the first cut-out that occurs after 24 
hours, or at 48 hours, whichever comes first.
    5.2.5. Immediately after conclusion of the standby loss test, record 
the total electrical energy consumption, the final ambient room 
temperature, the duration of the standby loss test, and if the test ends 
at 48 hours without a cut-out, the final heat exchanger outlet 
temperature, or if the test ends after a cut-out, the maximum heat 
exchanger outlet temperature that occurs after the cut-out. Calculate 
the average of the recorded values of the heat exchanger outlet water 
temperature and of the ambient air temperatures taken at each 
measurement interval, including the initial and final values.
    5.2.6. Standby Loss Calculation. Calculate the standby loss, 
expressed as a percentage (per hour) of the heat content of the stored 
water above room temperature, using the following equation:
[GRAPHIC] [TIFF OMITTED] TR10NO16.028

Where,

[Delta]T3 = Average value of the heat exchanger outlet water 
          temperature (TOHX) minus the average value of the 
          ambient room temperature, expressed in [deg]F
[Delta]T4 = Final heat exchanger outlet water temperature 
          (TOHX) measured at the end of the test minus the 
          initial heat exchanger outlet water temperature 
          (TOHX)

[[Page 158]]

          measured at the start of the test, expressed in [deg]F
k = 8.25 Btu/gallon[middot] [deg]F, the nominal specific heat of water
Va = Volume of water contained in the water heater in gallons 
          measured in accordance with section 4 of this appendix
Et = Thermal efficiency = 98 percent for electric water 
          heaters with immersed heating elements
Ec = Electrical energy consumed by the water heater during 
          the duration of the test in Btu
t = Total duration of the test in hours
S = Standby loss, the average hourly energy required to maintain the 
          stored water temperature expressed as a percentage of the 
          initial heat content of the stored water above room 
          temperature

    5.3. Flow-Activated and Thermostatically-Activated Instantaneous 
Water Heaters with an External Thermostat. For water heaters that are 
either flow-activated or thermostatically-activated with an external 
thermostat, use the following steps to conduct the standby loss test:
    5.3.1. Immediately after the steady-state verification period, de-
energize the primary control to end the call for heating. If the heating 
elements do not cut out, then turn off the electricity supply to the 
heating elements. After the heating elements have cut-out, or the 
electricity supply to the heating elements is turned off, begin 
recording the measurements as per the requirements in section 3.7.2 of 
this appendix.
    5.3.1.1. If the unit does not have an integral pump purge 
functionality, then turn off the outlet water valve and water pump 
immediately after the main burners cut-out.
    5.3.1.2. If the unit has an integral pump purge functionality, allow 
the pump purge operation to continue. After the pump purge operation is 
complete, immediately turn off the outlet water valve and water pump and 
continue recording the required parameters for the remainder of the 
test.

                          5.3.2. Recording Data

    5.3.2.1. For units with pump purge functionality, record the initial 
heat exchanger outlet water temperature (TOHX), and ambient 
room temperature when the main heating element(s) cut-out or the 
electricity supply to the heating element(s) is turned off. After the 
pump purge operation is complete, record the time as t = 0 and the 
initial electricity meter reading. Continue to monitor and record the 
heat exchanger outlet water temperature (TOHX) and time 
elapsed from the start of the test as per the requirements in section 
3.7.2 of this appendix.
    5.3.2.2. For units not equipped with pump purge functionality, begin 
recording the measurements as per the requirements of section 3.7.2 of 
this appendix when the main heating element(s) cut-out or the 
electricity supply to the heating element(s) is turned off. 
Specifically, record the time as t = 0, and record the initial heat 
exchanger outlet water temperature (TOHX), ambient room 
temperature, and electricity meter readings. Continue to monitor and 
record the heat exchanger outlet water temperature (TOHX) and 
the time elapsed from the start of the test as per the requirements in 
section 3.7.2 of this appendix.
    5.3.3. Stopping Criteria. Stop the test when one of the following 
occurs:
    5.3.3.1. The heat exchanger outlet water temperature 
(TOHX) decreases by 35 [deg]F from its value recorded after 
the main heating element(s) have cut-out, and the pump purge operation 
(if applicable) is complete; or
    5.3.3.2. 24 hours have elapsed from the start of the test.
    5.3.4. At the end of the test, record the final heat exchanger 
outlet water temperature (TOHX), electricity consumed from 
time t = 0, and the time elapsed from the start of the test.
    5.3.5. Standby Loss Calculation. Calculate the standby loss, 
expressed as a percentage (per hour) of the heat content of the stored 
water above room temperature, using the following equation:
[GRAPHIC] [TIFF OMITTED] TR10NO16.029

Where,

[Delta]T1 = Heat exchanger outlet water temperature 
          (TOHX) measured after the pump purge operation is 
          complete (if the unit is integrated with pump purge 
          functionality); or after the main heating element(s) cut-out 
          (if the unit is not equipped with pump purge functionality) 
          minus heat exchanger outlet water temperature 
          (TOHX) measured at the end of the test, expressed 
          in [deg]F

[[Page 159]]

[Delta]T2 = Heat exchanger outlet water temperature 
          (TOHX) minus the ambient room temperature, both 
          measured after the main heating element(s) cut-out at the 
          start of the test, expressed in [deg]F
k = 8.25 Btu/gallon[middot] [deg]F, the nominal specific heat of water
Va = Volume of water contained in the water heater in gallons 
          measured in accordance with section 4 of this appendix
Et = Thermal efficiency = 98 percent for electric water 
          heaters with immersed heating elements
Ec = Electrical energy consumed by the water heater during 
          the duration of the test in Btu
t = Total duration of the test in hours
S = Standby loss, the average hourly energy required to maintain the 
          stored water temperature expressed as a percentage of the 
          initial heat content of the stored water above room 
          temperature

[81 FR 79340, Nov. 10, 2016]



 Sec. Appendix E to Subpart G of Part 431--Uniform Test Method for the 
 Measurement of Energy Efficiency of Commercial Heat Pump Water Heaters

    Note: On and after November 6, 2017, manufacturers must make any 
representations with respect to energy use or efficiency of commercial 
heat pump water heaters in accordance with the results of testing 
pursuant to this appendix.
    1. General. Determine the COPh for commercial heat pump 
water heaters (CHPWHs) using the test procedure set forth below. Certain 
sections below reference ANSI/ASHRAE 118.1-2012 (incorporated by 
reference; see Sec.  431.105). Where the instructions contained below 
differ from those contained in ANSI/ASHRAE 118.1-2012, the sections in 
this appendix control.
    2. Definitions and Symbols. The definitions and symbols are as 
listed in section 3 of ANSI/ASHRAE 118.1-2012.
    3. Instrumentation. The instruments required for the test are as 
described in section 6 of ANSI/ASHRAE 118.1-2012 (except sections 6.3, 
6.4, and 6.6).
    4. Test Set-Up. Follow the provisions described in this section to 
install the CHPWH for testing. Use the test set-up and installation 
instructions set forth for Type IV and Type V equipment (as applicable), 
defined in sections 4.4 and 4.5 of ANSI/ASHRAE 118.1-2012 and in 
accordance with the sections below:
    4.1. Test set-up and installation instructions.
    4.1.1. For air-source CHPWHs, set up the unit for testing as per 
section 7.1 and Figure 5a of ANSI/ASHRAE 118.1-2012 for CHPWHs without 
an integral storage tank, and as per Figure 6 in section 7.7.1 of ANSI/
ASHRAE 118.1-2012 for CHPWHs with an integral storage tank.
    4.1.2. For direct geo-exchange CHPWHs, set up the unit for testing 
as per section 7.1 and Figure 5b of ASNI/ASHRAE 118.1-2012 for CHPWHs 
without an integral storage tank, and as per Figure 7 in section 7.7.2 
of ANSI/ASHRAE 118.1-2012 for CHPWHs with an integral storage tank.
    4.1.3. For indoor water-source, ground-source closed-loop, and 
ground water-source CHPWHs, set up the unit for testing as per section 
7.1 and Figure 5c of ANSI/ASHRAE 118.1-2012 for CHPWHs without an 
integral storage tank, and as per Figure 8 in section 7.7.3 of ANSI/
ASHRAE 118.1-2012 for CHPWHs with an integral storage tank.
    4.2. Use the water piping instructions described in section 7.2 of 
ANSI/ASHRAE 118.1-2012 and the special instructions described in section 
7.7.6 of ANSI/ASHRAE 118.1-2012. Insulate all the pipes used for 
connections with material having a thermal resistance of not less than 4 
h[middot] [deg]F[middot]ft\2\/Btu for a total piping length of not less 
than 4 feet from the water heater connection ports.
    4.3. Install the thermocouples, including the room thermocouples, as 
per the instructions in sections 7.3.1, 7.3.2, and 7.3.3 (as applicable) 
of ANSI/ASHRAE 118.1-2012.
    4.4. Section 7.6 of ANSI/ASHRAE 118.1-2012 must be used if the 
manufacturer neither submits nor specifies a water pump applicable for 
the unit for laboratory testing.
    4.5. Install the temperature sensors at the locations specified in 
Figure 5a, 5b, 5c, 6, 7, or 8 of ANSI/ASHRAE 118.1-2012, as applicable 
as per section 4.1 of this appendix. The sensor shall be installed in 
such a manner that the sensing portion of the device is positioned 
within the water flow and as close as possible to the center line of the 
pipe. Follow the instructions provided in sections 7.7.7.1 and 7.7.7.2 
of ANSI/ASHRAE 118.1-2012 to install the temperature and flow-sensing 
instruments.
    4.6. Use the following evaporator side rating conditions as 
applicable for each category of CHPWHs. These conditions are also 
mentioned in Table 5.1 of this appendix:
    4.6.1. For air-source CHPWHs, maintain the evaporator air entering 
dry-bulb temperature at 80.6 [deg]F  1 [deg]F and 
wet-bulb temperature at 71.2 [deg]F  1 [deg]F 
throughout the conduct of the test.
    4.6.2. For direct geo-exchange CHPWHs, maintain the evaporator 
refrigerant temperature at 32 [deg]F  1 [deg]F.
    4.6.3. For indoor water-source CHPWHs, maintain the evaporator 
entering water temperature at 68 [deg]F  1 [deg]F.
    4.6.4. For ground water-source CHPWHs, maintain the evaporator 
entering water temperature at50 [deg]F  1 [deg]F.

[[Page 160]]

    4.6.5. For ground-source closed-loop CHPWHs, maintain the evaporator 
entering water temperature at 32 [deg]F  1 [deg]F.
    4.6.5.1. For ground-source closed-loop CHPWHs, the evaporator water 
must be mixed with 15-percent methanol by-weight to allow the solution 
to achieve the rating conditions required in section 4.6.5.
    4.7. The CHPWH being tested must be installed as per the 
instructions specified in sections 4.1 to 4.6 (as applicable) of this 
appendix. For all other installation requirements, use section 7.7.4 of 
ANSI/ASHRAE 118.1-2012 to resolve any issues related to installation 
(other than what is specified in this test procedure) of the equipment 
for testing. Do not make any alterations to the equipment except as 
specified in this appendix for installation, testing, and the attachment 
of required test apparatus and instruments.
    4.8. Use Table 3 of ANSI/ASHRAE 118.1-2012 for measurement 
tolerances of various parameters.
    4.9. If the CHPWH is equipped with a thermostat that is used to 
control the throttling valve of the equipment, then use the provisions 
in section 7.7.7.3 of ANSI/ASHRAE 118.1-2012 to set up the thermostat.
    4.10. For CHPWHs equipped with an integral storage tank, 
supplemental heat inputs such as electric resistance elements must be 
disabled as per section 7.7.8 of ANSI/ASHRAE 118.1-2012.
    4.11. Install instruments to measure the electricity supply to the 
equipment as specified in section 7.5 of ANSI/ASHRAE 118.1-2012.

                            5. Test Procedure

    Test all CHPWHs that are not equipped with an integral storage tank 
as per the provisions described in ANSI/ASHRAE 118.1-2012 for ``Type 
IV'' equipment as defined in section 4.4 of ANSI/ASHRAE 118.1-2012. Test 
all CHPWHs that are equipped with an integral storage tank as per the 
provisions described in ANSI/ASHRAE 118.1-2012 for ``Type V'' equipment 
as defined in section 4.5 of ANSI/ASHRAE 118.1-2012. Tests for all 
CHPWHs must follow the steps described below.
    5.1. Supply the CHPWH unit with electricity at the voltage specified 
by the manufacturer. Follow the provisions in section 8.2.1 of ANSI/
ASHRAE 118.1-2012 to maintain the electricity supply at the required 
level.
    5.1.1. For models with multiple voltages specified by the 
manufacturer, use the minimum voltage specified by the manufacturer to 
conduct the test. Maintain the voltage as per the limits specified in 
section 8.2.1 of ANSI/ASHRAE 118.1-2012. The test may be repeated at 
other voltages at the manufacturer's discretion.
    5.2. Set the condenser supply water temperature and outlet water 
temperature per the following provisions and as set forth in Table 5.1 
of this section:

       Table 5.1--Evaporator and Condenser Side Rating Conditions
------------------------------------------------------------------------
                                 Evaporator side   Condenser side rating
       Category of CHPWH        rating conditions        conditions
------------------------------------------------------------------------
Air-source commercial heat      Evaporator         Entering water
 pump water heater.              entering air       temperature: 70
                                 conditions:.       [deg]F  1
                                 [deg]F    flow rate (if
                                 1 [deg]F.          needed) to achieve
                                Wet bulb: 71.2      the outlet water
                                 [deg]F    specified in section
                                 1 [deg]F.          8.7.2 of ANSI/ASHRAE
                                                    118.1-2012.
                                                   If the required
                                                    outlet water
                                                    temperature as
                                                    specified in section
                                                    8.7.2 of ANSI/ASHRAE
                                                    118.1-2012 is not
                                                    met even after
                                                    varying the flow
                                                    rate, then change
                                                    the condenser
                                                    entering water
                                                    temperature to 110
                                                    [deg]F  1
                                                    [deg]F. Vary flow
                                                    rate to achieve the
                                                    conditions in
                                                    section 8.7.2 of
                                                    ANSI/ASHRAE 118.1-
                                                    2012.
Direct geo-exchange commercial  Evaporator         Entering water
 heat pump water heater.         refrigerant        temperature: 110
                                 temperature: 32    [deg]F  1
                                 minus   [deg]F.
                                 1 [deg]F.
Indoor water-source commercial  Evaporator         Entering water
 heat pump water heater.         entering water     temperature: 110
                                 temperature: 68    [deg]F  1
                                 minus   [deg]F.
                                 1 [deg]F.
Ground water-source commercial  Evaporator         Entering water
 heat pump water heater.         entering water     temperature: 110
                                 temperature: 50    [deg]F  1
                                 minus   [deg]F.
                                 1 [deg]F.
Ground-source closed-loop       Evaporator         Entering water
 commercial heat pump water      entering water     temperature: 110
 heater.                         temperature: 32    [deg]F  1
                                 minus   [deg]F.
                                 1 [deg]F.
------------------------------------------------------------------------

    5.2.1. For air-source CHPWHs:
    5.2.1.1. Set the supply water temperature to 70 [deg]F  1 [deg]F. The water pressure must not exceed the 
maximum working pressure rating for the equipment under test.
    5.2.1.2. Use the provisions in section 8.7.1 of ANSI/ASHRAE 118.1-
2012 to set the tank thermostat for CHPWHs equipped with an integral 
storage tank.
    5.2.1.3. Initiate operation at the rated pump flow rate and measure 
the outlet water temperature. If the outlet water temperature is 
maintained at 120 [deg]F  5 [deg]F with no 
variation in excess of 2 [deg]F over a three-minute

[[Page 161]]

period, as required by section 8.7.2 of ANSI/ASHRAE 118.1-2012, skip to 
section 5.3 of this appendix.
    5.2.1.4. If the outlet water temperature condition as specified in 
section 8.7.2 of ANSI/ASHRAE 118.1-2012 is not achieved, adjust the 
water flow rate over the range of the pump's capacity. If, after varying 
the water flow rate, the outlet water temperature is maintained at 120 
[deg]F  5 [deg]F with no variation in excess of 2 
[deg]F over a three-minute period, as required by section 8.7.2 of ANSI/
ASHRAE 118.1-2012, skip to section 5.3 of this appendix.
    5.2.1.5. If, after adjusting the water flow rate within the range 
that is achievable by the pump, the outlet water temperature condition 
as specified in section 8.7.2 of ANSI/ASHRAE 118.1-2012 is still not 
achieved, then change the supply water temperature to 110 [deg]F  1 [deg]F and repeat the instructions from sections 
5.2.1.2 and 5.2.1.4 of this appendix.
    5.2.1. 6. If the outlet water temperature condition cannot be met, 
then a test procedure waiver is necessary to specify an alternative set 
of test conditions.
    5.2.2. For direct geo-exchange, indoor water-source, ground-source 
closed-loop, and ground water-source CHPWHs use the following steps:
    5.2.2.1. Set the condenser supply water temperature to 110 [deg]F 
 1 [deg]F. The water pressure must not exceed the 
maximum working pressure rating for the equipment under test.
    5.2.2.2. Use the provisions in section 8.7.1 of ANSI/ASHRAE 118.1-
2012 to set the tank thermostat for CHPWHs equipped with an integral 
storage tank.
    5.2.2.3. Follow the steps specified in section 8.7.2 of ANSI/ASHRAE 
118.1-2012 to obtain an outlet water temperature of 120 [deg]F  5 [deg]F with no variation in excess of 2 [deg]F over a 
three-minute period.
    5.3. Conduct the test as per section 9.1.1, ``Full Input Rating,'' 
of ANSI/ASHRAE 118.1-2012. The flow rate, ``FR,'' referred to in section 
9.1.1 of ANSI/ASHRAE 118.1-2012 is the flow rate of water through the 
CHPWH expressed in gallons per minute obtained after following the steps 
in section 5.2 of this appendix. Use the evaporator side rating 
conditions specified in section 4.6 of this appendix to conduct the test 
as per section 9.1.1 of ANSI/ASHRAE 118.1-2012.
    5.4. Calculate the COPh of the CHPWH according to section 
10.3.1 of the ANSI/ASHRAE 118.1-2012 for the ``Full Capacity Test 
Method.'' For all calculations, time differences must be expressed in 
minutes.

[81 FR 79346, Nov. 10, 2016]



                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.
    Baffle means a partition (usually made of flat material like 
cardboard, plastic, or sheet metal) that reduces or prevents 
recirculation of warm air from an ice maker's air outlet to its air 
inlet--or, for remote condensers, from the condenser's air outlet to its 
inlet.
    Basic model means all units of a given type of covered product (or 
class thereof) manufactured by one manufacturer, having the same primary 
energy source, and which have essentially identical electrical, 
physical, and functional (or hydraulic) characteristics that affect 
energy consumption, energy efficiency, water consumption, or water 
efficiency.
    Batch type ice maker means an ice maker having alternate freezing 
and harvesting periods.
    Condenser water use means the total 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.
    Continuous type ice maker means an ice maker that continually 
freezes and harvests ice at the same time.
    Energy use means the total energy consumed, stated in kilowatt hours 
per one-hundred pounds (kWh/100 lb) of ice, in multiples of 0.01. For 
remote condensing (but not remote compressor)

[[Page 162]]

automatic commercial ice makers and remote condensing and remote 
compressor automatic commercial ice makers, total energy consumed shall 
include the energy use of the ice-making mechanism, the compressor, and 
the remote condenser or condensing unit.
    Harvest rate means the amount of ice (at 32 degrees F) in pounds 
produced per 24 hours.
    Ice hardness factor means the latent heat capacity of harvested ice, 
in British thermal units per pound of ice (Btu/lb), divided by 144 Btu/
lb, expressed as a percent.
    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.
    Portable automatic commercial ice maker means an automatic 
commercial ice maker that does not have a means to connect to a water 
supply line and has one or more reservoirs that are manually supplied 
with water.
    Potable water use means the amount of potable water used in making 
ice, which is equal to the sum of the ice harvested, dump or purge 
water, and the harvest water, expressed in gal/100 lb, in multiples of 
0.1, and excludes any condenser water use.
    Refrigerated storage automatic commercial ice maker means an 
automatic commercial ice maker that has a refrigeration system that 
actively refrigerates the self-contained ice storage bin.
    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; 76 
FR 12503, Mar. 7, 2011; 77 FR 1613, Jan. 11, 2012; 87 FR 65899, Nov. 1, 
2022]

                             Test Procedures



Sec.  431.133  Materials incorporated by reference.

    Certain material is incorporated by reference into this subpart with 
the approval of the Director of the Federal Register in accordance with 
5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than 
that specified in this section, the U.S. Department of Energy (DOE) must 
publish a document in the Federal Register and the material must be 
available to the public. All approved incorporation by reference (IBR) 
material is available for inspection at DOE and at the National Archives 
and Records Administration (NARA). Contact DOE at: the 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)-586-9127, [email protected], www.energy.gov/eere/
buildings/building-technologies-office. For information on the 
availability of this material at NARA, email: [email protected], or 
go to: www.archives.gov/federal-register/cfr/ibr-locations.html. The 
material may be obtained from the following sources:
    (a) AHRI. Air-Conditioning, Heating, and Refrigeration Institute, 
2111 Wilson Blvd., Suite 500, Arlington, VA 22201; (703) 524-8800; 
[email protected]; www.ahrinet.org.
    (1) AHRI Standard 810 (I-P)-2016 with Addendum 1, Performance Rating 
of Automatic Commercial Ice-Makers, January 2018; IBR approved for Sec.  
431.134.
    (2) [Reserved]
    (b) ASHRAE. American Society of Heating, Refrigerating and Air-
Conditioning Engineers, Inc., 1791 Tullie Circle NE, Atlanta, GA 30329; 
(404) 636-8400; [email protected]; www.ashrae.org.
    (1) ANSI/ASHRAE Standard 29-2015, Method of Testing Automatic Ice 
Makers, approved April 30, 2015; IBR approved for Sec.  431.134.

[[Page 163]]

    (2) [Reserved]

[87 FR 65900, Nov. 1, 2022]



Sec.  431.134  Uniform test methods for the measurement of harvest rate,
energy consumption, and water consumption of automatic commercial ice
makers.

    Note 1 to Sec.  431.134: On or after October 27, 2023, any 
representations, including certifications of compliance for automatic 
commercial ice makers, made with respect to the energy use or efficiency 
of automatic commercial ice makers must be made in accordance with the 
results of testing pursuant to this section. Prior to October 27, 2023, 
any representations with respect to energy use or efficiency of 
automatic commercial ice makers must be made either in accordance with 
the results of testing pursuant to this section or with the results of 
testing pursuant to this section as it appeared in 10 CFR 431.134 in the 
10 CFR parts 200-499 edition revised as of January 1, 2022.
    (a) Scope. This section provides the test procedures for measuring 
the harvest rate in pounds of ice per 24 hours (lb/24 h), energy use in 
kilowatt hours per 100 pounds of ice (kWh/100 lb), and the condenser 
water use in gallons per 100 pounds of ice (gal/100 lb) of automatic 
commercial ice makers with capacities up to 4,000 lb/24 h. This section 
also provides voluntary test procedures for measuring the potable water 
use in gallons per 100 pounds of ice (gal/100 lb).
    (b) Testing and calculations. Measure the harvest rate, the energy 
use, the condenser water use, and, to the extent elected, the potable 
water use of each covered automatic commercial ice maker by conducting 
the test procedures set forth in AHRI Standard 810 (I-P)-2016 with 
Addendum 1, section 3, ``Definitions,'' section 4, ``Test 
Requirements,'' and section 5.2, ``Standard Ratings'' (incorporated by 
reference, see Sec.  431.133), and according to the provisions of this 
section. Use ANSI/ASHRAE Standard 29-2015 (incorporated by reference, 
see Sec.  431.133) referenced by AHRI Standard 810 (I-P)-2016 with 
Addendum 1 for all automatic commercial ice makers, except as noted in 
paragraphs (c) through (k) of this section. If any provision of the 
referenced test procedures conflicts with the requirements in this 
section or the definitions in Sec.  431.132, the requirements in this 
section and the definitions in Sec.  431.132 control.
    (c) Test setup and equipment configurations--(1) Baffles. Conduct 
testing without baffles unless the baffle either is a part of the 
automatic commercial ice maker or shipped with the automatic commercial 
ice maker to be installed according to the manufacturer's installation 
instructions.
    (2) Clearances. Install all automatic commercial ice makers for 
testing according to the manufacturer's specified minimum rear clearance 
requirements, or with 3 feet of clearance from the rear of the automatic 
commercial ice maker, whichever is less, from the chamber wall. All 
other sides of the automatic commercial ice maker and all sides of the 
remote condenser, if applicable, shall have clearances according to 
section 6.5 of ANSI/ASHRAE Standard 29-2015.
    (3) Purge settings. Test automatic commercial ice makers equipped 
with automatic purge water control using a fixed purge water setting 
that is described in the manufacturer's written instructions shipped 
with the unit as being appropriate for water of normal, typical, or 
average hardness. Purge water settings described in the instructions as 
suitable for use only with water that has higher or lower than normal 
hardness (such as distilled water or reverse osmosis water) must not be 
used for testing.
    (4) Ambient conditions measurement--(i) Ambient temperature sensors. 
Measure all ambient temperatures according to section 6.4 of ANSI/ASHRAE 
Standard 29-2015, except as provided in paragraph (c)(4)(iv) of this 
section, with unweighted temperature sensors.
    (ii) Ambient relative humidity measurement. Except as provided in 
paragraph (c)(4)(iv) of this section, ambient relative humidity shall be 
measured at the same location(s) used to confirm ambient dry bulb 
temperature, or as close as the test setup permits. Ambient relative 
humidity shall be measured with an instrument accuracy of 2.0 percent.
    (iii) Ambient conditions sensors shielding. Ambient temperature and 
relative humidity sensors may be shielded if the ambient test conditions 
cannot be

[[Page 164]]

maintained within the specified tolerances because of warm discharge air 
from the condenser exhaust affecting the ambient measurements. If 
shields are used, the shields must not inhibit recirculation of the warm 
discharge air into the condenser or automatic commercial ice maker 
inlet.
    (iv) Alternate ambient conditions measurement location. For 
automatic commercial ice makers in which warm air discharge from the 
condenser exhaust affects the ambient conditions as measured 1 foot in 
front of the air inlet, or automatic commercial ice makers in which the 
air inlet is located in the rear of the automatic commercial ice maker 
and the manufacturer's specified minimum rear clearance is less than or 
equal to 1 foot, the ambient temperature and relative humidity may 
instead be measured 1 foot from the cabinet, centered with respect to 
the sides of the cabinet, for any side of the automatic commercial ice 
maker cabinet with no warm air discharge or air inlet.
    (5) Collection container for batch type automatic commercial ice 
makers with harvest rates less than or equal to 50 lb/24 h. Use an ice 
collection container as specified in section 5.5.2(a) of ANSI/ASHRAE 
Standard 29-2015, except that the water retention weight of the 
container is no more than 4.0 percent of that of the smallest batch of 
ice for which the container is used.
    (d) Test conditions--(1) Relative humidity. Maintain an average 
minimum ambient relative humidity of 30.0 percent throughout testing.
    (2) Inlet water pressure. Except for portable automatic commercial 
ice makers, the inlet water pressure when water is flowing into the 
automatic commercial ice maker shall be within the allowable range 
within 5 seconds of opening the water supply valve.
    (e) Stabilization--(1) Percent difference calculation. Calculate the 
percent difference in the ice production rate between two cycles or 
samples using the following equation, where A and B are the harvest 
rates, in lb/24 h (for batch type ice makers) or lb/15 mins (for 
continuous type ice makers), of any cycles or samples used to determine 
stability:
[GRAPHIC] [TIFF OMITTED] TR01NO22.003

    (2) Automatic commercial ice makers with harvest rates greater than 
50lb/24 h. The three or more consecutive cycles or samples used to 
calculate harvest rate, energy use, condenser water use, and potable 
water use, must meet the stability criteria in section 7.1.1 of ANSI/
ASHRAE Standard 29-2015.
    (3) Automatic commercial ice makers with harvest rates less than or 
equal to 50 lb/24 h. The three or more consecutive cycles or samples 
used to calculate harvest rate, energy use, condenser water use, and 
potable water use, must meet the stability criteria in section 7.1.1 of 
ANSI/ASHRAE Standard 29-2015, except that the weights of the samples 
(for continuous type automatic commercial ice makers (ACIMs)) or 24-hour 
calculated ice production (for batch type ACIMs) must not vary by more 
than 4 percent, and the 25 g (for continuous type 
ACIMs) and 1 kg (for batch type ACIMs) criteria do not apply.
    (f) Calculations. The harvest rate, energy use, condenser water use, 
and potable water use must be calculated by averaging the values for the 
three calculated samples for each respective reported metric as 
specified in section 9 of ANSI/ASHRAE Standard 29-2015. All intermediate 
calculations prior to the reported value, as applicable, must be 
performed with unrounded values.
    (g) Rounding. Round the reported values as follows: Harvest rate to 
the nearest 1 lb/24 h for harvest rates above 50 lb/24 h; harvest rate 
to the nearest 0.1 lb/24 h for harvest rates less than or equal to 50 
lb/24 h; condenser water use to the nearest 1 gal/100 lb; and energy

[[Page 165]]

use to the nearest 0.01 kWh/100 lb. Round final potable water use value 
to the nearest 0.1 gal/100 lb.
    (h) Continuous type automatic commercial ice makers--(1) Ice 
hardness adjustment--(i) Calorimeter constant. Determine the calorimeter 
constant according to the requirements in section A1 and A2 of Normative 
Annex A Method of Calorimetry in ANSI/ASHRAE Standard 29-2015, except 
that the trials shall be conducted at an ambient air temperature (room 
temperature) of 70 [deg]F  1 [deg]F, with an 
initial water temperature of 90 [deg]F  1 [deg]F. 
To verify the temperature of the block of pure ice as provided in 
section A2.e in ANSI/ASHRAE Standard 29-2015, a thermocouple shall be 
embedded at approximately the geometric center of the interior of the 
block. Any water that remains on the block of ice shall be wiped off the 
surface of the block before being placed into the calorimeter.
    (ii) Ice hardness factor. Determine the ice hardness factor 
according to the requirements in section A1 and A3 of Normative Annex A 
Method of Calorimetry in ANSI/ASHRAE Standard 29-2015, except that the 
trials shall be conducted at an ambient air temperature (room 
temperature) of 70 [deg]F  1 [deg]F, with an 
initial water temperature of 90 [deg]F  1 [deg]F. 
The harvested ice used to determine the ice hardness factor shall be 
produced according to the test methods specified at Sec.  431.134. The 
ice hardness factor shall be calculated using the equation for ice 
hardness factor in section 5.2.2 of AHRI Standard 810 (I-P)-2016 with 
Addendum 1.
    (iii) Ice hardness adjustment calculation. Determine the reported 
energy use and reported condenser water use by multiplying the measured 
energy use or measured condenser water use by the ice hardness 
adjustment factor, determined using the ice hardness adjustment factor 
equation in section 5.2.2 of AHRI Standard 810 (I-P)-2016 with Addendum 
1.
    (2) [Reserved]
    (i) Automatic commercial ice makers with automatic dispensers. Allow 
for the continuous production and dispensing of ice throughout testing. 
If an automatic commercial ice maker with an automatic dispenser is not 
able to continuously produce and dispense ice because of certain 
mechanisms within the automatic commercial ice maker that prohibit the 
continuous production and dispensing of ice throughout testing, those 
mechanisms must be overridden to the minimum extent which allows for the 
continuous production and dispensing of ice. The automatic commercial 
ice maker shall have an empty internal storage bin at the beginning of 
the test period. Collect capacity samples according to the requirements 
of ANSI/ASHRAE Standard 29-2015, except that the samples shall be 
collected through continuous use of the dispenser rather than in the 
internal storage bin. The intercepted ice samples shall be obtained from 
a container in an external ice bin that is filled one-half full of ice 
and is connected to the outlet of the ice dispenser through the minimal 
length of conduit that can be used.
    (j) Portable automatic commercial ice makers. Sections 5.4, 5.6, 
6.2, and 6.3 of ANSI/ASHRAE Standard 29-2015 do not apply. Ensure that 
the ice storage bin is empty prior to the initial potable water 
reservoir fill. Fill an external container with water to be supplied to 
the portable automatic commercial ice maker water reservoir. Establish 
an initial water temperature of 70 [deg]F  1.0 
[deg]F. Verify the initial water temperature by inserting a temperature 
sensor into approximately the geometric center of the water in the 
external container. Immediately after establishing the initial water 
temperature, fill the ice maker water reservoir to the maximum level of 
potable water as specified by the manufacturer. After the potable water 
reservoir is filled, operate the portable automatic commercial ice maker 
to produce ice into the ice storage bin until the bin is one-half full. 
One-half full for the purposes of testing portable automatic commercial 
ice makers means that half of the vertical dimension of the ice storage 
bin, based on the maximum ice fill level within the ice storage bin, is 
filled with ice. Once the ice storage bin is one-half full, conduct 
testing according to section 7 of ANSI/ASHRAE Standard 29-2015. The 
potable water use is equal to the sum of the weight of ice and any 
corresponding melt water collected for

[[Page 166]]

the capacity test as specified in section 7.2 of ANSI/ASHRAE Standard 
29-2015.
    (k) Self-contained refrigerated storage automatic commercial ice 
makers. For door openings, the door shall be in the fully open position, 
which means opening the ice storage compartment door to an angle of not 
less than 75 degrees from the closed position (or the maximum extent 
possible, if that is less than 75 degrees), for 10.0  1.0 seconds to collect the sample. Conduct door 
openings only for ice sample collection and returning the empty ice 
collection container to the ice storage compartment (i.e., conduct two 
separate door openings, one for removing the collection container to 
collect the ice and one for replacing the collection container after 
collecting the ice).

[87 FR 65900, Nov. 1, 2022]

                      Energy Conservation Standards



Sec.  431.136  Energy conservation standards and their effective dates.

    (a) All basic models of commercial ice makers must be tested for 
performance using the applicable DOE test procedure in Sec.  431.134, be 
compliant with the applicable standards set forth in paragraphs (b) 
through (d) of this section, and be certified to the Department of 
Energy under 10 CFR part 429 of this chapter.
    (b) Each cube type automatic commercial ice maker with capacities 
between 50 and 2,500 pounds per 24-hour period manufactured on or after 
January 1, 2010 and before January 28, 2018, shall meet the following 
standard levels:

----------------------------------------------------------------------------------------------------------------
                                                                                              Maximum condenser
          Equipment type             Type of    Harvest rate lb ice/   Maximum energy use    water use \1\ gal/
                                     cooling          24 hours           kWh/100 lb ice          100 lb ice
----------------------------------------------------------------------------------------------------------------
Ice-Making Head..................  Water......                  <500  7.8-0.0055H \2\.....  200-0.022H.
Ice-Making Head..................  Water......   =500 and  5.58-0.0011H........  200-0.022H.
                                                              <1,436
Ice-Making Head..................  Water......     =1,436  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 remote  Air........                <1,000  8.85-0.0038H........  Not Applicable.
 compressor).
Remote Condensing (but not remote  Air........     =1,000  5.1.................  Not Applicable.
 compressor).
Remote Condensing and Remote       Air........                  <934  8.85-0.0038H........  Not Applicable.
 Compressor.
Remote Condensing (but not 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.
----------------------------------------------------------------------------------------------------------------
\1\ Water use is for the condenser only and does not include potable water used to make ice.
\2\ H = harvest rate in pounds per 24 hours, indicating the water or energy use for a given harvest rate.
Source: 42 U.S.C. 6313(d).

    (c) Each batch type automatic commercial ice maker with capacities 
between 50 and 4,000 pounds per 24-hour period manufactured on or after 
January 28, 2018, shall meet the following standard levels:

----------------------------------------------------------------------------------------------------------------
                                                                       Maximum energy use     Maximum condenser
          Equipment type             Type of    Harvest rate lb ice/     kilowatt-hours     water use gal/100 lb
                                     cooling          24 hours        (kWh)/100 lb ice \1\         ice \2\
----------------------------------------------------------------------------------------------------------------
Ice-Making Head..................  Water......                 < 300  6.88-0.0055H........  200-0.022H.
Ice-Making Head..................  Water......   =300 and  5.80-0.00191H.......  200-0.022H.
                                                                <850
Ice-Making Head..................  Water......   =850 and  4.42-0.00028H.......  200-0.022H.
                                                              <1,500
Ice-Making Head..................  Water......     =1,500  4.0.................  200-0.022H.
                                                          and <2,500
Ice-Making Head..................  Water......     =2,500  4.0.................  145.
                                                          and <4,000
Ice-Making Head..................  Air........                 < 300  10-0.01233H.........  NA.
Ice-Making Head..................  Air........  = 300 and  7.05-0.0025H........  NA.
                                                               < 800
Ice-Making Head..................  Air........  = 800 and  5.55-0.00063H.......  NA.
                                                             < 1,500
Ice-Making Head..................  Air........     = 1500  4.61................  NA.
                                                         and < 4,000
Remote Condensing (but not remote  Air........                 < 988  7.97-0.00342H.......  NA.
 compressor).
Remote Condensing (but not remote  Air........  = 988 and  4.59................  NA.
 compressor).                                                < 4,000
Remote Condensing and Remote       Air........                 < 930  7.97-0.00342H.......  NA.
 Compressor.
Remote Condensing and Remote       Air........  = 930 and  4.79................  NA.
 Compressor.                                                 < 4,000
Self-Contained...................  Water......                 < 200  9.5-0.019H..........  191-0.0315H.
Self-Contained...................  Water......  = 200 and  5.7.................  191-0.0315H.
                                                             < 2,500

[[Page 167]]

 
Self-Contained...................  Water......    = 2,500  5.7.................  112.
                                                         and < 4,000
Self-Contained...................  Air........                 < 110  14.79-0.0469H.......  NA.
Self-Contained...................  Air........  = 110 and  12.42-0.02533H......  NA.
                                                               < 200
Self-Contained...................  Air........  = 200 and  7.35................  NA.
                                                             < 4,000
----------------------------------------------------------------------------------------------------------------
\1\ H = harvest rate in pounds per 24 hours, indicating the water or energy use for a given harvest rate.
  Source: 42 U.S.C. 6313(d).
\2\ Water use is for the condenser only and does not include potable water used to make ice.

    (d) Each continuous type automatic commercial ice maker with 
capacities between 50 and 4,000 pounds per 24-hour period manufactured 
on or after January 28, 2018, shall meet the following standard levels:

----------------------------------------------------------------------------------------------------------------
                                                                                              Maximum condenser
          Equipment type             Type of    Harvest rate lb ice/   Maximum energy use   water use gal/100 lb
                                     cooling          24 hours         kWh/100 lb ice \1\          ice \2\
----------------------------------------------------------------------------------------------------------------
Ice-Making Head..................  Water......                  <801  6.48-0.00267H.......  180-0.0198H.
Ice-Making Head..................  Water......   =801 and  4.34................  180-0.0198H.
                                                              <2,500
Ice-Making Head..................  Water......     =2,500  4.34................  130.5.
                                                          and <4,000
Ice-Making Head..................  Air........                  <310  9.19-0.00629H.......  NA.
Ice-Making Head..................  Air........   =310 and  8.23-0.0032H........  NA.
                                                                <820
Ice-Making Head..................  Air........   =820 and  5.61................  NA.
                                                              <4,000
Remote Condensing (but not remote  Air........                  <800  9.7-0.0058H.........  NA.
 compressor).
Remote Condensing (but not remote  Air........   =800 and  5.06................  NA.
 compressor).                                                 <4,000
Remote Condensing and Remote       Air........                  <800  9.9-0.0058H.........  NA.
 Compressor.
                                                 =800 and  5.26................  NA.
                                                              <4,000
Self-Contained...................  Water......                  <900  7.6-0.00302H........  153-0.0252H.
Self-Contained...................  Water......   =900 and  4.88................  153-0.0252H.
                                                              <2,500
Self-Contained...................  Water......     =2,500  4.88................  90.
                                                          and <4,000
Self-Contained...................  Air........                  <200  14.22-0.03H.........  NA.
Self-Contained...................  Air........   =200 and  9.47-0.00624H.......  NA.
                                                                <700
Self-Contained...................  Air........   =700 and  5.1.................  NA.
                                                              <4,000
----------------------------------------------------------------------------------------------------------------
\1\ H = harvest rate in pounds per 24 hours, indicating the water or energy use for a given harvest rate.
  Source: 42 U.S.C. 6313(d).
\2\ Water use is for the condenser only and does not include potable water used to make ice.


[80 FR 4754, Jan. 28, 2015]



                  Subpart I_Commercial Clothes 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.



Sec.  431.152  Definitions concerning commercial clothes washers.

    AEER means active-mode energy efficiency ratio, in pounds per 
kilowatt-hour per cycle (lbs/kWh/cycle), as determined in section 4.8 of 
appendix J to subpart B of part 430 (when using appendix J).
    Basic model means all units of a given type of covered product (or 
class thereof) manufactured by one manufacturer, having the same primary 
energy source, and which have essentially identical electrical, 
physical, and functional (or hydraulic) characteristics that affect 
energy consumption, energy efficiency, water consumption, or water 
efficiency.
    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

[[Page 168]]

    (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.
    IWF means integrated water factor, in gallons per cubic feet per 
cycle (gal/cu ft/cycle), as determined in section 4.2.12 of appendix J2 
to subpart B of part 430 (when using appendix J2).
    MEFJ2 means modified energy factor, in cu ft/kWh/cycle, as 
determined in section 4.5 of appendix J2 to subpart B of part 430 (when 
using appendix J2).
    WER means water efficiency ratio, in pounds per gallon per cycle 
(lbs/gal/cycle), as determined in section 4.7 of appendix J to subpart B 
of part 430 (when using appendix J).

[87 FR 33405, June 1, 2022]

                             Test Procedures



Sec.  431.154  Test procedures.

    The test procedures for clothes washers in appendix J2 to subpart B 
of part 430 must be used to determine compliance with the energy 
conservation standards at Sec.  431.156(b).

[87 FR 33405, June 1, 2022]

                      Energy Conservation Standards



Sec.  431.156  Energy and water conservation standards and effective dates.

    (a) Each commercial clothes washer manufactured on or after January 
8, 2013, and before January 1, 2018, shall have a modified energy factor 
no less than and a water factor no greater than:

------------------------------------------------------------------------
                                     Modified energy      Water factor
          Equipment class           factor (MEF), cu.    (WF), gal./cu.
                                      ft./kWh/cycle        ft./cycle
------------------------------------------------------------------------
Top-Loading.......................               1.60                8.5
Front-Loading.....................               2.00                5.5
------------------------------------------------------------------------

    (b) Each commercial clothes washer manufactured on or after January 
1, 2018 shall have a modified energy factor no less than and an 
integrated water factor no greater than:

------------------------------------------------------------------------
                                                        Integrated Water
                                     Modified energy     factor (IWF),
          Equipment class            factor (MEFJ2),     gal./cu. ft./
                                    cu. ft./kWh/cycle        cycle
------------------------------------------------------------------------
Top-Loading.......................               1.35                8.8
Front-Loading.....................               2.00                4.1
------------------------------------------------------------------------


[76 FR 69123, Nov. 8, 2011, as amended at 79 FR 74541, Dec. 15, 2014; 81 
FR 20529, Apr. 8, 2016]



                       Subpart J_Fans and Blowers

    Source: 86 FR 46590, Aug. 19, 2021, unless otherwise noted.



Sec.  431.171  Purpose and scope.

    This subpart contains provisions regarding fans and blowers, 
pursuant to Part C of Title III of the Energy Policy and Conservation 
Act, as amended, 42 U.S.C. 6311-6317. This subpart does not cover 
``ceiling fans'' as that term is defined and addressed in part 430 this 
chapter, nor does it cover ``furnace fans'' as that term is defined and 
addressed in part 430 of this chapter.



Sec.  431.172  Definitions.

    Air circulating axial panel fan means an axial housed air 
circulating fan head without a cylindrical housing or box housing that 
is mounted on a panel, orifice plate or ring.
    Air circulating fan means a fan that has no provision for connection 
to ducting or separation of the fan inlet from its outlet using a 
pressure boundary, operates against zero external static pressure loss, 
and is not a jet fan.
    Air circulating fan discharge area means the area of a circle having 
a diameter equal to the blade tip diameter.
    Air circulating fan outlet area means the gross inside area measured 
at the plane of the outlet opening.
    Air-cooled steam condenser means a device for rejecting heat to the 
atmosphere through the indirect condensing of steam inside air-cooled 
finned tubes.
    Axial inline fan means a fan with an axial impeller and a 
cylindrical housing with or without turning vanes.
    Axial panel fans means an axial fan, without cylindrical housing, 
that includes a panel, orifice plate, or ring with brackets for mounting 
through a wall, ceiling, or other structure that separates the fan's 
inlet from its outlet.

[[Page 169]]

    Basic model, with respect to fans and blowers, means all units of 
fans and blowers manufactured by one manufacturer, having the same 
primary energy source, and having essentially identical electrical, 
physical, and functional (e.g., aerodynamic) characteristics that affect 
energy consumption. In addition:
    (1) All variations of blade pitches of an adjustable-pitch axial fan 
may be considered a single basic model; and
    (2) All variations of impeller widths and impeller diameters of a 
given full-width impeller and full-diameter impeller centrifugal fan may 
be considered a single basic model.
    Box fan means an axial housed air circulating fan head without a 
cylindrical housing that is mounted on a panel, orifice plate or ring 
and is mounted in a box housing.
    Centrifugal housed fan means a fan with a centrifugal or mixed flow 
impeller in which airflow exits into a housing that is generally scroll-
shaped to direct the air through a single fan outlet. A centrifugal 
housed fan does not include a radial impeller.
    Centrifugal inline fan means a fan with a centrifugal or mixed flow 
impeller in which airflow enters axially at the fan inlet and the 
housing redirects radial airflow from the impeller to exit the fan in an 
axial direction.
    Centrifugal unhoused fan means a fan with a centrifugal or mixed 
flow impeller in which airflow enters through a panel and discharges 
into free space. Inlets and outlets are not ducted. This fan type also 
includes fans designed for use in fan arrays that have partition walls 
separating the fan from other fans in the array.
    Cross-flow fan means a fan or blower with a housing that creates an 
airflow path through the impeller in a direction at right angles to its 
axis of rotation and with airflow both entering and exiting the impeller 
at its periphery. Inlets and outlets can optionally be ducted.
    Cylindrical air circulating fan means an axial housed air 
circulating fan head with a cylindrical housing that is not a Positive 
Pressure Ventilator as defined in AMCA 240-15 (incorporated by 
reference, see Sec.  431.173).
    Evaporative field erected closed-circuit cooling tower means a 
structure which rejects heat to the atmosphere through the indirect 
cooling of a process fluid stream to a lower temperature by partial 
evaporation of an external recirculating water flow.
    Evaporative field erected open-circuit cooling tower means a 
structure which rejects heat to the atmosphere through the direct 
cooling of a water stream to a lower temperature by partial evaporation.
    Fan or blower means a rotary bladed machine used to convert 
electrical or mechanical power to air power, with an energy output 
limited to 25 kilojoule (kJ)/kilogram (kg) of air. It consists of an 
impeller, a shaft and bearings and/or driver to support the impeller, as 
well as a structure or housing. A fan or blower may include a 
transmission, driver, and/or motor controller.
    Fan static air power means the static power delivered to air by the 
fan or blower; it is proportional to the product of the fan airflow 
rate, the fan static pressure and the compressibility coefficient and is 
calculated in accordance with section 7.8.1 of AMCA 210-16 (incorporated 
by reference, see Sec.  431.173), using fan static pressure instead of 
fan total pressure.
    Fan total air power means the total power delivered to air by the 
fan or blower; it is proportional to the product of the fan airflow 
rate, the fan total pressure and the compressibility coefficient and is 
calculated in accordance with section 7.8.1 of AMCA 210-16 (incorporated 
by reference, see Sec.  431.173).
    Field erected air-cooled (dry) cooler means a structure which 
rejects heat to the atmosphere from a fluid, either liquid, gas or a 
mixture thereof, flowing through an air-cooled internal coil.
    Field erected evaporative condenser means a structure which rejects 
heat to the atmosphere through the indirect condensing of a refrigerant 
in an internal coil by partial evaporation of an external recirculating 
water flow.
    Full-diameter impeller means maximum impeller diameter with which a 
given fan or blower basic model is distributed in commerce.
    Full-width impeller means the maximum impeller width with which a

[[Page 170]]

given fan or blower basic model is distributed in commerce.
    Housed air circulating fan head means an air circulating fan with an 
axial or centrifugal impeller, and a housing.
    Housed centrifugal air circulating fan means a housed air 
circulating fan head with a centrifugal or radial impeller in which 
airflow exits into a housing that is generally scroll shaped to direct 
the air through a single, narrow fan outlet.
    Induced flow fan means a type of laboratory exhaust fan with a 
nozzle and windband; the fan's outlet airflow is greater than the inlet 
airflow due to induced airflow. All airflow entering the inlet exits 
through the nozzle. Airflow exiting the windband includes the nozzle 
airflow plus the induced airflow.
    Jet fan means a fan designed and marketed specifically for producing 
a high velocity air jet in a space to increase its air momentum. Jet 
fans are rated using thrust. Inlets and outlets are not ducted but may 
include acoustic silencers.
    Packaged air-cooled (dry) cooler means a device which rejects heat 
to the atmosphere from a fluid, either liquid, gas or a mixture thereof, 
flowing through an air-cooled internal coil.
    Packaged evaporative closed-circuit cooling tower means a device 
which rejects heat to the atmosphere through the indirect cooling of a 
process fluid stream in an internal coil to a lower temperature by 
partial evaporation of an external recirculating water flow.
    Packaged evaporative condenser means a device which rejects heat to 
the atmosphere through the indirect condensing of a refrigerant in an 
internal coil by partial evaporation of an external recirculating water 
flow.
    Packaged evaporative open-circuit cooling tower means a device which 
rejects heat to the atmosphere through the direct cooling of a water 
stream to a lower temperature by partial evaporation.
    Power roof ventilator means a fan with an internal driver and a 
housing to prevent precipitation from entering the building. It has a 
base designed to fit over a roof or wall opening, usually by means of a 
roof curb.
    Radial-housed fan means a fan with a radial impeller in which 
airflow exits into a housing that is generally scroll-shaped to direct 
the air through a single fan outlet. Inlets and outlets can optionally 
be ducted.
    Safety Fan means:
    (1) A reversible axial fan in cylindrical housing that is designed 
and marketed for use in ducted tunnel ventilation that will reverse 
operation under emergency ventilation conditions;
    (2) A fan for use in explosive atmospheres tested and marked 
according to the English version of ISO 80079-36:2016 (incorporated by 
reference, see Sec.  431.173);
    (3) An electric-motor-driven-Positive Pressure Ventilator as defined 
in AMCA 240-15 (incorporated by reference, see Sec.  431.173);
    (4) A fan bearing a listing for ``Power Ventilators for Smoke 
Control Systems'' in compliance with UL 705 (incorporated by reference, 
see Sec.  431.173); or
    (5) A laboratory exhaust fan designed and marketed specifically for 
exhausting contaminated air vertically away from a building using a 
high-velocity discharge.
    Unhoused air circulating fan head means an air circulating fan 
without a housing, having an axial impeller with a ratio of fan-blade 
span (in inches) to maximum rate of rotation (in revolutions per minute) 
less than or equal to 0.06. The impeller may or may not be guarded.

[88 FR 27389, May 1, 2023, as amended at 88 FR 53375, Aug. 8, 2023]



Sec.  431.173  Materials incorporated by reference.

    (a) Certain material is incorporated by reference into this subpart 
with the approval of the Director of the Federal Register in accordance 
with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other 
than that specified in this section, DOE must publish a document in the 
Federal Register and the material must be available to the public. All 
approved incorporation by reference (IBR) material is available for 
inspection at DOE, and at the National Archives and Records 
Administration (NARA). Contact DOE at: the U.S. Department of Energy, 
Office of Energy Efficiency and Renewable Energy,

[[Page 171]]

Building Technologies Program, 1000 Independence Ave. SW, EE-5B, 
Washington, DC 20585, (202) 586-9127, [email protected], https://
www.energy.gov/eere/buildings/building-technologies-office. For 
information on the availability of this material at NARA, visit 
www.archives.gov/federal-register/cfr/ibr-locations.html or email: 
[email protected]. The material may be obtained from the sources in 
the following paragraphs of this section.
    (b) AMCA. Air Movement and Control Association International, Inc., 
30 West University Drive, Arlington Heights, IL 60004-1893; (847) 394-
0150; www.amca.org.
    (1) ANSI/AMCA Standard 210-16 (``AMCA 210-16''), Laboratory Methods 
of Testing Fans for Certified Aerodynamic Performance Rating, ANSI-
approved August 26, 2016; IBR approved for Sec.  431.172; appendix A to 
this subpart. (Co-published as ASHRAE 51-16).
    (2) ANSI/AMCA Standard 214-21 (``AMCA 214-21''), Test Procedure for 
Calculating Fan Energy Index (FEI) for Commercial and Industrial Fans 
and Blowers, ANSI-approved March 1, 2021; IBR approved for Sec.  
431.174; appendix A to this subpart.
    (3) ANSI/AMCA Standard 230-23 (``AMCA 230-23''), Laboratory Methods 
of Testing Air Circulating Fans for Rating and Certification, ANSI-
approved February 10, 2023. IBR approved for appendix B to this subpart.
    (4) ANSI/AMCA Standard 240-15 (``AMCA 240-15''), Laboratory Methods 
of Testing Positive Pressure Ventilators for Aerodynamic Performance 
Rating, ANSI-approved May 9, 2015; IBR approved for Sec.  431.172.
    (c) ISO. International Organization for Standardization, Chemin de 
Blandonnet 8, CP 401, 1214 Vernier, Geneva, Switzerland; www.iso.org.
    (1) ISO 5801:2017(E) (``ISO 5801:2017''), Fans--Performance testing 
using standardized airways, Third Edition, approved September 2017; IBR 
approved for appendix A to this subpart.
    (2) ISO 80079-36:2016, Explosive atmospheres--Part 36: Non-
electrical equipment for explosive atmospheres--Basic method and 
requirements, Edition 1.0, February 2016; IBR approved for Sec.  
431.172.
    (d) UL. Underwriters Laboratories, 333 Pfingsten Road, Northbrook, 
Illinois, 60062; www.shopulstandards.com.
    (1) UL 705, Standard for Safety for Power Ventilators, Edition 7, 
July 19, 2017 (including revisions through August 19, 2022); IBR 
approved for Sec.  431.172.
    (2) [Reserved].

[88 FR 27390, May 1, 2023, as amended at 88 FR 53375, Aug. 8, 2023]



Sec.  431.174  Test Procedure for fans or blowers.

    (a) Scope for fans and blowers other than air circulating fans. A 
fan or blower, other than an air circulating fan is subject to the test 
procedure in this section if it meets the following criteria:
    (1) Is a centrifugal housed fan; radial housed fan; centrifugal 
inline fan; centrifugal unhoused fan; centrifugal power roof ventilator 
exhaust fan; centrifugal power roof ventilator supply fan; axial inline 
fan; axial panel fan; or axial power roof ventilator fan;
    (2) Is not:
    (i) A radial housed unshrouded fan with blade diameter at tip less 
than 30 inches or a blade width of less than 3 inches;
    (ii) A safety fan;
    (iii) An induced flow fan;
    (iv) A jet fan;
    (v) A cross-flow fan;
    (vi) A fan manufactured exclusively to be powered by internal 
combustion engines;
    (vii) A fan that create a vacuum of 30 inches water gauge or 
greater;
    (viii) A fan that is designed and marketed to operate at or above 
482 degrees Fahrenheit (250 degrees Celsius); or
    (ix) A fan and blower embedded in the equipment listed in paragraph 
(a)(3) of this section;
    (3) Is not an embedded fan subject to the following exclusions:
    (i) The test procedure in this section does not apply to fans or 
blowers that are embedded in:
    (A) Single phase central air conditioners and heat pumps rated with 
a certified cooling capacity less than 65,000 British thermal units per 
hour (``Btu/h'') cooling capacity, that are subject to DOE's energy 
conservation standard at 10 CFR 430.32(c);

[[Page 172]]

    (B) Three phase, air-cooled, small commercial packaged air-
conditioning and heating equipment rated with a certified cooling 
capacity less than 65,000 Btu/h cooling capacity, that are subject to 
DOE's energy conservation standard at Sec.  431.97(b);
    (C) Transport refrigeration (i.e., Trailer refrigeration, Self-
powered truck refrigeration, Vehicle-powered truck refrigeration, 
Marine/Rail container refrigerant);
    (D) Vacuum cleaners;
    (E) Heat Rejection Equipment: Packaged evaporative open-circuit 
cooling towers; Evaporative field-erected open-circuit cooling towers; 
Packaged evaporative closed-circuit cooling towers; Evaporative field-
erected closed-circuit cooling towers; Packaged evaporative condensers; 
Field-erected evaporative condensers; Packaged air-cooled (dry) coolers; 
Field-erected air-cooled (dry) cooler; Air-cooled steam condensers; 
Hybrid (water saving) versions of all of the previously listed equipment 
that contain both evaporative and air-cooled heat exchange sections;
    (F) Air curtains; and
    (G) Direct expansion-dedicated outdoor air system that are subject 
to any of DOE's test procedures in appendix B to subpart F of this part.
    (ii) The test procedure in this section does not apply to supply or 
condenser fans or blowers that are embedded in:
    (A) Air-cooled commercial package air conditioners and heat pumps 
(``CUAC,'' ``CUHP'') with a certified cooling capacity between 5.5 ton 
(65,000 Btu/h) and 63.5 ton (760,000 Btu/h) that are subject to DOE's 
energy conservation standard at Sec.  431.97(b);
    (B) Water-cooled and evaporatively-cooled commercial air 
conditioners that are subject to DOE's energy conservation standard at 
Sec.  431.97(b);
    (C) Water-source heat pumps that are subject to DOE's energy 
conservation standard at Sec.  431.97(b);
    (D) Single package vertical air conditioners and heat pumps that are 
subject to DOE's energy conservation standard at Sec.  431.97(d);
    (E) Packaged terminal air conditioners (``PTAC'') and packaged 
terminal heat pumps (PTHP) that are subject to DOE's energy conservation 
standard at Sec.  431.97(c);
    (F) Computer room air conditioners that are subject to DOE's energy 
conservation standard at Sec.  431.97(e); and
    (G) Variable refrigerant flow multi-split air conditioners and heat 
pumps that are subject to DOE's energy conservation standard at Sec.  
431.97(f); and
    (4) In addition, the test procedure is only applicable to fan or 
blower duty points with the following characteristics, measured or 
calculated in accordance with the test procedure set forth in appendix A 
of this subpart:
    (i)(A) Fan shaft input power equal to or greater than 1 horsepower; 
or
    (B) Fan electrical power equal to or greater than 0.89 kW; and
    (ii)(A) Fan static air power equal to or less than 150 horsepower 
for fans using a static pressure basis fan energy index (``FEI'') in 
accordance with the required test configuration listed in table 7.1 of 
AMCA 214-21 (incorporated by reference, see Sec.  431.173); or
    (B) Fan total air power equal to or less than 150 horsepower for 
fans using a total pressure basis FEI in accordance with the required 
test configuration listed in table 7.1 of AMCA 214-21;
    (b) Scope for air circulating fans. The test procedure in this 
section applies to all air circulating fans with input power greater 
than or equal to 125W at maximum speed.
    (c) Testing and calculations for fans and blowers other than air 
circulating fans. Determine the FEI, the fan electrical power (``FEP''), 
and fan shaft power (as applicable) at each duty point, as specified by 
the manufacturer, using the test procedure set forth in appendix A of 
this subpart.
    (d) Testing and calculations for air circulating fan. Determine the 
air circulating fan efficacy in cubic feet per minute per watt at 
maximum speed using the test procedure set forth in appendix B to this 
subpart.

[88 FR 27391, May 1, 2023, as amended at 88 FR 53375, Aug. 8, 2023]

[[Page 173]]



Sec. Sec.  431.175-431.176  [Reserved]



 Sec. Appendix A to Subpart J of Part 431--Uniform Test Method for the 
  Measurement of Energy Consumption of Fans and Blowers Other Than Air 
                            Circulating Fans

    After October 30, 2023, any representations made with respect to 
energy use or efficiency of fans and blowers subject to testing pursuant 
to Sec.  431.174 must be made in accordance with this appendix. Any 
optional representations of fan energy index in the optional test 
configuration listed in table 7.1 of AMCA 214-21 
(FEIoptional) must be accompanied by a representation of fan 
energy index in the required test configuration listed in table 7.1 of 
AMCA 214-21 (FEI).

                      0. Incorporation by Reference

    In Sec.  431.173, DOE incorporated by reference the entire standard 
for AMCA 210-16, AMCA 214-21, and ISO 5801:2017; however, only 
enumerated provisions of those documents are applicable as follows. In 
cases where there is a conflict, the language of this appendix takes 
precedence over those documents.
    0.1 AMCA 210-16:
    (a) Section 3, ``Definitions/Units of Measure/Symbols'';
    (b) Section 4, ``Instruments and Methods of Measurement'' ;
    (c) Section 5, ``Test Setups and Equipment'';
    (d) Section 6, ``Observation and Conduct of Test'';
    (e) Section 7, ``Calculations'' excluding Section 7.9.2, 
``Conversion to other rotational speeds and air densities with 
compressible flow'' and Section 7.9.3, ``Conversion formulae for new 
densities and new rotational speeds'';
    0.2. AMCA 214-21:
    (a) Section 2, ``References (Normative),'' as referenced in section 
2.2 of this appendix;
    (b) Section 3, ``Definitions,'' as referenced in section 1 of this 
appendix;
    (c) Section 4, ``Calculation of the FEI for a Single Duty Point,'' 
as referenced in section 2.6 of this appendix;
    (d) Section 5, ``Reference Fan Electrical Power 
(FEPref),'' as referenced in section 2.6 of this appendix;
    (e) Section 6.1, ``Wire-to-Air Testing at the Required Duty Point,'' 
as referenced in section 2.2 of this appendix;
    (f) Section 6.2, ``Calculated Ratings Based on Wire-to-Air 
Testing,'' as referenced in section 2.2 of this appendix;
    (g) Section 6.3, ``Bare Shaft Fans,'' as referenced in section 2.2 
of this appendix;
    (h) Section 6.4, ``Fans with Polyphase Regulated Motor'', excluding 
Section 6.4.1.4, ``Requirements for the VFD, if included'' and Section 
6.4.2.4, ``Combined motor-VFD efficiency'' as referenced in section 2.2 
of this appendix;
    (i) Section 7, ``Testing,'' as referenced in sections 2.2 and 2.3 of 
this appendix;
    (j) Section 8, ``Rating Development'', excluding Section 8.2.2, 
``Separate Fan and Motor Tests'' and Section 8.3, ``Appurtenances'' as 
referenced in section 2.2 of this appendix;
    (k) Annex D, ``Motor Performance Constants (Normative),'' as 
referenced in section 2.2 of this appendix;
    (l) Annex E, ``Calculation Methods for Fans Tested Shaft-to-Air,'' 
as referenced in section 2.2 of this appendix;
    (m) Annex G, ``Wire-to-Air Measurement--Calculation to Other Speeds 
and Densities (Normative),'' as referenced in section 2.2 of this 
appendix;
    (n) Annex J, ``Other data and calculations to be retained,'' as 
referenced in section 2.2 of this appendix; and
    (o) Annex K, ``Proportionality and Dimensional Requirements 
(Normative),'' as referenced in section 2.2 of this appendix.
    0.3. ISO 5801:2017:
    (a) Section 3, ``Terms and Definitions'';
    (b) Section 4, ``Symbols, Abbreviated Terms and Subscripts'';
    (c) Section 5, ``General'';
    (d) Section 6, ``Test Configurations'';
    (e) Section 7, ``Carrying out the Test'';
    (f) Section 8, ``Airways for Duct Configuration'';
    (g) Section 9, ``Standardized Test Chambers'';
    (h) Section 10, ``Various Component Parts for a Laboratory Setup'';
    (i) Section 11, ``Standard Test Configurations'';
    (j) Section 12, ``Measurements'';
    (k) Section 13, ``Reference Conditions'';
    (l) Section 15, ``Calculations'';
    (m) Section 16, ``Fan Characteristic Curves''; and
    (n) Section 17, ``Uncertainty Analysis''.

                             1. Definitions

    The definitions applicable to this appendix are defined in Sec.  
431.172 and in section 3, ``Definitions,'' of AMCA 214-21. In cases 
where there is a conflict, the definitions in Sec.  431.172 take 
precedence over AMCA 214-21.

 2. Test Procedure for Fans and Blowers Other Than Air Circulating Fans

    2.1. General.
    This section describes the test procedure for fans and blowers other 
than air circulating fans. In cases where there is a conflict, the 
provisions in this appendix take precedence over AMCA 214-21. Where AMCA 
214-21 refers to Annex A, ``Polyphase Regulated Motor Efficiencies 
(Normative),'' of

[[Page 174]]

AMCA 214-21, Table 5 of Sec.  431.25 or the currently applicable 
standards in Sec.  431.25 must be used instead.

                              2.2. Testing

    2.2.1. General.
    The fan electrical power (FEPact) in kilowatts must be determined at 
every duty point specified by the manufacturer in accordance with one of 
the test methods listed in table 1, and the following sections of AMCA 
214-21: Section 2, ``References (Normative)''; Section 7, ``Testing,'' 
including the provisions of AMCA 210-16 and ISO 5801:2017 as referenced 
by Section 7 and implicated by sections 2.2.2 and 2.2.3 of this 
appendix; Section 8.1, ``Laboratory Measurement Only'' (as applicable); 
and Annex J, ``Other data and calculations to be retained.''

                                 Table 1 to Appendix A to Subpart J of Part 431
----------------------------------------------------------------------------------------------------------------
                                 Motor  controller     Transmission                        Applicable section(s)
             Driver                   present?        configuration?      Test method         of AMCA 214-21
----------------------------------------------------------------------------------------------------------------
Electric motor.................  Yes or No........  Any..............  Wire-to-air......  6.1 ``Wire-to-Air
                                                                                           Testing at the
                                                                                           Required Duty
                                                                                           Point''.
Electric motor.................  Yes or No........  Any..............  Calculation based  6.2 ``Calculated
                                                                        on Wire-to-air     Ratings Based on Wire
                                                                        testing.           to Air Testing''
                                                                                           (references Section
                                                                                           8.2.3, ``Calculation
                                                                                           to other speeds and
                                                                                           densities for wire-to-
                                                                                           air testing,'' and
                                                                                           Annex G, ``Wire-to-
                                                                                           Air Measurement--
                                                                                           Calculation to Other
                                                                                           Speeds and Densities
                                                                                           (Normative)'').
Regulated polyphase motor......  No...............  Direct drive, V-   Shaft-to-air.....  6.4 ``Fans with
                                                     belt drive,                           Polyphase Regulated
                                                     flexible                              Motors,'' (references
                                                     coupling or                           Annex D, ``Motor
                                                     synchronous belt                      Performance Constants
                                                     drive.                                (Normative)'') *.
None or non-electric...........  No...............  None.............  Shaft-to-air.....  Section 6.3, ``Bare
                                                                                           Shaft Fans''.
Regulated polyphase motor......  No...............  Direct drive, V-   Calculation based  Section 8.2.1, ``Fan
                                                     belt drive,        on Shaft-to-air    laws and other
                                                     flexible           testing.           calculation methods
                                                     coupling or                           for shaft-to-air
                                                     synchronous belt                      testing''(references
                                                     drive.                                Annex D, ``Motor
                                                                                           Performance Constants
                                                                                           (Normative),'' Annex
                                                                                           E, ``Calculation
                                                                                           Methods for Fans
                                                                                           Tested Shaft-to-
                                                                                           Air,'' and Annex K,
                                                                                           ``Proportionality and
                                                                                           Dimensional
                                                                                           Requirements
                                                                                           (Normative)'').
None or non-electric...........  No...............  None.............  Calculation based  Section 8.2.1, ``Fan
                                                                        on Shaft-to-air    laws and other
                                                                        testing.           calculation methods
                                                                                           for shaft-to-air
                                                                                           testing'' (references
                                                                                           Annex E,
                                                                                           ``Calculation Methods
                                                                                           for Fans Tested Shaft-
                                                                                           to-Air,'' and Annex
                                                                                           K, ``Proportionality
                                                                                           and Dimensional
                                                                                           Requirements
                                                                                           (Normative)'').
----------------------------------------------------------------------------------------------------------------
* Excluding Section 6.4.1.4, ``Requirements for the VFD, if included'' and Section 6.4.2.4, ``Combined motor-VFD
  efficiency.''

    Testing must be performed in accordance with the required test 
configuration listed in Table 7.1 of AMCA 214-21. The following values 
must be determined in accordance with this appendix at each duty point 
specified by the manufacturer: fan airflow in cubic feet per minute; fan 
air density; fan total pressure in inches of water gauge for fans using 
a total pressure basis FEI in accordance with Table 7.1 of AMCA 214-21; 
fan static pressure in inches of water gauge for fans using a static 
pressure basis FEI in accordance with Table 7.1 of AMCA 214-21; fan 
speed in revolutions per minute; and fan shaft input power in horsepower 
for fans tested in accordance with sections 6.3 or 6.4 of AMCA 214-21.
    In addition, if applying the equations in Section E.2 of Annex E of 
AMCA 214-21 for compressible flows, the compressibility coefficients 
must be included in the equations as applicable.
    All measurements must be recorded at the resolution of the test 
instrumentation and calculations must be rounded to the number of 
significant digits present at the resolution of the test 
instrumentation.
    In cases where there is a conflict, the provisions in AMCA 214-21 
take precedence over AMCA 210-16 and ISO 5801:2017. In addition, the 
provisions in this appendix apply.
    2.2.2 Power Roof Ventilators
    Centrifugal Power Roof Ventilators that are both supply and exhaust 
must be tested in both supply and exhaust configurations as listed in 
table 7.1 of AMCA 214-21.
    2.2.3 Embedded Fans
    Embedded fans that are not manufactured in a standalone 
configuration must be tested in a standalone configuration. If some 
components of the bare shaft fan are not removable without causing 
irreversible damage to

[[Page 175]]

the equipment into which the fan is embedded, testing must be performed 
using additional fan components, except for the fan impeller, that are 
geometrically identical to that of the fan embedded inside the larger 
piece of equipment for testing.
    2.3. Power Supply
    Any wire-to-air testing must be conducted at the supply frequency, 
phase, and voltages specified in this section. The frequency and voltage 
must be selected in accordance with section 7.8. of AMCA 214-21. Fans 
and blowers rated for operation for single- or multi-phase power supply 
must be tested with single- or multi-phase electricity, respectively. 
Fans and blowers, capable of operating with single- and multi-phase 
power supply, must be tested using multi-phase electricity.
    2.4. Stability Conditions.
    The following conditions must be met to establish system stability 
prior to collecting test data:
    (a) Barometric pressure, dry bulb temperature and wet bulb 
temperature in the general test area must be captured at least every 
five seconds after the run-in period is completed and the ambient air 
density calculated from these values shall not vary by more than 1 percent during verification of fan speed and fan input 
power stability.
    (b) After the fan has been run-in, record the fan speed in rpm and 
the input power (in horsepower or watts) at least every 5 seconds for at 
least three 60-second intervals. Readings shall be made simultaneously. 
Repeat these measurements over 60-second intervals until:
    (1) The average fan speed from the last 60-second interval varies by 
less than the absolute value of 1 percent or 1 rpm, whichever is 
greater, when compared to the average fan speed measured during the 
previous 60-second test interval;
    (2) The average input power from the last 60-second interval by 
reaction dynamometer, torque meter or calibrated motor must be 4 percent, or the average input power by electrical 
meter must be 2 percent of the mean or 1 watt, 
whichever is greater, compared to the average input power measured 
during the previous 60-second test interval; and
    (3) The slopes of a linear fit trendline calculated from the 
individual data collected for fan speed and input power during at least 
three 60-second sampling intervals include both positive and negative 
values (e.g., two positive and one negative slope value or one positive 
and two negative slope values). If three positive or three negative 
slopes are determined in succession, additional sampling intervals are 
required until slopes from three successive sampling intervals include 
both positive and negative values.
    2.5. Sampling Intervals for Testing.
    A test measurement must meet the following conditions:
    (a) The sampling interval over which average test values are 
determined shall not exceed 60 seconds;
    (b) The average fan speed from the most recent 60-second interval 
varies by less than the absolute value of 1 percent or 1 rpm, whichever 
is greater, when compared to the average fan speed measured during the 
previous 60-second test interval; and
    (c) the average input power from the last 60-second interval by 
reaction dynamometer, torque meter or calibrated motor must be 4 percent, or the average input power by electrical 
meter must be 2 percent of the mean or 1 watt, 
whichever is greater, compared to the average input power measured 
during the previous 60-second test interval.
    2.6. FEI calculation
    The FEI must be determined at every duty point in accordance with 
Section 4, ``Calculation of the FEI for a single duty point,'' and 
Section 5, ``Reference Fan Electrical Power (FEPref)'' of 
AMCA 214-21. In addition, the FEI must be rounded to the nearest 
hundredths place; FEP must be rounded to three significant figures; and 
all measurements must be recorded at the resolution of the test 
instrument.

[88 FR 27391, May 1, 2023, as amended at 88 FR 53375, Aug. 8, 2023]



 Sec. Appendix B to Subpart J of Part 431--Uniform Test Method for the 
        Measurement of Energy Consumption of Air Circulating Fans

    After October 30, 2023, any representations made with respect to 
energy use or efficiency of air circulating fans subject to testing 
pursuant to Sec.  431.174 must be made in accordance with this appendix. 
Any optional representations of air circulating fan efficacy at speeds 
less than the air circulating fan's maximum speed must be accompanied by 
a representation of the air circulating fan efficacy at maximum speed.

                      0. Incorporation by Reference

    In Sec.  431.173, DOE incorporated by reference the entire standard 
for AMCA 230-23; however, only enumerated provisions of those documents 
are applicable as follows. In cases where there is a conflict, the 
language of this appendix takes precedence over those documents.
    0.1 AMCA 230-23:
    (a) Section 4, ``Definitions/Units of Measurement/Symbols,'';
    (b) Section 5, ``Instruments and Methods of Measurement,'';
    (c) Section 6, ``Equipment and Setup,'';
    (d) Section 7, ``Observations and Conduct of Test,'';
    (e) Section 8, ``Calculations,'' excluding equations 8.5 and 8.6; 
and

[[Page 176]]

    (f) Section 9, ``Report and Results of Test,''

                             1. Definitions

    The definitions applicable to this appendix are defined in Sec.  
431.172 and in Section 4, ``Definitions/Units of Measurement/Symbols,'' 
of AMCA 230-23. In cases where there is a conflict, the definitions in 
Sec.  431.172 take precedence over AMCA 230-23.

               2. Test Procedure for Air Circulating Fans

    2.1. General
    This section describes the test procedure for air circulating fans.
    2.2. Testing
    2.2.1. General
    The air circulating fan efficacy (E[fnof][fnof]circ) in cubic feet 
per minute (``CFM'') per watt (``W'') (``CFM/W'') at maximum speed must 
be determined in accordance with the applicable sections of AMCA 230-23 
as listed in section 0.1 of this appendix. In addition, testing must be 
conducted in accordance with the provisions in sections 2.3 through 2.5 
of this appendix. Optional testing speeds lower than maximum speed is 
permitted. Speeds less than maximum speeds must be expressed at a 
percentage of maximum speed (e.g., 50 percent) and the air circulating 
fan efficacy at lower speed must include the speed percentage in its 
subscript (e.g., E[fnof][fnof]circ,50).
    All measurements must be recorded at the resolution of the test 
instrumentation and calculations must be rounded to the number of 
significant digits of the resolution of the test instrumentation.
    2.3. Air circulating fans without motors
    Air circulating fans distributed in commerce without an electric 
motor must be tested using an electric motor as recommended in the 
manufacturer's catalogs or distributed in commerce with the air 
circulating fan. If more than one motor is available in manufacturer's 
catalogs or distributed in commerce with the air circulating fan, 
testing must be conducted using the least efficient motor capable of 
running the fan at the fan's maximum allowable speed.
    2.4. Power Supply.
    The test must be conducted at the frequency, phase, and voltages 
specified in this section.
    2.4.1. Frequency.
    Air circulating fans rated for operation with only 60 Hz power 
supply must be tested with 60 Hz electricity. Air circulating fans 
capable of operating with 50 Hz and 60 Hz electricity must be tested 
with 60 Hz electricity.
    2.4.2. Phase.
    Air circulating fans rated for operation for single- or multi-phase 
power supply must be tested with single- or multi-phase power 
electricity, respectively. Air circulating fans, capable of operating 
with single- and multi-phase power supply, must be tested using multi-
phase electricity.
    2.4.3. Voltage.
    Select the supply voltage as follows:
    (a) For air circulating fans tested with single-phase electricity, 
the supply voltage must be:
    (1) 120 V if the air circulating fan's minimum rated voltage is 120 
V or the lowest rated voltage range contains 120 V,
    (2) 240 V if the air circulating fan's minimum rated voltage is 240 
V or the lowest rated voltage range contains 240 V, or
    (3) The air circulating fan's minimum rated voltage (if a voltage 
range is not given) or the mean of the lowest rated voltage range, in 
all other cases.
    (b) For air circulating fans tested with multi-phase electricity, 
the supply voltage must be
    (1) 240 V if the air circulating fan's minimum rated voltage is 240 
V or the lowest rated voltage range contains 240 V, or
    (2) The air circulating fan's minimum rated voltage (if a voltage 
range is not given) or the mean of the lowest rated voltage range, in 
all other cases.
    2.5. Stability Conditions.
    In addition to the test requirements specified in sections 7.1 and 
7.3 of AMCA 230-23, the following conditions must be met to establish 
system stability prior to collecting test data:
    (a) Test voltage shall be captured at least every five seconds and 
shall not vary by more than 1 percent during each 
test. Barometric pressure, dry bulb temperature and wet bulb temperature 
in the general test area for calculation of air density must be captured 
at least every five seconds and the calculated ambient air density shall 
not vary by more than 1 percent during each test.
    (b) After a run-in time of at least 15 minutes, record the fan speed 
in rpm, the input power in watts, and load differential in pound-force 
for at least 3 120-second intervals. Repeat these measurements over 
additional 120-second intervals until:
    (1) The average fan speed of the last 120-second interval varies by 
less than the absolute value of 1 percent or 1 rpm, whichever is 
greater, when compared to the average fan speed measured during the 
previous 120-second test interval;
    (2) The average input power of the last 120-second interval varies 
by less than the absolute value of 1 percent or 1 watt, whichever is 
greater, compared to the average input power measured during the 
previous 120-second test interval;
    (3) The average load differential of the last 120-second interval 
varies by less than the absolute value of 1 percent compared to the 
average load differential during the previous 120-second test interval; 
and
    (4) The slopes of a linear fit trendline calculated from the 
individual data collected

[[Page 177]]

for fan speed, input power, and load differential during at least three 
120-second intervals include both positive and negative values (e.g., 
two positive and one negative slope value or one positive and two 
negative slope values). If three positive or three negative slopes are 
determined in succession, additional sampling intervals are required 
until slopes from three successive 120-second intervals include both 
positive and negative values.
    2.6. Calculation of Ambient Air Density.
    For any references to ambient air density, [rho]0, in AMCA 230-23, 
calculate [rho]0, expressed in kg/m3 when using SI units or lbm/ft3 when 
using I-P units, as follows:
[GRAPHIC] [TIFF OMITTED] TR08AU23.005

[GRAPHIC] [TIFF OMITTED] TR08AU23.006

where pb is the measured barometric pressure of the air, 
          Td0 is the measured dry-bulb temperature of the 
          air, pp is the partial vapor pressure, R is the gas 
          constant, which are all determined according to section 8.2 of 
          AMCA 230-23.

[88 FR 27393, May 1, 2023, as amended at 88 FR 53376, Aug. 8, 2023]



                   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.
    Auxiliary device means a localized component of a distribution 
transformer that is a circuit breaker, switch, fuse, or surge/lightning 
arrester.
    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 line voltage of 34.5 kV or less;
    (2) Has an output line 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 5000 kVA for liquid-immersed units 
and 15 kVA to 5000 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;

[[Page 178]]

    (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;
    (3) Is designed to withstand the additional mechanical stresses 
resulting from an alternating current adjustable frequency motor drive 
or a direct current motor drive; and
    (4) Has a rated output voltage that is neither ``208Y/120'' nor 
``480Y/277''.
    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.
    Low-voltage dry-type distribution transformer means a distribution 
transformer that has an input voltage of 600 volts or less and has the 
core and coil assembly immersed in a gaseous or dry-compound insulating 
medium.
    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.
    Mining distribution transformer means a medium-voltage dry-type 
distribution transformer that is built only for installation in an 
underground mine or surface mine, inside equipment for use in an 
underground mine or surface mine, on-board equipment for use in an 
underground mine or surface mine, or for equipment used for digging, 
drilling, or tunneling underground or above ground, and that has a 
nameplate which identifies the transformer as being for this use only.
    No-load loss means those losses that are incident to the excitation 
of the transformer.
    Nonventilated transformer means a dry-type transformer constructed 
so as to prevent external air circulation through the coils of the 
transformer while operating at zero gauge pressure.
    Per-unit load means the fraction of rated load.
    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.

[[Page 179]]

    Reference temperature means the temperature at which the transformer 
losses are determined, and to which such losses are corrected if testing 
is done at a different point. (Reference temperature values are 
specified in the test method in appendix A to this subpart.)
    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 dry-type transformer designed to remain 
hermetically sealed under specified conditions of temperature and 
pressure.
    Special-impedance transformer means a 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.

[[Page 180]]



                 Table 1 to the Definition o ``Special-Impedance Transformer''--Normal Impedance Ranges for Liquid-Immersed Transformers
--------------------------------------------------------------------------------------------------------------------------------------------------------
                          Single-phase transformers                                                    Three-phase transformers
--------------------------------------------------------------------------------------------------------------------------------------------------------
                 kVA                               Impedance  (%)                              kVA                             Impedance  (%)
--------------------------------------------------------------------------------------------------------------------------------------------------------
                   10 <= kVA < 50                               1.0-4.5                         15 <= kVA < 75                               1.0-4.5
                  50 <= kVA < 250                               1.5-4.5                      75 <= kVA < 112.5                               1.0-5.0
                 250 <= kVA < 500                               1.5-6.0                     112.5 <= kVA < 500                               1.2-6.0
                 500 <= kVA < 667                               1.5-7.0                       500 <= kVA < 750                               1.5-7.0
                667 <= kVA <= 833                               5.0-7.5                     750 <= kVA <= 5000                               5.0-7.5
--------------------------------------------------------------------------------------------------------------------------------------------------------


                    Table 2 to the Definition o ``Special-Impedance Transformer''--Normal Impedance Ranges for Dry-Type Transformers
--------------------------------------------------------------------------------------------------------------------------------------------------------
                          Single-phase transformers                                                    Three-phase transformers
--------------------------------------------------------------------------------------------------------------------------------------------------------
                 kVA                               Impedance  (%)                              kVA                             Impedance  (%)
--------------------------------------------------------------------------------------------------------------------------------------------------------
                   10 <= kVA < 50                               1.0-4.5                         15 <= kVA < 75                               1.0-4.5
                  50 <= kVA < 250                               1.5-4.5                      75 <= kVA < 112.5                               1.0-5.0
                 250 <= kVA < 500                               1.5-6.0                     112.5 <= kVA < 500                               1.2-6.0
                 500 <= kVA < 667                               1.5-7.0                       500 <= kVA < 750                               1.5-7.0
                667 <= kVA <= 833                               5.0-7.5                     750 <= kVA <= 5000                               5.0-7.5
--------------------------------------------------------------------------------------------------------------------------------------------------------


[[Page 181]]

    Submersible distribution transformer means a liquid-immersed 
distribution transformer, so constructed as to be operable when fully or 
partially submerged in water including the following features--
    (1) Has sealed-tank construction; and
    (2) Has the tank, cover, and all external appurtenances made of 
corrosion-resistant material or with appropriate corrosion resistant 
surface treatment to induce the components surface to be corrosion 
resistant.
    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.
    Terminal means a conducting element of a distribution transformer 
providing electrical connection to an external conductor that is not 
part of the transformer.
    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, each capable of operating at full, rated 
capacity (kVA), whose range, defined as the difference between the 
highest voltage tap and the lowest voltage tap, is 20 percent or more of 
the highest voltage tap.
    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 sages, over 
voltage, switching transients, line notice, and other power quality 
factors. It does not include distribution transformers at the input, 
output, or by-pass of an uninterruptible power system.
    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; 78 FR 23433, 
Apr. 18, 2013; 86 FR 51252, Sept. 14, 2021; 89 FR 30039, Apr. 22, 2024]

                             Test Procedures



Sec.  431.193  Test procedure for measuring energy consumption of distribution transformers.

    The test procedure for measuring the energy efficiency of 
distribution transformers for purposes of EPCA is specified in appendix 
A to this subpart. The test procedure specified in appendix A to this 
subpart applies only to distribution transformers subject to energy 
conservation standards at Sec.  431.196.

[86 FR 51252, Sept. 14, 2021]

                      Energy Conservation Standards



Sec.  431.196  Energy conservation standards and their effective dates.

    (a) Low-Voltage Dry-Type Distribution Transformers. (1) The 
efficiency of a low-voltage, dry-type distribution transformer 
manufactured on or after January 1, 2007, but before January 1, 2016, 
shall be no less than that required for the applicable 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.

[[Page 182]]



----------------------------------------------------------------------------------------------------------------
                         Single-phase                                              Three-phase
----------------------------------------------------------------------------------------------------------------
                     kVA                              %                        kVA                       %
----------------------------------------------------------------------------------------------------------------
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
333..........................................            98.9   500.............................            98.7
                                                                750.............................            98.8
                                                                1000............................            98.9
----------------------------------------------------------------------------------------------------------------

    Note 1 to paragraph (a)(1): All efficiency values are at 35 percent 
per-unit load.
    (2) The efficiency of a low-voltage, dry-type distribution 
transformer manufactured on or after January 1, 2016, but before April 
23, 2029, shall be no less than that required for the applicable kVA 
rating in the following table. 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.

[[Page 183]]



                                                               Table 2 to Paragraph (a)(1)
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                Single-phase                                                                  Three-phase
--------------------------------------------------------------------------------------------------------------------------------------------------------
                 kVA                                                                           kVA
--------------------------------------------------------------------------------------------------------------------------------------------------------
                               15                                 97.70                                     15                                 97.89
                               25                                 98.00                                     30                                 98.23
                             37.5                                 98.20                                     45                                 98.40
                               50                                 98.30                                     75                                 98.60
                               75                                 98.50                                  112.5                                 98.74
                              100                                 98.60                                    150                                 98.83
                              167                                 98.70                                    225                                 98.94
                              250                                 98.80                                    300                                 99.02
                              333                                 98.90                                    500                                 99.14
                                                                                                           750                                 99.23
                                                                                                          1000                                 99.28
--------------------------------------------------------------------------------------------------------------------------------------------------------
Note: All efficiency values are at 35 percent of nameplate-rated load, determined according to the DOE Test Method for Measuring the Energy Consumption
  of Distribution Transformers under appendix A to this subpart K.


[[Page 184]]

    (3) The efficiency of a low-voltage dry-type distribution 
transformer manufactured on or after April 23, 2029, shall be no less 
than that required for their kVA rating in the following table. 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.

[[Page 185]]



                                                               Table 3 to Paragraph (a)(3)
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                Single-phase                                                                  Three-phase
--------------------------------------------------------------------------------------------------------------------------------------------------------
                 kVA                              Efficiency  (%)                              kVA                             Efficiency  (%)
--------------------------------------------------------------------------------------------------------------------------------------------------------
                               15                                 98.39                                     15                                 98.31
                               25                                 98.60                                     30                                 98.58
                             37.5                                 98.74                                     45                                 98.72
                               50                                 98.81                                     75                                 98.88
                               75                                 98.95                                  112.5                                 98.99
                              100                                 99.02                                    150                                 99.06
                              167                                 99.09                                    225                                 99.15
                              250                                 99.16                                    300                                 99.22
                              333                                 99.23                                    500                                 99.31
                                                                                                           750                                 99.38
                                                                                                          1000                                 99.42
--------------------------------------------------------------------------------------------------------------------------------------------------------
Note: All efficiency values are at 35 percent of nameplate-rated load, determined according to the DOE Test Method for Measuring the Energy Consumption
  of Distribution Transformers under appendix A to this subpart K.


[[Page 186]]

    (b) Liquid-Immersed Distribution Transformers. (1) The efficiency of 
a liquid-immersed distribution transformer manufactured on or after 
January 1, 2010, but before January 1, 2016, 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
----------------------------------------------------------------------------------------------------------------
                     kVA                        Efficiency (%)                 kVA                Efficiency (%)
----------------------------------------------------------------------------------------------------------------
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 3 to paragraph (b)(1): All efficiency values are at 50 percent 
per-unit load.
    (2) The efficiency of a liquid-immersed distribution transformer, 
including submersible distribution transformers, manufactured on or 
after January 1, 2016, but before April 23, 2029, shall be no less than 
that required for their kVA rating in the following table. Liquid-
immersed distribution transformers, including submersible 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.

[[Page 187]]



                                                               Table 5 to Paragraph (b)(2)
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                Single-phase                                                                  Three-phase
--------------------------------------------------------------------------------------------------------------------------------------------------------
                 kVA                              Efficiency  (%)                              kVA                             Efficiency  (%)
--------------------------------------------------------------------------------------------------------------------------------------------------------
                               10                                 98.70                                     15                                 98.65
                               15                                 98.82                                     30                                 98.83
                               25                                 98.95                                     45                                 98.92
                             37.5                                 99.05                                     75                                 99.03
                               50                                 99.11                                  112.5                                 99.11
                               75                                 99.19                                    150                                 99.16
                              100                                 99.25                                    225                                 99.23
                              167                                 99.33                                    300                                 99.27
                              250                                 99.39                                    500                                 99.35
                              333                                 99.43                                    750                                 99.40
                              500                                 99.49                                   1000                                 99.43
                              667                                 99.52                                   1500                                 99.48
                              833                                 99.55                                   2000                                 99.51
                                                                                                          2500                                 99.53
--------------------------------------------------------------------------------------------------------------------------------------------------------
Note: All efficiency values are at 50 percent of nameplate-rated load, determined according to the DOE Test--Procedure, appendix A to this subpart K.


[[Page 188]]

    (3) The efficiency of a liquid-immersed distribution transformer, 
that is not a submersible distribution transformer, manufactured on or 
after April 23, 2029, shall be no less than that required for their kVA 
rating in the following table. 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.

[[Page 189]]



                                                               Table 6 to Paragraph (b)(3)
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                Single-phase                                                                  Three-phase
--------------------------------------------------------------------------------------------------------------------------------------------------------
                 kVA                              Efficiency  (%)                              kVA                             Efficiency  (%)
--------------------------------------------------------------------------------------------------------------------------------------------------------
                               10                                 98.77                                     15                                 98.92
                               15                                 98.88                                     30                                 99.06
                               25                                 99.00                                     45                                 99.14
                             37.5                                 99.10                                     75                                 99.22
                               50                                 99.15                                  112.5                                 99.29
                               75                                 99.23                                    150                                 99.33
                              100                                 99.29                                    225                                 99.38
                              167                                 99.46                                    300                                 99.42
                              250                                 99.51                                    500                                 99.38
                              333                                 99.54                                    750                                 99.43
                              500                                 99.59                                   1000                                 99.46
                              667                                 99.62                                   1500                                 99.51
                              833                                 99.64                                   2000                                 99.53
                                                                                                          2500                                 99.55
                                                                                                          3750                                 99.54
                                                                                                          5000                                 99.53
--------------------------------------------------------------------------------------------------------------------------------------------------------
Note: All efficiency values are at 50 percent of nameplate-rated load, determined according to the DOE Test Method for Measuring the Energy Consumption
  of Distribution Transformers under appendix A to this subpart K.


[[Page 190]]

    (4) The efficiency of a submersible distribution transformer, 
manufactured on or after April 23, 2029, shall be no less than that 
required for their kVA rating in the following table. Submersible 
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.

[[Page 191]]



                                                               Table 7 to Paragraph (b)(4)
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                Single-phase                                                                  Three-phase
--------------------------------------------------------------------------------------------------------------------------------------------------------
                 kVA                              Efficiency  (%)                              kVA                             Efficiency  (%)
--------------------------------------------------------------------------------------------------------------------------------------------------------
                               10                                 98.70                                     15                                 98.65
                               15                                 98.82                                     30                                 98.83
                               25                                 98.95                                     45                                 98.92
                             37.5                                 99.05                                     75                                 99.03
                               50                                 99.11                                  112.5                                 99.11
                               75                                 99.19                                    150                                 99.16
                              100                                 99.25                                    225                                 99.23
                              167                                 99.33                                    300                                 99.27
                              250                                 99.39                                    500                                 99.35
                              333                                 99.43                                    750                                 99.40
                              500                                 99.49                                   1000                                 99.43
                              667                                 99.52                                   1500                                 99.48
                              833                                 99.55                                   2000                                 99.51
                                                                                                          2500                                 99.53
--------------------------------------------------------------------------------------------------------------------------------------------------------
Note: All efficiency values are at 50 percent of nameplate-rated load, determined according to the DOE Test--Procedure, appendix A to this subpart K.


[[Page 192]]

    (c) Medium-Voltage Dry-Type Distribution Transformers. (1) The 
efficiency of a medium-voltage dry-type distribution transformer 
manufactured on or after January 1, 2010, but before January 1, 2016, 
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.

--------------------------------------------------------------------------------------------------------------------------------------------------------
                                   Single-phase                                                                  Three-phase
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                         BIL*                                                                   BIL
                                  -------------------------------------------------                      -----------------------------------------------
                                      20-45 kV        46-95 kV      =96                           20-45 kV        46-95 kV     =96
               kVA                --------------------------------        kV                 kVA         --------------------------------       kV
                                                                  -----------------                                                      ---------------
                                   Efficiency (%)  Efficiency (%)   Efficiency (%)                        Efficiency (%)  Efficiency (%)  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
--------------------------------------------------------------------------------------------------------------------------------------------------------
* BIL means basic impulse insulation level.

    Note 5 to paragraph (c)(1): All efficiency values are at 50 percent 
per-unit load.
    (2) The efficiency of a medium-voltage dry-type distribution 
transformer manufactured on or after January 1, 2016, but before April 
23, 2029, shall be no less than that required for their kVA and BIL 
rating in the following table. 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.

[[Page 193]]



                                                               Table 9 to Paragraph (c)(2)
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                          Single-phase                                                                 Three-phase
                   ----------------------------------------------------------                   --------------------------------------------------------
                                             BIL \1\                                                                       BIL
        kVA        ----------------------------------------------------------        kVA        --------------------------------------------------------
                         20-45 kV           46-95 kV       =96 kV                          20-45 kV           46-95 kV      =96 kV
                   ----------------------------------------------------------                   --------------------------------------------------------
                     Efficiency  (%)    Efficiency  (%)     Efficiency  (%)                       Efficiency  (%)    Efficiency  (%)    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              98.13
              75               98.73              98.57              98.53               112.5              98.52              98.36
             100               98.82              98.67              98.63                 150              98.65              98.51
             167               98.96              98.83              98.80                 225              98.82              98.69              98.57
             250               99.07              98.95              98.91                 300              98.93              98.81              98.69
             333               99.14              99.03              98.99                 500              99.09              98.99              98.89
             500               99.22              99.12              99.09                 750              99.21              99.12              99.02
             667               99.27              99.18              99.15                1000              99.28              99.20              99.11
             833               99.31              99.23              99.20                1500              99.37              99.30              99.21
                    .................  .................  ..................              2000              99.43              99.36              99.28
                    .................  .................  ..................              2500              99.47              99.41              99.33
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ BIL means basic impulse insulation level.
Note: All efficiency values are at 50 percent of nameplate rated load, determined according to the DOE Test Method for Measuring the Energy Consumption
  of Distribution Transformers under appendix A to this subpart K.


[[Page 194]]

    (3) The efficiency of a medium-voltage dry-type distribution 
transformer manufactured on or after April 23, 2029, shall be no less 
than that required for their kVA and BIL rating in the following table. 
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.

[[Page 195]]



                                                              Table 10 to Paragraph (c)(3)
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                          Single-phase                                                                 Three-phase
                   ----------------------------------------------------------                   --------------------------------------------------------
                                             BIL \1\                                                                       BIL
        kVA        ----------------------------------------------------------        kVA        --------------------------------------------------------
                         20-45 kV           46-95 kV       =96 kV                          20-45 kV           46-95 kV      =96 kV
                   ----------------------------------------------------------                   --------------------------------------------------------
                     Efficiency  (%)    Efficiency  (%)     Efficiency  (%)                       Efficiency  (%)    Efficiency  (%)    Efficiency  (%)
--------------------------------------------------------------------------------------------------------------------------------------------------------
              15               98.29              98.07   ..................                15              97.75              97.46
              25               98.50              98.31   ..................                30              98.11              97.87
            37.5               98.64              98.47   ..................                45              98.29              98.07
              50               98.74              98.58   ..................                75              98.50              98.32
              75               98.86              98.71              98.68               112.5              98.67              98.52
             100               98.94              98.80              98.77                 150              98.79              98.66
             167               99.06              98.95              98.92                 225              98.94              98.82              98.71
             250               99.16              99.06              99.02                 300              99.04              98.93              98.82
             333               99.23              99.13              99.09                 500              99.18              99.09              99.00
             500               99.30              99.21              99.18                 750              99.29              99.21              99.12
             667               99.34              99.26              99.24                1000              99.35              99.28              99.20
             833               99.38              99.31              99.28                1500              99.43              99.37              99.29
                    .................  .................  ..................              2000              99.49              99.42              99.35
                    .................  .................  ..................              2500              99.52              99.47              99.40
                    .................  .................  ..................              3750              99.50              99.44              99.40
                    .................  .................  ..................              5000              99.48              99.43              99.39
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ BIL means basic impulse insulation level/
Note: All efficiency values are at 50 percent of nameplate rated load, determined according to the DOE Test Method for Measuring the Energy Consumption
  of Distribution Transformers under appendix A to this subpart K.


[[Page 196]]

    (d) Mining Distribution Transformers. [Reserved]
    (e) Severability. The provisions of paragraphs (a) through (d) of 
this section are separate and severable from one another. Should a court 
of competent jurisdiction hold any provision(s) of this section to be 
stayed or invalid, such action shall not affect any other provision of 
this section.

[78 FR 23433, Apr. 18, 2013, as amended at 86 FR 51252, Sept. 14, 2021; 
89 FR 30040, Apr. 22, 2024]

                       Compliance and Enforcement

    Source: 71 FR 24997, Apr. 27, 2006, unless otherwise noted.



   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 Per-Unit Load, Reference Temperature, and Accuracy Requirements.

    2.1 Per-Unit Load
    In conducting the test procedure in this appendix for the purpose 
of:
    (a) Certification to an energy conservation standard, the applicable 
per-unit load in Table 2.1 must be used; or
    (b) Making voluntary representations as provided in section 7.0 at 
an additional per-unit load, select the per-unit load of interest.

    Table 2.1--Per-unit Load for Certification to Energy Conservation
                                Standards
------------------------------------------------------------------------
                                                               Per-unit
              Distribution transformer category                  load
                                                               (percent)
------------------------------------------------------------------------
Liquid-immersed.............................................          50
Medium-voltage dry-type.....................................          50
Low-voltage dry-type........................................          35
------------------------------------------------------------------------

    2.2 Reference Temperature
    In conducting the test procedure in this appendix for the purpose 
of:
    (a) Certification to an energy conservation standard, the applicable 
reference temperature in Table 2.2 must be used; or
    (b) Making voluntary representations as provided in section 7.0 at 
an additional reference temperature, select the reference temperature of 
interest.

      Table 2.2--Reference Temperature for Certification to Energy
                         Conservation Standards
------------------------------------------------------------------------
     Distribution transformer category          Reference temperature
------------------------------------------------------------------------
Liquid-immersed...........................  20 [deg]C for no-load loss.
                                            55 [deg]C for load loss.
Medium-voltage dry-type...................  20 [deg]C for no-load loss.
                                            75 [deg]C for load loss.
Low-voltage dry-type......................  20 [deg]C for no-load loss.
                                            75 [deg]C for load loss.
------------------------------------------------------------------------

    2.3 Accuracy Requirements
    (a) Equipment and methods for loss measurement must be sufficiently 
accurate that measurement error will be limited to the values shown in 
Table 2.3.

 Table 2.3--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..........................  1.5 [deg]C
                                        for liquid-immersed distribution
                                        transformers, and 2.0 [deg]C for low-
                                        voltage dry-type and medium-
                                        voltage dry-type distribution
                                        transformers.
------------------------------------------------------------------------

    (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.
    (c) 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 2.3 of this appendix.

[[Page 197]]

    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 insulating liquid 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 insulating 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. The temperature of the insulating liquid is considered stable if 
the top liquid temperature does not vary more than 2 [deg]C in a 1-h 
period.
    3.2.2 Dry-Type Distribution Transformers.
    Record the winding temperature (Tdc) of dry-type 
transformers as one 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; or
    (b) 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
    (c) For ventilated units or sealed units, use the ambient 
temperature of the test area, only if the following conditions are met:
    (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. Enclosure surface temperatures for sealed units must not 
differ from the test area ambient temperature by more than 2 [deg]C.
    (2) Test area ambient temperature must not have changed by more than 
3 [deg]C for 3 hours before the test.
    (3) 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 (i.e., after 48 hours, the transformer windings can be assumed to 
have stabilized at the level of the ambient temperature. Any 
stabilization time beyond 48 hours is optional).
    3.3 Resistance Measurement Methods.
    Make resistance measurements using either the resistance bridge 
method (section 3.3.1), the voltmeter-ammeter method (section 3.3.2) or 
resistance meters (section 3.3.3). In each instance when this appendix 
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 198]]

[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 199]]

[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 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 of this appendix.

[[Page 200]]

[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 a minimum of four readings of voltage and current. Voltage and 
current readings must be taken simultaneously for each of the readings. 
Calculate the average voltage and average current using the readings. 
Determine the winding resistance Rdc by using equation 3-4 as 
follows:
[GRAPHIC] [TIFF OMITTED] TR14SE21.014

Where:

Vmdc is the average voltage measured by the voltmeter V; and
Imdc is the average 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 2.3 in section 2.3 of this appendix.
    3.4 Precautions in Measuring Winding Resistance.
    3.4.1 Required actions.
    The following requirements 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.

[[Page 201]]

    (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.
    (f) Keep the polarity of the core magnetization constant during all 
resistance measurements.
    (g) For single-phase windings, measure the resistance from terminal 
to terminal. The total winding resistance is the terminal-to-terminal 
measurement. For series-parallel windings, the total winding resistance 
is the sum of the series terminal-to-terminal section measurements.
    (h) For wye windings, measure the resistance from terminal to 
terminal or from terminal to neutral. For the total winding resistance, 
the resistance of the lead from the neutral connection to the neutral 
bushing may be excluded. For terminal-to-terminal measurements, the 
total resistance reported is the sum of the three measurements divided 
by two.
    (i) For delta windings, measure resistance from terminal to terminal 
with the delta closed or from terminal to terminal with the delta open 
to obtain the individual phase readings. The total winding resistance is 
the sum of the three-phase readings if the delta is open. If the delta 
is closed, the total winding resistance is the sum of the three phase-
to-phase readings times 1.5.
    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 2.3:
    (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

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.
    (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 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 all distribution transformers using a 
sinusoidal waveform (k = 1). Measure losses with the transformer 
energized by a 60 Hz supply.
    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 2.3 in section 2.3 of this 
appendix. In addition, the wattmeter, current measuring system and

[[Page 202]]

voltage measuring system must be calibrated separately if the overall 
test set calibration is outside the tolerance as specified in section 
2.3 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.
    (c) Both load loss and no-load loss measurements must be made from 
terminal to terminal.
    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.
[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.

[[Page 203]]

[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 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

[[Page 204]]

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.
[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.

[[Page 205]]

    (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 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. For both certification to 
energy conservation standards and voluntary representations, 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. For certification to energy 
conservation standards only, if the no-load loss measurements were made 
between 10 [deg]C and 30 [deg]C, this correction is not required. 
Correct the no-load loss to the reference temperature by using equation 
4-2 as follows:
[GRAPHIC] [TIFF OMITTED] TR14SE21.015

Where:

Pnc is the no-load losses corrected for waveform distortion and then to 
          the reference temperature;
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.

    4.5 Load Losses: Measurement and Calculations.
    4.5.1 General Considerations.

[[Page 206]]

    (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.
    (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] TR14SE21.016

    (d) The symbols in this section (4.5.3.2) have the following 
meanings:

Plc1 is the corrected wattmeter reading for phase angle 
          errors,

[[Page 207]]

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:

    [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:

[[Page 208]]

[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,
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 per-unit load selected in section 2.1 is different from the 
per-unit load 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] TR14SE21.017


[[Page 209]]


Where:

Plc is the adjusted load loss power to the per-unit load;
Plc2 is as calculated in section 4.5.3.3;
Por is the rated transformer apparent power (name plate);
Pos is the adjusted rated transformer apparent power, where Pos = PorL; 
          and
L is the per-unit load, e.g., if the per-unit load is 50 percent then 
          ``L'' is 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 2.3, Table 2.3 of this appendix.
    6.1 Test Equipment.
    The party performing the tests must control, calibrate, and maintain 
measuring and test equipment, whether or not it owns the equipment, has 
the equipment on loan, or the equipment is provided by another party. 
Equipment must 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 2.3) 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.

            7.0 Test Procedure for Voluntary Representations

    Follow sections 1.0 through 6.0 of this appendix using the per-unit 
load and/or reference temperature of interest for voluntary 
representations of efficiency, and corresponding values of load loss and 
no-load loss at additional per-unit load and/or reference temperature. 
Representations made at a per-unit load and/or reference temperature 
other than those required to comply with the energy conservation 
standards at Sec.  431.196 must be in addition to, and not in place of, 
a representation at the required DOE settings for per-unit load and 
reference temperature. As a best practice, the additional settings of 
per-unit load and reference temperature should be provided with the 
voluntary representations.

[71 FR 24999, Apr. 27, 2006; 71 FR 60662, Oct. 16, 2006; 86 FR 51252, 
Sept. 14, 2021]

[[Page 210]]


    Effective Date Note: At 71 FR 24999, Apr. 27, 2006, appendix A to 
subpart K of part 431 was added. Section 6.2(f) contains information 
collection requirements and will not become effective until approval has 
been given by the Office of Management and Budget.



                    Subpart L_Illuminated Exit Signs

    Source: 70 FR 60417, Oct. 18, 2005, unless otherwise noted.



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 all units of a given type of covered product (or 
class thereof) manufactured by one manufacturer, having the same primary 
energy source, and which have essentially identical electrical, 
physical, and functional (or hydraulic) characteristics that affect 
energy consumption, energy efficiency, water consumption, or water 
efficiency.
    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; 76 
FR 12504, Mar. 7, 2011]

                             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]

[[Page 211]]



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 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 all units of a given type of covered product (or 
class thereof) manufactured by one manufacturer, having the same primary 
energy source, and which have essentially identical electrical, 
physical, and functional (or hydraulic) characteristics that affect 
energy consumption, energy efficiency, water consumption, or water 
efficiency.
    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; 76 
FR 12504, Mar. 7, 2011]

                             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.

[[Page 212]]

    (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:
    (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 
[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 74  wattage (at 25
                                              [deg]C)         [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]

[[Page 213]]



                         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.

    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.
    Basic model means all units of a given type of covered product (or 
class thereof) manufactured by one manufacturer, having the same primary 
energy source, and which have essentially identical electrical, 
physical, and functional (or hydraulic) characteristics that affect 
energy consumption, energy efficiency, water consumption, or water 
efficiency.
    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.
    Unit heater means a self-contained fan-type heater designed to be 
installed within the heated space; however, the term does not include a 
warm air furnace.
    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; 76 
FR 12504, Mar. 7, 2011]

                       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.

    As used in this subpart:
    Basic model means all spray settings of a given class manufactured 
by one manufacturer, which have essentially identical physical and 
functional (or hydraulic) characteristics that affect water consumption 
or water efficiency.
    Commercial prerinse spray valve means a handheld device that has a 
release-to-close valve and is suitable for removing food residue from 
food service items before cleaning them in commercial dishwashing or 
ware washing equipment. DOE may determine that a device is suitable for 
removing food residue from food service items before

[[Page 214]]

cleaning them in commercial dishwashing or ware washing equipment based 
on any or all of the following:
    (1) Equipment design and representations (for example, whether 
equipment is represented as being capable of rinsing dishes as compared 
to equipment that is represented exclusively for washing walls and 
floors or animal washing);
    (2) Channels of marketing and sales (for example, whether equipment 
is marketed or sold through outlets that market or sell to food service 
entities);
    (3) Actual sales (including whether the end-users are restaurants or 
commercial or institutional kitchens, even if those sales are indirectly 
through an entity such as a distributor).
    Spray force means the amount of force exerted onto the spray disc, 
measured in ounce-force (ozf).

[80 FR 81453, Dec. 30, 2015, as amended at 87 FR 13909, Mar. 11, 2022]



Sec.  431.263  Materials incorporated by reference.

    (a) Certain material is incorporated by reference into this subpart 
with the approval of the Director of the Federal Register in accordance 
with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other 
than that specified in this section, the U.S. Department of Energy (DOE) 
must publish a document in the Federal Register and the material must be 
available to the public. All approved material is available for 
inspection at the DOE and at the National Archives and Records 
Administration (NARA). Contact DOE at: The 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) 
586-9127, or [email protected], https://www.energy.gov/eere/
buildings/building-technologies-office. For information on the 
availability of this material at NARA, email: [email protected], or 
go to: www.archives.gov/federal-register/cfr/ibr-locations.html. The 
material may be obtained from the source(s) in the following 
paragraph(s) of this section.
    (b) ASTM. ASTM, International, 100 Barr Harbor Drive, P.O. Box C700, 
West Conshohocken, PA 19428-2959, (610) 832-9585, or go to www.astm.org.
    (1) ASTM F2324-13 (R2019) (``ASTM F2324''),''Standard Test Method 
for Prerinse Spray Valves'', Approved May 1, 2019; IBR approved for 
Sec.  431.264.
    (2) [Reserved]

[87 FR 13910, Mar. 11, 2022]

                             Test Procedures



Sec.  431.264  Uniform test method to measure flow rate and spray force
of commercial prerinse spray valves.

    (a) Scope. This section provides the test procedure to measure the 
flow rate and spray force of a commercial prerinse spray valve.
    (b) Testing and calculations for a unit with a single spray 
setting--(1) Flow rate. (i) Test each unit in accordance with the 
requirements of Sections 6.1 through 6.9 (Apparatus) (except 6.4 and 
6.7), 9.1 through 9.4 (Preparation of Apparatus), and 10.1 through 
10.2.5 (Procedure) of ASTM F2324, (incorporated by reference, see Sec.  
431.263). Precatory language in ASTM F2324 is to be treated as mandatory 
for the purpose of testing. In Section 9.1 of ASTM F2324, the second 
instance of ``prerinse spray valve'' refers to the spring-style deck-
mounted prerinse unit defined in Section 6.8. In lieu of using 
manufacturer installation instructions or packaging, always connect the 
commercial prerinse spray valve to the flex tubing for testing. 
Normalize the weight of the water to calculate flow rate using Equation 
1 to this paragraph, where Wwater is the weight normalized to 
a 1 minute time period, W1 is the weight of the water in the 
carboy at the conclusion of the flow rate test, and t1 is the 
total recorded time of the flow rate test.
[GRAPHIC] [TIFF OMITTED] TR11MR22.000


[[Page 215]]


    (ii) Perform calculations in accordance with Section 11.3.1 
(Calculation and Report) of ASTM F2324. Record the water temperature ( 
[deg]F) and dynamic water pressure (psi) once at the start for each run 
of the test. Record the time (min), the normalized weight of water in 
the carboy (lb) and the resulting flow rate (gpm) once at the end of 
each run of the test. Record flow rate measurements of time (min) and 
weight (lb) at the resolutions of the test instrumentation. Perform 
three runs on each unit, as specified in Section 10.2.5 of ASTM F2324, 
but disregard any references to Annex A1. Then, for each unit, calculate 
the mean of the three flow rate values determined from each run. Round 
the final value for flow rate to two decimal places and record that 
value.
    (2) Spray force. Test each unit in accordance with the test 
requirements specified in Sections 6.2 and 6.4 through 6.9 (Apparatus), 
9.1 through 9.5.3.2 (Preparation of Apparatus), and 10.3.1 through 
10.3.8 (Procedure) of ASTM F2324. In Section 9.1 of ASTM F2324, the 
second instance of ``prerinse spray valve'' refers to the spring-style 
deck-mounted prerinse unit defined in Section 6.8. In lieu of using 
manufacturer installation instructions or packaging, always connect the 
commercial prerinse spray valve to the flex tubing for testing. Record 
the water temperature ( [deg]F) and dynamic water pressure (psi) once at 
the start for each run of the test. In order to calculate the mean spray 
force value for the unit under test, there are two measurements per run 
and there are three runs per test. For each run of the test, record a 
minimum of two spray force measurements and calculate the mean of the 
measurements over the 15-second time period of stabilized flow during 
spray force testing. Record the time (min) once at the end of each run 
of the test. Record spray force measurements at the resolution of the 
test instrumentation. Conduct three runs on each unit, as specified in 
Section 10.3.8 of ASTM F2324, but disregard any references to Annex A1. 
Ensure the unit has been stabilized separately during each run. Then for 
each unit, calculate and record the mean of the spray force values 
determined from each run. Round the final value for spray force to one 
decimal place.
    (c) Testing and calculations for a unit with multiple spray 
settings. If a unit has multiple user-selectable spray settings, or 
includes multiple spray faces that can be installed, for each possible 
spray setting or spray face:
    (1) Measure both the flow rate and spray force according to 
paragraphs (b)(1) and (2) of this section (including calculating the 
mean flow rate and mean spray force) for each spray setting; and
    (2) Record the mean flow rate for each spray setting, rounded to two 
decimal places. Record the mean spray force for each spray setting, 
rounded to one decimal place.
    (d) Test procedure for voluntary representations. Follow paragraph 
(b)(1) or (2) or (c) of this section, as applicable, using test water 
pressure(s) of interest for voluntary representations of flow rate. 
Representations made at a water pressure other than the required test 
water pressure cannot replace a representation at the required test 
water pressure specified in Section 9.1 of ASTM F2324. Any voluntary 
representation of flow rate made pursuant to this paragraph shall 
specify the water pressure associated with the represented flow rate.

[80 FR 81453, Dec. 30, 2015, as amended at 87 FR 13910, Mar. 11, 2022]

                      Energy Conservation Standards



Sec.  431.266  Energy conservation standards and their effective dates.

    (a) Commercial prerinse spray valves manufactured on or after 
January 1, 2006 and before January 28, 2019, shall have a flow rate of 
not more than 1.6 gallons per minute. For the purposes of this standard, 
a commercial prerinse spray valve is 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.
    (b) Commercial prerinse spray valves manufactured on or after 
January 28, 2019 shall have a flow rate that does not exceed the 
following:

[[Page 216]]



------------------------------------------------------------------------
                                                             Flow rate
     Product class (spray force in ounce-force, ozf)       (gallons per
                                                           minute, gpm)
------------------------------------------------------------------------
Product Class 1 (<=5.0 ozf).............................            1.00
Product Class 2 (5.0 ozf and <=8.0 ozf)......            1.20
Product Class 3 (8.0 ozf)....................            1.28
------------------------------------------------------------------------

    (1) For the purposes of this standard, the definition of commercial 
prerinse spray valve in Sec.  431.262 applies.
    (2) [Reserved]

[81 FR 4801, Jan. 27, 2016]



                  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.
    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 and energy conservation 
standards for certain commercial refrigerated bottled or canned beverage 
vending machines, pursuant to part A of Title III of the Energy Policy 
and Conservation Act, as amended, 42 U.S.C. 6291-6309. The regulatory 
provisions of Sec. Sec.  430.33 and 430.34 and subparts D and E of part 
430 of this chapter are applicable to refrigerated bottled or canned 
beverage vending machines.

[80 FR 45792, July 31, 2015]

[[Page 217]]



Sec.  431.292  Definitions concerning refrigerated bottled or canned
beverage vending machines.

    Basic model means all units of a given type of covered product (or 
class thereof) manufactured by one manufacturer, having the same primary 
energy source, and which have essentially identical electrical, 
physical, and functional (or hydraulic) characteristics that affect 
energy consumption, energy efficiency, water consumption, or water 
efficiency.
    Bottled or canned beverage means a beverage in a sealed container.
    Class A means a refrigerated bottled or canned beverage vending 
machine that is not a combination vending machine and in which 25 
percent or more of the surface area on the front side of the beverage 
vending machine is transparent.
    Class B means a refrigerated bottled or canned beverage vending 
machine that is not considered to be Class A and is not a combination 
vending machine.
    Combination A means a combination vending machine where 25 percent 
or more of the surface area on the front side of the beverage vending 
machine is transparent.
    Combination B means a combination vending machine that is not 
considered to be Combination A.
    Combination vending machine means a bottled or canned beverage 
vending machine containing two or more compartments separated by a solid 
partition, that may or may not share a product delivery chute, in which 
at least one compartment is designed to be refrigerated, as demonstrated 
by the presence of temperature controls, and at least one compartment is 
not.
    Refrigerated bottled or canned beverage vending machine means a 
commercial refrigerator (as defined at Sec.  431.62) that cools bottled 
or canned beverages and dispenses the bottled or canned beverages on 
payment.
    Transparent means greater than or equal to 45 percent light 
transmittance, as determined in accordance with ASTM E 1084-86 
(Reapproved 2009), (incorporated by reference, see Sec.  431.293) at 
normal incidence and in the intended direction of viewing.
    V means the refrigerated volume (ft\3\) of the refrigerated bottled 
or canned beverage vending machine, as measured by Appendix C of ANSI/
ASHRAE 32.1 (incorporated by reference, see Sec.  431.293).

[71 FR 71375, Dec. 8, 2006, as amended at 74 FR 44967, Aug. 31, 2009; 76 
FR 12504, Mar. 7, 2011; 80 FR 45792, July 31, 2015; 81 FR 1112, Jan. 8, 
2016]

                             Test Procedures



Sec.  431.293  Materials incorporated by reference.

    (a) Certain material is incorporated by reference into this subpart 
with the approval of the Director of the Federal Register in accordance 
with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other 
than that specified in this section, the DOE must publish a document in 
the Federal Register and the material must be available to the public. 
All approved incorporation by reference (IBR) material is available for 
inspection at DOE, and at the National Archives and Records 
Administration (NARA). Contact DOE at: the U.S. Department of Energy, 
Office of Energy Efficiency and Renewable Energy, Building Technologies 
Program, 1000 Independence Ave. SW, EE-5B, Washington, DC 20585, (202) 
586-9127, [email protected], https://www.energy.gov/eere/buildings/
building-technologies-office. For information on the availability of 
this material at NARA, visit www.archives.gov/federal-register/cfr/ibr-
locations.html or email [email protected]. The material may be 
obtained from the sources in the following paragraphs of this section:
    (b) AHAM. Association of Home Appliance Manufacturers, 1111 19th 
Street NW, Suite 402, Washington, DC 20036; (202) 872-5955; 
www.aham.org.
    (1) AHAM HRF-1-2016, Energy and Internal Volume of Refrigerating 
Appliances, copyright 2016; IBR approved for appendix B to this subpart.
    (2) [Reserved]
    (c) ASHRAE. American Society of Heating, Refrigerating and Air-
Conditioning Engineers, Inc., 1791 Tullie Circle NE, Atlanta, GA 30329; 
(404) 636-8400; www.ashrae.org.

[[Page 218]]

    (1) ANSI/ASHRAE Standard 32.1-2022 (ANSI/ASHRAE 32.1), Methods of 
Testing for Rating Refrigerated Vending Machines for Sealed Beverages, 
approved December 30, 2022; IBR approved for Sec.  431.292 and appendix 
B to this subpart.
    (2) [Reserved]
    (d) ASTM. ASTM International, 100 Barr Harbor Drive, P.O. Box C700, 
West Conshohocken, PA 19428-2959; (877) 909-2786; www.astm.org.
    (1) ASTM E 1084-86 (Reapproved 2009), Standard Test Method for Solar 
Transmittance (Terrestrial) of Sheet Materials Using Sunlight, approved 
April 1, 2009; IBR approved for Sec.  431.292.
    (2) [Reserved]

[88 FR 28400, May 4, 2023]



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. Determine the daily energy consumption 
of each covered refrigerated bottled or canned beverage vending machine 
by conducting the appropriate test procedure set forth in appendix A or 
B to this subpart.

[71 FR 71375, Dec. 8, 2006, as amended at 80 FR 45793, July 31, 2015]

                      Energy Conservation Standards



Sec.  431.296  Energy conservation standards and their effective dates.

    (a) Each refrigerated bottled or canned beverage vending machine 
manufactured on or after August 31, 2012 and before January 8, 2019, 
shall have a daily energy consumption (in kilowatt hours per day), when 
measured in accordance with the DOE test procedure at Sec.  431.294, 
that does not exceed the following:

------------------------------------------------------------------------
                                        Maximum daily energy consumption
           Equipment class                  (kilowatt hours per day)
------------------------------------------------------------------------
Class A..............................  0.055 x V [dagger] + 2.56.
Class B..............................  0.073 x V [dagger] + 3.16.
Combination Vending Machines.........  [Reserved].
------------------------------------------------------------------------
[dagger] ``V'' is the representative value of refrigerated volume
  (ft\3\) of the BVM model, as calculated pursuant to 10 CFR
  429.52(a)(3).

    (b) Each refrigerated bottled or canned beverage vending machine 
manufactured on or after January 8, 2019, shall have a daily energy 
consumption (in kilowatt hours per day), when measured in accordance 
with the DOE test procedure at Sec.  431.294, that does not exceed the 
following:

------------------------------------------------------------------------
                                        Maximum daily energy consumption
           Equipment class                  (kilowatt hours per day)
------------------------------------------------------------------------
Class A..............................  0.052 x V [dagger] + 2.43.
Class B..............................  0.052 x V [dagger] + 2.20.
Combination A........................  0.086 x V [dagger] + 2.66.
Combination B........................  0.111 x V [dagger] + 2.04.
------------------------------------------------------------------------
[dagger] ``V'' is the representative value of refrigerated volume
  (ft\3\) of the BVM model, as calculated pursuant to 10 CFR
  429.52(a)(3).


[81 FR 1113, Jan. 8, 2016]



           Sec. Appendix A to Subpart Q of Part 431 [Reserved]



 Sec. Appendix B to Subpart Q of Part 431--Uniform Test Method for the 
  Measurement of Energy Consumption of Refrigerated Bottled or Canned 
                        Beverage Vending Machines

    Note: Manufacturers must use the results of testing under this 
appendix to determine compliance with the relevant standards for 
refrigerated bottled or canned beverage vending machines at 10 CFR 
431.296, revised as of January 1, 2023. Specifically, before October 31, 
2023, representations must be based upon results generated either under 
this appendix as codified on June 5, 2023, or under 10 CFR part 431, 
subpart Q, appendix B, revised as of January 1, 2023. Any 
representations made on or after October 31, 2023, must be made based 
upon results generated using this appendix as codified on June 5, 2023.

                      0. Incorporation by Reference

    DOE incorporated by reference in Sec.  431.293 the entire standard 
for AHAM HRF-1-2016 and ANSI/ASHRAE Standard 32.1-2022; however, only 
enumerated provisions of those documents are applicable to this appendix 
as follows:

[[Page 219]]

                          0.1. AHAM HRF-1-2016

    (a) Section 4, ``Method for Computing Refrigerated Volume of 
Refrigerators, Refrigerator-Freezer, Wine Chillers, and Freezers'' as 
referenced in section 3.1 of this appendix.
    (b) Reserved.
    0.2. ANSI/ASHRAE Standard 32.1-2022
    (a) Section 3, ``Definitions,'' as referenced in section 1 of this 
appendix.
    (b) Section 4, ``Instruments,'' as referenced in section 2 of this 
appendix.
    (c) Section 5, ``Vending Machine Capacity,'' and Normative Appendix 
C, ``Measurement of Volume,'' as referenced in sections 2 and 3.1 of 
this appendix.
    (d) Section 6, ``Test Conditions,'' as referenced in section 2 of 
this appendix.
    (e) Section 7.1, ``Test Procedures--General Requirements'' (except 
Section 7.1.2, ``Functionality,'' and Section 7.1.5.1, ``Beverage 
Temperature Test Packages''), and Section 7.2, ``Energy Consumption 
Test,'' (except Section 7.2.2.6), as referenced in sections 1 and 2 of 
this appendix.
    1. General. In cases where there is a conflict, the language of the 
test procedure in this appendix takes precedence over ANSI/ASHRAE 
Standard 32.1-2022.
    1.1 Definitions. In addition to the definitions specified in Section 
3, ``Definitions,'' of ANSI/ASHRAE Standard 32.1-2022, the following 
definitions are also applicable to this appendix.
    Accessory low power mode means a state in which a beverage vending 
machine's lighting and/or other energy-using systems are in low power 
mode, but that is not a refrigeration low power mode. Functions that may 
constitute an accessory low power mode may include, for example, dimming 
or turning off lights, but does not include adjustment of the 
refrigeration system to elevate the temperature of the refrigerated 
compartment(s).
    External accessory standby mode means the mode of operation in which 
any external, integral customer display signs, lighting, or digital 
screens are connected to main power; do not produce the intended 
illumination, display, or interaction functionality; and can be switched 
into another mode automatically with only a remote user-generated or an 
internal signal.
    Low power mode means a state in which a beverage vending machine's 
lighting, refrigeration, and/or other energy-using systems are 
automatically adjusted (without user intervention) such that they 
consume less energy than they consume in an active vending environment.
    Lowest application product temperature means either:
    (a) For units that operate only at temperatures above the integrated 
average temperature specified in Table 1 of ANSI/ASHRAE Standard 32.1-
2022, the lowest integrated average temperature a given basic model is 
capable of maintaining so as to comply with the temperature 
stabilization requirements specified in section 7.2.2.2 of ANSI/ASHRAE 
Standard 32.1-2022; or
    (b) For units that operate only at temperatures below the integrated 
average temperature specified in Table 1 of ANSI/ASHRAE Standard 32.1-
2022, the highest integrated average temperature a given basic model is 
capable of maintaining so as to comply with the temperature 
stabilization requirements specified in section 7.2.2.2 of ANSI/ASHRAE 
Standard 32.1-2022.
    Refrigeration low power mode means a state in which a beverage 
vending machine's refrigeration system is in low power mode because of 
elevation of the temperature of the refrigerated compartment(s). To 
qualify as low power mode, the unit must satisfy the requirements 
described in section 2.3.2.1 of this appendix.
    1.2 [Reserved]
    2. Test Procedure. Conduct testing according to section 4, 
``Instruments''; section 5, ``Vendible Capacity''; section 6, ``Test 
Conditions''; section 7.1, ``Test Procedures--General Requirements'' 
(except Section 7.1.2 ``Functionality'' and section 7.1.5.1 ``Beverage 
Temperature Test Packages''); and section 7.2, ``Energy Consumption 
Test'' (except section 7.2.2.6) of ANSI/ASHRAE Standard 32.1-2022, 
except as described in the following sections.
    2.1. Lowest Application Product Temperature. If a refrigerated 
bottled or canned beverage vending machine is not capable of maintaining 
an integrated average temperature of 36 [deg]F (1 
[deg]F) during the 24-hour test period, the unit must be tested at the 
lowest application product temperature, as defined in section 1.1 of 
this appendix.
    2.2. Equipment Installation and Test Setup. Except as provided in 
this section 2.2 of this appendix, the test procedure for energy 
consumption of refrigerated bottled or canned beverage vending machines 
shall be conducted in accordance with the methods specified in sections 
7.1 through 7.2.2.7 under ``Test Procedures'' of ANSI/ASHRAE Standard 
32.1-2022.
    2.2.1. Equipment Loading. Configure refrigerated bottled or canned 
beverage vending machines to hold the maximum number of standard 
products.
    2.2.1.1. Non-Beverage Shelves. Any shelves within the refrigerated 
compartment(s) for non-beverage merchandise only shall not be loaded for 
testing.
    2.2.1.2. Standard Products. The standard product shall be standard 
12-ounce aluminum beverage cans filled with a liquid with a density of 
1.0 grams per milliliter (``g/mL'') 0.1 g/mL at 36 
[deg]F. For product storage racks that are not capable of vending 12-
ounce cans, but are capable of vending 20-ounce bottles, the standard 
product shall be 20-ounce plastic bottles filled with a liquid with

[[Page 220]]

a density of 1.0 g/mL 0.1 g/mL at 36 [deg]F. For 
product storage racks that are not capable of vending 12-ounce cans or 
20-ounce bottles, the standard product shall be the packaging and 
contents specified by the manufacturer in product literature as the 
standard product (i.e., the specific merchandise the refrigerated 
bottled or canned beverage vending machine is designed to vend).
    2.2.1.3. Standard Test Packages. A standard test package is a 
standard product, as specified in section 2.2.1.2 of this appendix, 
altered to include a temperature-measuring instrument at its center of 
mass.
    2.2.2. Sensor Placement. The integrated average temperature of next-
to-vend beverages shall be measured in standard test packages in the 
next-to-vend product locations specified in section 7.1.5.2 of ANSI/
ASHRAE Standard 32.1-2022. Do not run the thermocouple wire and other 
measurement apparatus through the dispensing door; the thermocouple wire 
and other measurement apparatus must be configured and sealed so as to 
minimize air flow between the interior refrigerated volume and the 
ambient room air. If a manufacturer chooses to employ a method other 
than routing thermocouple and sensor wires through the door gasket and 
ensuring the gasket is compressed around the wire to ensure a good seal, 
then it must maintain a record of the method used in the data underlying 
that basic model's certification pursuant to 10 CFR 429.71.
    2.2.3. Vending Mode Test Period. The vending mode test period begins 
after temperature stabilization has been achieved, as described in 
section 7.2.2.2 of ANSI/ASHRAE Standard 32.1-2022 and continues for 18 
hours for equipment with an accessory low power mode or for 24 hours for 
equipment without an accessory low power mode. For the vending mode test 
period, equipment with energy-saving features that cannot be disabled 
shall have those features set to the most energy-consuming settings, 
except for as specified in section 2.2.4 of this appendix. In addition, 
all energy management systems shall be disabled. Provide, if necessary, 
any physical stimuli or other input to the machine needed to prevent 
automatic activation of low power modes during the vending mode test 
period.
    2.2.4. Accessory Low Power Mode Test Period. For equipment with an 
accessory low power mode, the accessory low power mode may be engaged 
for 6 hours, beginning 18 hours after the temperature stabilization 
requirements established in section 7.2.2.2 of ANSI/ASHRAE Standard 
32.1-2022 have been achieved, and continuing until the end of the 24-
hour test period. During the accessory low power mode test, operate the 
refrigerated bottled or canned beverage vending machine with the lowest 
energy-consuming lighting and control settings that constitute an 
accessory low power mode. The specification and tolerances for 
integrated average temperature in Table 2 of ANSI/ASHRAE Standard 32.1-
2022 still apply, and any refrigeration low power mode must not be 
engaged. Provide, if necessary, any physical stimuli or other input to 
the machine needed to prevent automatic activation of refrigeration low 
power modes during the accessory low power mode test period.
    2.2.5. Accessories. Unless specified otherwise in this appendix or 
ANSI/ASHRAE Standard 32.1-2022, all standard components that would be 
used during normal operation of the basic model in the field and are 
necessary to provide sufficient functionality for cooling and vending 
products in field installations (i.e., product inventory, temperature 
management, product merchandising (including, e.g., lighting or 
signage), product selection, and product transport and delivery) shall 
be in place during testing and shall be set to the maximum energy-
consuming setting if manually adjustable. Components not necessary for 
the inventory, temperature management, product merchandising (e.g., 
lighting or signage), product selection, or product transport and 
delivery shall be de-energized. If systems not required for the primary 
functionality of the machine as stated in this section cannot be de-
energized without preventing the operation of the machine, then they 
shall be placed in the lowest energy-consuming state. Components with 
controls that are permanently operational and cannot be adjusted by the 
machine operator shall be operated in their normal setting and 
consistent with the requirements of sections 2.2.3 and 2.2.4 of this 
appendix. The specific components and accessories listed in the 
subsequent sections shall be operated as stated during the test, except 
when controlled as part of a low power mode during the low power mode 
test period.
    2.2.5.1. Payment Mechanisms. Refrigerated bottled or canned beverage 
vending machines shall be tested with no payment mechanism in place, the 
payment mechanism in place but de-energized, or the payment mechanism in 
place but set to the lowest energy-consuming state, if it cannot be de-
energized. A default payment mechanism energy consumption value of 0.20 
kWh/day shall be added to the primary rated energy consumption per day, 
as noted in section 2.3 of this appendix.
    2.2.5.2. Internal Lighting. All lighting that is contained within or 
is part of the internal physical boundary of the refrigerated bottled or 
canned beverage vending machine, as established by the top, bottom, and 
side panels of the equipment, shall be placed in its maximum energy-
consuming state.
    2.2.5.3. External Customer Display Signs, Lights, and Digital 
Screens. All external customer display signs, lights, and digital

[[Page 221]]

screens that are independent from the refrigeration or vending 
performance of the refrigerated bottled or canned beverage vending 
machine must be disconnected, disabled, or otherwise de-energized for 
the duration of testing. Customer display signs, lighting, and digital 
screens that are integrated into the beverage vending machine cabinet or 
controls such that they cannot be de-energized without disabling the 
refrigeration or vending functions of the refrigerated bottled or canned 
beverage vending machine or modifying the circuitry must be placed in 
external accessory standby mode, if available, or their lowest energy-
consuming state. Digital displays that also serve a vending or money 
processing function must be placed in the lowest energy-consuming state 
that still allows the money processing feature to function.
    2.2.5.4. Anti-sweat or Other Electric Resistance Heaters. Anti-sweat 
or other electric resistance heaters must be operational during the 
entirety of the test procedure. Units with a user-selectable setting 
must have the heaters energized and set to the most energy-consumptive 
position. Units featuring an automatic, non-user-adjustable controller 
that turns on or off based on environmental conditions must be operating 
in the automatic state. Units that are not shipped with a controller 
from the point of manufacture, but are intended to be used with a 
controller, must be equipped with an appropriate controller when tested.
    2.2.5.5. Condensate Pan Heaters and Pumps. All electric resistance 
condensate heaters and condensate pumps must be installed and 
operational during the test. Prior to the start of the test, including 
the 24-hour period used to determine temperature stabilization prior to 
the start of the test period, as described in section 7.2.2.2 of ANSI/
ASHRAE Standard 32.1-2022, the condensate pan must be dry. For the 
duration of the test, including the 24-hour time period necessary for 
temperature stabilization, allow any condensate moisture generated to 
accumulate in the pan. Do not manually add or remove water from the 
condensate pan at any time during the test. Any automatic controls that 
initiate the operation of the condensate pan heater or pump based on 
water level or ambient conditions must be enabled and operated in the 
automatic setting.
    2.2.5.6. Illuminated Temperature Displays. All illuminated 
temperature displays must be energized and operated during the test the 
same way they would be energized and operated during normal field 
operation, as recommended in manufacturer product literature, including 
manuals.
    2.2.5.7. Condenser Filters. Remove any nonpermanent filters provided 
to prevent particulates from blocking a model's condenser coil.
    2.2.5.8. Security Covers. Remove any devices used to secure the 
model from theft or tampering.
    2.2.5.9. General Purpose Outlets. During the test, do not connect 
any external load to any general purpose outlets available on a unit.
    2.2.5.10. Crankcase Heaters and Other Electric Resistance Heaters 
for Cold Weather. Crankcase heaters and other electric resistance 
heaters for cold weather must be operational during the test. If a 
control system, such as a thermostat or electronic controller, is used 
to modulate the operation of the heater, it must be activated during the 
test and operated in accordance with the manufacturer's instructions.
    2.2.5.11. Refrigerant Leak Mitigation Controls. Any refrigerant leak 
mitigation controls that are independent from the refrigeration or 
vending performance of the refrigerated bottled or canned beverage 
vending machine must be disconnected, disabled, or otherwise de-
energized for the duration of testing. Refrigerant leak mitigation 
controls that are integrated into the refrigerated bottled or canned 
beverage vending machine cabinet or controls such that they cannot be 
de-energized without disabling the refrigeration or vending functions of 
the refrigerated bottled or canned beverage vending machine or modifying 
the circuitry must be placed in external accessory standby mode, if 
available, or their lowest energy-consuming state.
    2.3. Determination of Daily Energy Consumption. The daily energy 
consumption shall be equal to the primary rated energy consumption per 
day (ED), in kWh, determined in accordance with the calculation 
procedure in section 7.2.3.1, ``Calculation of Daily Energy 
Consumption,'' of ANSI/ASHRAE Standard 32.1-2022 plus the default 
payment mechanism energy consumption value from section 2.2.5.1 of this 
appendix, if applicable. In section 7.2.3.1 of ANSI/ASHRAE Standard 
32.1-2022, the energy consumed during the test shall be the energy 
measured during the vending mode test period and accessory low power 
mode test period, as specified in sections 2.2.3 and 2.2.4 of this 
appendix, as applicable.
    2.3.1. Refrigeration Low Power Mode. For refrigerated bottled or 
canned beverage vending machines with a refrigeration low power mode, 
multiply the value determined in section 2.3 of this appendix by 0.97 to 
determine the daily energy consumption of the unit tested. For 
refrigerated bottled or canned beverage vending machines without a 
refrigeration low power mode, the value determined in section 2.3 of 
this appendix is the daily energy consumption of the unit tested.
    2.3.1.1. Refrigeration Low Power Mode Validation Test Method. This 
test method is not required for the certification of refrigerated

[[Page 222]]

bottled or canned beverage vending machines. To verify the existence of 
a refrigeration low power mode, initiate the refrigeration low power 
mode in accordance with manufacturer instructions contained in product 
literature and manuals, after completion of the 6-hour low power mode 
test period. Continue recording all the data specified in section 
7.2.2.3 of ANSI/ASHRAE Standard 32.1-2022 until existence of a 
refrigeration low power mode has been confirmed or denied. The 
refrigerated bottled or canned beverage vending machine shall be deemed 
to have a refrigeration low power mode if either:
    (a) The following three requirements have been satisfied:
    (1) The instantaneous average next-to-vend beverage temperature must 
reach at least 4 [deg]F above the integrated average temperature or 
lowest application product temperature, as applicable, within 6 hours.
    (2) The instantaneous average next-to-vend beverage temperature must 
be maintained at least 4 [deg]F above the integrated average temperature 
or lowest application product temperature, as applicable, for at least 1 
hour.
    (3) After the instantaneous average next-to-vend beverage 
temperature is maintained at or above 4 [deg]F above the integrated 
average temperature or lowest application product temperature, as 
applicable, for at least 1 hour, the refrigerated beverage vending 
machine must return to the specified integrated average temperature or 
lowest application product temperature, as applicable, automatically 
without direct physical intervention.
    (b) The compressor does not cycle on for the entire 6-hour period, 
in which case the instantaneous average beverage temperature does not 
have to reach 4 [deg]F above the integrated average temperature or 
lowest application product temperature, as applicable, but, the 
equipment must still automatically return to the integrated average 
temperature or lowest application product temperature, as applicable, 
after the 6-hour period without direct physical intervention.
    2.3.2. Calculations and Rounding. In all cases, the daily energy 
consumption must be calculated with raw measured values and the final 
result rounded to units of 0.01 kWh/day.
    3. Determination of Refrigeration Volume and Surface Area.
    3.1. Refrigerated Volume. Determine the ``refrigerated volume'' of 
refrigerated bottled or canned beverage vending machines in accordance 
with section 5.3, ``Refrigerated Volume,'' and Appendix C, ``Measurement 
of Volume,'' of ANSI/ASHRAE Standard 32.1-2022 including the referenced 
methodology in section 4, ``Method for Computing Refrigerated Volume of 
Refrigerators, Refrigerator-Freezer, Wine Chillers, and Freezers,'' of 
AHAM HRF-1-2016. For combination vending machines, the ``refrigerated 
volume'' does not include any non-refrigerated compartment(s).
    3.2. Determination of Surface Area. (Note: This section is not 
required for the certification of refrigerated bottled or canned 
beverage vending machines.) Determine the surface area of each beverage 
vending machine as the length multiplied by the height of outermost 
surface of the beverage vending machine cabinet, measured from edge to 
edge excluding any legs or other protrusions that extend beyond the 
dimensions of the primary cabinet. Determine the transparent and non-
transparent areas on each side of a beverage vending machine as the 
total surface area of material that is transparent or is not 
transparent, respectively.

[88 FR 28400, May 4, 2023]



             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.

    Adaptive defrost means a factory-installed defrost control system 
that reduces defrost frequency by initiating defrosts or adjusting the 
number of defrosts per day in response to operating conditions (e.g., 
moisture levels in the refrigerated space, measurements that represent 
coil frost load) rather than initiating defrost strictly based on 
compressor run time or clock time.
    Attached split system means a matched pair refrigeration system 
which is designed to be installed with the evaporator entirely inside 
the walk-in enclosure and the condenser entirely outside the walk-in 
enclosure, and the evaporator and condenser are permanently connected 
with structural members extending through the walk-in wall.
    Basic model means all components of a given type of walk-in cooler 
or walk-in freezer (or class thereof) manufactured by one manufacturer, 
having the same primary energy source, and which

[[Page 223]]

have essentially identical electrical, physical, and functional (or 
hydraulic) characteristics that affect energy consumption, energy 
efficiency, water consumption, or water efficiency; and
    (1) With respect to panels, which do not have any differing features 
or characteristics that affect U-factor.
    (2) [Reserved]
    CO2 unit cooler means a unit cooler that includes a 
nameplate listing only CO2 as an approved refrigerant.
    Dedicated condensing unit means a positive displacement condensing 
unit that is part of a refrigeration system (as defined in this section) 
and is an assembly that
    (1) Includes 1 or more compressors, a condenser, and one 
refrigeration circuit; and
    (2) Is designed to serve one refrigerated load.
    Dedicated condensing refrigeration system means one of the 
following:
    (1) A dedicated condensing unit;
    (2) A single-package dedicated system; or
    (3) A matched refrigeration system.
    Detachable single-packaged dedicated system means a system 
consisting of a dedicated condensing unit and an insulated evaporator 
section in which the evaporator section is designed to be installed 
external to the walk-in enclosure and circulating air through the 
enclosure wall, and the condensing unit is designed to be installed 
either attached to the evaporator section or mounted remotely with a set 
of refrigerant lines connecting the two components.
    Display door means a door that:
    (1) Is designed for product display; or
    (2) Has 75 percent or more of its surface area composed of glass or 
another transparent material.
    Display panel means a panel that is entirely or partially comprised 
of glass, a transparent material, or both and is used for display 
purposes.
    Door means an assembly installed in an opening on an interior or 
exterior wall that is used to allow access or close off the opening and 
that is movable in a sliding, pivoting, hinged, or revolving manner of 
movement. For walk-in coolers and walk-in freezers, a door includes the 
frame (including mullions), the door leaf or multiple leaves (including 
glass) within the frame, and any other elements that form the assembly 
or part of its connection to the wall.
    Door leaf means the pivoting, rolling, sliding, or swinging portion 
of a door.
    Door surface area means the product of the height and width of a 
walk-in door measured external to the walk-in. The height and width 
dimensions shall be perpendicular to each other and parallel to the wall 
or panel of the walk-in to which the door is affixed. The height and 
width measurements shall extend to the edge of the frame and frame 
flange (as applicable) to which the door is affixed. For sliding doors, 
the height and width measurements shall include the track; however, the 
width (for horizontal sliding doors) or the height (for vertical sliding 
doors) shall be truncated to the external width or height of the door 
leaf or leaves and its frame or casings. The surface area of a display 
door is represented as Add and the surface area of a non-display door is 
represented as And.
    Ducted fan coil unit means an assembly, including means for forced 
air circulation capable of moving air against both internal and non-zero 
external flow resistance, and elements by which heat is transferred from 
air to refrigerant to cool the air, with provision for ducted 
installation.
    Ducted multi-circuit single-packaged dedicated system means a ducted 
single-packaged dedicated system or a ducted single-packaged dedicated 
system (as defined in this section) that contains two or more 
refrigeration circuits that refrigerate a single stream of circulated 
air.
    Ducted single-packaged dedicated system means a refrigeration system 
(as defined in this section) that is a single-packaged assembly designed 
for use with ducts, that includes one or more compressors, a condenser, 
a means for forced circulation of refrigerated air, and elements by 
which heat is transferred from air to refrigerant.
    Envelope means--
    (1) The portion of a walk-in cooler or walk-in freezer that isolates 
the interior, refrigerated environment from the ambient, external 
environment; and

[[Page 224]]

    (2) All energy-consuming components of the walk-in cooler or walk-in 
freezer that are not part of its refrigeration system.
    Freight door means a door that is not a display door and is equal to 
or larger than 4 feet wide and 8 feet tall.
    High-temperature refrigeration system means a refrigeration system 
which is not designed to operate below 45 [deg]F.
    Indoor dedicated condensing refrigeration system means a dedicated 
condensing refrigeration system designated by the manufacturer for 
indoor use or for which there is no designation regarding the use 
location.
    K-factor means the thermal conductivity of a material.
    Manufacturer of a walk-in cooler or walk-in freezer means any person 
who:
    (1) Manufactures a component of a walk-in cooler or walk-in freezer 
that affects energy consumption, including, but not limited to, 
refrigeration, doors, lights, windows, or walls; or
    (2) Manufactures or assembles the complete walk-in cooler or walk-in 
freezer.
    Matched condensing unit means a dedicated condensing unit that is 
distributed in commerce with one or more unit cooler(s) specified by the 
condensing unit manufacturer.
    Matched refrigeration system (also called ``matched-pair'') means a 
refrigeration system including the matched condensing unit and the one 
or more unit coolers with which it is distributed in commerce.
    Multi-circuit single-packaged dedicated system means a single-
packaged dedicated system or a ducted single-packaged dedicated system 
(as defined in this section) that contains two or more refrigeration 
circuits that refrigerate a single stream of circulated air.
    Non-display door means a door that is not a display door.
    Outdoor dedicated condensing refrigeration system means a dedicated 
condensing refrigeration system designated by the manufacturer for 
outdoor use.
    Panel means a construction component that is not a door and is used 
to construct the envelope of the walk-in, i.e., elements that separate 
the interior refrigerated environment of the walk-in from the exterior.
    Passage door means a door that is not a freight or display door.
    Refrigerated means held at a temperature at or below 55 degrees 
Fahrenheit using a refrigeration system.
    Refrigerated storage space means a space held at refrigerated (as 
defined in this section) temperatures.
    Refrigeration system means the mechanism (including all controls and 
other components integral to the system's operation) used to create the 
refrigerated environment in the interior of a walk-in cooler or walk-in 
freezer, consisting of:
    (1) A dedicated condensing refrigeration system (as defined in this 
section); or
    (2) A unit cooler.
    Single-packaged dedicated system means a refrigeration system (as 
defined in this section) that is a single-package assembly that includes 
one or more compressors, a condenser, a means for forced circulation of 
refrigerated air, and elements by which heat is transferred from air to 
refrigerant, without any element external to the system imposing 
resistance to flow of the refrigerated air.
    U-factor means the heat transmission in a unit time through a unit 
area of a specimen or product and its boundary air films, induced by a 
unit temperature difference between the environments on each side.
    Unit cooler means an assembly, including means for forced air 
circulation and elements by which heat is transferred from air to 
refrigerant, thus cooling the air, without any element external to the 
cooler imposing air resistance.
    Walk-in cooler and walk-in freezer means an enclosed storage space 
including, but not limited to, panels, doors, and refrigeration system, 
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.
    Walk-in process cooling refrigeration system means a refrigeration 
system that is capable of rapidly cooling food

[[Page 225]]

or other substances from one temperature to another. The basic model of 
such a system must satisfy one of the following three conditions:
    (1) Be distributed in commerce with an insulated enclosure 
consisting of panels and door(s) such that the assembled product has a 
refrigerating capacity of at least 100 Btu/h per cubic foot of enclosed 
internal volume;
    (2) Be a unit cooler having an evaporator coil that is at least 
four-and-one-half (4.5) feet in height and whose height is at least one-
and-one-half (1.5) times the width. The height of the evaporator coil is 
measured perpendicular to the tubes and is also the fin height, while 
its width is the finned length parallel to the tubes, as illustrated in 
Figure 1; or
    (3) Be a dedicated condensing unit that is distributed in commerce 
exclusively with a unit cooler meeting description (2) or with an 
evaporator that is not a unit cooler, i.e., an evaporator that is not 
distributed or installed as part of a package including one or more 
fans.
[GRAPHIC] [TIFF OMITTED] TR28DE16.006


[74 FR 12074, Mar. 23, 2009, as amended at 76 FR 12504, Mar. 7, 2011; 76 
FR 21604, Apr. 15, 2011; 76 FR 33631, June 9, 2011; 79 FR 32123, June 3, 
2014; 81 FR 95801, Dec. 28, 2016; 88 FR 28838, May 4, 2023]

                             Test Procedures



Sec.  431.303  Materials incorporated by reference.

    (a) Certain material is incorporated by reference into this subpart 
with the approval of the Director of the Federal Register in accordance 
with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other 
than that specified in

[[Page 226]]

this section, the U.S. Department of Energy (DOE) must publish a 
document in the Federal Register and the material must be available to 
the public. All approved incorporation by reference (IBR) material is 
available for inspection at DOE, and at the National Archives and 
Records Administration (NARA). Contact DOE at: the 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) 586-9127, [email protected], www.energy.gov/eere/
buildings/building-technologies-office. For information on the 
availability of this material at NARA, email: [email protected], or 
go to: www.archives.gov/federal-register/cfr/ibr-locations.html. The 
material may be obtained from the sources in the following paragraphs of 
this section.
    (b) AHRI. Air-Conditioning, Heating, and Refrigeration Institute, 
2111 Wilson Boulevard, Suite 500, Arlington, VA 22201; (703) 600-0366; 
www.ahrinet.org.
    (1) ANSI/AHRI Standard 420-2008 (``AHRI 420-2008''), Performance 
Rating of Forced-Circulation Free-Delivery Unit Coolers for 
Refrigeration, Copyright 2008; IBR approved for appendix C to subpart R.
    (2) AHRI Standard 1250P (I-P)-2009 (``AHRI 1250-2009''), Standard 
for Performance Rating of Walk-in Coolers and Freezers, (including 
Errata sheet dated December 2015), copyright 2009, except Table 15 and 
Table 16; IBR approved for appendix C to subpart R.
    (3) AHRI Standard 1250 (``AHRI 1250-2020''), Standard for 
Performance Rating of Walk-in Coolers and Freezers, copyright 2020; IBR 
approved for appendix C1 to subpart R.
    (c) ASHRAE. American Society of Heating, Refrigerating and Air-
Conditioning Engineers, 180 Technology Parkway, Peachtree Corners, GA 
30092; (404) 636-8400; www.ashrae.org.
    (1) ANSI/ASHRAE Standard 16-2016 (``ANSI/ASHRAE 16''), Method of 
Testing for Rating Room Air Conditioners, Packaged Terminal Air 
Conditioners, and Packaged Terminal Heat Pumps for Cooling and Heating 
Capacity, ANSI-approved November 1, 2016; IBR approved for appendix C1 
to subpart R.
    (2) ANSI/ASHRAE Standard 23.1-2010 (``ASHRAE 23.1-2010''), Methods 
of Testing for Rating the Performance of Positive Displacement 
Refrigerant Compressors and Condensing Units that Operate at Subcritical 
Temperatures of the Refrigerant, ANSI-approved January 28, 2010; IBR 
approved for appendices C and C1 to subpart R.
    (3) ANSI/ASHRAE Standard 37-2009 (``ANSI/ASHRAE 37''), Methods of 
Testing for Rating Electrically Driven Unitary Air-Conditioning and Heat 
Pump Equipment, ASHRAE-approved June 24, 2009; IBR approved for 
appendices C and C1 to subpart R.
    (4) ANSI/ASHRAE Standard 41.1-2013 (``ANSI/ASHRAE 41.1''), Standard 
Method for Temperature Measurement, ANSI-approved January 30, 2013; IBR 
approved for appendix C1 to subpart R.
    (5) ANSI/ASHRAE Standard 41.3-2014 (``ANSI/ASHRAE 41.3''), Standard 
Methods for Pressure Measurement, ANSI-approved July 3, 2014; IBR 
approved for appendix C1 to subpart R.
    (6) ANSI/ASHRAE Standard 41.6-2014 (``ANSI/ASHRAE 41.6''), Standard 
Method for Humidity Measurement, ANSI-approved July 3, 2014; IBR 
approved for appendix C1 to subpart R.
    (7) ANSI/ASHRAE Standard 41.10-2013 (``ANSI/ASHRAE 41.10''), 
Standard Methods for Refrigerant Mass Flow Measurement Using Flowmeters, 
ANSI-approved June 27, 2013; IBR approved for appendix C1 to subpart R.
    (d) ASTM. ASTM, International, 100 Barr Harbor Drive, West 
Conshohocken, PA 19428-2959; (610) 832-9500; www.astm.org.
    (1) ASTM C518-17, Standard Test Method for Steady-State Thermal 
Transmission Properties by Means of the Heat Flow Meter Apparatus, 
approved May 1, 2017; IBR approved for appendix B to subpart R.
    (2) ASTM C1199-14, Standard Test Method for Measuring the Steady-
State Thermal Transmittance of Fenestration Systems Using Hot Box 
Methods, approved February 1, 2014; IBR approved for appendix A to 
subpart R.
    (e) NFRC. National Fenestration Rating Council, 6305 Ivy Lane, Ste. 
140, Greenbelt, MD 20770; (301) 589-1776; www.nfrc.org/.
    (1) NFRC 102-2020 [E0A0] (``NFRC 102-2020''), Procedure for 
Measuring the

[[Page 227]]

Steady-State Thermal Transmittance of Fenestration Systems, copyright 
2013; IBR approved for appendix A to subpart R.
    (2) [Reserved]

[88 FR 28838, May 4, 2023]



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 walk-in coolers and walk-in 
freezers.
    (b) Testing and calculations. Determine the energy efficiency and/or 
energy consumption of the specified walk-in cooler and walk-in freezer 
components by conducting the appropriate test procedure as follows:
    (1) Display panels. Determine the energy use of walk-in cooler and 
walk-in freezer display panels by conducting the test procedure set 
forth in appendix A to this subpart.
    (2) Display doors and non-display doors. Determine the energy use of 
walk-in cooler and walk-in freezer display doors and non-display doors 
by conducting the test procedure set forth in appendix A to this 
subpart.
    (3) Non-display panels and non-display doors. Determine the R-value 
of insulation of walk-in cooler and walk-in freezer non-display panels 
and non-display doors by conducting the test procedure set forth in 
appendix B to this subpart.
    (4) Refrigeration systems. Determine the AWEF and net capacity of 
walk-in cooler and walk-in freezer refrigeration systems by conducting 
the test procedures set forth in appendix C or C1 to this subpart, as 
applicable. Refer to the notes at the beginning of those appendices to 
determine the applicable appendix to use for testing.
    (i) For unit coolers: follow the general testing provisions in 
sections 3.1 and 3.2, and the equipment-specific provisions in section 
3.3 of appendix C or sections 4.5 through 4.8 of appendix C1.
    (ii) For dedicated condensing units: follow the general testing 
provisions in sections 3.1 and 3.2, and the product-specific provisions 
in section 3.4 of appendix C or sections 4.5 through 4.8 of appendix C1.
    (iii) For single-packaged dedicated systems: follow the general 
testing provisions in sections 3.1 and 3.2, and the product-specific 
provisions in section 3.3 of appendix C or sections 4.5 through 4.8 of 
appendix C1.

[74 FR 12074, Mar. 23, 2009, as amended at 76 FR 21605, Apr. 15, 2011; 
76 FR 33631, June 9, 2011; 76 FR 65365, Oct. 21, 2011; 79 FR 27412, May 
13, 2014; 79 FR 32123, June 3, 2014; 81 FR 95802, Dec. 28, 2016; 88 FR 
28839, May 4, 2023]



Sec.  431.305  Walk-in cooler and walk-in freezer labeling requirements.

    (a) Panel nameplate--(1) Required information. The permanent 
nameplate of a walk-in cooler or walk-in freezer panel for which 
standards are prescribed in Sec.  431.306 must be marked clearly with 
the following information:
    (i) The panel brand or manufacturer;
    (ii) The date of manufacture; and
    (iii) One of the following statements, as appropriate:
    (A) ``This panel is designed and certified for use in walk-in cooler 
applications.''
    (B) ``This panel is designed and certified for use in walk-in 
freezer applications.''
    (C) ``This panel is designed and certified for use in walk-in cooler 
and walk-in freezer applications.''
    (2) Display of required information. All orientation, spacing, type 
sizes, typefaces, and line widths to display this required information 
must be the same as or similar to the display of the other performance 
data included on the panel's permanent nameplate. The permanent 
nameplate must be visible unless the panel is assembled into a completed 
walk-in.
    (b) Door nameplate-- (1) Required information. The permanent 
nameplate of a walk-in cooler or walk-in freezer door for which 
standards are prescribed in Sec.  431.306 must be marked clearly with 
the following information:
    (i) The door brand or manufacturer;
    (ii) For non-display doors manufactured with foam insulation, the 
date of manufacture; and
    (iii) One of the following statements, as appropriate:
    (A) ``This door is designed and certified for use in walk-in cooler 
applications.''

[[Page 228]]

    (B) ``This door is designed and certified for use in walk-in freezer 
applications.''
    (C) ``This door is designed and certified for use in walk-in cooler 
and walk-in freezer applications.''
    (2) Display of required information. All orientation, spacing, type 
sizes, typefaces, and line widths to display this required information 
must be the same as or similar to the display of the other performance 
data included on the door's permanent nameplate. The permanent nameplate 
must be visible unless the door is assembled into a completed walk-in.
    (c) Refrigeration system nameplate--(1) Required information. The 
permanent nameplate of a walk-in cooler or walk-in freezer refrigeration 
system for which standards are prescribed in Sec.  431.306 must be 
marked clearly with the following information:
    (i) The refrigeration system brand or manufacturer;
    (ii) The refrigeration system model number;
    (iii) The date of manufacture of the refrigeration system (if the 
date of manufacture is embedded in the unit's serial number, then the 
manufacturer of the refrigeration system must retain any relevant 
records to discern the date from the serial number);
    (iv) If the refrigeration system is a dedicated condensing 
refrigeration system, and is not designated for outdoor use, the 
statement, ``Indoor use only'' (for a matched pair this must appear on 
the condensing unit); and
    (v) One of the following statements, as appropriate:
    (A) ``This refrigeration system is designed and certified for use in 
walk-in cooler applications.''
    (B) ``This refrigeration system is designed and certified for use in 
walk-in freezer applications.''
    (C) ``This refrigeration system is designed and certified for use in 
walk-in cooler and walk-in freezer applications.''
    (2) Process cooling refrigeration systems. The permanent nameplate 
of a process cooling refrigeration system (as defined in Sec.  431.302) 
must be marked clearly with the statement, ``This refrigeration system 
is designed for use exclusively in walk-in cooler and walk-in freezer 
process cooling refrigeration applications.''
    (3) Display of required information. All orientation, spacing, type 
sizes, typefaces, and line widths to display this required information 
must be the same as or similar to the display of the other performance 
data included on the refrigeration system's permanent nameplate. The 
model number must be in one of the following forms: ``Model ______'' or 
``Model number ______'' or ``Model No. ______.'' The permanent nameplate 
must be visible unless the refrigeration system is assembled into a 
completed walk-in.
    (d) A manufacturer may not mark the nameplate of a component with 
the required information if the manufacturer has not submitted a 
certification of compliance for the relevant model.
    (e) Disclosure of efficiency information in marketing materials. 
Each catalog that lists the component and all materials used to market 
the component must include:
    (1) For panels--The R-value in the form ``R-value____.''
    (2) For doors--The energy consumption in the form ``EC____kWh/day.''
    (3) For those refrigeration system for which standards are 
prescribed--The AWEF in the form ``AWEF ____.''
    (4) The information that must appear on a walk-in cooler or walk-in 
freezer component's permanent nameplate pursuant to paragraphs (a)-(c) 
of this section must also be prominently displayed in each catalog that 
lists the component and all materials used to market the component.

[81 FR 95802, Dec. 28, 2016, as amended at 89 FR 82071, Oct. 9, 2024]

                      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;

[[Page 229]]

    (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:
    (i) Glazed portions of doors not to structural members and
    (ii) A walk-in cooler or walk-in freezer component if the component 
manufacturer has demonstrated to the satisfaction of the Secretary in a 
manner consistent with applicable requirements that the component 
reduces energy consumption at least as much as if such insulation 
requirements of subparagraph (a)(3) were to apply.
    (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.
    (c) Walk-in cooler and freezer display doors. All walk-in cooler and 
walk-in freezer display doors manufactured starting June 5, 2017, must 
satisfy the following standards:

------------------------------------------------------------------------
                                                   Equations for maximum
       Class descriptor               Class          energy consumption
                                                        (kWh/day) *
------------------------------------------------------------------------
Display Door, Medium            DD.M.............  0.04 x Add + 0.41.
 Temperature.
Display Door, Low Temperature.  DD.L.............  0.15 x Add + 0.29.
------------------------------------------------------------------------
*Add represents the surface area of the display door.

    (d) Walk-in cooler and freezer non-display doors. All walk-in cooler 
and walk-in freezer non-display doors manufactured starting on June 5, 
2017, must satisfy the following standards:

------------------------------------------------------------------------
                                                   Equations for maximum
       Class descriptor               Class          energy consumption
                                                        (kWh/day) *
------------------------------------------------------------------------
Passage door, Medium            PD.M.............  0.05 x And + 1.7.
 Temperature.
Passage Door, Low Temperature.  PD.L.............  0.14 x And + 4.8.
Freight Door, Medium            FD.M.............  0.04 x And + 1.9.
 Temperature.
Freight Door, Low Temperature.  FD.L.............  0.12 x And + 5.6.
------------------------------------------------------------------------
*And represents the surface area of the non-display door.


[[Page 230]]

    (e) Walk-in cooler refrigeration systems. All walk-in cooler and 
walk-in freezer refrigeration systems manufactured starting on the dates 
listed in the table, except for walk-in process cooling refrigeration 
systems (as defined in Sec.  431.302), must satisfy the following 
standards:

------------------------------------------------------------------------
                                                             Compliance
                                                                date:
                                      Minimum AWEF (Btu/W-    equipment
          Equipment class                     h)*           manufactured
                                                             starting on
                                                                . . .
------------------------------------------------------------------------
Dedicated Condensing System--        5.61.................       June 5,
 Medium, Indoor.                                                   2017.
Dedicated Condensing System--        7.60.................
 Medium, Outdoor.
Dedicated Condensing System--Low,
 Indoor with a Net Capacity (qnet)
 of:
    < 6,500 Btu/h..................  9.091 x 10 -5 x qnet       July 10,
                                      + 1.81.                      2020.
    = 6,500 Btu/h.......  2.40.................
Dedicated Condensing System--Low,
 Outdoor with a Net Capacity (qnet)
 of:
    < 6,500 Btu/h..................  6.522 x 10-5 x qnet +
                                      2.73.
    = 6,500 Btu/h.......  3.15.................
Unit Cooler--Medium................  9.00.................
Unit Cooler--Low with a Net
 Capacity (qnet) of:
    < 15,500 Btu/h.................  1.575 x 10 -5 x qnet
                                      + 3.91.
    = 15,500 Btu/h......  4.15.................
------------------------------------------------------------------------
* Where qnet is net capacity as determined in accordance with Sec.
  431.304 and certified in accordance with 10 CFR part 429.


[74 FR 12074, Mar. 23, 2009, as amended at 78 FR 62993, Oct. 23, 2013; 
79 FR 32123, June 3, 2014; 80 FR 69838, Nov. 12, 2015; 82 FR 31885, July 
10, 2017]

    Effective Date Note: At 89 FR 104854, Dec. 23, 2024, Sec.  431.306 
was amended by revising paragraphs (d) and (e), effective Feb. 21, 2025. 
For the convenience of the user, the revised text is set forth as 
follows:



Sec.  431.306  Energy conservation standards and their effective dates.

                                * * * * *

    (d) Walk-in cooler and freezer non-display doors. (1) All walk-in 
cooler and walk-in freezer non-display doors manufactured starting on 
June 5, 2017, and before December 23, 2027, must satisfy the following 
standards:

                       Table 2 to Paragraph (d)(1)
------------------------------------------------------------------------
                                           Equations for maximum energy
            Equipment class                  consumption  (kWh/day) *
------------------------------------------------------------------------
Passage Door, Medium-Temperature.......  0.05 And + 1.7.
Passage Door, Low-Temperature..........  0.14 And + 4.8.
Freight Door, Medium-Temperature.......  0.04 And + 1.9.
Freight Door, Low-Temperature..........  0.12 And + 5.6.
------------------------------------------------------------------------
* And represents the surface area of the non-display door.

    (2) All walk-in cooler and walk-in freezer non-display doors 
manufactured starting on December 23, 2027, must satisfy the following 
standards:

                       Table 3 to Paragraph (d)(2)
------------------------------------------------------------------------
                                      Maximum daily energy consumption
          Equipment class                         (kWh/day)
------------------------------------------------------------------------
Non-Display Door, Manual, Medium-   0.02 x And + 0.58 + 0.33 x a + 0.07
 Temperature.                        x b + 0.24 x c + e.
Non-Display Door, Manual, Low-      0.10 x And + 2.63 + 0.40 x a + 0.09
 Temperature.                        x b + 0.30 x c + 0.85 x d + f.
Non-Display Door, Motorized,        0.02 x And + 0.77 + 0.33 x a + 0.07
 Medium-Temperature.                 x b + 0.24 x c + e.
Non-Display Door, Motorized, Low-   0.09 x And + 2.88 + 0.40 x a + 0.09
 Temperature.                        x b + 0.30 x c + 0.85 x d + f.
------------------------------------------------------------------------
And represents the surface area of the non-display door in square feet.

[[Page 231]]

 
a = 1 for a door with lighting and = 0 for a door without lighting.
b = 1 for a door with a digital temperature display without alarms and =
  0 for a door without a digital display without alarms.
c = 1 for a door with a digital temperature display with alarms and = 0
  for a door without a digital temperature display with alarms.
d = 1 for a door with a heated pressure relief vent and = 0 for a door
  without a heated pressure relief vent.
e = 0.06 x Awindow + 0.10, with a maximum value of 0.25 for a door with
  a heated viewport window, and = 0 for a door without a heated viewport
  window.
f = 0.54 x Awindow + 0.23, with a maximum value of 1.50 for a door with
  a heated viewport window, and = 0 for a door without a heated viewport
  window.
Awindow represents the surface area of the viewing window in square
  feet.

    (e) Walk-in cooler refrigeration systems. (1) All walk-in cooler and 
walk-in freezer refrigeration systems manufactured starting on the dates 
listed in the table and before December 31, 2028, except for walk-in 
process cooling refrigeration systems (as defined in Sec.  431.302), 
must satisfy the following standards:

                       Table 4 to Paragraph (e)(1)
------------------------------------------------------------------------
                                                       Compliance date:
                                  Minimum AWEF  (Btu/      equipment
         Equipment class                W-h) *           manufactured
                                                       starting on . . .
------------------------------------------------------------------------
Dedicated Condensing System--     5.61..............  June 5, 2017.
 Medium-Temperature, Indoor.
Dedicated Condensing System--     7.60..............
 Medium-Temperature, Outdoor.
Dedicated Condensing System--Low-
 Temperature, Indoor with a Net
 Capacity (qnet) of:
    <6,500 Btu/h................  9.091 x -\5\ x      July 10, 2020.
                                   qnet + 1.81.
    =6,500 Btu/h.....  2.40..............
Dedicated Condensing System--Low-
 Temperature, Outdoor with a Net
 Capacity (qnet) of:
    <6,500 Btu/h................  6.522 x 10-\5\ x
                                   qnet + 2.73.
    =6,500 Btu/h.....  3.15..............
Unit Cooler--Medium-Temperature.  9.00..............
Unit Cooler--Low-Temperature
 with a Net Capacity (qnet) of:
    <15,500 Btu/h...............  1.575 x 10-\5\ x
                                   qnet + 3.91.
    =15,500 Btu/h....  4.15..............
------------------------------------------------------------------------
* Where qnet is net capacity as determined in accordance with Sec.
  431.304 and certified in accordance with 10 CFR part 429.

    (2) All walk-in cooler and walk-in freezer refrigeration systems 
manufactured starting on December 31, 2028, except for walk-in process 
cooling refrigeration systems (as defined in Sec.  431.302), must 
satisfy the following standards:

                       Table 5 to Paragraph (e)(2)
------------------------------------------------------------------------
                                     Net capacity       Minimum AWEF2 *
         Equipment class               (qnet) *             Btu/W-h
------------------------------------------------------------------------
Dedicated Condensing System--     <7,000 Btu/h......  7.55 x 10-\4\ x
 High-Temperature, Indoor, Non-   =7,000    qnet + 2.37.
 Ducted.                           Btu/h.             7.66.
Dedicated Condensing System--     <7,000 Btu/h......  1.02 x 10-\3\ x
 High-Temperature, Outdoor, Non-  =7,000    qnet + 2.40.
 Ducted.                           Btu/h.             9.55.
Dedicated Condensing System--     <7,000 Btu/h......  2.46 x 10-\4\ x
 High-Temperature, Indoor,        =7,000    qnet + 1.55.
 Ducted.                           Btu/h.             3.27.
Dedicated Condensing System--     <7,000 Btu/h......  3.60 x 10-\4\ x
 High-Temperature, Outdoor,       =7,000    qnet + 1.88.
 Ducted.                           Btu/h.             4.39.

[[Page 232]]

 
Dedicated Condensing System       <8,000 Btu/h......  5.61
 other than Single-Packaged--     =8,000   3.35 x 10-\5\ x
 Medium-Temperature, Indoor.       Btu/h and <25,000   qnet + 5.34.
                                   Btu/h.             6.18.
                                  =25,000
                                   Btu/h.
Dedicated Condensing System       <25,000 Btu/h.....  1.61 x 10-\5\ x
 other than Single-Packaged--     =25,000   qnet + 7.26
 Medium-Temperature, Outdoor.      Btu/h and <54,000  7.59 x 10-\6\ x
                                   Btu/h.              qnet + 7.47.
                                  =54,000  7.88.
                                   Btu/h.
Dedicated Condensing System       <9,000 Btu/h......  4.64 x 10-\5\ x
 other than Single-Packaged--Low- =9,000    qnet + 2.18
 Temperature, Indoor.              Btu/h and <25,000  2.52 x 10-\5\ x
                                   Btu/h.              qnet + 2.37
                                  =25,000  1.45 x 10-\6\ x
                                   Btu/h and <54,000   qnet + 2.96.
                                   Btu/h.             3.04.
                                  =54,000
                                   Btu/h.
Dedicated Condensing System       <9,000 Btu/h......  9.93 x 10-\5\ x
 other than Single-Packaged--Low- =9,000    qnet + 2.62
 Temperature, Outdoor.             Btu/h and <25,000  3.14 x 10-\5\ x
                                   Btu/h.              qnet + 3.23
                                  =25,000  4.72 x 10-\6\ x
                                   Btu/h and <75,000   qnet + 3.90.
                                   Btu/h.             4.25.
                                  =75,000
                                   Btu/h.
Single-Packaged Dedicated         <9,000 Btu/h......  1.00 x 10-\4\ x
 Condensing System--Medium-       =9,000    qnet + 4.91.
 Temperature, Indoor.              Btu/h.             5.81.
Single-Packaged Dedicated         <9,000 Btu/h......  3.07 x 10-\4\ x
 Condensing System--Medium-       =9,000    qnet + 4.73.
 Temperature, Outdoor.             Btu/h.             7.49.
Single-Packaged Dedicated         <6,000 Btu/h......  8.00 x 10-\5\ x
 Condensing System--Low-          =6,000    qnet + 1.80.
 Temperature, Indoor.              Btu/h.             2.28.
Single-Packaged Dedicated         <6,000 Btu/h......  1.39 x 10-\4\ x
 Condensing System--Low-          =6,000    qnet + 1.95.
 Temperature, Outdoor.             Btu/h.             2.78.
Unit Cooler--High-Temperature     <9,000 Btu/h......  10.33
 Non-Ducted.                      =9,000   3.83 x 10-\4\ x
                                   Btu/h and <25,000   qnet + 6.89.
                                   Btu/h.             16.45.
                                  =25,000
                                   Btu/h.
Unit Cooler--High-Temperature     <9,000 Btu/h......  6.64
 Ducted.                          =9,000   3.70 x 10-\4\ x
                                   Btu/h and <25,000   qnet + 3.31.
                                   Btu/h.             12.57.
                                  =25,000
                                   Btu/h.
Unit Cooler--Medium-Temperature.  <54,000 Btu/h.....  9.65
                                  =54,000  -3.10 x 10-\5\ x
                                   Btu/h and <75,000   qnet + 11.32.
                                   Btu/h.             9.00.
                                  =75,000
                                   Btu/h.
Unit Cooler--Low-Temperature....  All...............  4.57.
------------------------------------------------------------------------
* Where qnet is net capacity as determined in accordance with Sec.
  431.304 and certified in accordance with 10 CFR part 429.



 Sec. Appendix A to Subpart R of Part 431--Uniform Test Method for the 
  Measurement of Energy Consumption of the Components of Envelopes of 
                  Walk-In Coolers and Walk-In Freezers

    Note: Prior to October 31, 2023, representations with respect to the 
energy use of envelope components of walk-in coolers and walk-in 
freezers, including compliance certifications, must be based on testing 
conducted in accordance with the applicable provisions of 10 CFR part 
431, subpart R, appendix A, revised as of January 1, 2022. Beginning 
October 31, 2023, representations with respect to energy use of envelope 
components of walk-in coolers and walk-in freezers, including compliance 
certifications, must be based on testing conducted in accordance with 
this appendix.

[[Page 233]]

                      0. Incorporation by Reference

    DOE incorporated by reference in Sec.  431.303 the entire standard 
for ASTM C1199-14 and NFRC 102-2020. However, certain enumerated 
provisions of these standards, as set forth in sections 0.1 and 0.2 of 
this appendix are inapplicable. To the extent that there is a conflict 
between the terms or provisions of a referenced industry standard and 
the CFR, the CFR provisions control.

                            0.1 ASTM C1199-14

    (a) Section 1 Scope, is inapplicable,
    (b) Section 4 Significance and Use is inapplicable,
    (c) Section 7.3 Test Conditions, is inapplicable,
    (d) Section 10 Report, is inapplicable, and
    (e) Section 11 Precision and Bias, is inapplicable.

                            0.2 NFRC 102-2020

    (a) Section 1 Scope, is inapplicable,
    (b) Section 4 Significance and Use, is inapplicable,
    (c) Section 7.3 Test Conditions, is inapplicable,
    (d) Section 10 Report, is inapplicable,
    (e) Section 11 Precision and Bias, is inapplicable,
    (f) Annex A3 Standard Test Method for Determining the Thermal 
Transmittance of Tubular Daylighting Devices, is inapplicable, and
    (g) Annex A5 Tables and Figures, is inapplicable.

 1. General. The following sections of this appendix provide additional 
   instructions for testing. In cases where there is a conflict, the 
  language of this appendix takes highest precedence, followed by NFRC 
   102-2020, followed by ASTM C1199-14. Any subsequent amendment to a 
referenced document by the standard-setting organization will not affect 
the test procedure in this appendix, unless and until the test procedure 
is amended by DOE. Material is incorporated as it exists on the date of 
the approval, and a notification of any change in the incorporation will 
                  be published in the Federal Register.

                                2. Scope

    This appendix covers the test requirements used to measure the 
energy consumption of the components that make up the envelope of a 
walk-in cooler or walk-in freezer.

                             3. Definitions

    The definitions contained in Sec.  431.302 are applicable to this 
appendix.

                        4. Additional Definitions

    4.1 Automatic door opener/closer means a device or control system 
that ``automatically'' opens and closes doors without direct user 
contact, such as a motion sensor that senses when a forklift is 
approaching the entrance to a door and opens it, and then closes the 
door after the forklift has passed.
    4.2 Percent time off (PTO) means the percent of time that an 
electrical device is assumed to be off.
    4.3 Rated power means the input power of an electricity-consuming 
device as specified on the device's nameplate. If the device does not 
have a nameplate or such nameplate does not list the device's input 
power, then the rated power must be determined from the device's product 
data sheet, literature, or installation instructions that come with the 
device or are available online.
    4.4 Rating conditions means, unless explicitly stated otherwise, all 
conditions shown in table A.1 of this appendix.

                    Table A.1--Temperature Conditions
------------------------------------------------------------------------
 
------------------------------------------------------------------------
        Internal Temperatures (cooled space within the envelope)
------------------------------------------------------------------------
Cooler Dry-Bulb Temperature................................    35 [deg]F
Freezer Dry-Bulb Temperature...............................   -10 [deg]F
------------------------------------------------------------------------
         External Temperatures (space external to the envelope)
------------------------------------------------------------------------
Freezer and Cooler Dry-Bulb Temperatures...................    75 [deg]F
------------------------------------------------------------------------

                    5. Test Methods and Measurements

              5.1 U-Factor Test of Doors and Display Panels

    Determine the U-factor of the entire door or display panel, 
including the frame, in accordance with the specified sections of NFRC 
102-2020 and ASTM C1199-14 at the temperature conditions listed in table 
A.1 of this appendix.

                     5.2 Required Test Measurements

    5.2.1 For display doors and display panels, thermal transmittance, 
Udd or Udp, respectively, shall be the 
standardized thermal transmittance, UST, determined per 
section 5.1 of this appendix.
    5.2.2 For non-display doors, thermal transmittance, Und, 
shall be the standardized thermal transmittance, UST, 
determined per section 5.1 of this appendix.
    5.2.3 Projected area of the test specimen, As, in ft\2\, as 
referenced in ASTM C1199-14.

[[Page 234]]

                             6. Calculations

                           6.1 Display Panels

    6.1.1 Determine the U-factor of the display panel in accordance with 
section 5.1 of this appendix, in units of Btu/(h-ft\2\- [deg]F).
    6.1.2 Calculate the temperature differential, [Delta]Tdp, 
[deg]F, for the display panel, as follows:
[GRAPHIC] [TIFF OMITTED] TR04MY23.004

Where:

TDB,ext,dp = dry-bulb air external temperature, [deg]F, as 
          prescribed in table A.1 of this appendix; and
TDB,int,dp = dry-bulb air temperature internal to the cooler 
          or freezer, [deg]F, as prescribed in table A.1 of this 
          appendix.

    6.1.3 Calculate the conduction load through the display panel, 
Qcond-dp, Btu/h, as follows:
[GRAPHIC] [TIFF OMITTED] TR04MY23.005

Where:

As = projected area of the test specimen (same as the test 
          specimen aperture in the surround panel) or the area used to 
          determine the U-factor in section 5.1 of this appendix, ft\2\;
[Delta]Tdp = temperature differential between refrigerated 
          and adjacent zones, [deg]F; and
Udp = thermal transmittance, U-factor, of the display panel 
          in accordance with section 5.1 of this appendix, Btu/(h-ft\2\- 
          [deg]F).

    6.1.4 Calculate the total daily energy consumption, Edp, 
kWh/day, as follows:
[GRAPHIC] [TIFF OMITTED] TR04MY23.006

Where:

Qcond,dp = the conduction load through the display panel, 
          Btu/h; and
EER = Energy Efficiency Ratio of walk-in (cooler or freezer), Btu/W-h. 
          For coolers, use EER = 12.4 Btu/W-h. For freezers, use EER = 
          6.3 Btu/W-h.

                            6.2 Display Doors

                 6.2.1 Conduction Through Display Doors

    6.2.1.1 Determine the U-factor of the display door in accordance 
with section 5.1 of this appendix, in units of Btu/(h-ft\2\- [deg]F).
    6.2.1.2 Calculate the temperature differential, 
[Delta]Tdd, [deg]F, for the display door as follows:
[GRAPHIC] [TIFF OMITTED] TR04MY23.007

Where:

TDB,ext,dd = dry-bulb air temperature external to the display 
          door, [deg]F, as prescribed in table A.1 of this appendix; and
TDB,int,dd = dry-bulb air temperature internal to the display 
          door, [deg]F, as prescribed in table A.1 of this appendix.

    6.2.1.3 Calculate the conduction load through the display doors, 
Qcond,dd, Btu/h, as follows:

[[Page 235]]

[GRAPHIC] [TIFF OMITTED] TR04MY23.008

Where:

As = projected area of the test specimen (same as the test 
          specimen aperture in the surround panel) or the area used to 
          determine the U-factor in section 5.1 of this appendix, ft\2\;
[Delta]Tdd = temperature differential between refrigerated 
          and adjacent zones, [deg]F; and
Udd = thermal transmittance, U-factor of the door, in 
          accordance with section 5.1 of this appendix, Btu/(h-ft\2\- 
          [deg]F).

    6.2.1.4 Calculate the total daily energy consumption due to 
conduction thermal load, Edd,thermal, kWh/day, as follows:
[GRAPHIC] [TIFF OMITTED] TR04MY23.009

Where:

Qcond,dd = the conduction load through the display door, Btu/
          h; and
EER = EER of walk-in (cooler or freezer), Btu/W-h. For coolers, use EER 
          = 12.4 Btu/(W-h). For freezers, use EER = 6.3 Btu/(W-h).

 6.2.2 Direct Energy Consumption of Electrical Component(s) of Display 
                                  Doors

    Electrical components associated with display doors could include 
but are not limited to: heater wire (for anti-sweat or anti-freeze 
application); lights; door motors; control system units; and sensors.
    6.2.2.1 Select the required value for percent time off (PTO) for 
each type of electricity-consuming device per table A.2 of this 
appendix, PTOt (%).

                                       Table A.2--Percent Time Off Values
----------------------------------------------------------------------------------------------------------------
                                                                       Controls, timer, or other   Percent time
                 Device                     Temperature  condition       auto-shut-off system     off value  (%)
----------------------------------------------------------------------------------------------------------------
Lights..................................  All.......................  Without...................              25
                                                                      With......................              50
Anti-sweat heaters......................  All.......................  Without...................               0
                                          Coolers...................  With......................              75
                                          Freezers..................  With......................              50
Door motors.............................  All.......................  ..........................              97
All other electricity-consuming devices.  All.......................  Without...................               0
                                                                      With......................              25
----------------------------------------------------------------------------------------------------------------

    6.2.2.2 Calculate the power usage for each type of electricity-
consuming device, Pdd,comp,u,t, kWh/day, as follows:
[GRAPHIC] [TIFF OMITTED] TR04MY23.010

Where:

u = the index for each of type of electricity-consuming device located 
          on either (1) the interior facing side of the display door or 
          within the inside portion of the display door, (2) the 
          exterior facing side of the display door, or (3) any 
          combination of (1) and (2). For purposes of this calculation, 
          the interior index is represented by u = int and the exterior 
          index is represented by u = ext. If the electrical component 
          is both on the interior and exterior side of the display door 
          then use

[[Page 236]]

          u = int. For anti-sweat heaters sited anywhere in the display 
          door, 75 percent of the total power is be attributed to u = 
          int and 25 percent of the total power is attributed to u = 
          ext;
t = index for each type of electricity-consuming device with identical 
          rated power;
Prated,u,t = rated input power of each component, of type t, 
          kW;
PTOu,t = percent time off, for device of type t, %; and
nu,t = number of devices at the rated input power of type t, 
          unitless.
    6.2.2.3 Calculate the total electrical energy consumption for 
interior and exterior power, Pdd,tot,int (kWh/day) and 
Pdd,tot,ext (kWh/day), respectively, as follows:
[GRAPHIC] [TIFF OMITTED] TR04MY23.011

[GRAPHIC] [TIFF OMITTED] TR04MY23.012

Where:

t = index for each type of electricity-consuming device with identical 
          rated input power;
Pdd,comp,int,t = the energy usage for an electricity-
          consuming device sited on the interior facing side of or in 
          the display door, of type t, kWh/day; and
Pdd,comp,ext,t = the energy usage for an electricity-
          consuming device sited on the external facing side of the 
          display door, of type t, kWh/day.
    6.2.2.4 Calculate the total electrical energy consumption, 
Pdd,tot, (kWh/day), as follows:
[GRAPHIC] [TIFF OMITTED] TR04MY23.013

Where:

Pdd,tot,int = the total interior electrical energy usage for 
          the display door, kWh/day; and
Pdd,tot,ext = the total exterior electrical energy usage for 
          the display door, kWh/day.

 6.2.3 Total Indirect Electricity Consumption Due to Electrical Devices

    Calculate the additional refrigeration energy consumption due to 
thermal output from electrical components sited inside the display door, 
Cdd,load, kWh/day, as follows:
[GRAPHIC] [TIFF OMITTED] TR04MY23.014

Where:

Pdd,tot,int = The total internal electrical energy 
          consumption due for the display door, kWh/day; and
EER = EER of walk-in cooler or walk-in freezer, Btu/W-h. For coolers, 
          use EER = 12.4 Btu/(W-h). For freezers, use EER = 6.3 Btu/(W-
          h).

               6.2.4 Total Display Door Energy Consumption

    Calculate the total energy, Edd,tot, kWh/day,
    [GRAPHIC] [TIFF OMITTED] TR04MY23.015
    
Where:

Edd,thermal = the total daily energy consumption due to 
          thermal load for the display door, kWh/day;
Pdd,tot = the total electrical load, kWh/day; and

[[Page 237]]

Cdd,load = additional refrigeration load due to thermal 
          output from electrical components contained within the display 
          door, kWh/day.

                          6.3 Non-Display Doors

               6.3.1 Conduction Through Non-Display Doors

    6.3.1.1 Determine the U-factor of the non-display door in accordance 
with section 5.1 of this appendix, in units of Btu/(h-ft\2\- [deg]F).
    6.3.1.2 Calculate the temperature differential of the non-display 
door, [Delta]Tnd, [deg]F, as follows:
[GRAPHIC] [TIFF OMITTED] TR04MY23.016

Where:

TDB,ext,nd = dry-bulb air external temperature, [deg]F, as 
          prescribed by table A.1 of this appendix; and
TDB,int,nd = dry-bulb air internal temperature, [deg]F, as 
          prescribed by table A.1 of this appendix. If the component 
          spans both cooler and freezer spaces, the freezer temperature 
          must be used.

    6.3.1.3 Calculate the conduction load through the non-display door: 
Qcond,nd, Btu/h,
[GRAPHIC] [TIFF OMITTED] TR04MY23.017

Where:

As = projected area of the test specimen (same as the test 
          specimen aperture in the surround panel) or the area used to 
          determine the U-factor in section 5.1 of this appendix, ft\2\;
[Delta]Tnd = temperature differential across the non-display 
          door, [deg]F; and
Und = thermal transmittance, U-factor of the door, in 
          accordance with section 5.1 of this appendix, Btu/(h-ft\2\- 
          [deg]F).

    6.3.1.4 Calculate the total daily energy consumption due to thermal 
load, End,thermal, kWh/day, as follows:
[GRAPHIC] [TIFF OMITTED] TR04MY23.018

Where:

Qcond,nd = the conduction load through the non-display door, 
          Btu/h; and
EER = EER of walk-in (cooler or freezer), Btu/W-h. For coolers, use EER 
          = 12.4 Btu/(W-h). For freezers, use EER = 6.3 Btu/(W-h).

6.3.2 Direct Energy Consumption of Electrical Components of Non-Display 
                                  Doors

    Electrical components associated with non-display doors comprise 
could include, but are not limited to: heater wire (for anti-sweat or 
anti-freeze application), lights, door motors, control system units, and 
sensors.
    6.3.2.1 Select the required value for percent time off for each type 
of electricity-consuming device per table A.2 of this appendix, 
PTOt (%).
    6.3.2.2 Calculate the power usage for each type of electricity-
consuming device, Pnd,comp,u,t, kWh/day, as follows:
[GRAPHIC] [TIFF OMITTED] TR04MY23.019


[[Page 238]]


Where:

u = the index for each of type of electricity-consuming device located 
          on either (1) the interior facing side of the non-display door 
          or within the inside portion of the non-display door, (2) the 
          exterior facing side of the non-display door, or (3) any 
          combination of (1) and (2). For purposes of this calculation, 
          the interior index is represented by u = int and the exterior 
          index is represented by u = ext. If the electrical component 
          is both on the interior and exterior side of the non-display 
          door then use u = int. For anti-sweat heaters sited anywhere 
          in the non-display door, 75 percent of the total power is be 
          attributed to u = int and 25 percent of the total power is 
          attributed to u = ext;
t = index for each type of electricity-consuming device with identical 
          rated input power;
Prated,u,t = rated input power of each component, of type t, 
          kW;
PTOu,t = percent time off, for device of type t, %; and
nu,t = number of devices at the rated input power of type t, 
          unitless.

    6.3.2.3 Calculate the total electrical energy consumption for 
interior and exterior power, Pnd,tot,int, kWh/day, and 
Pnd,tot,ext, kWh/day, respectively, as follows:
[GRAPHIC] [TIFF OMITTED] TR04MY23.020

[GRAPHIC] [TIFF OMITTED] TR04MY23.021

Where:

t = index for each type of electricity-consuming device with identical 
          rated input power;
Pnd,comp,int,t = the energy usage for an electricity-
          consuming device sited on the internal facing side or internal 
          to the non-display door, of type t, kWh/day; and
Pnd,comp,ext,t = the energy usage for an electricity-
          consuming device sited on the external facing side of the non-
          display door, of type t, kWh/day. For anti-sweat heaters,

    6.3.2.4 Calculate the total electrical energy consumption, 
Pnd,tot, kWh/day, as follows:
[GRAPHIC] [TIFF OMITTED] TR04MY23.022

Where:

Pnd,tot,int = the total interior electrical energy usage for 
          the non-display door, of type t, kWh/day; and
Pnd,tot,ext = the total exterior electrical energy usage for 
          the non-display door, of type t, kWh/day.

 6.3.3 Total Indirect Electricity Consumption Due to Electrical Devices

    Calculate the additional refrigeration energy consumption due to 
thermal output from electrical components associated with the non-
display door, Cnd,load, kWh/day, as follows:
[GRAPHIC] [TIFF OMITTED] TR04MY23.023

Where:

Pnd,tot,int = the total interior electrical energy 
          consumption for the non-display door, kWh/day; and
EER = EER of walk-in cooler or freezer, Btu/W-h. For coolers, use EER = 
          12.4 Btu/(W-h). For freezers, use EER = 6.3 Btu/(W-h).

             6.3.4 Total Non-Display Door Energy Consumption

    Calculate the total energy, End,tot, kWh/day, as follows:

[[Page 239]]

[GRAPHIC] [TIFF OMITTED] TR04MY23.024

Where:

End,thermal = the total daily energy consumption due to 
          thermal load for the non-display door, kWh/day;
Pnd,tot = the total electrical energy consumption, kWh/day; 
          and
Cnd,load = additional refrigeration load due to thermal 
          output from electrical components contained on the inside face 
          of the non-display door, kWh/day.

[88 FR 28839, May 4, 2023, as amended at 88 FR 73216, Oct. 25, 2023]



 Sec. Appendix B to Subpart R of Part 431--Uniform Test Method for the 
Measurement of R-Value of Insulation for Envelope Components of Walk-In 
                      Coolers and Walk-In Freezers

    Note: Prior to October 31, 2023, representations with respect to the 
R-value for insulation of envelope components of walk-in coolers and 
walk-in freezers, including compliance certifications, must be based on 
testing conducted in accordance with the applicable provisions of 10 CFR 
part 431, subpart R, appendix B, revised as of January 1, 2022. 
Beginning October 31, 2023, representations with respect to R-value for 
insulation of envelope components of walk-in coolers and walk-in 
freezers, including compliance certifications, must be based on testing 
conducted in accordance with this appendix.

                      0. Incorporation by Reference

    DOE incorporated by reference in Sec.  431.303 the entire standard 
for ASTM C518-17. However, certain enumerated provisions of ASTM C518-
17, as set forth in paragraph 0.1 of this appendix, are inapplicable. To 
the extent there is a conflict between the terms or provisions of a 
referenced industry standard and the CFR, the CFR provisions control.

                            0.1 ASTM C518-17

    (a) Section 1 Scope, is inapplicable,
    (b) Section 4 Significance and Use, is inapplicable,
    (c) Section 7.3 Specimen Conditioning, is inapplicable,
    (d) Section 9 Report, is inapplicable,
    (e) Section 10 Precision and Bias, is inapplicable,
    (f) Section 11 Keywords, is inapplicable,
    (g) Annex A2 Equipment Error Analysis, is inapplicable,
    (h) Appendix X1 is inapplicable,
    (i) Appendix X2 Response of Heat Flux Transducers, is inapplicable, 
and
    (j) Appendix X3 Proven Performance of a Heat Flow Apparatus, is 
inapplicable.

                             0.2 [Reserved]

                               1. General

    The following sections of this appendix provide additional 
instructions for testing. In cases where there is a conflict, the 
language of this appendix takes highest precedence, followed by ASTM 
C518-17. Any subsequent amendment to a referenced document by the 
standard-setting organization will not affect the test procedure in this 
appendix, unless and until the test procedure is amended by DOE. 
Material is incorporated as it exists on the date of the approval, and a 
notification of any change in the incorporation will be published in the 
Federal Register.

                                2. Scope

    This appendix covers the test requirements used to measure the R-
value of non-display panels and non-display doors of a walk-in cooler or 
walk-in freezer.

                             3. Definitions

    The definitions contained in Sec.  431.302 apply to this appendix.

                        4. Additional Definitions

    4.1 Edge region means a region of the envelope component that is 
wide enough to encompass any framing members. If the envelope component 
contains framing members (e.g., a wood frame) then the width of the edge 
region must be as wide as any framing member plus an additional 2 in. 
 0.25 in.

             5. Test Methods, Measurements, and Calculations

    5.1 General. Foam shall be tested after it is produced in its final 
chemical form. For foam produced inside of an envelope component 
(``foam-in-place''), ``final chemical form'' means the foam is cured as 
intended and ready for use as a finished envelope component. For foam 
produced as board stock (e.g., polystyrene), ``final chemical form'' 
means after extrusion and ready for assembly into an envelope component 
or after assembly into an envelope component. Foam must not include any 
structural members or non-foam materials during testing in accordance 
with ASTM C518-17. When preparing the specimen for test, a high-speed 
bandsaw or a meat slicer are two types of recommended cutting tools. Hot 
wire cutters or other heated tools shall not be used for cutting foam 
test specimens.

[[Page 240]]

                        5.2 Specimen Preparation

    5.2.1 Determining the thickness around the perimeter of the envelope 
component, tp. The full thickness of an envelope component around the 
perimeter, which may include facers on one or both sides, shall be 
determined as follows:
    5.2.1.1 At least 8 thickness measurements shall be taken around the 
perimeter of the envelope component, at least 2 inches from the edge 
region, and avoiding any regions with hardware or fixtures.
    5.2.1.2 The average of the thickness measurements taken around the 
perimeter of the envelope component shall be the thickness around the 
perimeter of the envelope component, tp.
    5.2.1.3 Measure and record the width, wp, and height, hp, of the 
envelope component. The surface area of the envelope component, Ap, 
shall be determined as follows:
[GRAPHIC] [TIFF OMITTED] TR04MY23.025

Where:

wp = width of the envelope component, in.; and
hp = height of the envelope component, in.

    5.2.2. Removing the sample from the envelope component.
    5.2.2.1. Determine the center of the envelope component relative to 
its height and its width.
    5.2.2.2. Cut a sample from the envelope component that is at least 
the length and width dimensions of the heat flow meter, and where the 
marked center of the sample is at least 3 inches from any cut edge.
    5.2.2.3. If the center of the envelope component contains any non-
foam components (excluding facers), additional samples may be cut 
adjacent to the previous cut that is at least the length and width 
dimensions of the heat flow meter and is greater than 12 inches from the 
edge region.
    5.2.3. Determining the thickness at the center of the envelope 
component, tc. The full thickness of an envelope component at the 
center, which may include facers on one or both sides, shall be 
determined as follows:
    5.2.3.1. At least 2 thickness measurements shall be taken in each 
quadrant of the cut sample removed from the envelope component per 
section 5.2.2 of this appendix, for a total of at least 8 measurements.
    5.2.3.2. The average of the thickness measurements of the cut sample 
removed from the envelope component shall be the overall thickness of 
the cut sample, tc.
    5.2.3.3. Measure and record the width and height of the cut sample 
removed from the envelope component. The surface area of the cut sample 
removed from the envelope component, Ac., shall be determined as 
follows:
[GRAPHIC] [TIFF OMITTED] TR04MY23.026

Where:

wc = width of the cut sample removed from the envelope component, in.; 
          and
hc = height of the cut sample removed from the envelope component, in.
    5.2.4. Determining the total thickness of the foam within the 
envelope component, tfoam. The average total thickness of the foam 
sample, without facers, shall be determined as follows:
    5.2.4.1. Remove the facers on the envelope component sample, while 
minimally disturbing the foam.
    5.2.4.2. Measure the thickness of each facer in 4 locations for a 
total of 4 measurements if 1 facer is removed, and a total of 8 
measurements if 2 facers are removed. The average of all facer 
measurements shall be the thickness of the facers, tfacers, in.
    5.2.4.3. The average total thickness of the foam, tfoam, in., shall 
be determined as follows:
[GRAPHIC] [TIFF OMITTED] TR04MY23.027


[[Page 241]]


Where:

tc = the average thickness of the center of the envelope component, in., 
          as determined per sections 5.2.3.1 and 5.2.3.2 of this 
          appendix;
Ac = the surface area of the center of the envelope component, in\2\., 
          as determined per section 5.2.3.3 of this appendix;
tp = the average thickness of the perimeter of the envelope component, 
          in., as determined per sections 5.2.1.1 and 5.2.1.2 of this 
          appendix;
Ap = the average thickness of the center of the envelope component, 
          in\2\, as determined per section 5.2.1.3 of this appendix;
tfacers = the average thickness of the facers of the envelope component, 
          in., as determined per section 5.2.4.2 of this appendix.

    5.2.5. Cutting, measuring, and determining parallelism and flatness 
of a 1-inch-thick specimen for test from the center of the cut envelope 
component sample.
    5.2.5.1. Cut a 1  0.1-inch-thick specimen from 
the center of the cut envelope sample. The 1-inch-thick test specimen 
shall be cut from the point that is equidistant from both edges of the 
sample (i.e., shall be cut from the center point that would be directly 
between the interior and exterior space of the walk-in).
    5.2.5.2. Document through measurement or photographs with 
measurement indicators that the specimen was taken from the center of 
the sample.
    5.2.5.3 After the 1-inch specimen has been cut, and prior to 
testing, place the specimen on a flat surface and allow gravity to 
determine the specimen's position on the surface. This will be side 1.
    5.2.5.4 To determine the flatness of side 1, take at least nine 
height measurements at equidistant positions on the specimen (i.e., the 
specimen would be divided into 9 regions and height measurements taken 
at the center of each of these nine regions). Contact with the 
measurement indicator shall not indent the foam surface. From the height 
measurements taken, determine the least squares plane for side 1. For 
each measurement location, calculate the theoretical height from the 
least squares plane for side 1. Then, calculate the difference between 
the measured height and the theoretical least squares plane height at 
each location. The maximum difference minus the minimum difference out 
of the nine measurement locations is the flatness of side 1. For side 1 
of the specimen to be considered flat, this shall be less than or equal 
to 0.03 inches.
    5.2.5.5 To determine the flatness of side 2, turn the specimen over 
and allow gravity to determine the specimen's position on the surface. 
Repeat section 5.2.5.4 to determine the flatness of side 2.
    5.2.5.6 To determine the parallelism of the specimen for side 1, 
calculate the theoretical height of the least squares plane at the 
furthest corners (i.e., at points (0,0), (0,12), (12,0), and (12,12)) of 
the 12-inch by 12-inch test specimen. The difference between the maximum 
theoretical height and the minimum theoretical height shall be less than 
or equal to 0.03 inches for each side in order for side 1 to be 
considered parallel.
    5.2.5.7 To determine the parallelism of the specimen for side 2, 
repeat section 5.2.5.6 of this appendix.
    5.2.5.8 The average thickness of the test specimen, L, shall be 1 
 0.1-inches determined using a minimum of 18 
thickness measurements (i.e., a minimum of 9 measurements on side 1 of 
the specimen and a minimum of 9 on side 2 of the specimen). This average 
thickness shall be used to determine the thermal conductivity, or K-
factor.
    5.3 K-factor Test. Determine the thermal conductivity, or K-factor, 
of the 1-inch-thick specimen in accordance with the specified sections 
of ASTM C518-17. Testing must be completed within 24 hours of the 
specimen being cut for testing per section 5.2.5 of this appendix.
    5.3.1 Test Conditions.
    5.3.1.1 For freezer envelope components, the K-factor of the 
specimen shall be determined at an average specimen temperature of 20 
 1 degrees Fahrenheit.
    5.3.1.2 For cooler envelope components, the K-factor of the specimen 
shall be determined at an average specimen temperature of 55  1 degrees Fahrenheit.
    5.4 R-value Calculation.
    5.4.1 For envelope components consisting of one homogeneous layer of 
insulation, calculate the R-value, h-ft\2\- [deg]F/Btu, as follows:
[GRAPHIC] [TIFF OMITTED] TR04MY23.028

Where:

tfoam = the total thickness of the foam, in., as determined in section 
          5.2.4 of this appendix; and
[lgr] = K-factor, Btu-in/(h-ft\2\- [deg]F), as determined in section 5.3 
          of this appendix.
    5.4.2 For envelope components consisting of two or more layers of 
dissimilar insulating materials (excluding facers or protective skins), 
determine the K-factor of each

[[Page 242]]

material as described in sections 5.1 through 5.3 of this appendix. For 
an envelope component with N layers of insulating material, the overall 
R-value shall be calculated as follows:

[GRAPHIC] [TIFF OMITTED] TR04MY23.029

Where:

ti is the thickness of the ith material that appears in the envelope 
          component, inches, as determined in section 5.2.4 of this 
          appendix;
[lgr]i is the k-factor of the ith material, Btu-in/(h-ft\2\- 
          [deg]F), as determined in section 5.3 of this appendix; and
N is the total number of material layers that appears in the envelope 
          component.

    5.4.3 K-factor test results from a test sample 1  0.1-inches in thickness may be used to determine the R-
value of envelope components with various foam thicknesses as long as 
the foam throughout the panel depth is of the same final chemical form 
and the test was completed at the same test conditions that the other 
envelope components would be used at. For example, a K-factor test 
result conducted at cooler conditions cannot be used to determine R-
value of a freezer envelope component.

[88 FR 28843, May 4, 2023, as amended at 88 FR 73217, Oct. 25, 2023]



 Sec. Appendix C to Subpart R of Part 431--Uniform Test Method for the 
   Measurement of Net Capacity and AWEF of Walk-In Cooler and Walk-In 
                      Freezer Refrigeration Systems

    Note: Prior to October 31, 2023, representations with respect to the 
energy use of refrigeration components of walk-in coolers and walk-in 
freezers, including compliance certifications, must be based on testing 
conducted in accordance with the applicable provisions of 10 CFR part 
431, subpart R, appendix C, revised as of January 1, 2022. Beginning 
October 31, 2023, representations with respect to energy use of 
refrigeration components of walk-in coolers and walk-in freezers, 
including compliance certifications, must be based on testing conducted 
in accordance with this appendix.
    For any amended standards for walk-in coolers and freezers published 
after January 1, 2022, manufacturers must use the results of testing 
under appendix C1 to this subpart to determine compliance. 
Representations related to energy consumption must be made in accordance 
with appendix C1 when determining compliance with the relevant standard. 
Manufacturers may also use appendix C1 to certify compliance with any 
amended standards prior to the applicable compliance date for those 
standards.

                                1.0 Scope

    This appendix covers the test requirements used to determine the net 
capacity and the AWEF of the refrigeration system of a walk-in cooler or 
walk-in freezer.

                             2.0 Definitions

    The definitions contained in Sec.  431.302 and AHRI 1250-2009 
(incorporated by reference; see Sec.  431.303) apply to this appendix. 
When definitions contained in the standards DOE has incorporated by 
reference are in conflict or when they conflict with this section, the 
hierarchy of precedence shall be in the following order: Sec.  431.302, 
AHRI 1250-2009, and then either AHRI 420-2008 (incorporated by 
reference; see Sec.  431.303) for unit coolers or ASHRAE 23.1-2010 
(incorporated by reference; see Sec.  431.303) for dedicated condensing 
units.
    The term ``unit cooler'' used in AHRI 1250-2009, AHRI 420-2008, and 
this subpart shall be considered to address both ``unit coolers'' and 
``ducted fan coil units,'' as appropriate.

            3.0 Test Methods, Measurements, and Calculations

    Determine the Annual Walk-in Energy Factor (AWEF) and net capacity 
of walk-in cooler and walk-in freezer refrigeration systems by 
conducting the test procedure set forth in AHRI 1250-2009 (incorporated 
by reference; see Sec.  431.303), with the modifications to that test 
procedure provided in this section. When standards that are incorporated 
by reference are in conflict or when they conflict with this section, 
the hierarchy of precedence shall be in the following order: Sec.  
431.302, AHRI 1250-2009, and then either AHRI 420-2008 (incorporated by 
reference; see Sec.  431.303) or ASHRAE 23.1-2010 (incorporated by 
reference; see Sec.  431.303).
    3.1. General modifications: Test Conditions and Tolerances.
    When conducting testing in accordance with AHRI 1250-2009 
(incorporated by reference; see Sec.  431.303), the following 
modifications must be made.
    3.1.1. In Table 1, Instrumentation Accuracy, refrigerant temperature 
measurements shall have an accuracy of 0.5 [deg]F 
for unit

[[Page 243]]

cooler in/out. When testing high-temperature refrigeration systems, 
measurements used to determine temperature or water vapor content of the 
air (i.e., wet-bulb or dew point) shall be accurate to within 0.25 [deg]F; all other temperature measurements shall be 
accurate to within 1.0 [deg]F.
    3.1.2. In Table 2, Test Operating and Test Condition Tolerances for 
Steady-State Test, electrical power frequency shall have a Test 
Condition Tolerance of 1 percent.
    3.1.3. In Table 2, the Test Operating Tolerances and Test Condition 
Tolerances for Air Leaving Temperatures shall be deleted.
    3.1.4. In Tables 2 through 14, the Test Condition Outdoor Wet Bulb 
Temperature requirement and its associated tolerance apply only to units 
with evaporative cooling.
    3.1.5. Tables 15 and 16 shall be modified to read as follows:

                                                           Table 15--Refrigerator Unit Cooler
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                        Unit cooler  Unit cooler                Liquid      Liquid
                                            air          air       Saturated     inlet       inlet
           Test  description              entering     entering     suction   saturation  subcooling     Compressor capacity         Test objective
                                         dry-bulb,     relative      temp,       temp,       temp,
                                           [deg]F    humidity, %    [deg]F      [deg]F      [deg]F
--------------------------------------------------------------------------------------------------------------------------------------------------------
Off Cycle Fan Power...................           35          <50          --          --          --  Compressor Off..........  Measure fan input power
                                                                                                                                 during compressor off
                                                                                                                                 cycle.
Refrigeration Capacity Suction A......           35          <50          25         105           9  Compressor On...........  Determine Net
                                                                                                                                 Refrigeration Capacity
                                                                                                                                 of Unit Cooler.
Refrigeration Capacity Suction B......           35          <50          20         105           9  Compressor On...........  Determine Net
                                                                                                                                 Refrigeration Capacity
                                                                                                                                 of Unit Cooler.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Note: Superheat to be set according to equipment specification in equipment or installation manual. If no superheat specification is given, a default
  superheat value of 6.5 [deg]F shall be used. The superheat setting used in the test shall be reported as part of the standard rating.


                                                              Table 16--Freezer Unit Cooler
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                        Unit cooler  Unit cooler                Liquid      Liquid
                                            air          air       Saturated     inlet       inlet
           Test  description              entering     entering     suction   saturation  subcooling     Compressor capacity         Test objective
                                         dry-bulb,     relative      temp,       temp,       temp,
                                           [deg]F    humidity, %    [deg]F      [deg]F      [deg]F
--------------------------------------------------------------------------------------------------------------------------------------------------------
Off Cycle Fan Power...................          -10          <50          --          --          --  Compressor Off..........  Measure fan input power
                                                                                                                                 during compressor off
                                                                                                                                 cycle.
Refrigeration Capacity Suction A......          -10          <50         -20         105           9  Compressor On...........  Determine Net
                                                                                                                                 Refrigeration Capacity
                                                                                                                                 of Unit Cooler.
Refrigeration Capacity Suction B......          -10          <50         -26         105           9  Compressor On...........  Determine Net
                                                                                                                                 Refrigeration Capacity
                                                                                                                                 of Unit Cooler.
Defrost...............................          -10      Various          --          --          --  Compressor Off..........  Test according to
                                                                                                                                 Appendix C Section C11.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Note: Superheat to be set according to equipment specification in equipment or installation manual. If no superheat specification is given, a default
  superheat value of 6.5 [deg]F shall be used. The superheat setting used in the test shall be reported as part of the standard rating.

    3.1.6. Test Operating Conditions for CO2 Unit Coolers

    For medium-temperature CO2 unit coolers, conduct tests 
using the test conditions specified in table C.1 of this appendix. For 
low-temperature CO2 unit coolers, conduct tests using the 
test conditions specified in table C.2 of this appendix.

[[Page 244]]



                                      Table C.1--Test Operating Conditions for Medium-Temperature CO2 Unit Coolers
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                  Unit cooler
                                     Unit cooler       air       Suction       Liquid        Liquid
                                          air       entering    dew  point      inlet         inlet
          Test description             entering     relative      temp,     bubble point   subcooling,     Compressor  capacity        Test objective
                                      dry-bulb,    humidity,      [deg]F     temperature      [deg]F
                                        [deg]F         %                        [deg]F
--------------------------------------------------------------------------------------------------------------------------------------------------------
Off-Cycle Power....................           35          <50  ...........  ............  ............  Compressor Off...........  Measure fan input
                                                                                                                                    power during
                                                                                                                                    compressor off-
                                                                                                                                    cycle.
Refrigeration Capacity, Ambient               35          <50           25            38             5  Compressor On............  Determine Net
 Condition A.                                                                                                                       Refrigeration
                                                                                                                                    Capacity of Unit
                                                                                                                                    Cooler.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
\1\ Superheat shall be set as indicated in the installation instructions. If no superheat specification is given a default superheat value of 6.5 [deg]F
  shall be used.


                                        Table C.2--Test Operating Conditions for Low-Temperature CO2 Unit Coolers
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                     Unit
                                         Unit       cooler
                                        cooler       air       Suction   Liquid inlet     Liquid
          Test description                air      entering  dew  point  bubble point      inlet         Compressor  capacity         Test objective
                                       entering    relative     temp,     temperature   subcooling,
                                       dry-bulb,  humidity,    [deg]F        [deg]F       [deg]F
                                         [deg]F       %
--------------------------------------------------------------------------------------------------------------------------------------------------------
Off-Cycle Power.....................         -10        <50  ..........  ............  ............  Compressor Off.............  Measure fan input
                                                                                                                                   power during
                                                                                                                                   compressor off cycle.
Refrigeration Capacity, Ambient              -10        <50         -20            38             5  Compressor On..............  Determine Net
 Condition A.                                                                                                                      Refrigeration
                                                                                                                                   Capacity of Unit
                                                                                                                                   Cooler.
Defrost.............................         -10        <50  ..........  ............  ............  Compressor Off.............  Test according to
                                                                                                                                   Appendix C Section
                                                                                                                                   C11 of AHRI 1250-
                                                                                                                                   2009.
--------------------------------------------------------------------------------------------------------------------------------------------------------
1. Superheat shall be set as indicated in the installation instructions. If no superheat specification is given a default superheat value of 6.5 [deg]F
  shall be used.


[[Page 245]]

   3.1.7. Test Operating Conditions for High-Temperature Unit Coolers

    For high-temperature cooler unit coolers, conduct tests using the 
test conditions specified in table C.3 of this appendix.

[[Page 246]]



                                         Table C.3--Test Operating Conditions for High-Temperature Unit Coolers
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                     Unit
                                         Unit       cooler     Suction
                                        cooler       air     dew  point  Liquid inlet     Liquid
          Test description                air      entering     temp,    bubble point      inlet         Compressor  capacity         Test objective
                                       entering    relative  [deg]F \2\   temperature   subcooling,
                                       dry-bulb,  humidity,      \3\         [deg]F       [deg]F
                                         [deg]F      % \1\
--------------------------------------------------------------------------------------------------------------------------------------------------------
Off-Cycle...........................          55         55  ..........           105             9  Compressor Off.............  Measure fan input
                                                                                                                                   power.
Refrigeration Capacity Suction A....          55         55          38           105             9  Compressor On..............  Determine Net
                                                                                                                                   Refrigeration
                                                                                                                                   Capacity of Unit
                                                                                                                                   Cooler.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
\1\ The test condition tolerance (maximum permissible variation of the average value of the measurement from the specified test condition) for relative
  humidity is 3%.
\2\ Superheat shall be set as indicated in the installation instructions. If no superheat specification is given a default superheat value of 6.5 [deg]F
  shall be used.
\3\ Suction Dew Point shall be measured at the Unit Cooler Exit.


[[Page 247]]

             3.2. General Modifications: Methods of Testing

    When conducting testing in accordance with appendix C of AHRI 1250-
2009 (incorporated by reference; see Sec.  431.303), the following 
modifications must be made.
    3.2.1. Refrigerant Temperature Measurements
    In AHRI 1250-2009 appendix C, section C3.1.6, any refrigerant 
temperature measurements entering and leaving the unit cooler may use 
sheathed sensors immersed in the flowing refrigerant instead of 
thermometer wells. When testing a condensing unit alone, measure 
refrigerant liquid temperature leaving the condensing unit using 
thermometer wells as described in AHRI 1250-2009 appendix C, section 
C3.1.6 or sheathed sensors immersed in the flowing refrigerant. For all 
of these cases, if the refrigerant tube outer diameter is less than \1/
2\ inch, the refrigerant temperature may be measured using the average 
of two temperature measuring instruments with a minimum accuracy of 
0.5 [deg]F placed on opposite sides of the 
refrigerant tube surface--resulting in a total of up to 8 temperature 
measurement devices used for the DX Dual Instrumentation method. In this 
case, the refrigerant tube shall be insulated with 1-inch thick 
insulation from a point 6 inches upstream of the measurement location to 
a point 6 inches downstream of the measurement location. Also, to comply 
with this requirement, the unit cooler entering measurement location may 
be moved to a location 6 inches upstream of the expansion device and, 
when testing a condensing unit alone, the entering and leaving 
measurement locations may be moved to locations 6 inches from the 
respective service valves.
    3.2.2. It is not necessary to perform composition analysis of 
refrigerant (appendix C, section C3.3.6) or refrigerant oil 
concentration testing (appendix C, section C3.4.6).
    3.2.3. Subcooling at Refrigerant Mass Flow Meter
    In appendix C, section C3.4.5 of AHRI 1250-2009 (incorporated by 
reference; see Sec.  431.303), and in section 7.1.2 of ASHRAE 23.1-2010 
(incorporated by reference; see Sec.  431.303) when verifying subcooling 
at the mass flow meters, only the sight glass and a temperature sensor 
located on the tube surface under the insulation are required. 
Subcooling shall be verified to be within the 3 [deg]F requirement 
downstream of flow meters located in the same chamber as a condensing 
unit under test and upstream of flow meters located in the same chamber 
as a unit cooler under test, rather than always downstream as indicated 
in AHRI 1250-2009, section C3.4.5 or always upstream as indicated in 
section 7.1.2 of ASHRAE 23.1-2010. If the subcooling is less than 3 
[deg]F, cool the line between the condensing unit outlet and this 
location to achieve the required subcooling. When providing such cooling 
while testing a matched pair, (a) set up the line-cooling system and 
also set up apparatus to heat the liquid line between the mass flow 
meters and the unit cooler, (b) when the system has achieved steady 
state without activation of the heating and cooling systems, measure the 
liquid temperature entering the expansion valve for a period of at least 
30 minutes, (c) activate the cooling system to provide the required 
subcooling at the mass flow meters, (d) if necessary, apply heat such 
that the temperature entering the expansion valve is within 0.5 \0\F of 
the temperature measured during step (b), and (e) proceed with 
measurements once condition (d) has been verified.
    3.2.4. In appendix C, section C3.5, regarding unit cooler fan power 
measurements, for a given motor winding configuration, the total power 
input shall be measured at the highest nameplate voltage. For three-
phase power, voltage imbalances shall be no more than 2 percent from 
phase to phase.
    3.2.5. In the test setup (appendix C, section C8.3), the liquid line 
and suction line shall be constructed of pipes of the manufacturer-
specified size. The pipe lines shall be insulated with a minimum total 
thermal resistance equivalent to \1/2\-inch thick insulation having a 
flat-surface R-Value of 3.7 ft\2\- [deg]F-hr/Btu per inch or greater. 
Flow meters need not be insulated but must not be in contact with the 
floor. The lengths of the connected liquid line and suction line shall 
be 25 feet  3 inches, not including the requisite 
flow meters, each. Of this length, no more than 15 feet shall be in the 
conditioned space. Where there are multiple branches of piping, the 
maximum length of piping applies to each branch individually as opposed 
to the total length of the piping.
    3.2.6. Installation Instructions
    Manufacturer installation instructions refer to the instructions 
that are applied to the unit (i.e., as a label) or that come packaged 
with the unit. Online installation instructions are acceptable only if 
the version number or date of publication is referenced on the unit 
label or in the documents that are packaged with the unit.
    3.2.6.1 Installation Instruction Hierarchy when available 
installation instructions are in conflict
    3.2.6.1.1 If a manufacturer installation instruction provided on the 
label(s) applied to the unit conflicts with the manufacturer 
installation instructions that are shipped with the unit, the 
instructions on the unit's label take precedence.
    3.2.6.1.2 Manufacturer installation instructions provided in any 
documents that are packaged with the unit take precedence over any 
manufacturer installation instructions provided online.

[[Page 248]]

    3.2.6.2 For testing of attached split systems, the manufacturer 
installation instructions for the dedicated condensing unit shall take 
precedence over the manufacturer installation instructions for the unit 
cooler.
    3.2.6.3 Unit setup shall be in accordance with the manufacturer 
installation instructions (laboratory installation instructions shall 
not be used).
    3.2.6.4 Achieving test conditions shall always take precedence over 
installation instructions.
    3.2.7. Refrigerant Charging and Adjustment of Superheat and 
Subcooling.
    All dedicated condensing systems (dedicated condensing units tested 
alone, matched pairs, and single packaged dedicated systems) that use 
flooding of the condenser for head pressure control during low-ambient-
temperature conditions shall be charged, and superheat and/or subcooling 
shall be set, at Refrigeration C test conditions unless otherwise 
specified in the installation instructions.
    If after being charged at Refrigeration C condition the unit under 
test does not operate at the Refrigeration A condition due to high 
pressure cut out, refrigerant shall be removed in increments of 4 ounces 
or 5 percent of the test unit's receiver capacity, whichever quantity is 
larger, until the unit operates at the Refrigeration A condition. All 
tests shall be run at this final refrigerant charge. If less than 0 
[deg]F of subcooling is measured for the refrigerant leaving the 
condensing unit when testing at B or C condition, calculate the 
refrigerant-enthalpy-based capacity (i.e., when using the DX dual 
instrumentation, the DX calibrated box, or single-packaged unit 
refrigerant enthalpy method) assuming that the refrigerant is at 
saturated liquid conditions at the condensing unit exit.
    All dedicated condensing systems that do not use a flooded condenser 
design shall be charged at Refrigeration A test conditions unless 
otherwise specified in the installation instructions.
    If the installation instructions give a specified range for 
superheat, sub-cooling, or refrigerant pressure, the average of the 
range shall be used as the refrigerant charging parameter target and the 
test condition tolerance shall be 50 percent of 
the range. Perform charging of near-azeotropic and zeotropic 
refrigerants only with refrigerant in the liquid state. Once the correct 
refrigerant charge is determined, all tests shall run until completion 
without further modification.
    3.2.7.1. When charging or adjusting superheat/subcooling, use all 
pertinent instructions contained in the installation instructions to 
achieve charging parameters within the tolerances. However, in the event 
of conflicting charging information between installation instructions, 
follow the installation instruction hierarchy listed in section 3.2.6. 
of this appendix. Conflicting information is defined as multiple 
conditions given for charge adjustment where all conditions specified 
cannot be met. In the event of conflicting information within the same 
set of charging instructions (e.g., the installation instructions 
shipped with the dedicated condensing unit), follow the hierarchy in 
table C.4 of this section for priority. Unless the installation 
instructions specify a different charging tolerance, the tolerances 
identified in table C.4 of this section shall be used.

     Table C.4--Test Condition Tolerances and Hierarchy for Refrigerant Charging and Setting of Refrigerant
                                                   Conditions
----------------------------------------------------------------------------------------------------------------
                                   Fixed orifice                                  Expansion valve
                 -----------------------------------------------------------------------------------------------
    Priority          Parameter with                                  Parameter with
                       installation              Tolerance             installation              Tolerance
                    instruction target                              instruction target
----------------------------------------------------------------------------------------------------------------
1...............  Superheat.............  2.0 [deg]F.                                  Value; No less than
                                                                                           0.5 [deg]F, No
                                                                                           more than 2.0
                                                                                           [deg]F.
2...............  High Side Pressure or   4.0 psi or 4.0 psi or 1.0     Temperature.            minus1.0
                                           [deg]F.                                         [deg]F.
3...............  Low Side Pressure or    2.0 psi or 2.0 [deg]F.
                   Temperature.            minus0.8
                                           [deg]F.
4...............  Low Side Temperature..  2.0 [deg]F.          Saturation              eq>2.0 psi or 0.8
                                                                                           [deg]F.
5...............  High Side Temperature.  2.0 [deg]F.                                  eq>1.0 [deg]F.
6...............  Charge Weight.........  2.0 oz.                                      whichever is greater.
----------------------------------------------------------------------------------------------------------------

    3.2.7.2. Dedicated Condensing Unit. If the Dedicated Condensing Unit 
includes a receiver and the subcooling target leaving the condensing 
unit provided in installation instructions cannot be met without fully 
filling the receiver, the subcooling target shall be ignored. Likewise, 
if the Dedicated Condensing unit does not include a receiver and the 
subcooling target leaving the condensing unit cannot be met without the 
unit cycling

[[Page 249]]

off on high pressure, the subcooling target can be ignored. Also, if no 
instructions for charging or for setting subcooling leaving the 
condensing unit are provided in the installation instructions, the 
refrigeration system shall be set up with a charge quantity and/or exit 
subcooling such that the unit operates during testing without shutdown 
(e.g., on a high-pressure switch) and operation of the unit is otherwise 
consistent with the requirements of the test procedure of this appendix 
and the installation instructions.
    3.2.8. Chamber Conditioning using the Unit Under Test.
    In appendix C, section C6.2 of AHRI 1250-2009, for applicable system 
configurations (matched pairs, single-packaged refrigeration systems, 
and standalone unit coolers), the unit under test may be used to aid in 
achieving the required test chamber conditions prior to beginning any 
steady state test. However, the unit under test must be inspected and 
confirmed to be free from frost before initiating steady state testing.
    3.3. Matched systems, single-package dedicated systems, and unit 
coolers tested alone: Use the test method in AHRI 1250-2009 
(incorporated by reference; see Sec.  431.303), appendix C as the method 
of test for matched refrigeration systems, single-package dedicated 
systems, or unit coolers tested alone, with the following modifications:
    3.3.1. For unit coolers tested alone, use test procedures described 
in AHRI 1250-2009 for testing unit coolers for use in mix-match system 
ratings, except that for the test conditions in tables 15 and 16 of this 
appendix, use the Suction A saturation condition test points only. Also, 
for unit coolers tested alone, other than high-temperature unit coolers, 
use the calculations in section 7.9 of AHRI 1250-2009 to determine AWEF 
and net capacity described in AHRI 1250-2009 for unit coolers matched to 
parallel rack systems.
    3.3.2. In appendix C, section C.13, the version of AHRI Standard 420 
used for test methods, requirements, and procedures shall be AHRI 420-
2008 (incorporated by reference; see Sec.  431.303).
    3.3.3. Evaporator Fan Power.
    3.3.3.1. Ducted Evaporator Air.
    For ducted fan coil units with ducted evaporator air, or that can be 
installed with or without ducted evaporator air: Connect ductwork on 
both the inlet and outlet connections and determine external static 
pressure as described in ASHRAE 37 (incorporated by reference; see Sec.  
431.303), sections 6.4 and 6.5. Use pressure measurement instrumentation 
as described in ASHRAE 37, section 5.3.2. Test at the fan speed 
specified in manufacturer installation instructions--if there is more 
than one fan speed setting and the installation instructions do not 
specify which speed to use, test at the highest speed. Conduct tests 
with the external static pressure equal to 50 percent of the maximum 
external static pressure allowed by the manufacturer for system 
installation within a tolerance of -0.00/+0.05 in. wc. Set the external 
static pressure by symmetrically restricting the outlet of the test 
duct. Alternatively, if using the indoor air enthalpy method to measure 
capacity, set external static pressure by adjusting the fan of the 
airflow measurement apparatus. In case of conflict, these requirements 
for setting evaporator airflow take precedence over airflow values 
specified in manufacturer installation instructions or product 
literature.
    3.3.3.2. Unit Coolers or Single-Packaged Systems that are not High-
Temperature Refrigeration Systems.
    Use appendix C, section C10 of AHRI 1250-2009 for off-cycle 
evaporator fan testing, with the exception that evaporator fan controls 
using periodic stir cycles shall be adjusted so that the greater of a 50 
percent duty cycle (rather than a 25 percent duty cycle) or the 
manufacturer default is used for measuring off-cycle fan energy. For 
adjustable-speed controls, the greater of 50 percent fan speed (rather 
than 25 percent fan speed) or the manufacturer's default fan speed shall 
be used for measuring off-cycle fan energy. Also, a two-speed or multi-
speed fan control may be used as the qualifying evaporator fan control. 
For such a control, a fan speed no less than 50 percent of the speed 
used in the maximum capacity tests shall be used for measuring off-cycle 
fan energy.
    3.3.3.3. High-Temperature Refrigeration Systems.
    3.3.3.3.1. The evaporator fan power consumption shall be measured in 
accordance with the requirements in section C3.5 of AHRI 1250-2009. This 
measurement shall be made with the fan operating at full speed, either 
measuring unit cooler or total system power input upon the completion of 
the steady state test when the compressor and the condenser fan of the 
walk-in system are turned off, or by submetered measurement of the 
evaporator fan power during the steady state test.
    Section C3.5 of AHRI 1250-2009 is revised to read:
    Evaporator Fan Power Measurement.
    The following shall be measured and recorded during a fan power 
test.

EFcomp,on Total electrical power input to fan motor(s) of 
Unit Cooler, W
FS Fan speed(s), rpm
N Number of motors
Pb Barometric pressure, in. Hg
Tdb Dry-bulb temperature of air at inlet, [deg]F
Twb Wet-bulb temperature of air at inlet, [deg]F
V Voltage of each phase

    For a given motor winding configuration, the total power input shall 
be measured at the highest nameplate voltage. For three-phase power, 
voltage imbalance shall be no more than 2%.

[[Page 250]]

    3.3.3.3.2. Evaporator fan power for the off-cycle is equal to the 
on-cycle evaporator fan power with a run time of 10 percent of the off-
cycle time.

EFcomp,off = 0.1 x EFcomp,on

    3.3.4. Use appendix C, section C11 of AHRI 1250-2009 (incorporated 
by reference, see Sec.  431.303) for defrost testing. The Frost Load 
Condition Defrost Test (C11.1.1) is optional.
    3.3.4.1. If the frost load condition defrost test is performed:
    3.3.4.1.1 Operate the unit cooler at the dry coil conditions as 
specified in appendix C, section C11.1 to obtain dry coil defrost 
energy, DFd, in W-h.
    3.3.4.1.2 Operate the unit cooler at the frost load conditions as 
specified in appendix C, sections C11.1 and C11.1.1 to obtain frosted 
coil defrost energy, DFf, in W-h.
    3.3.4.1.3 The number of defrosts per day, NDF, shall be 
calculated from the time interval between successive defrosts from the 
start of one defrost to the start of the next defrost at the frost load 
conditions.
    3.3.4.1.4 Use appendix C, equations C13 and C14 in section C11.3 to 
calculate, respectively, the daily average defrost energy, DF, in W-h 
and the daily contribution of the load attributed to defrost 
QDF in Btu.
    3.3.4.1.5 The defrost adequacy requirements in appendix C, section 
C11.3 shall apply.
    3.3.4.2 If the frost load test is not performed:
    3.3.4.2.1 Operate the unit cooler at the dry coil conditions as 
specified in appendix C, section C11.1 to obtain dry coil defrost 
energy, DFd, in W-h.
    3.3.4.2.2 The frost load defrost energy, DFf, in W-h 
shall be equal to 1.05 multiplied by the dry coil energy consumption, 
DFd, measured using the dry coil condition test in appendix 
C, section C11.1.
    3.3.4.2.3 The number of defrosts per day NDF used in 
subsequent calculations shall be 4.
    3.3.4.2.4 Use appendix C, equation C13 in section C11.3 to calculate 
the daily average defrost energy, DF, in W-h.
    3.3.4.2.5 The daily contribution of the load attributed to defrost 
QDF in Btu shall be calculated as follows:
[GRAPHIC] [TIFF OMITTED] TR28DE16.008


Where:

DFd = the defrost energy, in W-h, measured at the dry coil 
          condition

    3.3.5. If a unit has adaptive defrost, use appendix C, section C11.2 
of AHRI 1250-2009 as follows:
    3.3.5.1. When testing to certify to the energy conservation 
standards in Sec.  431.306, do not perform the optional test for 
adaptive or demand defrost in appendix C, section C11.2.
    3.3.5.2. When determining the represented value of the calculated 
benefit for the inclusion of adaptive defrost, conduct the optional test 
for adaptive or demand defrost in appendix C, section C11.2 to establish 
the maximum time interval allowed between dry coil defrosts. If this 
time is greater than 24 hours, set its value to 24 hours. Then, 
calculate NDF (the number of defrosts per day) by averaging 
the time in hours between successive defrosts for the dry coil condition 
with the time in hours between successive defrosts for the frosted coil 
condition, and dividing 24 by this average time. (The time between 
successive defrosts for the frosted coil condition is found as specified 
in section 3.3.4 of this appendix C of AHRI 1250-2009: That is, if the 
optional frosted coil test was performed, the time between successive 
defrosts for the frosted coil condition is found by performing the 
frosted coil test as specified in section 3.3.4.1 of this appendix; and 
if the optional frosted coil test was not performed, the time between 
successive defrosts for the frosted coil condition shall be set to 4 as 
specified in section 3.3.4.2. of this appendix) Use this new value of 
NDF in subsequent calculations.
    3.3.6. For matched refrigeration systems and single-package 
dedicated systems, calculate the AWEF using the calculations in AHRI 
1250-2009 (incorporated by reference; see Sec.  431.303), section 7.4, 
7.5, 7.6, or 7.7, as applicable.
    3.3.7. Calculations for Unit Coolers Tested Alone.
    3.3.7.1. Unit Coolers that are not High-Temperature Unit Coolers.
    Calculate the AWEF and net capacity using the calculations in AHRI 
1250-2009, section 7.9.
    3.3.7.2 High-Temperature Unit Coolers.
    Calculate AWEF on the basis that walk-in box load is equal to half 
of the system net capacity, without variation according to high and low 
load periods, and with EER set according to tested evaporator capacity, 
as follows:
    The net capacity, qmix,evap, is determined from the test data for 
the unit cooler at the 38 [deg]F suction dewpoint.

[[Page 251]]

[GRAPHIC] [TIFF OMITTED] TR04MY23.030

Where:
[GRAPHIC] [TIFF OMITTED] TR04MY23.031


Where:

BL is the non-equipment-related box load;
LF is the load factor; and
Other symbols are as defined in section 8 of AHRI 1250-2009.

    3.3.7.3. If the unit cooler has variable-speed evaporator fans that 
vary fan speed in response to load, then:
    3.3.7.3.1. When testing to certify compliance with the energy 
conservation standards in Sec.  431.306, fans shall operate at full 
speed during on-cycle operation. Do not conduct the calculations in AHRI 
1250-2009, section 7.9.3. Instead, use AHRI 1250-2009, section 7.9.2 to 
determine the system's AWEF.
    3.3.7.3.2. When calculating the benefit for the inclusion of 
variable-speed evaporator fans that modulate fan speed in response to 
load for the purpose of making representations of efficiency, use AHRI 
1250-2009, section 7.9.3 to determine the system AWEF.

3.4. Dedicated condensing units that are not matched for testing and are 
                  not single-package dedicated systems

    3.4.1. Refer to appendix C, section C.12 of AHRI 1250-2009 
(incorporated by reference; see Sec.  431.303), for the method of test 
for dedicated condensing units. The version of ASHRAE Standard 23 used 
for test methods, requirements, and procedures shall be ANSI/ASHRAE 
Standard 23.1-2010 (incorporated by reference; see Sec.  431.303). When 
applying this test method, use the applicable test method modifications 
listed in sections 3.1 and 3.2 of this appendix. For the test conditions 
in AHRI 1250-2009, Tables 11, 12, 13, and 14, use the Suction A 
condition test points only.
    3.4.2. Calculate the AWEF and net capacity for dedicated condensing 
units using the calculations in AHRI 1250-2009 (incorporated by 
reference; see Sec.  431.303) section 7.8. Use the following 
modifications to the calculations in lieu of unit cooler test data:
    3.4.2.1. For calculating enthalpy leaving the unit cooler to 
calculate gross capacity, (a) the saturated refrigerant temperature (dew 
point) at the unit cooler coil exit, Tevap,

[[Page 252]]

shall be 25 [deg]F for medium-temperature systems (coolers) and -20 
[deg]F for low-temperature systems (freezers), and (b) the refrigerant 
temperature at the unit cooler exit shall be 35 [deg]F for medium-
temperature systems (coolers) and -14 [deg]F for low-temperature systems 
(freezers). For calculating gross capacity, the measured enthalpy at the 
condensing unit exit shall be used as the enthalpy entering the unit 
cooler. The temperature measurement requirements of appendix C, section 
C3.1.6 of AHRI 1250-2009 and modified by section 3.2.1 of this appendix 
shall apply only to the condensing unit exit rather than to the unit 
cooler inlet and outlet, and they shall be applied for two measurements 
when using the DX Dual Instrumentation test method.
    3.4.2.2. The on-cycle evaporator fan power in watts, 
EFcomp,on, shall be calculated as follows:
    For medium-temperature systems (coolers), EFcomp,on = 
0.013 x qmix,cd
    For low-temperature systems (freezers), EFcomp,on = 0.016 
x qmix,cd

Where:

qmix,cd is the gross cooling capacity of the system in Btu/h, 
          found by a single test at the Capacity A, Suction A condition 
          for outdoor units and the Suction A condition for indoor 
          units.

    3.4.2.3. The off-cycle evaporator fan power in watts, 
EFcomp,off, shall be calculated as follows:

    EFcomp,off = 0.2 x EFcomp,on

Where:

EFcomp,on is the on-cycle evaporator fan power in watts.

    3.4.2.4. The daily defrost energy use in watt-hours, DF, shall be 
calculated as follows:
    For medium-temperature systems (coolers), DF = 0
    For low-temperature systems (freezers), DF = 8.5 x 10-3 x 
qmix,cd\1.27\ x NDF

Where:

qmix,cd is the gross cooling capacity of the system in Btu/h, 
          found by a single test at the Capacity A, Suction A condition 
          for outdoor units and the Suction A condition for indoor 
          units, and
NDF is the number of defrosts per day, equal to 4.

    3.4.2.5. The daily defrost heat load contribution in Btu, 
QDF, shall be calculated as follows:
    For medium-temperature systems (coolers), QDF = 0
    For low-temperature systems (freezers), QDF = 0.95 x DF x 
3.412

Where:

DF is the daily defrost energy use in watt-hours.

                3.5 Hot Gas Defrost Refrigeration Systems

    For all hot gas defrost refrigeration systems, remove the hot gas 
defrost mechanical components and disconnect all such components from 
electrical power.
    3.5.1 Hot Gas Defrost Dedicated Condensing Units Tested Alone: Test 
these units as described in section 3.4 of this appendix for electric 
defrost dedicated condensing units that are not matched for testing and 
are not single-package dedicated systems.
    3.5.2 Hot Gas Defrost Matched Systems and Single-package Dedicated 
Systems: Test these units as described in section 3.3 of this appendix 
for electric defrost matched systems and single-package dedicated 
systems, but do not conduct defrost tests as described in sections 3.3.4 
and 3.3.5 of this appendix. Calculate daily defrost energy use as 
described in section 3.4.2.4 of this appendix. Calculate daily defrost 
heat contribution as described in section 3.4.2.5 of this appendix.
    3.5.3 Hot Gas Defrost Unit Coolers Tested Alone: Test these units as 
described in section 3.3 of this appendix for electric defrost unit 
coolers tested alone, but do not conduct defrost tests as described in 
sections 3.3.4 and 3.3.5 of this appendix. Calculate average defrost 
heat load QDF, expressed in Btu/h, as follows:


[[Page 253]]


[GRAPHIC] [TIFF OMITTED] TR26MR21.002


[[Page 254]]



[81 FR 95803, Dec. 28, 2016, as amended at 86 FR 16035, Mar. 26, 2021; 
88 FR 28845, May 4, 2023; 88 FR 73217, Oct. 25, 2023]



 Sec. Appendix C1 to Subpart R of Part 431--Uniform Test Method for the 
  Measurement of Net Capacity and AWEF2 of Walk-In Cooler and Walk-In 
                      Freezer Refrigeration Systems

    Note: Prior to October 31, 2023, representations with respect to the 
energy use of refrigeration components of walk-in coolers and walk-in 
freezers, including compliance certifications, must be based on testing 
conducted in accordance with the applicable provisions for 10 CFR part 
431, subpart R, appendix C, revised as of January 1, 2022. Beginning 
October 31, 2023, representations with respect to energy use of 
refrigeration components of walk-in coolers and walk-in freezers, 
including compliance certifications, must be based on testing conducted 
in accordance with appendix C to this subpart.
    For any amended standards for walk-in coolers and walk-in freezers 
published after January 1, 2022, manufacturers must use the results of 
testing under this appendix to determine compliance. Representations 
related to energy consumption must be made in accordance with this 
appendix when determining compliance with the relevant standard. 
Manufacturers may also use this appendix to certify compliance with any 
amended standards prior to the applicable compliance date for those 
standards.

                      0. Incorporation by Reference

    DOE incorporated by reference in Sec.  431.303, the entire standard 
for AHRI 1250-2020, ANSI/ASHRAE 16, ANSI/ASHRAE 23.1-2010, ANSI/ASHRAE 
37, ANSI/ASHRAE 41.1, ANSI/ASHRAE 41.3, ANSI/ASHRAE 41.6, and ANSI/
ASHRAE 41.10. However, certain enumerated provisions of these standards, 
as set forth in sections 0.1 through 0.8 of this appendix are 
inapplicable. To the extent there is a conflict between the terms or 
provisions of a referenced industry standard and the CFR, the CFR 
provisions control. To the extent there is a conflict between the terms 
or provisions of AHRI 1250-2020, ANSI/ASHRAE 16, ANSI/ASHRAE 23.1-2010, 
ANSI/ASHRAE 37, ANSI/ASHRAE 41.1, ANSI/ASHRAE 41.3, ANSI/ASHRAE 41.6, 
and ANSI/ASHRAE 41.10, the AHRI 1250-2020 provisions control.

                           0.1 AHRI 1250-2020

(a) Section 1 Purpose, is inapplicable
(b) Section 2 Scope, is inapplicable
(c) Section 9 Minimum Data Requirements for Published Rating, is 
inapplicable
(d) Section 10 Marking and Nameplate Data, is inapplicable
(e) Section 11 Conformance Conditions, is inapplicable

                           0.2 ANSI/ASHRAE 16

(a) Section 1 Purpose, is inapplicable
(b) Section 2 Scope, is inapplicable
(c) Section 4 Classifications, is inapplicable
(d) Normative Appendices E-M, are inapplicable
(e) Informative Appendices N-R, are inapplicable

                        0.3 ANSI/ASHRAE 23.1-2010

(a) Section 1 Purpose, is inapplicable
(b) Section 2 Scope, is inapplicable
(c) Section 4 Classifications, is inapplicable

                           0.4 ANSI/ASHRAE 37

(a) Section 1 Purpose, is inapplicable
(b) Section 2 Scope, is inapplicable
(c) Section 4 Classifications, is inapplicable
(d) Informative Appendix A Classifications of Unitary Air-conditioners 
and Heat Pumps, is inapplicable.

                          0.5 ANSI/ASHRAE 41.1

(a) Section 1 Purpose, is inapplicable
(b) Section 2 Scope, is inapplicable
(c) Section 4 Classifications, is inapplicable
(d) Section 9 Test Report, is inapplicable
(e) Informative Appendices A-C, are inapplicable

                          0.6 ANSI/ASHRAE 41.3

(a) Section 1 Purpose, is inapplicable
(b) Section 2 Scope, is inapplicable
(c) Section 4 Classifications, is inapplicable
(d) Section 6 Instrument Types (informative), is inapplicable
(e) Section 8 Test Report, is inapplicable
(f) Informative Annexes A-D, are inapplicable

                          0.7 ANSI/ASHRAE 41.6

(a) Section 1 Purpose, is inapplicable
(b) Section 2 Scope, is inapplicable
(c) Section 4 Classifications, is inapplicable
(d) Section 9 Test Report, is inapplicable
(e) Informative Appendices A-D, are inapplicable

                          0.8 ANSI/ASHRAE 41.10

(a) Section 1 Purpose, is inapplicable
(b) Section 2 Scope, is inapplicable
(c) Section 4 Classifications, is inapplicable
(d) Section 10 Test Report, is inapplicable
(e) Informative Annexes A-D, are inapplicable

                                1. Scope

    This appendix covers the test requirements used to determine the net 
capacity and the AWEF2 of the refrigeration system of a walk-in cooler 
or walk-in freezer.

[[Page 255]]

                             2. Definitions

                       2.1. Applicable Definitions

    The definitions contained in Sec.  431.302, AHRI 1250-2020, ANSI/
ASHRAE 37, and ANSI/ASHRAE 16 apply to this appendix. When definitions 
in standards incorporated by reference are in conflict or when they 
conflict with this section, the hierarchy of precedence shall be in the 
following order: Sec.  431.302, AHRI 1250-2020, and then either ANSI/
ASHRAE 37 or ANSI/ASHRAE 16.
    The term ``unit cooler'' used in AHRI 1250-2020 and this subpart 
shall be considered to address both ``unit coolers'' and ``ducted fan 
coil units,'' as appropriate.

                       2.2. Additional Definitions

    2.2.1. Digital Compressor means a compressor that uses mechanical 
means for disengaging active compression on a cyclic basis to provide a 
reduced average refrigerant flow rate in response to a control system 
input signal.
    2.2.2. Displacement Ratio, applicable to staged positive 
displacement compressor systems, means the swept volume rate, e.g. in 
cubic centimeters per second, of a given stage, divided by the swept 
volume rate at full capacity.
    2.2.3. Duty Cycle, applicable to digital compressors, means the 
fraction of time that the compressor is engaged and actively compressing 
refrigerant.
    2.2.4. Maximum Speed, applicable to variable-speed compressors, 
means the maximum speed at which the compressor will operate under the 
control of the dedicated condensing system control system for extended 
periods of time, i.e. not including short-duration boost-mode operation.
    2.2.5. Minimum Speed, applicable to variable-speed compressors, 
means the minimum compressor speed at which the compressor will operate 
under the control of the dedicated condensing system control system.
    2.2.6. Multiple-Capacity, applicable for describing a refrigeration 
system, indicates that it has three or more stages (levels) of capacity.
    2.2.7. Speed Ratio, applicable to variable-speed compressors, means 
the ratio of operating speed to the maximum speed.

             3. Test Methods, Measurements, and Calculations

    Determine the Annual Walk-in Energy Factor (AWEF2) and net capacity 
of walk-in cooler and walk-in freezer refrigeration systems by 
conducting the test procedure set forth in AHRI 1250-2020, with the 
modifications to that test procedure provided in this section. However, 
certain sections of AHRI 1250-2020, ANSI/ASHRAE 37, and ANSI/ASHRAE 16 
are not applicable, as set forth in sections 0.1, 0.2, and 0.3 of this 
appendix. Round AWEF2 measurements to the nearest 0.01 Btu/Wh. Round net 
capacity measurements as indicated in table 1 of this appendix.

         Table 1--Rounding of Refrigeration System Net Capacity
------------------------------------------------------------------------
                                                                Rounding
                  Net capacity range, Btu/h                    multiple,
                                                                  Btu/h
------------------------------------------------------------------------
<20,000......................................................        100
=20,000 and <38,000...............................        200
=38,000 and <65,000...............................        500
=65,000...........................................      1,000
------------------------------------------------------------------------

    The following sections of this appendix provide additional 
instructions for testing. In cases where there is a conflict, the 
language of this appendix takes highest precedence, followed by AHRI 
1250-2020, then ANSI/ASHRAE 37 or ANSI/ASHRAE 16. Any subsequent 
amendment to a referenced document by the standard-setting organization 
will not affect the test procedure in this appendix, unless and until 
the test procedure is amended by DOE. Material is incorporated as it 
exists on the date of the approval, and a notification of any change in 
the incorporation will be published in the Federal Register.

            3.1. Instrumentation Accuracy and Test Tolerances

    Use measuring instruments as described in section 4.1 of AHRI 1250-
2020, with the following additional requirement.
    3.1.1. Electrical Energy Input measured in Wh with a minimum 
accuracy of 0.5% of reading (for Off-Cycle tests 
per footnote 5 of Table C3 in section C3.6.2 of AHRI 1250-2020).

                     3.2. Test Operating Conditions

    Test conditions used to determine AWEF2 shall be as specified in 
Tables 4 through 17 of AHRI 1250-2020. Tables 7 and 11 of AHRI 1250-
2020, labeled to apply to variable-speed outdoor matched-pair 
refrigeration systems, shall also be used for testing variable-capacity 
single-packaged outdoor refrigeration systems, and also for testing 
multiple-capacity matched-pair or single-packaged outdoor refrigeration 
systems. Test conditions used to determine AWEF2 for refrigeration 
systems not specifically identified in AHRI 1250-2020 are as enumerated 
in sections 3.5.1 through 3.5.6 of this appendix.

   3.2.1 Test Operating Conditions for High-Temperature Refrigeration 
                                 Systems

    For fixed-capacity high-temperature matched-pair or single-packaged 
refrigeration systems with indoor condensing units,

[[Page 256]]

conduct tests using the test conditions specified in table 2 of this 
appendix. For fixed-capacity high-temperature matched-pair or single-
packaged refrigeration systems with outdoor condensing units, conduct 
tests using the test conditions specified in table 3 of this appendix. 
For high-temperature unit coolers tested alone, conduct tests using the 
test conditions specified in table 4 of this appendix.

           Table 2--Test Operating Conditions for Fixed-Capacity High-Temperature Indoor Matched Pair or Single-Packaged Refrigeration Systems
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                       Unit cooler
                                          Unit cooler       air      Condenser    Condenser
                                               air       entering       air          air
            Test description                entering     relative     entering     entering         Compressor  status              Test objective
                                           dry-bulb,   humidity, %   dry-bulb,    wet-bulb,
                                             [deg]F        \1\         [deg]F       [deg]F
--------------------------------------------------------------------------------------------------------------------------------------------------------
Off-Cycle Power.........................           55           55  ...........  ...........  Compressor Off................  Measure total input
                                                                                                                               wattage during compressor
                                                                                                                               off-cycle, (Ecu,off +
                                                                                                                               EFcomp,off).\2\
Refrigeration Capacity A................           55           55           90  \3\ 75, \4\  Compressor On.................  Determine Net
                                                                                          65                                   Refrigeration Capacity of
                                                                                                                               Unit Cooler, input power,
                                                                                                                               and EER at Test
                                                                                                                               Condition.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
\1\ The test condition tolerance (maximum permissible variation of the average value of the measurement from the specified test condition) for relative
  humidity is 3%.
\2\ Measure off-cycle power as described in sections C3 and C4.2 of AHRI 1250-2020.
\3\ Required only for evaporative condensing units (e.g., incorporates a slinger ring).
\4\ Maximum allowable value for Single-Packaged Systems that do not use evaporative Dedicated Condensing Units, where all or part of the equipment is
  located in the outdoor room.


          Table 3--Test Operating Conditions for Fixed-Capacity High-Temperature Outdoor Matched-Pair or Single-Packaged Refrigeration Systems
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                       Unit cooler
                                          Unit cooler       air      Condenser    Condenser
                                               air       entering       air          air
            Test  description               entering     relative     entering     entering         Compressor  status              Test objective
                                           dry-bulb,    humidity,    dry-bulb,    wet-bulb,
                                             [deg]F       % \1\        [deg]F       [deg]F
--------------------------------------------------------------------------------------------------------------------------------------------------------
Refrigeration Capacity A................           55           55           95  \3\ 75, \4\  Compressor On.................  Determine Net
                                                                                          68                                   Refrigeration Capacity of
                                                                                                                               Unit Cooler, input power,
                                                                                                                               and EER at Test
                                                                                                                               Condition.
Off-Cycle Power, Capacity A.............           55           55           95  \3\ 75, \4\  Compressor Off................  Measure total input
                                                                                          68                                   wattage during compressor
                                                                                                                               off-cycle, ( Ecu,off +
                                                                                                                               EFcomp,off) \2\.
Refrigeration Capacity B................           55           55           59  \3\ 54, \4\  Compressor On.................  Determine Net
                                                                                          46                                   Refrigeration Capacity of
                                                                                                                               Unit Cooler and system
                                                                                                                               input power at moderate
                                                                                                                               condition.

[[Page 257]]

 
Off-Cycle Power, Capacity B.............           55           55           59  \3\ 54, \4\  Compressor Off................  Measure total input
                                                                                          46                                   wattage during compressor
                                                                                                                               off-cycle, (Ecu,off +
                                                                                                                               EFcomp,off) \2\.
Refrigeration Capacity C................           55           55           35  \3\ 34, \4\  Compressor On.................  Determine Net
                                                                                          29                                   Refrigeration Capacity of
                                                                                                                               Unit Cooler and system
                                                                                                                               input power at cold
                                                                                                                               condition.
Off-Cycle Power, Capacity C.............           55           55           35  \3\ 34, \4\  Compressor Off................  Measure total input
                                                                                          29                                   wattage during compressor
                                                                                                                               off-cycle, (Ecu,off +
                                                                                                                               EFcomp,off) \2\.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
\1\ The test condition tolerance (maximum permissible variation of the average value of the measurement from the specified test condition) for relative
  humidity is 3%.
\2\ Measure off-cycle power as described in sections C3 and C4.2 of AHRI 1250-2020.
\3\ Required only for evaporative condensing units (e.g., incorporates a slinger ring).
\4\ Maximum allowable value for Single-Packaged Systems that do not use evaporative Dedicated Condensing Units, where all or part of the equipment is
  located in the outdoor room.


[[Page 258]]


                                          Table 4--Test Operating Conditions for High-Temperature Unit Coolers
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                 Unit cooler
                                    Unit cooler       air       Suction     Liquid inlet      Liquid
                                         air       entering    dew point    bubble point      inlet
         Test description             entering     relative      temp,      temperature,   subcooling,      Compressor  status         Test objective
                                     dry-bulb,   humidity, %   [deg]F \3\      [deg]F          [deg]F
                                       [deg]F        \1\          \4\
--------------------------------------------------------------------------------------------------------------------------------------------------------
Off-Cycle.........................           55           55  ...........             105            9  Compressor Off...........  Measure unit cooler
                                                                                                                                    input wattage during
                                                                                                                                    compressor off-
                                                                                                                                    cycle, EF.\2\
Refrigeration Capacity............           55           55           38             105            9  Compressor On............  Determine Net
                                                                                                                                    Refrigeration
                                                                                                                                    Capacity of Unit
                                                                                                                                    Cooler, input power,
                                                                                                                                    and EER at Test
                                                                                                                                    Condition.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
\1\ The test condition tolerance (maximum permissible variation of the average value of the measurement from the specified test condition) for relative
  humidity is 3%.
\2\ Measure off-cycle power as described in sections C3 and C4.2 of AHRI 1250-2020.
\3\ Superheat shall be set as indicated in the installation instructions. If no superheat specification is given a default superheat value of 6.5 [deg]F
  shall be used.
\4\ Suction Dew Point shall be measured at the Unit Cooler Exit.


[[Page 259]]

     3.2.2 Test Operating Conditions for CO2 Unit Coolers

    For medium-temperature CO2 Unit Coolers, conduct tests 
using the test conditions specified in table 5 of this appendix. For 
low-temperature CO2 Unit Coolers, conduct tests using the 
test conditions specified in table 6 of this appendix.

[[Page 260]]



                                     Table 5--Test Operating Conditions \1\ for Medium-Temperature CO2 Unit Coolers
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                 Unit cooler
                                    Unit cooler       air       Suction     Liquid inlet      Liquid
                                         air       entering    dew point    bubble point      inlet       Compressor  operating
            Test title                entering     relative     temp,\3\    temperature,   subcooling,             mode                Test objective
                                     dry-bulb,    humidity,      [deg]F        [deg]F          [deg]F
                                       [deg]F         %
--------------------------------------------------------------------------------------------------------------------------------------------------------
Off-Cycle Power...................           35          <50  ...........  ..............  ...........  Compressor Off...........  Measure unit cooler
                                                                                                                                    input wattage during
                                                                                                                                    compressor off-
                                                                                                                                    cycle, EF \2\.
Refrigeration Capacity, Ambient              35          <50           25              38            5  Compressor On............  Determine Net
 Condition A.                                                                                                                       Refrigeration
                                                                                                                                    Capacity of Unit
                                                                                                                                    Cooler, q
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
\1\ Superheat shall be set as indicated in the installation instructions. If no superheat specification is given a default superheat value of 6.5 [deg]F
  shall be used.
\2\ Measure off-cycle power as described in sections C3 and C4.2 of AHRI 1250-2020.
\3\ Suction Dew Point shall be measured at the Unit Cooler Exit conditions.


                                         Table 6--Test Operating Conditions for Low-Temperature CO2 Unit Coolers
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                    Unit cooler  Unit cooler
                                         air          air       Suction     Liquid inlet      Liquid
            Test title                entering     entering    dew point    bubble point      inlet       Compressor  operating        Test objective
                                     dry-bulb,     relative     temp,\2\    temperature,   subcooling,             mode
                                       [deg]F    humidity, %     [deg]F        [deg]F         [deg]F
--------------------------------------------------------------------------------------------------------------------------------------------------------
Off-Cycle Power...................          -10          <50  ...........  ..............  ...........  Compressor Off...........  Measure unit cooler
                                                                                                                                    input wattage during
                                                                                                                                    compressor off-
                                                                                                                                    cycle, EF.\2\
Refrigeration Capacity, Ambient             -10          <50          -20              38            5  Compressor On............  Determine Net
 Condition A.                                                                                                                       Refrigeration
                                                                                                                                    Capacity of Unit
                                                                                                                                    Cooler, q.
Defrost...........................          -10          <50  ...........  ..............  ...........  Compressor Off...........  Test according to
                                                                                                                                    Appendix C Section
                                                                                                                                    C10 of AHRI 1250-
                                                                                                                                    2020, DF,Q.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
\1\ Superheat shall be set as indicated in the installation instructions. If no superheat specification is given a default superheat value of 6.5 [deg]F
  shall be used.
\2\ Measure off-cycle power as described in sections C3 and C4.2 of AHRI 1250-2020.
\3\ Suction Dew Point shall be measured at the Unit Cooler Exit conditions.


[[Page 261]]

3.2.3 Test Operating Conditions for Two-Capacity Condensing Units Tested 
                                  Alone

    For two-capacity medium-temperature outdoor condensing units tested 
alone, conduct tests using the test conditions specified in table 7 of 
this appendix. For two-capacity medium-temperature indoor condensing 
units tested alone, conduct tests using the test conditions specified in 
table 8 of this appendix. For two-capacity low-temperature outdoor 
condensing units tested alone, conduct tests using the test conditions 
specified in table 9 of this appendix. For two-capacity low-temperature 
indoor condensing units tested alone, conduct tests using the test 
conditions specified in table 10 of this appendix.

    Table 7--Test Operating Conditions for Two-Capacity Medium-Temperature Outdoor Dedicated Condensing Units
----------------------------------------------------------------------------------------------------------------
                                                                                Condenser  air
                                 Suction  dew     Return gas,   Condenser  air  entering  wet-     Compressor
       Test description          point, [deg]F      [deg]F      entering  dry-   bulb, [deg]F        status
                                                                 bulb, [deg]F         \1\
----------------------------------------------------------------------------------------------------------------
Capacity, Condition A, Low                  24              41              95              75  Low Capacity,
 Capacity.                                                                                       k=1.
Capacity, Condition A, High                 23              41              95              75  High Capacity,
 Capacity.                                                                                       k=2.
Off-Cycle, Condition A........  ..............  ..............              95              75  Off.
Capacity, Condition B, Low                  24              41              59              54  Low Capacity,
 Capacity.                                                                                       k=1.
Capacity, Condition B, High                 23  ..............              59              54  High Capacity,
 Capacity.                                                                                       k=2.
Off-Cycle, Condition B........  ..............  ..............              59              54  Off.
Capacity, Condition C, Low                  24              41              35              34  Low Capacity,
 Capacity.                                                                                       k=1.
Capacity, Condition C, High                 23              41              35              34  High Capacity,
 Capacity.                                                                                       k=2.
Off-Cycle, Condition C........  ..............  ..............              35              34  Off.
----------------------------------------------------------------------------------------------------------------
Notes:
\1\ Required only for evaporative condensing units (e.g., incorporates a slinger ring).


    Table 8--Test Operating Conditions for Two-Capacity Medium-Temperature Indoor Dedicated Condensing Units
----------------------------------------------------------------------------------------------------------------
                                                                                Condenser  air
                                 Suction  dew     Return gas,   Condenser  air  entering  wet-     Compressor
       Test description          point, [deg]F      [deg]F      entering  dry-   bulb, [deg]F        status
                                                                 bulb, [deg]F         \1\
----------------------------------------------------------------------------------------------------------------
Capacity, Condition A, Low                  24              41              90              75  Low Capacity,
 Capacity.                                                                                       k=1.
Capacity, Condition A, High                 23              41              90              75  High Capacity,
 Capacity.                                                                                       k=2.
Off-Cycle, Condition A........  ..............  ..............              90              75  Off.
----------------------------------------------------------------------------------------------------------------
Notes:
\1\ Required only for evaporative condensing units (e.g., incorporates a slinger ring).


     Table 9--Test Operating Conditions for Two-Capacity Low-Temperature Outdoor Dedicated Condensing Units
----------------------------------------------------------------------------------------------------------------
                                                                                Condenser  air
                                 Suction  dew     Return gas,   Condenser  air  entering  wet-     Compressor
          Test title                point,          [deg]F      entering  dry-  bulb,   [deg]F   operating mode
                                    [deg]F                      bulb,   [deg]F        \1\
----------------------------------------------------------------------------------------------------------------
Capacity, Condition A, Low                 -22               5              95              75  Low Capacity,
 Capacity.                                                                                       k=1.
Capacity, Condition A, High                -22               5              95              75  High Capacity,
 Capacity.                                                                                       k=2.
Off-Cycle, Condition A........  ..............  ..............              95              75  Compressor Off.
Capacity, Condition B, Low                 -22               5              59              54  Low Capacity,
 Capacity.                                                                                       k=1.
Capacity, Condition B, High                -22               5              59              54  High Capacity,
 Capacity.                                                                                       k=2.

[[Page 262]]

 
Off-Cycle, Condition B........  ..............  ..............              59              54  Compressor Off.
Capacity, Condition C, Low                 -22               5              35              34  Low Capacity,
 Capacity.                                                                                       k=1.
Capacity, Condition C, High                -22               5              35              34  High Capacity,
 Capacity.                                                                                       k=2.
Off-Cycle, Condition C........  ..............  ..............              35              34  Compressor Off.
----------------------------------------------------------------------------------------------------------------
Notes:
\1\ Required only for evaporative condensing units (e.g., incorporates a slinger ring).


     Table 10--Test Operating Conditions for Two-Capacity Low-Temperature Indoor Dedicated Condensing Units
----------------------------------------------------------------------------------------------------------------
                                                                                Condenser  air
                                 Suction  dew     Return gas,   Condenser  air  entering  wet-     Compressor
          Test title             point, [deg]F      [deg]F      entering  dry-   bulb, [deg]F    operating mode
                                                                 bulb, [deg]F         \1\
----------------------------------------------------------------------------------------------------------------
Capacity, Condition A, Low                 -22               5              90              75  Low Capacity,
 Capacity.                                                                                       k=1.
Capacity, Condition A, High                -22               5              90              75  High Capacity,
 Capacity.                                                                                       k=2.
Off-Cycle, Condition A........  ..............  ..............              90              75  Compressor Off.
----------------------------------------------------------------------------------------------------------------
Notes:
\1\ Required only for evaporative condensing units (e.g., incorporates a slinger ring).

   3.2.4 Test Operating Conditions for Variable- or Multiple-Capacity 
                      Condensing Units Tested Alone

    For variable-capacity or multiple-capacity outdoor medium-
temperature condensing units tested alone, conduct tests using the test 
conditions specified in table 11 of this appendix. For variable-capacity 
or multiple-capacity indoor medium-temperature condensing units tested 
alone, conduct tests using the test conditions specified in table 12 of 
this appendix. For variable-capacity or multiple-capacity outdoor low-
temperature condensing units tested alone, conduct tests using the test 
conditions specified in table 13 of this appendix. For variable-capacity 
or multiple-capacity indoor low-temperature condensing units tested 
alone, conduct tests using the test conditions specified in table 14 of 
this appendix.

   Table 11--Test Operating Conditions for Variable- or Multiple-Capacity Medium-Temperature Outdoor Dedicated
                                                Condensing Units
----------------------------------------------------------------------------------------------------------------
                                                                                Condenser  air
                                 Suction  dew     Return gas,   Condenser  air  entering  wet-     Compressor
       Test description          point, [deg]F      [deg]F      entering  dry-   bulb, [deg]F        status
                                                                 bulb, [deg]F         \1\
----------------------------------------------------------------------------------------------------------------
Capacity, Condition A, Minimum              24              41              95              75  Minimum
 Capacity.                                                                                       Capacity, k=1.
Capacity, Condition A,                      24              41              95              75  Intermediate
 Intermediate Capacity.                                                                          Capacity, k=i.
Capacity, Condition A, Maximum              23              41              95              75  Maximum
 Capacity.                                                                                       Capacity, k=2
Off-Cycle, Condition A........  ..............  ..............              95              75  Off.
Capacity, Condition B, Minimum              24              41              59              54  Minimum
 Capacity.                                                                                       Capacity, k=1.
Capacity, Condition B,                      24              41              59              54  Intermediate
 Intermediate Capacity.                                                                          Capacity, k=i.
Capacity, Condition B, Maximum              23              41              59              54  Maximum
 Capacity.                                                                                       Capacity, k=2.
Off-Cycle, Condition B........  ..............  ..............              59              54  Off.
Capacity, Condition C, Minimum              24              41              35              34  Minimum
 Capacity.                                                                                       Capacity, k=1.
Capacity, Condition C,                      24              41              35              34  Intermediate
 Intermediate Capacity.                                                                          Capacity, k=i.
Capacity, Condition C, Maximum              23              41              35              34  Maximum
 Capacity.                                                                                       Capacity, k=2.

[[Page 263]]

 
Off-Cycle, Condition C........  ..............  ..............              35              34  Off.
----------------------------------------------------------------------------------------------------------------
Notes:
\1\ Required only for evaporative condensing units (e.g., incorporates a slinger ring).


   Table 12--Test Operating Conditions for Variable- or Multiple-Capacity Medium-Temperature Indoor Dedicated
                                                Condensing Units
----------------------------------------------------------------------------------------------------------------
                                                                                Condenser  air
                                 Suction  dew     Return gas,   Condenser  air  entering  wet-     Compressor
       Test description          point, [deg]F      [deg]F      entering  dry-   bulb, [deg]F        status
                                                                 bulb, [deg]F         \1\
----------------------------------------------------------------------------------------------------------------
Capacity, Condition A, Minimum              24              41              90              75  Minimum
 Capacity.                                                                                       Capacity, k=1.
Capacity, Condition A,                      24              41              90              75  Intermediate
 Intermediate Capacity.                                                                          Capacity, k=i.
Capacity, Condition A, Maximum              23              41              90              75  Maximum
 Capacity.                                                                                       Capacity, k=2.
Off-Cycle, Condition A........  ..............  ..............              90              75  Off.
----------------------------------------------------------------------------------------------------------------
Notes:
\1\ Required only for evaporative condensing units (e.g., incorporates a slinger ring).


    Table 13--Test Operating Conditions for Variable- or Multiple-Capacity Low-Temperature Outdoor Dedicated
                                                Condensing Units
----------------------------------------------------------------------------------------------------------------
                                                                                Condenser  air
                                 Suction  dew     Return gas,   Condenser  air  entering  wet-     Compressor
          Test title                point,          [deg]F      entering  dry-  bulb,   [deg]F   operating mode
                                    [deg]F                      bulb,   [deg]F        \1\
----------------------------------------------------------------------------------------------------------------
Capacity, Condition A, Minimum             -22               5              95              75  Minimum
 Capacity.                                                                                       Capacity, k=1.
Capacity, Condition A,                     -22               5              95              75  Intermediate
 Intermediate Capacity.                                                                          Capacity, k=i.
Capacity, Condition A, Maximum             -22               5              95              75  Maximum
 Capacity.                                                                                       Capacity, k=2.
Off-Cycle, Condition A........  ..............  ..............              95              75  Compressor Off.
Capacity, Condition B, Minimum             -22               5              59              54  Minimum
 Capacity.                                                                                       Capacity, k=1.
Capacity, Condition B,                     -22               5              59              54  Intermediate
 Intermediate Capacity.                                                                          Capacity, k=i.
Capacity, Condition B, Maximum             -22               5              59              54  Maximum
 Capacity.                                                                                       Capacity, k=2.
Off-Cycle, Condition B........  ..............  ..............              59              54  Compressor Off.
Capacity, Condition C, Minimum             -22               5              35              34  Minimum
 Capacity.                                                                                       Capacity, k=1.
Capacity, Condition C,                     -22               5              35              34  Intermediate
 Intermediate Capacity.                                                                          Capacity, k=i.
Capacity, Condition C, Maximum             -22               5              35              34  Maximum
 Capacity.                                                                                       Capacity, k=2.
Off-Cycle, Condition C........  ..............  ..............              35              34  Compressor Off.
----------------------------------------------------------------------------------------------------------------
Notes:
\1\ Required only for evaporative condensing units (e.g., incorporates a slinger ring).


     Table 14--Test Operating Conditions for Variable- or Multiple-Capacity Low-Temperature Indoor Dedicated
                                                Condensing Units
----------------------------------------------------------------------------------------------------------------
                                                                                Condenser  air
                                 Suction  dew     Return gas,   Condenser  air  entering  wet-     Compressor
          Test title                point,          [deg]F      entering  dry-  bulb,   [deg]F   operating mode
                                    [deg]F                      bulb,   [deg]F        \1\
----------------------------------------------------------------------------------------------------------------
Capacity, Condition A, Minimum             -22               5              90              75  Minimum
 Capacity.                                                                                       Capacity, k=1.
Capacity, Condition A,                     -22               5              90              75  Intermediate
 Intermediate Capacity.                                                                          Capacity, k=i.
Capacity, Condition A, Maximum             -22               5              90              75  Maximum
 Capacity.                                                                                       Capacity, k=2.

[[Page 264]]

 
Off-Cycle, Condition A........  ..............  ..............              90              75  Compressor Off.
----------------------------------------------------------------------------------------------------------------
Notes:
\1\ Required only for evaporative condensing units (e.g., incorporates a slinger ring).

3.2.5 Test Operating Conditions for Two-Capacity Indoor Matched-Pair or 
                  Single-Packaged Refrigeration Systems

    For two-capacity indoor medium-temperature matched-pair or single-
packaged refrigeration systems, conduct tests using the test conditions 
specified in table 15 of this appendix. For two-capacity indoor low-
temperature matched-pair or single-packaged refrigeration systems, 
conduct tests using the test conditions specified in table 16 of this 
appendix.

 Table 15--Test Operating Conditions for Two-Capacity Medium-Temperature Indoor Matched-Pair or Single-Packaged
                                              Refrigeration Systems
----------------------------------------------------------------------------------------------------------------
                                  Unit cooler     Unit cooler
                                 air entering    air entering   Condenser  air  Condenser  air     Compressor
       Test description            dry-bulb,       relative     entering  dry-   entering wet-       status
                                    [deg]F        humidity, %    bulb, [deg]F    bulb, [deg]F
----------------------------------------------------------------------------------------------------------------
Capacity, Condition A, Low                  35             <50              90  \1\ 75, \2\ 65  Low Capacity.
 Capacity.
Capacity, Condition A, High                 35             <50              90  \1\ 75, \2\ 65  High Capacity.
 Capacity.
Off-Cycle, Condition A........              35             <50              90  \1\ 75, \2\ 65  Off.
----------------------------------------------------------------------------------------------------------------
Notes:
\1\ Required only for evaporative condensing units (e.g., incorporates a slinger ring).
\2\ Maximum allowable value for Single-Packaged Systems that do not use evaporative Dedicated Condensing Units,
  where all or part of the equipment is located in the outdoor room.


   Table 16--Test Operating Conditions for Two Capacity Low-Temperature Indoor Matched-Pair or Single-Packaged
                                              Refrigeration Systems
----------------------------------------------------------------------------------------------------------------
                                  Unit cooler     Unit cooler                       Maximum
                                 air entering    air entering   Condenser  air  condenser  air     Compressor
       Test description            dry-bulb,       relative     entering  dry-  entering  wet-       status
                                    [deg]F        humidity, %    bulb, [deg]F    bulb, [deg]F
----------------------------------------------------------------------------------------------------------------
Capacity, Condition A, Low                 -10             <50              90   \1\ 75, \2\65  Low Capacity.
 Capacity.
Capacity, Condition A, High                -10             <50              90  \1\ 75, \2\ 65  High Capacity.
 Capacity.
Off-Cycle, Condition A........             -10             <50              90  \1\ 75, \2\ 65  Off.
Defrost.......................             -10             <50  ..............  ..............  System
                                                                                                 Dependent.
----------------------------------------------------------------------------------------------------------------
Notes:
\1\ Required only for evaporative condensing units (e.g., incorporates a slinger ring).
\2\ Maximum allowable value for Single-Packaged Systems that do not use evaporative Dedicated Condensing Units,
  where all or part of the equipment is located in the outdoor room.

3.2.6 Test Conditions for Variable- or Multiple-Capacity Indoor Matched 
              Pair or Single-Packaged Refrigeration Systems

    For variable- or multiple-capacity indoor medium-temperature 
matched-pair or single-packaged refrigeration systems, conduct tests 
using the test conditions specified in table 17 of this appendix. For 
variable- or multiple-capacity indoor low-temperature matched-pair or 
single-packaged refrigeration systems, conduct tests using the test 
conditions specified in table 18 of this appendix.

[[Page 265]]



Table 17--Test Operating Conditions for Variable- or Multiple-Capacity Medium-Temperature Indoor Matched-Pair or
                                      Single-Packaged Refrigeration Systems
----------------------------------------------------------------------------------------------------------------
                                  Unit cooler     Unit cooler
                                 air entering    air entering   Condenser  air  Condenser  air     Compressor
       Test description            dry-bulb,       relative     entering  dry-  entering  wet-       status
                                    [deg]F        humidity, %    bulb, [deg]F    bulb, [deg]F
----------------------------------------------------------------------------------------------------------------
Capacity, Condition A, Minimum              35             <50              90  \1\ 75, \2\ 65  Minimum
 Capacity.                                                                                       Capacity.
Capacity, Condition A,                      35             <50              90  \1\ 75, \2\ 65  Intermediate
 Intermediate Capacity.                                                                          Capacity.
Capacity, Condition A, High                 35             <50              90  \1\ 75, \1\ 65  Maximum
 Capacity.                                                                                       Capacity.
Off-Cycle, Condition A........              35             <50              90  \1\ 75, \2\ 65  Off.
----------------------------------------------------------------------------------------------------------------
Notes:
\1\ Required only for evaporative condensing units (e.g., incorporates a slinger ring).
\2\ Maximum allowable value for Single-Packaged Systems that do not use evaporative Dedicated Condensing Units,
  where all or part of the equipment is located in the outdoor room.


  Table 18--Test Operating Conditions for Variable- or Multiple-Capacity Low-Temperature Indoor Matched-Pair or
                                      Single-Packaged Refrigeration Systems
----------------------------------------------------------------------------------------------------------------
                                  Unit cooler     Unit cooler                       Maximum
                                 air entering    air entering   Condenser  air  condenser  air     Compressor
       Test description            dry-bulb,       relative     entering  dry-  entering  wet-       status
                                    [deg]F        humidity, %    bulb, [deg]F    bulb, [deg]F
----------------------------------------------------------------------------------------------------------------
Capacity, Condition A, Minimum             -10             <50              90  \1\ 75, \2\ 65  Minimum
 Capacity.                                                                                       Capacity.
Capacity, Condition A,                     -10             <50              90  \1\ 75, \2\ 65  Intermediate
 Intermediate Capacity.                                                                          Capacity.
Capacity, Condition A, Maximum             -10             <50              90  \1\ 75, \2\ 65  Maximum
 Capacity.                                                                                       Capacity.
Off-Cycle, Condition A........             -10             <50              90  \1\ 75, \2\ 65  Off.
Defrost.......................             -10             <50  ..............  ..............  System
                                                                                                 Dependent.
----------------------------------------------------------------------------------------------------------------
Notes:
\1\ Required only for evaporative condensing units (e.g., incorporates a slinger ring).
\2\ Maximum allowable value for Single-Packaged Systems that do not use evaporative Dedicated Condensing Units,
  where all or part of the equipment is located in the outdoor room.

                  3.3 Calculation for Walk-in Box Load

    3.3.1 For medium- and low-temperature refrigeration systems with 
indoor condensing units, calculate walk-in box loads for high and low 
load periods as a function of net capacity as described in section 6.2.1 
of AHRI 1250-2020.
    3.3.2 For medium- and low-temperature refrigeration systems with 
outdoor condensing units, calculate walk-in box loads for high and low 
load periods as a function of net capacity and outdoor temperature as 
described in section 6.2.2 of AHRI 1250-2020.
    3.3.3 For high-temperature refrigeration systems, calculate walk-in 
box load as follows.

BL = 0.5 [middot] qss,A

Where qss,A is the measured net capacity for Test Condition A.

        3.4 Calculation for Annual Walk-in Energy Factor (AWEF2)

    Calculations used to determine AWEF2 based on performance data 
obtained for testing shall be as specified in section 7 of AHRI 1250-
2020 with modifications as indicated in sections 3.4.7 through 3.4.10 of 
this appendix. Calculations used to determine AWEF2 for refrigeration 
systems not specifically identified in sections 7.1.1 through 7.1.6 of 
AHRI 1250-2020 are enumerated in sections 3.4.1 through 3.4.6 and 3.4.11 
through 3.4.14 of this appendix.

        3.4.1 Two-Capacity Condensing Units Tested Alone, Indoor

    3.4.1.1 Unit Cooler Power
    Calculate maximum-capacity unit cooler power during the compressor 
on period EFcomp,on, in Watts, using Equation 130 of AHRI 1250-2020 for 
medium-temperature refrigeration systems and using Equation 173 of AHRI 
1250-2020 for low-temperature refrigeration systems.
    Calculate unit cooler power during the compressor off period 
EFcomp,off, in Watts, as 20 percent of the maximum-capacity unit cooler 
power during the compressor on period.
    3.4.1.2 Defrost
    For freezer refrigeration systems, calculate defrost heat 
contribution QDF in Btu/h and the defrost average power consumption DF 
in W as a function of steady-state maximum gross refrigeration capacity 
Qgrossk=2, as

[[Page 266]]

specified in section C10.2.2 of Appendix C of AHRI 1250-2020.
    3.4.1.3 Net Capacity
    Calculate steady-state maximum net capacity, qssk=2, and 
minimum net capacity, qssk=1 as follows:

qssk=2 = Qgrossk=2 - 3412 [middot] EFcomp,on

qssk=1 = Qgrossk=1 - 3412 [middot] 0.2 [middot] 
          EFcomp,on

Where:

Qgrossk=2 and Qgrossk=1 represent gross 
          refrigeration capacity at maximum and minimum capacity, 
          respectively.

    3.4.1.4 Calculate average power input during the low load period as 
follows.
    If the low load period box load, BLL, plus defrost heat 
contribution, QDF (only applicable for freezers), is less than the 
minimum net capacity qssk=1:
[GRAPHIC] [TIFF OMITTED] TR04MY23.032

Where:

Essk=1 is the steady state condensing unit power input for 
          minimum-capacity operation.
Ecu,off is the condensing unit off-cycle power input, measured as 
          described in section C3.5 of AHRI 1250-2020.

    If the low load period box load, BLL, plus defrost heat 
contribution, QDF, (only applicable for freezers) is greater than the 
minimum net capacity qssk=1:
[GRAPHIC] [TIFF OMITTED] TR04MY23.033

    3.4.1.5 Calculate average power input during the high load period as 
follows.
[GRAPHIC] [TIFF OMITTED] TR04MY23.034


[[Page 267]]


    3.4.1.6 Calculate the AWEF2 as follows:
    [GRAPHIC] [TIFF OMITTED] TR04MY23.035
    
  3.4.2 Variable-Capacity or Multistage Condensing Units Tested Alone, 
                                 Indoor

    3.4.2.1 Unit Cooler Power
    Calculate maximum-capacity unit cooler power during the compressor 
on period EFcomp,on as described in section 3.4.1.1 of this appendix.
    Calculate unit cooler power during the compressor off period 
EFcomp,off, in Watts, as 20 percent of the maximum-capacity unit cooler 
power during the compressor on period.
    3.4.2.2 Defrost
    Calculate Defrost parameters as described in section 4.4.1.2 of this 
appendix.
    3.4.2.3 Net Capacity
    Calculate steady-state maximum net capacity, qssk=2, 
intermediate net capacity, qssk=i, and minimum net capacity, 
qssk=1 as follows:

qssk=2 = Qgrossk=2 - 3412 [middot] EFcomp,on
qssk=2 = Qgrossk=2 - 3412 [middot] Kf [middot] 
          EFcomp,on
qssk=1 = Qgrossk=1 - 3412 [middot] 0.2 [middot] 
          EFcomp,on

Where:

Qgrossk=2, Qgrossk=i, Qgross,k=1, and represent 
          gross refrigeration capacity at maximum, intermediate, and 
          minimum capacity, respectively.

    Kf is the unit cooler power coefficient for intermediate 
capacity operation, set equal to 0.2 to represent low-speed fan 
operation if the Duty Cycle for a Digital Compressor, the Speed Ratio 
for a Variable-Speed Compressor, or the Displacement Ratio for a Multi-
Stage Compressor at Intermediate Capacity is 65% or less, and otherwise 
set equal to 1.0.
    3.4.2.4 Calculate average power input during the low load period as 
follows.
    If the low load period box load, BLL, plus defrost heat contribution 
QDF (only applicable for freezers) is less than the minimum net capacity 
qssk=1:
[GRAPHIC] [TIFF OMITTED] TR04MY23.036

    Where Ecu,off, in W, is the condensing unit off-mode power 
consumption, measured as described in section C3.5 of AHRI 1250-2020.
    If the low load period box load BLL plus defrost heat contribution 
QDF (only applicable for freezers) is greater than the minimum net 
capacity qssk=1 and less than the intermediate net capacity 
qssk=i:

[[Page 268]]

[GRAPHIC] [TIFF OMITTED] TR04MY23.037

Where:

EERk=1 is the minimum-capacity energy efficiency ratio, equal 
          to qssk=1 divided by Essk=1 + 0.2 
          [middot] EFcomp,on; and
EERk=i is the intermediate-capacity energy efficiency ratio, 
          equal to qssk=i divided by Essk=i + Kf [middot]EFcomp,on.
    3.4.2.5 Calculate average power input during the high load period as 
follows:
    If the high load period box load, BLH, plus defrost heat 
contribution, QDF (only applicable for freezers), is greater than the 
minimum net capacity qssk=1 and less than the intermediate 
net capacity qssk=i:
[GRAPHIC] [TIFF OMITTED] TR04MY23.038

    If the high load period box load, BLH, plus defrost heat 
contribution, QDF (only applicable for freezers), is greater than the 
intermediate net capacity, qssk=i, and less than the maximum 
net capacity, qssk=2:
[GRAPHIC] [TIFF OMITTED] TR04MY23.039

Where:

EERk=2 is the maximum-capacity energy efficiency ratio, equal to 
          qssk=2 divided by Essk=2 + EFcomp,on

    3.4.2.6 Calculate the AWEF2 as follows.
    [GRAPHIC] [TIFF OMITTED] TR04MY23.040
    

[[Page 269]]



        3.4.3 Two-Capacity Condensing Units Tested Alone, Outdoor

    3.4.3.1 Unit Cooler Power
    Calculate maximum-capacity unit cooler power during the compressor 
on period EFcomp,on, in Watts, using Equation 153 of AHRI 1250-2020 for 
medium-temperature refrigeration systems and using Equation 196 of AHRI 
1250-2020 for low-temperature refrigeration systems.
    Calculate unit cooler power during the compressor off period 
EFcomp,off, in Watts, as 20 percent of the maximum-capacity unit cooler 
power during the compressor on period.
    3.4.3.2 Defrost
    Calculate Defrost parameters as described in section 3.4.1.2 of this 
appendix.
    3.4.3.3 Condensing Unit Off-Cycle Power
    Calculate Condensing Unit Off-Cycle Power for temperature 
tj as follows.
[GRAPHIC] [TIFF OMITTED] TR04MY23.041

Where Ecu,off,A and Ecu,off,C are the Condensing Unit off-cycle power 
          measurements for test conditions A and C, respectively, 
          measured as described in section C3.5 of AHRI 1250-2020. If 
          tj is greater than 35 [deg]F and less than 59 
          [deg]F, use Equation 157 of AHRI 1250-2020, and if 
          tj is greater than or equal to 59 [deg]F and less 
          than 95 [deg]F, use Equation 159 of AHRI 1250-2020.

    3.4.3.4 Net Capacity and Condensing Unit Power Input
    Calculate steady-state maximum net capacity, qssk=2(tj), 
and minimum net capacity, qssk=1(tj), and corresponding 
condensing unit power input levels Essk=2(tj) and 
Essk=1(tj) as a function of outdoor temperature tj 
as follows:
    If tj <= 59 [deg]F:
    [GRAPHIC] [TIFF OMITTED] TR04MY23.042
    
    If 59 [deg]F < tj:
    [GRAPHIC] [TIFF OMITTED] TR04MY23.043
    
Where:

The capacity level k can equal 1 or 2;
Qgross,Xk=2 and Qgross,Xk=1 represent gross 
          refrigeration capacity at maximum and minimum capacity, 
          respectively, for test

[[Page 270]]

          condition X, which can take on values A, B, or C;
Ess,Xk=2 and Ess,Xk=1 represent condensing unit 
          power input at maximum and minimum capacity, respectively for 
          test condition X.

    3.4.3.5 Calculate average power input during the low load period as 
follows.
    Calculate the temperature, tIL, in the following equation 
which the low load period box load, BLL(tj), plus defrost heat 
contribution, QDF (only applicable for freezers), is less than the 
minimum net capacity, qssk=1(tj), by solving the following 
equation for tIL:

BLL(tIL) + QDF = qssk=1(tIL)

    For tj < tIL:
    [GRAPHIC] [TIFF OMITTED] TR04MY23.044
    
    Where Ecu,off(tj), in W, is the condensing unit off-mode power 
consumption for temperature tj, determined as indicated in 
section 3.4.3.3 of this appendix.

    For tj = tIL:
    [GRAPHIC] [TIFF OMITTED] TR04MY23.045
    
    3.4.3.6 Calculate average power input during the high load period as 
follows.
    Calculate the temperature, tIH, in the following equation 
which the high load period box load, BLH(tj), plus defrost heat 
contribution, QDF (only applicable for freezers), is less than the 
minimum net capacity, qssk=1(tj) , by solving the following 
equation for tIH:

BLH(tIH) + QDF = qssk=1(tIH)

    Calculate the temperature, tIIH, in the following 
equation which the high load period box load BLH(tj) plus defrost heat 
contribution QDF (only applicable for freezers) is less than the maximum 
net capacity qssk=2(tj), by solving the following equation 
for tIIH:

BLH(tIIH) + QDF = qssk=1(tIIH)

    For tj < tIH:

[[Page 271]]

[GRAPHIC] [TIFF OMITTED] TR04MY23.046

    For tIH <= tj < tIIH:
    [GRAPHIC] [TIFF OMITTED] TR04MY23.047
    
    For tIIH <= tj:

EH(tj) = (Essk=2(tj) + EFcomp,on)

    3.4.3.7 Calculate the AWEF2 as follows:
    [GRAPHIC] [TIFF OMITTED] TR04MY23.048
    
  3.4.4 Variable-Capacity or Multistage Condensing Units Tested Alone, 
                                 Outdoor

    3.4.4.1 Unit Cooler Power
    Calculate maximum-capacity unit cooler power during the compressor 
on period EFcomp,on as described in section 3.4.1.1 of this appendix.
    Calculate unit cooler power during the compressor off period 
EFcomp,on, in Watts, as 20 percent of the maximum-capacity unit cooler 
power during the compressor on period.
    3.4.4.2 Defrost
    Calculate Defrost parameters as described in section 3.4.1.2 of this 
appendix.
    3.4.4.3 Condensing Unit Off-Cycle Power
    Calculate Condensing Unit Off-Cycle Power for temperature, 
tj, as described in section 3.4.3.3 of this appendix.
    3.4.4.4 Net Capacity and Condensing Unit Power Input
    Calculate steady-state maximum net capacity, qssk=2(tj), 
intermediate net capacity, qssk=i(tj) , and minimum net 
capacity, qssk=1(tj), and corresponding condensing unit power 
input levels Essk=2(tj), Essk=i(tj), 
Essk=1(tj) and as a function of outdoor temperature, 
tj, as follows:
    If tj <= 59 [deg]F:

[[Page 272]]

[GRAPHIC] [TIFF OMITTED] TR04MY23.049

    If 59 [deg]F < tj:
    [GRAPHIC] [TIFF OMITTED] TR04MY23.050
    
Where:

The capacity level k can equal 1, i, or 2;
Qgross,Xk=2, Qgross,Xk=i and Qgross,Xk=1 represent 
          gross refrigeration capacity at maximum, intermediate, and 
          minimum capacity, respectively, for test condition X, which 
          can take on values A, B, or C;
Ess,Xk=2 and Ess,Xk=1 represent condensing unit 
          power input at maximum and minimum capacity, respectively for 
          test condition X; and
Kf is the unit cooler power coefficient for intermediate 
          capacity operation, set equal to 0.2 to represent low-speed 
          fan operation if the Duty Cycle for a Digital Compressor, the 
          Speed Ratio for a Variable-Speed Compressor, or the 
          Displacement Ratio for a Multi-Stage Compressor at 
          Intermediate Capacity is 65% or less, and otherwise set equal 
          to 1.0.

    3.4.4.5 Calculate average power input during the low load period as 
follows.
    Calculate the temperature, tIL, in the following equation 
which the low load period box load BLL(tj) plus defrost heat 
contribution, QDF (only applicable for freezers), is less than the 
minimum net capacity, qssk=1(tj), by solving the following 
equation for tIL:

BLL(tIL) + QDF = qssk=1(tIL)

    Calculate the temperature, tVL, in the following equation 
which the low load period box load, BLL(tj), plus defrost heat 
contribution, QDF (only applicable for freezers), is less than the 
intermediate net capacity, qssk=i(tj), by solving the 
following equation for tVL:

BLL(tVL) + QDF = qssk=i(tVL)

    For tj < tIL:

[[Page 273]]

[GRAPHIC] [TIFF OMITTED] TR04MY23.051

    Where, Ecu,off(tj) in W, is the condensing unit off-mode power 
consumption for temperature, tj, determined as indicated in 
section 3.4.3.3 of this appendix.
    For tIL <= tj < tVL:
    [GRAPHIC] [TIFF OMITTED] TR04MY23.052
    
    For tVL <= tj:
    [GRAPHIC] [TIFF OMITTED] TR04MY23.053
    
Where:

EERk=2(tj) is the minimum-capacity energy efficiency ratio, 
          equal to qssk=1(tj) divided by 
          Essk=1(tj) + 0.2 EFcomp,on;
EER\k=i\(tj) is the intermediate-capacity energy efficiency 
          ratio, equal to qssk=i(tj) divided by 
          Essk=i(tj) + Kf [middot] EFcomp,on; and
EER\k=2\(tj) is the maximum-capacity energy efficiency ratio, 
          equal to qssk=2(tj) divided by 
          Essk=2(tj) + EFcomp,on

    3.4.4.6 Calculate average power input during the high load period as 
follows.
    Calculate the temperature tVH in the following equation 
which the high load period box load BLH(tj) plus defrost heat 
contribution QDF (only applicable for freezers) is less than the 
intermediate net capacity qssk=i(tj), by solving the 
following equation for tVH:

BLH(tVH) + QDF = qssk=i(tVH)

    Calculate the temperature tIIH in the following equation 
which the high load period box load BLH(tj) plus defrost heat 
contribution QDF (only applicable for freezers) is less than the maximum 
net capacity qssk=2(tj), by solving the following equation 
for tIIH:

BLH(tIIH) + QDF = qssk=2(tIIH)

    For tj < tVH:

[[Page 274]]

[GRAPHIC] [TIFF OMITTED] TR04MY23.054

    For tVH <= tj < tIIH:
    [GRAPHIC] [TIFF OMITTED] TR04MY23.055
    
    For tIIH <= tj:

EH(tj) = (Essk=2 (tj) + EFcomp,on)

    3.4.4.7 Calculate the AWEF2 as follows:
    [GRAPHIC] [TIFF OMITTED] TR04MY23.056
    
3.4.5 Two-Capacity Indoor Matched Pairs or Single-Packaged Refrigeration 
                   Systems Other Than High-Temperature

    3.4.5.1 Defrost
    For freezer refrigeration systems, defrost heat contribution QDF in 
Btu/h and the defrost average power consumption DF in W shall be as 
measured in accordance with section C10.2.1 of Appendix C of AHRI 1250-
2020.
    3.4.5.2 Calculate average power input during the low load period as 
follows.
    If the low load period box load BLL plus defrost heat contribution 
QDF (only applicable for freezers) is less than the minimum net capacity 
qssk=1:
[GRAPHIC] [TIFF OMITTED] TR04MY23.057

Where:

qssk=1 and Essk=1 are the steady state 
          refrigeration system minimum net capacity, in

[[Page 275]]

          Btu/h, and associated refrigeration system power input, in W, 
          respectively, for minimum-capacity operation, measured as 
          described in AHRI 1250-2020.
EFcomp,off and Ecu,off, both in W, are the unit cooler and condensing 
          unit, respectively, off-mode power consumption, measured as 
          described in section C3.5 of AHRI 1250-2020.

    If the low load period box load BLL plus defrost heat contribution 
QDF (only applicable for freezers) is greater than the minimum net 
capacity qssk=1:
[GRAPHIC] [TIFF OMITTED] TR04MY23.058

Where qssk=2 and Essk=2 are the steady state 
          refrigeration system maximum net capacity, in Btu/h, and 
          associated refrigeration system power input, in W, 
          respectively, for maximum-capacity operation, measured as 
          described in AHRI 1250-2020.
    3.4.5.3 Calculate average power input during the high load period as 
follows.
[GRAPHIC] [TIFF OMITTED] TR04MY23.059

    3.4.5.4 Calculate the AWEF2 as follows:
    [GRAPHIC] [TIFF OMITTED] TR04MY23.060
    
  3.4.6 Variable-Capacity or Multistage Indoor Matched Pairs or Single-
       Packaged Refrigeration Systems Other Than High-Temperature

    3.4.6.1 Defrost
    For freezer refrigeration systems, defrost heat contribution QDF in 
Btu/h and the defrost average power consumption DF in W shall be as 
measured in accordance with section C10.2.1 of Appendix C of AHRI 1250-
2020.
    3.4.6.2 Calculate average power input during the low load period as 
follows.
    If the low load period box load BLL plus defrost heat contribution 
QDF (only applicable for freezers) is less than the minimum net capacity 
qssk=1:

[[Page 276]]

[GRAPHIC] [TIFF OMITTED] TR04MY23.061

Where:

qssk=1 and Essk=1 are the steady state 
          refrigeration system minimum net capacity, in Btu/h, and 
          associated refrigeration system power input, in W, 
          respectively, for minimum-capacity operation, measured as 
          described in AHRI 1250-2020; and
EFcomp,off and Ecu,off, both in W, are the unit cooler and condensing 
          unit, respectively, off-mode power consumption, measured as 
          described in section C3.5 of AHRI 1250-2020.

    If the low load period box load BLL plus defrost heat contribution 
QDF (only applicable for freezers) is greater than the minimum net 
capacity and less than the intermediate net capacity qssk=i:
[GRAPHIC] [TIFF OMITTED] TR04MY23.062

Where:

EERk=1 is the minimum-capacity energy efficiency ratio, equal 
          to qssk=1divided by Essk=1;
qssk=i and Essk=i are the steady state refrigeration system intermediate 
          net capacity, in Btu/h, and associated refrigeration system 
          power input, in W, respectively, for intermediate-capacity 
          operation, measured as described in AHRI 1250-2020.
EERk=i is the intermediate-capacity energy efficiency ratio, 
          equal to qssk=i divided by Essk=i.
    3.4.6.3 Calculate average power input during the high load period as 
follows.
    If the high load period box load BLH plus defrost heat contribution 
QDF (only applicable for freezers) is greater than the minimum net 
capacity qssk=1 and less than the intermediate net capacity 
qssk=i:
[GRAPHIC] [TIFF OMITTED] TR04MY23.063

    If the high load period box load BLH plus defrost heat contribution 
QDF (only applicable for freezers) is greater than the intermediate net 
capacity qssk=i and less than the maximum net capacity 
qssk=2:

[[Page 277]]

[GRAPHIC] [TIFF OMITTED] TR04MY23.064

Where:

qssk=2 and Essk=2 are the steady state 
          refrigeration system maximum net capacity, in Btu/h, and 
          associated refrigeration system power input, in W, 
          respectively, for maximum-capacity operation, measured as 
          described in AHRI 1250-2020; and
EER\k=2\ is the maximum-capacity energy efficiency ratio, equal to 
          qssk=2 divided by Essk=2.
    3.4.6.4 Calculate the AWEF2 as follows.
    [GRAPHIC] [TIFF OMITTED] TR04MY23.065
    
 3.4.7 Variable-Capacity or Multistage Outdoor Matched Pairs or Single-
       Packaged Refrigeration Systems Other Than High-Temperature

    Calculate AWEF2 as described in section 7.6 of AHRI 1250-2020, with 
the following revisions.
    3.4.7.1 Condensing Unit Off-Cycle Power
    Calculate condensing unit off-cycle power for temperature 
tj as indicated in section 3.4.3.3 of this appendix. Replace 
the constant value ECU,off in Equations 55 and 70 of AHRI 1250-2020 with 
the values ECU,off(tj), which vary with outdoor temperature 
tj.
    3.4.7.2 Unit Cooler Off-Cycle Power
    Set unit cooler Off-Cycle power EFcomp,off equal to the average of 
the unit cooler off-cycle power measurements made for test conditions A, 
B, and C.
    3.4.7.3 Average Power During the Low Load Period
    Calculate average power for intermediate-capacity compressor 
operation during the low load period Ess,Lk=v(tj) as described in 
section 7.6 of AHRI 1250-2020, except that, instead of calculating 
intermediate-capacity compressor EER using Equation 77 of AHRI 1250-
2020, calculate EER as follows.
    For tj < tVL:
    [GRAPHIC] [TIFF OMITTED] TR04MY23.066
    
    For tVL <= tj:
    [GRAPHIC] [TIFF OMITTED] TR04MY23.067
    
Where:

EERk=1(tj) is the minimum-capacity energy 
          efficiency ratio, equal to qssk=1(tj) divided by 
          Essk=1(tj);
EERk=i(tj) is the intermediate-capacity energy 
          efficiency ratio, equal to qssk=i (tj) divided by Essk=i(tj); 
          and
EERk=2(tj) is the maximum-capacity energy 
          efficiency ratio, equal to qssk=2(tj) divided by 
          Essk=2(tj)


[[Page 278]]


    3.4.7.4 Average Power During the High Load Period
    Calculate average power for intermediate-capacity compressor 
operation during the high load period Ess,Hk=v(tj) as described in 
section 7.6 of AHRI 1250-2020, except that, instead of calculating 
intermediate-capacity compressor EER using Equation 61 of AHRI 1250-
2020, calculate EER as follows:
    For tj < tVH:
    [GRAPHIC] [TIFF OMITTED] TR04MY23.068
    
    For tVH <= tj:
    [GRAPHIC] [TIFF OMITTED] TR04MY23.069
    
      3.4.8 Two-Capacity Outdoor Matched Pairs or Single-Packaged 
            Refrigeration Systems Other Than High-Temperature

    Calculate AWEF2 as described in section 7.5 of AHRI 1250-2020, with 
the following revisions for Condensing Unit Off-Cycle Power and Unit 
Cooler Off-Cycle Power. Calculate condensing unit off-cycle power for 
temperature tj as indicated in section 3.4.3.3 of this 
appendix. Replace the constant value ECU,off in Equations 13 and 29 of 
AHRI 1250-2020 with the values ECU,off(tj), which vary with outdoor 
temperature tj. Set unit cooler Off-Cycle power EFcomp,off 
equal to the average of the unit cooler off-cycle power measurements 
made for test conditions A, B, and C.

     3.4.9 Single-Capacity Outdoor Matched Pairs or Single-Packaged 
            Refrigeration Systems Other Than High-Temperature

    Calculate AWEF2 as described in section 7.4 of AHRI 1250-2020, with 
the following revision for Condensing Unit Off-Cycle Power and Unit 
Cooler Off-cycle Power. Calculate condensing unit off-cycle power for 
temperature tj as indicated in section 3.4.3.3 of this 
appendix. Replace the constant value ECU,off in Equations 13 of AHRI 
1250-2020 with the values ECU,off(tj), which vary with outdoor 
temperature tj. Set unit cooler Off-Cycle power EFcomp,off 
equal to the average of the unit cooler off-cycle power measurements 
made for test conditions A, B, and C.

            3.4.10 Single-Capacity Condensing Units, Outdoor

    Calculate AWEF2 as described in section 7.9 of AHRI 1250-2020, with 
the following revision for Condensing Unit Off-Cycle Power. Calculate 
condensing unit off-cycle power for temperature tj as 
indicated in section 3.4.3.3 of this appendix rather than as indicated 
in Equations 157, 159, 202, and 204 of AHRI 1250-2020.

 3.4.11 High-Temperature Matched Pairs or Single-Packaged Refrigeration 
                             Systems, Indoor

    3.4.11.1 Calculate Load Factor LF as follows:
    [GRAPHIC] [TIFF OMITTED] TR04MY23.070
    
Where:

BL, in Btu/h is the non-equipment-related box load calculated as 
          described in section 3.3.3 of this appendix;
EFcomp,off, in W, is the unit cooler off-cycle power consumption, equal 
          to 0.1 times the unit cooler on-cycle power consumption; and

[[Page 279]]

qss,A, in Btu/h is the measured net capacity for test condition A.
    3.4.11.2 Calculate the AWEF2 as follows:
    [GRAPHIC] [TIFF OMITTED] TR04MY23.071
    
Where:

Ess,A, in W, is the measured system power input for test condition A; 
          and
Ecu,off, in W, is the condensing unit off-cycle power consumption, 
          measured as described in section C3.5 of AHRI 1250-2020.

 3.4.12 High-Temperature Matched Pairs or Single-Packaged Refrigeration 
                            Systems, Outdoor

    3.4.12.1 Calculate Load Factor LF(tj) for outdoor 
temperature tj as follows:
[GRAPHIC] [TIFF OMITTED] TR04MY23.072

Where:

BL, in Btu/h, is the non-equipment-related box load calculated as 
          described in section 3.3.3 of this appendix;
EFcomp,off, in W, is the unit cooler off-cycle power consumption, equal 
          to 0.1 times the unit cooler on-cycle power consumption; and
qss(tj), in Btu/h, is the net capacity for outdoor temperature 
          tj, calculated as described in section 7.4.2 of 
          AHRI 1250-2020.
    3.4.12.2 Calculate the AWEF2 as follows:
    [GRAPHIC] [TIFF OMITTED] TR04MY23.073
    
Where:

Ess(tj), in W, is the system power input for temperature tj, 
          calculated as described in section 7.4.2 of AHRI 1250-2020;
Ecu,off, in W, is the condensing unit off-cycle power consumption, 
          measured as described in section C3.5 of AHRI 1250-2020; and
nj are the hours for temperature bin j.

            3.4.13 High-Temperature Unit Coolers Tested Alone

    3.4.13.1 Calculate Refrigeration System Power Input as follows:
    [GRAPHIC] [TIFF OMITTED] TR04MY23.074
    
Where:

qmix,evap, in W, is the net evaporator capacity, measured as described 
          in AHRI 1250-2020;
EFcomp,on, in W, is the unit cooler on-cycle power consumption; and
EER, in W, equals

[[Page 280]]

[GRAPHIC] [TIFF OMITTED] TR04MY23.075

    3.4.13.2 Calculate the load factor LF as follows:
    [GRAPHIC] [TIFF OMITTED] TR04MY23.076
    
Where:

BL, in Btu/h, is the non-equipment-related box load calculated as 
          described in section 3.3.3 of this appendix; and
EFcomp,off, in W, is the unit cooler off-cycle power consumption, equal 
          to 0.1 times the unit cooler on-cycle power consumption.
    3.4.13.3 Calculate AWEF2 as follows:
    [GRAPHIC] [TIFF OMITTED] TR04MY23.077
    
             3.4.14 CO2 Unit Coolers Tested Alone

    Calculate AWEF2 for CO2 Unit Coolers Tested Alone using 
the calculations specified in in section 7.8 of AHRI 1250-2020 for 
calculation of AWEF2 for Unit Cooler Tested Alone.

                             3.5 Test Method

    Test the Refrigeration System in accordance with AHRI 1250-2020 to 
determine refrigeration capacity and power input for the specified test 
conditions, with revisions and additions as described in this section.

          3.5.1 Chamber Conditioning Using the Unit Under Test

    In Appendix C, section C5.2.2 of AHRI 1250-2020, for applicable 
system configurations (matched pairs, single-packaged refrigeration 
systems, and standalone unit coolers), the unit under test may be used 
to aid in achieving the required test chamber conditions prior to 
beginning any steady state test. However, the unit under test must be 
inspected and confirmed to be free from frost before initiating steady 
state testing.

             3.5.2 General Modification: Methods of Testing

    3.5.2.1 Refrigerant Temperature Measurements
    When testing a condensing unit alone, measure refrigerant liquid 
temperature leaving the condensing unit, and the refrigerant vapor 
temperature entering the condensing unit as required in section 
C7.5.1.1.2 of Appendix C of AHRI 1250-2020 using the same measurement 
approach specified for the unit cooler in section C3.1.3 of Appendix C 
of AHRI 1250-2020. In all cases in which thermometer wells or immersed 
sheathed sensors are prescribed, if the refrigerant tube outer diameter 
is less than \1/2\ inch, the refrigerant temperature may be measured 
using the average of two temperature measuring instruments with a 
minimum accuracy of 0.5 [deg]F placed on opposite 
sides of the refrigerant tube surface--resulting in a total of up to 8 
temperature measurement devices used for the DX Dual Instrumentation 
method. In this case, the refrigerant tube shall be insulated with 1-
inch thick insulation from a point 6 inches upstream of the measurement 
location to a point 6 inches downstream of the measurement location. 
Also, to comply with this requirement, the unit cooler/evaporator 
entering measurement location may be moved to a location 6 inches 
upstream of the expansion device and, when testing a condensing unit 
alone, the entering and leaving measurement locations may be moved to 
locations 6 inches from the respective service valves.

[[Page 281]]

    3.5.2.2 Mass Flow Meter Location
    When using the DX Dual Instrumentation test method of AHRI 1250-
2020, applicable for unit coolers, dedicated condensing units, and 
matched pairs, the second mass flow meter may be installed in the 
suction line as shown in Figure C1 of AHRI 1250-2020.
    3.5.2.3 Subcooling at Refrigerant Mass Flow Meter
    In section C3.4.5 of Appendix C of AHRI 1250-2020, when verifying 
subcooling at the mass flow meters, only the sight glass and a 
temperature sensor located on the tube surface under the insulation are 
required. Subcooling shall be verified to be within the 3 [deg]F 
requirement downstream of flow meters located in the same chamber as a 
condensing unit under test and upstream of flow meters located in the 
same chamber as a unit cooler under test, rather than always downstream 
as indicated in AHRI 1250-2009, section C3.4.5. If the subcooling is 
less than 3 [deg]F when testing a unit cooler, dedicated condensing 
unit, or matched pair (not a single-packaged system), cool the line 
between the condensing unit outlet and this location to achieve the 
required subcooling. When providing such cooling while testing a matched 
pair (a) set up the line-cooling system and also set up apparatus to 
heat the liquid line between the mass flow meters and the unit cooler, 
(b) when the system has achieved steady state without activation of the 
heating and cooling systems, measure the liquid temperature entering the 
expansion valve for a period of at least 30 minutes, (c) activate the 
cooling system to provide the required subcooling at the mass flow 
meters, (d) if necessary, apply heat such that the temperature entering 
the expansion valve is within 0.5 [deg]F of the temperature measured 
during step (b), and (e) proceed with measurements once condition (d) 
has been verified.
    3.5.2.4 Installation Instructions
    Manufacturer installation instructions or installation instructions 
described in this section refer to the instructions that come packaged 
with or appear on the labels applied to the unit. This does not include 
online manuals.
    Installation Instruction Hierarchy: If a given installation 
instruction provided on the label(s) applied to the unit conflicts with 
the installation instructions that are shipped with the unit, the label 
takes precedence. For testing of matched pairs, the installation 
instructions for the dedicated condensing unit shall take precedence. 
Setup shall be in accordance with the field installation instructions 
(laboratory installation instructions shall not be used). Achieving test 
conditions shall always take precedence over installation instructions.
    3.5.2.5. Refrigerant Charging and Adjustment of Superheat and 
Subcooling.
    All dedicated condensing systems (dedicated condensing units tested 
alone, matched pairs, and single packaged dedicated systems) that use 
flooding of the condenser for head pressure control during low-ambient-
temperature conditions shall be charged, and superheat and/or subcooling 
shall be set, at Refrigeration C test conditions unless otherwise 
specified in the installation instructions.
    If after being charged at Refrigeration C condition the unit under 
test does not operate at the Refrigeration A condition due to high 
pressure cut out, refrigerant shall be removed in increments of 4 ounces 
or 5 percent of the test unit's receiver capacity, whichever quantity is 
larger, until the unit operates at the Refrigeration A condition. All 
tests shall be run at this final refrigerant charge. If less than 0 
[deg]F of subcooling is measured for the refrigerant leaving the 
condensing unit when testing at B or C condition, calculate the 
refrigerant-enthalpy-based capacity (i.e., when using the DX dual 
instrumentation, the DX calibrated box, or single-packaged unit 
refrigerant enthalpy method) assuming that the refrigerant is at 
saturated liquid conditions at the condensing unit exit.
    All dedicated condensing systems that do not use a flooded condenser 
design shall be charged at Refrigeration A test conditions unless 
otherwise specified in the installation instructions.
    If the installation instructions give a specified range for 
superheat, sub-cooling, or refrigerant pressure, the average of the 
range shall be used as the refrigerant charging parameter target and the 
test condition tolerance shall be 50 percent of 
the range. Perform charging of near-azeotropic and zeotropic 
refrigerants only with refrigerant in the liquid state. Once the correct 
refrigerant charge is determined, all tests shall run until completion 
without further modification.
    3.5.2.5.1. When charging or adjusting superheat/subcooling, use all 
pertinent instructions contained in the installation instructions to 
achieve charging parameters within the tolerances. However, in the event 
of conflicting charging information between installation instructions, 
follow the installation instruction hierarchy listed in section 3.5.2.4. 
Conflicting information is defined as multiple conditions given for 
charge adjustment where all conditions specified cannot be met. In the 
event of conflicting information within the same set of charging 
instructions (e.g., the installation instructions shipped with the 
dedicated condensing unit), follow the hierarchy in Table 19 for 
priority. Unless the installation instructions specify a different 
charging tolerance, the tolerances identified in table 19 of this 
appendix shall be used.

[[Page 282]]



Table 19--Test Condition Tolerances and Hierarchy for Refrigerant Charging and Setting of Refrigerant Conditions
----------------------------------------------------------------------------------------------------------------
                                    Fixed orifice                                   Expansion Valve
               -------------------------------------------------------------------------------------------------
   Priority         Parameter with                                       Parameter with
                     installation                Tolerance                installation            Tolerance
                  instruction target                                   instruction target
----------------------------------------------------------------------------------------------------------------
1.............  Superheat............  2.0      Subcooling..........  10% of the Target
                                        [deg]F.                                              Value; No less than
                                                                                             0.5 [deg]F, No
                                                                                             more than 2.0
                                                                                             [deg]F
2.............  High Side Pressure or  4.0 psi  High Side Pressure    1.0   or Saturation         eq>4.0 psi or
                 Temperature*.          [deg]F.                        Temperature*.        1.0 [deg]F
3.............  Low Side Pressure or   2.0 psi  Superheat...........  0.8                         eq>2.0 [deg]F
                 Temperature*.          [deg]F.
4.............  Low Side Temperature.  2.0      Low Side Pressure or  2.0 psi or
                                                                       Temperature *.       0.8 [deg]F
5.............  High Side Temperature  2.0      Approach Temperature  1.0 [deg]F
6.............  Charge Weight........  2.0 oz.  Charge Weight.......  0.5% or 1.0 oz,
                                                                                             whichever is
                                                                                             greater
----------------------------------------------------------------------------------------------------------------
* Saturation temperature can refer to either bubble or dew point calculated based on a measured pressure, or a
  coil temperature measurement, as specified by the installation instructions.

    3.5.2.5.2. Dedicated Condensing Unit.
    If the Dedicated Condensing Unit includes a receiver and the 
subcooling target leaving the condensing unit provided in installation 
instructions cannot be met without fully filling the receiver, the 
subcooling target shall be ignored. Likewise, if the Dedicated 
Condensing unit does not include a receiver and the subcooling target 
leaving the condensing unit cannot be met without the unit cycling off 
on high pressure, the subcooling target can be ignored. Also, if no 
instructions for charging or for setting subcooling leaving the 
condensing unit are provided in the installation instructions, the 
refrigeration system shall be set up with a charge quantity and/or exit 
subcooling such that the unit operates during testing without shutdown 
(e.g., on a high-pressure switch) and operation of the unit is otherwise 
consistent with the requirements of the test procedure of this appendix 
and the installation instructions.
    3.5.2.5.3. Unit Cooler. Use the shipped expansion device for 
testing. Otherwise, use the expansion device specified in the 
installation instructions. If the installation instructions specify 
multiple options for the expansion device, any specified expansion 
device may be used. The supplied expansion device shall be adjusted 
until either the superheat target is met, or the device reaches the end 
of its adjustable range. In the event the device reaches the end of its 
adjustable range and the super heat target is not met, test with the 
adjustment at the end of its range providing the closest match to the 
superheat target, and the test condition tolerance for super heat target 
shall be ignored. The measured superheat is not subject to a test 
operating tolerance. However, if the evaporator exit condition is used 
to determine capacity using the DX dual instrumentation method or the 
refrigerant enthalpy method, individual superheat value measurements may 
not be equal to or less than zero. If this occurs, or if the operating 
tolerances of measurements affected by expansion device fluctuation are 
exceeded, the expansion device shall be replaced, operated at an average 
superheat value higher than the target, or both, in order to avoid 
individual superheat value measurements less than zero and/or to meet 
the required operating tolerances.
    3.5.2.5.4. Single-Packaged Unit. Unless otherwise directed by the 
installation instructions, install one or more refrigerant line pressure 
gauges during the setup of the unit, located depending on the parameters 
used to verify or set charge, as described in this section:
    3.5.2.5.4.1. Install a pressure gauge in the liquid line if charging 
is on the basis of subcooling, or high side pressure or corresponding 
saturation or dew point temperature.
    3.5.2.5.4.2. Install a pressure gauge in the suction line if 
charging is on the basis of superheat, or low side pressure or 
corresponding saturation or dew point temperature. Install this gauge as 
close to the evaporator as allowable by the installation instructions 
and the physical constraints of the unit. Use methods for installing 
pressure gauge(s) at the required location(s) as indicated in the 
installation instructions if specified.
    3.5.2.5.4.3. If the installation instructions indicate that 
refrigerant line pressure gauges should not be installed and the unit 
fails to operate due to high-pressure or low-pressure compressor cut 
off, then a charging port shall be installed, and the unit shall be 
evacuated of refrigerant and charged to the nameplate charge.
    3.5.2.6 Ducted Units
    For systems with ducted evaporator air, or that can be installed 
with or without ducted evaporator air: Connect ductwork on both

[[Page 283]]

the inlet and outlet connections and determine external static pressure 
(ESP) as described in sections 6.4 and 6.5 of ANSI/ASHRAE 37. Use 
pressure measurement instrumentation as described in section 5.3.2 of 
ANSI/ASHRAE 37. Test at the fan speed specified in the installation 
instructions--if there is more than one fan speed setting and the 
installation instructions do not specify which speed to use, test at the 
highest speed. Conduct tests with the ESP equal to 50% of the maximum 
ESP allowed in the installation instructions, within a tolerance of -
0.00/+0.05 inches of water column. If the installation instructions do 
not provide the maximum ESP, the ESP shall be set for testing such that 
the air volume rate is \2/3\ of the air volume rate measured when the 
ESP is 0.00 inches of water column within a tolerance of -0.00/+0.05 
inches of water column.
    If testing using either the indoor or outdoor air enthalpy method to 
measure the air volume rate, adjust the airflow measurement apparatus 
fan to set the external static pressure--otherwise, set the external 
static pressure by symmetrically restricting the outlet of the test 
duct. In case of conflict, these requirements for setting airflow take 
precedence over airflow values specified in manufacturer installation 
instructions or product literature.
    3.5.2.7. Two-Speed or Multiple-Speed Evaporator Fans. Two-Speed or 
Multiple-Speed evaporator fans shall be considered to meet the 
qualifying control requirements of section C4.2 of Appendix C of AHRI 
1250-2020 for measuring off-cycle fan energy if they use a fan speed no 
less than 50% of the speed used in the maximum capacity tests.
    3.5.2.8. Defrost
    Use section C10.2.1 of Appendix C of AHRI 1250-2020 for defrost 
testing. The Test Room Conditioning Equipment requirement of section 
C10.2.1.1 of Appendix C of AHRI 1250-2020 does not apply.
    3.5.2.8.1 Adaptive Defrost
    When testing to certify compliance to the energy conservation 
standards, use NDF = 4, as instructed in section C10.2.1.7 or 
C10.2.2.1 of AHRI 1250-2020. When determining the represented value of 
the calculated benefit for the inclusion of adaptive defrost, use 
NDF = 2.5, as instructed in section C10.2.1.7 or C10.2.2.1 of 
AHRI 1250-2020.
    3.5.2.8.2 Hot Gas Defrost
    When testing to certify compliance to the energy conservation 
standards, remove the hot gas defrost mechanical components and 
disconnect all such components from electrical power. Test the units as 
if they are electric defrost units, but do not conduct the defrost tests 
described in section C10.2.1 of AHRI 1250-2020. Use the defrost heat and 
power consumption values as described in section C10.2.2 of AHRI 1250-
2020 for the AWEF2 calculations.
    3.5.2.9 Dedicated condensing units that are not matched for testing 
and are not single-packaged dedicated systems.
    The temperature measurement requirements of sections C3.1.3 and 
C4.1.3.1 appendix C of AHRI 1250-2020 shall apply only to the condensing 
unit exit rather than to the unit cooler inlet and outlet, and they 
shall be applied for two measurements when using the DX Dual 
Instrumentation test method.
    3.5.2.10. Single-packaged dedicated systems
    Use the test method in section C9 of appendix C of AHRI 1250-2020 
(including the applicable provisions of ASHRAE 16-2016, ASHRAE 23.1-
2010, ASHRAE 37-2009, and ASHRAE 41.6-2014, as referenced in section 
C9.1 of AHRI 1250-2020) as the method of test for single-packaged 
dedicated systems, with modifications as described in this section. Use 
two test methods listed in table 20 of this appendix to calculate the 
net capacity and power consumption. The test method listed with a lower 
``Hierarchy Number'' and that has ``Primary'' as an allowable use in 
table 20 of this appendix shall be considered the primary measurement 
and used as the net capacity.

         Table 20--Single-Packaged Methods of Test and Hierarchy
------------------------------------------------------------------------
      Hierarchy number           Method of test        Test hierarchy
------------------------------------------------------------------------
1...........................  Balanced Ambient      Primary.
                               Indoor Calorimeter.
2...........................  Indoor Air Enthalpy.  Primary or
                                                     Secondary.
3...........................  Indoor Room           Primary or
                               Calorimeter.          Secondary.
4...........................  Calibrated Box......  Primary or
                                                     Secondary.
5...........................  Balanced Ambient      Secondary.
                               Outdoor Calorimeter.
6...........................  Outdoor Air Enthalpy  Secondary.
7...........................  Outdoor Room          Secondary.
                               Calorimeter.
8...........................  Single-Packaged       Secondary.
                               Refrigerant
                               Enthalpy \1\.
9...........................  Compressor            Secondary.
                               Calibration.
------------------------------------------------------------------------
Notes:
\1\ See description of the single-packaged refrigerant enthalpy method
  in section 3.5.2.10.1 of this appendix.

    3.5.2.10.1 Single-Packaged Refrigerant Enthalpy Method
    The single-packaged refrigerant enthalpy method shall follow the 
test procedure of the

[[Page 284]]

DX Calibrated Box method in AHRI 1250-2020, appendix C, section C8 for 
refrigerant-side measurements with the following modifications:
    3.5.2.10.1.1 Air-side measurements shall follow the requirements of 
the primary single-packaged method listed in table 20 of this appendix. 
The air-side measurements and refrigerant-side measurements shall be 
collected over the same intervals.
    3.5.2.10.1.2 A preliminary test at Test Rating Condition A is 
required using the primary method prior to any modification necessary to 
install the refrigerant-side measuring instruments. Install surface 
mount temperature sensors on the evaporator and condenser coils at 
locations not affected by liquid subcooling or vapor superheat (i.e., 
near the midpoint of the coil at a return bend), entering and leaving 
the compressor, and entering the expansion device. These temperature 
sensors shall be included in the regularly recorded data.
    3.5.2.10.1.3 After the preliminary test is completed, the 
refrigerant shall be removed from the equipment and the refrigerant-side 
measuring instruments shall be installed. The equipment shall then be 
evacuated and recharged with refrigerant. Once the equipment is 
operating at Test Condition A, the refrigerant charge shall be adjusted 
until, as compared to the average values from the preliminary test, the 
following conditions are achieved:
    (a) Each on-coil temperature sensor indicates a reading that is 
within 1.0 [deg]F of the measurement in the 
initial test,
    (b) The temperatures of the refrigerant entering and leaving the 
compressor are within 4 [deg]F, and
    (c) The refrigerant temperature entering the expansion device is 
within 1 [deg]F.
    3.5.2.10.1.4 Once these conditions have been achieved over an 
interval of at least 10 minutes, refrigerant charging equipment shall be 
removed and the official tests shall be conducted.
    3.5.2.10.1.5 The lengths of liquid line to be added shall be 5 feet 
maximum, not including the requisite flow meter. This maximum length 
applies to each circuit separately.
    3.5.2.10.1.6 Use section C9.2 of appendix C of AHRI 1250-2020 for 
allowable refrigeration capacity heat balance. Calculate the single-
packaged refrigerant enthalpy (secondary) method test net capacity

Qnet,secondary as follows: Qnet,secondary = Qref-3.412[middot]EFcomp,on-
          Qsploss

Where:

Qref is the gross capacity;
EFcomp,on is the evaporator compartment on-cycle power, including 
          evaporator fan power; and
Qsploss is a duct loss calculation applied to the evaporator compartment 
          of the single-packaged systems, which is calculated as 
          indicated in the following equation.

Qsploss = UAcond x (Tevapside - Tcondside) + UAamb x (Tevapside - Tamb)

Where:
    UAcond and UAamb are, for the condenser/
evaporator partition and the evaporator compartment walls exposed to 
ambient air, respectively, the product of the overall heat transfer 
coefficient and surface area of the unit as manufactured, i.e. without 
external insulation that might have been added during the test. The 
areas shall be calculated based on measurements, and the thermal 
resistance values shall be based on insulation thickness and insulation 
material;
    Tevapside is the air temperature in the evaporator 
compartment--the measured evaporator air inlet temperature may be used;
    Tcondside is the air temperature in the condenser 
compartment--the measured chamber ambient temperature may be used, or a 
measurement may be made using a temperature sensor placed inside the 
condenser box at least 6 inches distant from any part of the 
refrigeration system; and
    Tamb is the air temperature outside the single-packaged 
system.

    3.5.2.10.1.7 For multi-circuit single-packaged systems utilizing the 
single-packaged refrigerant enthalpy method, apply the test method 
separately for each circuit and sum the separately-calculated 
refrigerant-side gross refrigeration capacities.
    3.5.2.10.2 Calibrated Box Test Procedure
    3.5.2.10.2.1 Measurements. Refer to section C3 of AHRI 1250-2020 
(including the applicable provisions of ASHRAE 41.1-2013, ASHRAE 41.3-
2014, and ASHRAE 41.10-2013, as referenced in section C3 of AHRI 1250-
2020) for requirements of air-side and refrigerant-side measurements.
    3.5.2.10.2.2 Apparatus setup for Calibrated Box Calibration and 
Test. Refer to section C5 of AHRI 1250-2020 and section C8 of AHRI 1250-
2020 for specific test setup.
    3.5.2.10.2.3 The calibrated box shall be installed in a temperature-
controlled enclosure in which the temperature can be maintained at a 
constant level. When using the calibrated box method for Single-Packaged 
Dedicated Systems, the enclosure air temperature shall be maintained 
such that the condenser air entering conditions are as specified for the 
test.
    3.5.2.10.2. The temperature-controlled enclosure shall be of a size 
that will provide clearances of not less than 18 in at all sides, top 
and bottom, except that clearance of any one surface may be reduced to 
not less than 5.5 inches.
    3.5.2.10.2.5 The heat leakage of the calibrated box shall be noted 
in the test report.
    3.5.2.10.2.6 Refrigerant lines within the calibrated box shall be 
well insulated to avoid appreciable heat loss or gain.

[[Page 285]]

    3.5.2.10.2.7 Instruments for measuring the temperature around the 
outside of the calibrated box to represent the enclosure temperature 
Ten shall be located at the center of each wall, ceiling, and 
floor. Exception: in the case where a clearance around the outside of 
the calibrated box, as indicated in section 3.5.2.10.2.4 of this 
appendix, is reduced to less than 18 inches, the number of temperature 
measuring devices on the outside of that surface shall be increased to 
six, which shall be treated as a single temperature to be averaged with 
the temperature of each of the other five surfaces. The six temperature 
measuring instruments shall be located at the center of six rectangular 
sections of equal area. If the refrigeration system is mounted at the 
location that would cover the center of the face on which it is mounted, 
up to four temperature measurements shall be used on that face to 
represent its temperature. Each sensor shall be aligned with the center 
of the face's nearest outer edge and centered on the distance between 
that edge and the single-packaged unit (this is illustrated in figure C5 
of this section when using surface temperature sensors), and they shall 
be treated as a single temperature to be averaged with the temperature 
of each of the other five surfaces. However, any of these sensors shall 
be omitted if either (a) the distance between the outer edge and the 
single-packaged unit is less than one foot or (b) if the sensor location 
would be within two feet of any of the foot square surfaces discussed in 
section 3.5.2.10.2.8 of this appendix representing a warm discharge air 
impingement area. In this case, the remaining sensors shall be used to 
represent the average temperature for the surface.
    3.5.2.10.2.8 One of the following two approaches shall be used for 
the box external temperature measurement. Box calibration and system 
capacity measurement shall both be done using the same one of these 
approaches. 1: Air temperature sensors. Each temperature sensor shall be 
at a distance of 6 inches from the calibrated box. If the clearance from 
a surface of the box (allowed for one surface only) is less than 12 
inches, the temperature measuring instruments shall be located midway 
between the outer wall of the calibrated box and the adjacent surface. 
2: Surface temperature sensors. Surface temperature sensors shall be 
mounted on the calibrated box surfaces to represent the enclosure 
temperature, Ten.
    3.5.2.10.2.9 Additional surface temperature sensors may be used to 
measure external hot spots during refrigeration system testing. If this 
is done, two temperature sensors shall be used to measure the average 
temperature of the calibrated box surface covered by the condensing 
section--they shall be located centered on equal-area rectangles 
comprising the covered calibrated box surface whose common sides span 
the short dimension of this surface. Additional surface temperature 
sensors may be used to measure box surfaces on which warm condenser 
discharge air impinges. A pattern of square surfaces measuring one foot 
square shall be mapped out to represent the hot spot upon which the warm 
condenser air impinges. One temperature sensor shall be used to measure 
surface temperature at the center of each square (see figure C5 of this 
section). A drawing showing this pattern and identifying the surface 
temperature sensors shall be provided in the test report. The average 
surface temperature of the overall calibrated box outer surface during 
testing shall be calculated as follows.
[GRAPHIC] [TIFF OMITTED] TR04MY23.078

Where:

Ai is the surface area of the ith of the six calibrated box surfaces;
Ti is the average temperature measured for the ith surface;
Aj is half of the surface area of the calibrated box covered by the 
          condensing section;
T'j is the jth of the two temperature measurements underneath the 
          condensing section;
T1 is the average temperature of the four or fewer measurements 
          representing the temperature of the face on which the single-
          packaged system is mounted, prior to adjustments associated 
          with hot spots based on measurements Tj and/or Tk;
Ak is the area of the kth of n 1-square-foot surfaces used to measure 
          the condenser discharge impingement area hot spot; and,
T''k is the kth of the n temperature measurements of the condenser 
          discharge impingement area hot spot.

[[Page 286]]

[GRAPHIC] [TIFF OMITTED] TR04MY23.079

Figure C5: Illustration of Layout of Surface Temperature Sensors on Face 
of Calibrated Box on which Single-Packaged Dedicated System is Mounted 
when Using Section 3.5.2.10.2.7 of Appendix C to this Part.3.5.2.10.2.10 
Heating means inside the calibrated box shall be shielded or installed 
in a manner to avoid radiation to the Single-Packaged Dedicated System, 
the temperature measuring instruments, and to the walls of the box. The 
heating means shall be constructed to avoid stratification of 
temperature, and suitable means shall be provided for distributing the 
temperature uniformly.

    3.5.2.10.2.11 The average air dry-bulb temperature in the calibrated 
box during Single-Packaged Dedicated System tests and calibrated box 
heat leakage tests shall be the average of eight temperatures measured 
at the corners of the box at a distance of 2 inches to 4 inches from the 
walls. The instruments shall be shielded from any cold or warm surfaces 
except that they shall not be shielded from the adjacent walls of the 
box. The Single-Packaged Dedicated System under test shall be mounted 
such that the temperature instruments are not in the direct air stream 
from the discharge of the Single-Packaged Dedicated System.
    3.5.2.10.2.12 Calibration of the Calibrated Box. Calibration of the 
Calibrated Box shall occur prior to installation of the Single-Packaged 
Dedicated System. This shall be done either (a) prior to cutting the 
opening needed to install the Single-Packaged Dedicated System, or (b) 
with an insulating panel with the same thickness and thermal resistance 
as the box wall installed in the opening intended for the Single-
Packaged Dedicated System installation. Care shall be taken to avoid 
thermal shorts in the location of the opening either during calibration 
or during subsequent installation of the Single-Packaged Dedicated 
System. A calibration test shall be made for air movements comparable to 
those expected for Single-Packaged Dedicated System capacity 
measurement, i.e., with air volume flow rate within 10 percent of the 
air volume flow rate of the Single-Packaged Dedicated System evaporator.
    3.5.2.10.2.13 The heat input shall be adjusted to maintain an 
average box temperature not less than 25.0 [deg]F above the test 
enclosure temperature.
    3.5.2.10.2.14 The average dry-bulb temperature inside the calibrated 
box shall not vary more than 1.0 [deg]F over the course of the 
calibration test.
    3.5.2.10.2.15 A calibration test shall be the average of 11 
consecutive hourly readings when the box has reached a steady-state 
temperature condition.

[[Page 287]]

    3.5.2.10.2.16 The box temperature shall be the average of all 
readings after a steady-state temperature condition has been reached.
    3.5.2.10.2.17 The calibrated box has reached a steady-state 
temperature condition when: The average box temperature is not less than 
25 [deg]F above the test enclosure temperature. Temperature variations 
do not exceed 5.0 [deg]F between temperature measuring stations. 
Temperatures do not vary by more than 2 [deg]F at any one temperature- 
measuring station.
    3.5.2.10.2.18 Data to be Measured and Recorded. Refer to Table C5 in 
section C6.2 of AHRI 1250-2020 for the required data that need to 
measured and recorded.
    3.5.2.10.2.19 Refrigeration Capacity Calculation.
    The heat leakage coefficient of the calibrated box is calculated by
    [GRAPHIC] [TIFF OMITTED] TR04MY23.080
    
    For each Dry Rating Condition, calculate the Net Capacity:

qss = Kcb (Ten-Tcb) + 3.412 x Ec

    3.5.2.10.3 Detachable single-packaged systems shall be tested as 
single-packaged dedicated refrigeration systems.
    3.5.2.11 Variable-Capacity and Multiple-Capacity Dedicated 
Condensing Refrigeration Systems
    3.5.2.11.1 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 blower operates at the speed 
consistent with the compressor operating level as would occur without 
override.
    3.5.2.11.2 Compressor Operating Levels
    For variable-capacity and multiple-capacity compressor systems, the 
minimum capacity for testing shall be the minimum capacity that the 
system control would operate the compressor in normal operation. 
Likewise, the maximum capacity for testing shall be the maximum capacity 
that the system control would operate the compressor in normal 
operation. For variable-speed compressor systems, the intermediate speed 
for testing shall be the average of the minimum and maximum speeds. For 
digital compressor systems, the intermediate duty cycle shall be the 
average of the minimum and maximum duty cycles. For multiple-capacity 
compressor systems with three capacity levels, the intermediate 
operating level for testing shall be the middle capacity level. For 
multiple-capacity compressor systems with more than three capacity 
levels, the intermediate operating level for testing shall be the level 
whose displacement ratio is closest to the average of the maximum and 
minimum displacement ratios.
    3.5.2.11.3 Refrigeration Systems with Digital Compressor(s)
    Use the test methods described in section 3.5.2.10.1 of this 
appendix as the secondary method of test for refrigeration systems with 
digital compressor(s) with modifications as described in this section. 
The Test Operating tolerance for refrigerant mass flow rate and suction 
pressure in Table 2 of AHRI 1250-2020 shall be ignored. Temperature and 
pressure measurements used to calculate shall be recorded at a frequency 
of once per second or faster and based on average values measured over 
the 30-minute test period.
    3.5.2.11.3.1 For Matched pair (not including single-packaged 
systems) and Dedicated Condensing Unit refrigeration systems, the 
preliminary test in sections 3.5.2.10.1.2 and 3.5.2.10.1.3 of this 
appendix is not required. The liquid line and suction line shall be 25 
feet  3 inches, not including the requisite flow 
meters. Also, the term in the equation to calculate net capacity shall 
be set equal to zero.
    3.5.2.11.3.2 For Dedicated Condensing Unit refrigeration systems, 
the primary capacity measurement method shall be balanced ambient 
outdoor calorimeter, outdoor air enthalpy, or outdoor room calorimeter.

[88 FR 28843, May 4, 2023, as amended at 88 FR 73217, Oct. 25, 2023]



            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 of Title III of 
the Energy

[[Page 288]]

Policy and Conservation Act, as amended, 42 U.S.C. 6291-6309.

[75 FR 10966, Mar. 9, 2010]



Sec.  431.322  Definitions concerning metal halide lamp ballasts and fixtures.

    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.
    Ballast means a device used with an electric discharge lamp to 
obtain necessary circuit conditions (voltage, current, and waveform) for 
starting and operating.
    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; and
    (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-
2017 (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 C82.6-2015 (incorporated by reference; see Sec.  431.323) using a 
wattmeter with accuracy specified in Section 4.5 of ANSI C82.6-2015; 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 2.4 kHz.
    Basic model means all units of a given type of covered product (or 
class thereof) manufactured by one manufacturer, having the same primary 
energy source, and which have essentially identical electrical, 
physical, and functional (or hydraulic) characteristics that affect 
energy consumption, energy efficiency, water consumption, or water 
efficiency, and are rated to operate a given lamp type and wattage.
    Ceramic metal halide lamp means a metal halide lamp with an arc tube 
made of ceramic materials.
    Electronic ballast means a device that uses semiconductors as the 
primary means to control lamp starting and operation.
    General lighting application means lighting that provides an 
interior or exterior area with overall illumination.
    High-frequency electronic metal halide ballast means an electronic 
ballast that operates a lamp at an output frequency of 1000 Hz or 
greater.
    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.
    Nonpulse-start electronic ballast means an electronic ballast with a 
starting method other than pulse-start.
    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 standby or active mode function.
    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.
    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

[[Page 289]]

power to sustain the discharge through the glow-to-arc transition.
    Quartz metal halide lamp means a metal halide lamp with an arc tube 
made of quartz materials.
    Reference lamp is a metal halide lamp that meets the operating 
conditions of a reference lamp as defined by ANSI C82.9-2016 
(incorporated by reference; see Sec.  431.323).
    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:
    (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.

[74 FR 12075, Mar. 23, 2009, as amended at 75 FR 10966, Mar. 9, 2010; 74 
FR 12074, Mar. 23, 2009; 79 FR 7843, Feb. 10, 2014; 87 FR 37699, June 
24, 2022]

                             Test Procedures



Sec.  431.323  Materials incorporated by reference.

    (a) Certain material is incorporated by reference into this subpart 
with the approval of the Director of the Federal Register in accordance 
with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other 
than that specified in this section, the U.S. Department of Energy (DOE) 
must publish a document in the Federal Register and the material must be 
available to the public. All approved incorporation by reference (IBR) 
material is available for inspection at DOE, and at the National 
Archives and Records Administration (NARA). Contact DOE at: the 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) 586-9127, [email protected], https://
www.energy.gov/eere/buildings/building-technologies-office. For 
information on the availability of this material at NARA, email: 
[email protected], or go to: www.archives.gov/federal-register/cfr/
ibr-locations.html. The material may be obtained from the sources in the 
following paragraphs of this section.
    (b) ANSI. American National Standards Institute, 25 W. 43rd Street, 
4th Floor, New York, NY 10036; 212-642-4900; www.ansi.org.
    (1) ANSI C78.43-2017, American National Standard for Electric 
Lamps--Single-Ended Metal Halide Lamps, approved December 21, 2017; IBR 
approved for Sec.  431.324.
    (2) ANSI C78.44-2016, American National Standard for Electric 
Lamps--Double-Ended Metal Halide Lamps, approved July 1, 2016; IBR 
approved for Sec.  431.324.
    (3) ANSI C82.6-2015 (R2020), American National Standard for Lamp 
Ballasts--Ballasts for High-Intensity Discharge Lamps--Methods of 
Measurement, approved March 30, 2020; IBR approved for Sec. Sec.  
431.322; 431.324.
    (4) ANSI C82.9-2016, American National Standard for Lamp Ballasts--
High Intensity Discharge and Low-Pressure Sodium Lamps--Definitions, 
approved July 12, 2016; IBR approved for Sec. Sec.  431.322; 431.324.
    (c) IEC. International Electrotechnical Commission, 3 rue de 
Varemb[eacute], 1st Floor, P.O. Box 131, CH--1211 Geneva 20--
Switzerland, +41 22 919 02 11, or go to webstore.iec.ch/home.
    (1) IEC 63103, Lighting Equipment--Non-active Mode Power 
Measurement, Edition 1.0, dated 2020-07; IBR approved for Sec.  431.324.
    (2) [Reserved]
    (d) 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;
    (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

[[Page 290]]

and December 11, 2007, IBR approved for Sec.  431.326.
    (2) [Reserved]

[74 FR 12075, Mar. 23, 2009, as amended at 75 FR 10966, Mar. 9, 2010; 87 
FR 37699, June 24, 2022]



Sec.  431.324  Uniform test method for the measurement of energy
efficiency and standby mode energy consumption of metal halide lamp
ballasts.

    (a) Scope. This section provides test procedures for measuring, 
pursuant to EPCA, the energy efficiency of metal halide lamp ballasts. 
After July 25, 2022, and prior to December 21, 2022, any representations 
with respect to energy use or efficiency of metal halide lamp fixtures 
must be in accordance with the results of testing pursuant to this 
section or the test procedures as they appeared in 10 CFR 431.324 as it 
appeared in the 10 CFR parts 200-499 edition revised as of January 1, 
2022. On or after December 21, 2022, any representations, including 
certifications of compliance for metal halide lamp fixtures subject to 
any energy conservation standard, made with respect to the energy use or 
efficiency of metal halide lamp fixtures must be made in accordance with 
the results of testing pursuant to this section.
    (b) Active mode procedure--(1) General instructions. Specifications 
in referenced standards that are recommended, that ``shall'' or 
``should'' be met, or that are not otherwise explicitly optional, are 
mandatory. In cases where there is a conflict between any industry 
standard(s) and this section, the language of the test procedure in this 
section takes precedence over the industry standard(s).
    (2) Test conditions and setup. (i) The power supply, ballast 
conditions, lamp position, and instrumentation must all conform to the 
requirements specified in Section 4.0 of ANSI C82.6-2015 (R2020) 
(incorporated by reference; see Sec.  431.323).
    (ii) Airflow in the room for the testing period must be <=0.5 
meters/second.
    (iii) Test circuits must be in accordance with the circuit 
connections specified in Section 6.3 of ANSI C82.6-2015 (R2020).
    (iv) For ballasts designed to operate lamps rated less than 150 W 
that have 120 V as an available input voltage, testing must be performed 
at 120 V. For ballasts designed to operate lamps rated less than 150 W 
that do not have 120 V as an available voltage, testing must be 
performed at the highest available input voltage. For ballasts designed 
to operate lamps rated greater than or equal to 150 W that have 277 V as 
an available input voltage, testing must be conducted at 277 V. For 
ballasts designed to operate lamps rated greater than or equal to 150 W 
that do not have 277 V as an available input voltage, testing must be 
conducted at the highest available input voltage.
    (v) Operate dimming ballasts at maximum input power.
    (vi) Select the metal halide lamp for testing as follows:
    (A) The metal halide lamp used for testing must meet the 
specifications of a reference lamp as defined by ANSI C82.9-2016 and the 
rated values of the corresponding lamp data sheet as specified in ANSI 
C78.43-2017 (both incorporated by reference; see Sec.  431.323) for 
single-ended lamps and ANSI C78.44-2016 (incorporated by reference; see 
Sec.  431.323) for double-ended lamps.
    (B) Ballasts designated with ANSI codes corresponding to more than 
one lamp must be tested with the lamp having the highest nominal lamp 
wattage as specified in ANSI C78.43-2017 or ANSI C78.44-2016, as 
applicable.
    (C) Ballasts designated with ANSI codes corresponding to both 
ceramic metal halide lamps (code beginning with ``C'') and quartz metal 
halide lamps (code beginning with ``M'') of the same nominal lamp 
wattage must be tested with the quartz metal halide lamp.
    (3) Test method--(i) Stabilization criteria--(A) General 
instruction. Lamp must be seasoned as prescribed in Section 4.4.1 of 
ANSI C82.6-2015 (R2020).
    (B) Basic stabilization method. Lamps using the basic stabilization 
method must be stabilized in accordance with Section 4.4.2 of ANSI 
C82.6-2015 (R2020). Stabilization is reached when the lamp's electrical 
characteristics vary by no more than 3-percent in three consecutive 10- 
to 15-minute intervals measured after the minimum burning time of 30 
minutes.

[[Page 291]]

    (C) Alternative stabilization method. In cases where switching from 
the reference ballast to test ballast without extinguishing the lamp is 
impossible, such as for low-frequency electronic ballasts, the 
alternative stabilization method must be used. Lamps using the 
alternative stabilization method must be stabilized in accordance with 
Section 4.4.3 of ANSI C82.6-2015 (R2020).
    (ii) Test measurements. (A) The ballast input power during operating 
conditions must be measured in accordance with the methods specified in 
Sections 6.1 and 6.8 of ANSI C82.6-2015 (R2020).
    (B) The ballast output (lamp) power during operating conditions must 
be measured in accordance with the methods specified in Sections 6.2 and 
6.10 of ANSI C82.6-2015 (R2020).
    (C) For ballasts with a frequency of 60 Hz, the ballast input and 
output power shall be measured after lamps have been stabilized 
according to Section 4.4 of ANSI C82.6-2015 (R2020) using a wattmeter 
with accuracy specified in Section 4.5 of ANSI C82.6-2015 (R2020); and
    (D) For ballasts with a frequency greater than 60 Hz, the ballast 
input and output power shall have a basic accuracy of 0.5 percent at the higher of either 3 times the output 
operating frequency of the ballast or 2.4 kHz.
    (iii) Calculations. (A) To determine the percent efficiency of the 
ballast under test, divide the measured ballast output (lamp) power, as 
measured in paragraph (b)(3)(ii) of this section, by the measured 
ballast input power, as measured in paragraph (b)(3)(ii) of this 
section. Calculate percent efficiency to three significant figures.
    (B) [Reserved]
    (c) Standby mode procedure--(1) General instructions. Measure 
standby mode energy consumption only for a ballast that is capable of 
operating in standby mode. Specifications in referenced standards that 
are recommended, that ``shall'' or ``should'' be met, or that are not 
otherwise explicitly optional, are mandatory. When there is a conflict, 
the language of the test procedure in this section takes precedence over 
IEC 63103 (incorporated by reference; see Sec.  431.323).
    (2) Test conditions and setup. (i) Establish and maintain test 
conditions and setup in accordance with paragraph (b)(2) of this 
section.
    (ii) Connect each ballast to a lamp as specified in paragraph 
(b)(2)(vi) of this section. Note: ballast operation with a reference 
lamp is not required.
    (3) Test method and measurement. (i) Turn on all of the lamps at 
full light output. If any lamp is not functional, replace the lamp and 
repeat the test procedure. If the ballast will not operate any lamps, 
replace the unit under test.
    (ii) 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.
    (iii) Stabilize the ballast prior to measurement using one of the 
methods as specified in Section 5.4 of IEC 63103.
    (iv) Measure the standby mode energy consumption in watts using one 
of the methods as specified in Section 5.4 of IEC 63103.

[87 FR 37699, June 24, 2022]

                      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

[[Page 292]]

    (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).
    (c) Except when the requirements of paragraph (a) of this section 
are more stringent (i.e., require a larger minimum efficiency value) or 
as provided by paragraph (e) of this section, each metal halide lamp 
fixture manufactured on or after February 10, 2017, must contain a metal 
halide ballast with an efficiency not less than the value determined 
from the appropriate equation in the following table:

----------------------------------------------------------------------------------------------------------------
 Designed to be operated with lamps of              Tested input                       Minimum standard
    the following rated lamp wattage           voltage[Dagger][Dagger]            equation[Dagger][Dagger] %
----------------------------------------------------------------------------------------------------------------
=50 W and <=100 W...........  Tested at 480 V...................  (1/(1 + 1.24 x P[supcaret](-
                                                                              0.351))) - 0.020[dagger][dagger]
=50 W and <=100 W...........  All others........................  1/(1 + 1.24 x P[supcaret](-0.351))
100 W and <150[dagger] W....  Tested at 480 V...................  (1/(1 + 1.24 x P[supcaret](-
                                                                              0.351))) - 0.020
100 W and <150[dagger] W....  All others........................  1/(1 + 1.24 x P[supcaret](-0.351))
=150 [Dagger] W and <=250 W.  Tested at 480 V...................  0.880
=150 [Dagger] W and <=250 W.  All others........................  For =150 W and <=200 W:
                                                                              0.880
                                                                             For 200 W and <=250 W: 1/
                                                                              (1 + 0.876 x P[supcaret](-0.351))
250 W and <=500 W...........  Tested at 480 V...................  For 250 and <265 W:
                                                                              0.880
                                                                             For =265 W and <=500 W:
                                                                              (1/(1 + 0.876 x P[supcaret](-
                                                                              0.351)) - 0.010
250 W and <=500 W...........  All others........................  1/(1 + 0.876 x P[supcaret](-0.351))
500 W and <=1000 W..........  Tested at 480 V...................  For 500 W and <=750 W:
                                                                              0.900
                                                                             For 750 W and <=1000 W:
                                                                              0.000104 x P + 0.822
                                                                             For 500 W and <=1000 W:
                                                                              may not utilize a probe-start
                                                                              ballast
500 W and <=1000 W..........  All others........................  For 500 W and <=750 W:
                                                                              0.910
                                                                             For 750 W and <=1000 W:
                                                                              0.000104 x P + 0.832
                                                                             For 500 W and <=1000 W:
                                                                              may not utilize a probe-start
                                                                              ballast
----------------------------------------------------------------------------------------------------------------
[dagger] Includes 150 W fixtures specified in paragraph (b)(3) of this section, that are fixtures rated only for
  150 W lamps; rated for use in wet locations, as specified by the NFPA 70 (incorporated by reference, see Sec.
   431.323), section 410.4(A); and containing a ballast that is rated to operate at ambient air temperatures
  above 50 [deg]C, as specified by UL 1029 (incorporated by reference, see Sec.   431.323).
[Dagger] Excludes 150 W fixtures specified in paragraph (b)(3) of this section, that are fixtures rated only for
  150 W lamps; rated for use in wet locations, as specified by the NFPA 70, section 410.4(A); and containing a
  ballast that is rated to operate at ambient air temperatures above 50 [deg]C, as specified by UL 1029.
[dagger][dagger] P is defined as the rated wattage of the lamp the fixture is designed to operate.
[Dagger][Dagger] Tested input voltage is specified in 10 CFR 431.324.

    (d) Except as provided in paragraph (e) of this section, metal 
halide lamp fixtures manufactured on or after February 10, 2017, that 
operate lamps with rated wattage 500 W to <=1000 W must not 
contain a probe-start metal halide ballast.
    (e) The standards described in paragraphs (c) and (d) 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; and
    (3) Metal halide lamp fixtures that use high-frequency electronic 
ballasts.

[74 FR 12075, Mar. 23, 2009, as amended at 79 FR 7844, Feb. 10, 2014]



                          Subpart T_Compressors

    Source: 81 FR 79998, Nov. 15, 2016, unless otherwise noted.



Sec.  431.341  Purpose and scope.

    This subpart contains and energy conservation requirements for 
compressors, pursuant to Part A-1 of Title III of the Energy Policy and 
Conservation Act, as amended, 42 U.S.C. 6311-6317.



Sec.  431.342  Definitions concerning compressors.

    The following definitions are applicable to this subpart, including 
appendix A. In cases where there is a conflict, the language of the 
definitions adopted in this section take precedence over any 
descriptions or definitions found in any other source, including in ISO 
Standard 1217:2009(E), ``Displacement

[[Page 293]]

compressors--Acceptance tests,'' as amended through Amendment 1:2016(E), 
``Calculation of isentropic efficiency and relationship with specific 
energy'' (incorporated by reference, see Sec.  431.343). In cases where 
definitions reference design intent, DOE will consider all relevant 
information, including marketing materials, labels and certifications, 
and equipment design, to determine design intent.
    Actual volume flow rate means the volume flow rate of air, 
compressed and delivered at the standard discharge point, referred to 
conditions of total temperature, total pressure and composition 
prevailing at the standard inlet point, and as determined in accordance 
with the test procedures prescribed in Sec.  431.344.
    Air compressor means a compressor designed to compress air that has 
an inlet open to the atmosphere or other source of air, and is made up 
of a compression element (bare compressor), driver(s), mechanical 
equipment to drive the compressor element, and any ancillary equipment.
    Air-cooled compressor means a compressor that utilizes air to cool 
both the compressed air and, if present, any auxiliary substance used to 
facilitate compression, and that is not a liquid-cooled compressor.
    Ancillary equipment means any equipment distributed in commerce with 
an air compressor but that is not a bare compressor, driver, or 
mechanical equipment. Ancillary equipment is considered to be part of a 
given air compressor, regardless of whether the ancillary equipment is 
physically attached to the bare compressor, driver, or mechanical 
equipment at the time when the air compressor is distributed in 
commerce.
    Auxiliary substance means any substance deliberately introduced into 
a compression process to aid in compression of a gas by any of the 
following: Lubricating, sealing mechanical clearances, or absorbing 
heat.
    Bare compressor means the compression element and auxiliary devices 
(e.g., inlet and outlet valves, seals, lubrication system, and gas flow 
paths) required for performing the gas compression process, but does not 
include any of the following:
    (1) The driver;
    (2) Speed-adjusting gear(s);
    (3) Gas processing apparatuses and piping; and
    (4) Compressor equipment packaging and mounting facilities and 
enclosures.
    Basic model means all units of a class of compressors manufactured 
by one manufacturer, having the same primary energy source, the same 
compressor motor nominal horsepower, and essentially identical 
electrical, physical, and functional (or pneumatic) characteristics that 
affect energy consumption and energy efficiency.
    Brushless electric motor means a machine that converts electrical 
power into rotational mechanical power without use of sliding electrical 
contacts.
    Compressor means a machine or apparatus that converts different 
types of energy into the potential energy of gas pressure for 
displacement and compression of gaseous media to any higher pressure 
values above atmospheric pressure and has a pressure ratio at full-load 
operating pressure greater than 1.3.
    Compressor motor nominal horsepower means the motor horsepower of 
the electric motor, as determined in accordance with the applicable 
procedures in subparts B and X of this part, with which the rated air 
compressor is distributed in commerce.
    Driver means the machine providing mechanical input to drive a bare 
compressor directly or through the use of mechanical equipment.
    Fixed-speed compressor means an air compressor that is not capable 
of adjusting the speed of the driver continuously over the driver 
operating speed range in response to incremental changes in the required 
compressor flow rate.
    Full-load actual volume flow rate means the actual volume flow rate 
of the compressor at the full-load operating pressure.
    Liquid-cooled compressor means a compressor that utilizes liquid 
coolant provided by an external system to cool both the compressed air 
and, if present, any auxiliary substance used to facilitate compression.
    Lubricant-free compressor means a compressor that does not introduce

[[Page 294]]

any auxiliary substance into the compression chamber at any time during 
operation.
    Lubricated compressor means a compressor that introduces an 
auxiliary substance into the compression chamber during compression.
    Maximum full-flow operating pressure means the maximum discharge 
pressure at which the compressor is capable of operating, as determined 
in accordance with the test procedure prescribed in Sec.  431.344.
    Mechanical equipment means any component of an air compressor that 
transfers energy from the driver to the bare compressor.
    Package isentropic efficiency means the ratio of power required for 
an ideal isentropic compression process to the actual packaged 
compressor power input used at a given load point, as determined in 
accordance with the test procedures prescribed in Sec.  431.344.
    Package specific power means the compressor power input at a given 
load point, divided by the actual volume flow rate at the same load 
point, as determined in accordance with the test procedures prescribed 
in Sec.  431.344.
    Positive displacement compressor means a compressor in which the 
admission and diminution of successive volumes of the gaseous medium are 
performed periodically by forced expansion and diminution of a closed 
space(s) in a working chamber(s) by means of displacement of a moving 
member(s) or by displacement and forced discharge of the gaseous medium 
into the high-pressure area.
    Pressure ratio at full-load operating pressure means the ratio of 
discharge pressure to inlet pressure, determined at full-load operating 
pressure in accordance with the test procedures prescribed in Sec.  
431.344.
    Reciprocating compressor means a positive displacement compressor in 
which gas admission and diminution of its successive volumes are 
performed cyclically by straight-line alternating movements of a moving 
member(s) in a compression chamber(s).
    Rotary compressor means a positive displacement compressor in which 
gas admission and diminution of its successive volumes or its forced 
discharge are performed cyclically by rotation of one or several rotors 
in a compressor casing.
    Rotor means a compression element that rotates continually in a 
single direction about a single shaft or axis.
    Variable-speed compressor means an air compressor that is capable of 
adjusting the speed of the driver continuously over the driver operating 
speed range in response to incremental changes in the required 
compressor actual volume flow rate.
    Water-injected lubricated compressor means a lubricated compressor 
that uses injected water as an auxiliary substance.

[82 FR 1101, Jan. 4, 2017, as amended at 85 FR 1591, Jan. 10, 2020]



Sec.  431.343  Materials incorporated by reference.

    (a) General. DOE incorporates by reference the following standards 
into part 431. The material listed has been approved for incorporation 
by reference by the Director of the Federal Register in accordance with 
6 U.S.C. 522(a) and 1 CFR part 51. Any subsequent amendment to a 
standard by the standard-setting organization will not affect the DOE 
test procedures unless and until amended by DOE. Material is 
incorporated as it exists on the date of the approval and a notice of 
any change in the material will be published in the Federal Register. 
All approved material is available from the sources below. It 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) 586-6636, or 
go to http://www1.eere.energy.gov/buildings/appliance_standards/. Also, 
this 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.
    (b) ISO. International Organization for Standardization, Chemin de 
Blandonnet 8, CP 401, 1214 Vernier, Geneva, Switzerland +41 22 749 01 
11, www.iso.org.

[[Page 295]]

    (1) ISO Standard 1217:2009(E), (``ISO 1217:2009(E)''), 
``Displacement compressors--Acceptance tests,'' July 1, 2009, IBR 
approved for appendix A to this subpart:
    (i) Section 2. Normative references;
    (ii) Section 3. Terms and definitions;
    (iii) Section 4. Symbols;
    (iv) Section 5. Measuring equipment, methods and accuracy (excluding 
5.1, 5.5, 5.7, and 5.8);
    (v) Section 6. Test procedures, introductory text to Section 6.2, 
Test arrangements, and paragraphs 6.2(g) and 6.2(h) including Table 1--
Maximum deviations from specified values and fluctuations from average 
readings;
    (vi) Annex C (normative), Simplified acceptance test for 
electrically driven packaged displacement compressors (excluding C.1.2, 
C.2.1, C.3, C.4.2.2, C.4.3.1, and C.4.5).
    (2) ISO 1217:2009/Amd.1:2016(E), Displacement compressors--
Acceptance tests (Fourth edition); Amendment 1: ``Calculation of 
isentropic efficiency and relationship with specific energy,'' April 15, 
2016, IBR approved for appendix A to this subpart:
    (i) Section 3.5.1: isentropic power;
    (ii) Section 3.6.1: isentropic efficiency;
    (iii) Annex H (informative), Isentropic efficiency and its relation 
to specific energy requirement, sections H.2, Symbols and subscripts, 
and H.3, Derivation of isentropic power.

[82 FR 1102, Jan. 4, 2017]



Sec.  431.344  Test procedure for measuring and determining energy
efficiency of compressors.

    (a) Scope. This section is a test procedure that is applicable to a 
compressor that meets the following criteria:
    (1) Is an air compressor;
    (2) Is a rotary compressor;
    (3) Is not a liquid ring compressor;
    (4) Is driven by a brushless electric motor;
    (5) Is a lubricated compressor;
    (6) Has a full-load operating pressure greater than or equal to 75 
pounds per square inch gauge (psig) and less than or equal to 200 psig;
    (7) Is not designed and tested to the requirements of the American 
Petroleum Institute Standard 619, ``Rotary-Type Positive-Displacement 
Compressors for Petroleum, Petrochemical, and Natural Gas Industries;''
    (8) Has full-load actual volume flow rate greater than or equal to 
35 cubic feet per minute (cfm), or is distributed in commerce with a 
compressor motor nominal horsepower greater than or equal to 10 
horsepower (hp); and
    (9) Has a full-load actual volume flow rate less than or equal to 
1,250 cfm, or is distributed in commerce with a compressor motor nominal 
horsepower less than or equal to 200 hp.
    (b) Testing and calculations. Determine the applicable full-load 
package isentropic efficiency ([eta]isen,FL), part-load 
package isentropic efficiency ([eta]isen,PL), package 
specific power, maximum full-flow operating pressure, full-load 
operating pressure, full-load actual volume flow rate, and pressure 
ratio at full-load operating pressure using the test procedure set forth 
in appendix A of this subpart.

[82 FR 1102, Jan. 4, 2017]



Sec.  431.345  Energy conservation standards and effective dates.

    (a) Each compressor that is manufactured starting on January 10, 
2025 and that:
    (1) Is an air compressor,
    (2) Is a rotary compressor,
    (3) Is not a liquid ring compressor,
    (4) Is driven by a brushless electric motor,
    (5) Is a lubricated compressor,
    (6) Has a full-load operating pressure greater than or equal to 75 
pounds per square inch gauge (psig) and less than or equal to 200 psig,
    (7) Is not designed and tested to the requirements of The American 
Petroleum Institute standard 619, ``Rotary-Type Positive-Displacement 
Compressors for Petroleum, Petrochemical, and Natural Gas Industries,''
    (8) Has full-load actual volume flow rate greater than or equal to 
35 cubic feet per minute (cfm), or is distributed in commerce with a 
compressor motor nominal horsepower greater than or equal to 10 
horsepower (hp),
    (9) Has a full-load actual volume flow rate less than or equal to 
1,250 cfm, or is distributed in commerce with a compressor motor nominal 
horsepower less than or equal to 200 hp,

[[Page 296]]

    (10) Is driven by a three-phase electric motor,
    (11) Is manufactured alone or as a component of another piece of 
equipment; and
    (12) Is in one of the equipment classes listed in the Table 1, must 
have a full-load package isentropic efficiency or part-load package 
isentropic efficiency that is not less than the appropriate ``Minimum 
Package Isentropic Efficiency'' value listed in Table 1 of this section.

                         Table 1--Energy Conservation Standards for Certain Compressors
----------------------------------------------------------------------------------------------------------------
                                                                   [eta]Regr (package isentropic   d (percentage
            Equipment class                  Minimum package        efficiency reference curve)        loss
                                          isentropic efficiency                                     reduction)
----------------------------------------------------------------------------------------------------------------
Rotary, lubricated, air-cooled, fixed-  [eta]Regr + (1 -           -0.00928 * ln\2\(.4719 * V1)              -15
 speed compressor.                       [eta]Regr) * (d/100).      + 0.13911 * ln(.4719 * V1) +
                                                                    0.27110.
Rotary, lubricated, air-cooled,         [eta]Regr + (1 -           -0.01549 * ln\2\(.4719 * V1)              -10
 variable-speed compressor.              [eta]Regr) * (d/100).      + 0.21573 * ln(.4719 * V1) +
                                                                    0.00905.
Rotary, lubricated, liquid-cooled,      .02349 + [eta]Regr + (1 -  -0.00928 * ln\2\(.4719 * V1)              -15
 fixed-speed compressor.                 [eta]Regr) * (d/100).      + 0.13911 * ln(.4719 * V1) +
                                                                    0.27110.
Rotary, lubricated, liquid-cooled,      .02349 + [eta]Regr + (1 -  -0.01549 * ln\2\(.4719 * V1)              -15
 variable-speed compressor.              [eta]Regr) * (d/100).      + 0.21573 * ln(.4719 * V1) +
                                                                    0.00905.
----------------------------------------------------------------------------------------------------------------

    (b) Instructions for the use of Table 1 of this section:
    (1) To determine the standard level a compressor must meet, the 
correct equipment class must be identified. The descriptions are in the 
first column (``Equipment Class''); definitions for these descriptions 
are found in Sec.  431.342.
    (2) The second column (``Minimum Package Isentropic Efficiency'') 
contains the applicable energy conservation standard level, provided in 
terms of package isentropic efficiency.
    (3) For ``Fixed-speed compressor'' equipment classes, the relevant 
Package Isentropic Efficiency is Full-load Package Isentropic 
Efficiency. For ``Variable-speed compressor'' equipment classes, the 
relevant Package Isentropic Efficiency is Part-load Package Isentropic 
Efficiency. Both Full- and Part-load Package Isentropic Efficiency are 
determined in accordance with the test procedure in Sec.  431.344.
    (4) The second column (``Minimum Package Isentropic Efficiency'') 
references the third column (``[eta]Regr''), also a function 
of full-load actual volume flow rate, and the fourth column (``d''). The 
equations are provided separately to maintain consistency with the 
language of the preamble and analysis.
    (5) The second and third columns contain the term V1, 
which denotes compressor full-load actual volume flow rate, given in 
terms of cubic feet per minute (``cfm'') and determined in accordance 
with the test procedure in Sec.  431.344.

[85 FR 1591, Jan. 10, 2020]



Sec. Sec.  431.346-431.346  [Reserved]



   Sec. Appendix A to Subpart T of Part 431--Uniform Test Method for 
                         Certain Air Compressors

    Note: Starting on July 3, 2017, any representations made with 
respect to the energy use or efficiency of compressors subject to 
testing pursuant to 10 CFR 431.344 must be made in accordance with the 
results of testing pursuant to this appendix.

      I. Measurements, Test Conditions, and Equipment Configuration

                        A. Measurement Equipment

    A.1. For the purposes of measuring air compressor performance, the 
equipment necessary to measure volume flow rate, inlet and discharge 
pressure, temperature, condensate, and packaged compressor power input 
must comply with the equipment and accuracy requirements specified in 
ISO 1217:2009(E) sections 5.2, 5.3, 5.4, 5.6, 5.9, and Annex C, sections 
C.2.3 and C.2.4 (incorporated by reference, see Sec.  431.343).
    A.2. Electrical measurement equipment must be capable of measuring 
true root mean

[[Page 297]]

square (RMS) current, true RMS voltage, and real power up to the 40th 
harmonic of fundamental supply source frequency.
    A.3. Any instruments used to measure a particular parameter 
specified in paragraph (A.1.) must have a combined accuracy of 2.0 percent of the measured value at the fundamental 
supply source frequency, where combined accuracy is the square root of 
the sum of the squares of individual instrument accuracies.
    A.4. Any instruments used to directly measure the density of air 
must have an accuracy of 1.0 percent of the 
measured value.
    A.5. Any pressure measurement equipment used in a calculation of 
another variable (e.g., actual volume flow rate) must also meet all 
accuracy and measurement requirements of section 5.2 of ISO 1217:2009(E) 
(incorporated by reference, see Sec.  431.343).
    A.6. Any temperature measurement equipment used in a calculation of 
another variable (e.g., actual volume flow rate) must also meet all 
accuracy and measurement requirements of section 5.3 of ISO 1217:2009(E) 
(incorporated by reference, see Sec.  431.343).
    A.7. Where ISO 1217:2009(E) refers to ``corrected volume flow 
rate,'' the term is deemed synonymous with the term ``actual volume flow 
rate,'' as defined in section 3.4.1 of ISO 1217:2009(E) (incorporated by 
reference, see Sec.  431.343).

         B. Test Conditions and Configuration of Unit Under Test

    B.1. For both fixed-speed and variable-speed compressors, conduct 
testing in accordance with the test conditions, unit configuration, and 
specifications of ISO 1217:2009(E), Section 6.2 paragraphs (g) and (h) 
and Annex C, sections C.1.1, C.2.2, C.2.3, C.2.4, C.4.1, C.4.2.1, 
C.4.2.3, and C.4.3.2 (incorporated by reference, see Sec.  431.343).
    B.2. The power supply must:
    (1) Maintain the voltage greater than or equal to 95 percent and 
less than or equal to 110 percent of the rated value of the motor,
    (2) Maintain the frequency within 5 percent of 
the rated value of the motor,
    (3) Maintain the voltage unbalance of the power supply within 3 percent of the rated values of the motor, and
    (4) Maintain total harmonic distortion below 12 percent throughout 
the test.
    B.3. Ambient Conditions. The ambient air temperature must be greater 
than or equal to 68 [deg]F and less than or equal to 90 [deg]F for the 
duration of testing. There are no ambient condition requirements for 
inlet pressure or relative humidity.
    B.4. All equipment indicated in Table 1 of this appendix must be 
present and installed for all tests specified in this appendix. If the 
compressor is distributed in commerce without an item from Table 1 of 
this appendix, the manufacturer must provide an appropriate item to be 
installed for the test. Additional ancillary equipment may be installed 
for the test, if distributed in commerce with the compressor, but this 
additional ancillary equipment is not required. If any of the equipment 
listed in Table 2 of this appendix is distributed in commerce with units 
of the compressor basic model, it must be present and installed for all 
tests specified in this appendix.

                                     Table 1--Equipment Required During Test
----------------------------------------------------------------------------------------------------------------
                                                                                   Variable-speed rotary air
                Equipment                 Fixed-speed rotary air compressors              compressors
----------------------------------------------------------------------------------------------------------------
Driver..................................  Yes...............................  Yes.
Bare compressors........................  Yes...............................  Yes.
Inlet filter............................  Yes...............................  Yes.
Inlet valve.............................  Yes...............................  Yes.
Minimum pressure check valve/backflow     Yes...............................  Yes.
 check valve.
Lubricant separator.....................  Yes...............................  Yes.
Air piping..............................  Yes...............................  Yes.
Lubricant piping........................  Yes...............................  Yes.
Lubricant filter........................  Yes...............................  Yes.
Lubricant cooler........................  Yes...............................  Yes.
Thermostatic valve......................  Yes...............................  Yes.
Electrical switchgear or frequency        Yes...............................  Not applicable.\1\
 converter for the driver.
Device to control the speed of the        Not applicable \2\................  Yes.
 driver (e.g., variable speed drive).
Compressed air cooler(s)................  Yes...............................  Yes.
Pressure switch, pressure transducer, or  Yes...............................  Yes.
 similar pressure control device.
Moisture separator and drain............  Yes...............................  Yes.
----------------------------------------------------------------------------------------------------------------
\1\ This category is not applicable to variable-speed rotary air compressors.
\2\ This category is not applicable to fixed-speed rotary air compressors.


[[Page 298]]


            Table 2--Equipment Required During Test, if Distributed in Commerce With the Basic Model
----------------------------------------------------------------------------------------------------------------
                                                                                   Variable-speed rotary air
                Equipment                 Fixed-speed rotary air compressors              compressors
----------------------------------------------------------------------------------------------------------------
Cooling fan(s) and motors...............  Yes...............................  Yes.
Mechanical equipment....................  Yes...............................  Yes.
Lubricant pump..........................  Yes...............................  Yes.
Interstage cooler.......................  Yes...............................  Yes.
Electronic or electrical controls and     Yes...............................  Yes.
 user interface.
All protective and safety devices.......  Yes...............................  Yes.
----------------------------------------------------------------------------------------------------------------

    B.5. The inlet of the compressor under test must be open to the 
atmosphere and take in ambient air for all tests specified in this 
appendix.
    B.6. The compressor under test must be set up according to all 
manufacturer instructions for normal operation (e.g., verify lubricant 
level, connect all loose electrical connections, close off bottom of 
unit to floor, cover forklift holes).
    B.7. The piping connected to the discharge orifice of the compressor 
must be of a diameter at least equal to that of the compressor discharge 
orifice to which it is connected. The piping must be straight with a 
length of at least 6 inches.
    B.8. Transducers used to record compressor discharge pressure must 
be located on the discharge piping between 2 inches and 6 inches, 
inclusive, from the discharge orifice of the compressor. The pressure 
tap for transducers must be located at the highest point of the pipe's 
cross section.

  II. Determination of Package Isentropic Efficiency, Package Specific 
        Power, and Pressure Ratio at Full-Load Operating Pressure

                     A. Data Collection and Analysis

    A.1. Stabilization. Record data at each load point under steady-
state conditions. Steady-state conditions are achieved when a set of two 
consecutive readings taken at least 10 seconds apart and no more than 60 
seconds apart are within the maximum permissible fluctuation from the 
average (of the two consecutive readings), as specified in Table 1 of 
ISO 1217:2009(E) (incorporated by reference, see Sec.  431.343) for--
    (1) Discharge pressure;
    (2) Temperature at the nozzle or orifice plate, measured per section 
5.3 of ISO 1217:2009(E) (incorporated by reference, see Sec.  431.343); 
and
    (3) Differential pressure over the nozzle or orifice plate, measured 
per section 5.2 of ISO 1217:2009(E) (incorporated by reference, see 
Sec.  431.343).
    A.2. Data Sampling and Frequency. At each load point, record a 
minimum set of 16 unique readings, collected over a minimum time of 15 
minutes. Each consecutive reading must be no more than 60 seconds apart, 
and not less than 10 seconds apart. All readings at each load point must 
be within the maximum permissible fluctuation from average specified in 
Table 1 of ISO 1217:2009(E) (incorporated by reference, see Sec.  
431.343) for--
    (1) Discharge pressure;
    (2) Temperature at the nozzle or orifice plate, measured per section 
5.3 of ISO 1217:2009(E) (incorporated by reference, see Sec.  431.343); 
and
    (3) Differential pressure over the nozzle or orifice plate, measured 
per section 5.2 of ISO 1217:2009(E) (incorporated by reference, see 
Sec.  431.343).
    If one or more readings do not meet the requirements, then all 
previous readings must be disregarded and a new set of at least 16 new 
unique readings must be collected over a minimum time of 15 minutes. 
Average the readings to determine the value of each parameter to be used 
in subsequent calculations.
    A.3. Calculations and Rounding. Perform all calculations using raw 
measured values. Round the final result for package isentropic 
efficiency to the thousandth (i.e., 0.001), for package specific power 
in kilowatts per 100 cubic feet per minute to the nearest hundredth 
(i.e., 0.01), for pressure ratio at full-load operating pressure to the 
nearest tenth (i.e., 0.1), for full-load actual volume flow rate in 
cubic feet per minute to the nearest tenth (i.e., 0.1), and for full-
load operating pressure in pounds per square inch gauge (psig) to the 
nearest integer (i.e., 1). All terms and quantities refer to values 
determined in accordance with the procedures set forth in this appendix 
for the tested unit.

  B. Full-Load Operating Pressure and Full-Load Actual Volume Flow Rate

    Determine the full-load operating pressure and full-load actual 
volume flow rate (referenced throughout this appendix) in accordance 
with the procedures prescribed in section III of this appendix.

[[Page 299]]

C. Full-Load Package Isentropic Efficiency for Fixed- and Variable-Speed 
                             Air Compressors

    Use this test method to test fixed-speed air compressors and 
variable-speed air compressors.
    C.1. Test unit at full-load operating pressure and full-load volume 
flow rate according to the requirements established in sections I, II.A, 
and II.B of this appendix. Measure volume flow rate and calculate actual 
volume flow rate in accordance with section C.4.2.1 of Annex C of ISO 
1217:2009(E) (incorporated by reference, see Sec.  431.343) with no 
corrections made for shaft speed. Measure discharge gauge pressure and 
packaged compressor power input. Measured discharge gauge pressure and 
calculated actual volume flow rate must be within the deviation limits 
for discharge pressure and volume flow rate specified in Tables C.1 and 
C.2 of Annex C of ISO 1217:2009(E) (incorporated by reference, see Sec.  
431.343), where full-load operating pressure and full-load actual volume 
flow rate (as determined in section III of this appendix) are the 
targeted values.
    C.2. Calculate the package isentropic efficiency at full-load 
operating pressure and full-load actual volume flow rate (full-load 
package isentropic efficiency, [eta]isen,FL) using the 
equation for isentropic efficiency in section 3.6.1 of ISO 1217:2009(E) 
as modified by ISO 1217:2009/Amd.1:2016(E) (incorporated by reference, 
see Sec.  431.343). For Pisen, use the isentropic power 
required for compression at full-load operating pressure and full-load 
actual volume flow rate, as determined in section II.C.2.1 of this 
appendix. For Preal, use the real packaged compressor power 
input at full-load operating pressure and full-load actual volume flow 
rate, as determined in section II.C.2.2 of this appendix.
    C.2.1. Calculate the isentropic power required for compression at 
full-load operating pressure and full-load actual volume flow rate using 
equation (H.6) of Annex H of ISO 1217:2009/Amd.1:2016(E) (incorporated 
by reference, see Sec.  431.343). For qV1, use the actual 
volume flow rate (cubic meters per second) calculated in section II.C.1 
of this appendix. For p1, use 100 kPa. For p2, use 
the sum of (a) 100 kPa, and (b) the measured discharge gauge pressure 
(Pa) from section II.C.1 of this appendix. For K, use the isentropic 
exponent (ratio of specific heats) of air, which, for the purposes of 
this test procedure, is 1.400.
    C.2.2. Calculate real packaged compressor power input at full-load 
operating pressure and full-load actual volume flow rate using the 
following equation:

Preal,100 = K5 [middot] 
          PPR,100

Where:

K5 = correction factor for inlet pressure, as determined in 
          section C.4.3.2 of Annex C to ISO 1217:2009(E) (incorporated 
          by reference, see Sec.  431.343). For calculations of this 
          variable use a value of 100 kPa for contractual inlet 
          pressure; and
PPR,100 = packaged compressor power input reading at 
          full-load operating pressure and full-load actual volume flow 
          rate measured in section II.C.1 of this appendix (W).

   D. Part-Load Package Isentropic Efficiency for Variable-Speed Air 
                               Compressors

    Use this test method to test variable-speed air compressors.
    D.1. Test unit at two load points: (1) Full-load operating pressure 
and 70 percent of full-load actual volume flow rate and (2) full-load 
operating pressure and 40 percent of full-load actual volume flow rate, 
according to the requirements established in sections I, II.A, and II.B 
of this appendix. To reach each specified load point, adjust the speed 
of the driver and the backpressure of the system. For each load point, 
measure volume flow rate and calculate actual volume flow rate in 
accordance with section C.4.2.1 of Annex C of ISO 1217:2009(E) 
(incorporated by reference, see Sec.  431.343), with no corrections made 
for shaft speed. For each load point, measure discharge gauge pressure 
and packaged compressor power input. Measured discharge gauge pressure 
and calculated actual volume flow rate must be within the deviation 
limits for discharge pressure and volume flow rate specified in Tables 
C.1 and C.2 of Annex C of ISO 1217:2009(E), where the targeted values 
are as specified in the beginning of this section.
    D.2. For variable-speed compressors, calculate the part-load package 
isentropic efficiency using the following equation:

[eta]isen,PL = [omega]40 x 
          [eta]isen,40 + [omega]70 
          x [eta]isen,70 + 
          [omega]100 x 
          [eta]isen,100

Where:
[eta]isen,PL = part-load package isentropic efficiency for a 
          variable-speed compressor;
[eta]isen,100 = package isentropic efficiency at 
          full-load operating pressure and 100 percent of full-load 
          actual volume flow rate, as determined in section II.C.2 of 
          this appendix;
[eta]isen,70 = package isentropic efficiency at full-
          load operating pressure and 70 percent of full-load actual 
          volume flow rate, as determined in section II.D.3 of this 
          appendix;
[eta]isen,40 = package isentropic efficiency at full-
          load operating pressure and 40 percent of full-load actual 
          volume flow rate, as determined in section II.D.4 of this 
          appendix;
[omega]40 = weighting at 40 percent of full-load 
          actual volume flow rate and is 0.25;
[omega]70 = weighting at 70 percent of full-load 
          actual volume flow rate and is 0.50; and
[omega]100 = weighting at 100 percent of full-load 
          actual volume flow rate and is 0.25.

[[Page 300]]

    D.3. Calculate package isentropic efficiency at full-load operating 
pressure and 70 percent of full-load actual volume flow rate using the 
equation for isentropic efficiency in section 3.6.1 of ISO 1217:2009(E) 
as modified by ISO 1217:2009/Amd.1:2016(E) (incorporated by reference, 
see Sec.  431.343). For Pisen, use the isentropic power 
required for compression at full-load operating pressure and 70 percent 
of full-load actual volume flow rate, as determined in section II.D.3.1 
of this appendix. For Preal, use the real packaged compressor 
power input at full-load operating pressure and 70 percent of full-load 
actual volume flow rate, as determined in section II.D.3.2 of this 
appendix.
    D.3.1. Calculate the isentropic power required for compression at 
full-load operating pressure and 70 percent of full-load actual volume 
flow rate using equation (H.6) of Annex H of ISO 1217:2009/Amd.1:2016(E) 
(incorporated by reference, see Sec.  431.343). For qV1, use 
actual volume flow rate (cubic meters per second) at full-load operating 
pressure and 70 percent of full-load actual volume flow rate, as 
calculated in section II.D.1 of this appendix. For p1, use 
100 kPa. For p2, use the sum of (a) 100 kPa, and (b) 
discharge gauge pressure (Pa) at full-load operating pressure and 70 
percent of full-load actual volume flow rate, as calculated in section 
II.D.1 of this appendix. For K, use the isentropic exponent (ratio of 
specific heats) of air, which, for the purposes of this test procedure, 
is 1.400.
    D.3.2. Calculate real packaged compressor power input at full-load 
operating pressure and 70 percent of full-load actual volume flow rate 
using the following equation:

Preal,70 = K5 [middot] 
          PPR,70

Where:

K5 = correction factor for inlet pressure, as determined in 
          section C.4.3.2 of Annex C to ISO 1217:2009(E) (incorporated 
          by reference, see Sec.  431.343). For calculations of this 
          variable use a value of 100 kPa for contractual inlet 
          pressure; and

PPR,70 = packaged compressor power input reading at 
          full-load operating pressure and 70 percent of full-load 
          actual volume flow rate, as measured in section II.D.1 of this 
          appendix (W).

    D.4. Calculate package isentropic efficiency at full-load operating 
pressure and 40 percent of full-load actual volume flow rate using the 
equation for isentropic efficiency in section 3.6.1 of ISO 1217:2009(E) 
as modified by ISO 1217:2009/Amd.1:2016(E) (incorporated by reference, 
see Sec.  431.343). For Pisen, use the isentropic power 
required for compression at full-load operating pressure and 40 percent 
of full-load actual volume flow rate, as determined in section II.D.4.1 
of this appendix. For Preal, use the real packaged compressor 
power input at full-load operating pressure and 40 percent of full-load 
actual volume flow rate, as determined in section II.D.4.2 of this 
appendix.
    D.4.1. Calculate the isentropic power required for compression at 
full-load operating pressure and 40 percent of full-load actual volume 
flow rate using equation (H.6) of Annex H of ISO 1217:2009/Amd.1:2016(E) 
(incorporated by reference, see Sec.  431.343). For qV1, use 
actual volume flow rate (cubic meters per second) at full-load operating 
pressure and 40 percent of full-load actual volume flow rate, as 
calculated in section II.D.1 of this appendix. For p1, use 
100 kPa. For p2, use the sum of (a) 100 kPa, and (b) 
discharge gauge pressure (Pa) at full-load operating pressure and 40 
percent of full-load actual volume flow rate, as calculated in section 
II.D.1 of this appendix. For K, use the isentropic exponent (ratio of 
specific heats) of air, which, for the purposes of this test procedure, 
is 1.400.
    D.4.2. Calculate real packaged compressor power input at full-load 
operating pressure and 40 percent of full-load actual volume flow rate 
using the following equation:

Preal,40 = K5 [middot] PPR,40%

Where:

K5 = correction factor for inlet pressure, as determined in 
          section C.4.3.2 of Annex C to ISO 1217:2009(E) (incorporated 
          by reference, see Sec.  431.343). For calculations of this 
          variable use a value of 100 kPa for contractual inlet 
          pressure; and
PPR,40 = packaged compressor power input reading at 
          full-load operating pressure and 40 percent of full-load 
          actual volume flow rate, as measured in section II.D.1 of this 
          appendix (W).

               E. Determination of Package Specific Power

    For both fixed and variable-speed air compressors, determine the 
package specific power, at any load point, using the equation for 
specific energy consumption in section C.4.4 of Annex C of ISO 
1217:2009(E) (incorporated by reference, see Sec.  431.343) and other 
values measured pursuant to this appendix, with no correction for shaft 
speed. Calculate PPcorr in section C.4.4 of Annex C of ISO 
1217:2009(E) (incorporated by reference, see Sec.  431.343) using the 
following equation:

PPcorr = K5 [middot] PPR

Where:

K5 = correction factor for inlet pressure, as determined in 
          section C.4.3.2 of Annex C to ISO 1217:2009(E) (incorporated 
          by reference, see Sec.  431.343). For calculations of this 
          variable use a value of 100 kPa for contractual inlet 
          pressure; and
PPR = packaged compressor power input reading (W), as determined in 
          section C.2.4 of Annex C to ISO 1217:2009(E) (incorporated by 
          reference, see Sec.  431.343).

[[Page 301]]

   F. Determination of Pressure Ratio at Full-Load Operating Pressure

    Pressure ratio at full-load operating pressure, as defined in Sec.  
431.342, is calculated using the following equation:
[GRAPHIC] [TIFF OMITTED] TR04JA17.008

Where:

PR = pressure ratio at full-load operating pressure;
p1 = 100 kPa; and
pFL = full-load operating pressure, determined in section 
          III.C.4 of this appendix (Pa gauge).

III. Method to Determine Maximum Full-Flow Operating Pressure, Full-Load 
        Operating Pressure, and Full-Load Actual Volume Flow Rate

                          A. Principal Strategy

    The principal strategy of this method is to incrementally increase 
discharge pressure by 2 psig relative to a starting point, and identify 
the maximum full-flow operating pressure at which the compressor is 
capable of operating. The maximum discharge pressure achieved is the 
maximum full-flow operating pressure. The full-load operating pressure 
and full-load actual volume flow rate are determined based on the 
maximum full-flow operating pressure.

                        B. Pre-test Instructions

                               B.1. Safety

    For the method presented in section III.C.1 of this appendix, only 
test discharge pressure within the safe operating range of the 
compressor, as specified by the manufacturer in the installation and 
operation manual shipped with the unit. Make no changes to safety limits 
or equipment. Do not violate any manufacturer-provided motor operational 
guidelines for normal use, including any restriction on instantaneous 
and continuous input power draw and output shaft power (e.g., electrical 
rating and service factor limits).

                  B.2. Adjustment of Discharge Pressure

    B.2.1. If the air compressor is not equipped, as distributed in 
commerce by the manufacturer, with any mechanism to adjust the maximum 
discharge pressure output limit, proceed to section III.B.3 of this 
appendix.
    B.2.2. If the air compressor is equipped, as distributed in commerce 
by the manufacturer, with any mechanism to adjust the maximum discharge 
pressure output limit, then adjust this mechanism to the maximum 
pressure allowed, according to the manufacturer's operating instructions 
for these mechanisms. Mechanisms to adjust discharge pressure may 
include, but are not limited to, onboard digital or analog controls, and 
user-adjustable inlet valves.

                            B.3. Driver speed

    If the unit under test is a variable-speed compressor, maintain 
maximum driver speed throughout the test. If the unit under test is a 
fixed-speed compressor with a multi-speed driver, maintain driver speed 
at the maximum speed throughout the test.

                    B.4. Measurements and Tolerances

                            B.4.1. Recording

    Record data by electronic means such that the requirements of 
section B.4.5 of section III of this appendix are met.

                        B.4.2. Discharge Pressure

    Measure discharge pressure in accordance with section 5.2 of ISO 
1217:2009(E) (incorporated by reference, see Sec.  431.343). Express 
compressor discharge pressure in psig in reference to ambient 
conditions, and record it to the nearest integer. Specify targeted 
discharge pressure points in integer values only. The maximum allowable 
measured deviation from the targeted discharge pressure at each tested 
point is 1 psig.

                     B.4.3. Actual Volume Flow Rate

    Measure actual volume flow rate in accordance with section C.4.2.1 
of Annex C of ISO 1217:2009(E) (incorporated by reference, see Sec.  
431.343) (where it is called ``corrected volume flow rate'') with no 
corrections made for shaft speed. Express compressor actual volume flow 
rate in cubic feet per minute at inlet conditions (cfm).

                          B.4.4. Stabilization

    Record data at each tested load point under steady-state conditions, 
as determined in section II.A.1 of this appendix.

[[Page 302]]

                   B.4.5. Data Sampling and Frequency

    At each load point, record a set of at least of two readings, 
collected at a minimum of 10 seconds apart. All readings at each load 
point must be within the maximum permissible fluctuation from the 
average (of the two consecutive readings), as specified in II.A.2 of 
this appendix. Average the measurements to determine the value of each 
parameter to be used in subsequent calculations.

                   B.5. Adjusting System Backpressure

    Set up the unit under test so that backpressure on the unit can be 
adjusted (e.g., by valves) incrementally, causing the measured discharge 
pressure to change, until the compressor is in an unloaded condition.

                         B.6. Unloaded Condition

    A unit is considered to be in an unloaded condition if capacity 
controls on the unit automatically reduce the actual volume flow rate 
from the compressor (e.g., shutting the motor off, or unloading by 
adjusting valves).

                          C. Test Instructions

    C.1. Adjust the backpressure of the system so the measured discharge 
pressure is 90 percent of the expected maximum full-flow operating 
pressure, rounded to the nearest integer, in psig. If the expected 
maximum full-flow operating pressure is not known, then adjust the 
backpressure of the system so that the measured discharge pressure is 65 
psig. Allow the unit to remain at this setting for 15 minutes to allow 
the unit to thermally stabilize. Then measure and record discharge 
pressure and actual volume flow rate at the starting pressure.
    C.2. Adjust the backpressure of the system to increase the discharge 
pressure by 2 psig from the previous value, allow the unit to remain at 
this setting for a minimum of 2 minutes, and proceed to section III.C.3 
of this appendix.
    C.3. If the unit is now in an unloaded condition, end the test and 
proceed to section III.C.4 of this appendix. If the unit is not in an 
unloaded condition, measure discharge pressure and actual volume flow 
rate, and repeat section III.C.2 of this appendix.
    C.4. Of the discharge pressures recorded under stabilized conditions 
in sections III.C.1 through III.C.3 of this appendix, identify the 
largest. This is the maximum full-flow operating pressure. Determine the 
full-load operating pressure as a self-declared value greater than or 
equal to the lesser of (A) 90 percent of the maximum full-flow operating 
pressure, or (B) 10 psig less than the maximum full-flow operating 
pressure.
    C.5. The full-load actual volume flow rate is the actual volume flow 
rate measured at the full-load operating pressure. If the self-declared 
full-load operating pressure falls on a previously tested value of 
discharge pressure, then use the previously measured actual volume flow 
rate as the full-load actual volume flow rate. If the self-declared 
full-load operating pressure does not fall on a previously tested value 
of discharge pressure, then adjust the backpressure of the system to the 
self-declared full-load operating pressure and allow the unit to remain 
at this setting for a minimum of 2 minutes. The measured actual volume 
flow rate at this setting is the full-load actual volume flow rate.

[82 FR 1102, Jan. 4, 2017]



                Subpart U_Enforcement for Electric Motors

    Source: 69 FR 61941, Oct. 21, 2004, unless otherwise noted. 
Redesignated at 70 FR 60416, Oct. 18, 2005.



Sec.  431.381  Purpose and scope for electric motors.

    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 
electric motors.

[76 FR 12505, Mar. 7, 2011]



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;

[[Page 303]]

    (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 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 $575 for 
each 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.

[69 FR 61941, Oct. 21, 2004. Redesignated at 70 FR 60416, Oct. 18, 2005, 
as amended at 79 FR 19, Jan. 2, 2014; 81 FR 41794, June 28, 2016; 81 FR 
96351, Dec. 30, 2016; 83 FR 1291, Jan. 11, 2018; 83 FR 66083, Dec. 26, 
2018; 85 FR 830, Jan. 8, 2020; 86 FR 2955, Jan. 14, 2021; 87 FR 1063, 
Jan. 10, 2022; 88 FR 2193, Jan. 13, 2023; 89 FR 1028, Jan. 9, 2024; 89 
FR 105406, Dec. 27, 2024]



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

[[Page 304]]

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 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.
    (4)(i) Non-standard endshields or flanges. For purposes of DOE-
initiated testing of electric motors with non-standard endshields or 
flanges, the Department will have the discretion to determine whether 
the lab should test a general purpose electric motor of equivalent 
electrical design and enclosure rather than replacing the nonstandard 
flange or endshield.
    (ii) Partial electric motors. For purposes of DOE-initiated testing, 
the Department has the discretion to determine whether the lab should 
test a general purpose electric motor of equivalent electrical design 
and enclosure rather than machining and attaching an endshield.
    (f) Testing at manufacturer's option. (1) If a manufacturer's basic 
model is determined to be in noncompliance with

[[Page 305]]

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 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.

[69 FR 61941, Oct. 21, 2004. Redesignated at 70 FR 60416, Oct. 18, 2005, 
as amended at 78 FR 75995, Dec. 13, 2013]



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

[[Page 306]]

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 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

[[Page 307]]

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.
    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),

[[Page 308]]

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 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 interim waiver.

    (a) General information. This section provides a means for seeking 
waivers of the test procedure requirements of this part for basic models 
that meet the requirements of paragraph (a)(1) of this section. In 
granting a waiver or interim waiver, DOE will not change the energy use 
or efficiency metric that the manufacturer must use to certify 
compliance with the applicable energy conservation standard and to make 
representations about the energy use or efficiency of the covered 
equipment. The granting of a waiver or interim waiver by DOE does not 
exempt such basic models from any other regulatory requirement contained 
in this part or the certification and compliance requirements of 10 CFR 
part 429 and specifies an alternative method for testing the basic 
model(s) addressed in the waiver.
    (1) Any interested person may submit a petition to waive for a 
particular basic model the requirements of any uniform test method 
contained in this part, upon the grounds that either the basic model 
contains one or more design characteristics that prevent testing of the 
basic model according to the prescribed test procedures or cause the 
prescribed test procedures to evaluate the basic model in a manner so 
unrepresentative of its true energy or water consumption characteristics 
as to provide materially inaccurate comparative data.
    (2) Manufacturers of basic model(s) subject to a waiver or interim 
waiver are responsible for complying with the other requirements of this 
part and with the requirements of 10 CFR part 429 regardless of the 
person that originally submitted the petition for waiver and/or interim 
waiver. The filing of a petition for waiver and/or interim waiver shall 
not constitute grounds for noncompliance with any requirements of this 
part.
    (3) All correspondence regarding waivers and interim waivers must be 
submitted to DOE either electronically to [email protected] 
(preferred method of transmittal) or by mail to U.S. Department of 
Energy, Building Technologies Program, Test Procedure Waiver, 1000 
Independence Avenue SW., Mailstop EE-5B, Washington, DC 20585-0121.
    (b) Petition content and publication. (1) Each petition for interim 
waiver and waiver must:
    (i) Identify the particular basic model(s) for which a waiver is 
requested, each brand name under which the identified basic model(s) 
will be distributed in commerce, 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;

[[Page 309]]

    (ii) Identify manufacturers of all other basic models distributed in 
commerce in the United States and known to the petitioner to incorporate 
design characteristic(s) similar to those found in the basic model that 
is the subject of the petition;
    (iii) Include any alternate test procedures known to the petitioner 
to evaluate the performance of the equipment type in a manner 
representative of the energy and/or water consumption characteristics of 
the basic model; and
    (iv) Be signed by the petitioner or 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 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) In addition to the requirements in paragraph (b)(1) of this 
section, each petition for interim waiver must reference the related 
petition for waiver, 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 
petition for interim waiver.
    (c) Notification to other manufacturers. (1) Each petitioner for 
interim waiver must, upon publication of a grant of an interim waiver in 
the Federal Register, notify in writing all known manufacturers of 
domestically marketed basic models of the same equipment class (as 
specified in the relevant subpart of 10 CFR part 431), and of other 
equipment classes known to the petitioner to use the technology or have 
the characteristic at issue in the waiver. The notice must include a 
statement that DOE has published the interim waiver and petition for 
waiver in the Federal Register and the date the petition for waiver was 
published. The notice must also include a statement that DOE will 
receive and consider timely written comments on the petition for waiver. 
Within five working days, each petitioner must 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) If a petitioner does not request an interim waiver and 
notification has not been provided pursuant to paragraph (c)(1) of this 
section, each petitioner, after filing a petition for waiver with DOE, 
and after the petition for waiver has been published in the Federal 
Register, must, within five working days of such publication, notify in 
writing all known manufacturers of domestically marketed basic models of 
the same equipment class (as listed in the relevant subpart of 10 CFR 
part 431), and of other equipment classes known to the petitioner to use 
the technology or have the characteristic at issue in the waiver. The 
notice must include a statement that DOE has published the petition in 
the Federal Register and the date the petition for waiver was published. 
Within five working days of the publication of the petition in the 
Federal Register, each petitioner must 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.
    (d) Public comment and rebuttal. (1) Any person submitting written 
comments to DOE with respect to an interim waiver must also send a copy 
of the comments to the petitioner by the deadline specified in the 
notice.
    (2) Any person submitting written comments to DOE with respect to a 
petition for waiver must also send a copy of such comments to the 
petitioner.
    (3) A petitioner may, within 10 working days of the close of the 
comment period specified in the Federal Register, submit a rebuttal 
statement to DOE. A petitioner may rebut more than one comment in a 
single rebuttal statement.
    (e) Provisions specific to interim waivers. (1) DOE will post a 
petition for interim waiver on its website within 5 business days of 
receipt of a complete petition. DOE will make best efforts to

[[Page 310]]

review a petition for interim waiver within 90 business days of receipt 
of a complete petition.
    (2) A petition for interim waiver that does not meet the content 
requirements of paragraph (b) of this section will be considered 
incomplete. DOE will notify the petitioner of an incomplete petition via 
email.
    (3) DOE will grant an interim waiver from the test procedure 
requirements if it appears likely that the petition for waiver will be 
granted and/or if DOE determines that it would be desirable for public 
policy reasons to grant immediate relief pending a determination on the 
petition for waiver. Notice of DOE's determination on the petition for 
interim waiver will be published in the Federal Register.
    (f) Provisions specific to waivers--(1) Disposition of application. 
The petitioner shall be notified in writing as soon as practicable of 
the disposition of each petition for waiver. DOE 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.
    (2) Criteria for granting. DOE will grant a waiver from the test 
procedure requirements if DOE determines either that the basic model(s) 
for which the waiver was requested contains a design characteristic that 
prevents testing of the basic model according to the prescribed test 
procedures, or that the prescribed test procedures evaluate the basic 
model in a manner so unrepresentative of its true energy or water 
consumption characteristics as to provide materially inaccurate 
comparative data. DOE may grant a waiver subject to conditions, which 
may include adherence to alternate test procedures specified by DOE. DOE 
will promptly publish in the Federal Register notice of each waiver 
granted or denied, and any limiting conditions of each waiver granted.
    (g) Extension to additional basic models. A petitioner may request 
that DOE extend the scope of a waiver or an interim waiver to include 
additional basic models employing the same technology as the basic 
model(s) set forth in the original petition. The petition for extension 
must identify the particular basic model(s) for which a waiver extension 
is requested, each brand name under which the identified basic model(s) 
will be distributed in commerce, and documentation supporting the claim 
that the additional basic models employ the same technology as the basic 
model(s) set forth in the original petition. DOE will publish any such 
extension in the Federal Register.
    (h) Duration. (1) Within one year of issuance of an interim waiver, 
DOE will either:
    (i) Publish in the Federal Register a final determination on the 
petition for waiver; or
    (ii) Publish in the Federal Register a new or amended test procedure 
that addresses the issues presented in the waiver.
    (2) When DOE publishes a decision and order on a petition for waiver 
in the Federal Register pursuant to paragraph (f) of this section, the 
interim waiver will terminate upon the date specified in the decision 
and order, in accordance with paragraph (i) of this section.
    (3) When DOE amends the test procedure to address the issues 
presented in a waiver, the waiver or interim waiver will automatically 
terminate on the date on which use of that test procedure is required to 
demonstrate compliance.
    (4) When DOE publishes a decision and order in the Federal Register 
to modify a waiver pursuant to paragraph (k) of this section, the 
existing waiver will terminate upon the date specified in the decision 
and order, in accordance with paragraph (i) of this section.
    (i) Compliance certification and representations. (1) If the interim 
waiver test procedure methodology is different than the decision and 
order test procedure methodology, certification reports to DOE required 
under 10 CFR 429.12 and any representations must be based on either of 
the two methodologies until 180-360 days after the publication date of 
the decision and order, as specified by DOE in the decision and order. 
Thereafter, certification reports and any representations must be based 
on the decision and order test procedure methodology, unless otherwise

[[Page 311]]

specified by DOE. Once a manufacturer uses the decision and order test 
procedure methodology in a certification report or any representation, 
all subsequent certification reports and any representations must be 
made using the decision and order test procedure methodology while the 
waiver is valid.
    (2) When DOE publishes a new or amended test procedure, 
certification reports to DOE required under 10 CFR 429.12 and any 
representations must be based on the testing methodology of an 
applicable waiver or interim waiver, or the new or amended test 
procedure until the date on which use of such test procedure is required 
to demonstrate compliance, unless otherwise specified by DOE in the test 
procedure final rule. Thereafter, certification reports and any 
representations must be based on the test procedure final rule 
methodology. Once a manufacturer uses the test procedure final rule 
methodology in a certification report or any representation, all 
subsequent certification reports and any representations must be made 
using the test procedure final rule methodology.
    (3) If DOE publishes a decision and order modifying an existing 
waiver, certification reports to DOE required under 10 CFR 429.12 and 
any representations must be based on either of the two methodologies 
until 180-360 days after the publication date of the decision and order 
modifying the waiver, as specified by DOE in the decision and order. 
Thereafter, certification reports and any representations must be based 
on the modified test procedure methodology unless otherwise specified by 
DOE. Once a manufacturer uses the modified test procedure methodology in 
a certification report or any representation, all subsequent 
certification reports and any representations must be made using the 
modified test procedure methodology while the modified waiver is valid.
    (j) Petition for waiver required of other manufactures. Any 
manufacturer of a basic model employing a technology or characteristic 
for which a waiver was granted for another basic model and that results 
in the need for a waiver (as specified by DOE in a published decision 
and order in the Federal Register) must petition for and be granted a 
waiver for that basic model. Manufacturers may also submit a request for 
interim waiver pursuant to the requirements of this section.
    (k) Rescission or modification. (1) DOE may rescind or modify a 
waiver or interim waiver at any time upon DOE's determination that the 
factual basis underlying the petition for waiver or interim waiver is 
incorrect, upon a determination that the results from the alternate test 
procedure are unrepresentative of the basic model(s)' true energy 
consumption characteristics, or for other appropriate reason. Waivers 
and interim waivers are conditioned upon the validity of statements, 
representations, and documents provided by the requestor; any evidence 
that the original grant of a waiver or interim waiver was based upon 
inaccurate information will weigh against continuation of the waiver. 
DOE's decision will specify the basis for its determination and, in the 
case of a modification, will also specify the change to the authorized 
test procedure.
    (2) A person may request that DOE rescind or modify a waiver or 
interim waiver issued to that person if the person discovers an error in 
the information provided to DOE as part of its petition, determines that 
the waiver is no longer needed, or for other appropriate reasons. In a 
request for rescission, the requestor must provide a statement 
explaining why it is requesting rescission. In a request for 
modification, the requestor must explain the need for modification to 
the authorized test procedure and detail the modifications needed and 
the corresponding impact on measured energy consumption.
    (3) DOE will publish a proposed rescission or modification (DOE-
initiated or at the request of the original requestor) in the Federal 
Register for public comment. A requestor may, within 10 working days of 
the close of the comment period specified in the proposed rescission or 
modification published in the Federal Register, submit a rebuttal 
statement to DOE. A requestor may rebut more than one comment in a 
single rebuttal statement.

[[Page 312]]

    (4) DOE will publish its decision in the Federal Register. DOE's 
determination will be based on relevant information contained in the 
record and any comments received.
    (5) After the effective date of a rescission, any basic model(s) 
previously subject to a waiver must be tested and certified using the 
applicable DOE test procedure in 10 CFR part 431.
    (l) Revision of regulation. As soon as practicable after the 
granting of any waiver, DOE 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, DOE will publish in the Federal Register a 
final rule.
    (m) 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.

[79 FR 26601, May 9, 2014, as amended at 85 FR 79820, Dec. 11, 2020; 86 
FR 70960, Dec. 14, 2021]



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 for electric motors.

    (a) Manufacturers of electric motors must establish, maintain and 
retain records of the following:
    (1) The test data for all testing conducted pursuant to this part;
    (2) The development, substantiation, application, and subsequent 
verification of any AEDM used under this part;
    (3) 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 DOE).
    (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.

[76 FR 12505, Mar. 7, 2011]



Sec.  431.404  Imported electric motors.

    (a) Under sections 331 and 345 of the Act, any person importing an 
electric motor 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 electric motor 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 electric motor upon such terms 
and conditions (including the furnishing of a bond) as may appear to the 
Secretary of the Treasury appropriate to ensure that such electric motor 
will not violate the Act and this part, or will be exported or abandoned 
to the United States.

[76 FR 12505, Mar. 7, 2011]



Sec.  431.405  Exported electric motors.

    Under Sections 330 and 345 of the Act, this part does not apply to 
any electric motor if:
    (a) Such electric motor is manufactured, sold, or held for sale for 
export from the United States (or such electric motor was imported for 
export), unless such electric motor is, in fact, distributed in commerce 
for use in the United States; and,
    (b) Such electric motor, when distributed in commerce, or any 
container in which it is enclosed when so distributed, bears a stamp or 
label stating

[[Page 313]]

that such electric motor is intended for export.

[76 FR 12505, Mar. 7, 2011]



Sec.  431.406  Subpoena--Electric Motors.

    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.

[76 FR 12505, Mar. 7, 2011]



Sec.  431.407  Confidentiality--Electric Motors.

    Pursuant to the provisions of 10 CFR 1004.11, any manufacturer or 
private labeler of electric motors submitting information or data which 
they believe 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.

[76 FR 12505, Mar. 7, 2011]



Sec.  431.408  Preemption of State regulations for covered equipment
other than electric motors and commercial heating, ventilating,
air-conditioning and water heating products.

    This section concerns State regulations providing for any energy 
conservation standard, or water conservation standard (in the case of 
commercial prerinse spray valves or commercial clothes washers), or 
other requirement with respect to the energy efficiency, energy use, or 
water use (in the case of commercial prerinse spray valves or commercial 
clothes washers), for any covered equipment other than an electric motor 
or commercial HVAC and WH product. Any such regulation that contains a 
standard or requirement that is not identical to a Federal standard in 
effect under this subpart is preempted by that standard, except as 
provided for in sections 327(b) and (c) and 345(a)(10), (e), (f) and (g) 
of the Act.

[75 FR 675, Jan. 5, 2010, as amended at 78 FR 62993, Oct. 23, 2013]



    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

[[Page 314]]

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 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,

[[Page 315]]

the Secretary may prescribe a rule, effective upon publication in the 
Federal Register, that such regulation not be preempted if he determines 
that in addition to meeting the requirements of paragraph (a) of this 
Section the State has established that: an energy emergency condition 
exists within the State that imperils the health, safety, and welfare of 
its residents because of the inability of the State or utilities within 
the State to provide adequate quantities of gas or electric energy to 
its residents at less than prohibitive costs; and cannot be 
substantially alleviated by the importation of energy or the use of 
interconnection agreements; and the State regulation is necessary to 
alleviate substantially such condition.
    (1) Requirements of petition for exemption from preemption when 
energy emergency conditions exist within a State. A petition from a 
State for a rule for exemption from preemption when energy emergency 
conditions exist within a State shall include the information listed in 
paragraphs (a)(1)(i) through (a)(1)(vi) of this section. A petition 
shall also include the information prescribed in paragraphs (b)(1)(i) 
through (b)(1)(iv) of this section, and shall be available for public 
review except for confidential or proprietary information submitted in 
accordance with the Department of Energy's Freedom of Information 
Regulations set forth in 10 CFR part 1004:
    (i) A description of the energy emergency condition which exists 
within the State, including causes and impacts.
    (ii) A description of emergency response actions taken by the State 
and utilities within the State to alleviate the emergency condition;
    (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.

[[Page 316]]

    (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 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

[[Page 317]]

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 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.

[[Page 318]]

    (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.



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. This subpart does not cover ``electric motors,'' which 
are addressed in subpart B of this part. This subpart does not cover 
electric motors that are ``dedicated-purpose pool pump motors,'' which 
are addressed in subpart Z of this part.

[77 FR 26638, May 4, 2012, as amended at 86 FR 40774, July 29, 2021]



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.
    Breakdown torque means the maximum torque that the motor will 
develop with rated voltage and frequency applied without an abrupt drop 
in speed. The breakdown torque is the local maximum of the torque-speed 
plot of the motor, closest to the synchronous speed of the motor, 
determined in accordance with NEMA MG 1-2016 (incorporated by reference, 
see Sec.  431.443).
    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.
    Rated frequency means 60 hertz.
    Rated load (or full load, full rated load, or rated full load) means 
the rated output power of a small electric motor.
    Rated output power means the mechanical output power that 
corresponds to the small electric motor's breakdown torque as specified 
in NEMA MG 1-2016 Table 10-5 (incorporated by reference, see Sec.  
431.443) for single-phase motors or 140 percent of the breakdown torque 
values specified in NEMA MG 1-2016 Table 10-5 for polyphase motors. For 
purposes of this definition, NEMA MG 1-2016 Table 10-5 is applied 
regardless of whether elements of NEMA MG 1-2016 Table 10-5 are 
identified as for small or medium motors.
    Rated voltage means the input voltage of a small electric motor used 
when making representations of the performance characteristics of a 
given small

[[Page 319]]

electric motor and selected by the motor's manufacturer to be used for 
testing the motor's efficiency.
    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.

[74 FR 32072, July 7, 2009, as amended at 77 FR 26638, May 4, 2012; 86 
FR 23, Jan. 4, 2021]

                             Test Procedures



Sec.  431.443  Materials incorporated by reference.

    (a) General. Certain material is incorporated by reference into 
subpart X of part 431 with the approval of the Director of the Federal 
Register under 5 U.S.C. 552(a) and 1 CFR part 51. Material is 
incorporated as it exists on the date of the approval, and a 
notification of any change in the material will be published in the 
Federal Register. Standards can be obtained from the sources below. All 
approved 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/. It is also available at the National Archives and 
Records Administration (NARA). For information on the availability of 
this material at NARA, email: [email protected], or go to: 
www.archives.gov/federal-register/cfr/ibr-locations.html.
    (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) CSA C747-09 (``CSA C747''), Energy efficiency test methods for 
small motors, October 2009, IBR approved for Sec. Sec.  431.444; 
431.447.
    (2) CSA C390-10, Test methods, marking requirements, and energy 
efficiency levels for three-phase induction motors, March 2010, IBR 
approved for Sec. Sec.  431.444; 431.447.
    (c) IEC. International Electrotechnical Commission, 3 rue de 
Varemb[eacute], 1st Floor, P.O. Box 131, CH--1211 Geneva 20--
Switzerland, +41 22 919 02 11, or go to https://webstore.iec.ch/home.
    (1) IEC 60034-1, Edition 12.0 2010-02, (``IEC 60034-1:2010''), 
Rotating electrical machines--Part 1: Rating and performance, IBR 
approved for Sec. Sec.  431.444.
    (2) IEC 60034-2-1:2014, Edition 2.0 2014-06, (``IEC 60034-2-
1:2014''), Rotating electrical machines--Part 2-1: Standard methods for 
determining losses and efficiency from tests (excluding machines for 
traction vehicles), IBR approved for Sec. Sec.  431.444, and 431.447.
    (3) IEC 60051-1:2016, Edition 6.0 2016-02, (``IEC 60051-1:2016), 
Direct acting indicating analogue electrical measuring instruments and 
their accessories--Part 1: Definitions and general requirements common 
to all parts, IBR approved for Sec. Sec.  431.444.
    (d) 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 112\TM\-2017 (``IEEE 112-2017''), IEEE Standard Test 
Procedure for Polyphase Induction Motors and Generators, approved 
December 6, 2017, IBR approved for Sec. Sec.  431.444, and 431.447.
    (2) IEEE Std 114-2010, Test Procedure for Single-Phase Induction 
Motors, approved September 30, 2010, IBR approved for Sec. Sec.  
431.444; 431.447.
    (e) NEMA. National Electrical Manufacturers Association, 1300 North 
17th Street, Suite 900, Arlington, Virginia 22209, +1 703 841 3200, or 
go to https://www.nema.org.
    (1) NEMA MG 1-2016, American National Standard for Motors and 
Generators, ANSI approved June 1, 2018, IBR approved for Sec.  431.442.
    (2) [Reserved]

[74 FR 32072, July 7, 2009, as amended at 77 FR 26638, May 4, 2012; 86 
FR 23, Jan. 4, 2021]



Sec.  431.444  Test Procedures for the measurement of energy efficiency
of small electric motors.

    (a) Scope. Pursuant to section 346(b)(1) of EPCA, this section 
provides the test procedures for measuring the full-load efficiency of 
small electric motors pursuant to EPCA. (42 U.S.C.

[[Page 320]]

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 paragraph (b) of this section.
    (b) Testing and Calculations. Determine the full-load efficiency of 
a small electric motor using one of the test methods listed in this 
paragraphs (b)(1) through (4) of this section.
    (1) Incorporation by reference: In Sec.  431.443, DOE incorporated 
by reference the entire standard for CSA C747-09, CSA C390-10, IEC 
60034-1:2010, IEC 60034-2-1:2014, IEC 60051-1:2016, IEEE 112-2017, and 
IEEE 114-2010 into this section; however, only enumerated provisions of 
those documents referenced in this section are applicable as follows:
    (i) CSA C747-09:
    (A) Section 1.6 ``Scope'' as specified in paragraphs (b)(2)(ii) and 
(b)(3)(ii) of this section;
    (B) Section 3 ``Definitions'' as specified in paragraphs (b)(2)(ii) 
and (b)(3)(ii) of this section;
    (C) Section 5 ``General test requirements'' as specified in 
paragraphs (b)(2)(ii) and (b)(3)(ii) of this section; and
    (D) Section 6 ``Test method'' as specified in paragraphs (b)(2)(ii) 
and (b)(3)(ii) of this section.
    (ii) CSA C390-10:
    (A) Section 1.3, ``Scope'' as specified in paragraph (b)(4)(ii) of 
this section;
    (B) Section 3.1, ``Definitions'' as specified in paragraph 
(b)(4)(ii) of this section;
    (C) Section 5, ``General test requirements--Measurements'' as 
specified in paragraph (b)(4)(ii) of this section;
    (D) Section 7, ``Test method'' as specified in paragraph (b)(4)(ii) 
of this section;
    (E) Table 1, ``Resistance measurement time delay'' as specified in 
paragraph (b)(4)(ii) of this section;
    (F) Annex B, ``Linear regression analysis'' as specified in 
paragraph (b)(4)(ii) of this section; and
    (G) Annex C, ``Procedure for correction of dynamometer torque 
readings'' as specified in paragraph (b)(4)(ii) of this section.
    (iii) IEC 60034-1:2010:
    (A) Section 7.2 as specified in paragraphs (b)(2)(iii), (b)(3)(iii), 
and (b)(4)(iii) of this section;
    (B) Section 8.6.2.3.3 as specified in paragraphs (b)(2)(iii), 
(b)(3)(iii), and (b)(4)(iii) of this section; and
    (C) Table 5 as specified in paragraphs (b)(2)(iii), (b)(3)(iii), and 
(b)(4)(iii) of this section.
    (iv) IEC 60034-2-1:2014:
    (A) Method 2-1-1A as specified in paragraphs (b)(2)(iii) and 
(b)(3)(iii) of this section;
    (B) Method 2-1-1B as specified in paragraph (b)(4)(iii) of this 
section;
    (C) Section 3 ``Terms and definitions'' as specified in paragraphs 
(b)(2)(iii), (b)(3)(iii), and (b)(4)(iii) of this section;
    (D) Section 4 ``Symbols and abbreviations'' as specified in 
paragraphs (b)(2)(iii), (b)(3)(iii), (b)(4)(iii) of this section;
    (E) Section 5 ``Basic requirements'' as specified in paragraphs 
(b)(2)(iii), (b)(3)(iii), and (b)(4)(iii) of this section;
    (F) Section 6.1.2 ``Method 2-1-1A--Direct measurement of input and 
output'' (except Section 6.1.2.2, ``Test Procedure'') as specified in 
paragraphs (b)(2)(iii) and (b)(3)(iii) of this section;
    (G) Section 6.1.3 ``Method 2-1-1B--Summations of losses, additional 
load losses according to the method of residual losses'' as specified in 
paragraph (b)(4)(iii) of this section; and
    (H) Annex D, ``Test report template for 2-1-1B'' as specified in 
paragraph (b)(4)(iii) of this section.
    (v) IEC 60051-1:2016:
    (A) Section 5.2 as specified in paragraphs (b)(2)(iii), (b)(3)(iii) 
and (b)(4)(iii), of this section; and
    (B) [Reserved]
    (vi) IEEE 112-2017:
    (A) Test Method A as specified in paragraph (b)(3)(i) of this 
section;
    (B) Test Method B as specified in paragraph (b)(4)(i) of this 
section;
    (C) Section 3, ``General'' as specified in paragraphs (b)(3)(i) and 
(b)(4)(i) of this section;
    (D) Section 4, ``Measurements'' as specified in paragraphs (b)(3)(i) 
and (b)(4)(i) of this section;
    (E) Section 5, ``Machine losses and tests for losses'' as specified 
in paragraphs (b)(3)(i) and (b)(4)(i) of this section;

[[Page 321]]

    (F) Section 6.1, ``General'' as specified in paragraphs (b)(3)(i) 
and (b)(4)(i) of this section;
    (G) Section 6.3, ``Efficiency test method A--Input-output'' as 
specified in paragraph (b)(3)(i) of this section;
    (H) Section 6.4, ``Efficiency test method B--Input-output'' as 
specified in paragraph (b)(4)(i) of this section;
    (I) Section 9.2, ``Form A--Method A'' as specified in paragraph 
(b)(3)(i) of this section;
    (J) Section 9.3, ``Form A2--Method A calculations'' as specified in 
paragraph (b)(3)(i) of this section;
    (K) Section 9.4, ``Form B--Method B'' as specified in paragraph 
(b)(4)(i) of this section; and
    (L) Section 9.5, ``Form B2--Method B calculations'' as specified in 
paragraph (b)(4)(i) of this section.
    (vii) IEEE 114-2010:
    (A) Section 3.2, ``Test with load'' as specified in paragraph 
(b)(2)(i) of this section;
    (B) Section 4, ``Testing Facilities as specified in paragraph 
(b)(2)(i) of this section;
    (C) Section 5, ``Measurements'' as specified in paragraph (b)(2)(i) 
of this section;
    (D) Section 6, ``General'' as specified in paragraph (b)(2)(i) of 
this section;
    (E) Section 7, ``Type of loss'' as specified in paragraph (b)(2)(i) 
of this section;
    (F) Section 8, ``Efficiency and Power Factor'' as specified in 
paragraph (b)(2)(i) of this section;
    (G) Section 10 ``Temperature Tests'' as specified in paragraph 
(b)(2)(i) of this section;
    (H) Annex A, Section A.3 ``Determination of Motor Efficiency'' as 
specified in paragraph (b)(2)(i) of this section; and
    (I) Annex A, Section A.4 ``Explanatory notes for form 3, test data'' 
as specified in paragraph (b)(2)(i) of this section.
    (viii) In cases where there is a conflict, the language of this 
appendix takes precedence over those documents. Any subsequent amendment 
to a referenced document by the standard-setting organization will not 
affect the test procedure in this appendix, unless and until the test 
procedure is amended by DOE.
    (2) Single-phase small electric motors. For single-phase small 
electric motors, use one of the following methods:
    (i) IEEE 114-2010, Section 3.2, ``Test with load'', Section 4, 
``Testing Facilities, Section 5, ``Measurements'', Section 6, 
``General'', Section 7, ``Type of loss'', Section 8, ``Efficiency and 
Power Factor''; Section 10 ``Temperature Tests'', Annex A, Section A.3 
``Determination of Motor Efficiency'', Annex A, Section A.4 
``Explanatory notes for form 3, test data'';
    (ii) CSA C747-09, Section 1.6 ``Scope'', Section 3 ``Definitions'', 
Section 5, ``General test requirements'', and Section 6 ``Test method'';
    (iii) IEC 60034-2-1:2014 Method 2-1-1A, Section 3 ``Terms and 
definitions'', Section 4 ``Symbols and abbreviations'', Section 5 
``Basic requirements'', and Section 6.1.2 ``Method 2-1-1A--Direct 
measurement of input and output'' (except Section 6.1.2.2, ``Test 
Procedure''). The supply voltage shall be in accordance with section 7.2 
of IEC 60034-1:2010 (incorporated by reference, see Sec.  431.443). The 
measured resistance at the end of the thermal test shall be determined 
in a similar way to the extrapolation procedure described in section 
8.6.2.3.3 of IEC 60034-1:2010, using the shortest possible time instead 
of the time interval specified in Table 5 therein, and extrapolating to 
zero. The measuring instruments for electrical quantities shall have the 
equivalent of an accuracy class of 0,2 in case of a direct test and 0,5 
in case of an indirect test in accordance with section 5.2 of IEC 60051-
1:2016 (incorporated by reference, see Sec.  431.443).
    (A) Additional IEC 60034-2-1:2014 Method 2-1-1A Torque Measurement 
Instructions.
    If using IEC 60034-2-1:2014 Method 2-1-1A to measure motor 
performance, follow the instructions in paragraph (b)(2)(iii)(B) of this 
section, instead of section 6.1.2.2 of IEC 60034-2-1:2014;
    (B) Couple the machine under test to a load machine. Measure torque 
using an in-line, shaft-coupled, rotating torque transducer or 
stationary, stator reaction torque transducer. Operate the machine under 
test at the rated load until thermal equilibrium is achieved (rate of 
change 1 K or less per half hour). Record U, I, Pel, n, T, [thgr]c.

[[Page 322]]

    (3) Polyphase small electric motors of less than or equal to 1 
horsepower (0.75 kW). For polyphase small electric motors with 1 
horsepower or less, use one of the following methods:
    (i) IEEE 112-2017 Test Method A, Section 3, ``General'', Section 4, 
``Measurements'', Section 5, ``Machine losses and tests for losses'', 
Section 6.1, ``General'', Section 6.3, ``Efficiency test method A--
Input-output'', Section 9.2, ``Form A--Method A'', and Section 9.3, 
``Form A2--Method A calculations'';
    (ii) CSA C747-09, Section 1.6 ``Scope'', Section 3 ``Definitions'', 
Section 5, ``General test requirements'', and Section 6 ``Test method'';
    (iii) IEC 60034-2-1:2014 Method 2-1-1A, Section 3 ``Terms and 
definitions'', Section 4 ``Symbols and abbreviations'', Section 5 
``Basic requirements'', and Section 6.1.2 ``Method 2-1-1A--Direct 
measurement of input and output'' (except Section 6.1.2.2, ``Test 
Procedure''). The supply voltage shall be in accordance with section 7.2 
of IEC 60034-1:2010. The measured resistance at the end of the thermal 
test shall be determined in a similar way to the extrapolation procedure 
described in section 8.6.2.3.3 of IEC 60034-1:2010 using the shortest 
possible time instead of the time interval specified in Table 5 therein, 
and extrapolating to zero. The measuring instruments for electrical 
quantities shall have the equivalent of an accuracy class of 0,2 in case 
of a direct test and 0,5 in case of an indirect test in accordance with 
section 5.2 of IEC 60051-1:2016.
    (A) Additional IEC 60034-2-1:2014 Method 2-1-1A Torque Measurement 
Instructions.
    If using IEC 60034-2-1:2014 Method 2-1-1A to measure motor 
performance, follow the instructions in paragraph (b)(3)(iii)(B) of this 
section, instead of section 6.1.2.2 of IEC 60034-2-1:2014;
    (B) Couple the machine under test to load machine. Measure torque 
using an in-line shaft-coupled, rotating torque transducer or 
stationary, stator reaction torque transducer. Operate the machine under 
test at the rated load until thermal equilibrium is achieved (rate of 
change 1 K or less per half hour). Record U, I, Pel, n, T, [thgr]c.
    (4) Polyphase small electric motors of greater than 1 horsepower 
(0.75 kW). For polyphase small electric motors exceeding 1 horsepower, 
use one of the following methods:
    (i) IEEE 112-2017 Test Method B, Section 3, ``General''; Section 4, 
``Measurements''; Section 5, ``Machine losses and tests for losses'', 
Section 6.1, ``General'', Section 6.4, ``Efficiency test method B--
Input-output with loss segregation'', Section 9.4, ``Form B--Method B'', 
and Section 9.5, ``Form B2--Method B calculations''; or
    (ii) CSA C390-10, Section 1.3, ``Scope'', Section 3.1, 
``Definitions'', Section 5, ``General test requirements--Measurements'', 
Section 7, ``Test method'', Table 1, ``Resistance measurement time 
delay, Annex B, ``Linear regression analysis'', and Annex C, ``Procedure 
for correction of dynamometer torque readings''; or
    (iii) IEC 60034-2-1:2014 Method 2-1-1B Section 3 ``Terms and 
definitions'', Section 4 ``Symbols and abbreviations'', Section 5 
``Basic requirements'', Section 6.1.3 ``Method 2-1-1B--Summation of 
losses, additional load losses according to the method of residual 
losses.'', and Annex D, ``Test report template for 2-1-1B. The supply 
voltage shall be in accordance with section 7.2 of IEC 60034-1:2010. The 
measured resistance at the end of the thermal test shall be determined 
in a similar way to the extrapolation procedure described in section 
8.6.2.3.3 of IEC 60034-1:2010 using the shortest possible time instead 
of the time interval specified in Table 5 therein, and extrapolating to 
zero. The measuring instruments for electrical quantities shall have the 
equivalent of an accuracy class of 0,2 in case of a direct test and 0,5 
in case of an indirect test in accordance with section 5.2 of IEC 60051-
1:2016.

[86 FR 23, Jan. 4, 2021]



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

[[Page 323]]

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, 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.
    (5) Use of a certification program. (i) A manufacturer may use a 
certification program, that DOE has classified as nationally recognized 
under Sec.  431.447, to certify the average full-load efficiency of a 
basic model of small electric motor, and issue a certificate of 
conformity for the small electric motor.
    (ii) For each basic model for which a certification program is not 
used as described in paragraph (b)(5)(i) of this section, any testing of 
a motor to determine its energy efficiency must be carried out in 
accordance with paragraph (c) of this section.
    (c) 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 that 
have the highest unit volumes of production by the manufacturer in the 
prior year, or during the prior 12 calendar month period beginning in 
2015, whichever is later, and comply with the standards set forth in 
Sec.  431.446;
    (B) The basic models should be of different horsepowers without 
duplication;
    (C) At least one basic model should be selected from each of the 
frame number series for which the manufacturer is seeking compliance; 
and
    (D) Each basic model should have the lowest average 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.

[[Page 324]]

    (2) Selection of units for testing within a basic model. For each 
basic model selected for testing,\1\ 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 no fewer than five units, except when 
fewer than five units of a basic model would be produced over a 
reasonable period of time (approximately 180 days). In such cases, each 
unit produced shall be tested.
---------------------------------------------------------------------------

    \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.
---------------------------------------------------------------------------

    (3) Applying results of testing. When applying the test results to 
determine whether a motor complies with the required average efficiency 
level:
    The average full-load efficiency of the sample, X which is defined 
by
[GRAPHIC] [TIFF OMITTED] TR04MY12.000


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] TR04MY12.001

where RE is the required average full-load efficiency.

[74 FR 32072, July 7, 2009, as amended at 77 FR 26638, May 4, 2012]

                      Energy Conservation Standards



Sec.  431.446  Small electric motors energy conservation standards and
their effective dates.

    (a) Each small electric motor manufactured (alone or as a component 
of another piece of non-covered equipment) after March 9, 2015, or in 
the case of a small electric motor which requires listing or 
certification by a nationally recognized safety testing laboratory, 
after March 9, 2017, shall have an average full load efficiency of not 
less than the following:

------------------------------------------------------------------------
                                           Average full load efficiency
                                        --------------------------------
                                                    Polyphase
   Motor horsepower/standard kilowatt   --------------------------------
               equivalent                 Open motors (number of poles)
                                        --------------------------------
                                             6          4          2
------------------------------------------------------------------------
0.25/0.18..............................       67.5       69.5       65.6
0.33/0.25..............................       71.4       73.4       69.5
0.5/0.37...............................       75.3       78.2       73.4
0.75/0.55..............................       81.7       81.1       76.8
1/0.75.................................       82.5       83.5       77.0
1.5/1.1................................       83.8       86.5       84.0
2/1.5..................................        N/A       86.5       85.5
3/2.2..................................        N/A       86.9       85.5
------------------------------------------------------------------------


 
                                           Average full load efficiency
                                        --------------------------------
                                          Capacitor-start capacitor-run
                                          and capacitor-start induction-
   Motor horsepower/standard kilowatt                  run
               equivalent               --------------------------------
                                          Open motors (number of poles)
                                        --------------------------------
                                             6          4          2
------------------------------------------------------------------------
0.25/0.18..............................       62.2       68.5       66.6
0.33/0.25..............................       66.6       72.4       70.5
0.5/0.37...............................       76.2       76.2       72.4
0.75/0.55..............................       80.2       81.8       76.2
1/0.75.................................       81.1       82.6       80.4
1.5/1.1................................        N/A       83.8       81.5
2/1.5..................................        N/A       84.5       82.9
3/2.2..................................        N/A        N/A       84.1
------------------------------------------------------------------------

    (b) For purposes of determining the required minimum average full 
load efficiency of an electric motor that has a horsepower or kilowatt 
rating between two horsepower or two kilowatt ratings listed in any 
table of efficiency standards in paragraph (a) of this section, each 
such motor shall be deemed to have a listed horsepower or kilowatt 
rating, determined as follows:
    (1) A horsepower at or above the midpoint between the two 
consecutive horsepower ratings shall be rounded up to the higher of the 
two horsepower ratings;
    (2) A horsepower below the midpoint between the two consecutive 
horsepower ratings shall be rounded down to the lower of the two 
horsepower ratings; or
    (3) A kilowatt rating shall be directly converted from kilowatts to 
horsepower using the formula 1 kilowatt = (1/0.746) hp, 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.

[75 FR 10947, Mar. 9, 2010; 75 FR 17036, Apr. 5, 2010]

[[Page 325]]



Sec.  431.447  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 
(``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.  431.448. 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 small electric 
motors 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 small 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 112-2017 Test Method A, IEEE 112-
2017 Test Method B, IEEE 114-2010, IEC 60034-2-1:2014 Method 2-1-1A, IEC 
60034-2-1:2014 Method 2-1-1B, CSA C390-10, or CSA C747-09 (incorporated 
by reference, see Sec.  431.443) or similar procedures and methodologies 
for determining the energy efficiency of small 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 determining the compliance of small electric 
motors with the applicable 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/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.

[[Page 326]]

    (4) Expertise in small electric motor test procedures. The petition 
should set forth the program's experience, as applicable, with the test 
procedures and methodologies in, IEEE 112-2017 Test Method A, IEEE 112-
2017 Test Method B, IEEE 114-2010, IEC 60034-2-1:2014 Method 2-1-1A, IEC 
60034-2-1:2014 Method 2-1-1B, CSA C390-10, and CSA C747-09 (incorporated 
by reference, see Sec.  431.443) and with similar procedures and 
methodologies. This part of the petition should include items such as, 
but not limited to, a description of prior projects and qualifications 
of staff members. 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.
    (5) The ISO/IEC Guides referenced in paragraphs (c)(3) and (c)(4) of 
this section are not incorporated by reference, but are for information 
and guidance only. International Organization for Standardization (ISO), 
1, ch. de la Voie-Creuse, CP 56, CH-1211 Geneva 20, Switzerland/
International Electrotechnical Commission, 3, rue de Varemb[eacute], 
P.O. Box 131, CH-1211 Geneva 20, Switzerland.
    (d) Disposition. The Department will evaluate the petition in 
accordance with Sec.  431.448, and will determine whether the applicant 
meets the criteria in paragraph (b) of this section for classification 
as a nationally recognized certification program.

[77 FR 26639, May 4, 2012, as amended at 86 FR 25, Jan. 4, 2021]



Sec.  431.448  Procedures for recognition and withdrawal of recognition
of certification programs.

    (a) Filing of petition. Any petition submitted to the Department 
pursuant to Sec.  431.447(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 327]]

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 a certification program that has been 
recognized under Sec.  431.447 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 corrective action has not 
been made, the Department will withdraw its recognition from that 
entity.
    (2) Voluntary withdrawal. A 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 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 (g).

[77 FR 26639, May 4, 2012]



                             Subpart Y_Pumps

    Source: 81 FR 4145, Jan. 25, 2016, unless otherwise noted.



Sec.  431.461  Purpose and scope.

    This subpart contains definitions, test procedures, and energy 
conservation requirements for pumps, pursuant to Part A-1 of Title III 
of the Energy Policy and Conservation Act, as amended, 42 U.S.C. 6311-
6317.



Sec.  431.462  Definitions.

    The following definitions are applicable to this subpart, including 
appendices A, B, and C. In cases where definitions reference design 
intent, DOE will consider marketing materials, labels and 
certifications, and equipment design to determine design intent.
    Adaptive pressure control means a pressure control that senses the 
head requirements in the system in which it is installed and adjusts the 
pump control curve accordingly.
    Bare pump means a pump excluding mechanical equipment, driver, and 
controls.
    Basic model means all units of a given class of pump manufactured by 
one manufacturer, having the same primary energy source, and having 
essentially identical electrical, physical, and functional (or 
hydraulic) characteristics that affect energy consumption, energy 
efficiency, water consumption, or water efficiency; and, in addition, 
for pumps that are subject to the test procedures specified in Sec.  
431.464(a), the following provisions also apply:
    (1) All variations in numbers of stages of bare RSV and ST pumps 
must be considered a single basic model;
    (2) Pump models for which the bare pump differs in impeller diameter 
and/or impeller trim, may be considered a single basic model; and
    (3) Pump models for which the bare pump differs in number of stages 
and/or impeller diameter and which are sold with motors (or motors and 
controls) of varying horsepower may only be considered a single basic 
model if:
    (i) For ESCC, ESFM, IL, and RSV pumps, each motor offered in the 
basic model has a nominal full load motor efficiency rated at the 
Federal minimum (see the applicable table at Sec.  431.25) or the same 
number of bands above the Federal minimum for each respective motor 
horsepower (see table 3 of appendix A to this subpart); or for pumps 
sold with inverter-only synchronous electric motors, any number of bands 
above the Federal minimum for each respective motor horsepower provided

[[Page 328]]

that the rating is based on the lowest number of bands; or
    (ii) For ST pumps, each motor offered in the basic model has a full 
load motor efficiency at the default nominal full load submersible motor 
efficiency shown in table 2 of appendix A to subpart Y of this part or 
the same number of bands above the default nominal full load submersible 
motor efficiency for each respective motor horsepower (see table 3 of 
appendix A to this subpart) or for inverter-only synchronous electric 
motors, any number of bands above the default nominal full load 
submersible motor efficiency provided the rating is based on the lowest 
number of bands.
    Basket strainer means a perforated or otherwise porous receptacle, 
mounted within a housing on the suction side of a pump, that prevents 
solid debris from entering a pump. The basket strainer receptacle is 
capable of passing spherical solids of 1 mm in diameter, and can be 
removed by hand or using only simple tools (e.g., screwdriver, pliers, 
open-ended wrench).
    Best efficiency point (BEP) means the pump hydraulic power operating 
point (consisting of both flow and head conditions) that results in the 
maximum efficiency.
    Bowl means a casing in which the impeller rotates, and that directs 
flow axially to the next stage or the discharge column.
    Bowl diameter means the maximum dimension of an imaginary straight 
line passing through and in the plane of the circular shape of the bowl 
of the bare pump that is perpendicular to the pump shaft and that 
intersects the outermost circular shape of the bowl of the bare pump at 
both of its ends.
    Circulator-less-volute means a circulator pump distributed in 
commerce without a volute and for which a paired volute is also 
distributed in commerce. Whether a paired volute is distributed in 
commerce will be determined based on published data, marketing 
literature, and other publicly available information.
    Circulator pump means is a pump that is either a wet rotor 
circulator pumps; a dry rotor, two-piece circulator pump; or a dry 
rotor, three-piece circulator pump. A circulator pump may be distributed 
in commerce with or without a volute.
    Clean water pump means a pump that is designed for use in pumping 
water with a maximum non-absorbent free solid content of 0.016 pounds 
per cubic foot, and with a maximum dissolved solid content of 3.1 pounds 
per cubic foot, provided that the total gas content of the water does 
not exceed the saturation volume, and disregarding any additives 
necessary to prevent the water from freezing at a minimum of 14 [deg]F.
    Close-coupled pump means a pump in which the driver's bearings are 
designed to absorb the pump's axial load.
    Continuous control means a control that adjusts the speed of the 
pump driver continuously over the driver operating speed range in 
response to incremental changes in the required pump flow, head, or 
power output.
    Control means any device that can be used to operate the driver. 
Examples include, but are not limited to, continuous or non-continuous 
controls, schedule-based controls, on/off switches, and float switches.
    Dedicated-purpose pool pump comprises self-priming pool filter 
pumps, non-self-priming pool filter pumps, waterfall pumps, pressure 
cleaner booster pumps, integral sand-filter pool pumps, integral-
cartridge filter pool pumps, storable electric spa pumps, and rigid 
electric spa pumps.
    Dedicated-purpose pool pump motor total horsepower means the product 
of the dedicated-purpose pool pump nominal motor horsepower and the 
dedicated-purpose pool pump service factor of a motor used on a 
dedicated-purpose pool pump based on the maximum continuous duty motor 
power output rating allowable for the motor's nameplate ambient rating 
and insulation class. (Dedicated-purpose pool pump motor total 
horsepower is also referred to in the industry as service factor 
horsepower or motor capacity.)
    Dedicated-purpose pool pump service factor means a multiplier 
applied to the rated horsepower of a pump motor to indicate the percent 
above nameplate horsepower at which the motor can operate continuously 
without exceeding its allowable insulation class temperature limit.

[[Page 329]]

    Designed and marketed means that the equipment is designed to 
fulfill the indicated application and, when distributed in commerce, is 
designated and marketed for that application, with the designation on 
the packaging and any publicly available documents (e.g., product 
literature, catalogs, and packaging labels).
    Driver means the machine providing mechanical input to drive a bare 
pump directly or through the use of mechanical equipment. Examples 
include, but are not limited to, an electric motor, internal combustion 
engine, or gas/steam turbine.
    Dry rotor pump means a pump in which the motor rotor is not immersed 
in the pumped fluid.
    Dry rotor, three-piece circulator pump means:
    (1) A single stage, rotodynamic, single-axis flow, mechanically-
coupled, dry rotor pump that:
    (i) Has a rated hydraulic power less than or equal to 5 hp at the 
best efficiency point at full impeller diameter,
    (ii) Is distributed in commerce with a horizontal motor, and
    (iii) Discharges the pumped liquid through a volute in a plane 
perpendicular to the shaft.
    (2) Examples include, but are not limited to, pumps generally 
referred to in industry as CP3.
    Dry rotor, two-piece circulator pump means:
    (1) A single stage, rotodynamic, single-axis flow, close-coupled, 
dry rotor pump that:
    (i) Has a rated hydraulic power less than or equal to 5 hp at best 
efficiency point at full impeller diameter,
    (ii) Is distributed in commerce with a horizontal motor, and
    (iii) Discharges the pumped liquid through a volute in a plane 
perpendicular to the shaft.
    (2) Examples include, but are not limited to, pumps generally 
referred to in industry as CP2.
    End-suction close-coupled (ESCC) pump means a close-coupled, dry 
rotor, end-suction pump that has a shaft input power greater than or 
equal to 1 hp and less than or equal to 200 hp at BEP and full impeller 
diameter and that is not a dedicated-purpose pool pump.
    End-suction frame mounted/own bearings (ESFM) pump means a 
mechanically-coupled, dry rotor, end-suction pump that has a shaft input 
power greater than or equal to 1 hp and less than or equal to 200 hp at 
BEP and full impeller diameter and that is not a dedicated-purpose pool 
pump.
    End-suction pump means a single-stage, rotodynamic pump in which the 
liquid enters the bare pump in a direction parallel to the impeller 
shaft and on the side opposite the bare pump's driver-end. The liquid is 
discharged in a plane perpendicular to the shaft.
    External input signal control means a variable speed drive that 
adjusts the speed of the driver in response to an input signal from an 
external logic and/or user interface.
    Fire pump means a pump that is compliant with NFPA 20-2016 
(incorporated by reference, see Sec.  431.463), ``Standard for the 
Installation of Stationary Pumps for Fire Protection,'' and is either:
    (1) UL listed under ANSI/UL 448-2013 (incorporated by reference, see 
Sec.  431.463), ``Standard for Safety Centrifugal Stationary Pumps for 
Fire-Protection Service,'' or
    (2) FM Global (FM) approved under the January 2015 edition of FM 
Class Number 1319, ``Approval Standard for Centrifugal Fire Pumps 
(Horizontal, End Suction Type),'' (incorporated by reference, see Sec.  
431.463).
    Freeze protection control means a pool pump control that, at a 
certain ambient temperature, turns on the dedicated-purpose pool pump to 
circulate water for a period of time to prevent the pool and water in 
plumbing from freezing.
    Full impeller diameter means the maximum diameter impeller with 
which a given pump basic model is distributed in commerce.
    Header pump means a circulator pump distributed in commerce without 
a volute and for which a paired volute is not distributed in commerce. 
Whether a paired volute is distributed in commerce will be determined 
based on published data, marketing literature, and other publicly 
available information.
    Horizontal motor means a motor, for which the motor shaft position 
when

[[Page 330]]

functioning under operating conditions specified in manufacturer 
literature, includes a horizontal position.
    In-line (IL) pump means a pump that is either a twin head pump or a 
single-stage, single-axis flow, dry rotor, rotodynamic pump that has a 
shaft input power greater than or equal to 1 hp and less than or equal 
to 200 hp at BEP and full impeller diameter, in which liquid is 
discharged in a plane perpendicular to the shaft. Such pumps do not 
include circulator pumps.
    Integral means a part of the device that cannot be removed without 
compromising the device's function or destroying the physical integrity 
of the unit.
    Integral cartridge-filter pool pump means a pump that requires a 
removable cartridge filter, installed on the suction side of the pump, 
for operation; and the cartridge filter cannot be bypassed.
    Integral sand-filter pool pump means a pump distributed in commerce 
with a sand filter that cannot be bypassed.
    Magnet driven pump means a pump in which the bare pump is isolated 
from the motor via a containment shell and torque is transmitted from 
the motor to the bare pump via magnetic force. The motor shaft is not 
physically coupled to the impeller or impeller shaft.
    Manual speed control means a control (variable speed drive and user 
interface) that adjusts the speed of the driver based on manual user 
input.
    Mechanical equipment means any component of a pump that transfers 
energy from the driver to the bare pump.
    Mechanically-coupled pump means a pump in which bearings external to 
the driver are designed to absorb the pump's axial load.
    Multi-speed dedicated-purpose pool pump means a dedicated-purpose 
pool pump that is capable of operating at more than two discrete, pre-
determined operating speeds separated by speed increments greater than 
100 rpm, where the lowest speed is less than or equal to half of the 
maximum operating speed and greater than zero, and must be distributed 
in commerce with an on-board pool pump control (i.e., variable speed 
drive and user interface or programmable switch) that changes the speed 
in response to pre-programmed user preferences and allows the user to 
select the duration of each speed and/or the on/off times.
    Non-continuous control means a control that adjusts the speed of a 
driver to one of a discrete number of non-continuous preset operating 
speeds, and does not respond to incremental reductions in the required 
pump flow, head, or power output.
    Non-self-priming pool filter pump means a pool filter pump that is 
not certified under NSF/ANSI 50-2015 (incorporated by reference, see 
Sec.  431.463) to be self-priming and is not capable of re-priming to a 
vertical lift of at least 5.0 feet with a true priming time less than or 
equal to 10.0 minutes, when tested in accordance with section F of 
appendix B or C of this subpart, and is not a waterfall pump.
    On-demand circulator pump means a circulator pump that is 
distributed in commerce with an integral control that:
    (1) Initiates water circulation based on receiving a signal from the 
action of a user [of a fixture or appliance] or sensing the presence of 
a user of a fixture and cannot initiate water circulation based on other 
inputs, such as water temperature or a pre-set schedule.
    (2) Automatically terminates water circulation once hot water has 
reached the pump or desired fixture.
    (3) Does not allow the pump to operate when the temperature in the 
pipe exceeds 104 [deg]F or for more than 5 minutes continuously.
    Pool filter pump means an end suction pump that:
    (1) Either:
    (i) Includes an integrated basket strainer; or
    (ii) Does not include an integrated basket strainer, but requires a 
basket strainer for operation, as stated in manufacturer literature 
provided with the pump; and
    (2) May be distributed in commerce connected to, or packaged with, a 
sand filter, removable cartridge filter, or other filtration accessory, 
so long as the filtration accessory are connected with consumer-
removable connections that allow the filtration accessory to be 
bypassed.

[[Page 331]]

    Pool pump timer means a pool pump control that automatically turns 
off a dedicated-purpose pool pump after a run-time of no longer than 10 
hours.
    Pressure cleaner booster pump means an end suction, dry rotor pump 
designed and marketed for pressure-side pool cleaner applications, and 
which may be UL listed under ANSI/UL 1081-2016 (incorporated by 
reference, see Sec.  431.463).
    Pressure control means a control (variable speed drive and 
integrated logic) that automatically adjusts the speed of the driver in 
response to pressure.
    Prime-assist pump means a pump that:
    (1) Is designed to lift liquid that originates below the centerline 
of the pump inlet;
    (2) Requires no manual intervention to prime or re-prime from a dry-
start condition; and
    (3) Includes a device, such as a vacuum pump or air compressor and 
venturi eductor, to remove air from the suction line in order to 
automatically perform the prime or re-prime function at any point during 
the pump's operating cycle.
    Pump means equipment designed to move liquids (which may include 
entrained gases, free solids, and totally dissolved solids) by physical 
or mechanical action and includes a bare pump and, if included by the 
manufacturer at the time of sale, mechanical equipment, driver, and 
controls.
    Radially-split, multi-stage, horizontal, diffuser casing (RSH) pump 
means a horizontal, multi-stage, dry rotor, rotodynamic pump:
    (1) That has a shaft input power greater than or equal to 1 hp and 
less than or equal to 200 hp at BEP and full impeller diameter and at 
the number of stages required for testing;
    (2) In which liquid is discharged in a plane perpendicular to the 
impeller shaft;
    (3) For which each stage (or bowl) consists of an impeller and 
diffuser; and
    (4) For which no external part of such a pump is designed to be 
submerged in the pumped liquid.
    Radially-split, multi-stage, horizontal, end-suction diffuser casing 
(RSHES) pump means a RSH pump in which the liquid enters the bare pump 
in a direction parallel to the impeller shaft and on the side opposite 
the bare pump's driver-end.
    Radially-split, multi-stage, horizontal, in-line diffuser casing 
(RSHIL) pump means a single-axis flow RSH pump in which the liquid 
enters the pump in a plane perpendicular to the impeller shaft.
    Radially-split, multi-stage, vertical, diffuser casing (RSV) pump 
means a vertically suspended, multi-stage, single-axis flow, dry rotor, 
rotodynamic pump:
    (1) That has a shaft input power greater than or equal to 1 hp and 
less than or equal to 200 hp at BEP and full impeller diameter and at 
the number of stages required for testing;
    (2) In which liquid is discharged in a plane perpendicular to the 
impeller shaft;
    (3) For which each stage (or bowl) consists of an impeller and 
diffuser; and
    (4) For which no external part of such a pump is designed to be 
submerged in the pumped liquid.
    Removable cartridge filter means a filter component with fixed 
dimensions that captures and removes suspended particles from water 
flowing through the unit. The removable cartridge filter is not capable 
of passing spherical solids of 1 mm in diameter or greater, and can be 
removed from the filter housing by hand or using only simple tools 
(e.g., screwdrivers, pliers, open-ended wrench).
    Rigid electric spa pump means an end suction pump that does not 
contain an integrated basket strainer or require a basket strainer for 
operation as stated in manufacturer literature provided with the pump 
and that meets the following three criteria:
    (1) Is assembled with four through bolts that hold the motor rear 
endplate, rear bearing, rotor, front bearing, front endplate, and the 
bare pump together as an integral unit;
    (2) Is constructed with buttress threads at the inlet and discharge 
of the bare pump; and
    (3) Uses a casing or volute and connections constructed of a non-
metallic material.

[[Page 332]]

    Rotodynamic pump means a pump in which energy is continuously 
imparted to the pumped fluid by means of a rotating impeller, propeller, 
or rotor.
    Sand filter means a device designed to filter water through sand or 
an alternate sand-type media.
    Self-priming pool filter pump means a pool filter pump that is 
certified under NSF/ANSI 50-2015 (incorporated by reference, see Sec.  
431.463) to be self-priming or is capable of re-priming to a vertical 
lift of at least 5.0 feet with a true priming time less than or equal to 
10.0 minutes, when tested in accordance with section F of appendix B or 
C of this subpart, and is not a waterfall pump.
    Self-priming pump means a pump that either is a self-priming pool 
filter pump or a pump that:
    (1) Is designed to lift liquid that originates below the centerline 
of the pump inlet;
    (2) Contains at least one internal recirculation passage; and
    (3) Requires a manual filling of the pump casing prior to initial 
start-up, but is able to re-prime after the initial start-up without the 
use of external vacuum sources, manual filling, or a foot valve.
    Single axis flow pump means a pump in which the liquid inlet of the 
bare pump is on the same axis as the liquid discharge of the bare pump.
    Single-speed dedicated-purpose pool pump means a dedicated-purpose 
pool pump that is capable of operating at only one speed.
    Small vertical in-line (SVIL) pump means a small vertical twin-head 
pump or a single stage, single-axis flow, dry rotor, rotodynamic pump 
that:
    (1) Has a shaft input power less than 1 horsepower at its BEP at 
full impeller diameter; and
    (2) In which liquid is discharged in a plane perpendicular to the 
shaft; and
    (3) Is not a circulator pump.
    Small vertical twin-head pump means a dry rotor, single-axis flow, 
rotodynamic pump that contains two equivalent impeller assemblies, each 
of which:
    (1) Contains an impeller, impeller shaft (or motor shaft in the case 
of close-coupled pumps), shaft seal or packing, driver (if present), and 
mechanical equipment (if present); and
    (2) Has a shaft input power that is less than or equal to 1 hp at 
BEP and full impeller diameter; and
    (3) Has the same primary energy source (if sold with a driver) and 
the same electrical, physical, and functional characteristics that 
affect energy consumption or energy efficiency; and
    (4) Is mounted in its own volute; and
    (5) Discharges liquid through its volute and the common discharge in 
a plane perpendicular to the impeller shaft.
    Storable electric spa pump means a pump that is distributed in 
commerce with one or more of the following:
    (1) An integral heater; and
    (2) An integral air pump.
    Submersible pump means a pump that is designed to be operated with 
the motor and bare pump fully submerged in the pumped liquid.
    Submersible turbine (ST) pump means a single-stage or multi-stage, 
dry rotor, rotodynamic pump that is designed to be operated with the 
motor and stage(s) fully submerged in the pumped liquid; that has a 
shaft input power greater than or equal to 1 hp and less than or equal 
to 200 hp at BEP and full impeller diameter and at the number of stages 
required for testing; and in which each stage of this pump consists of 
an impeller and diffuser, and liquid enters and exits each stage of the 
bare pump in a direction parallel to the impeller shaft.
    Temperature control means a control (variable speed drive and 
integrated logic) that automatically adjusts the speed of the driver 
continuously over the driver operating speed range in response to 
temperature.
    Twin head pump means a dry rotor, single-axis flow, rotodynamic pump 
that contains two impeller assemblies, which both share a common casing, 
inlet, and discharge, and each of which
    (1) Contains an impeller, impeller shaft (or motor shaft in the case 
of close-coupled pumps), shaft seal or packing, driver (if present), and 
mechanical equipment (if present);
    (2) Has a shaft input power that is greater than or equal to 1 hp 
and less

[[Page 333]]

than or equal to 200 hp at best efficiency point (BEP) and full impeller 
diameter;
    (3) Has the same primary energy source (if sold with a driver) and 
the same electrical, physical, and functional characteristics that 
affect energy consumption or energy efficiency;
    (4) Is mounted in its own volute; and
    (5) Discharges liquid through its volute and the common discharge in 
a plane perpendicular to the impeller shaft.
    Two-speed dedicated-purpose pool pump means a dedicated-purpose pool 
pump that is capable of operating at only two different pre-determined 
operating speeds, where the low operating speed is less than or equal to 
half of the maximum operating speed and greater than zero, and must be 
distributed in commerce either:
    (1) With a pool pump control (e.g., variable speed drive and user 
interface or switch) that is capable of changing the speed in response 
to user preferences; or
    (2) Without a pool pump control that has the capability to change 
speed in response to user preferences, but is unable to operate without 
the presence of such a pool pump control.
    Variable-speed dedicated-purpose pool pump means a dedicated-purpose 
pool pump that is capable of operating at a variety of user-determined 
speeds, where all the speeds are separated by at most 100 rpm increments 
over the operating range and the lowest operating speed is less than or 
equal to one-third of the maximum operating speed and greater than zero. 
Such a pump must include a variable speed drive and be distributed in 
commerce either:
    (1) With a user interface that changes the speed in response to pre-
programmed user preferences and allows the user to select the duration 
of each speed and/or the on/off times; or
    (2) Without a user interface that changes the speed in response to 
pre-programmed user preferences and allows the user to select the 
duration of each speed and/or the on/off times, but is unable to operate 
without the presence of a user interface.
    Variable speed drive means equipment capable of varying the speed of 
the motor.
    Vertical turbine (VT) pump means a vertically suspended, single-
stage or multi-stage, dry rotor, single inlet, rotodynamic pump:
    (1) That has a shaft input power greater than or equal to 1 hp and 
less than or equal to 200 hp at BEP and full impeller diameter and at 
the number of stages required for testing;
    (2) For which the pump driver is not designed to be submerged in the 
pumped liquid;
    (3) That has a single pressure containing boundary (i.e., is single 
casing), which may consist of, but is not limited, to bowls, columns, 
and discharge heads; and
    (4) That discharges liquid through the same casing in which the 
impeller shaft is contained.
    Waterfall pump means a pool filter pump with a certified maximum 
head less than or equal to 30.0 feet, and a maximum speed less than or 
equal to 1,800 rpm.
    Wet rotor circulator pump means a single stage, rotodynamic, close-
coupled, wet rotor pump. Examples include, but are not limited to, pumps 
generally referred to in industry as CP1.

[81 FR 4145, Jan. 25, 2016, as amended at 82 FR 5742, Jan. 18, 2017; 82 
FR 36920, Aug. 7, 2017; 87 FR 57298, Sept. 19, 2022; 88 FR 17975, Mar. 
24, 2023]



Sec.  431.463  Materials incorporated by reference.

    (a) Certain material is incorporated by reference into this subpart 
with the approval of the Director of the Federal Register in accordance 
with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other 
than that specified in this section, DOE must publish a document in the 
Federal Register and the material must be available to the public. All 
approved incorporation by reference (IBR) is available for inspection at 
DOE, and at the National Archives and Records Administration (NARA). 
Contact DOE at: the 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) 586-9127, 
[email protected], https://www.energy.gov/eere/buildings/building-
technologies-office. For information on

[[Page 334]]

the availability of this material at NARA, visit www.archives.gov/
federal-register/cfr/ibr-locations.html or email [email protected]. 
The material may be obtained from the following sources:
    (b) ASME. American Society of Mechanical Engineers, Two Park Avenue, 
New York, NY 10016-5990; (800) 843-2763; www.asme.org.
    (1) ASME MFC-3M-2004 (Reaffirmed 2017) (``ASME MFC-3M-2004''), 
Measurement of Fluid Flow in Pipes Using Orifice, Nozzle, and Venturi, 
Issued January 1, 2004; IBR approved for appendix A to this subpart.
    (2) ANSI/ASME MFC-5M-1985 (Reaffirmed 2006) (``ASME MFC-5M-1985''), 
Measurement of Liquid Flow in Closed Conduits Using Transit-Time 
Ultrasonic Flowmeters, Issued July 15, 1985; IBR approved for appendix A 
to this subpart.
    (3) ASME MFC-8M-2001 (Reaffirmed 2011) (``ASME MFC-8M-2001''), Fluid 
Flow in Closed Conduits: Connections for Pressure Signal Transmissions 
Between Primary and Secondary Devices, Issued September 1, 2001; IBR 
approved for appendix A to this subpart.
    (4) ASME MFC-12M-2006 (Reaffirmed 2014) (``ASME MFC-12M-2006''), 
Measurement of Fluid Flow in Closed Conduits Using Multiport Averaging 
Pitot Primary Elements, Issued October 9, 2006; IBR approved for 
appendix A to this subpart.
    (5) ASME MFC-16-2014, Measurement of Liquid Flow in Closed Conduits 
with Electromagnetic Flowmeters, Issued March 14, 2014; IBR approved for 
appendix A to this subpart.
    (6) ASME MFC-22-2007 (Reaffirmed 2014) (``ASME MFC-22-2007''), 
Measurement of Liquid by Turbine Flowmeters, Issued April 14, 2008; IBR 
approved for appendix A to this subpart.
    (c) AWWA. American Water Works Association, Headquarters, 6666 W 
Quincy Ave, Denver, CO 80235; (303) 794-7711; www.awwa.org.
    (1) ANSI/AWWA E103-2015 (``AWWA E103-2015''), Horizontal and 
Vertical Line-Shaft Pumps, approved 7, 2015; IBR approved for appendix A 
to this subpart.
    (2) [Reserved]
    (d) CSA. Canadian Standards Association, 5060 Spectrum Way, Suite 
100, Mississauga, Ontario, L4W 5N6, Canada; (800) 463-6727; 
www.csagroup.org.
    (1) CSA C390-10 Test methods, marking requirements, and energy 
efficiency levels for three-phase induction motors, Updated March 2010; 
IBR approved for appendix A to this subpart.
    (2) CSA C747-2009 (Reaffirmed 2014) (``CSA C747-2009 (RA 2014)''), 
Energy efficiency test methods for small motors, CSA reaffirmed 2014; 
IBR approved for appendices B and C to this subpart, as follows:
    (i) Section 1, ``Scope'';
    (ii) Section 3, ``Definitions'';
    (iii) Section 5, ``General Test Requirements''; and
    (iv) Section 6, ``Test Method.''
    (e) FM. FM Global, 1151 Boston-Providence Turnpike, P.O. Box 9102, 
Norwood, MA 02062; (781) 762-4300; www.fmglobal.com.
    (1) FM Class Number 1319, Approval Standard for Centrifugal Fire 
Pumps (Horizontal, End Suction Type), January 2015; IBR approved for 
Sec.  431.462.
    (2) [Reserved]
    (f) HI. Hydraulic Institute, 300 Interpace Parkway, 3rd Floor, 
Parsippany, NJ 07054-4406; 973-267-9700; www.Pumps.org.
    (1) ANSI/HI 9.6.1-2017 (``HI 9.6.1-2017'') ``Rotodynamic Pumps--
Guideline for NPSH Margin, ANSI-approved January 6, 2017; IBR approved 
for appendix A to this subpart.
    (2) ANSI/HI 9.6.6-2016 (``HI 9.6.6-2016'') ``Rotodynamic Pumps for 
Pump Piping, ANSI-approved March 23, 2016; IBR approved for appendix A 
to this subpart.
    (3) ANSI/HI 9.8-2018 (``HI 9.8-2018'') ``Rotodynamic Pumps for Pump 
Intake Design, ANSI-approved January 8, 2018; IBR approved for appendix 
A to this subpart.
    (4) ANSI/HI 14.1-14.2-2019 (``HI 14.1-14.2-2019'') ``Rotodynamic 
Pumps for Nomenclature and Definitions, ANSI-approved April 9, 2019; IBR 
approved for appendix A to this subpart.
    (5) HI 40.6-2014 (``HI 40.6-2014-B''), Methods for Rotodynamic Pump 
Efficiency Testing, copyright 2014, IBR approved for appendices B and C 
to this subpart, excluding the following:
    (i) Section 40.6.4.1 ``Vertically suspended pumps'';
    (ii) Section 40.6.4.2 ``Submersible pumps'';
    (iii) Section 40.6.5.3 ``Test report'';

[[Page 335]]

    (iv) Section 40.6.5.5 ``Test conditions'';
    (v) Section 40.6.5.5.2 ``Speed of rotation during test'';
    (vi) Section 40.6.6.1 ``Translation of test results to rated speed 
of rotation'';
    (vii) Appendix A ``Test arrangements (normative)'': A.7 ``Testing at 
temperatures exceeding 30 [deg]C (86 [deg]F)''; and
    (viii) Appendix B, ``Reporting of test results (normative)'').
    (6) HI 40.6-2021, Hydraulic Institute Standard for Methods for 
Rotodynamic Pump Efficiency Testing, approved February 17, 2021; IBR 
approved for appendices A and D to this subpart.
    (7) HI 41.5-2022, Hydraulic Institute Program Guideline for 
Circulator Pump Energy Rating Program, approved June 16, 2022; IBR 
approved for appendix D to this subpart.
    (8) HI Engineering Data Book, Second Edition copyright 1990; IBR 
approved for appendix A to this subpart.
    (g) IEEE. Institute of Electrical and Electronics Engineers, Inc., 
45 Hoes Lane, P.O. Box 1331, Piscataway, NJ 08855-1331; (732) 981-0060; 
www.ieee.org.
    (1) IEEE 112-2017, IEEE Standard Test Procedure for Polyphase 
Induction Motors and Generators, published February 14, 2018; IBR 
approved for appendix A to this subpart.
    (2) IEEE 113-1985, IEEE Guide: Test Procedures for Direct-Current 
Machines,'' copyright 1985, IBR approved for appendices B and C to this 
subpart, as follows:
    (i) Section 3, Electrical Measurements and Power Sources for all 
Test Procedures:
    (A) Section 3.1, ``Instrument Selection Factors'';
    (B) Section 3.4 ``Power Measurement''; and
    (C) Section 3.5 ``Power Sources'';
    (ii) Section 4, Preliminary Tests:
    (A) Section 4.1, Reference Conditions, Section 4.1.2, ``Ambient 
Air''; and
    (B) Section 4.1, Reference Conditions, Section 4.1.4 ``Direction of 
Rotation''; and
    (iii) Section 5, Performance Determination:
    (A) Section 5.4, Efficiency, Section 5.4.1, ``Reference 
Conditions''; and
    (B) Section 5.4.3, Direct Measurements of Input and Output, Section 
5.4.3.2 ``Dynomometer or Torquemeter Method.''
    (3) IEEE 114-2010 (``IEEE 114-2010-A''), IEEE Standard Test 
Procedure for Single-Phase Induction Motors, published December 23, 
2010; IBR approved for appendix A to this subpart.
    (4) IEEE 114-2010 (``IEEE 114-2010''), ``IEEE Standard Test 
Procedure for Single-Phase Induction Motors,'' approved September 30, 
2010, IBR approved for appendices B and C to this subpart, as follows:
    (i) Section 3, ``General tests'', Section 3.2, ``Tests with load'';
    (ii) Section 4 ``Testing facilities''; and
    (iii) Section 5, ``Measurements'':
    (A) Section 5.2 ``Mechanical measurements'';
    (B) Section 5.3 ``Temperature measurements''; and
    (iv) Section 6 ``Tests.''
    (h) ISO. International Organization for Standardization, Chemin de 
Blandonnet 8, CP 401, 1214 Vernier, Geneva, Switzerland, +41 22 749 01 
11. www.iso.org.
    (1) ISO 1438:2017(E) (``ISO 1438:2017''), Hydrometry--Open channel 
flow measurement using thin-plate weirs, Third edition, April 2017; IBR 
approved for appendix A to this subpart.
    (2) ISO 2186:2007(E) (``ISO 2186:2007''), Fluid flow in closed 
conduits--Connections for pressure signal transmissions between primary 
and secondary elements, Second edition, March 1, 2007; IBR approved for 
appendix A to this subpart.
    (3) ISO 2715:2017(E) (``ISO 2715:2017''), Liquid hydrocarbons--
Volumetric measurement by turbine flowmeter, Second edition, November 1, 
2017; IBR approved for appendix A to this subpart.
    (4) ISO 3354:2008(E) (``ISO 3354:2008''), Measurement of clean water 
flow in closed conduits--Velocity-area method using current-meters in 
full conduits and under regular flow conditions, Third edition, July 15, 
2008; IBR approved for appendix A to this subpart.
    (5) ISO 3966:2020(E) (``ISO 3966:2020''), Measurement of fluid flow 
in closed conduits--Velocity area method using Pitot static tubes, Third 
edition, July 27, 2020; IBR approved for appendix A to this subpart.
    (6) ISO 5167-1:2003(E) (``ISO 5167-1:2003''), Measurement of fluid 
flow by

[[Page 336]]

means of pressure differential devices inserted in circular cross-
section conduits running full--Part 1: General principles and 
requirements, Second edition, March 1, 2003; IBR approved for appendix A 
to this subpart.
    (7) ISO 5198:1987(E) (``ISO 5198:1987''), Centrifugal, mixed flow 
and axial pumps--Code for hydraulic performance tests--Precision class, 
First edition, July 1, 1987; IBR approved for appendix A to this 
subpart.
    (8) ISO 6416:2017(E) (``ISO 6416:2017''), Hydrometry--Measurement of 
discharge by the ultrasonic transit time (time of flight) method, Fourth 
edition, October 2017; IBR approved for appendix A to this subpart.
    (9) ISO 20456:2017(E) (``ISO 20456:2017''), Measurement of fluid 
flow in closed conduits--Guidance for the use of electromagnetic 
flowmeters for conductive liquids, First edition, September 2017; IBR 
approved for appendix A to this subpart.
    (i) NFPA. National Fire Protection Association, 1 Batterymarch Park, 
Quincy, MA 02169-7471; (617) 770-3000; www.nfpa.org.
    (1) NFPA 20 (``NFPA 20-2016''), Standard for the Installation of 
Stationary Pumps for Fire Protection, 2016 Edition, approved June 15, 
2015, IBR approved for Sec.  431.462.
    (2) [Reserved]
    (j) NSF. NSF International, 789 N. Dixboro Road, Ann Arbor, MI 
48105; (743) 769-8010; www.nsf.org.
    (1) NSF/ANSI 50-2015, Equipment for Swimming Pools, Spas, Hot Tubs 
and Other Recreational Water Facilities, Annex C, normative Test methods 
for the evaluation of centrifugal pumps, Section C.3, Self-priming 
capability, ANSI-approved January 26, 2015; IBR approved for Sec.  
431.462 and appendices B and C to this subpart.
    (2) [Reserved]
    (k) UL. UL, 333 Pfingsten Road, Northbrook, IL 60062; (847) 272-
8800; www.ul.com.
    (1) UL 448 (``ANSI/UL 448-2013''), Standard for Safety Centrifugal 
Stationary Pumps for Fire-Protection Service, 10th Edition, June 8, 
2007, including revisions through July 12, 2013; IBR approved for Sec.  
431.462.
    (2) UL 1081 (``ANSI/UL 1081-2016''), Standard for Swimming Pool 
Pumps, Filters, and Chlorinators, 7th Edition, ANSI-approved October 21, 
2016; IBR approved for Sec.  431.462.

[88 FR 17976, Mar. 24, 2023, as amended at 88 FR 24471, Apr. 21, 2023]



Sec.  431.464  Test procedure for the measurement of energy efficiency,
energy consumption, and other performance factors of pumps.

    (a) General pumps--(1) Scope. This paragraph (a) provides the test 
procedures for determining the constant and variable load pump energy 
index for:
    (i) The following categories of clean water pumps that have the 
characteristics listed in paragraph (a)(1)(iii) of this section.
    (A) End suction close-coupled (ESCC);
    (B) End suction frame mounted/own bearings (ESFM);
    (C) In-line (IL);
    (D) Radially split, multi-stage, vertical, in-line casing diffuser 
(RSV); and
    (E) Submersible turbine (ST) pumps.
    (ii) The additional following categories of clean water pumps that 
have the characteristics listed in paragraph (a)(1)(iii) of this 
section:
    (A) Radially-split, multi-stage, horizontal, end-suction diffuser 
casing (RSHES);
    (B) Radially-split, multi-stage, horizontal, in-line diffuser casing 
(RSHIL);
    (C) Small vertical in-line (SVIL); and
    (D) Vertical Turbine (VT).
    (iii) Pump characteristics:
    (A) Flow rate of 25 gpm or greater at BEP and full impeller 
diameter;
    (B) Maximum head of 459 feet at BEP and full impeller diameter and 
the number of stages required for testing (see section 1.2.2 of appendix 
A of this subpart);
    (C) Design temperature range wholly or partially in the range of 15 
to 250 [deg]F;
    (D) Designed to operate with either:
    (1) A 2- or 4- or 6-pole induction motor, or
    (2) A non-induction motor with a speed of rotation operating range 
that includes speeds of rotation between 2,880 and 4,320 revolutions per 
minute (rpm) and/or 1,440 and 2,160 rpm and/or 960 and 1,439 revolutions 
per minute, and in each case, the driver and impeller must rotate at the 
same speed;

[[Page 337]]

    (E) For ST, and VT pumps, a 6-inch or smaller bowl diameter; and
    (F) For ESCC, and ESFM pumps, a specific speed less than or equal to 
5,000 when calculated using U.S. customary units.
    (2) Testing and calculations. Determine the applicable constant load 
pump energy index (PEICL) or variable load pump energy index 
(PEIVL) using the test procedure set forth in appendix A of 
this subpart.
    (b) Dedicated-purpose pool pumps--(1) Scope. This paragraph (b) 
provides the test procedures for determining the weighted energy factor 
(WEF), rated hydraulic horsepower, dedicated-purpose pool pump nominal 
motor horsepower, dedicated-purpose pool pump motor total horsepower, 
dedicated-purpose pool pump service factor, and other pump performance 
parameters for:
    (i) The following varieties of dedicated-purpose pool pumps:
    (A) Self-priming pool filter pumps;
    (B) Non-self-priming pool filter pumps;
    (C) Waterfall pumps; and
    (D) Pressure cleaner booster pumps;
    (ii) Served by single-phase or polyphase input power;
    (iii) Except for:
    (A) Submersible pumps; and
    (B) Self-priming and non-self-priming pool filter pumps with 
hydraulic output power greater than or equal to 2.5 horsepower.
    (2) Testing and calculations. Determine the weighted energy factor 
(WEF) using the test procedure set forth in appendix B or appendix C of 
this subpart, as applicable.
    (c) Circulator pumps--(1) Scope. This paragraph (c) provides the 
test procedures for determining the circulator energy index for 
circulator pumps that are also clean water pumps, including on-demand 
circulator pumps and circulators-less-volute, and excluding submersible 
pumps and header pumps.
    (2) Testing and calculations. Determine the circulator energy index 
(CEI) using the test procedure set forth in appendix D of this subpart 
Y.

[82 FR 36923, Aug. 7, 2017, as amended at 87 FR 57299, Sept. 19, 2022; 
88 FR 17978, Mar. 24, 2023]



Sec.  431.465  Circulator pumps energy conservation standards and their
compliance dates.

    (a) For the purposes of paragraph (b) of this section, 
``PEICL'' means the constant load pump energy index and 
``PEIVL'' means the variable load pump energy index, both as 
determined in accordance with the test procedure in Sec.  431.464. For 
the purposes of paragraph (c) of this section, ``BEP'' means the best 
efficiency point as determined in accordance with the test procedure in 
Sec.  431.464.
    (b) Each pump that is manufactured starting on January 27, 2020 and 
that:
    (1) Is in one of the equipment classes listed in the table in 
paragraph (b)(4) of this section;
    (2) Meets the definition of a clean water pump in Sec.  431.462;
    (3) Is not listed in paragraph (c) of this section; and
    (4) Conforms to the characteristics listed in paragraph (d) of this 
section must have a PEICL or PEIVL rating of not 
more than 1.00 using the appropriate C-value in the table in this 
paragraph (b)(4):

------------------------------------------------------------------------
                                            Maximum PEI
           Equipment class \1\                  \2\         C-value \3\
------------------------------------------------------------------------
ESCC.1800.CL............................            1.00          128.47
ESCC.3600.CL............................            1.00          130.42
ESCC.1800.VL............................            1.00          128.47
ESCC.3600.VL............................            1.00          130.42
ESFM.1800.CL............................            1.00          128.85
ESFM.3600.CL............................            1.00          130.99
ESFM.1800.VL............................            1.00          128.85
ESFM.3600.VL............................            1.00          130.99
IL.1800.CL..............................            1.00          129.30
IL.3600.CL..............................            1.00          133.84
IL.1800.VL..............................            1.00          129.30
IL.3600.VL..............................            1.00          133.84
RSV.1800.CL.............................            1.00          129.63
RSV.3600.CL.............................            1.00          133.20
RSV.1800.VL.............................            1.00          129.63
RSV.3600.VL.............................            1.00          133.20
ST.1800.CL..............................            1.00          138.78
ST.3600.CL..............................            1.00          134.85
ST.1800.VL..............................            1.00          138.78
ST.3600.VL..............................            1.00          134.85
------------------------------------------------------------------------
\1\ Equipment class designations consist of a combination (in sequential
  order separated by periods) of: (1) An equipment family (ESCC = end
  suction close-coupled, ESFM = end suction frame mounted/own bearing,
  IL = in-line, RSV = radially split, multi-stage, vertical, in-line
  diffuser casing, ST = submersible turbine; all as defined in Sec.
  431.462); (2) nominal speed of rotation (1800 = 1800 rpm, 3600 = 3600
  rpm); and (3) an operating mode (CL = constant load, VL = variable
  load). Determination of the operating mode is determined using the
  test procedure in appendix A to this subpart.
\2\ For equipment classes ending in .CL, the relevant PEI is PEICL. For
  equipment classes ending in .VL, the relevant PEI is PEIVL.
\3\ The C-values shown in this table must be used in the equation for
  PERSTD when calculating PEICL or PEIVL, as described in section II.B
  of appendix A to this subpart.


[[Page 338]]

    (c) The energy efficiency standards in paragraph (b) of this section 
do not apply to the following pumps:
    (1) Fire pumps;
    (2) Self-priming pumps;
    (3) Prime-assist pumps;
    (4) Magnet driven pumps;
    (5) Pumps designed to be used in a nuclear facility subject to 10 
CFR part 50, ``Domestic Licensing of Production and Utilization 
Facilities'';
    (6) Pumps meeting the design and construction requirements set forth 
in Military Specification MIL-P-17639F, ``Pumps, Centrifugal, 
Miscellaneous Service, Naval Shipboard Use'' (as amended); MIL-P-17881D, 
``Pumps, Centrifugal, Boiler Feed, (Multi-Stage)'' (as amended); MIL-P-
17840C, ``Pumps, Centrifugal, Close-Coupled, Navy Standard (For Surface 
Ship Application)'' (as amended); MIL-P-18682D, ``Pump, Centrifugal, 
Main Condenser Circulating, Naval Shipboard'' (as amended); MIL-P-
18472G, ``Pumps, Centrifugal, Condensate, Feed Booster, Waste Heat 
Boiler, And Distilling Plant'' (as amended). Military specifications and 
standards are available for review at http://everyspec.com/MIL-SPECS.
    (d) The energy conservation standards in paragraph (b) of this 
section apply only to pumps that have the following characteristics:
    (1) Flow rate of 25 gpm or greater at BEP at full impeller diameter;
    (2) Maximum head of 459 feet at BEP at full impeller diameter and 
the number of stages required for testing;
    (3) Design temperature range from 14 to 248 [deg]F;
    (4) Designed to operate with either:
    (i) A 2- or 4-pole induction motor; or
    (ii) A non-induction motor with a speed of rotation operating range 
that includes speeds of rotation between 2,880 and 4,320 revolutions per 
minute and/or 1,440 and 2,160 revolutions per minute; and
    (iii) In either case, the driver and impeller must rotate at the 
same speed;
    (5) For ST pumps, a 6-inch or smaller bowl diameter; and
    (6) For ESCC and ESFM pumps, specific speed less than or equal to 
5,000 when calculated using U.S. customary units.
    (e) For the purposes of paragraph (f) of this section, ``WEF'' means 
the weighted energy factor and ``hhp'' means the rated hydraulic 
horsepower, as determined in accordance with the test procedure in Sec.  
431.464(b) and applicable sampling plans in Sec.  429.59 of this 
chapter.
    (f) Each dedicated-purpose pool pump that is not a submersible pump 
and is manufactured starting on July 19, 2021 must have a WEF rating 
that is not less than the value calculated from the following table:

----------------------------------------------------------------------------------------------------------------
                        Equipment class                          Minimum allowable WEF    Minimum allowable WEF
---------------------------------------------------------------     score [kgal/kWh]         score [kgal/kWh]
                                                               -------------------------------------------------
 Dedicated-purpose pool pump variety      hhp Applicability           Motor phase
----------------------------------------------------------------------------------------------------------------
Self-priming pool filter pumps.......  0.711 hp <=hhp <2.5 hp.  Single.................  WEF = -2.30 * ln (hhp)
                                                                                          + 6.59.
Self-priming pool filter pumps.......  hhp <0.711 hp..........  Single.................  WEF = 5.55, for hhp
                                                                                          <=0.13 hp -1.30 * ln
                                                                                          (hhp) + 2.90, for hhp
                                                                                          0.13 hp.
Non-self-priming pool filter pumps...  hhp <2.5 hp............  Any....................  WEF = 4.60, for hhp
                                                                                          <=0.13 hp -0.85 * ln
                                                                                          (hhp) + 2.87, for hhp
                                                                                          0.13 hp.
Pressure cleaner booster pumps.......  Any....................  Any....................  WEF = 0.42.
----------------------------------------------------------------------------------------------------------------

    (g) Each integral cartridge filter pool pump and integral sand 
filter pool pump that is manufactured starting on July 19, 2021 must be 
distributed in commerce with a pool pump timer that is either integral 
to the pump or a separate component that is shipped with the pump.
    (h) For all dedicated-purpose pool pumps distributed in commerce 
with freeze protection controls, the pump must be shipped with freeze 
protection disabled or with the following default, user-adjustable 
settings:
    (1) The default dry-bulb air temperature setting is no greater than 
40 [deg]F;

[[Page 339]]

    (2) The default run time setting shall be no greater than 1 hour 
(before the temperature is rechecked); and
    (3) The default motor speed shall not be more than \1/2\ of the 
maximum available speed.
    (i) Each circulator pump that is manufactured starting on May 22, 
2028 and that meets the criteria in paragraphs (i)(1) through (i)(2) of 
this section must have a circulator energy index (``CEI'') rating (as 
determined in accordance with the test procedure in Sec.  431.464(c)(2)) 
of not more than 1.00 using the instructions in paragraph (i)(3) of this 
section and with a control mode as specified in paragraph (i)(4) of this 
section:
    (1) Is a clean water pump as defined in Sec.  431.462.
    (2) Is not a submersible pump or a header pump, each as defined in 
Sec.  431.462.
    (3) The relationships in this paragraph (i)(3) are necessary to 
calculate maximum CEI.
    (i) Calculate CEI according to the following equation:

                    Equation 1 to Paragraph (i)(3)(i)
[GRAPHIC] [TIFF OMITTED] TR20MY24.067

Where:

CEI = the circulator energy index (dimensionless);
CER = the circulator energy rating (hp), determined in accordance with 
          section 6 of appendix D to subpart Y of part 431; and
CERSTD = the CER for a circulator pump that is minimally 
          compliant with DOE's energy conservation standards with the 
          same hydraulic horsepower as the rated pump (hp), determined 
          in accordance with paragraph (i)(3)(ii) of this section.

    (ii) Calculate CERSTD according to the following 
equation:

                   Equation 2 to Paragraph (i)(3)(ii)
[GRAPHIC] [TIFF OMITTED] TR20MY24.068

Where:

CERSTD = the CER for a circulator pump that is minimally 
          compliant with DOE's energy conservation standards with the 
          same hydraulic horsepower as the rated pump (hp);
i = the index variable of the summation notation used to express 
          CERSTD (dimensionless) as described in the table 3 
          to paragraph (i)(3)(ii), in which i is expressed as a 
          percentage of circulator pump flow at best efficiency point, 
          determined in accordance with the test procedure in Sec.  
          431.464(c)(2);
[omega]i = the weighting factor (dimensionless) at each 
          corresponding test point, i, as described in table 3 to 
          paragraph (i)(3)(ii); and Piin,STD = the 
          reference power input to the circulator pump driver (hp) at 
          test point i, calculated using the equations and method 
          specified in paragraph (i)(3)(iii) of this section.


                     Table 3 to Paragraph (i)(3)(ii)
------------------------------------------------------------------------
                                                          Corresponding
                         I  (%)                              [omega]i
------------------------------------------------------------------------
25.....................................................              .25
50.....................................................              .25
75.....................................................              .25
100....................................................              .25
------------------------------------------------------------------------

    (iii) Calculate Piin,STD according to the 
following equation:

                   Equation 3 to Paragraph (i)(3)(iii)

[[Page 340]]

[GRAPHIC] [TIFF OMITTED] TR20MY24.069

Where:

Piin,STD = the reference power input to the 
          circulator pump driver at test point i (hp);
Pu,i = circulator pump basic model rated hydraulic horsepower 
          (hp) determined in accordance with 10 CFR 429.59(a)(2)(i);
[alpha]i = part-load efficiency factor (dimensionless) at 
          each test point i as described in table 4 to paragraph 
          (i)(3)(iii); and
[eta]WTW,100 = reference circulator pump wire-to-
          water efficiency at best efficiency point (%) at the 
          applicable energy conservation standard level, as described in 
          table 5 to paragraph (i)(3)(iii) as a function of circulator 
          pump basic model rated hydraulic horsepower at 100% BEP flow, 
          Pu,100.

                    Table 4 to Paragraph (i)(3)(iii)
------------------------------------------------------------------------
                                                          Corresponding
                         I  (%)                              [alpha]i
------------------------------------------------------------------------
25.....................................................           0.4843
50.....................................................           0.7736
75.....................................................           0.9417
100....................................................                1
------------------------------------------------------------------------


                    Table 5 to Paragraph (i)(3)(iii)
------------------------------------------------------------------------
         Pu,100                    [eta]WTW,100
------------------------------------------------------------------------
<1..............................  10*ln(Pu,100 + 0.001141) +
                                   67.78.
=1...................  67.79%.
------------------------------------------------------------------------

    (4) A circulator pump subject to energy conservation standards as 
described in this paragraph (i) must achieve the maximum CEI as 
described in paragraph (i)(3)(i) of this section and in accordance with 
the test procedure in Sec.  431.464(c)(2) in the least consumptive 
control mode in which it is capable of operating.

[81 FR 4431, Jan. 26, 2016, as amended at 82 FR 5742, Jan. 18, 2017; 89 
FR 44536, May 20, 2024]



Sec.  431.466  Pumps labeling requirements.

    (a) General pumps. For the pumps described in Sec.  431.464(a), the 
following requirements apply to units manufactured on the same date that 
compliance is required with any applicable standards prescribed in Sec.  
431.465.
    (1) Pump nameplate--(i) Required information. The permanent 
nameplate must be marked clearly with the following information:
    (A) For bare pumps and pumps sold with electric motors but not 
continuous or non-continuous controls, the rated pump energy index--
constant load (PEICL), and for pumps sold with motors and 
continuous or non-continuous controls, the rated pump energy index--
variable load (PEIVL);
    (B) The bare pump model number; and
    (C) If transferred directly to an end-user, the unit's impeller 
diameter, as distributed in commerce. Otherwise, a space must be 
provided for the impeller diameter to be filled in.
    (ii) Display of required information. All orientation, spacing, type 
sizes, typefaces, and line widths to display this required information 
must be the same as or similar to the display of the other performance 
data on the pump's permanent nameplate. The PEICL or 
PEIVL, as appropriate to a given pump model, must be 
identified in the form ``PEICL ________'' or 
``PEIVL ________.'' The model number must be in one of the 
following forms: ``Model ________'' or ``Model number ________'' or 
``Model No. ________.'' The unit's impeller diameter must be in the form 
``Imp. Dia. ________(in.).''
    (2) Disclosure of efficiency information in marketing materials. (i) 
The same information that must appear on a pump's permanent nameplate 
pursuant to paragraph (a)(1)(i) of this section, must also be 
prominently displayed:
    (A) On each page of a catalog that lists the pump; and
    (B) In other materials used to market the pump.
    (ii) [Reserved]
    (b) Dedicated-purpose pool pumps. For the pumps described in Sec.  
431.464(b), the following requirements apply on the same date that 
compliance is required

[[Page 341]]

with any applicable standards prescribed in Sec.  431.465.
    (1) Pump nameplate--(i) Required information. The permanent 
nameplate must be marked clearly with the following information:
    (A) The weighted energy factor (WEF); and
    (B) The dedicated-purpose pool pump motor total horsepower.
    (ii) Display of required information. All orientation, spacing, type 
sizes, typefaces, and line widths to display this required information 
must be the same as or similar to the display of the other performance 
data on the pump's permanent nameplate.
    (A) The WEF must be identified in the form ``WEF ________.''
    (B) The dedicated-purpose pool pump motor total horsepower must be 
identified in one of the following forms: ``Dedicated-purpose pool pump 
motor total horsepower __________,'' ``DPPP motor total horsepower 
__________,'' ``motor total horsepower __________,'' ``motor THP 
__________,'' or ``THP __________.''
    (2) [Reserved]

[82 FR 36923, Aug. 7, 2017]



 Sec. Appendix A to Subpart Y of Part 431--Uniform Test Method for the 
               Measurement of Energy Consumption of Pumps

     Note: Prior to September 20, 2023, representations with respect to 
the energy use or efficiency (including compliance certifications) of 
pumps specified in Sec.  431.464(a)(1)(i), excluding pumps listed in 
Sec.  431.464(a)(1)(iv), must be based on testing conducted in 
accordance with the applicable provisions of this appendix as they 
appeared in the January 1, 2022 edition of the Code of Federal 
Regulations of subpart Y of part 431 in 10 CFR parts 200 through 499.
    On or after September 20, 2023, representations with respect to the 
energy use or efficiency (including compliance certifications) of pumps 
specified in Sec.  431.464(a)(1)(i), excluding pumps listed in Sec.  
431.464(a)(1)(iv), must be based on testing conducted in accordance with 
the applicable provisions of this appendix.
    Any representations with respect to the energy use or efficiency of 
pumps specified in Sec.  431.464(a)(1)(ii), excluding pumps listed in 
Sec.  431.464(a)(1)(iv), made on or after September 20, 2023 must be 
made in accordance with the results of testing pursuant to this 
appendix. Manufacturers must use the results of testing under this 
appendix to determine compliance with any energy conservation standards 
established for pumps specified in Sec.  431.464(a)(1)(ii), excluding 
pumps listed in Sec.  431.464(a)(1)(iv), that are published after 
January 1, 2022.

                       I. Test Procedure for Pumps

    0. Incorporation by Reference.
    DOE incorporated by reference in Sec.  431.463 the entire standard 
for HI 40.6-2021, HI 9.6.1-2017, HI 9.6.6-2016, HI 9.8-2018, HI 14.1-
14.2-2019, the HI Engineering Data Book, ASME MFC-5M-1985, ASME MFC-3M-
2004, ASME MFC-8M-2001, ASME MFC-12M-2006, ASME MFC-16-2014, ASME MFC-
22-2007, AWWA E103-2015, CSA C390-10, IEEE 112-2017, IEEE 114-2010-A, 
ISO 1438:2017, ISO 2186:2007, ISO 2715:2017, ISO 3354:2008, ISO 
3966:2020, ISO 5167-1:2003, ISO 5198:1987, ISO 6416:2017, and ISO 
20456:2017; however, certain enumerated provisions of HI 40.6-2021, as 
follows are inapplicable. To the extent that there is a conflict between 
the terms or provisions of a referenced industry standard and the CFR, 
the CFR provisions control.
    0.1 HI 40.6-2021
    (a) Section 40.6.1 Scope
    (b) Section 40.6.5.3 Test report
    (c) Appendix B Reporting of test results (informative)
    (d) Appendix E Testing Circulator Pumps (normative)
    (e) Appendix G DOE Compared to HI 40.6 Nomenclature
    0.2 [Reserved]
    A. General. To determine the constant load pump energy index 
(PEICL) for bare pumps and pumps sold with electric motors or 
the variable load pump energy index (PEIVL) for pumps sold 
with electric motors and continuous or non-continuous controls, perform 
testing in accordance with HI 40.6-2021, except section 40.6.5.3, ``Test 
report'', including the applicable provisions of HI 9.6.1-2017, HI 
9.6.6-2016, HI 9.8-2018, HI 14.1-14.2-2019, the HI Engineering Data 
Book, ASME MFC-3M-2004, ASME MFC-5M-1985, ASME MFC-8M-2001, ASME MFC-
12M-2006, ASME MFC-16-2014, ASME MFC-22-2007, AWWA E103-2015, CSA C390-
10, IEEE 112-2017, IEEE 114-2010-A, ISO 1438:2017, ISO 2186:2007, ISO 
2715:2017, ISO 3354:2008, ISO 3966:2020, ISO 5167-1:2003, ISO 5198:1987, 
ISO 6416:2017, and ISO 20456:2017, as referenced in HI 40.6, with the 
modifications and additions as noted throughout the provisions below. 
Where HI 40.6-2021 refers to ``pump,'' the term refers to the ``bare 
pump,'' as defined in Sec.  431.462. Also, for the purposes of applying 
this appendix, the term ``volume per unit time,'' as defined in section 
40.6.2, ``Terms and definitions,'' of HI 40.6-2021 shall be deemed to be 
synonymous with the term ``flow rate'' used throughout that standard and 
this appendix. In addition, the specifications in section 40.6.4.1 of HI 
40.6-2021, ``Vertically suspended pumps,'' do not apply

[[Page 342]]

to ST pumps and the performance of ST bare pumps considers bowl 
performance only. However, the specifications in the first paragraph of 
section 40.6.4.1 of HI 40.6-2021 (including the applicable provisions of 
HI 14.1-14.2-2019, the HI Engineering Data Book, and AWWA E103-2015, as 
referenced in section 40.6.4.1 of HI 40.6), ``Vertically suspended 
pumps,'' do apply to VT pumps and the performance of VT bare pumps 
considers bowl performance only.
    A.1 Scope. Section II of this appendix applies to all pumps and 
describes how to calculate the pump energy index (section II.A) based on 
the pump energy rating for the minimally-compliant reference pump 
(PERSTD; section II.B) and the constant load pump energy 
rating (PERCL) or variable load pump energy rating 
(PERVL) determined in accordance with one of sections III 
through VII of this appendix, based on the configuration in which the 
pump is distributed in commerce and the applicable testing method 
specified in sections III through VII and as described in Table 1 of 
this appendix.

   Table 1--Applicability of Calculation-Based and Testing-Based Test
              Procedure Options Based on Pump Configuration
------------------------------------------------------------------------
                                                         Applicable test
      Pump configuration        Pump sub-configuration       methods
------------------------------------------------------------------------
Bare Pump.....................  Bare Pump OR Pump +     Section III:
                                 Single-Phase            Test Procedure
                                 Induction Motor         for Bare Pumps.
                                 (Excluding SVIL) OR
                                 Pump + Driver Other
                                 Than Electric Motor.
Pump + Motor OR Pump + Motor +  Pump + Motor Listed at  Section IV:
 Controls other than             Sec.   431.25(g) OR     Testing-Based
 continuous or non-continuous    SVIL Pump + Motor       Approach for
 controls (e.g., ON/OFF          Covered by DOE's Test   Pumps Sold with
 switches).                      Procedure and/or        Motors OR
                                 Energy Conservation     Section V:
                                 Standards * OR Pump +   Calculation-
                                 Submersible Motor.      Based Approach
                                                         for Pumps Sold
                                                         with Motors.
                                Pump (Including SVIL)   Section IV:
                                 + Motor Not Covered     Testing-Based
                                 by DOE's Motor Energy   Approach for
                                 Conservation            Pumps Sold with
                                 Standards (Except       Motors.
                                 Submersible Motors)
                                 ** OR Pump (Other
                                 than SVIL) + Single-
                                 Phase Induction Motor
                                 (if Section III is
                                 not used).
Pump + Motor + Continuous       Pump + Motor Listed at  Section VI:
 Controls OR Pump + Motor +      Sec.   431.25(g) +      Testing-Based
 Non-Continuous Controls OR      Continuous Control OR   Approach for
 Pump + Inverter-Only            SVIL Pump + Motor       Pumps Sold with
 Synchronous Electric Motor      Covered by DOE's Test   Motors and
 *** (With or Without            Procedure and/or        Controls OR
 Controls).                      Energy Conservation     Section VII:
                                 Standards * +           Calculation-
                                 Continuous Control OR   Based Approach
                                 Pump + Submersible      for Pumps Sold
                                 Motor + Continuous      with Motors
                                 Control OR Pump +       Controls.
                                 Inverter-Only
                                 Synchronous Electric
                                 Motor *** (With or
                                 Without Continuous
                                 Control).
                                Pump + Motor Listed at  Section VI:
                                 Sec.   431.25(g) +      Testing-Based
                                 Non-Continuous          Approach for
                                 Control OR SVIL Pump    Pumps Sold with
                                 + Motor Covered by      Motors and
                                 DOE's Test Procedure    Controls.
                                 and/or Energy
                                 Conservation
                                 Standards * + Non-
                                 Continuous Control OR
                                 Pump + Submersible
                                 Motor + Non-
                                 Continuous Control.
                                Pump (Including SVIL)   Section VI:
                                 + Motor Not Covered     Testing-Based
                                 by DOE's Motor Test     Approach for
                                 Procedure and/or        Pumps Sold with
                                 Energy Conservation     Motors and
                                 Standards ** (Except    Controls.
                                 Submersible Motors) +
                                 Continuous or Non-
                                 Continuous Controls
                                 OR Pump (Other than
                                 SVIL) + Single-Phase
                                 Induction Motor +
                                 Continuous or Non-
                                 Continuous Controls
                                 (if Section III is
                                 not used).
------------------------------------------------------------------------
* All references to ``Motor Covered by DOE's Motor Test Procedure and/or
  Energy Conservation Standards'' refer to those listed at Sec.
  431.446 of this chapter or those for Small Non-Small Electric Motor
  Electric Motors (SNEMs) at Subpart B to Part 431, including motors of
  such varieties that are less than 0.25 hp.
** All references to ``Motor Not Covered by DOE's Test Procedure and/or
  Motor Energy Conservation Standards'' refer to motors not listed at
  Sec.   431.25 of this chapter or, for SVIL, not listed at either Sec.
   431.446 of this chapter or in Subpart B to Part 431 (excluding motors
  of such varieties that are less than 0.25 hp).
*** All references to ``Inverter-Only Synchronous Electric Motor'' refer
  to inverter-only electric motors that are synchronous electric motors,
  both as defined in subpart B to Part 431.

    A.2 Section III of this appendix addresses the test procedure 
applicable to bare pumps. This test procedure also applies to pumps sold 
with drivers other than motors and ESCC, ESFM, IL, RSHES, RSHIL, RSV, 
ST, and VT pumps sold with single-phase induction motors.
    A.3 Section IV of this appendix addresses the testing-based approach 
for pumps sold with motors, which applies to all pumps sold with 
electric motors, except for pumps sold with inverter-only synchronous 
electric motors, but including pumps sold with single-phase induction 
motors. This test procedure also applies to pumps sold with controls 
other than continuous or non-continuous controls (e.g., on/off 
switches).
    A.4 Section V of this appendix addresses the calculation-based 
approach for pumps sold with motors, which applies to:
    A.4.1 Pumps sold with polyphase electric motors regulated by DOE's 
energy conservation standards for electric motors at Sec.  431.25(g), 
and
    A.4.2 SVIL pumps sold with small electric motors regulated by DOE's 
energy conservation standards at Sec.  431.446 or sold with SNEMs 
regulated by DOE's test procedure

[[Page 343]]

and/or energy conservation standards in subpart B of this part but 
including motors of such varieties that are less than 0.25 hp, and
    A.4.3 Pumps sold with submersible motors.
    A.5 Section VI of this appendix addresses the testing-based approach 
for pumps sold with motors and controls, which applies to all pumps sold 
with electric motors (including single-phase induction motors) and 
continuous or non-continuous controls and to pumps sold with inverter-
only synchronous electric motors with or without controls.
    A.6 Section VII of this appendix discusses the calculation-based 
approach for pumps sold with motors and controls, which applies to:
    A.6.1 Pumps sold with polyphase electric motors regulated by DOE's 
energy conservation standards for electric motors at Sec.  431.25(g) and 
continuous controls and
    A.6.2 Pumps sold with inverter-only synchronous electric motors 
regulated by DOE's test procedure and/or energy conservation standards 
in subpart B of this part,
    A.6.3 SVIL pumps sold with small electric motors regulated by DOE's 
energy conservation standards at Sec.  431.446 (but including motors of 
such varieties that are less than 0.25 hp) and continuous controls or 
with SNEMs regulated by DOE's test procedure and/or energy conservation 
standards at subpart B of this part (but including motors of such 
varieties that are less than 0.25 hp) and continuous controls, and
    A.6.4 Pumps sold with submersible motors and continuous controls.
    B. Measurement Equipment.
    B.1 Instrument Accuracy. For the purposes of measuring pump power 
input, driver power input to the motor or controls, and pump power 
output, the equipment specified in HI 40.6-2021 Appendix C (including 
the applicable provisions of ASME MFC-5M-1985, ASME MFC-3M-2004, ASME 
MFC-8M-2001, ASME MFC-12M-2006, ASME MFC-16-2014, ASME MFC-22-2007, CSA 
C390-10, IEEE 112-2017, IEEE 114-2010-A, ISO 1438:2017, ISO 2186:2007, 
ISO 2715:2017, ISO 3354:2008, ISO 3966:2020, ISO 5167-1:2003, ISO 
5198:1987, ISO 6416:2017, and ISO 20456:2017, as referenced in Appendix 
C of HI 40.6) necessary to measure head, speed of rotation, flow rate, 
temperature, torque, and electrical power must be used and must comply 
with the stated accuracy requirements in HI 40.6-2021 Table 40.6.3.2.3 
except as noted in sections III.B, IV.B, V.B, VI.B, and VII.B of this 
appendix. When more than one instrument is used to measure a given 
parameter, the combined accuracy, calculated as the root sum of squares 
of individual instrument accuracies, must meet the specified accuracy 
requirements.
    B.2 Calibration. Calibration requirements for instrumentation are 
specified in Appendix D of HI 40.6-2021.
    C. Test Conditions. Conduct testing at full impeller diameter in 
accordance with the test conditions, stabilization requirements, and 
specifications of HI 40.6-2021 Section 40.6.3, ``Pump efficiency 
testing;'' Section 40.6.4, ``Considerations when determining the 
efficiency of certain pumps'' including the applicable provisions of HI 
14.1-14.2-2019, the HI Engineering Data Book, and AWWA E103-2015, as 
referenced in section 40.6.4 of HI 40.6; section 40.6.5.4 (including 
appendix A), ``Test arrangements,'' including the applicable provisions 
of HI 9.6.1-2017, HI 9.6.6-2016, HI 9.8-2018, HI Engineering Data Book, 
and AWWA E103-2015 as referenced in appendix A of HI 40.6; and section 
40.6.5.5, ``Test conditions'' including the applicable provisions of HI 
9.6.1-2017 as referenced in section 40.6.5.5.1 of HI 40.6-2021. For ST 
pumps, head measurements must be based on the bowl assembly total head 
as described in section A.5 of 40.6-2021, including the applicable 
provisions of the HI Engineering Data Book and AWWA E103-2015 as 
referenced in ins section A.5 of HI 40.6-2021, and the pump power input 
or driver power input, as applicable, must be based on the measured 
input power to the driver or bare pump, respectively; section 40.6.4.1, 
``Vertically suspended pumps,'' does not apply to ST pumps.
    C.1 Nominal Speed of Rotation. Determine the nominal speed of 
rotation based on the range of speeds of rotation at which the pump is 
designed to operate, in accordance with sections I.C.1.1, I.C.1.2, and 
I.C.1.3 of this appendix, as applicable. When determining the range of 
speeds at which the pump is designed to operate, DOE will refer to 
published data, marketing literature, and other publicly-available 
information about the pump model and motor, as applicable.
    C.1.1 For pumps sold without motors, select the nominal speed of 
rotation based on the speed for which the pump is designed.
    C.1.1.1 For bare pumps designed for speeds of rotation including 
2,880 to 4,320 revolutions per minute (rpm), the nominal speed of 
rotation shall be 3,600 rpm.
    C.1.1.2 For bare pumps designed for speeds of rotation including 
1,440 to 2,160 rpm, the nominal speed of rotation shall be 1,800 rpm.
    C.1.1.3 For bare pumps designed for speeds of rotation including 960 
to 1,439 rpm, the nominal speed of rotation shall be 1,200 rpm.
    C.1.2 For pumps sold with induction motors, select the appropriate 
nominal speed of rotation.
    C.1.2.1 For pumps sold with 6-pole induction motors, the nominal 
speed of rotation shall be 1,200 rpm.
    C.1.2.2 For pumps sold with 4-pole induction motors, the nominal 
speed of rotation shall be 1,800 rpm.
    C.1.2.3 For pumps sold with 2-pole induction motors, the nominal 
speed of rotation shall be 3,600 rpm.

[[Page 344]]

    C.1.3 For pumps sold with non-induction motors, select the 
appropriate nominal speed of rotation.
    C.1.3.1 Where the operating range of the pump and motor includes 
speeds of rotation between 2,880 and 4,320 rpm, the nominal speed of 
rotation shall be 3,600 rpm.
    C.1.3.2 Where the operating range of the pump and motor includes 
speeds of rotation between 1,440 and 2,160 rpm, the nominal speed of 
rotation shall be 1,800 rpm.
    C.1.3.3 Where the operating range of the pump and motor includes 
speeds of rotation between 960 and 1,439, the nominal speed of rotation 
shall be 1,200 rpm.
    C.2 Multi-Stage Pumps. Perform testing on the pump with three stages 
for RSH and RSV pumps, and nine stages for ST and VT pumps. If the basic 
model of pump being tested is only available with fewer than the 
required number of stages, test the pump with the maximum number of 
stages with which the basic model is distributed in commerce in the 
United States. If the basic model of pump being tested is only available 
with greater than the required number of stages, test the pump with the 
lowest number of stages with which the basic model is distributed in 
commerce in the United States. If the basic model of pump being tested 
is available with both fewer and greater than the required number of 
stages, but not the required number of stages, test the pump with the 
number of stages closest to the required number of stages. If both the 
next lower and next higher number of stages are equivalently close to 
the required number of stages, test the pump with the next higher number 
of stages.
    C.3 Twin-Head Pumps. For twin-head pumps, perform testing on an 
equivalent single impeller IL or SVIL pump as applicable, constructed by 
incorporating one of the driver and impeller assemblies of the twin-head 
pump being rated into an adequate IL-style or SVIL-style, single 
impeller volute and casing. An adequate IL-style or SVIL-style, single 
impeller volute and casing means a volute and casing for which any 
physical and functional characteristics that affect energy consumption 
and energy efficiency are the same as their corresponding 
characteristics for a single impeller in the twin-head pump volute and 
casing.
    D. Data Collection and Analysis.
    D.1 Damping Devices. Use of damping devices, as described in section 
40.6.3.2.2 of HI 40.6-2021, are only permitted to integrate up to the 
data collection interval used during testing.
    D.2 Stabilization. Record data at any tested load point only under 
stabilized conditions, as defined in HI 40.6-2021 section 40.6.5.5.1, 
including the applicable provisions of HI 9.6.1-2017 as referenced in 
section 40.6.5.5.1 of HI 40.6, where a minimum of two measurements are 
used to determine stabilization.
    D.3 Calculations and Rounding. Normalize all measured data to the 
nominal speed of rotation of 3,600 or 1,800 or 1,200 rpm based on the 
nominal speed of rotation selected for the pump in section I.C.1 of this 
appendix, in accordance with the procedures specified in section 
40.6.6.1.1 of HI 40.6-2021. Except for the ``expected BEP flow rate,'' 
all terms and quantities refer to values determined in accordance with 
the procedures set forth in this appendix for the rated pump. Perform 
all calculations using raw measured values without rounding. Round PER 
CL and PER VL to three significant digits, and 
round PEI CL, and PEI VL values, as applicable, to 
the hundredths place (i.e., 0.01).
    D.4 Pumps with BEP at Run Out. Test pumps for which the expected BEP 
corresponds to a volume rate of flow that is within 20 percent of the 
expected maximum flow rate at which the pump is designed to operate 
continuously or safely (i.e., pumps with BEP at run-out) in accordance 
with the test procedure specified in this appendix, but with the 
following exceptions:
    D.4.1 Use the following seven flow points--40, 50, 60, 70, 80, 90, 
and 100 percent of the expected maximum flow rate for determination of 
BEP in sections III.D, IV.D, V.D, VI.D, and VII.D of this appendix 
instead of the flow points specified in those sections.
    D.4.2 Use flow points of 60, 70, 80, 90, and 100 percent of the 
expected maximum flow rate of the pump to determine pump power input or 
driver power input instead of the flow points of 60, 75, 90, 100, 110, 
and 120 percent of the expected BEP flow rate specified in sections 
III.E.1.1, IV.E.1, V.E.1.1, VI.E.1, and VII.E.1.1 of this appendix.
    D.4.3 To determine PER CL in sections III.E, IV.E, and 
V.E and to determine PER STD in section II.B, use load points 
of 65, 90, and 100 percent of the BEP flow rate determined with the 
modified flow points specified in this section I.D.4 of this appendix 
instead of 75, 100, and 110 percent of BEP flow. In section II.B.1.1, 
where alpha values are specified for the load points 75, 100, and 110 
percent of BEP flow rate, instead apply the alpha values to the load 
points of 65, 90, and 100 percent of the BEP flow rate determined with 
the modified flow points specified in this section I.D.4 of this 
appendix. However, in sections II.B.1.1.1 and II.B.1.1.1.1 of this 
appendix, use 100 percent of the BEP flow rate as specified to determine 
[eta]pump,STD and Ns as specified. To determine motor sizing 
for bare pumps in sections II.B.1.2.1.1 and III.E.1.2.1.1 of this 
appendix, use a load point of 100 percent of the BEP flow rate instead 
of 120 percent.

[[Page 345]]

                II. Calculation of the Pump Energy Index

    A. Determine the PEI of each tested pump based on the configuration 
in which it is sold, as follows:
    A.1. For pumps rated as bare pumps or pumps sold with motors (other 
than inverter-only synchronous electric motors), determine the PEI 
CL using the following equation:
[GRAPHIC] [TIFF OMITTED] TR24MR23.004

Where:

PEI CL = the pump energy index for a constant load (hp),
PER CL = the pump energy rating for a constant load (hp), 
          determined in accordance with either section III (for bare 
          pumps; ESCC, ESFM, IL, RSHES, RSHIL, RSV, ST or VT pumps sold 
          with single-phase induction motors; and pumps sold with 
          drivers other than electric motors), section IV (for pumps 
          sold with motors and rated using the testing-based approach), 
          or section V (for pumps sold with motors and rated using the 
          calculation-based approach) of this appendix, and
PER STD = the PER CL for a pump that is minimally 
          compliant with DOE's energy conservation standards with the 
          same flow and specific speed characteristics as the tested 
          pump (hp), as determined in accordance with section II.B of 
          this appendix.

    A.2 For pumps rated as pumps sold with motors and continuous 
controls or non-continuous controls (including pumps sold with inverter-
only synchronous electric motors with or without controls), determine 
the PEI VL using the following equation:
[GRAPHIC] [TIFF OMITTED] TR24MR23.005

PEI VL = the pump energy index for a variable load (hp),
PER VL = the pump energy rating for a variable load (hp), 
          determined in accordance with section VI (for pumps sold with 
          motors and continuous or non-continuous controls rated using 
          the testing-based approach) or section VII of this appendix 
          (for pumps sold with motors and continuous controls rated 
          using the calculation-based approach), and
PER STD = the PER CL for a pump that is minimally 
          compliant with DOE's energy conservation standards with the 
          same flow and specific speed characteristics as the tested 
          pump (hp), as determined in accordance with section II.B of 
          this appendix.

    B. Determine the pump energy rating for the minimally compliant 
reference pump (PERSTD), according to the following equation:
[GRAPHIC] [TIFF OMITTED] TR25JA16.031

Where:

PERSTD = the PERCL for a pump that is minimally 
          compliant with DOE's energy conservation standards with the 
          same flow and specific speed characteristics as the tested 
          pump (hp),

[[Page 346]]

[omega]i = 0.3333,
Piin,m = calculated driver power input to the 
          motor at load point i for the minimally compliant pump (hp), 
          calculated in accordance with section II.B.1of this appendix, 
          and
i = load point corresponding to 75, 100, or 110 percent of the BEP flow 
          rate.

    B.1. Determine the driver power input at each load point 
corresponding to 75, 100, or 110 percent of the BEP flow rate as 
follows:
[GRAPHIC] [TIFF OMITTED] TR25JA16.032

Where:

Piin,m = driver power input to the motor at load 
          point i (hp),
Pi = pump power input to the bare pump at load point i (hp), 
          calculated in accordance with section II.B.1.1 of this 
          appendix,
Li = the part load motor losses at load point i (hp), 
          calculated in accordance with section II.B.1.2 of this 
          appendix, and
i = load point corresponding to 75, 100, or 110 percent of the BEP flow 
          rate.

    B.1.1. Determine the pump power input to the minimally compliant 
pump at each load point corresponding to 75, 100, or 110 percent of the 
BEP flow rate as follows:
[GRAPHIC] [TIFF OMITTED] TR25JA16.033

Where:

Pi = pump power input to the bare pump at load point i (hp),
[alpha]i = 0.947 for 75 percent of the BEP flow rate, 1.000 
          for 100 percent of the BEP flow rate, and 0.985 for 110 
          percent of the BEP flow rate;
Pu,i = the pump power output at load point i of the tested 
          pump (hp), as determined in accordance with section II.B.1.1.2 
          of this appendix;
[eta]pump,STD = the minimally compliant pump efficiency (%), 
          calculated in accordance with section II.B.1.1.1 of this 
          appendix; and
i = load point corresponding to 75, 100, or 110 percent of the BEP flow 
          rate.

    B.1.1.1 Calculate the minimally compliant pump efficiency based on 
the following equation:

[eta]pump,STD = -0.8500 x ln(Q100%)\2\ 
          -0.3800 x ln(Ns) x ln(Q100%) - 11.480 x 
          ln(Ns)\2\ + 17.800 x ln(Q100%) + 179.80 
          x ln(Ns) - (C + 555.60

Where:

[eta]pump,STD = minimally compliant pump efficiency (%),
Q100% = the BEP flow rate of the tested pump at 
          full impeller and nominal speed of rotation (gpm),
Ns = specific speed of the tested pump determined in accordance with 
          section II.B.1.1.1.1 of this appendix, and
C = the appropriate C-value for the category and nominal speed of 
          rotation of the tested pump, as listed at Sec.  431.466.

    B.1.1.1.1 Determine the specific speed of the rated pump using the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR24MR23.006


[[Page 347]]


Where:

Ns = specific speed,
nsp = the nominal speed of rotation (rpm),
Q'100 = the measured BEP flow rate of the tested pump 
          at full impeller and nominal speed of rotation (gpm),
H100 = pump total head at 100 percent of the BEP flow 
          rate of the tested pump at full impeller and nominal speed of 
          rotation (ft), and
S = the number of stages with which the pump is being rated

    B.1.1.2 Determine the pump power output at each load point 
corresponding to 75, 100, or 110 percent of the BEP flow rate using the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR25JA16.035

Where:

Pu,i = the measured pump power output at load point i of the 
          tested pump (hp),
Qi = the measured flow rate at load point i of the tested 
          pump (gpm),
Hi = pump total head at load point i of the tested pump (ft),
SG = the specific gravity of water at specified test conditions, which 
          is equivalent to 1.00, and
i = load point corresponding to 75, 100, or 110 percent of the BEP flow 
          rate.
    B.1.2 Determine the motor part load losses at each load point 
corresponding to 75, 100, or 110 percent of the BEP flow rate as 
follows:

Li = Lfull x yi

Where:

Li = part load motor losses at load point i (hp),
Lfull = motor losses at full load (hp), as determined in 
          accordance with section II.B.1.2.1 of this appendix,
yi = part load loss factor at load point i determined in 
          accordance with section II.B.1.2.2 of this appendix, and
i = load point corresponding to 75, 100, or 110 percent of the BEP flow 
          rate.
    B.1.2.1 Determine the full load motor losses using the appropriate 
motor efficiency value and horsepower as shown in the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR25JA16.036

Where:

Lfull = motor losses at full load (hp),
MotorHP = the motor horsepower as determined in accordance with section 
          II.B.1.2.1.1 of this appendix (hp), and
[eta]motor,full = the default nominal full load motor 
          efficiency as determined in accordance with section 
          II.B.1.2.1.2 of this appendix (%).

    B.1.2.1.1 Determine the motor horsepower as follows:
     For bare pumps other than ST pumps, the motor 
horsepower is determined as the horsepower rating listed in Table 2 of 
this appendix that is either equivalent to, or the next highest 
horsepower greater than, the pump power input to the bare pump at 120 
percent of the BEP flow rate of the tested pump.
     For ST bare pumps, the motor horsepower is 
determined as the horsepower rating listed in Table 2 of this appendix 
that, is either equivalent to, or the next highest horsepower greater 
than, the pump power input to the bare pump at 120 percent of the BEP 
flow rate of the tested pump divided by a service factor of 1.15.
     For pumps sold with motors, pumps sold with 
motors and continuous controls, or pumps sold with motors and non-
continuous controls, the motor horsepower is the rated horsepower of the 
motor with which the pump is being tested.
    B.1.2.1.2 Determine the default nominal full load motor efficiency 
as described in section II.B.1.2.1.2.1 of this appendix for ESCC, ESFM, 
IL, RSHES, RSHIL, RSV, and VT pumps; section II.B.1.2.1.2.2 of this 
appendix for ST pumps; and section II.B.1.2.1.2.3 for SVIL pumps.

[[Page 348]]

    B.1.2.1.2.1. For ESCC, ESFM, IL, RSHES, RSHIL, RSV, and VT pumps, 
the default nominal full load motor efficiency is the minimum of the 
nominal full load motor efficiency standards (open or enclosed) from the 
table containing the current energy conservation standards for NEMA 
Design B motors at Sec.  431.25, with the number of poles relevant to 
the speed at which the pump is being tested (see section I.C.1 of this 
appendix) and the motor horsepower determined in section II.B.1.2.1.1 of 
this appendix.
    B.1.2.1.2.2. For ST pumps, prior to the compliance date of any 
energy conservation standards for submersible motors in subpart B of 
this part, the default nominal full load motor efficiency is the default 
nominal full load submersible motor efficiency listed in table 2 of this 
appendix, with the number of poles relevant to the speed at which the 
pump is being tested (see section I.C.1 of this appendix) and the motor 
horsepower determined in section II.B.1.2.1.1 of this appendix. Starting 
on the compliance date of any energy conservation standards for 
submersible motors in subpart B of this part, the default nominal full 
load motor efficiency shall be the minimum of any nominal full load 
motor efficiency standard from the table containing energy conservation 
standards for submersible motors in subpart B of this part, with the 
number of poles relevant to the speed at which the pump is being tested 
(see section I.C.1 of this appendix) and the motor horsepower determined 
in section II.B.1.2.1.1 of this appendix.
    B.1.2.1.2.3. For SVIL pumps, the default nominal full load motor 
efficiency is the minimum full load motor efficiency standard from the 
tables containing the current energy conservation standards for 
polyphase or CSCR/CSIR small electric motors at Sec.  431.446, with the 
number of poles relevant to the speed at which the pump is being tested 
(see section I.C.1 of this appendix) and the motor horsepower determined 
in section II.B.1.2.1.1 of this appendix, or for SVIL pumps sold with 
motors less than 0.25 hp, the default nominal full load motor efficiency 
is 58.3% for 6-pole, 64.6% for 4-pole, and 61.7% for 2-pole motors.
    B.1.2.2 Determine the part load loss factor at each load point 
corresponding to 75, 100, or 110 percent of the BEP flow rate as 
follows:
[GRAPHIC] [TIFF OMITTED] TR25JA16.037

Where:

yi = the part load loss factor at load point i,
Pi = pump power input to the bare pump at load point i (hp),
MotorHP = the motor horsepower (hp), as determined in accordance with 
          section II.B.1.2.1.1 of this appendix,
          [GRAPHIC] [TIFF OMITTED] TR25JA16.038
          
                   III. Test Procedure for Bare Pumps

    A. Scope. This section III applies only to:
    A.1 Bare pumps,
    A.2 Pumps sold with drivers other than electric motors, and
    A.3 ESCC, ESFM, IL, RSHES, RSHIL, RSV, ST, and VT pumps sold with 
single-phase induction motors.
    B. Measurement Equipment. The requirements regarding measurement 
equipment presented in section I.B of this appendix apply to this 
section III. In addition, when testing pumps using a calibrated motor, 
electrical measurement equipment shall meet the requirements of section 
C.4.3 of HI 40.6-2021 (including the applicable provisions of CSA C390-
10, IEEE 112-2017, IEEE 114-2010-A, as referenced in section C.4.3 of HI 
40.6), and motor power input shall be determined according to section 
40.6.3.2.3 of HI 40.6-2021 and meet the requirements in Table 40.6.3.2.3 
of HI 40.6-2021.
    C. Test Conditions. The requirements regarding test conditions 
presented in section I.C of this appendix apply to this section III. In 
addition, when testing pumps using a calibrated motor, the conditions in 
section C.4.3.1 of HI 40.6-2021 shall be met, including the applicable 
provisions of CSA C390-10,

[[Page 349]]

IEEE 112-2017, IEEE 114-2010-A, as referenced in section C.4.3.1 of HI 
40.6-2021.
    D. Testing BEP for the Pump. Determine the best efficiency point 
(BEP) of the pump as follows:
    D.1. Adjust the flow by throttling the pump without changing the 
speed of rotation of the pump and conduct the test at a minimum of the 
following seven flow points: 40, 60, 75, 90, 100, 110, and 120 percent 
of the expected BEP flow rate of the pump at the nominal speed of 
rotation, as specified in section 40.6.5.5.1 of HI 40.6-2021, including 
the applicable provisions of HI 9.6.1-2017 as referenced in section 
40.6.5.5.1 of HI 40.6-2021.
    D.2. Determine the BEP flow rate as the flow rate at the operating 
point of maximum pump efficiency on the pump efficiency curve, as 
determined in accordance with section 40.6.6.3 of HI 40.6-2021, where 
the pump efficiency is the ratio of the pump power output divided by the 
pump power input, as specified in Table 40.6.2 of HI 40.6-2021, 
disregarding the calculations provided in section 40.6.6.2 of HI 40.6-
2021.
    E. Calculating the Constant Load Pump Energy Rating. Determine the 
PERCL of each tested pump using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25JA16.039

Where:

PERCL = the pump energy rating for a constant load (hp),
[omega]i = 0.3333,
Piin,m = calculated driver power input to the 
          motor at load point i (hp), as determined in accordance with 
          section III.E.1 of this appendix, and
i = load point corresponding to 75, 100, or 110 percent of the BEP flow 
          rate.
    E.1 Determine the driver power input at each load point 
corresponding to 75, 100, or 110 percent of the BEP flow rate as 
follows:
[GRAPHIC] [TIFF OMITTED] TR25JA16.040

Where:

Piin,m = driver power input to the motor at load 
          point i (hp),
Pi = pump power input to the bare pump at load point i (hp), 
          as determined in section III.E.1.1 of this appendix,
Li = the part load motor losses at load point i (hp), as 
          determined in accordance with section III.E.1.2 of this 
          appendix, and
i = load point corresponding to 75, 100, or 110 percent of the BEP flow 
          rate.
    E.1.1 Determine the pump power input at 75, 100, 110, and 120 
percent of the BEP flow rate by employing a least squares regression to 
determine a linear relationship between the pump power input at the 
nominal speed of rotation of the pump and the measured flow rate at the 
following load points: 60, 75, 90, 100, 110, and 120 percent of the 
expected BEP flow rate. Use the linear relationship to determine the 
pump power input at the nominal speed of rotation for the load points of 
75, 100, 110, and 120 percent of the BEP flow rate.
    E.1.2 Determine the motor part load losses at each load point 
corresponding to 75, 100, or 110 percent of the BEP flow rate as 
follows:

Li = Lfull x yi

Where:

Li = motor losses at load point i (hp),
Lfull = motor losses at full load (hp), as determined in 
          accordance with section III.E.1.2.1 of this appendix,
yi = loss factor at load point i as determined in accordance 
          with section III.E.1.2.2 of this appendix, and
i = load point corresponding to 75, 100, or 110 percent of the BEP flow 
          rate.
    E.1.2.1 Determine the full load motor losses using the appropriate 
motor efficiency value and horsepower as shown in the following 
equation:

[[Page 350]]

[GRAPHIC] [TIFF OMITTED] TR25JA16.041

Where:

Lfull = motor losses at full load (hp);
MotorHP = the motor horsepower (hp), as determined in accordance with 
          section II.E.1.2.1.1 of this appendix, and
[eta]motor,full = the default nominal full load motor 
          efficiency (%), as determined in accordance with section 
          III.E.1.2.1.2 of this appendix.
    E.1.2.1.1 Determine the motor horsepower as follows:
     For bare pumps other than ST pumps, determine the 
motor horsepower by selecting the horsepower rating listed in Table 2 of 
this appendix that is either equivalent to, or the next highest 
horsepower greater than, the pump power input to the bare pump at 120 
percent of the BEP flow rate of the tested pump.
     For ST bare pumps, determine the motor horsepower 
by selecting the horsepower rating listed in Table 2 of this appendix 
that, is either equivalent to, or the next highest horsepower greater 
than, the pump power input to the bare pump at 120 percent of the BEP 
flow rate of the tested pump divided by a service factor of 1.15.
     For pumps sold with motors, pumps sold with 
motors and continuous controls, or pumps sold with motors and non-
continuous controls, the motor horsepower is the rated horsepower of the 
motor with which the pump is being tested.
    E.1.2.1.2 Determine the default nominal full load motor efficiency 
as described in section III.E.1.2.1.2.1 of this appendix for ESCC, ESFM, 
IL, RSHES, RSHIL, RSV, and VT pumps; or section III.E.1.2.1.2.2. of this 
appendix for ST pumps; or section III.E.1.2.1.2.3 of this appendix for 
SVIL pumps.
    E.1.2.1.2.1. For ESCC, ESFM, IL, RSHES, RSHIL, RSV, and VT pumps, 
the default nominal full load motor efficiency is the minimum of the 
nominal full load motor efficiency standards (open or enclosed) from the 
table containing the current energy conservation standards for NEMA 
Design B motors at Sec.  431.25, with the number of poles relevant to 
the speed at which the pump is being tested (see section I.C.1 of this 
appendix) and the motor horsepower determined in section III.E.1.2.1.1 
of this appendix.
    E.1.2.1.2.2. For ST pumps, prior to the compliance date of any 
energy conservation standards for submersible motors in subpart B of 
this part, the default nominal full load motor efficiency is the default 
nominal full load submersible motor efficiency listed in table 2 of this 
appendix, with the number of poles relevant to the speed at which the 
pump is being tested (see section I.C.1 of this appendix) and the motor 
horsepower determined in section III.E.1.2.1.1 of this appendix. 
Starting on the compliance date of any energy conservation standards for 
submersible motors in subpart B of this part, the default nominal full 
load motor efficiency is the minimum of any nominal full load motor 
efficiency standard from the table containing energy conservation 
standards for submersible motors in subpart B of this part, with the 
number of poles relevant to the speed at which the pump is being tested 
(see section I.C.1 of this appendix) and the motor horsepower determined 
in accordance with section III.E.1.2.1.1 of this appendix.
    E.1.2.1.2.3. For SVIL pumps, the default nominal full load motor 
efficiency is the minimum full load motor efficiency standard from the 
tables containing the current energy conservation standards for 
polyphase or CSCR/CSIR small electric motors at Sec.  431.446, with the 
number of poles relevant to the speed at which the pump is being tested 
(see section I.C.1 of this appendix) and the motor horsepower determined 
in section III.E.1.2.1.1 of this appendix, or for SVIL pumps sold with 
motors less than 0.25 hp, the default nominal full load motor efficiency 
is 58.3% for 6-pole, 64.6% for 4-pole, and 61.7% for 2-pole motors.
    E.1.2.2 Determine the loss factor at each load point corresponding 
to 75, 100, or 110 percent of the BEP flow rate as follows:
[GRAPHIC] [TIFF OMITTED] TR25JA16.042

Where:

yi = the part load loss factor at load point i,

[[Page 351]]

Pi = pump power input to the bare pump at load point i (hp), 
          as determined in accordance with section III.E.1.1 of this 
          appendix,
MotorHP = as determined in accordance with section III.E.1.2.1 of this 
          appendix (hp),
          [GRAPHIC] [TIFF OMITTED] TR25JA16.043
          
          IV. Testing-Based Approach for Pumps Sold With Motors

    A. Scope. This section IV applies only to pumps sold with electric 
motors (excluding pumps sold with inverter-only synchronous electric 
motors regulated by DOE's test procedure and/or energy conservation 
standards in subpart B of this part), including single-phase induction 
motors.
    B. Measurement Equipment. The requirements regarding measurement 
equipment presented in section I.B of this appendix apply to this 
section IV. In addition, when testing pumps using a calibrated motor, 
electrical measurement equipment shall meet the requirements of section 
C.4.3 of HI 40.6-2021 (including the applicable provisions of CSA C390-
10, IEEE 112-2017, IEEE 114-2010-A, as referenced in section C.4.3 of HI 
40.6), and motor power input shall be determined according to section 
40.6.3.2.3 of HI 40.6-2021 and meet the requirements in Table 40.6.3.2.3 
of HI 40.6-2021.
    C. Test Conditions. The requirements regarding test conditions 
presented in section I.C of this appendix apply to this section IV. In 
addition, when testing pumps using a calibrated motor, the conditions in 
section C.4.3.1 of HI 40.6-2021, including the applicable provisions of 
CSA C390-10, IEEE 112-2017, IEEE 114-2010-A, as referenced in Section 
C.4.3.1 of HI 40.6, shall be met.
    D. Testing BEP for the Pump. Determine the best efficiency point 
(BEP) of the pump as follows:
    D.1. Adjust the flow by throttling the pump without changing the 
speed of rotation of the pump and conduct the test at a minimum of the 
following seven flow points: 40, 60, 75, 90, 100, 110, and 120 percent 
of the expected BEP flow rate of the pump at the nominal speed of 
rotation, as specified in section 40.6.5.5.1 of HI 40.6-2021, including 
the applicable provisions of HI 9.6.1-2017 as referenced in section 
40.6.5.5.1 of HI 40.6-2021.
    D.2. Determine the BEP flow rate as the flow rate at the operating 
point of maximum pump efficiency on the pump efficiency curve, as 
determined in accordance with Section 40.6.6.3 of HI 40.6-2021, where 
the pump efficiency is the ratio of the pump power output divided by the 
pump power input, as specified in Table 40.6.2 of HI 40.6-2021, 
disregarding the calculations provided in section 40.6.6.2 of HI 40.6-
2021.
    E. Calculating the Constant Load Pump Energy Rating. Determine the 
PERCL of each tested pump using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25JA16.044

Where:

PERCL = the pump energy rating for a constant load (hp),
[omega]i = 0.3333,
Piin = measured driver power input to the motor at 
          load point i (hp) for the tested pump as determined in 
          accordance with section IV.E.1 of this appendix, and
i = load point corresponding to 75, 100, or 110 percent of the BEP flow 
          rate.

    E.1 Determine the driver power input at 75, 100, and 110 percent of 
the BEP flow rate by employing a least squares regression to determine a 
linear relationship between the driver power input at the nominal speed 
of rotation of the pump and the measured flow

[[Page 352]]

rate at the following load points: 60, 75, 90, 100, 110, and 120 percent 
of the expected BEP flow rate. Use the linear relationship to determine 
the driver power input at the nominal speed of rotation for the load 
points of 75, 100, and 110 percent of the BEP flow rate.

        V. Calculation-Based Approach for Pumps Sold With Motors

    A. Scope. This section V can only be used in lieu of the test method 
in section IV of this appendix to calculate the index for pumps sold 
with motors listed in section V.A.1, V.A.2, or V.A.3 of this appendix.
    A.1 Pumps sold with motors subject to DOE's energy conservation 
standards for polyphase electric motors at Sec.  431.25(g),
    A.2 SVIL pumps sold with small electric motors regulated by DOE's 
energy conservation standards at Sec.  431.446 or with SNEMs regulated 
by DOE's test procedure and/or energy conservation standards in subpart 
B of this part but including motors of such varieties that are less than 
0.25 hp, and
    A.3. Pumps sold with submersible motors.
    A.4. Pumps sold with motors not listed in sections V.A.1, V.A.2, or 
V.A.3 of this appendix cannot use this section V and must apply the test 
method in section IV of this appendix.
    B. Measurement Equipment. The requirements regarding measurement 
equipment presented in section I.B of this appendix apply to this 
section V. In addition, when testing pumps using a calibrated motor, 
electrical measurement equipment shall meet the requirements of section 
C.4.3 of HI 40.6-2021 (including the applicable provisions of CSA C390-
10, IEEE 112-2017, IEEE 114-2010-A, as referenced in section C.4.3 of HI 
40.6), and motor power input shall be determined according to section 
40.6.3.2.3 of HI 40.6-2021 and meet the requirements in Table 40.6.3.2.3 
of HI 40.6-2021.
    C. Test Conditions. The requirements regarding test conditions 
presented in section I.C of this appendix apply to this section V. In 
addition, when testing pumps using a calibrated motor, the conditions in 
section C.4.3.1 of HI 40.6-2021, including the applicable provisions of 
CSA C390-10, IEEE 112-2017, IEEE 114-2010-A, as referenced in section 
C.4.3.1 of HI 40.6-2021 shall be met.
    D. Testing BEP for the Pump. Determine the best efficiency point 
(BEP) of the pump as follows:
    D.1. Adjust the flow by throttling the pump without changing the 
speed of rotation of the pump and conduct the test at a minimum of the 
following seven flow points: 40, 60, 75, 90, 100, 110, and 120 percent 
of the expected BEP flow rate of the pump at the nominal speed of 
rotation, as specified in section 40.6.5.5.1 of HI 40.6-2021, including 
the applicable provisions of HI 9.6.1-2017 as referenced in section 
40.6.5.5.1 of HI 40.6-2021.
    D.2. Determine the BEP flow rate as the flow rate at the operating 
point of maximum pump efficiency on the pump efficiency curve, as 
determined in accordance with section 40.6.6.3 of HI 40.6-2021, where 
the pump efficiency is the ratio of the pump power output divided by the 
pump power input, as specified in Table 40.6.2 of HI 40.6-2021, 
disregarding the calculations provided in section 40.6.6.2.
    E. Calculating the Constant Load Pump Energy Rating. Determine the 
PERCL of each tested pump using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25JA16.045

Where:

PERCL = the pump energy rating for a constant load (hp),
[omega]i = 0.3333,
Piin,m = calculated driver power input to the 
          motor at load point i for the tested pump as determined in 
          accordance with section V.E.1 of this appendix (hp), and
i = load point corresponding to 75, 100, or 110 percent of the BEP flow 
          rate.
    E.1 Determine the driver power input at each load point 
corresponding to 75, 100, or 110 percent of the BEP flow rate as 
follows:
[GRAPHIC] [TIFF OMITTED] TR25JA16.046

Where:

Piin,m = driver power input to the motor at load 
          point i (hp),
Pi = pump power input to the bare pump at load point i, as 
          determined in section V.E.1.1 of this appendix (hp),

[[Page 353]]

Li = the part load motor losses at load point i as determined 
          in accordance with section V.E.1.2 of this appendix (hp), and
i = load point corresponding to 75, 100, or 110 percent of the BEP flow 
          rate.
    E.1.1 Determine the pump power input at 75, 100, and 110 percent of 
the BEP flow rate by employing a least squares regression to determine a 
linear relationship between the pump power input at the nominal speed of 
rotation of the pump and the measured flow rate at the following load 
points: 60, 75, 90, 100, 110, and 120 percent of the expected BEP flow 
rate. Use the linear relationship to determine the pump power input at 
the nominal speed of rotation for the load points of 75, 100, and 110 
percent of the BEP flow rate.
    E.1.2 Determine the motor part load losses at each load point 
corresponding to 75, 100, or 110 percent of the BEP flow rate as 
follows:

Li = Lfull x Yi

Where:
Li = motor losses at load point i (hp),
Lfull = motor losses at full load as determined in accordance 
          with section V.E.1.2.1 of this appendix (hp),
yi = part load loss factor at load point i as determined in 
          accordance with section V.E.1.2.2 of this appendix, and
i = load point corresponding to 75, 100, or 110 percent of the BEP flow 
          rate.
    E.1.2.1 Determine the full load motor losses using the appropriate 
motor efficiency value and horsepower as shown in the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR25JA16.047

Where:

Lfull = motor losses at full load (hp),
MotorHP = the horsepower of the motor with which the pump model is being 
          tested (hp), and
[eta]motor,full = the represented nominal full load motor 
          efficiency (i.e., nameplate/DOE-certified value) or default 
          nominal full load submersible motor efficiency as determined 
          in accordance with section V.E.1.2.1.1 of this appendix (%).
    E.1.2.1.1 For pumps sold with motors other than submersible motors, 
determine the represented nominal full load motor efficiency as 
described in section V.E.1.2.1.1.1 of this appendix. For pumps sold with 
submersible motors, determine the default nominal full load submersible 
motor efficiency as described in section V.E.1.2.1.1.2 of this appendix.
    E.1.2.1.1.1 For pumps sold with motors other than submersible 
motors, the represented nominal full load motor efficiency is that of 
the motor with which the given pump model is being tested, as determined 
in accordance with the DOE test procedure for electric motors at Sec.  
431.16 or, for SVIL, the DOE test procedure for small electric motors at 
Sec.  431.444, or the DOE test procedure for SNEMs in subpart B to this 
part, as applicable (including for motors less than 0.25 hp), and if 
available, applicable representation procedures in 10 CFR part 429 and 
this part.
    E.1.2.1.1.2 For pumps sold with submersible motors, prior to the 
compliance date of any energy conservation standards for submersible 
motors in subpart B of this part, the default nominal full load 
submersible motor efficiency is that listed in table 2 of this appendix, 
with the number of poles relevant to the speed at which the pump is 
being tested (see section I.C.1 of this appendix) and the motor 
horsepower of the pump being tested, or if a test procedure for 
submersible motors is provided in subpart B to this part, the 
represented nominal full load motor efficiency of the motor with which 
the given pump model is being tested, as determined in accordance with 
the applicable test procedure in subpart B to this part and applicable 
representation procedures in 10 CFR part 429 and this part, may be used 
instead. Starting on the compliance date of any energy conservation 
standards for submersible motors in subpart B of this part, the default 
nominal full load submersible motor efficiency may no longer be used. 
Instead, the represented nominal full load motor efficiency of the motor 
with which the given pump model is being tested, as determined in 
accordance with the applicable test procedure in subpart B of this part 
and applicable representation procedures in 10 CFR part 429 and this 
part, must be used.
    E.1.2.2 Determine the loss factor at each load point corresponding 
to 75, 100, or 110 percent of the BEP flow rate as follows:

[[Page 354]]

[GRAPHIC] [TIFF OMITTED] TR25JA16.048

Where:

yi = the part load loss factor at load point i,
Pi = the pump power input to the bare pump at load point i as 
          determined in accordance with section V.E.1.1 of this appendix 
          (hp),
MotorHP = the horsepower of the motor with which the pump model is being 
          tested (hp),
i = load point corresponding to 75, 100, or 110 percent of the BEP flow 
          rate, and
          [GRAPHIC] [TIFF OMITTED] TR25JA16.049
          
in the equation in this section V.E.1.2.2. of this appendix to calculate 
the part load loss factor at each load point

   VI. Testing-Based Approach for Pumps Sold with Motors and Controls

    A. Scope. This section VI applies only to pumps sold with electric 
motors, including single-phase induction motors, and continuous or non-
continuous controls, as well as to pumps sold with inverter-only 
synchronous electric motors that are regulated by DOE's test procedure 
and/or energy conservation standards in subpart B of this part (with or 
without controls). For the purposes of this section VI, all references 
to ``driver input power'' in this section VI or HI 40.6-2021 refer to 
the input power to the continuous or non-continuous controls.
    B. Measurement Equipment. The requirements regarding measurement 
equipment presented in section I.B of this appendix apply to this 
section VI. In addition, when testing pumps using a calibrated motor, 
electrical measurement equipment shall meet the requirements of section 
C.4.3 of HI 40.6-2021 (including the applicable provisions of CSA C390-
10, IEEE 112-2017, IEEE 114-2010-A, as referenced in section C.4.3 of HI 
40.6), and motor power input shall be determined according to section 
40.6.3.2.3 of HI 40.6-2021 and meet the requirements in Table 40.6.3.2.3 
of HI 40.6-2021.
    C. Test Conditions. The requirements regarding test conditions 
presented in section I.C of this appendix apply to this section VI. In 
addition, when testing pumps using a calibrated motor, the conditions in 
section C.4.3.1 of HI 40.6-2021, including the applicable provisions of 
CSA C390-10, IEEE 112-2017, IEEE 114-2010-A, as referenced in section 
C.4.3.1 of HI 40.6, shall be met.
    D. Testing BEP for the Pump. Determine the best efficiency point 
(BEP) of the pump as follows:
    D.1. Adjust the flow by throttling the pump without changing the 
speed of rotation of the pump and conduct the test at a minimum of the 
following seven flow points: 40, 60, 75, 90, 100, 110, and 120 percent 
of the expected BEP flow rate of the pump at the nominal speed of 
rotation, as specified in section 40.6.5.5.1 of HI 40.6-2021, including 
the applicable provisions of HI 9.6.1-2017 as referenced in section 
40.6.5.5.1 of HI 40.6-2021.
    D.2. Determine the BEP flow rate as the flow rate at the operating 
point of maximum pump efficiency on the pump efficiency curve, as 
determined in accordance with section 40.6.6.3 of HI 40.6-2021, where 
the pump efficiency is the ratio of the pump power output divided by the 
pump power input, as specified in Table 40.6.2 of HI 40.6-2021, 
disregarding the calculations provided in section 40.6.6.2.
    E. Calculating the Variable Load Pump Energy Rating. Determine the 
PERVL of each tested pump using the following equation:

[[Page 355]]

[GRAPHIC] [TIFF OMITTED] TR25JA16.050

Where:

PERVL = the pump energy rating for a variable load (hp);
[omega]i = 0.25;
Piin,c = the normalized driver power input to 
          continuous or non-continuous controls at load point i for the 
          tested pump as determined in accordance with section VI.E.1 of 
          this appendix; and
i = load point corresponding 25, 50, 75, or 100 percent of the BEP flow 
          rate.
    E.1. Determine the driver power input at 100 percent of the measured 
BEP flow rate of the tested pump by employing a least squares regression 
to determine a linear relationship between the measured driver power 
input at the nominal speed of rotation of the pump and the measured flow 
rate, using the following load points: 60, 75, 90, 100, 110, and 120 
percent of the expected BEP flow rate. Use the linear relationship to 
determine the driver power input at the nominal speed of rotation for 
the load point of 100 percent of the measured BEP flow rate of the 
tested pump.
    E.2 Determine the driver power input at 25, 50, and 75 percent of 
the BEP flow rate by measuring the driver power input at the load points 
defined by:
    (1) Those flow rates, and
    (2) The associated head points calculated according to the following 
reference system curve equation:
[GRAPHIC] [TIFF OMITTED] TR25JA16.051

Where:

Hi = pump total head at load point i (ft),
H100% = pump total head at 100 percent of the BEP 
          flow rate and nominal speed of rotation (ft),
Qi = flow rate at load point i (gpm),
Q100% = flow rate at 100 percent of the BEP flow 
          rate and nominal speed of rotation (gpm), and
i = load point corresponding to 25, 50, or 75 percent of the measured 
          BEP flow rate of the tested pump.
    E.2.1. For pumps sold with motors and continuous controls, the 
specific head and flow points must be achieved within 10 percent of the 
calculated values and the measured driver power input must be corrected 
to the exact intended head and flow conditions using the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR25JA16.052

Where:

Piin,c = the corrected driver power input to the 
          continuous or non-continuous controls at load point i (hp),
Hsp,i = the specified total system head at load point i based 
          on the reference system curve (ft),
HM,j = the measured total system head at load point j (ft),
Qsp,i = the specified total system flow rate at load point i 
          based on the reference system curve (gpm),
QM,j = the measured total system flow rate at load point j 
          (gpm),
PM,jin,c = the measured normalized driver power 
          input to the continuous or non-continuous controls at load 
          point j (hp),
i = specified load point at 25, 50, 75, or 100 percent of BEP flow, and
j = measured load point corresponding to specified load point i.

    E.2.2. For pumps sold with motors and non-continuous controls, the 
head associated with each of the specified flow points shall be no lower 
than 10 percent below that defined by the reference system curve 
equation in section VI.E.2 of this appendix. Only the

[[Page 356]]

measured flow points must be achieved within 10 percent of the 
calculated values. Correct for flow and head as described in section 
VI.E.2.1, except do not correct measured head values that are higher 
than the reference system curve at the same flow rate; only correct flow 
rate and head values lower than the reference system curve at the same 
flow rate. For head values higher than the system curve, use the 
measured head points directly to calculate PEIVL.

 VII. Calculation-Based Approach for Pumps Sold With Motors and Controls

    A. Scope. This section VII can only be used in lieu of the test 
method in section VI of this appendix to calculate the index for pumps 
listed in sections VII.A.1, VII.A.2, VII.A.3, and VII.A.4 of this 
appendix.
    A.1. Pumps sold with motors regulated by DOE's energy conservation 
standards for polyphase NEMA Design B electric motors at Sec.  431.25(g) 
and continuous controls,
    A.2. Pumps sold with inverter-only synchronous electric motors 
regulated by DOE's test procedure and/or energy conservation standards 
in subpart B of this part,
    A.3. SVIL pumps sold with small electric motors regulated by DOE's 
energy conservation standards at Sec.  431.446 or with SNEMs regulated 
by DOE's test procedure and/or energy conservation standards in subpart 
B of this part (but including motors of such varieties that are less 
than 0.25 hp) and continuous controls,
    A.4. Pumps sold with submersible motors and continuous controls, and
    A.5. Pumps sold with motors not listed in sections VII.A.1, VII.A.2, 
VII.A.3, and VII.A.4 of this appendix and pumps sold without continuous 
controls, including pumps sold with non-continuous controls, cannot use 
this section and must apply the test method in section VI of this 
appendix.
    B. Measurement Equipment. The requirements regarding measurement 
equipment presented in section I.B of this appendix apply to this 
section VII. In addition, when testing pumps using a calibrated motor, 
electrical measurement equipment shall meet the requirements of section 
C.4.3 of HI 40.6-2021 (including the applicable provisions of CSA C390-
10, IEEE 112-2017, IEEE 114-2010-A, as referenced in section C.4.3 of HI 
40.6), and motor power input shall be determined according to section 
40.6.3.2.3 of HI 40.6-2021 and meet the requirements in Table 40.6.3.2.3 
of HI 40.6-2021.
    C. Test Conditions. The requirements regarding test conditions 
presented in section I.C of this appendix apply to this section VII. In 
addition, when testing pumps using a calibrated motor, the conditions in 
section C.4.3.1 of HI 40.6-2021, including the applicable provisions of 
CSA C390-10, IEEE 112-2017, IEEE 114-2010-A, as referenced in section 
C.4.3.1 of HI 40.6-2021 shall be met.
    D. Testing BEP for the Pump. Determine the best efficiency point 
(BEP) of the pump as follows:
    D.1. Adjust the flow by throttling the pump without changing the 
speed of rotation of the pump and conduct the test at a minimum of the 
following seven flow points: 40, 60, 75, 90, 100, 110, and 120 percent 
of the expected BEP flow rate of the pump at the nominal speed of 
rotation, as specified in HI 40.6-2021, except section 40.6.5.3, and 
appendix B, including the applicable provisions of HI 9.6.1-2017, HI 
9.6.6-2016, HI 9.8-2018, HI 14.1-14.2-2019, the HI Engineering Data 
Book, ASME MFC-3M-2004, ASME MFC-5M-1985, ASME MFC-8M-2001, ASME MFC-
12M-2006, ASME MFC-16-2014, ASME MFC-22-2007, AWWA E103-2015, CSA C390-
10, IEEE 112-2017, IEEE 114-2010-A, ISO 1438:2017, ISO 2186:2007, ISO 
2715:2017, ISO 3354:2008, ISO 3966:2020, ISO 5167-1:2003, ISO 5198:1987, 
ISO 6416:2017, and ISO 20456:2017, as referenced in HI 40.6-2021.
    D.2. Determine the BEP flow rate as the flow rate at the operating 
point of maximum pump efficiency on the pump efficiency curve, as 
determined in accordance with section 40.6.6.3 of HI 40.6-2021, where 
the pump efficiency is the ratio of the pump power output divided by the 
pump power input, as specified in Table 40.6.2 of HI 40.6-2021, 
disregarding the calculations provided in section 40.6.6.2.
    E. Calculating the Variable Load Pump Energy Rating. Determine the 
PERVL of each tested pump using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25JA16.053

Where:

PERVL = the pump energy rating for a variable load (hp);
[omega]i = 0.25;
Piin,c = the calculated driver power input to the 
          continuous or non-continuous controls at load point i for the 
          tested pump as determined in accordance with section VII.E.1 
          of this appendix; and
i = load point corresponding to 25, 50, 75, or 100 percent of the BEP 
          flow rate.

    E.1 Determine the driver power input at each load point 
corresponding to 25, 50, 75, or 100 percent of the BEP flow rate as 
follows:

[[Page 357]]

[GRAPHIC] [TIFF OMITTED] TR25JA16.054

Where:

Piin,c = driver power input at to the continuous 
          or non-continuous controls at load point i (hp),
Pi = pump power input to the bare pump at load point i as 
          determined in accordance with section VII.E.1.1 of this 
          appendix (hp),
Li = the part load motor and control losses at load point i 
          as determined in accordance with section VII.E.1.2 of this 
          appendix (hp), and
i = load point corresponding to 25, 50, 75, or 100 percent of the BEP 
          flow rate.

    E.1.1 Determine the pump power input at 100 percent of the measured 
BEP flow rate of the tested pump by employing a least squares regression 
to determine a linear relationship between the measured pump power input 
at the nominal speed of rotation and the measured flow rate at the 
following load points: 60, 75, 90, 100, 110, and 120 percent of the 
expected BEP flow rate. Use the linear relationship to determine the 
pump power input at the nominal speed of rotation for the load point of 
100 percent of the BEP flow rate.
    E.1.1.1 Determine the pump power input at 25, 50, and 75 percent of 
the BEP flow rate based on the measured pump power input at 100 percent 
of the BEP flow rate and using with the following equation:
[GRAPHIC] [TIFF OMITTED] TR25JA16.055

Where:

Pi = pump power input at load point i (hp);
P100% = pump power input at 100 percent of the BEP flow rate 
          and nominal speed of rotation (hp);
Qi = flow rate at load point i (gpm);
Q100% = flow rate at 100 percent of the BEP flow rate and 
          nominal speed of rotation (gpm); and
i = load point corresponding to 25, 50, or 75 percent of the measured 
          BEP flow rate of the tested pump.

    E.1.2 Calculate the motor and control part load losses at each load 
point corresponding to 25, 50, 75, and 100 percent of the BEP flow rate 
as follows:

Li = Lfull x zi

Where:

Li = motor and control losses at load point i (hp),
Lfull = motor losses at full load or, for inverter-only 
          synchronous electric motors, motor + inverter losses at full 
          load, as determined in accordance with section VII.E.1.2.1 of 
          this appendix (hp),
zi = part load loss factor at load point i as determined in 
          accordance with section VII.E.1.2.2 of this appendix, and
i = load point corresponding to 25, 50, 75, or 100 percent of the BEP 
          flow rate.

    E.1.2.1 Determine the full load motor losses using the appropriate 
motor efficiency value and horsepower as shown in the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR24MR23.007


[[Page 358]]


Where:

Lfull = motor losses at full load (hp), or for inverter-only 
          synchronous electric motors, motor + inverter losses at full 
          load,
MotorHP = the horsepower of the motor with which the pump model is being 
          tested (hp), and
[eta] motor,full = the represented nominal full load motor 
          efficiency (i.e., nameplate/DOE-certified value) or the 
          represented nominal full load motor + inverter efficiency or 
          the default nominal full load submersible motor efficiency as 
          determined in accordance with section VII.E.1.2.1.1 of this 
          appendix (%).

    E.1.2.1.1 For pumps sold with motors other than inverter-only 
synchronous electric motors or submersible motors, determine the 
represented nominal full load motor efficiency as described in section 
VII.E.1.2.1.1.1 of this appendix. For pumps sold with inverter-only 
synchronous electric motors, determine the represented nominal full load 
motor + inverter efficiency as described in section VII.E.1.2.1.1.2 of 
this appendix. For pumps sold with submersible motors, determine the 
default nominal full load submersible motor efficiency as described in 
section VII.E.1.2.1.1.3 of this appendix.
    E.1.2.1.1.1 For pumps sold with motors other than inverter-only 
synchronous electric motors or submersible motors, the represented 
nominal full load motor efficiency is that of the motor with which the 
given pump model is being tested, as determined in accordance with the 
DOE test procedure for electric motors at Sec.  431.16 or, for SVIL, the 
DOE test procedure for small electric motors at Sec.  431.444 or the DOE 
test procedure for SNEMs in subpart B of this part, as applicable 
(including for motors less than 0.25 hp), and, if available, applicable 
representation procedures in 10 CFR part 429 and this part.
    E.1.2.1.1.2 For pumps sold with inverter-only synchronous electric 
motors, the represented nominal full load motor + inverter efficiency is 
that of the motor with which the given pump model is being tested, as 
determined in accordance with the DOE test procedure for inverter-only 
synchronous electric motors in subpart B of this part, and, if 
available, applicable representation procedures in 10 CFR part 429 and 
this part.
    E.1.2.1.1.3 For pumps sold with submersible motors, prior to the 
compliance date of any energy conservation standards for submersible 
motors in subpart B of this part, the default nominal full load 
submersible motor efficiency is that listed in table 2 of this appendix, 
with the number of poles relevant to the speed at which the pump is 
being tested (see section I.C.1 of this appendix) and the motor 
horsepower of the pump being tested, or if a test procedure for 
submersible motors is provided in subpart B of this part, the 
represented nominal full load motor efficiency of the motor with which 
the given pump model is being tested, as determined in accordance with 
the applicable test procedure in subpart B of this part and applicable 
representation procedures in 10 CFR part 429 and this part, may be used 
instead. Starting on the compliance date of any energy conservation 
standards for submersible motors in subpart B of this part, the default 
nominal full load submersible motor efficiency may no longer be used and 
instead the represented nominal full load motor efficiency of the motor 
with which the given pump model is being tested, as determined in 
accordance with the applicable test procedure in subpart B of this part 
and applicable representation procedures in 10 CFR part 429 and this 
part, must be used instead.
    E.1.2.2 For load points corresponding to 25, 50, 75, and 100 percent 
of the BEP flow rate, determine the part load loss factor at each load 
point as follows:
[GRAPHIC] [TIFF OMITTED] TR24MR23.008

Where:

z i = the motor and control part load loss factor at load point i,
a,b,c = coefficients listed in either Table 4 of this appendix for 
          induction motors or Table 5 of this appendix for inverter-only 
          synchronous electric motors, based on the horsepower of the 
          motor with which the pump is being tested,
P i = the pump power input to the bare pump at load point i, 
          as determined in accordance with section VII.E.1.1 of this 
          appendix (hp),
MotorHP = the horsepower of the motor with which the pump is being 
          tested (hp),

[[Page 359]]

[GRAPHIC] [TIFF OMITTED] TR24MR23.009


          Table 2--Default Nominal Full Load Submersible Motor Efficiency by Motor Horsepower and Pole
----------------------------------------------------------------------------------------------------------------
                                                                 Default nominal full load submersible motor
                                                                                 efficiency
                  Motor horsepower  (hp)                   -----------------------------------------------------
                                                                 2 poles           4 poles           6 poles
----------------------------------------------------------------------------------------------------------------
1.........................................................                55                68                64
1.5.......................................................                66                70                72
2.........................................................                68                70                74
3.........................................................                70              75.5              75.5
5.........................................................                74              75.5              75.5
7.5.......................................................                68                74                72
10........................................................                70                74                72
15........................................................                72              75.5                74
20........................................................                72                77                74
25........................................................                74              78.5                77
30........................................................                77                80              78.5
40........................................................              78.5              81.5              81.5
50........................................................                80              82.5              81.5
60........................................................              81.5                84              82.5
75........................................................              81.5              85.5              82.5
100.......................................................              81.5                84              82.5
125.......................................................                84                84              82.5
150.......................................................                84              85.5              85.5
200.......................................................              85.5              86.5              85.5
250.......................................................              86.5              86.5              85.5
----------------------------------------------------------------------------------------------------------------


           Table 3--Nominal Full Load Motor Efficiency Values
------------------------------------------------------------------------
                   Nominal full load motor efficiency*
-------------------------------------------------------------------------
                                           50.5
                                           52.5
                                           55.0
                                           57.5
                                           59.5
                                           62.0
                                           64.0
                                           66.0
                                           68.0
                                           70.0
                                           72.0
                                           74.0
                                           75.5
                                           77.0
                                           78.5
                                           80.0
                                           81.5
                                           82.5
                                           84.0
                                           85.5
                                           86.5
                                           87.5
                                           88.5
                                           89.5
                                           90.2
                                           91.0
                                           91.7
                                           92.4
                                           93.0
                                           93.6
                                           94.1
                                           94.5
                                           95.0
                                           95.4
                                           95.8
                                           96.2
                                           96.5
                                           96.8
                                           97.1
                                           97.4
                                           97.6
                                           97.8
                                           98.0
                                           98.2
                                           98.4
                                           98.5
                                           98.6
                                           98.7
                                           98.8
                                           98.9

[[Page 360]]

 
                                           99.0
------------------------------------------------------------------------
* Note: Each consecutive incremental value of nominal efficiency
  represents one band.


Table 4--Induction Motor and Control Part Load Loss Factor Equation Coefficients for Section VII.E.1.2.2 of This
                                                   Appendix A
----------------------------------------------------------------------------------------------------------------
                                                                   Coefficients for induction motor and control
                                                                            part load loss factor  (zi)
                     Motor horsepower  (hp)                      -----------------------------------------------
                                                                         a               b               c
----------------------------------------------------------------------------------------------------------------
<=5.............................................................         -0.4658          1.4965          0.5303
5 and <=20...........................................         -1.3198          2.9551          0.1052
20 and <=50..........................................         -1.5122          3.0777          0.1847
50 and <=100.........................................         -0.6629          2.1452          0.1952
100..................................................         -0.7583          2.4538          0.2233
----------------------------------------------------------------------------------------------------------------


  Table 5--Inverter-Only Synchronous Electric Motor and Control Part Load Loss Factor Equation Coefficients for
                                     Section VII.E.1.2.2 of This Appendix A
----------------------------------------------------------------------------------------------------------------
                                                                   Coefficients for induction motor and control
                                                                            part load loss factor  (zi)
                     Motor horsepower  (hp)                      -----------------------------------------------
                                                                         a               b               c
----------------------------------------------------------------------------------------------------------------
<=5.............................................................         -0.0898          1.0251          0.0667
5 and <=20...........................................         -0.1591          1.1683         -0.0085
20 and <=50..........................................         -0.4071          1.4028          0.0055
50 and <=100.........................................         -0.3341          1.3377         -0.0023
100..................................................         -0.0749          1.0864         -0.0096
----------------------------------------------------------------------------------------------------------------


[81 FR 4145, Jan. 25, 2016, as amended at 82 FR 36924, Aug. 7, 2017; 88 
FR 17978, Mar. 24, 2023; 88 FR 24471, Apr. 21, 2023]



 Sec. Appendix B to Subpart Y of Part 431--Uniform Test Method for the 
    Measurement of Energy Efficiency of Dedicated-Purpose Pool Pumps

    Note: On February 5, 2018 but before July 19, 2021, any 
representations made with respect to the energy use or efficiency of 
dedicated-purpose pool pumps subject to testing pursuant to 10 CFR 
431.464(b) must be made in accordance with the results of testing 
pursuant to this appendix. Any optional representations of energy factor 
(EF) must be accompanied by a representation of weighted energy factor 
(WEF).

           I. Test Procedure for Dedicated-Purpose Pool Pumps

                               A. General

    A.1 Test Method. To determine the weighted energy factor (WEF) for 
dedicated-purpose pool pumps, perform ``wire-to-water'' testing in 
accordance with HI 40.6-2014-B, except section 40.6.4.1, ``Vertically 
suspended pumps''; section 40.6.4.2, ``Submersible pumps''; section 
40.6.5.3, ``Test report''; section 40.6.5.5, ``Test conditions''; 
section 40.6.5.5.2, ``Speed of rotation during testing''; section 
40.6.6.1, ``Translation of test results to rated speed of rotation''; 
section 40.6.6.2, ``Pump efficiency''; section 40.6.6.3, ``Performance 
curve''; section A.7, ``Testing at temperatures exceeding 30 [deg]C (86  
14; [deg]F)''; and appendix B, ``Reporting of test results''; 
(incorporated by reference, see Sec.  431.463) with the modifications 
and additions as noted throughout the provisions below. Do not use the 
test points specified in section 40.6.5.5.1, ``Test procedure'' of HI 
40.6-2014-B and instead use those test points specified in section D.3 
of this appendix for the applicable dedicated-purpose pool pump variety 
and speed configuration. When determining overall efficiency, best 
efficiency point, or other applicable pump energy performance 
information, section 40.6.5.5.1, ``Test procedure''; section 40.6.6.2, 
``Pump efficiency''; and section 40.6.6.3, ``Performance curve'' must be 
used, as applicable. For the purposes of applying this appendix, the 
term ``volume per unit time,'' as defined in section 40.6.2, ``Terms and 
definitions,'' of HI 40.6-2014-B

[[Page 361]]

shall be deemed to be synonymous with the term ``flow rate'' used 
throughout that standard and this appendix.
    A.2. Calculations and Rounding. All terms and quantities refer to 
values determined in accordance with the procedures set forth in this 
appendix for the rated pump. Perform all calculations using raw measured 
values without rounding. Round WEF, EF, maximum head, vertical lift, and 
true priming time values to the tenths place (i.e., 0.1) and rated 
hydraulic horsepower to the thousandths place (i.e., 0.001). Round all 
other reported values to the hundredths place unless otherwise 
specified.

                        B. Measurement Equipment

    B.1 For the purposes of measuring flow rate, speed of rotation, 
temperature, and pump power output, the equipment specified in HI 40.6-
2014-B Appendix C (incorporated by reference, see Sec.  431.463) 
necessary to measure head, speed of rotation, flow rate, and temperature 
must be used and must comply with the stated accuracy requirements in HI 
40.6-2014-B Table 40.6.3.2.3, except as specified in section B.1.1 and 
B.1.2 of this appendix. When more than one instrument is used to measure 
a given parameter, the combined accuracy, calculated as the root sum of 
squares of individual instrument accuracies, must meet the specified 
accuracy requirements.
    B.1.1 Electrical measurement equipment for determining the driver 
power input to the motor or controls must be capable of measuring true 
root mean squared (RMS) current, true RMS voltage, and real power up to 
the 40th harmonic of fundamental supply source frequency, and have a 
combined accuracy of 2.0 percent of the measured 
value at the fundamental supply source frequency.
    B.1.2 Instruments for measuring distance (e.g., height above the 
reference plane or water level) must be accurate to and have a 
resolution of at least 0.1 inch.
    B.2 Calibration. Calibration requirements for instrumentation are 
specified in appendix D of HI 40.6-2014-B (incorporated by reference, 
see Sec.  431.463). Historical calibration data may be used to justify 
time periods up to three times longer than those specified in table D.1 
of HI 40.6-2014-B provided the supporting historical data shows 
maintenance of calibration of the given instrument up to the selected 
extended calibration interval on at least two unique occasions, based on 
the interval specified in HI 40.6-2014-B.

                    C. Test Conditions and Tolerances

    C.1 Pump Specifications. Conduct testing at full impeller diameter 
in accordance with the test conditions, stabilization requirements, and 
specifications of HI 40.6-2014-B section 40.6.3, ``Pump efficiency 
testing''; section 40.6.4, ``Considerations when determining the 
efficiency of a pump''; section 40.6.5.4 (including appendix A), ``Test 
arrangements''; and section 40.6.5.5, ``Test conditions'' (incorporated 
by reference, see Sec.  431.463).
    C.2 Power Supply Requirements. The following conditions also apply 
to the mains power supplied to the DPPP motor or controls, if any:
    (1) Maintain the voltage within 5 percent of 
the rated value of the motor,
    (2) Maintain the frequency within 1 percent of 
the rated value of the motor,
    (3) Maintain the voltage unbalance of the power supply within 3 percent of the value with which the motor was rated, 
and
    (4) Maintain total harmonic distortion below 12 percent throughout 
the test.
    C.3 Test Conditions. Testing must be carried out with water that is 
between 50 and 107 [deg]F with less than or equal to 15 nephelometric 
turbidity units (NTU).
    C.4 Tolerances. For waterfall pumps, multi-speed self-priming and 
non-self-priming pool filter pumps, and variable-speed self-priming and 
non-self-priming pool filter pumps all measured load points must be 
within 2.5 percent of the specified head value and 
comply with any specified flow values or thresholds. For all other 
dedicated-purpose pool pumps, all measured load points must be within 
the greater of 2.5 percent of the specified flow 
rate values or 0.5 gpm and comply with any 
specified head values or thresholds.

                  D. Data Collection and Stabilization

    D.1 Damping Devices. Use of damping devices, as described in section 
40.6.3.2.2 of HI 40.6-2014-B (incorporated by reference, see Sec.  
431.463), are only permitted to integrate up to the data collection 
interval used during testing.
    D.2 Stabilization. Record data at any tested load point only under 
stabilized conditions, as defined in HI 40.6-2014-B section 40.6.5.5.1 
(incorporated by reference, see Sec.  431.463), where a minimum of two 
measurements are used to determine stabilization.
    D.3 Test Points. Measure the flow rate in gpm, pump total head in 
ft, the driver power input in W, and the speed of rotation in rpm at 
each load point specified in Table 1 of this appendix for each DPPP 
variety and speed configuration:

[[Page 362]]



                                 Table 1--Load Points (i) and Weights (wi) for Each DPPP Variety and Speed Configuration
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                        Number of                                                  Test points
                                          Speed            load                        -----------------------------------------------------------------
         DPPP varieties             configuration(s)      points      Load point (i)
                                                           (n)                            Flow rate (Q) (GPM)       Head (H) (ft)         Speed (rpm)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Self-Priming Pool Filter Pumps    Single-speed                  1  High...............  Qhigh (gpm) =            H = 0.0082 x         Maximum speed
 And Non-Self-Priming Pool         dedicated-purpose                                     Qmax__speed@C **         Qhigh\2\
 Filter Pumps.                     pool pumps and all
                                   self-priming and
                                   non-self-priming
                                   pool filter pumps
                                   not meeting the
                                   definition of two-
                                   *, multi-, or
                                   variable-speed
                                   dedicated-purpose
                                   pool pump.
                                  Two-speed dedicated-          2  Low................  Qlow (gpm) = Flow rate   H = 0.0082 x         Lowest speed
                                   purpose pool pumps                                    associated with          Qlow\2\              capable of
                                   *.                                                    specified head and                            meeting the
                                                                                         speed that is not                             specified flow
                                                                                         below:                                        and head values,
                                                                                         31.1                        if any ***.
                                                                                         gpm if rated hydraulic
                                                                                         horsepower is 0.75 or
                                                                                         24.7
                                                                                         gpm if rated hydraulic
                                                                                         horsepower is <=0.75
                                                                   High...............  Qhigh (gpm) =            H = 0.0082 x         Maximum speed.
                                                                                         Qmax__speed@C **         Qhigh\2\
                                  Multi-speed and               2  Low................  Qlow (gpm) =             H = 0.0082 x         Lowest speed
                                   variable-speed                                        If     Qlow\2\              capable of
                                   dedicated-purpose                                     rated hydraulic                               meeting the
                                   pool pumps.                                           horsepower is 0.75, then Qlow >=                         and head values.
                                                                                         31.1 gpm
                                                                                         If
                                                                                         rated hydraulic
                                                                                         horsepower is <=0.75,
                                                                                         then Qlow >=24.7 gpm
                                                                   High...............  Qhigh (gpm) >=0.8 x      H = 0.0082 x         Lowest speed
                                                                                         Qmax__speed@C **         Qhigh\2\             capable of
                                                                                                                                       meeting the
                                                                                                                                       specified flow
                                                                                                                                       and head values.
Waterfall Pumps.................  Single-speed                  1  High...............  Qlow (gpm) = Flow        17.0 ft              Maximum speed.
                                   dedicated-purpose                                     corresponding to
                                   pool pumps.                                           specified head
Pressure Cleaner Booster Pumps..  Any.................          1  High...............  10.0 gpm                 =60.0 ft  Lowest speed
                                                                                                                                       capable of
                                                                                                                                       meeting the
                                                                                                                                       specified flow
                                                                                                                                       and head values.
--------------------------------------------------------------------------------------------------------------------------------------------------------
* In order to apply the test points for two-speed self-priming and non-self-priming pool filter pumps, self-priming pool filter pumps that are greater
  than or equal to 0.711 rated hydraulic horsepower that are two-speed dedicated-purpose pool pumps must also be distributed in commerce either: (1)
  With a pool pump control (variable speed drive and user interface or switch) that changes the speed in response to pre-programmed user preferences and
  allows the user to select the duration of each speed and/or the on/off times or (2) without a pool pump control that has such capability, but without
  which the pump is unable to operate. Two-speed self-priming pool filter pumps greater than or equal to 0.711 rated hydraulic horsepower that do not
  meet these requirements must be tested using the load point for single-speed self-priming or non-self-priming pool filter pumps, as appropriate.
** Qmax__speed@C = Flow at max speed on curve C (gpm)
*** If a two-speed pump has a low speed that results in a flow rate below the specified values, the low speed of that pump shall not be tested.

                             E. Calculations

    E.1 Determination of Weighted Energy Factor. Determine the WEF as a 
ratio of the measured flow and driver power input to the dedicated-
purpose pool pump in accordance with the following equation:

[[Page 363]]

[GRAPHIC] [TIFF OMITTED] TR07AU17.010

Where:

WEF = Weighted Energy Factor in kgal/kWh;
wi = weighting factor at each load point i, as specified in section E.2 
          of this appendix;
Qi = flow at each load point i, in gpm;
Pi = driver power input to the motor (or controls, if present) at each 
          load point i, in watts;
i = load point(s), defined uniquely for each DPPP variety and speed 
          configuration as specified in section D.3 of this appendix; 
          and
n = number of load point(s), defined uniquely for each DPPP variety and 
          speed configuration as specified in section D.3 of this 
          appendix.

    E.2 Weights. When determining WEF, apply the weights specified in 
Table 2 of this appendix for the applicable load points, DPPP varieties, 
and speed configurations:

                                        Table 2--Load Point Weights (wi)
----------------------------------------------------------------------------------------------------------------
                                                                                          Load point(s) i
                DPPP varieties                       Speed configuration(s)      -------------------------------
                                                                                     Low flow        High flow
----------------------------------------------------------------------------------------------------------------
Self-Priming Pool Filter Pumps and Non-Self-   Single-speed dedicated-purpose     ..............             1.0
 Priming Pool Filter Pumps.                     pool pumps and all self-priming
                                                and non-self-priming pool filter
                                                pumps not meeting the definition
                                                of two-,* multi-, or variable-
                                                speed dedicated-purpose pool
                                                pump.
                                               Two-speed dedicated-purpose pool             0.80            0.20
                                                pumps *.
                                               Multi-speed and variable-speed               0.80            0.20
                                                dedicated-purpose pool pumps.
Waterfall Pumps..............................  Single-speed dedicated-purpose     ..............             1.0
                                                pool pumps.
Pressure Cleaner Booster Pump................  Any..............................  ..............             1.0
----------------------------------------------------------------------------------------------------------------
* In order to apply the test points for two-speed self-priming and non-self-priming pool filter pumps, self-
  priming pool filter pumps that are greater than or equal to 0.711 rated hydraulic horsepower that are two-
  speed dedicated-purpose pool pumps must also be distributed in commerce either: (1) With a pool pump control
  (variable speed drive and user interface or switch) that changes the speed in response to pre-programmed user
  preferences and allows the user to select the duration of each speed and/or the on/off times or (2) without a
  pool pump control that has such capability, but without which the pump is unable to operate. Two-speed self-
  priming pool filter pumps greater than or equal to 0.711 rated hydraulic horsepower that do not meet these
  requirements must be tested using the load point for single-speed self-priming or non-self-priming pool filter
  pumps, as appropriate.

    E.3 Determination of Horsepower and True Power Factor Metrics
    E.3.1 Determine the pump power output at any load point i using the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR07AU17.011

Where:

Pu,i = the measured pump power output at load point i of the tested 
          pump, in hp;
Qi = the measured flow rate at load point i of the tested pump, in gpm;
Hi = pump total head at load point i of the tested pump, in ft; and
SG = the specific gravity of water at specified test conditions, which 
          is equivalent to 1.00.

    E.3.1.1 Determine the rated hydraulic horsepower as the pump power 
output measured on the reference curve at maximum rotating speed and 
full impeller diameter for the rated pump.
    E.3.2 For dedicated-purpose pool pumps with single-phase AC motors 
or DC motors, determine the dedicated-purpose pool pump nominal motor 
horsepower as the product of the measured full load speed and torque, 
adjusted to the appropriate units, as shown in the following equation:

[[Page 364]]

[GRAPHIC] [TIFF OMITTED] TR07AU17.012

Where:

Pnm = the dedicated-purpose pool pump nominal total horsepower at full 
          load, in hp;
T = output torque at full load, in lb-ft; and
n = the motor speed at full load, in rpm.

    Full-load speed and torque shall be determined based on the maximum 
continuous duty motor power output rating allowable for the motor's 
nameplate ambient rating and insulation class.
    E.3.2.1 For single-phase AC motors, determine the measured speed and 
torque at full load according to either section E.3.2.1.1 or E.3.2.1.2 
of this appendix.
    E.3.2.1.1 Use the procedures in section 3.2, ``Tests with load''; 
section 4 ``Testing facilities''; section 5.2 ``Mechanical 
measurements''; section 5.3 ``Temperature measurements''; and section 6 
``Tests'' of IEEE 114-2010 (incorporated by reference, see Sec.  
431.463), or
    E.3.2.1.2 Use the applicable procedures in section 5, ``General test 
requirements'' and section 6, ``Tests'' of CSA C747-2009 (RA 2014); 
except in section 6.4(b) the conversion factor shall be 5252, only 
measurements at full load are required in section 6.5, and section 6.6 
shall be disregarded (incorporated by reference, see Sec.  431.463).
    E.3.2.2 For DC motors, determine the measured speed and torque at 
full load according to either section E.3.2.2.1 or E.3.2.2.2 of this 
appendix.
    E.3.2.2.1 Use the procedures in section 3.1, ``Instrument Selection 
Factors''; section 3.4 ``Power Measurement'': Section 3.5 ``Power 
Sources''; section 4.1.2 ``Ambient Air''; section 4.1.4 ``Direction of 
Rotation''; section 5.4.1 ``Reference Conditions''; and section 5.4.3.2 
``Dynomometer or Torquemeter Method'' of IEEE 113-1985 (incorporated by 
reference, see Sec.  431.463), or
    E.3.2.2.2 Use the applicable procedures in section 5, ``General test 
requirements'' and section 6, ``Tests'' of CSA C747-2009 (RA 2014); 
except in section 6.4(b) the conversion factor shall be 5252, only 
measurements at full load are required in section 6.5, and section 6.6 
shall be disregarded (incorporated by reference, see Sec.  431.463).
    E.3.3 For dedicated-purpose pool pumps with single-phase AC motors 
or DC motors, the dedicated-purpose pool pump service factor is equal to 
1.0.
    E.3.4 Determine the dedicated-purpose pool pump motor total 
horsepower according to section E.3.4.1 of this appendix for dedicated-
purpose pool pumps with single-phase AC motors or DC motors and section 
E.3.4.2 of this appendix for dedicated-purpose pool pumps with polyphase 
AC motors.
    E.3.4.1 For dedicated-purpose pool pumps with single-phase AC motors 
or DC motors, determine the dedicated-purpose pool pump motor total 
horsepower as the product of the dedicated-purpose pool pump nominal 
motor horsepower, determined in accordance with section E.3.2 of this 
appendix, and the dedicated-purpose pool pump service factor, determined 
in accordance with section E.3.3 of this appendix.
    E.3.4.2 For dedicated-purpose pool pumps with polyphase AC induction 
motors, determine the dedicated-purpose pool pump motor total horsepower 
as the product of the rated nominal motor horsepower and the rated 
service factor of the motor.
    E.3.5 Determine the true power factor at each applicable load point 
specified in Table 1 of this appendix for each DPPP variety and speed 
configuration as a ratio of driver power input to the motor (or 
controls, if present) (Pi), in watts, divided by the product of the 
voltage in volts and the current in amps at each load point i, as shown 
in the following equation:
[GRAPHIC] [TIFF OMITTED] TR07AU17.013

Where:

PFi = true power factor at each load point i, dimensionless;
Pi = driver power input to the motor (or controls, if present) at each 
          load point i, in watts;
Vi = voltage at each load point i, in volts;
Ii = current at each load point i, in amps; and
i = load point(s), defined uniquely for each DPPP variety and speed 
          configuration as specified in section D.3 of this appendix.

    E.4 Determination of Maximum Head. Determine the maximum head for 
self-priming

[[Page 365]]

pool filter pumps, non-self-priming pool filter pumps, and waterfall 
pumps by measuring the head at maximum speed and the minimum flow rate 
at which the pump is designed to operate continuously or safely, where 
the minimum flow rate is assumed to be zero unless stated otherwise in 
the manufacturer literature.

               F. Determination of Self-Priming Capability

    F.1 Test Method. Determine the vertical lift and true priming time 
of non-self-priming pool filter pumps and self-priming pool filter pumps 
that are not already certified as self-priming under NSF/ANSI 50-2015 
(incorporated by reference, see Sec.  431.463) by testing such pumps 
pursuant to section C.3 of appendix C of NSF/ANSI 50-2015, except for 
the modifications and exceptions listed in the following sections F.1.1 
through F.1.5 of this appendix:
    F.1.1 Where section C.3.2, ``Apparatus,'' and section C.3.4, ``Self-
priming capability test method,'' of NSF/ANSI 50-2015 (incorporated by 
reference, see Sec.  431.463) state that the ``suction line must be 
essentially as shown in annex C, figure C.1;'' the phrase ``essentially 
as shown in Annex C, figure C.1'' means:
     The centerline of the pump impeller shaft is 
situated a vertical distance equivalent to the specified vertical lift 
(VL), calculated in accordance with section F.1.1.1. of this appendix, 
above the water level of a water tank of sufficient volume as to 
maintain a constant water surface level for the duration of the test;
     The pump draws water from the water tank with a 
riser pipe that extends below the water level a distance of at least 3 
times the riser pipe diameter (i.e., 3 pipe diameters);
     The suction inlet of the pump is at least 5 pipe 
diameters from any obstructions, 90[deg] bends, valves, or fittings; and
     The riser pipe is of the same pipe diameter as 
the pump suction inlet.
    F.1.1.1 The vertical lift (VL) must be normalized to 5.0 feet at an 
atmospheric pressure of 14.7 psia and a water density of 62.4 lb/ft\3\ 
in accordance with the following equation:
[GRAPHIC] [TIFF OMITTED] TR07AU17.014

Where:

VL = vertical lift of the test apparatus from the waterline to the 
          centerline of the pump impeller shaft, in ft;
[rho]test = density of test fluid, in lb/ft\3\; and
Pabs,test = absolute barometric pressure of test apparatus location at 
          centerline of pump impeller shaft, in psia.

    F.1.2 The equipment accuracy requirements specified in section B, 
``Measurement Equipment,'' of this appendix also apply to this section 
F, as applicable.
    F.1.2.1 All measurements of head (gauge pressure), flow, and water 
temperature must be taken at the pump suction inlet and all head 
measurements must be normalized back to the centerline of the pump 
impeller shaft in accordance with section A.3.1.3.1 of HI 40.6-2014-B 
(incorporated by reference, see Sec.  431.463).
    F.1.3 All tests must be conducted with clear water that meets the 
requirements adopted in section C.3 of this appendix.
    F.1.4 In section C.3.4, ``Self-priming capability test method,'' of 
NSF/ANSI 50-2015 (incorporated by reference, see Sec.  431.463), ``the 
elapsed time to steady discharge gauge reading or full discharge flow'' 
is determined when the changes in head and flow, respectively, are 
within the tolerance values specified in table 40.6.3.2.2, ``Permissible 
amplitude of fluctuation as a percentage of mean value of quantity being 
measured at any test point,'' of HI 40.6-2014-B (incorporated by 
reference, see Sec.  431.463). The measured priming time (MPT) is 
determined as the point in time when the stabilized load point is first 
achieved, not when stabilization is determined. In addition, the true 
priming time (TPT) is equivalent to the MPT.
    F.1.5 The maximum true priming time for each test run must not 
exceed 10.0 minutes. Disregard section C.3.5 of NSF/ANSI 50-2015 
(incorporated by reference, see Sec.  431.463).

                  G. Optional Testing and Calculations

    G.1 Energy Factor. When making representations regarding the EF of 
dedicated-purpose pool pumps, determine EF on one of four system curves 
(A, B, C, or D) and at any given speed (s) according to the following 
equation:

[[Page 366]]

[GRAPHIC] [TIFF OMITTED] TR07AU17.015

Where:

EFX,s = the energy factor on system curve X at speed s in gal/Wh;
X = one of four possible system curves (A, B, C, or D), as defined in 
          section G.1.1 of this appendix;
s = the tested speed, in rpm;
QX,s = flow rate measured on system curve X at speed s in gpm; and
PX,s = driver power input to the motor (or controls, if present) on 
          system curve X at speed s in watts.

    G.1.1 System Curves. The energy factor may be determined at any 
speed (s) and on any of the four system curves A, B, C, and/or D 
specified in the Table 3:

         Table 3--Systems Curves for Optional EF Test Procedure
------------------------------------------------------------------------
               System curve                    System curve equation *
------------------------------------------------------------------------
A.........................................  H = 0.0167 x Q\2\
B.........................................  H = 0.0500 x Q\2\
C.........................................  H = 0.0082 x Q\2\
D.........................................  H = 0.0044 x Q\2\
------------------------------------------------------------------------
* In the above table, Q refers to the flow rate in gpm and H refers to
  head in ft.

    G.2 Replacement Dedicated-Purpose Pool Pump Motors. To determine the 
WEF for replacement DPPP motors, test each replacement DPPP motor paired 
with each dedicated-purpose pool pump bare pump for which the 
replacement DPPP motor is advertised to be paired, as stated in the 
manufacturer's literature for that replacement DPPP motor model, 
according to the testing and calculations described in sections A, B, C, 
D, and E of this appendix. Alternatively, each replacement DPPP motor 
may be tested with the most consumptive dedicated-purpose pool pump bare 
pump for which it is advertised to be paired, as stated in the 
manufacturer's literature for that replacement DPPP motor model. If a 
replacement DPPP motor is not advertised to be paired with any specific 
dedicated-purpose pool pump bare pumps, test with the most consumptive 
dedicated-purpose pool pump bare pump available.

[82 FR 36924, Aug. 7, 2017]



 Sec. Appendix C to Subpart Y of Part 431--Uniform Test Method for the 
    Measurement of Energy Efficiency of Dedicated-Purpose Pool Pumps

    Note: Any representations made on or after July 19, 2021, with 
respect to the energy use or efficiency of dedicated-purpose pool pumps 
subject to testing pursuant to 10 CFR 431.464(b) must be made in 
accordance with the results of testing pursuant to this appendix.

           I. Test Procedure for Dedicated-Purpose Pool Pumps

                               A. General

    A.1 Test Method. To determine the weighted energy factor (WEF) for 
dedicated-purpose pool pumps, perform ``wire-to-water'' testing in 
accordance with HI 40.6-2014-B, except section 40.6.4.1, ``Vertically 
suspended pumps''; section 40.6.4.2, ``Submersible pumps''; section 
40.6.5.3, ``Test report''; section 40.6.5.5, ``Test conditions''; 
section 40.6.5.5.2, ``Speed of rotation during testing''; section 
40.6.6.1, ``Translation of test results to rated speed of rotation''; 
section 40.6.6.2, ``Pump efficiency''; section 40.6.6.3, ``Performance 
curve''; section A.7, ``Testing at temperatures exceeding 30 [deg]C 
(86[emsp14] [deg]F)''; and appendix B, ``Reporting of test results''; 
(incorporated by reference, see Sec.  431.463) with the modifications 
and additions as noted throughout the provisions below. Do not use the 
test points specified in section 40.6.5.5.1, ``Test procedure'' of HI 
40.6-2014-B and instead use those test points specified in section D.3 
of this appendix for the applicable dedicated-purpose pool pump variety 
and speed configuration. When determining overall efficiency, best 
efficiency point, or other applicable pump energy performance 
information, section 40.6.5.5.1, ``Test procedure''; section 40.6.6.2, 
``Pump efficiency''; and section 40.6.6.3, ``Performance curve'' must be 
used, as applicable. For the purposes of applying this appendix, the 
term ``volume per unit time,'' as defined in section 40.6.2, ``Terms and 
definitions,'' of HI 40.6-2014-B shall be deemed to be synonymous with 
the term ``flow rate'' used throughout that standard and this appendix .
    A.2 Calculations and Rounding. All terms and quantities refer to 
values determined in accordance with the procedures set forth in

[[Page 367]]

this appendix for the rated pump. Perform all calculations using raw 
measured values without rounding. Round WEF, maximum head, vertical 
lift, and true priming time values to the tenths place (i.e., 0.1) and 
rated hydraulic horsepower to the thousandths place (i.e., 0.001). Round 
all other reported values to the hundredths place unless otherwise 
specified.

                        B. Measurement Equipment

    B.1 For the purposes of measuring flow rate, speed of rotation, 
temperature, and pump power output, the equipment specified in HI 40.6-
2014-B Appendix C (incorporated by reference, see Sec.  431.463) 
necessary to measure head, speed of rotation, flow rate, and temperature 
must be used and must comply with the stated accuracy requirements in HI 
40.6-2014-B Table 40.6.3.2.3, except as specified in sections B.1.1 and 
B.1.2 of this appendix. When more than one instrument is used to measure 
a given parameter, the combined accuracy, calculated as the root sum of 
squares of individual instrument accuracies, must meet the specified 
accuracy requirements.
    B.1.1 Electrical measurement equipment for determining the driver 
power input to the motor or controls must be capable of measuring true 
root mean squared (RMS) current, true RMS voltage, and real power up to 
the 40th harmonic of fundamental supply source frequency, and have a 
combined accuracy of 2.0 percent of the measured 
value at the fundamental supply source frequency.
    B.1.2 Instruments for measuring distance (e.g., height above the 
reference plane or water level) must be accurate to and have a 
resolution of at least 0.1 inch.
    B.2 Calibration. Calibration requirements for instrumentation are 
specified in appendix D of HI 40.6-2014-B (incorporated by reference, 
see Sec.  431.463). Historical calibration data may be used to justify 
time periods up to three times longer than those specified in table D.1 
of HI 40.6-2014-B provided the supporting historical data shows 
maintenance of calibration of the given instrument up to the selected 
extended calibration interval on at least two unique occasions, based on 
the interval specified in HI 40.6-2014-B.

                    C. Test Conditions and Tolerances

    C.1 Pump Specifications. Conduct testing at full impeller diameter 
in accordance with the test conditions, stabilization requirements, and 
specifications of HI 40.6-2014-B section 40.6.3, ``Pump efficiency 
testing''; section 40.6.4, ``Considerations when determining the 
efficiency of a pump''; section 40.6.5.4 (including appendix A), ``Test 
arrangements''; and section 40.6.5.5, ``Test conditions'' (incorporated 
by reference, see Sec.  431.463).
    C.2 Power Supply Requirements. The following conditions also apply 
to the mains power supplied to the DPPP motor or controls, if any:
    (1) Maintain the voltage within 5 percent of 
the rated value of the motor,
    (2) Maintain the frequency within 1 percent of 
the rated value of the motor,
    (3) Maintain the voltage unbalance of the power supply within 3 percent of the value with which the motor was rated, 
and
    (4) Maintain total harmonic distortion below 12 percent throughout 
the test.
    C.3 Test Conditions. Testing must be carried out with water that is 
between 50 and 107 [deg]F with less than or equal to 15 nephelometric 
turbidity units (NTU).
    C.4 Tolerances. For waterfall pumps, multi-speed self-priming and 
non-self-priming pool filter pumps, and variable-speed self-priming and 
non-self-priming pool filter pumps all measured load points must be 
within 2.5 percent of the specified head value and 
comply with any specified flow values or thresholds. For all other 
dedicated-purpose pool pumps, all measured load points must be within 
the greater of 2.5 percent of the specified flow 
rate values or 0.5 gpm and comply with any 
specified head values or thresholds.

                  D. Data Collection and Stabilization

    D.1 Damping Devices. Use of damping devices, as described in section 
40.6.3.2.2 of HI 40.6-2014-B (incorporated by reference, see Sec.  
431.463), are only permitted to integrate up to the data collection 
interval used during testing.
    D.2 Stabilization. Record data at any tested load point only under 
stabilized conditions, as defined in HI 40.6-2014-B section 40.6.5.5.1 
(incorporated by reference, see Sec.  431.463), where a minimum of two 
measurements are used to determine stabilization.
    D.3 Test Points. Measure the flow rate in gpm, pump total head in 
ft, the driver power input in W, and the speed of rotation in rpm at 
each load point specified in Table 1 of this appendix for each DPPP 
variety and speed configuration:

[[Page 368]]



                                 Table 1--Load Points (i) and Weights (wi) for Each DPPP Variety and Speed Configuration
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                        Number of                                                  Test points
                                          Speed            load                        -----------------------------------------------------------------
         DPPP varieties             configuration(s)      points      Load point (i)
                                                           (n)                            Flow rate (Q) (GPM)       Head (H) (ft)         Speed (rpm)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Self-Priming Pool Filter Pumps    Single-speed                  1  High...............  Qhigh (gpm) =            H = 0.0082 x         Maximum speed.
 And Non-Self-Priming Pool         dedicated-purpose                                     Qmax__speed@C **         Qhigh\2\
 Filter Pumps.                     pool pumps and all
                                   self-priming and
                                   non-self-priming
                                   pool filter pumps
                                   not meeting the
                                   definition of two-
                                   *, multi-, or
                                   variable-speed
                                   dedicated-purpose
                                   pool pump.
                                  Two-speed dedicated-          2  Low................  Qlow (gpm) = Flow rate   H = 0.0082 x         Lowest speed
                                   purpose pool pumps                                    associated with          Qlow\2\              capable of
                                   *.                                                    specified head and                            meeting the
                                                                                         speed that is not                             specified flow
                                                                                         below:                                        and head values,
                                                                                         31.1                        if any. ***
                                                                                         gpm if rated hydraulic
                                                                                         horsepower is 0.75 or
                                                                                         24.7
                                                                                         gpm if rated hydraulic
                                                                                         horsepower is <=0.75
                                                                   High...............  Qhigh (gpm) =            H = 0.0082 x         Maximum speed.
                                                                                         Qmax__speed@C **         Qlow\2\
                                  Multi-speed and               2  Low................  Qlow (gpm) =             H = 0.0082 x         Lowest speed
                                   variable-speed                                        If     Qlow\2\              capable of
                                   dedicated-purpose                                     rated hydraulic                               meeting the
                                   pool pumps.                                           horsepower is 0.75, then Qlow                            and head values.
                                                                                         >=31.1 gpm
                                                                                         If
                                                                                         rated hydraulic
                                                                                         horsepower is <=0.75,
                                                                                         then Qlow >=24.7 gpm
                                                                   High...............  Qhigh (gpm) >=0.8 x      H = 0.0082 x         Lowest speed
                                                                                         Qmax__speed@C **         Qhigh\2\             capable of
                                                                                                                                       meeting the
                                                                                                                                       specified flow
                                                                                                                                       and head values.
Waterfall Pumps.................  Single-speed                  1  High...............  Qlow (gpm) = Flow        17.0 ft              Maximum speed.
                                   dedicated-purpose                                     corresponding to
                                   pool pumps.                                           specified head
Pressure Cleaner Booster Pumps..  Any.................          1  High...............  10.0 gpm                 =60.0 ft  Lowest speed
                                                                                                                                       capable of
                                                                                                                                       meeting the
                                                                                                                                       specified flow
                                                                                                                                       and head values.
--------------------------------------------------------------------------------------------------------------------------------------------------------
* In order to apply the test points for two-speed self-priming and non-self-priming pool filter pumps, self-priming pool filter pumps that are greater
  than or equal to 0.711 rated hydraulic horsepower that are two-speed dedicated-purpose pool pumps must also be distributed in commerce either: (1)
  With a pool pump control (variable speed drive and user interface or switch) that changes the speed in response to pre-programmed user preferences and
  allows the user to select the duration of each speed and/or the on/off times or (2) without a pool pump control that has such capability, but without
  which the pump is unable to operate. Two-speed self-priming pool filter pumps greater than or equal to 0.711 rated hydraulic horsepower that do not
  meet these requirements must be tested using the load point for single-speed self-priming or non-self-priming pool filter pumps, as appropriate.
** Qmax__speed@C = Flow at max speed on curve C (gpm).
*** If a two-speed pump has a low speed that results in a flow rate below the specified values, the low speed of that pump shall not be tested.

                             E. Calculations

    E.1 Determination of Weighted Energy Factor. Determine the WEF as a 
ratio of the measured flow and driver power input to the dedicated-
purpose pool pump in accordance with the following equation:

[[Page 369]]

[GRAPHIC] [TIFF OMITTED] TR07AU17.016

Where:

WEF = Weighted Energy Factor in kgal/kWh;
Wi = weighting factor at each load point i, as specified in section E.2 
          of this appendix;
Qi = flow at each load point i, in gpm;
Pi = driver power input to the motor (or controls, if present) at each 
          load point i, in watts;
i = load point(s), defined uniquely for each DPPP variety and speed 
          configuration as specified in section D.3 of this appendix; 
          and
n = number of load point(s), defined uniquely for each DPPP variety and 
          speed configuration as specified in section D.3 of this 
          appendix.

    E.2 Weights. When determining WEF, apply the weights specified in 
Table 2 of this appendix for the applicable load points, DPPP varieties, 
and speed configurations:

                                        Table 2--Load Point Weights (wi)
----------------------------------------------------------------------------------------------------------------
                                                                                          Load point(s) i
                DPPP varieties                       Speed configuration(s)      -------------------------------
                                                                                     Low flow        High flow
----------------------------------------------------------------------------------------------------------------
Self-Priming Pool Filter Pumps and Non-Self-   Single-speed dedicated-purpose     ..............             1.0
 Priming Pool Filter Pumps.                     pool pumps and all self-priming
                                                and non-self-priming pool filter
                                                pumps not meeting the definition
                                                of two-*, multi-, or variable-
                                                speed dedicated-purpose pool
                                                pump.
                                               Two-speed dedicated-purpose pool             0.80            0.20
                                                pumps *.
                                               Multi-speed and variable-speed               0.80            0.20
                                                dedicated-purpose pool pumps.
Waterfall Pumps..............................  Single-speed dedicated-purpose     ..............             1.0
                                                pool pumps.
Pressure Cleaner Booster Pump................  Any..............................  ..............             1.0
----------------------------------------------------------------------------------------------------------------
* In order to apply the test points for two-speed self-priming and non-self-priming pool filter pumps, self-
  priming pool filter pumps that are greater than or equal to 0.711 rated hydraulic horsepower that are two-
  speed dedicated-purpose pool pumps must also be distributed in commerce either: (1) With a pool pump control
  (variable speed drive and user interface or switch) that changes the speed in response to pre-programmed user
  preferences and allows the user to select the duration of each speed and/or the on/off times or (2) without a
  pool pump control that has such capability, but without which the pump is unable to operate. Two-speed self-
  priming pool filter pumps greater than or equal to 0.711 rated hydraulic horsepower that do not meet these
  requirements must be tested using the load point for single-speed self-priming or non-self-priming pool filter
  pumps, as appropriate.

    E.3 Determination of Horsepower and True Power Factor Metrics
    E.3.1 Determine the pump power output at any load point i using the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR07AU17.017

Where:

Pu,i = the measured pump power output at load point i of the tested 
          pump, in hp;
Qi = the measured flow rate at load point i of the tested pump, in gpm;
Hi = pump total head at load point i of the tested pump, in ft; and
SG = the specific gravity of water at specified test conditions, which 
          is equivalent to 1.00.

    E.3.1.1 Determine the rated hydraulic horsepower as the pump power 
output measured on the reference curve at maximum rotating speed and 
full impeller diameter for the rated pump.
    E.3.2 For dedicated-purpose pool pumps with single-phase AC motors 
or DC motors, determine the dedicated-purpose pool pump nominal motor 
horsepower as the product of

[[Page 370]]

the measured full load speed and torque, adjusted to the appropriate 
units, as shown in the following equation:
[GRAPHIC] [TIFF OMITTED] TR07AU17.018

Where:

Pnm = the dedicated-purpose pool pump nominal total horsepower at full 
          load, in hp;
T = output torque at full load, in lb-ft; and
n = the motor speed at full load, in rpm.

    Full-load speed and torque shall be determined based on the maximum 
continuous duty motor power output rating allowable for the motor's 
nameplate ambient rating and insulation class.
    E.3.2.1 For single-phase AC motors, determine the measured speed and 
torque at full load according to either section E.3.2.1.1 or E.3.2.1.2 
of this appendix.
    E.3.2.1.1 Use the procedures in section 3.2, ``Tests with load''; 
section 4 ``Testing facilities''; section 5.2 ``Mechanical 
measurements''; section 5.3 ``Temperature measurements''; and section 6 
``Tests'' of IEEE 114-2010 (incorporated by reference, see Sec.  
431.463), or
    E.3.2.1.2 Use the applicable procedures in section 5, ``General test 
requirements'' and section 6, ``Tests'' of CSA C747-2009 (RA 2014); 
except in section 6.4(b) the conversion factor shall be 5252, only 
measurements at full load are required in section 6.5, and section 6.6 
shall be disregarded (incorporated by reference, see Sec.  431.463).
    E.3.2.2 For DC motors, determine the measured speed and torque at 
full load according to either section E.3.2.2.1 or E.3.2.2.2 of this 
appendix.
    E.3.2.2.1 Use the procedures in section 3.1, ``Instrument Selection 
Factors''; section 3.4 ``Power Measurement'': Section 3.5 ``Power 
Sources''; section 4.1.2 ``Ambient Air''; section 4.1.4 ``Direction of 
Rotation''; section 5.4.1 ``Reference Conditions''; and section 5.4.3.2 
``Dynomometer or Torquemeter Method'' of IEEE 113-1985 (incorporated by 
reference, see Sec.  431.463), or
    E.3.2.2.2 Use the applicable procedures in section 5, ``General test 
requirements'' and section 6, ``Tests'' of CSA C747-2009 (RA 2014); 
except in section 6.4(b) the conversion factor shall be 5252, only 
measurements at full load are required in section 6.5, and section 6.6 
shall be disregarded (incorporated by reference, see Sec.  431.463).
    E.3.3 For dedicated-purpose pool pumps with single-phase AC motors 
or DC motors, the dedicated-purpose pool pump service factor is equal to 
1.0.
    E.3.4 Determine the dedicated-purpose pool pump motor total 
horsepower according to section E.3.4.1 of this appendix for dedicated-
purpose pool pumps with single-phase AC motors or DC motors and section 
E.3.4.2 of this appendix for dedicated-purpose pool pumps with polyphase 
AC motors.
    E.3.4.1 For dedicated-purpose pool pumps with single-phase AC motors 
or DC motors, determine the dedicated-purpose pool pump motor total 
horsepower as the product of the dedicated-purpose pool pump nominal 
motor horsepower, determined in accordance with section E.3.2 of this 
appendix, and the dedicated-purpose pool pump service factor, determined 
in accordance with section E.3.3 of this appendix.
    E.3.4.2 For dedicated-purpose pool pumps with polyphase AC induction 
motors, determine the dedicated-purpose pool pump motor total horsepower 
as the product of the rated nominal motor horsepower and the rated 
service factor of the motor.
    E.3.5 Determine the true power factor at each applicable load point 
specified in Table 1 of this appendix for each DPPP variety and speed 
configuration as a ratio of driver power input to the motor (or 
controls, if present) (Pi), in watts, divided by the product of the 
voltage in volts and the current in amps at each load point i, as shown 
in the following equation:
[GRAPHIC] [TIFF OMITTED] TR07AU17.019

Where:

PFi = true power factor at each load point i, dimensionless;

[[Page 371]]

Pi = driver power input to the motor (or controls, if present) at each 
          load point i, in watts;
Vi = voltage at each load point i, in volts;
Ii = current at each load point i, in amps; and
i = load point(s), defined uniquely for each DPPP variety and speed 
          configuration as specified in section D.3 of this appendix.

    E.4 Determination of Maximum Head. Determine the maximum head for 
self-priming pool filter pumps, non-self-priming pool filter pumps, and 
waterfall pumps by measuring the head at maximum speed and the minimum 
flow rate at which the pump is designed to operate continuously or 
safely, where the minimum flow rate is assumed to be zero unless stated 
otherwise in the manufacturer literature.

               F. Determination of Self-Priming Capability

    F.1 Test Method. Determine the vertical lift and true priming time 
of non-self-priming pool filter pumps and self-priming pool filter pumps 
that are not already certified as self-priming under NSF/ANSI 50-2015 
(incorporated by reference, see Sec.  431.463) by testing such pumps 
pursuant to section C.3 of appendix C of NSF/ANSI 50-2015, except for 
the modifications and exceptions listed in the following sections F.1.1 
through F.1.5 of this appendix:
    F.1.1 Where section C.3.2, ``Apparatus,'' and section C.3.4, ``Self-
priming capability test method,'' of NSF/ANSI 50-2015 (incorporated by 
reference, see Sec.  431.463) state that the ``suction line must be 
essentially as shown in annex C, figure C.1;'' the phrase ``essentially 
as shown in Annex C, figure C.1'' means:
    (1) The centerline of the pump impeller shaft is situated a vertical 
distance equivalent to the specified vertical lift (VL), calculated in 
accordance with section F.1.1.1. of this appendix, above the water level 
of a water tank of sufficient volume as to maintain a constant water 
surface level for the duration of the test;
    (2) The pump draws water from the water tank with a riser pipe that 
extends below the water level a distance of at least 3 times the riser 
pipe diameter (i.e., 3 pipe diameters);
    (3) The suction inlet of the pump is at least 5 pipe diameters from 
any obstructions, 90[deg] bends, valves, or fittings; and
    (4) The riser pipe is of the same pipe diameter as the pump suction 
inlet.
    F.1.1.1 The vertical lift (VL) must be normalized to 5.0 feet at an 
atmospheric pressure of 14.7 psia and a water density of 62.4 lb/ft\3\ 
in accordance with the following equation:
[GRAPHIC] [TIFF OMITTED] TR07AU17.020

Where:

VL = vertical lift of the test apparatus from the waterline to the 
          centerline of the pump impeller shaft, in ft;
[rho]test = density of test fluid, in lb/ft\3\; and
Pabs,test = absolute barometric pressure of test apparatus location at 
          centerline of pump impeller shaft, in psia.

    F.1.2 The equipment accuracy requirements specified in section B, 
``Measurement Equipment,'' of this appendix also apply to this section 
F, as applicable.
    F.1.2.1 All measurements of head (gauge pressure), flow, and water 
temperature must be taken at the pump suction inlet and all head 
measurements must be normalized back to the centerline of the pump 
impeller shaft in accordance with section A.3.1.3.1 of HI 40.6-2014-B 
(incorporated by reference, see Sec.  431.463).
    F.1.3 All tests must be conducted with clear water that meets the 
requirements adopted in section C.3 of this appendix.
    F.1.4 In section C.3.4, ``Self-priming capability test method,'' of 
NSF/ANSI 50-2015 (incorporated by reference, see Sec.  431.463), ``the 
elapsed time to steady discharge gauge reading or full discharge flow'' 
is determined when the changes in head and flow, respectively, are 
within the tolerance values specified in table 40.6.3.2.2, ``Permissible 
amplitude of fluctuation as a percentage of mean value of quantity being 
measured at any test point,'' of HI 40.6-2014-B (incorporated by 
reference, see Sec.  431.463). The measured priming time (MPT) is 
determined as the point in time when the stabilized load point is first 
achieved, not when stabilization is determined. In addition, the true 
priming time (TPT) is equivalent to the MPT.
    F.1.5 The maximum true priming time for each test run must not 
exceed 10.0 minutes. Disregard section C.3.5 of NSF/ANSI 50-2015 
(incorporated by reference, see Sec.  431.463).

[[Page 372]]

                  G. Optional Testing and Calculations

    G.1 Replacement Dedicated-Purpose Pool Pump Motors. To determine the 
WEF for replacement DPPP motors, test each replacement DPPP motor paired 
with each dedicated-purpose pool pump bare pump for which the 
replacement DPPP motor is advertised to be paired, as stated in the 
manufacturer's literature for that replacement DPPP motor model, 
according to the testing and calculations described in sections A, B, C, 
D, and E of this appendix. Alternatively, each replacement DPPP motor 
may be tested with the most consumptive dedicated-purpose pool pump bare 
pump for which it is advertised to be paired, as stated in the 
manufacturer's literature for that replacement DPPP motor model. If a 
replacement DPPP motor is not advertised to be paired with any specific 
dedicated-purpose pool pump bare pumps, test with the most consumptive 
dedicated-purpose pool pump bare pump available.

[82 FR 36924, Aug. 7, 2017]



 Sec. Appendix D to Subpart Y of Part 431--Uniform Test Method for the 
          Measurement of Energy Consumption of Circulator Pumps

    Note 1 to appendix D to subpart Y of part 431: Beginning March 20, 
2023, any representations made with respect to the energy use or 
efficiency of circulator pumps subject to testing pursuant to 10 CFR 
431.464(c) must be made in accordance with the results of testing 
pursuant to this appendix.

                      0. Incorporation by Reference

    DOE incorporated by reference in Sec.  431.463 the entire standard 
for HI 40.6-2021 and for HI 41.5-2022. However, not all provisions of HI 
40.6-2021 and HI 41.5-2022 apply to this appendix. If there is any 
conflict between any industry standard and this appendix, follow the 
language of the test procedure in this appendix, disregarding the 
conflicting industry standard language.
    0.1 Specifically, the following provisions of HI 40.6-2021 are not 
applicable:

(a) Section 40.6.4--Considerations when determining the efficiency of 
certain pumps, Section 40.6.4.1--Vertically suspended pumps
(b) Section 40.6.4--Considerations when determining the efficiency of 
certain pumps, Section 40.6.4.2--Submersible pumps
(c) Section 40.6.5--Test procedures, Section 40.6.5.3--Test report
(d) Section 40.6.5--Test procedures, Section 40.6.5.5--Test conditions, 
Section 40.6.5.5.2--Speed of rotation during test
(e) Section 40.6.6--Analysis, Section 40.6.6.1--Translation of the test 
results to the specified speed of rotation
(f) Section 40.6.6--Analysis, Section 40.6.6.1--Translation of the test 
results to the specified speed of rotation, Section 40.6.6.1.1--
Translation of the test results into data based on specified speed of 
rotation
(g) Appendix B--Reporting of test results
(h) Appendix G--DOE compared to HI 40.6 nomenclature

    0.2 Specifically, only the following provisions of HI 41.5-2022 are 
applicable:

(a) Section 41.5.3.4.1--Determination of CER--Full Speed
(b) Section 41.5.3.4.2--Determination of CER--Pressure Speed Control
(c) Section 41.5.3.4.3--Determination of CER--Temperature Speed Control
(d) Section 41.5.3.4.4.1--Determination of CER--External Input Signal 
Speed Control Only
(e) Section 41.5.3.4.4.2--Determination of CER--External Input Signal 
Speed Control Operated With Other Control Methods
(f) Section 41.5.3.4.5--Determination of CER--Manual Speed Control

                               1. General

    To determine the circulator energy index (CEI), testing shall be 
performed in accordance with HI 40.6-2021, including Appendix E 
``Testing Circulator Pumps,'' with the exceptions noted in section 0.1 
of this appendix and the modifications and additions as noted throughout 
the following provisions. For the purposes of applying this appendix, 
the term ``pump power output,'' as defined in section 40.6.2, ``Terms 
and definitions,'' of HI 40.6-2021 shall be deemed to be synonymous with 
the term ``hydraulic horsepower'' used throughout that standard and this 
appendix.

                                2. Scope

    2.1 This appendix is applicable to all circulator pumps and 
describes how to calculate the circulator energy index (CEI; section F) 
based on the pump energy rating for the minimally compliant reference 
circulator pump (CERSTD) and the circulator energy rating 
(CER) determined in accordance with one of the test methods listed in 
Table I of this appendix based on a control variety with which the 
circulator pump is distributed in commerce.

[[Page 373]]



  Table 1 to Appendix D to Subpart Y of Part 431--Applicability of Test
 Methods Based on Circulator Pump Configuration and Control Method With
            Which Circulator Pump is Distributed in Commerce
------------------------------------------------------------------------
                                                         Test method to
                                  Control method with      be used for
 Circulator pump configuration   which circulator pump     testing and
                                    is distributed       calculation of
                                                               CER
------------------------------------------------------------------------
Circulator Pump + Motor.......  Circulator pumps at     HI 41.5-2022
                                 full speed or           Section
                                 circulator pumps        41.5.3.4.1.
                                 without pressure,
                                 temperature, external
                                 input signal, or
                                 manual speed control.
Circulator Pump + Motor +       Circulator pumps with   HI 41.5-2022
 Controls.                       pressure control        Section
                                 (including adaptive     41.5.3.4.2.
                                 pressure control).
                                Circulator pumps with   HI 41.5-2022
                                 temperature control.    Section
                                                         41.5.3.4.3.
                                Circulator pumps with   HI 41.5-2022
                                 only external input     Section
                                 signal control, and     41.5.3.4.4.1.
                                 which cannot be
                                 operated without an
                                 external input signal.
                                Circulator pumps with   HI 41.5-2022
                                 external input signal   Section
                                 control in addition     41.5.3.4.4.2.
                                 to other control
                                 varieties, or which
                                 can be operated
                                 without an external
                                 input signal.
                                Circulator pumps with   HI 41.5-2022
                                 manual speed control.   Section
                                                         41.5.3.4.5.
------------------------------------------------------------------------

    2.2 If a given circulator pump model is distributed in commerce with 
multiple control varieties available, the manufacturer may select a 
control variety (or varieties) among those available with which to test 
the circulator pump, including the test method for circulator pumps at 
full speed or circulator pumps without external input signal, manual, 
pressure, or temperature controls).

                        3. Measurement Equipment

    For the purposes of measuring flow rate, head, driver power input, 
and pump power output, the equipment specified in HI 40.6-2021 Appendix 
C must be used and must comply with the stated accuracy requirements in 
HI 40.6-2021 Table 40.6.3.2.3. When more than one instrument is used to 
measure a given parameter, the combined accuracy, calculated as the root 
sum of squares of individual instrument accuracies, must meet the 
specified accuracy requirements.

                           4. Test Conditions

    4.1 Pump specifications. Conduct testing in accordance with the test 
conditions, stabilization requirements, and specifications of HI 40.6-
2021 section 40.6.3, ``Pump efficiency testing''; section 40.6.4, 
``Considerations when determining the efficiency of a pump,'' including 
section 40.6.4.4, ``Determination of pump overall efficiency''; section 
40.6.5.4 (including Appendix A), ``Test arrangements''; and section 
40.6.5.5, ``Test conditions.''
    4.2 Twin head circulator pump. To test twin head circulator pumps, 
one of the two impeller assemblies should be incorporated into an 
adequate, single impeller volute and casing. An adequate, single 
impeller volute and casing means a volute and casing for which any 
physical and functional characteristics that affect energy consumption 
and energy efficiency are essentially identical to their corresponding 
characteristics for a single impeller in the twin head circulator pump 
volute and casing.
    4.3 Circulator-less-volute. To determine the CEI for a circulator-
less-volute, test each circulator-less-volute with each volute for which 
the circulator-less-volute is offered for sale or advertised to be 
paired for that circulator pump model according to the testing and 
calculations described in the applicable test method listed in Table 1 
of this appendix, depending on the variety of control with which the 
circulator pump model is distributed in commerce. Alternatively, each 
circulator-less-volute may be tested with the most consumptive volute 
with which is it offered for sale or advertised to be paired for that 
circulator pump model.

                     5. Data Collection and Analysis

    5.1 Stabilization. Record data at any test point only under 
stabilized conditions, as defined in HI 40.6-2021 section 40.6.5.5.1.
    5.2 Testing BEP at maximum speed for the circulator pump. Determine 
the BEP of the circulator pump at maximum speed as specified in Appendix 
E of HI 40.6-2021 including sections 40.6.5.5.1 and 40.6.6 as modified. 
Determine the BEP flow rate at maximum speed as the flow rate at the 
operating point of maximum overall efficiency on the circulator pump 
curve, as determined in accordance with section 40.6.6.3 of HI 40.6-2021 
as modified by Appendix E, where overall efficiency is the ratio of the 
circulator pump power output divided by the driver power input, as 
specified in Table 40.6.2.1 of HI 40.6-2021. For the purposes of this 
test procedure, all references to ``driver power input'' in this 
appendix or HI 40.6-2021 shall refer to the input power to the controls, 
or to the motor if no controls are present.
    5.3 Rounding. All terms and quantities refer to values determined in 
accordance

[[Page 374]]

with the procedures set forth in this appendix for the rated circulator 
pump. Perform all calculations using raw measured values without 
rounding. Round CER to three significant figures. Round CEI to the 
hundredths decimal place. Round rated hydraulic horsepower to the less 
precise of the following two values: three significant figures; the 
fourth decimal place when expressed in units of horsepower.

                          6. Calculation of CEI

    Determine CEI using the following equation:
    [GRAPHIC] [TIFF OMITTED] TR19SE22.033
    
Where:

CEI = the circulator energy index (dimensionless);
CER = the circulator energy rating determined in accordance with Table 1 
          of this appendix (hp); and
CERSTD = the CER for a circulator pump that is minimally 
          compliant with DOE's energy conservation standards with the 
          same hydraulic horsepower as the tested pump, as determined in 
          accordance with the specifications at paragraph (i) of Sec.  
          431.465.

    7. Determination of Additional Circulator Performance Parameters

    7.1 To determine flow and head at BEP; pump power output (hydraulic 
horsepower) and driver power input at load points used in the 
calculation of CEI, including the rated hydraulic horsepower; and any 
other reported performance parameters, conduct testing according to 
section 1 of this appendix.
    7.2 Determine the rated hydraulic horsepower as the pump power 
output measured at BEP and full impeller diameter for the rated pump.
    7.3 Determine the true power factor at each applicable load point 
specified in the applicable test method listed in Table 1 of this 
appendix for each circulator pump control variety as a ratio of driver 
power input to the motor (or controls, if present) (Pi), in 
watts, divided by the product of the true RMS voltage in volts and the 
true RMS current in amps at each load point i, as shown in the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR19SE22.034

Where:

PFi = true power factor at each load point i, dimensionless;
Pi = driver power input to the motor (or controls, if 
          present) at each load point i, in watts;
Vi = true RMS voltage at each load point i, in volts;
Ii = true RMS current at each load point i, in amps; and
i = load point(s), defined uniquely for each circulator pump control 
          variety as specified in the applicable test method listed in 
          Table 1 of this appendix.

[87 FR 57299, Sept. 19, 2022]



              Subpart Z_Dedicated-Purpose Pool Pump Motors

    Source: 86 FR 40774, July 29, 2021, unless otherwise noted.



Sec.  431.481  Purpose and scope.

    (a) Purpose. This subpart contains definitions and test procedures 
requirements for electric motors that are dedicated-purpose pool pump 
motors, pursuant to Part A-1 of Title III of the Energy Policy and 
Conservation Act, as amended, 42 U.S.C. 6311-6317. It also identifies 
materials incorporated by reference in this part. This subpart does not 
cover other ``electric motors,'' which are addressed in subpart B of

[[Page 375]]

this part, nor does it cover ``small electric motors,'' which are 
addressed in subpart X of this part.
    (b) Scope. The requirements of this subpart apply to dedicated-
purpose pool pump motors, as specified in paragraphs 1.2, 1.3 and 1.4 of 
UL 1004-10:2022 (incorporated by reference, see Sec.  431.482).
    (c) Incorporation by reference. In Sec.  431.482, DOE incorporates 
by reference entire standards for use in this subpart; however, only the 
provisions of the document enumerated in an approved section are 
applicable within Sec.  431.482.

[86 FR 40774, July 29, 2021, as amended at 88 FR 67041, Sept. 28, 2023]



Sec.  431.482  Materials incorporated by reference.

    (a) Certain material is incorporated by reference into this subpart 
with the approval of the Director of the Federal Register in accordance 
with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other 
than that specified in this section, the Department of Energy (DOE) must 
publish a document in the Federal Register and the material must be 
available to the public. All approved incorporation by reference (IBR) 
material is available for inspection at DOE, and at the National 
Archives and Records Administration (NARA). Contact DOE at: the U.S. 
Department of Energy, Office of Energy Efficiency and Renewable Energy, 
Building Technologies Program, 1000 Independence Ave SW, EE-5B, 
Washington, DC 20585, (202) 586-9127, [email protected], https://
www.energy.gov/eere/buildings/building-technologies-office. For 
information on the availability of this material at NARA, visit 
www.archives.gov/federal-register/cfr/ibr-locations.html or email 
[email protected]. The material may be obtained from the sources in 
the following paragraphs of this section.
    (b) CSA. Canadian Standards Association, Sales Department, 5060 
Spectrum Way, Suite 100, Mississauga, Ontario, L4W 5N6, Canada, 1-800-
463-6727, or https://www.csagroup.org/store.
    (1) CSA C747-09 (Reaffirmed 2014) (``CSA C747-09''), ``Energy 
efficiency test method for small motors'' as revised through August 
2016, including Update No. 1; IBR approved for Sec.  431.484.
    (2) [Reserved]
    (c) UL. Underwriters Laboratories, 333 Pfingsten Road, Northbrook, 
IL 60062, (841) 272-8800, or go to https://www.ul.com.
    (1) UL 1004-10 (``UL 1004-10:2022''), Standard for Safety for Pool 
Pump Motors, Revised First Edition, Dated March 24, 2022; IBR approved 
for Sec. Sec.  431.481 and 431.483.
    (2) [Reserved]

[86 FR 40774, July 29, 2021, as amended at 88 FR 67041, Sept. 28, 2023; 
88 FR 71990, Oct. 19, 2023]



Sec.  431.483  Definitions.

    The definitions applicable to this subpart are defined in section 2 
``Glossary'' of UL 1004-10:2022 (incorporated by reference, see Sec.  
431.482). In addition, the following definition applies:
    Basic model means all units of dedicated purpose pool pump motors 
manufactured by a single manufacturer, that are within the same 
equipment class, have electrical characteristics that are essentially 
identical, and do not have any differing physical or functional 
characteristics that affect energy consumption or efficiency.

[88 FR 67041, Sept. 28, 2023]



Sec.  431.484  Test procedure.

    (a) Scope. Pursuant to section 343(a) of EPCA, this section provides 
the test procedures for measuring the efficiency of dedicated-purpose 
pool pump motors. (42 U.S.C. 6314) For purposes of this part and EPCA, 
the test procedures for measuring the efficiency of dedicated-purpose 
pool pump motors shall be the test procedure specified in paragraph (b) 
of this section.
    (b) Testing and calculations. At such time as compliance is required 
with a labeling requirement or an energy conservation standard, the 
full-load efficiency of each dedicated-purpose pool pump motor model 
(inclusive of the drive, if the dedicated-purpose pool pump motor model 
is placed into commerce with a drive, or is unable to operate without 
the presence of a drive) is determined in accordance with CSA C747-09, 
Section 1.6 ``Scope'', Section 3

[[Page 376]]

``Definitions'', Section 4 ``General requirements'', Section 5, 
``General test requirements'', and Section 6 ``Test method'' 
(incorporated by reference, see Sec.  431.482).



Sec.  431.485  Energy conservation standards.

    (a) For the purpose of paragraphs (b), (c) and (d) of this section, 
``THP'' means dedicated-purpose-pool pump motor total horsepower.
    (b) Each dedicated-purpose pool pump motor manufactured starting on 
September 29, 2025, with a THP less than 0.5 THP, must have a full-load 
efficiency that is not less than 69 percent.
    (c) Each dedicated-purpose pool pump motor manufactured starting on 
the dates provided in table 1 to this paragraph (c) with a THP greater 
than or equal to 0.5 THP must be a variable speed control dedicated-
purpose pool pump motor, and must follow the requirements in paragraph 
(d) of this section.

                        Table 1 to Paragraph (c)
------------------------------------------------------------------------
              Equipment class                      Compliance date
------------------------------------------------------------------------
Small-size (0.5 <= THP <1.15).............  September 28, 2027.
Standard-size (1.15 <= THP <= 5)..........  September 29, 2025.
------------------------------------------------------------------------

    (d) All dedicated-purpose pool pump motors with a THP greater than 
or equal to 0.5 THP and distributed in commerce with freeze protection 
controls, must be shipped with freeze protection disabled or with the 
following user-adjustable settings:
    (1) The default dry-bulb air temperature setting is no greater than 
40 [deg]F;
    (2) The default run time setting shall be no greater than 1 hour 
(before the temperature is rechecked); and
    (3) The default motor speed (in revolutions per minute, or rpm) in 
freeze protection mode shall not be more than half of the maximum 
operating speed.

[88 FR 67041, Sept. 28, 2023]



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.
433.4-433.7 [Reserved]
433.8 Life-cycle costing.

                 Subpart A_Energy Efficiency Performance

433.100 Energy efficiency performance standard.
433.101 Performance level determination.

 Subpart B_Reduction in Scope 1 Fossil Fuel-Generated Energy Consumption

433.200 Scope 1 Fossil fuel-generated energy consumption requirement.
433.201 Scope 1 Fossil fuel-generated energy consumption determination.
433.202 Petition for downward adjustment.

Appendix A to Subpart B of Part 433--Maximum Allowable Scope 1 Fossil 
          Fuel-Generated Energy Consumption

      Subpart C_Green Building Certification for Federal Buildings

433.300 Green building certification.

    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.

    (a) 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)).
    (b) This part also establishes a maximum allowable fossil fuel-
generated energy consumption standard for new Federal buildings that are 
commercial or multi-family high-rise residential buildings and major 
renovations to Federal buildings that are commercial or multi-family 
high-rise residential buildings, for which design for construction began 
on or after May 1, 2025.

[[Page 377]]

    (c) This part also establishes green building certification 
requirements for new Federal buildings that are commercial and multi-
family high-rise residential buildings and major renovations to Federal 
buildings that are commercial and multi-family high-rise residential 
buildings, for which design for construction began on or after October 
14, 2015.

[71 FR 70281, Dec. 4, 2006, as amended at 79 FR 61569, Oct. 14, 2014; 89 
FR 35415, May 1, 2024]



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.
    ASHRAE Baseline Building 2004 means a building that is otherwise 
identical to the proposed building but is designed to meet, but not 
exceed, the energy efficiency specifications in 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).
    ASHRAE Baseline Building 2007 means a building that is otherwise 
identical to the proposed building but is designed to meet, but not 
exceed, the energy efficiency specifications in ANSI/ASHRAE/IESNA 
Standard 90.1-2007, Energy Standard for Buildings Except Low-Rise 
Residential Buildings, December 2007 (incorporated by reference, see 
Sec.  433.3).
    ASHRAE Baseline Building 2010 means a building that is otherwise 
identical to the proposed building but is designed to meet, but not 
exceed, the energy efficiency specifications in ANSI/ASHRAE/IESNA 
Standard 90.1-2010, Energy Standard for Buildings Except Low-Rise 
Residential Buildings, 2010 (incorporated by reference, see Sec.  
433.3).
    ASHRAE Baseline Building 2013 means a building that is otherwise 
identical to the proposed building but is designed to meet, but not 
exceed, the energy efficiency specifications in ASHRAE 90.1-2013 
(incorporated by reference, see Sec.  433.3).
    ASHRAE Baseline Building 2019 means a building that is otherwise 
identical to the proposed building but is designed to meet, but not 
exceed, the energy efficiency specifications in ASHRAE 90.1-2019 
(incorporated by reference, see Sec.  433.3).
    Commercial and multi-family high-rise residential building means all 
buildings other than low-rise residential buildings.
    Construction cost means all costs associated with the construction 
of a new Federal building. It includes, but is not limited to, the cost 
of preliminary planning, engineering, architectural, permitting, fiscal 
and economic investigations and studies, surveys, designs, plans, 
working drawings, specifications, procedures, and other similar actions 
necessary for the construction of a new Federal building. It does not 
include the cost of acquiring the land.
    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.
    Design for renovation 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 renovation project cost specification.
    DOE means the U.S. Department of Energy.
    EISA-subject building or project means, for purposes of this rule, 
any new Federal building or renovation project that is subject to the 
cost thresholds and reporting requirements in Section 433 of Energy 
Independence and Security Act of 2007 (EISA) ((Pub. L. 110-140, codified 
at 42 U.S.C. 6834(a)(3)(D)(i))).
    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. Such term shall include buildings built for 
the purpose

[[Page 378]]

of being leased by a Federal agency and privatized military housing.
    Fiscal year (FY) means the 12-month period beginning on October 1 of 
the year prior to the specified calendar year and ending on September 30 
of the specified calendar year.
    Fossil fuel-generated energy consumption means the on-site 
stationary consumption of fossil fuels that contribute to Scope 1 
emissions for generation of electricity, heat, cooling, or steam as 
defined by ``Federal Greenhouse Gas Accounting and Reporting Guidance'' 
(Council on Environmental Quality, January 17, 2016). This includes, but 
is not limited to, combustion of fuels in stationary sources (e.g., 
boilers, furnaces, turbines, and emergency generators). This term does 
not include mobile sources, fugitive emissions, or process emissions as 
defined by ``Federal Greenhouse Gas Accounting and Reporting Guidance'' 
(Council on Environmental Quality, January 17, 2016).
    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).
    Major renovation means either major renovation of all Scope 1 fossil 
fuel-using systems in a Federal building or major renovation of one or 
more Scope 1 fossil fuel-using building systems or components, as 
defined in this section.
    Major renovation cost means all costs associated with the repairing, 
remodeling, improving, extending, or other changes in a federal 
building. It includes, but is not limited to, the cost of preliminary 
planning, engineering, architectural, permitting, fiscal and economic 
investigations and studies, surveys, designs, plans, working drawings, 
specifications, procedures, and other similar actions necessary for the 
alteration of a Federal building.
    Major renovation of all Scope 1 fossil fuel-using systems in a 
building means construction on an existing Federal building that is so 
extensive that it replaces all Scope 1 fossil fuel-using systems in the 
building. This term includes, but is not limited to, comprehensive 
replacement or restoration of most or all major systems, interior work 
(such as ceilings, partitions, doors, floor finishes, etc.), or building 
elements and features.
    Major renovation of a Scope 1 fossil fuel-using building system or 
Scope 1 fossil fuel-using component means changes to a federal building 
that provide significant opportunities for energy efficiency or 
reduction in fossil fuel-related energy consumption. This includes, but 
is not limited to, replacement of the HVAC system, hot water system, or 
cooking system, or other fossil fuel-using systems or components of the 
building that have a major impact on fossil fuel usage.
    Multi-family high-rise residential building means a residential 
Federal building that contains 3 or more dwelling units and that is 
designed to be 4 or more stories above grade.
    New Federal building means any new building (including a complete 
replacement of an existing building from the foundation up) to be 
constructed by, or for the use of, any Federal agency. Such term shall 
include new buildings (including a complete replacement of an existing 
building from the foundation up) built for the purpose of being leased 
by a Federal agency, and privatized military housing.
    Process load means the load on a building resulting from energy 
consumed in support of a manufacturing, industrial, or commercial 
process.

[[Page 379]]

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 design for construction of a new Federal 
commercial or multi-family high-rise residential building, proposed for 
construction, or a major renovation to a Federal commercial or multi-
family high-rise residential building.
    Receptacle load means the load on a building resulting from energy 
consumed by any equipment plugged into electrical outlets.
    Shift adjustment multiplier means a multiplication factor that 
agencies may apply to their Maximum Allowable Fossil Fuel-Generated 
Energy Consumption by Building Category target based upon the weekly 
hours of active operation of the building. The weekly hours of operation 
used as a basis for the shift adjustment multiplier lookup include the 
time in which in the building is actively occupied and operating per its 
intended use type and unoccupied hours or other times of limited use 
(such as night-time setback hours).
    Technical impracticability means achieving the fossil fuel-based 
energy consumption targets would:
    (1) Not be feasible from an engineering design or execution 
standpoint due to existing physical or site constraints that prohibit 
modification or addition of elements or spaces;
    (2) Significantly obstruct building operations and the functional 
needs of a building, specifically for industrial process loads, critical 
national security functions, mission critical information systems as 
defined in NIST SP 800-60 Vol. 2 Rev. 1, and research operations; or
    (3) Significantly degrade energy resiliency and energy security of 
building operations as defined in 10 U.S.C. 101(e)(6) and 10 U.S.C. 
101(e)(7) respectively.

[71 FR 70281, Dec. 4, 2006, as amended at 72 FR 72570, Dec. 21, 2007; 76 
FR 49284, Aug. 10, 2011; 78 FR 40953, July 9, 2013; 80 FR 68757, Nov. 6, 
2015; 87 FR 20293, Apr. 7, 2022; 89 FR 35415, May 1, 2024]

    Editorial Note: At 87 FR 20293, Apr. 7, 2022, Sec.  433.2 was 
amended; however, a portion of the amendment could not be incorporated 
due to inaccurate amendatory instruction.



Sec.  433.3  Materials incorporated by reference.

    (a) Certain material is incorporated by reference into this subpart 
with the approval of the Director of the Federal Register in accordance 
with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other 
than that specified in this section, DOE must publish a document in the 
Federal Register and the material must be available to the public. All 
approved material is available for inspection at DOE, and at the 
National Archives and Records Administration (NARA). Contact DOE at: The 
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) 586-9127, [email protected], https://
www.energy.gov/eere/buildings/building-technologies-office. For 
information on the availability of this material at NARA, email: 
[email protected], or go to: www.archives.gov/federal-register/cfr/
ibr-locations.html. The material may be obtained from the sources in the 
following paragraphs of this section.
    (b) ASHRAE. American Society of Heating Refrigerating and Air-
Conditioning Engineers, Inc., 180 Technology Parkway NW, Peachtree 
Corners, GA 30092; (404) 636-8400; www.ashrae.org.
    (1) ANSI/ASHRAE/IESNA 90.1-2004, (``ASHRAE 90.1-2004''), Energy 
Standard for Buildings Except Low-Rise Residential Buildings, January 
2004, ISSN 1041-2336, IBR approved for Sec. Sec.  433.2, 433.100, and 
433.101;
    (2) ANSI/ASHRAE/IESNA Standard 90.1-2007, (``ASHRAE 90.1-2007''), 
Energy Standard for Buildings Except Low-Rise Residential Buildings, 
2007, ISSN 1041-2336, IBR approved for Sec. Sec.  433.2, 433.100, and 
433.101.
    (3) ANSI/ASHRAE/IESNA 90.1-2010, (``ASHRAE 90.1-2010''), Energy 
Standard for Buildings Except Low-Rise Residential Buildings, I-P 
Edition, Copyright 2010, IBR approved for Sec. Sec.  433.2, 433.100, and 
433.101.

[[Page 380]]

    (4) ANSI/ASHRAE/IES 90.1-2013, (``ASHRAE 90.1-2013''), Energy 
Standard for Buildings Except Low-Rise Residential Buildings, I-P 
Edition, Copyright 2013, IBR approved for Sec. Sec.  433.2, 433.100, and 
433.101.
    (5) ANSI/ASHRAE/IES 90.1-2019, (``ASHRAE 90.1-2019''), Energy 
Standard for Buildings Except Low-Rise Residential Buildings, I-P 
Edition, copyright 2019, IBR approved for Sec. Sec.  433.2, 433.100 and 
433.101.

[76 FR 49284, Aug. 10, 2011, as amended at 78 FR 40953, July 9, 2013; 79 
FR 61569, Oct. 14, 2014; 80 FR 68757, Nov. 6, 2015; 87 FR 20294, Apr. 7, 
2022]



Sec. Sec.  433.4-433.7  [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.''



                 Subpart A_Energy Efficiency Performance

    Source: 79 FR 61569, Oct. 14, 2014, unless otherwise noted.



Sec.  433.100  Energy efficiency performance standard.

    (a) (1) All Federal agencies shall design new Federal buildings that 
are commercial and multi-family high-rise residential buildings, for 
which design for construction began on or after January 3, 2007, but 
before August 10, 2012, to:
    (i) Meet ASHRAE 90.1-2004, (incorporated by reference, see Sec.  
433.3); and
    (ii) 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 ASHRAE Baseline Building 
2004.
    (2) All Federal agencies shall design new Federal buildings that are 
commercial and multi-family high-rise residential buildings, for which 
design for construction began on or after August 10, 2012, but before 
July 9, 2014, to:
    (i) Meet ASHRAE 90.1-2007, (incorporated by reference, see Sec.  
433.3); and
    (ii) 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 ASHRAE Baseline Building 
2007.
    (3) All Federal agencies shall design new Federal buildings that are 
commercial and multi-family high-rise residential buildings, for which 
design for construction began on or after July 9, 2014, but before 
November 6, 2016 to:
    (i) Meet ASHRAE 90.1-2010, (incorporated by reference, see Sec.  
433.3); and
    (ii) 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 ASHRAE Baseline Building 
2010.
    (4) All Federal agencies shall design new Federal buildings that are 
commercial and multi-family high-rise residential buildings, for which 
design for construction began on or after November 6, 2016, but before 
April 7, 2023, to:
    (i) Meet ASHRAE 90.1-2013, (incorporated by reference, see Sec.  
433.3); and
    (ii) If LCC effective, achieve energy consumption levels, calculated 
consistent with paragraph (b) of this section, that are at least 30 
percent below the levels of the ASHRAE Baseline Building 2013.
    (5) All Federal agencies shall design new Federal buildings that are 
commercial and multi-family high-rise residential buildings, for which 
design for construction began on or after April 7, 2023, to:
    (i) Meet ASHRAE 90.1-2019, (incorporated by reference, see Sec.  
433.3); and
    (ii) If LCC effective, achieve energy consumption levels, calculated 
consistent with paragraph (b) of this section, that are at least 30 
percent below the levels of the ASHRAE Baseline Building 2019.
    (b) If a 30 percent reduction is not LCC effective, the design of 
the proposed building shall be modified so as

[[Page 381]]

to achieve an energy consumption level at or better than the maximum 
level of energy efficiency that is LCC effective, but at a minimum 
complies with paragraph (a) of this section.

[79 FR 61569, Oct. 14, 2014, as amended at 80 FR 68757, Nov. 6, 2015; 87 
FR 20294, Apr. 7, 2022]



Sec.  433.101  Performance level determination.

    (a)(1) For Federal buildings for which design for construction began 
on or after January 3, 2007, but before August 10, 2012, each Federal 
agency shall determine energy consumption levels for both the ASHRAE 
Baseline Building 2004 and proposed building by using the Performance 
Rating Method found in Appendix G of ASHRAE 90.1-2004 (incorporated by 
reference, see Sec.  433.3), except the formula for calculating the 
Performance Rating in paragraph G1.2 shall read as follows:
    (i) Percentage improvement = 100 x ((Baseline building consumption--
Receptacle and process loads)--(Proposed building consumption--
Receptacle and process loads))/(Baseline building consumption--
Receptacle and process loads) (which simplifies as follows):
    (ii) Percentage improvement = 100 x (Baseline building consumption--
Proposed building consumption)/(Baseline building consumption--
Receptacle and process loads).
    (2) For Federal buildings for which design for construction began on 
or after August 10, 2012, but before July 9, 2014, each Federal agency 
shall determine energy consumption levels for both the ASHRAE Baseline 
Building 2007 and proposed building by using the Performance Rating 
Method found in Appendix G of ASHRAE 90.1-2007 (incorporated by 
reference, see Sec.  433.3), except the formula for calculating the 
Performance Rating in paragraph G1.2 shall read as follows:
    (i) Percentage improvement = 100 x ((Baseline building consumption--
Receptacle and process loads)--(Proposed building consumption--
Receptacle and process loads))/(Baseline building consumption--
Receptacle and process loads) (which simplifies as follows):
    (ii) Percentage improvement = 100 x (Baseline building consumption--
Proposed building consumption)/(Baseline building consumption--
Receptacle and process loads).
    (3) For Federal buildings for which design for construction began on 
or after July 9, 2014, but before November 6, 2016 each Federal agency 
shall determine energy consumption levels for both the ASHRAE Baseline 
Building 2010 and proposed building by using the Performance Rating 
Method found in Appendix G of ASHRAE 90.1-2010 (incorporated by 
reference, see Sec.  433.3), except the formula for calculating the 
Performance Rating in paragraph G1.2 shall read as follows:
    (i) Percentage improvement = 100 x ((Baseline building consumption--
Receptacle and process loads)--(Proposed building consumption--
Receptacle and process loads))/(Baseline building consumption--
Receptacle and process loads) (which simplifies as follows):
    (ii) Percentage improvement = 100 x (Baseline building consumption--
Proposed building consumption)/(Baseline building consumption--
Receptacle and process loads).
    (4) For Federal buildings for which design for construction began on 
or after November 6, 2016, but before April 7, 2023, each Federal agency 
shall determine energy consumption levels for both the ASHRAE Baseline 
Building 2013 and proposed building by using the Performance Rating 
Method found in Appendix G of ASHRAE 90.1-2013 (incorporated by 
reference, see Sec.  433.3), except the formula for calculating the 
Performance Rating in Section G1.2 shall read as follows:
    (i) Percentage improvement = 100 x ((Baseline building consumption-
Receptacle and process loads)-(Proposed building consumption-Receptacle 
and process loads))/(Baseline building consumption-Receptacle and 
process loads) (which simplifies as follows):
    (ii) Percentage improvement = 100 x (Baseline building consumption-
Proposed building consumption)/(Baseline building consumption-Receptacle 
and process loads).
    (5) For Federal buildings for which design for construction began on 
or after April 7, 2023, each Federal agency shall determine energy 
consumption levels for both the ASHRAE Baseline Building 2019 and 
proposed building by

[[Page 382]]

using the Performance Rating Method found in Appendix G of ASHRAE 90.1-
2019 (incorporated by reference, see Sec.  433.3). The formula for 
determining the percentage improvement shall be as follows:

Percentage Improvement = 100 x (1-PCI/PCIt)

Where

PCI = Performance Cost Index calculated in accordance with Section G1.2 
          of ASHRAE Standard 90.1-2019
PCIt = Performance Cost Index Target calculated by formula in Section 
          4.2.1.1 of ASHRAE Standard 90.1-2019

    (b) Energy consumption for the purposes of calculating the 30 
percent savings requirements shall include the building envelope and 
energy consuming systems normally specified as part of the building 
design by ASHRAE Standard 90.1 such as space heating, space cooling, 
ventilation, service water heating, and lighting, and all process and 
receptacle loads, except for energy-intensive process loads that are 
driven by mission and operational requirements, not necessarily 
buildings, and not influenced by conventional building energy 
conservation measures.

[79 FR 61569, Oct. 14, 2014, as amended at 80 FR 68757, Nov. 6, 2015; 87 
FR 20294, Apr. 7, 2022]



 Subpart B_Reduction in Scope 1 Fossil Fuel-Generated Energy Consumption

    Source: 89 FR 35416, May 1, 2024, unless otherwise noted.



Sec.  433.200  Scope 1 Fossil fuel-generated energy consumption requirement.

    (a) New EISA-Subject buildings. (1) New Federal buildings that are 
commercial or multi-family high-rise residential buildings, for which 
design for construction began on or after May 1, 2025 must be designed 
to meet the requirements of paragraph (c) of this section if:
    (i) For Federally owned public buildings or leased Federal 
buildings, the construction cost of the new building exceeds GSA's 
Annual Prospectus Thresholds that are found at https://www.gsa.gov/real-
estate/design-construction/gsa-annual-prospectus-thresholds; or
    (ii) For Federally owned non-public buildings, the cost of the 
building is at least $2,500,000 (in 2007 dollars, adjusted for 
inflation). For the purposes of calculating this threshold, projects 
should set the Bureau of Labor and Statistics CPI Inflation calculator 
to $2,500,000 in October of 2006 (to represent the value of the original 
cost threshold) and then set for October of the FY during which the 
design for construction of the project began or is set to begin.
    (2) [Reserved]
    (b) Major renovations of EISA-Subject buildings. (1) Major 
renovations to Federal buildings that are commercial or multi-family 
high-rise residential buildings, for which design for construction began 
on or after May 1, 2025, must be designed to meet the requirements of 
paragraphs (c) or (d) of this section, as applicable, if:
    (i) The renovation is a major renovation to a public building as 
defined in 40 U.S.C. 3301 and for which transmittal of a prospectus to 
Congress is required under 40 U.S.C. 3307; or
    (ii) The cost of the major renovation of a Federally owned building 
is at least $2,500,000 (in 2007 dollars, adjusted for inflation). For 
the purposes of calculating this threshold, projects should set the 
Bureau of Labor and Statistics CPI Inflation calculator to $2,500,000 in 
October of 2006 (to represent the value of the original cost threshold) 
and then set for October of the FY during which the design for 
construction of the project began or is set to begin. The cost of a 
major renovation for a Federally leased building is at least the amount 
listed for alterations in leased buildings that would need to transmit a 
prospectus to Congress under section 3307 of title 40. See GSA Annual 
Prospectus Thresholds at https://www.gsa.gov/real-estate/design-
construction/gsa-annual-prospectus-thresholds.
    (2) This subpart only applies to major renovations that meet the 
definition of ``major renovation of all Scope 1 fossil fuel-using 
systems in a federal building'' or ``major renovation of a Scope 1 
fossil fuel-using building system or Scope 1 fossil fuel-using 
component.''
    (3) For leased buildings, this subpart applies to major renovations 
only if the building was originally built for

[[Page 383]]

the use of any Federal agency, including being leased by a Federal 
agency.
    (4) This subpart applies only to the portions of the proposed 
building or proposed building systems that are being renovated and to 
the extent that the scope of the renovations permits compliance with the 
applicable requirements of this subpart. Unaltered portions of the 
proposed building or proposed building systems are not required to 
comply with this subpart.
    (c) Federal buildings that are of the type included in appendix A of 
this subpart.
    (1) New Construction and Major Renovations of all Scope 1 Fossil 
Fuel-Using Systems in EISA-Subject Buildings.
    (i) Design for construction began during FY 2024 through FY 2029. 
For new construction or major renovations of all Scope 1 fossil fuel-
using systems in a Federal building for which design for construction or 
renovation, as applicable, began during FY 2024 through 2029, the Scope 
1 fossil fuel-generated energy consumption of the proposed building, 
based on the building design and calculated according to Sec.  
433.201(a), must not exceed the value identified in Tables A-1a to A-2a 
(if targets based on emissions are used) or Tables A-1b to A-2b (if 
targets based on kBtu of fossil fuel usage are used) of appendix A of 
this subpart for the associated building type, climate zone, and fiscal 
year in which design for construction begins.
    (A) Federal agencies may apply a shift adjustment multiplier to the 
values in Tables A-1a to A-2a or Tables A-1b to A-2b based on the 
following baseline hours of operation assumed in Tables A-1a to A-2a or 
Tables A-1b to A-2b. To calculate the shift adjustment multiplier, 
agencies shall estimate the number of shifts for their new building and 
multiply by the appropriate factor shown below in Table 1 of this 
section for their building type.
    (B) The Scope 1 fossil fuel-generated energy consumption target for 
the building is the applicable value in either Tables A-1a to A-2a or 
Tables A-1b to A-2b multiplied by the shift adjustment multiplier 
calculated for that building.

                  Table 1--Shift Adjustment Multiplier by Hours of Operation and Building Type
----------------------------------------------------------------------------------------------------------------
                                                                             Weekly hours of operation
                     Building activity type                      -----------------------------------------------
                                                                    50 or less       51 to 167          168
----------------------------------------------------------------------------------------------------------------
Admin/professional office.......................................               1               1             1.4
Bank/other financial............................................               1               1             1.4
Government office...............................................               1               1             1.4
Medical office (non-diagnostic).................................               1               1             1.4
Mixed-use office................................................               1               1             1.4
Other office....................................................               1               1             1.4
Laboratory......................................................               1               1             1.4
Distribution/shipping center....................................             0.7             1.4             2.1
Nonrefrigerated warehouse.......................................             0.7             1.4             2.1
Convenience store...............................................               1               1             1.4
Convenience store with gas......................................               1               1             1.4
Grocery store/food market.......................................               1               1             1.4
Other food sales................................................               1               1             1.4
Fire station/police station.....................................             0.8             0.8             1.1
Other public order and safety...................................             0.8             0.8             1.1
Medical office (diagnostic).....................................               1               1             1.5
Clinic/other outpatient health..................................               1               1             1.5
Refrigerated warehouse..........................................               1               1               1
Religious worship...............................................             0.9             1.7             1.7
Entertainment/culture...........................................             0.8             1.5             1.5
Library.........................................................             0.8             1.5             1.5
Recreation......................................................             0.8             1.5             1.5
Social/meeting..................................................             0.8             1.5             1.5
Other public assembly...........................................             0.8             1.5             1.5
College/university..............................................             0.8             1.3             1.3
Elementary/middle school........................................             0.8             1.3             1.3
High school.....................................................             0.8             1.3             1.3
Preschool/daycare...............................................             0.8             1.3             1.3
Other classroom education.......................................             0.8             1.3             1.3
Fast food.......................................................             0.4             1.1             2.1
Restaurant/cafeteria............................................             0.4             1.1             2.1
Other food service..............................................             0.4             1.1             2.1
Hospital/inpatient health.......................................               1               1               1
Nursing home/assisted living....................................               1               1               1

[[Page 384]]

 
Dormitory/fraternity/sorority...................................               1               1               1
Hotel...........................................................               1               1               1
Motel or inn....................................................               1               1               1
Other lodging...................................................               1               1               1
Vehicle dealership/showroom.....................................             0.8             1.2             1.8
Retail store....................................................             0.8             1.2             1.8
Other retail....................................................             0.8             1.2             1.8
Post office/postal center.......................................             0.7             1.5             1.5
Repair shop.....................................................             0.7             1.5             1.5
Vehicle service/repair shop.....................................             0.7             1.5             1.5
Vehicle storage/maintenance.....................................             0.7             1.5             1.5
Other service...................................................             0.7             1.5             1.5
Strip shopping mall.............................................               1               1               1
Enclosed mall...................................................               1               1               1
Bar/Pub/Lounge..................................................               1               1             1.4
Courthouse/Probation Office.....................................               1               1             1.4
----------------------------------------------------------------------------------------------------------------

    (ii) Design for construction began during or after FY 2030. For new 
construction or major renovations of all fossil fuel-using systems in an 
EISA-subject building for which design for construction or renovation, 
as applicable, began during or after FY 2030, the Scope 1 fossil fuel-
generated energy consumption of the proposed building, based on building 
design and calculated according to Sec.  433.201(a), must be zero.
    (2) Major Renovations of a Federal Building System or Component 
within an EISA-Subject Building. System level renovations shall follow 
the renovation requirements in section 4.2.1.3 of the applicable 
building baseline energy efficiency standards listed in Sec.  433.100 
substituting the ``design for construction'' with ``design for 
renovation'' for the relevant date and shall replace all equipment that 
is included in the renovation with all electric or non-fossil fuel-using 
ENERGY STAR or Federal Energy Management Program (FEMP) designated 
products as defined in Sec.  436.42 of this chapter. For component level 
renovations, Agencies shall replace all equipment that is part of the 
renovation with all electric or non-fossil fuel-using ENERGY STAR or 
FEMP designated products as defined in Sec.  436.42 of this chapter.
    (3) Mixed-use buildings.
    (i) For Federal buildings subject to the requirements of paragraph 
(c)(1)(i) of this section that combine two or more building types 
identified in Tables 1a to 2a or Tables 1b to 2b of appendix A of this 
subpart, the maximum allowable fossil fuel-generated energy consumption 
of the proposed building is equal to the averaged applicable building 
type values in Tables A-1a to A-2a or Tables A-1b to A-2b weighted by 
floor area of the two or more building types. The equation which follows 
shall be used for mixed use buildings.

Equation 1: Scope 1 Fossil fuel-generated energy consumption for a 
mixed-use building = the sum across all building uses of (the fraction 
of total floor building floor area for building use i times the 
allowable fossil fuel-generated energy consumption for building use i)

    Equation 1 may be rewritten as:
    [GRAPHIC] [TIFF OMITTED] TR01MY24.000
    

[[Page 385]]


    (ii) For example, if a proposed building for which design for 
construction began in FY 2026 that is to be built in climate zone 4a has 
a total of 200 square feet--100 square feet of which qualifies as 
College/University and 100 square feet of which qualifies as 
Laboratory--the maximum allowable Scope 1 fossil fuel-generated energy 
consumption is equal to:

[(100 sqft. x 3 kBtu/yr.-sqft.) + (100 sqft x 10 kBtu/yr.-sqft.)]/200 
sqft. = 6.5 kBtu/yr.-sqft.

    (d) Federal buildings that are of the type not included in Appendix 
A of this subpart--
    (1) Process load buildings. For building types that are not included 
in any of the building types listed in Tables A-1a to A-2a or A-1b to A-
2b of appendix A of this subpart, or for building types in these tables 
that contain significant process loads that are not likely to be found 
in the Commercial Buildings Energy Consumption Survey (CBECS) and 
qualify for exemption per Sec.  433.202, Federal agencies must select 
the applicable building type, climate zone, and fiscal year in which 
design for construction began from Tables 1a to 2a or 1b to 2b of 
appendix A of this subpart that most closely corresponds to the proposed 
building without the process load. The estimated Scope 1 fossil fuel-
generated energy consumption of the process load must be added to the 
maximum allowable Scope 1 fossil fuel-generated energy consumption of 
the applicable building type for the appropriate fiscal year and climate 
zone to calculate the maximum allowable Scope 1 fossil fuel-generated 
energy consumption for the building. The same estimated Scope 1 fossil 
fuel-generated energy consumption of the process load that is added to 
the maximum allowable Scope 1 fossil fuel-generated energy consumption 
of the applicable building must also be used in determining the Scope 1 
fossil fuel-generated energy consumption of the proposed building.
    (2) Mixed-use buildings. For buildings that combine two or more 
building types with process loads or, alternatively, that combine one or 
more building types with process loads with one or more building types 
in Tables A-1a to A-2a or A-1b to A-2b of appendix A of this subpart, 
the maximum allowable Scope 1 fossil fuel-generated energy consumption 
of the proposed building is equal to the averaged process load building 
values determined under paragraph (d)(1) of this section and the 
applicable building type values in Tables A-1a to A-2a or A-1b to A-2b 
of appendix A of this subpart, weighted by floor area.

[89 FR 35416, May 1, 2024, as amended at 89 FR 48266, June 6, 2024]



Sec.  433.201  Scope 1 Fossil fuel-generated energy consumption determination.

    (a) The fossil fuel-generated energy consumption of a proposed 
building is calculated as follows:

Equation 2: Fossil fuel-generated energy consumption = Direct Scope 1 
Fossil Fuel-Generated Consumption of Proposed Building/Floor Area

Where:

Direct Scope 1 Fossil Fuel-Generated Energy Consumption of Proposed 
          Building equals the total Scope 1 fossil fuel-generated energy 
          consumption of the proposed building calculated in accordance 
          with the method required in Sec.  433.101(a)(5) and measured 
          in thousands of British thermal units per year (kBtu/yr), 
          except that this term does not include fossil fuel consumption 
          for emergency electricity generation. Agencies must include 
          all on-site fossil fuel use or Scope 1 emissions associated 
          with non-emergency generation from backup generators (such as 
          those for peak shaving or peak shifting). Any energy 
          generation or Scope 1 emissions associated with biomass fuels 
          are excluded. Any emissions associated with natural gas for 
          alternatively fueled vehicles (``AFVs'') (or any other 
          alternative fuel defined at 42 U.S.C. 13211 that is provided 
          at a Federal building) is excluded. For buildings with 
          manufacturing or industrial process loads, the process loads 
          should be accounted for in the analysis for the building's 
          fossil fuel consumption and GHG emissions, but are not subject 
          to the phase down targets.
Floor Area is the area enclosed by the exterior walls of a building, 
          both finished and unfinished, including indoor parking 
          facilities, basements, hallways, lobbies, stairways, and 
          elevator shafts.



Sec.  433.202  Petition for downward adjustment.

    (a) New Federal buildings, major renovations of all Scope 1 fossil 
fuel-using

[[Page 386]]

systems, and major renovations of a Scope 1 fossil fuel-using building 
system or component in an EISA-subject building. (1) Upon petition by a 
Federal agency, the Director of FEMP may adjust the applicable maximum 
allowable Scope 1 fossil fuel-generated energy consumption standard with 
respect to a specific building, upon written certification from the head 
of the agency designing the building or major renovation, that the 
requested adjustment is the largest feasible reduction in Scope 1 fossil 
fuel energy consumption that can practicably be achieved in light of the 
specified functional needs for that building, as demonstrated by the 
following (which is not an exhaustive list and whose components may be 
further modified by guidance):
    (i) A statement from the Head of the Agency or their designee 
requesting the petition for downward adjustment for the building or 
renovation, that the building or renovation reduces consumption of Scope 
1 fossil fuel energy consumption in accordance with the applicable 
energy performance standard to the maximum extent practicable and that 
each fossil fuel using product included in the proposed building that is 
of a product category covered by the ENERGY STAR program or FEMP for 
designated products is an ENERGY STAR product or a product meeting the 
FEMP designation criteria, as applicable;
    (ii) A description of the systems, technologies, and practices that 
were evaluated and unable to meet the required fossil fuel reduction, 
including a justification of why achieving the Scope 1 fossil fuel-based 
energy consumption targets would be technically impracticable;
    (iii) Any other information the agency determines would help explain 
its request;
    (iv) A general description of the building or major renovation, 
including but not limited to location, use type, floor area, stories, 
expected number of occupants and occupant schedule, project type, 
project cost, and functional needs, mission critical activity, research, 
and national security operations as applicable;
    (v) The maximum allowable Scope 1 fossil fuel energy consumption for 
the building from Sec.  433.200(c) or (d);
    (vi) The estimated Scope 1 fossil fuel energy consumption of the 
proposed building; and
    (vii) A description of the proposed building's energy-related 
features, such as:
    (A) HVAC system or component type and configuration;
    (B) HVAC equipment sizes and efficiencies;
    (C) Ventilation systems or components (including outdoor air volume, 
controls technique, heat recovery systems, and economizers, if 
applicable);
    (D) Service water heating system or component configuration and 
equipment (including solar hot water, wastewater heat recovery, and 
controls for circulating hot water systems, if applicable);
    (E) Estimated industrial process loads; and
    (F) Any other on-site fossil fuel using equipment.
    (2)(i) Agencies may file one petition for a project with multiple 
buildings if the buildings are
    (A) Of the same building, building system, or component type and of 
similar size, location, and functional purpose;
    (B) Are being designed and constructed to the same set of targets 
for fossil fuel-generated energy consumption reduction; and
    (C) would require similar measures to reduce fossil fuel-generated 
energy consumption and similar adjustment to the numeric reduction 
requirement.
    (ii) The bundled petition must include the information in paragraph 
(a) of this section that pertains to all buildings, building systems, or 
components included in the petition and an additional description of the 
differences between each building, building system, or component. The 
agency is only required to show work for adjustment once.
    (3) Petitions for downward adjustment should be submitted to cer-
[email protected], or to: U.S. Department of Energy, FEMP, Director, 
Clean Energy Reduction Petitions, EE-5F, 1000 Independence Ave. SW, 
Washington, DC 20585-0121.

[[Page 387]]

    (4) The Director of FEMP will make a best effort to notify the 
requesting agency in writing whether the petition for downward 
adjustment to the numeric reduction requirement is approved or rejected, 
in 30 calendar days of submittal, provided that the petition is 
complete. If the Director rejects the petition or establishes a value 
other than that presented in the petition, the Director will forward its 
reasons for rejection to the petitioning agency.
    (b) Exclusions. The General Services Administration (GSA) may not 
submit petitions under paragraph (a) of this section. Agencies that are 
tenants of GSA buildings for which the agency, not GSA, has significant 
design control may submit petitions in accordance with this section.



  Sec. Appendix A to Subpart B of Part 433--Maximum Allowable Scope 1 
                Fossil Fuel-Generated Energy Consumption

    (a) For purposes of the tables in this appendix, the climate zones 
are the same as those listed in the performance standards required by 
Sec.  433.100(a)(5)(i).
    (b) For purpose of appendix A, the following definitions apply:
    (1) Education means a category of buildings used for academic or 
technical classroom instruction, such as elementary, middle, or high 
schools, and classroom buildings on college or university campuses. 
Buildings on education campuses for which the main use is not as a 
classroom are included in the category relating to their use. For 
example, administration buildings are part of ``Office,'' dormitories 
are ``Lodging,'' and libraries are ``Public Assembly.''
    (2) Food sales means a category of buildings used for retail or 
wholesale of food. For example, grocery stores are ``Food Sales.''
    (3) Food service means a category of buildings used for preparation 
and sale of food and beverages for consumption. For example, restaurants 
are ``Food Service.''
    (4) Health care (Inpatient) means a category of buildings used as 
diagnostic and treatment facilities for inpatient care.
    (5) Health care (Outpatient) means a category of buildings used as 
diagnostic and treatment facilities for outpatient care. Medical offices 
are included here if they use any type of diagnostic medical equipment 
(if they do not, they are categorized as an office building).
    (6) Laboratory means a category of buildings equipped for scientific 
experimentation or research as well as other technical, analytical and 
administrative activities.
    (7) Lodging means a category of buildings used to offer multiple 
accommodations for short-term or long-term residents, including skilled 
nursing and other residential care buildings.
    (8) Mercantile (Enclosed and Strip Malls) means a category of 
shopping malls comprised of multiple connected establishments.
    (9) Multi-Family High-Rise Residential Buildings means a category of 
residential buildings that contain 3 or more dwelling units and that is 
designed to be 4 or more stories above grade.
    (10) Office means a category of buildings used for general office 
space, professional office, or administrative offices. Medical offices 
are included here if they do not use any type of diagnostic medical 
equipment (if they do, they are categorized as an outpatient health care 
building).
    (11) Public assembly means a category of public or private 
buildings, or spaces therein, in which people gather for social or 
recreational activities.
    (12) Public order and safety means a category of buildings used for 
the preservation of law and order or public safety.
    (13) Religious worship means a category of buildings in which people 
gather for religious activities, (such as chapels, churches, mosques, 
synagogues, and temples).
    (14) Retail (Other Than Mall) means a category of buildings used for 
the sale and display of goods other than food.
    (15) Service means a category of buildings in which some type of 
service is provided, other than food service or retail sales of goods.
    (16) Warehouse and storage means a category of buildings used to 
store goods, manufactured products, merchandise, raw materials, or 
personal belongings (such as self-storage).

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      Subpart C_Green Building Certification for Federal Buildings



Sec.  433.300  Green building certification.

    (a) If a Federal agency chooses to use a green building 
certification system to certify a new Federal building or a Federal 
building undergoing a major renovation and such building is also either 
a public building (as defined in 40 U.S.C. 3301) for which transmittal 
of a prospectus to Congress is required under 40 U.S.C. 3307, or a 
Federal building for which estimated new building or major renovation 
design and construction costs are at least $2,500,000 (in 2007 dollars, 
adjusted for inflation), and design for construction began on or after 
October 14, 2015.
    (b) The system under which the building is certified must:
    (1) Allow assessors and auditors to independently verify the 
criteria and measurement metrics of the system;
    (2) Be developed by a certification organization that:
    (i) Provides an opportunity for public comment on the system; and
    (ii) Provides an opportunity for development and revision of the 
system through a consensus-based process;
    (3) Be nationally recognized within the building industry;
    (4) Be subject to periodic evaluation and assessment of the 
environmental and energy benefits that result under the rating system; 
and
    (5) Include a verification system for post-occupancy assessment of 
the rated buildings to demonstrate continued energy and water savings at 
least every four years after initial occupancy.
    (c) Certification level. The building must be certified to a level 
that promotes the high performance sustainable building guidelines 
referenced in Executive Order 13423 ``Strengthening Federal 
Environmental, Energy, and Transportation Management'' and Executive 
Order 13514 ``Federal Leadership in Environmental, Energy and Economic 
Performance.''

[79 FR 61570, Oct. 14, 2014]



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.

            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.

[[Page 400]]

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 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:

[[Page 401]]

    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 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

[[Page 402]]

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.
    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,

[[Page 403]]

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''.)
    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

[[Page 404]]

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''.)
    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

[[Page 405]]

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.
    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

[[Page 406]]

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.
    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).

[[Page 407]]

    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).
    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 Operating Hours, 8 a.m.    ..................  Hours.
 to 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

[[Page 408]]

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 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

[[Page 409]]

 
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
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.

[[Page 410]]

 
    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 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

[[Page 411]]

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, 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

[[Page 412]]

 
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
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.


[[Page 413]]


         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
    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...........................................

[[Page 414]]

 
    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
    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(1/0.9\n\)

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

[[Page 415]]

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.

            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.

[[Page 416]]

    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.
    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

[[Page 417]]

          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.
    (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
----------------------------------------------------------------------------------------------------------------


[[Page 418]]

    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 by 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.
    [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.

[[Page 419]]

    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 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
             Component                 Reference      crack or cfm/ft\2\
                                        standard           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.

[[Page 420]]

    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 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 building'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

[[Page 421]]

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 as follows: for LPD <1.0, use 30 footcandles; 
for 1.0 =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 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 422]]

[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 423]]



            Table 402.4.2--EQUIP Default Values for ENVSTD24
------------------------------------------------------------------------
                                      Default     Default      Default
                                     equipment   occupant     adjusted
             Occupancy                 power       load       equipment
                                      density   adjustment      power
                                        \1\         \1\        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 Efficiency
         Equipment type             Size category      rating condition           \2\         Test procedure \1\
----------------------------------------------------------------------------------------------------------------
Air Conditioners, Air Cooled...  <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 <135,00.  Single Package.     8.3 IPLV \3\......  (RS-15)*
                                 Btu/h.............
                                 =135,00  Split System and     8.5 EER\3\........
                                  0 Btu/h and         Single Package.     7.5 IPLV\3\.......
                                  <240,000 Btu/h.
                                 =240,00  Split System and     8.5 EER\3\........  ARI-340/360
                                  0 Btu/h and         Single Package.     7.5 IPLV\3\.......  (RS-16)*
                                  <760,000 Btu/h.
                                 =760,00  Split System and     8.3 EER\3\........  ARI-340/360
                                  0 Btu/h.            Package.            7.5 IPLV\3\.......  (RS-16)*
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)*
                                 =65,000  Split System and     10.5 EER\c\.......  ARI 210/240
                                  Btu/h and           Single Package.     9.7 IPLV\c\.......  (RS-15)*
                                  <135,000 Btu/h.
                                 =135,00  Split System and     9.6 EER\c\........  ARI-340/360
                                  0 Btu/h and         Single Package.     9.0 IPLV\c\.......  (RS-16)*
                                  <240,000 Btu/h.
                                 =240,00  Split System and     9.6 EER\c\........  ARI-340/360
                                  0 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)*

[[Page 424]]

 
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.


                     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.........

[[Page 425]]

 
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).
\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     efficiency\b e\   Test procedure \a\
----------------------------------------------------------------------------------------------------------------
Warm Air-Furnace, Gas-Fired.....  <225,000 Btu/h....  ..................  78% AFUE or 80% Et  DOE 10 CFR 430
                                                                                              Appendix N
                                  =225,00  Maximum Capacity    80% Et............  ANSI Z21.47
                                   0 Btu/h.            \c\.               78% Et............  (RS-21)*
                                                      Minimum
                                                       Capacity\c\.
Warm Air-Furnace, Oil-Fired.....  <225,000 Btu/h....  ..................  78% AFUE or 80%     DOE 10 CFR 430
                                                                           Et\d\.             Appendix N

[[Page 426]]

 
                                  =225,00  Maximum Capacity    81% Et............  U.L. 727
                                   0 But/h.            \c\.               81% Et............  (RS-22)*
                                                      Minimum Capacity..
Warm Air Duct Furnaces, Gas-      All Capacities....  Maximum Capacity    78% Et............  ANSI Z83.9
 Fired.                                                \c\.               75% Et............  (RS-23)
                                                      Minimum Capacity..
Warm Air Unit Heaters, Gas Fired  All Capacities....  Maximum Capacity    78% Et............  ANSI Z83.8
                                                       \c\.               74% Et............  (RS-24)*
                                                      Minimum Capacity..
Oil-Fired.......................  All Capacities....  Maximum Capacity    81% Et............  U.L. 731
                                                       \c\.               81% Et............  (RS-25)*
                                                      Minimum Capacity..
----------------------------------------------------------------------------------------------------------------
\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    80% Ec............  ANSI Z21.13
                                                       \c\.               80% Ec............  (RS-32)*
                                                      Minimum Capacity..
Boilers, Oil-Fired..............  <300,000 Btu/h....  ..................  80% AGUE..........  DOE 10 CFR 430
                                                                                              (RS-20)*
                                  <300,000 Btu/h....  Maximum Capacity    83% Ec............  U.L. 726
                                                       \c\.               83% Ec............  (RS-33)*
                                                      Minimum Capacity..
Oil-Fired (Residual)............  <3000,000 Btu/h...  Maximum Capacity    83% Ec............
                                                       \c\.               83% Ec ...........
                                                      Minimum Capacity..
----------------------------------------------------------------------------------------------------------------
\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.
    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:

[[Page 427]]

    (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-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:

[[Page 428]]

    (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 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/

[[Page 429]]

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 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

[[Page 430]]

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.

                               Table 403.2.9.1--Minimum Pipe Insulation (in.) \a\
----------------------------------------------------------------------------------------------------------------
                                          Insulation conductivity            Nominal pipe diameter (in.)
----------------------------------------            \a\            ---------------------------------------------
                                        ---------------------------
                                          Conductivity                        1.0 to   1.5 to    4.0 to
 Fluid Design Operating Temp. Range (F)  Range Btu in./     Mean      <1.0     1.25      3.0      6.0      8.0
                                           (h ft\2\ F)    Temp. F
----------------------------------------------------------------------------------------------------------------
                         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

[[Page 431]]

 
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 = r{1 + 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                               500 =2,000        HDD65 <=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.

    403.2.9.2 Duct 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-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

[[Page 432]]

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:
    (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

[[Page 433]]

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.

    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%.

[[Page 434]]

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.
    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

[[Page 435]]

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. Its 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 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:

[[Page 436]]

[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.



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

[[Page 437]]

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.



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.

[[Page 438]]



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
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

[[Page 439]]

 
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 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 440]]

[GRAPHIC] [TIFF OMITTED] TR06OC00.012


[[Page 441]]

[GRAPHIC] [TIFF OMITTED] TR06OC00.013


[[Page 442]]

[GRAPHIC] [TIFF OMITTED] TR06OC00.014


[[Page 443]]

[GRAPHIC] [TIFF OMITTED] TR06OC00.015


[[Page 444]]

[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 445]]

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 446]]

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 447]]

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 448]]

 
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 449]]

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.

[[Page 450]]



Sec.  434.519  Controls.

    519.1 All occupied conditioned spaces in the Prototype, Reference 
and Proposed Design Buildings in all climates shall be simulated as 
being both heated and cooled. The assumptions in this subsection are 
prescribed assumptions. If the Proposed Design does not include 
equipment for cooling or heating, the Design Energy Consumption shall be 
determined by the specifications for calculating the Energy Cost Budget 
as described in Table 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 451]]



                                   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 affected by the dynamic patterns of

[[Page 452]]

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 453]]

[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 454]]

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 455]]



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 456]]



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 457]]



----------------------------------------------------------------------------------------------------------------
               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 458]]

 
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 459]]



PART 435_ENERGY EFFICIENCY STANDARDS FOR THE DESIGN AND CONSTRUCTION OF
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 Life-cycle costing.

 Subpart B_Reduction in Scope 1 Fossil Fuel-Generated Energy Consumption

435.200 Scope 1 Fossil fuel-generated energy consumption requirement.
435.201 Scope 1 Fossil fuel-generated energy consumption determination.
435.202 Petition for downward adjustment.

Appendix A to Subpart B of Part 435--Maximum Allowable Scope 1 Fossil 
          Fuel-Generated Energy Consumption

      Subpart C_Green Building Certification for Federal Buildings

435.300 Green building certification.

Subpart D--Voluntary Performance Standards for New Non-Federal Residential 
Buildings [Reserved]

Subpart E_Mandatory Energy Efficiency Standards for Federal Residential 
                                Buildings

435.500 Purpose.
435.501 Scope.
435.502 Definitions.
435.503 Requirements for the design of a Federal residential building.
435.504 The COSTSAFR Program.
435.505 Alternative compliance procedure.
435.506 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, unless otherwise noted.



Sec.  435.1  Purpose and scope.

    (a) 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)).
    (b) This part also establishes a maximum allowable fossil fuel-
generated energy consumption standard for new Federal buildings that are 
low-rise residential buildings and major renovations to Federal 
buildings that are low-rise residential buildings, for which design for 
construction began on or after May 1, 2025
    (c) This part also establishes green building certification 
requirements for new Federal buildings that are low-rise residential 
buildings and major renovations to Federal buildings that are low-rise 
residential buildings, for which design for construction began on or 
after October 14, 2015.

[71 FR 70283, Dec. 4, 2006, as amended at 79 FR 61571, Oct. 14, 2014; 89 
FR 35433, May 1, 2024]



Sec.  435.2  Definitions.

    For purposes of this part, the following terms, phrases and words 
shall be defined as follows:
    Construction cost means all costs associated with the construction 
of a new Federal building. It includes, but not limited to, the cost of 
preliminary planning, engineering, architectural, permitting, fiscal, 
and economic investigations and studies, surveys, designs, plans, 
working drawings, specifications, procedures, and other similar actions 
necessary for the construction of a new Federal building. It does not 
include the cost of acquiring the land.
    Design for construction means the stage when the energy efficiency 
and sustainability details (such as insulation levels, HVAC systems, 
water-using

[[Page 460]]

systems, etc.) are either explicitly determined or implicitly included 
in a project cost specification.
    Design for renovation 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 renovation project cost specification.
    DOE means U.S. Department of Energy.
    EISA-subject building or project means, for purposes of this rule, 
any new building or renovation project that is subject to the cost 
thresholds and reporting requirements in Section 433 of EISA ((42 U.S.C. 
6834(a)(3)(D)(i))). The cost threshold referenced in Section 433 of EISA 
is $2.5 million in 2007 dollars. GSA provides a table of annual updates 
to this cost threshold at https://www.gsa.gov/real-estate/design-and-
construction/annual-prospectus-thresholds. GSA also provides a second 
cost threshold for renovations of leased buildings that is \1/2\ of the 
cost threshold for renovation of Federally owned buildings.
    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. Such term shall include buildings built for 
the purpose of being leased by a Federal agency and privatized military 
housing.
    Fiscal Year (FY) means the 12-month period beginning on October 1 of 
the year prior to the specified calendar year and ending on September 30 
of the specified calendar year.
    Fossil fuel-generated energy consumption means the on-site 
stationary consumption of fossil fuels that contribute to Scope 1 
emissions for generation of electricity, heat, cooling, or steam as 
defined by ``Federal Greenhouse Gas Accounting and Reporting Guidance'' 
(Council on Environmental Quality, January 17, 2016). This includes, but 
is not limited to, emissions that result from combustion of fuels in 
stationary sources (e.g., boilers, furnaces, turbines, and emergency 
generators). This term does not include mobile sources, fugitive 
emissions, or process emissions as defined by ``Federal Greenhouse Gas 
Accounting and Reporting Guidance'' (Council on Environmental Quality, 
January 17, 2016).
    ICC means International Code Council.
    IECC means International Energy Conservation Code.
    IECC Baseline Building 2004 means a building that is otherwise 
identical to the proposed building but is designed to meet, but not 
exceed, the energy efficiency specifications in the ICC IECC 2004 
(incorporated by reference, see Sec.  435.3).
    IECC Baseline Building 2009 means a building that is otherwise 
identical to the proposed building but is designed to meet, but not 
exceed, the energy efficiency specifications in the ICC IECC 2009 
(incorporated by reference, see Sec.  435.3).
    IECC Baseline Building 2015 means a building that is otherwise 
identical to the proposed building but is designed to meet, but not 
exceed, the energy efficiency specifications in the ICC IECC 2015 
(incorporated by reference, see Sec.  435.3).
    IECC Baseline Building 2021 means a building that is otherwise 
identical to the proposed building but is designed to meet, but not 
exceed, the energy efficiency specifications in the ICC IECC 2021 
(incorporated by reference, see Sec.  435.3).
    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

[[Page 461]]

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).
    Major renovation means either major renovation of all Scope 1 fossil 
fuel-using systems in a building or major renovation of one or more 
Scope 1 fossil fuel-using building systems or components, as defined in 
this section.
    Major renovation cost means all costs associated with the repairing, 
remodeling, improving, extending, or other changes in a Federal 
building. It includes, but is not limited to, the cost of preliminary 
planning, engineering, architectural, permitting, fiscal, and economic 
investigations and studies, surveys, designs, plans, working drawings, 
specifications, procedures, and other similar actions necessary for the 
alteration of a Federal building.
    Major renovation of all Scope 1 fossil fuel-using systems in a 
building means construction on an existing building that is so extensive 
that it replaces all Scope 1 fossil fuel-using systems in the building. 
This term includes, but is not limited to, comprehensive replacement or 
restoration of most or all major systems, interior work (such as 
ceilings, partitions, doors, floor finishes, etc.), or building elements 
and features.
    Major renovation of a Scope 1 fossil fuel-using building system or 
Scope 1 fossil fuel-using component means changes to a building that 
provide significant opportunities for energy efficiency or reduction in 
fossil fuel-related energy consumption. This includes, but is not 
limited to, replacement of the HVAC system, hot water system, or cooking 
system, or other fossil fuel-using systems or components of the building 
that have a major impact on fossil fuel usage.
    New Federal building means any new building (including a complete 
replacement of an existing building from the foundation up) to be 
constructed by, or for the use of, any federal agency. Such term shall 
include buildings built for the purpose of being leased by a federal 
agency, and privatized military housing.
    Proposed building means the design for construction of a new Federal 
low-rise residential building, or major renovation to a Federal low-rise 
residential building, proposed for construction.
    Shift adjustment multiplier means that agencies can apply a 
multiplication factor to their Maximum Allowable Fossil Fuel-Generated 
Energy Consumption by Building Category target based upon the weekly 
hours of active operation of the building. The weekly hours of operation 
to use as a basis for the shift adjustment multiplier lookup should be 
based upon the time in which in the building is actively occupied and 
operating per its intended use type and should include unoccupied hours 
or other times of limited use (such as night-time setback hours).
    Technical impracticability means achieving the Scope 1 fossil fuel-
based energy consumption targets would:
    (1) Not be feasible from an engineering design or execution 
standpoint due to existing physical or site constraints that prohibit 
modification or addition of elements or spaces;
    (2) Significantly obstruct building operations and the functional 
needs of a building, specifically for industrial process loads, critical 
national security functions, mission critical information systems as 
defined in NIST SP 800-60 Vol. 2 Rev. 1, and research operations, or
    (3) Significantly degrade energy resiliency and energy security of 
building operations as defined in 10 U.S.C. 101(e)(6) and 10 U.S.C. 
101(e)(7) respectively.

[71 FR 70283, Dec. 4, 2006, as amended at 72 FR 72571, Dec. 21, 2007; 76 
FR 49285, Aug. 10, 2011; 82 FR 2867, Jan. 10, 2017; 87 FR 19613, Apr. 5, 
2022; 89 FR 35433, May 1, 2024]



Sec.  435.3  Materials incorporated by reference.

    (a) Certain material is incorporated by reference into this subpart 
with the approval of the Director of the Federal Register in accordance 
with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other 
than that specified in this section, DOE must publish a document in the 
Federal Register and the

[[Page 462]]

material must be available to the public. All approved material is 
available for inspection at DOE, and at the National Archives and 
Records Administration (NARA). Contact DOE at: The 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) 586-9127, [email protected], https://www.energy.gov/
eere/buildings/building-technologies-office. For information on the 
availability of this material at NARA, email: [email protected], or 
go to: www.archives.gov/federal-register/cfr/ibr-locations.html. The 
material may be obtained from the sources in the following paragraphs of 
this section.
    (b) ICC. International Code Council, 4051 West Flossmoor Road, 
Country Club Hills, IL 60478, 1-888-422-7233, or go to http://
www.iccsafe.org/.
    (1) ICC International Energy Conservation Code (IECC), 2004 
Supplement Edition (``IECC 2004''), January 2005, IBR approved for 
Sec. Sec.  435.2, 435.4, 435.5;
    (2) ICC International Energy Conservation Code (IECC), 2009 Edition 
(``IECC 2009''), January 2009, IBR approved for Sec. Sec.  435.2, 435.4, 
435.5.
    (3) ICC International Energy Conservation Code (IECC), 2015 Edition 
(``IECC 2015''), published May 30, 2014, IBR approved for Sec. Sec.  
435.2, 435.4, 435.5.
    (4) ICC 2021 International Energy Conservation Code (IECC), Redline 
Version, Copyright 2021, (``IECC 2021''), IBR approved for Sec. Sec.  
435.2, 435.4, and 435.5.

[76 FR 49285, Aug. 10, 2011, as amended at 82 FR 2867, Jan. 10, 2017; 87 
FR 19613, Apr. 5, 2022]



Sec.  435.4  Energy efficiency performance standard.

    (a)(1) All Federal agencies shall design new Federal buildings that 
are low-rise residential buildings, for which design for construction 
began on or after January 3, 2007, but before August 10, 2012, to:
    (i) Meet the IECC 2004 (incorporated by reference, see Sec.  435.3), 
and
    (ii) 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 IECC Baseline Building 
2004.
    (2) All Federal agencies shall design new Federal buildings that are 
low-rise residential buildings, for which design for construction began 
on or after August 10, 2012, but before January 10, 2018 to:
    (i) Meet the IECC 2009 (incorporated by reference, see Sec.  435.3), 
and
    (ii) 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 IECC Baseline Building 
2009.
    (3) All Federal agencies shall design new Federal buildings that are 
low-rise residential buildings, for which design for construction began 
on or after January 10, 2018, but before April 5, 2023 to:
    (i) Meet the IECC 2015, (incorporated by reference, see Sec.  
435.3), including the mandatory mechanical ventilation requirements in 
Section R403.6 of the IECC 2015; and
    (ii) 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 IECC Baseline Building 
2015.
    (4) All Federal agencies shall design new Federal buildings that are 
low-rise residential buildings, for which design for construction began 
on or after April 5, 2023 to:
    (i) Meet the IECC 2021, (incorporated by reference, see Sec.  
435.3); and
    (ii) 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 IECC Baseline Building 
2021.
    (b)(1) For new Federal low-rise residential buildings whose design 
for construction began before January 10, 2018, energy consumption for 
the purposes of calculating the 30 percent savings shall include space 
heating, space cooling, and domestic water heating.
    (2) For new Federal low-rise residential buildings whose design for 
construction began on or after before January 10, 2018, energy 
consumption for

[[Page 463]]

the purposes of calculating the 30 percent savings shall include space 
heating, space cooling, lighting, mechanical ventilation, 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; 76 
FR 49285, Aug. 10, 2011; 82 FR 2867, Jan. 10, 2017; 87 FR 19613, Apr. 5, 
2022]



Sec.  435.5  Performance level determination.

    (a) For new Federal buildings for which design for construction 
began on or after January 3, 2007, but before August 10, 2012, each 
Federal agency shall determine energy consumption levels for both the 
IECC Baseline Building 2004 and proposed building by using the Simulated 
Performance Alternative found in section 404 of the IECC 2004 
(incorporated by reference, see Sec.  435.3).
    (b) For new Federal buildings for which design for construction 
began on or after August 10, 2012, but before January 10, 2018, each 
Federal agency shall determine energy consumption levels for both the 
IECC Baseline Building 2009 and proposed building by using the Simulated 
Performance Alternative found in section 405 of the IECC 2009 
(incorporated by reference, see Sec.  435.3).
    (c) For new Federal buildings for which design for construction 
began on or after January 10, 2018 but before April 5, 2023 each Federal 
agency shall determine energy consumption levels for both the IECC 
Baseline Building 2015 and proposed building by using the Simulated 
Performance Alternative found in section R405 of the IECC 2015 
(incorporated by reference, see Sec.  435.3).
    (d) For new Federal buildings for which design for construction 
began on or after April 5, 2023 each Federal agency shall determine 
energy consumption levels for both the IECC Baseline Building 2021 and 
proposed building by using the Simulated Performance Alternative found 
in section R405 of the IECC 2021 (incorporated by reference, see Sec.  
435.3).

[82 FR 2867, Jan. 10, 2017, as amended at 87 FR 19613, Apr. 5, 2022]



Sec.  435.6  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.''

[71 FR 70283, Dec. 4, 2006, redesignated at 79 FR 61571, Oct. 14, 2014]



 Subpart B_Reduction in Scope 1 Fossil Fuel-Generated Energy Consumption

    Source: 89 FR 35434, May 1, 2024, unless otherwise noted.



Sec.  435.200  Scope 1 Fossil fuel-generated energy consumption requirement.

    (a) New EISA-Subject buildings. (1) New Federal buildings that are 
low-rise residential buildings, for which design for construction began 
on or after May 1, 2025, must be designed to meet the requirements of 
paragraph (c) of this section if:
    (i) For all leased buildings, the construction cost of the new 
building exceeds GSA's Annual Prospectus Thresholds that are found at 
www.gsa.gov/real-estate/design-construction/gsa-annual-prospectus-
thresholds.
    (ii) For all Federally owned non-public buildings, the cost of the 
building is at least $2,500,000 (in 2007 dollars, adjusted for 
inflation). For the purposes of calculating this threshold, agencies 
must set the Bureau of Labor and Statistics CPI Inflation calculator to 
$2,500,000 in October of 2006 (to represent the value of the original 
cost threshold) and then set for October of the FY during which the 
design for construction of the project began or is set to begin.

[[Page 464]]

    (b) Major renovations of EISA-Subject buildings. (1) Major 
renovations to Federal buildings that are low-rise residential 
buildings, for which design for construction began on or after May 1, 
2025, must be designed to meet the requirements of paragraph (c) of this 
section if the cost of the major renovation is at least $2,500,000 (in 
2007 dollars, adjusted for inflation). For the purposes of calculating 
this threshold, projects should set the Bureau of Labor and Statistics 
CPI Inflation calculator to $2,500,000 in October of 2006 (to represent 
the value of the original cost threshold) and then set for October of 
the FY during which the design for construction of the project began or 
is set to begin.
    (2) This subpart applies only to the portions of the proposed 
building or proposed building systems that are being renovated and to 
the extent that the scope of the renovation permits compliance with the 
applicable requirements in this subpart. Unaltered portions of the 
proposed building or proposed building systems are not required to 
comply with this subpart.
    (3) For leased buildings, this subpart applies to major renovations 
only if the proposed building was originally built for the use of any 
Federal agency, including for the purpose of being leased by a Federal 
agency.
    (c) Federal buildings that are of the type included in Appendix A of 
this subpart--(1) New Construction and Major Renovations of all Scope 1 
Fossil Fuel-Using Systems in an EISA-Subject Building.
    (i) Design for construction began during FY 2024 through FY 2029. 
For new construction or major renovations of all fossil fuel-using 
systems in an EISA-subject building, for which design for construction 
or renovation, as applicable, began during FY 2024 through 2029, the 
Scope 1 fossil fuel-generated energy consumption of the proposed 
building, based on the building design and calculated according to Sec.  
435.201(a), must not exceed the value identified in Tables A-1a to A-2a 
(if targets based on Scope 1 emissions are used) or Tables A-1b to A-2b 
(if targets based on kBtu of fossil fuel usage are used) of Appendix A 
of this subpart for the associated building type, climate zone, and 
fiscal year in which design for construction began.
    (A) Federal agencies may apply a shift adjustment multiplier to the 
values in Tables A-1a to A-2a or Tables A-1b to A-2b based on the 
following baseline hours of operation assumed in Tables A-1a to A-2a or 
Tables A-1b to A-2b.
    (B) To calculate the shift adjustment multiplier, agencies shall 
estimate the number of shifts for their new building and multiply by the 
appropriate factor shown below in Table 1 for their building type. The 
Scope 1 fossil fuel-generated energy consumption target for the building 
would be the value in either Tables A-1a to A-2a or Tables A-1b to A-2b 
multiplied by the multiplier calculated in the previous sentence.

                  Table 1--Shift Adjustment Multiplier by Hours of Operation and Building Type
----------------------------------------------------------------------------------------------------------------
                                                                             Weekly hours of operation
                     Building activity/type                      -----------------------------------------------
                                                                    50 or less       51 to 167          168
----------------------------------------------------------------------------------------------------------------
Admin/professional office.......................................               1               1             1.4
Bank/other financial............................................               1               1             1.4
Government office...............................................               1               1             1.4
Medical office(non-diagnostic)..................................               1               1             1.4
Mixed-use office................................................               1               1             1.4
Other office....................................................               1               1             1.4
Laboratory......................................................               1               1             1.4
Distribution/shipping center....................................             0.7             1.4             2.1
Nonrefrigerated warehouse.......................................             0.7             1.4             2.1
Convenience store...............................................               1               1             1.4
Convenience store with gas......................................               1               1             1.4
Grocery store/food market.......................................               1               1             1.4
Other food sales................................................               1               1             1.4
Fire station/police station.....................................             0.8             0.8             1.1
Other public order and safety...................................             0.8             0.8             1.1
Medical office (diagnostic).....................................               1               1             1.5
Clinic/other outpatient health..................................               1               1             1.5
Refrigerated warehouse..........................................               1               1               1

[[Page 465]]

 
Religious worship...............................................             0.9             1.7             1.7
Entertainment/culture...........................................             0.8             1.5             1.5
Library.........................................................             0.8             1.5             1.5
Recreation......................................................             0.8             1.5             1.5
Social/meeting..................................................             0.8             1.5             1.5
Other public assembly...........................................             0.8             1.5             1.5
College/university..............................................             0.8             1.3             1.3
Elementary/middle school........................................             0.8             1.3             1.3
High school.....................................................             0.8             1.3             1.3
Preschool/daycare...............................................             0.8             1.3             1.3
Other classroom education.......................................             0.8             1.3             1.3
Fast food.......................................................             0.4             1.1             2.1
Restaurant/cafeteria............................................             0.4             1.1             2.1
Other food service..............................................             0.4             1.1             2.1
Hospital/inpatient health.......................................               1               1               1
Nursing home/assisted living....................................               1               1               1
Dormitory/fraternity/sorority...................................               1               1               1
Hotel...........................................................               1               1               1
Motel or inn....................................................               1               1               1
Other lodging...................................................               1               1               1
Vehicle dealership/showroom.....................................             0.8             1.2             1.8
Retail store....................................................             0.8             1.2             1.8
Other retail....................................................             0.8             1.2             1.8
Post office/postal center.......................................             0.7             1.5             1.5
Repair shop.....................................................             0.7             1.5             1.5
Vehicle service/repair shop.....................................             0.7             1.5             1.5
Vehicle storage/maintenance.....................................             0.7             1.5             1.5
Other service...................................................             0.7             1.5             1.5
Strip shopping mall.............................................               1               1               1
Enclosed mall...................................................               1               1               1
Bar/Pub/Lounge..................................................               1               1             1.4
Courthouse/Probation Office.....................................               1               1             1.4
----------------------------------------------------------------------------------------------------------------

    (ii) Design for construction began during or after FY 2030. For new 
construction and major renovations of all Scope 1 fossil fuel-using 
systems in an EISA-subject building, the Scope 1 fossil fuel-generated 
energy consumption of the proposed building, based on building design 
and calculated according to Sec.  435.201(a), must be zero.
    (2) Major Renovations of a Scope 1 Fossil Fuel-Using Building System 
or Component within an EISA-Subject Building shall follow the renovation 
requirements in section 4.2.1.3 of the applicable building baseline 
energy efficiency standards listed in Sec.  435.4 substituting the term 
``design for construction'' with ``design for renovation'' for the 
relevant date, and shall replace all equipment that is included in the 
renovation with all electric or non-fossil fuel-using ENERGY STAR or 
FEMP designated products as defined in Sec.  436.42. For component level 
renovations, Agencies shall replace all equipment that is part of the 
renovation with all electric or non-fossil fuel-using ENERGY STAR or 
FEMP designated products as defined in Sec.  436.42.
    (d) EISA-Subject buildings that are of the type not included in 
Appendix A of this subpart--(1) Process load buildings. For building 
types that are not included in any of the building types listed in 
Tables A-1a to A-2a or A-1b to A-2b of appendix A of this subpart, or 
for building types in these tables that contain significant process 
loads, Federal agencies must select the applicable building type, 
climate zone, and fiscal year in which design for construction began 
from Tables A-1a to A-2a or A-1b to A-2b of appendix A of this subpart 
that most closely corresponds to the proposed building without the 
process load. The estimated Scope 1 fossil fuel-generated energy 
consumption of the process load must be added to the maximum allowable 
Scope 1 fossil fuel-generated energy consumption of the applicable 
building type for the appropriate fiscal year and climate zone to

[[Page 466]]

calculate the maximum allowable Scope 1 fossil fuel-generated energy 
consumption for the building. The same estimated Scope 1 fossil fuel-
generated energy consumption of the process load that is added to the 
maximum allowable Scope 1 fossil fuel-generated energy consumption of 
the applicable building must also be used in determining the Scope 1 
fossil fuel-generated energy consumption of the proposed building.

    (2) Mixed-use buildings. For buildings that combine two or more 
building types with process loads or, alternatively, that combine one or 
more building types with process loads with one or more building types 
in Tables A-1a toA-2a or A-1b to A-2b of appendix A of this subpart, the 
maximum allowable Scope 1 fossil fuel-generated energy consumption of 
the proposed building is equal to the averaged process load building 
values determined under paragraph (d)(1) of this section and the 
applicable building type values in Tables A-1a toA-2a or A-1b to A-2b of 
appendix A of this subpart, weighted by floor area. Equation 1 shall be 
used for mixed use buildings.

Equation 1: Scope 1 Fossil fuel generated energy consumption for a 
mixed-use building = the sum across all building uses of (the fraction 
of total floor building floor area for building use i times the 
allowable fossil fuel-generated energy consumption for building use i)

    Equation 1 may be rewritten as:
    [GRAPHIC] [TIFF OMITTED] TR01MY24.013
    


Sec.  435.201  Scope 1 Fossil fuel-generated energy consumption
determination.

    (a) The Scope 1 fossil fuel-generated energy consumption of a 
proposed design is calculated as follows:

Equation: Scope 1 Fossil Fuel-Generated Energy Consumption = Direct 
Fossil Fuel Consumption of Proposed Building/Floor Area

Where:

Direct Scope 1 Fossil Fuel-Generated Energy Consumption of Proposed 
          Building equals the total site Scope 1 fossil fuel-generated 
          energy consumption of the proposed building calculated in 
          accordance with the method required in Sec.  435.5(d), and 
          measured in thousands of British thermal units per year (kBtu/
          yr), except that this term does not include fossil fuel 
          consumption for emergency electricity generation. Agencies 
          must include all on-site fossil fuel use or Scope 1 emissions 
          associated with non-emergency generation from backup 
          generators (such as those for peak shaving or peak shifting). 
          Any energy generation or Scope 1 emissions associated with 
          biomass fuels are excluded. Any emissions associated with 
          natural gas for alternatively fueled vehicles (``AFVs'') (or 
          any other alternative fuel defined at 42 U.S.C. 13211 that is 
          provided at a Federal building) is excluded. For buildings 
          with manufacturing or industrial process loads, such process 
          loads shall be accounted for in the analysis for the 
          building's fossil fuel consumption and GHG emissions, but the 
          process loads are not subject to the phase down targets.
Floor Area is the floor area of the structure that is enclosed by 
          exterior walls, including finished or unfinished basements, 
          finished or heated space in attics, and garages if they have 
          an uninsulated wall in common with the house. Not included are 
          crawl spaces, and sheds and other buildings that are not 
          attached to the house.



Sec.  435.202  Petition for downward adjustment.

    (a) New Federal buildings major renovations of all Scope 1 fossil 
fuel-using systems, and major renovations of a Scope 1 fossil fuel-using 
building system or component in an EISA-subject building. (1) Upon 
petition by a Federal agency, the Director of FEMP may adjust the 
applicable maximum allowable Scope 1 fossil fuel energy consumption 
standard with respect to a specific building, upon written certification 
from the

[[Page 467]]

head of the agency designing the building, that the requested adjustment 
is the largest feasible reduction in Scope 1 fossil fuel energy 
consumption that can practicably be achieved in light of the specified 
functional needs for that building, as demonstrated by:
    (i) A statement from the Head of the Agency or their designee 
requesting the petition for downward adjustment for the building or 
renovation, that the building or renovation reduces consumption of Scope 
1 fossil fuel energy consumption in accordance with the applicable 
energy performance standard to the maximum extent practicable and that 
each fossil fuel using product included in the proposed building that is 
of a product category covered by the ENERGY STAR program or FEMP for 
designated products is an ENERGY STAR product or a product meeting the 
FEMP designation criteria, as applicable;
    (ii) A description of the systems, technologies, and practices that 
were evaluated and unable to meet the required fossil fuel reduction 
including a justification of why achieving the Scope 1 fossil fuel-based 
energy consumption targets would be technically impracticable; and
    (iii) Any other information the agency determines would help explain 
its request.
    (2) The head of the agency designing the building, or their 
designee, must also include the following information in the petition:
    (i) A general description of the building or major renovation, 
including but not limited to location, use type, floor area, stories, 
expected number of occupants and occupant schedule, project type, 
project cost, and functional needs, mission critical activity, research, 
and national security operations as applicable;
    (ii) The maximum allowable Scope 1 fossil fuel energy consumption 
for the building from paragraphs (c) or (d) of this section;
    (iii) The estimated Scope 1 fossil fuel energy consumption of the 
proposed building; and
    (iv) A description of the proposed building's energy-related 
features, such as:
    (A) HVAC system or component type and configuration;
    (B) HVAC equipment sizes and efficiencies;
    (C) Ventilation systems or components (including outdoor air volume, 
controls technique, heat recovery systems, and economizers, if 
applicable);
    (D) Service water heating system or component configuration and 
equipment (including solar hot water, wastewater heat recovery, and 
controls for circulating hot water systems, if applicable);
    (E) Estimated industrial process loads; and
    (F) Any other on-site fossil fuel using equipment.
    (3) (i) Agencies may file one petition for a project with multiple 
buildings if the buildings are
    (A) Of the same building, building system, or component type and of 
similar size and location;
    (B) Are being designed and constructed to the same set of targets 
for fossil fuel-generated energy consumption reduction; and
    (C) Would require similar measures to reduce fossil fuel-generated 
energy consumption and similar adjustment to the numeric reduction 
requirement.
    (ii) The bundled petition must include the information in section 
(a) that pertains to all buildings, building systems or components 
included in the petition and an additional description of the 
differences between each of the buildings, building systems or 
components. The agency is only required to show work for adjustment 
once.
    (4) Petitions for downward adjustment should be submitted to cer-
[email protected], or to:
    U.S. Department of Energy, FEMP, Director, Clean Energy Reduction 
Petitions, EE-5F, 1000 Independence Ave. SW, Washington, DC 20585-0121.
    (5) The Director will make a best effort to notify the requesting 
agency in writing whether the petition for downward adjustment to the 
numeric reduction requirement is approved or rejected, in 30 calendar 
days of submittal of a complete petition. If the Director rejects the 
petition or establishes a value other than that presented in the 
petition, the Director will forward the

[[Page 468]]

reasons for rejection to the petitioning agency.
    (b) Exclusions. The General Services Administration (GSA) may not 
submit petitions under paragraphs (a) of this section. Agencies that are 
tenants of GSA buildings for which the agency, not GSA, has significant 
design control may submit petitions in accordance with this section.



 Sec. Appendix A to Subpart B of Part 435 Maximum Allowable Fossil Fuel 
                      Generated Energy Consumption

    (a) For purposes of the tables in this appendix, the climate zones 
are listed in the performance standards required by Sec.  
435.4(a)(4)(i).
    (b) For purpose of appendix A, the following definitions apply:
    (1) Mobile Home means a dwelling unit built to the Federal 
Manufactured Home Construction and Safety Standards in 24 CFR part 3280, 
that is built on a permanent chassis and moved to a site. It may be 
placed on a permanent or temporary foundation and may contain one or 
more rooms.
    (2) Multi-Family in 2-4 Unit Buildings means a category of 
structures that is divided into living quarters for two, three, or four 
families or households in which one household lives above or beside 
another. This category also includes houses originally intended for 
occupancy by one family (or for some other use) that have since been 
converted to separate dwellings for two to four families.
    (3) Multi-Family in 5 or More Unit Buildings means a category of 
structures that contain living quarters for five or more households or 
families and in which one household lives above or beside another.
    (4) Single-Family Attached means a building with two or more 
connected dwelling units, generally with a shared wall, each providing 
living space for one household or family. Attached houses are considered 
single-family houses as long as they are not divided into more than one 
dwelling unit and they have independent outside entrances. A single-
family house is contained within walls extending from the basement (or 
the ground floor, if there is no basement) to the roof. Townhouses, row 
houses, and duplexes are considered single-family attached dwelling 
units, as long as there is no dwelling unit above or below another.
    (5) Single-Family Detached means a separate, unconnected dwelling 
unit, not sharing a wall with any other building or dwelling unit, which 
provides living space for one household or family. A single-family house 
is contained within walls extending from the basement (or the ground 
floor, if there is no basement) to the roof. This includes modular homes 
but does not include mobile homes.

[[Page 469]]

[GRAPHIC] [TIFF OMITTED] TR01MY24.014


[[Page 470]]


[GRAPHIC] [TIFF OMITTED] TR01MY24.015


[[Page 471]]





      Subpart C_Green Building Certification for Federal Buildings



Sec.  435.300  Green building certification.

    (a) If a Federal agency chooses to use a green building 
certification system to certify a new Federal building or a Federal 
building undergoing a major renovation and construction costs for such 
new building or major renovation are at least $2,500,000 (in 2007 
dollars, adjusted for inflation), and design for construction began on 
or after October 14, 2015:
    (b) The system under which the building is certified must:
    (1) Allow assessors and auditors to independently verify the 
criteria and measurement metrics of the system;
    (2) Be developed by a certification organization that
    (i) Provides an opportunity for public comment on the system; and
    (ii) Provides an opportunity for development and revision of the 
system through a consensus-based process;
    (3) Be nationally recognized within the building industry;
    (4) Be subject to periodic evaluation and assessment of the 
environmental and energy benefits that result under the rating system; 
and
    (5) Include a verification system for post occupancy assessment of 
the rated buildings to demonstrate continued energy and water savings at 
least every four years after initial occupancy.
    (c) Certification level. The building must be certified to a level 
that promotes the high performance sustainable building guidelines 
referenced in Executive Order 13423 ``Strengthening Federal 
Environmental, Energy, and Transportation Management'' and Executive 
Order 13514 ``Federal Leadership in Environmental, Energy and Economic 
Performance.''

[79 FR 61571, Oct. 14, 2014]

Subpart D--Voluntary Performance Standards for New Non-Federal Residential 
Buildings [Reserved]



Subpart E_Mandatory Energy Efficiency Standards for Federal Residential 
                                Buildings



Sec.  435.500  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. 
Redesignated at 79 FR 61571, Oct. 14, 2014]



Sec.  435.501  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;

[[Page 472]]

    (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. 
Redesignated at 79 FR 61571, Oct. 14, 2014]



Sec.  435.502  Definitions.

    (a) ANSI means American National Standards Institute.
    (b) ASHRAE Handbook means American Society of Heating, Refrigerating 
and Air-Conditioning Engineers, Inc., ASHRAE Handbook, 1985 
Fundamentals. Volume, 1-P Edition.
    (c) ASTM means American Society of Testing and Measurement.
    (d) British thermal unit (Btu) means approximately the amount of 
heat required to raise the temperature of one pound of water from 59 
[deg]F to 60 [deg]F.
    (e) Building means any new residential structure:
    (1) That includes or will include a heating or cooling system, or 
both, or a domestic hot water system, and
    (2) For which a building design is created after the effective date 
of this rule.
    (f) Building design means the development of plans and 
specifications for human living space.
    (g) Conservation Optimization Standard for Savings in Federal 
Residences means the computerized calculation procedure that is used to 
establish an energy consumption goal for the design of Federal 
residential buildings.
    (h) COSTSAFR means the Conservation Optimization Standard for 
Savings in Federal Residences.
    (i) DOE means U.S. Department of Energy.
    (j) Domestic hot water (DHW) means the supply of hot water for 
purposes other than space conditioning.
    (k) Energy conservation measure (ECM) means a building material or 
component whose use will affect the energy consumed for space heating, 
space cooling, domestic hot water or refrigeration.
    (l) Energy performance standard means an energy consumption goal or 
goals to be met without specification of the method, materials, and 
processes to be employed in achieving that goal or goals, but including 
statements of the requirements, criteria evaluation methods to be used, 
and any necessary commentary.
    (m) Federal agency means any department, agency, corporation, or 
other entity or instrumentality of the executive branch of the Federal 
Government, including the United States Postal Service, the Federal 
National Mortgage Association, and the Federal Home Loan Mortgage 
Corporation.
    (n) Federal residential building means any residential building to 
be constructed by or for the use of any Federal agency in the 
Continental U.S., Alaska, or Hawaii that is not legally subject to state 
or local building codes or similar requirements.
    (o) Life cycle cost means the minimum life cycle cost calculated by 
using a methodology specified in subpart A of 10 CFR part 436.
    (p) Point system means the tables that display the effect of the set 
of energy conservation measures on the design energy consumption and 
energy costs of a residential building for a particular location, 
building type and fuel type.
    (q) Practicable optimum life cycle energy cost means the energy 
costs of the set of conservation measures that has the minimum life 
cycle cost to the Federal government incurred during a 25 year period 
and including the costs of construction, maintenance, operation, and 
replacement.
    (r) Project means the group of one or more Federal residential 
buildings to be built at a specific geographic location that are 
included by a Federal agency in specifications issued or used by a 
Federal agency for design or construction of the buildings.
    (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.

[[Page 473]]

    (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, redesignated at 79 FR 61571, Oct. 14, 2014]



Sec.  435.503  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 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. 
Redesignated at 79 FR 61571, Oct. 14, 2014]



Sec.  435.504  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. 
Redesignated at 79 FR 61571, Oct. 14, 2014]



Sec.  435.505  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

[[Page 474]]

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 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


[[Page 475]]


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
    
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, redesignated at 79 FR 61571, Oct. 14, 2014]



Sec.  435.506  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, redesignated at 79 FR 61571, Oct. 14, 2014]



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.

[[Page 476]]

        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. 8254; 42 U.S.C. 8258; 
42 U.S.C. 8259b; 42 U.S.C. 8287, et seq.

    Source: 44 FR 60669, Oct. 19, 1979, unless otherwise noted.



Sec.  436.1  Scope.

    This part sets forth the rules for Federal energy management and 
planning programs to reduce Federal energy consumption and to promote 
life cycle cost effective investments in building energy systems, 
building water systems and energy and water conservation measures for 
Federal buildings.

[61 FR 32649, June 25, 1996]



Sec.  436.2  General objectives.

    The objectives of Federal energy management and planning programs 
are:
    (a) To apply energy conservation measures to, and improve the design 
for construction of Federal buildings such that the energy consumption 
per gross square foot of Federal buildings in use during the fiscal year 
1995 is at least 10 percent less than the energy consumption per gross 
square foot in 1985;
    (b) To promote the methodology and procedures for conducting life 
cycle cost analyses of proposed investments in building energy systems, 
building water systems and energy and water conservation measures;
    (c) To promote the use of energy savings performance contracts by 
Federal agencies for implementation of privately financed investment in 
building and facility energy conservation measures for existing 
Federally owned buildings; and
    (d) To promote efficient use of energy in all agency operations 
through general operations plans.

[55 FR 48220, Nov. 20, 1990, as amended at 60 FR 18334, Apr. 10, 1995; 
61 FR 32649, June 25, 1996]



    Subpart A_Methodology and Procedures for Life Cycle Cost Analyses

    Source: 55 FR 48220, Nov. 20, 1990, unless otherwise noted.



Sec.  436.10  Purpose.

    This subpart establishes a methodology and procedures for estimating 
and comparing the life cycle costs of Federal buildings, for determining 
the life cycle cost effectiveness of energy conservation measures and 
water conservation measures, and for rank ordering life cycle cost 
effective measures in order to design a new Federal building or to 
retrofit an existing Federal building. It also establishes the method by 
which efficiency shall be considered when entering into or renewing 
leases of Federal building space.

[61 FR 32649, June 25, 1996]



Sec.  436.11  Definitions.

    As used in this subpart--
    Base Year means the fiscal year in which a life cycle cost analysis 
is conducted.
    Building energy system means an energy conservation measure or any 
portion of the structure of a building or any mechanical, electrical, or 
other functional system supporting the building, the nature or selection 
of

[[Page 477]]

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 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

[[Page 478]]

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 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 40 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 40 years from the

[[Page 479]]

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 40 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 40 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.
    (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; 
79 FR 61571, Oct. 14, 2014]



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]

[[Page 480]]



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 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

[[Page 481]]

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 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

[[Page 482]]

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. 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;
    (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; 89 FR 19501, Mar. 19, 2024]



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,

[[Page 483]]

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 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

[[Page 484]]

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;
    (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

[[Page 485]]

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 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;

[[Page 486]]

    (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 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.

[[Page 487]]



        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.



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.

[[Page 488]]



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.
    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.

[[Page 489]]

    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.
    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.

[[Page 490]]

    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 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:

[[Page 491]]

    (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:
    (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?

[[Page 492]]

    (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.
    (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

[[Page 493]]

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
    (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.''

[[Page 494]]



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, 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.

[[Page 495]]

[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 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.

[[Page 496]]

[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 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:

[[Page 497]]

    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 498]]

[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 499]]

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 500]]

    (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 501]]



------------------------------------------------------------------------
                                                             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 502]]



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.
    (e)(1) States, Tribes and their subawardees, including, but not 
limited to subrecipients, subgrantees, contractors and subcontractors 
that participate in the program established under this Part are required 
to treat all requests for information concerning applicants and 
recipients of WAP funds in a manner consistent with the Federal 
Government's treatment of information requested under the Freedom of 
Information Act (FOIA), 5 U.S.C. 552, including the privacy protections 
contained in Exemption (b)(6) of the FOIA, 5 U.S.C. 552(b)(6). Under 5 
U.S.C. 552(b)(6), information relating to an individual's eligibility 
application or the individual's participation in the program, such as 
name, address, or income information, are generally exempt from 
disclosure.
    (2) A balancing test must be used in applying Exemption (b)(6) in 
order to determine:
    (i) Whether a significant privacy interest would be invaded;
    (ii) Whether the release of the information would further the public 
interest by shedding light on the operations or activities of the 
Government; and
    (iii) Whether in balancing the privacy interests against the public 
interest, disclosure would constitute a clearly unwarranted invasion of 
privacy.
    (3) A request for personal information including but not limited to 
the names, addresses, or income information of WAP applicants or 
recipients

[[Page 503]]

would require the State or other service provider to balance a clearly 
defined public interest in obtaining this information against the 
individuals' legitimate expectation of privacy.
    (4) Given a legitimate, articulated public interest in the 
disclosure, States and other service providers may release information 
regarding recipients in the aggregate that does not identify specific 
individuals. However, a State or service provider must apply an FOIA 
Exemption (b)(6) balancing test to any request for information that can 
not be satisfied by such less-intrusive methods.

[49 FR 3629, Jan. 27, 1984, as amended at 75 FR 11422, Mar. 11, 2010; 77 
FR 11737, Feb. 28, 2012]



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 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.

[[Page 504]]

    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 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

[[Page 505]]

    (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.
    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

[[Page 506]]

 
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 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

[[Page 507]]

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 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

[[Page 508]]

funds hereunder, pursuant to the provisions of Sec.  440.13.

[49 FR 3629, Jan. 27, 1984, as amended at 58 FR 12529, Mar. 4, 1993]



Sec.  440.12  State application.

    (a) To be eligible for financial assistance under this part, a State 
shall submit an application to DOE in conformity with the requirements 
of this part not later than 60 days after the date of notice to apply is 
received from the Support Office Director. After receipt of an 
application for financial assistance or for approval of an amendment to 
a State plan, the Support Office Director may request the State to 
submit within a reasonable period of time any revisions necessary to 
make the application complete or to bring the application into 
compliance with the requirements of this part. The Support Office 
Director shall attempt to resolve any dispute over the application 
informally and to seek voluntary compliance. If a State fails to submit 
timely appropriate revisions to complete the application, the Support 
Office Director may reject the application as incomplete in a written 
decision, including a statement of reasons, which shall be subject to 
administrative review under Sec.  440.30 of this part.
    (b) Each application shall include:
    (1) The name and address of the State agency or office responsible 
for administering the program;
    (2) A copy of the final State plan prepared after notice and a 
public hearing in accordance with Sec.  440.14(a), except that an 
application by a local applicant need not include a copy of the final 
State plan;
    (3) The budget for total funds applied for under the Act, which 
shall include a justification and explanation of any amounts requested 
for expenditure pursuant to Sec.  440.18(d) for State administration;
    (4) The total number of dwelling units proposed to be weatherized 
with grant funds during the budget period for which assistance is to be 
awarded--
    (i) With financial assistance previously obligated under this part, 
and
    (ii) With the program allocation to the State;
    (5) A recommendation that a tribal organization be treated as a 
local applicant eligible to submit an application pursuant to Sec.  
440.13(b), if such a recommendation is to be made;
    (6) A monitoring plan which shall indicate the method used by the 
State to insure the quality of work and adequate financial management 
control at the subgrantee level;
    (7) A training and technical assistance plan which shall indicate 
how funds for training and technical assistance will be used; and
    (8) Any further information which the Secretary finds necessary to 
determine whether an application meets the requirements of this part.
    (c) On or before 60 days from the date that a timely filed 
application is complete, the Support Office Director shall decide 
whether DOE shall approve the application. The Support Office Director 
may--
    (1) Approve the application in whole or in part to the extent that 
the application conforms to the requirements of this part;
    (2) Approve the application in whole or in part subject to special 
conditions designed to ensure compliance with the requirements of this 
part; or
    (3) Disapprove the application if it does not conform to the 
requirements of this part.

(Approved by the Office of Management and Budget under control number 
1904-0047)

[49 FR 3629, Jan. 27, 1984, as amended at 50 FR 712, Jan. 4, 1985; 55 FR 
41325, Oct. 10, 1990; 58 FR 12529, Mar. 4, 1993; 60 FR 29481, June 5, 
1995]



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

[[Page 509]]

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;
    (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

[[Page 510]]

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;
    (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.

[[Page 511]]

    (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--
    (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

[[Page 512]]

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;
    (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:

[[Page 513]]

    (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 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

[[Page 514]]

(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.
    (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

[[Page 515]]

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 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

[[Page 516]]

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.
    (4)(i) A building containing rental dwelling units meets the 
requirements of paragraph (b)(2), and paragraphs (b)(3)(ii) and 
(b)(3)(iv), of this section if it is included on the most recent list 
posted by DOE of Assisted Housing and Public Housing buildings 
identified by the U.S. Department of Housing and Urban Development as 
meeting those requirements.
    (ii) A building containing rental dwelling units meets the 
requirements of paragraph (b)(2), and paragraph (b)(3)(iv), of this 
section if it is included on the most recent list posted by DOE of 
Assisted Housing and Public Housing buildings identified by the U.S. 
Department of Housing and Urban Development as meeting those 
requirements.
    (iii) A building containing rental dwelling units meets the 
requirement of paragraph (b)(2) of this section if it is included on the 
most recent list posted by DOE of Low Income Housing Tax Credit 
buildings identified by the U.S. Department of Housing and Urban 
Development as meeting that requirement and of Rural Housing Service 
Multifamily Housing buildings identified by the U.S. Department of 
Agriculture as meeting that requirement.
    (iv) For buildings identified under paragraphs (b)(4)(i), (ii) and 
(iii) of this section, States will continue to be responsible for 
ensuring compliance with the remaining requirements of this section, and 
States shall establish requirements and procedures to ensure such 
compliance in accordance with this section.
    (c) In order to secure the Federal investment made under this part 
and address the issues of eviction from and sale of property receiving 
weatherization materials under this part, States may seek landlord 
agreement to placement of a lien or to other contractual restrictions;
    (d) As a condition of having assistance provided under this part 
with respect to multifamily buildings, a State may require financial 
participation, when feasible, from the owners of such buildings. Such 
financial participation shall not be reported as program income, nor 
will it be treated as if it were appropriated funds. The funds 
contributed by the landlord shall be expended in accordance with the 
agreement between the landlord and the weatherization agency.
    (e) In devising procedures under paragraph (b)(3)(iii) of this 
section, States should consider requiring use of alternative dispute 
resolution procedures including arbitration.
    (f) A State may weatherize shelters. For the purpose of determining 
how many dwelling units exist in a shelter, a grantee may count each 800 
square feet of the shelter as a dwelling unit or

[[Page 517]]

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; 75 FR 3856, Jan. 25, 2010]



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 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.

[[Page 518]]

    (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;
    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

[[Page 519]]

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.
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).

[[Page 520]]

 
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.
\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.

[[Page 521]]

 
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.
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.

[[Page 522]]

 
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.
Repair combustion chambers.............  Refractory linings may be
                                          required for conversions.

[[Page 523]]

 
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 524]]

 
  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 525]]

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 526]]

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 527]]



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 528]]

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 529]]

    (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 530]]

    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 531]]

    (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 532]]

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 533]]



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.

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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 535]]

    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 536]]

    (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 537]]

    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 538]]

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 539]]

    (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 540]]



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 541]]

    (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 542]]

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 543]]

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 544]]

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 545]]

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 546]]



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 547]]

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 548]]

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 549]]

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 550]]

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 551]]

    (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 552]]

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 553]]

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 554]]

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 555]]

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 556]]

    (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 557]]

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 558]]

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 559]]



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 560]]

    (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 561]]

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 562]]

$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 563]]

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 than 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 564]]



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 460_ENERGY CONSERVATION STANDARDS FOR MANUFACTURED HOMES-
-Table of Contents



                            Subpart A_General

Sec.
460.1 Scope.
460.2 Definitions.
460.3 Materials incorporated by reference.
460.4 Energy conservation standards.

                   Subpart B_Building Thermal Envelope

460.101 Climate zones.
460.102 Building thermal envelope requirements.
460.103 Installation of insulation.
460.104 Building thermal envelope air leakage.

         Subpart C_HVAC, Service Hot Water, and Equipment Sizing

460.201 Duct systems.
460.202 Thermostats and controls.
460.203 Service hot water.
460.204 Mechanical ventilation fan efficacy.
460.205 Equipment sizing.

Subpart D [Reserved]

    Authority: 42 U.S.C. 17071; 42 U.S.C. 7101 et seq.

    Source: 87 FR 32818, May 31, 2022, unless otherwise noted.



                            Subpart A_General



Sec.  460.1  Scope.

    This subpart establishes energy conservation standards for 
manufactured homes as manufactured at the factory, prior to distribution 
in commerce for sale or installation in the field. Manufacturers must 
apply the requirements of this part to a manufactured home subject to 
Sec.  460.4(b) that is manufactured on or after 60 days after 
publication of final enforcement procedures for this part. DOE will 
amend this section to include the specific compliance date, once known. 
Manufacturers must apply the requirements of this part to a manufactured 
home subject to Sec.  460.4(c) that is manufactured on or after July 1, 
2025.

[88 FR 34419, May 30, 2023]



Sec.  460.2  Definitions.

    Adapted from section R202 of the 2021 IECC and as used in this 
part--
    2021 IECC means the 2021 version of the International Energy 
Conservation Code, issued by the International Code Council.
    Access (to) means that which enables a device, appliance or 
equipment to be reached by ready access or by a means that first 
requires the removal or movement of a panel or similar obstruction.
    Air barrier means one or more materials joined together in a 
continuous manner to restrict or prevent the passage of air through the 
building thermal envelope and its assemblies.
    Automatic means self-acting or operating by its own mechanism when 
actuated by some impersonal influence.
    Building thermal envelope means exterior walls, exterior floors, 
exterior ceiling, or roofs, and any other building element assemblies 
that enclose conditioned space or provide a boundary between conditioned 
space and unconditioned space.
    Ceiling means an assembly that supports and forms the overhead 
interior surface of a building or room that covers its upper limit and 
is horizontal or tilted at an angle less than 60 degrees (1.05 rad) from 
horizontal.
    Climate zone means a geographical region identified in Sec.  
460.101.
    Conditioned space means an area, room, or space that is enclosed 
within the building thermal envelope and that is directly or indirectly 
heated or cooled. Spaces are indirectly heated or cooled where they 
communicate through openings with conditioned space, where they are 
separated from conditioned spaces by uninsulated walls, floors or 
ceilings, or where they contain uninsulated ducts, piping, or other 
sources of heating or cooling.
    Continuous air barrier means a combination of materials and 
assemblies that restrict or prevent the passage of

[[Page 565]]

air from conditioned space to unconditioned space.
    Door means an operable barrier used to block or allow access to an 
entrance of a manufactured home.
    Dropped ceiling means a secondary nonstructural ceiling, hung below 
the exterior ceiling.
    Dropped soffit means a secondary nonstructural ceiling that is hung 
below the exterior ceiling and that covers only a portion of the 
ceiling.
    Duct means a tube or conduit, except an air passage within a self-
contained system, utilized for conveying air to or from heating, 
cooling, or ventilating equipment.
    Duct system means a continuous passageway for the transmission of 
air that, in addition to ducts, includes duct fittings, dampers, 
plenums, fans, and accessory air-handling equipment and appliances.
    Eave means the edge of the roof that overhangs the face of an 
exterior wall and normally projects beyond the side of the manufactured 
home.
    Equipment includes material, devices, fixtures, fittings, or 
accessories both in the construction of, and in the plumbing, heating, 
cooling, and electrical systems of a manufactured home.
    Exterior ceiling means a ceiling that separates conditioned space 
from unconditioned space.
    Exterior floor means a floor that separates conditioned space from 
unconditioned space.
    Exterior wall means a wall, including a skylight well, that 
separates conditioned space from unconditioned space.
    Fenestration means vertical fenestration and skylights.
    Floor means a horizontal assembly that supports and forms the lower 
interior surface of a building or room upon which occupants can walk.
    Glazed or glazing means an infill material, including glass, 
plastic, or other transparent or translucent material used in 
fenestration.
    Heated water circulation system means a water distribution system in 
which one or more pumps are operated in the service hot water piping to 
circulate heated water from the water heating equipment to fixtures and 
back to the water heating equipment.
    Insulation means material deemed to be insulation under 16 CFR 
460.2.
    Manual means capable of being operated by personal intervention.
    Manufactured home means a structure, transportable in one or more 
sections, which in the traveling mode is 8 body feet or more in width or 
40 body feet or more in length or which when erected onsite is 320 or 
more square feet, and which is built on a permanent chassis and designed 
to be used as a dwelling with or without a permanent foundation when 
connected to the required utilities, and includes the plumbing, heating, 
air conditioning, and electrical systems contained in the structure. 
This term includes all structures that meet the above requirements 
except the size requirements and with respect to which the manufacturer 
voluntarily files a certification pursuant to 24 CFR 3282.13 and 
complies with the construction and safety standards set forth in 24 CFR 
part 3280. The term does not include any self-propelled recreational 
vehicle. Calculations used to determine the number of square feet in a 
structure will be based on the structure's exterior dimensions, measured 
at the largest horizontal projections when erected on site. These 
dimensions will include all expandable rooms, cabinets, and other 
projections containing interior space, but do not include bay windows. 
Nothing in this definition should be interpreted to mean that a 
manufactured home necessarily meets the requirements of the U.S. 
Department of Housing and Urban Development Minimum Property Standards 
(HUD Handbook 4900.1) or that it is automatically eligible for financing 
under 12 U.S.C. 1709(b).
    Manufacturer means any person engaged in the factory construction or 
assembly of a manufactured home, including any person engaged in 
importing manufactured homes for resale.
    Opaque door means a door that is not less than 50 percent opaque in 
surface area.
    R-value (thermal resistance) means the inverse of the time rate of 
heat flow through a body from one of its bounding surfaces to the other 
surface for a unit temperature difference between the two surfaces, 
under steady state

[[Page 566]]

conditions, per unit area (h x ft\2\ x [deg]F/Btu).
    Rough opening means an opening in the exterior wall or roof, sized 
for installation of fenestration.
    Service hot water means supply of hot water for purposes other than 
comfort heating.
    Skylight means glass or other transparent or translucent glazing 
material, including framing materials, installed at an angle less than 
60 degrees (1.05 rad) from horizontal, including unit skylights, tubular 
daylighting devices, and glazing materials in solariums, sunrooms, roofs 
and sloped walls.
    Skylight well means the exterior walls underneath a skylight that 
extend from the interior finished surface of the exterior ceiling to the 
exterior surface of the location to which the skylight is attached.
    Solar heat gain coefficient (SHGC) means the ratio of the solar heat 
gain entering a space through a fenestration assembly to the incident 
solar radiation. Solar heat gain includes directly transmitted solar 
heat and absorbed solar radiation that is then reradiated, conducted, or 
convected into the space.
    State means each of the 50 states, the District of Columbia, the 
Commonwealth of Puerto Rico, Guam, the U.S. Virgin Islands, and American 
Samoa.
    Thermostat means an automatic control device used to maintain 
temperature at a fixed or adjustable set point.
    U-factor (thermal transmittance) means the coefficient of heat 
transmission (air to air) through a building component or assembly, 
equal to the time rate of heat flow per unit area and unit temperature 
difference between the warm side and cold side air films (Btu/h x ft\2\ 
x [deg]F).
    Uo (overall thermal transmittance) means the coefficient 
of heat transmission (air to air) through the building thermal envelope, 
equal to the time rate of heat flow per unit area and unit temperature 
difference between the warm side and cold side air films (Btu/h x ft\2\ 
x [deg]F).
    Ventilation means the natural or mechanical process of supplying 
conditioned or unconditioned air to, or removing such air from, any 
space.
    Vertical fenestration means windows (fixed or moveable), opaque 
doors, glazed doors, glazed block and combination opaque and glazed 
doors composed of glass or other transparent or translucent glazing 
materials and installed at a slope of greater than or equal to 60 
degrees (1.05 rad) from horizontal.
    Wall means an assembly that is vertical or tilted at an angle equal 
to greater than 60 degrees (1.05 rad) from horizontal that encloses or 
divides an area of a building or room.
    Whole-house mechanical ventilation system means an exhaust system, 
supply system, or combination thereof that is designed to mechanically 
exchange indoor air with outdoor air when operating continuously or 
through a programmed intermittent schedule to satisfy the whole house 
ventilation rates.
    Window means glass or other transparent or translucent glazing 
material, including framing materials, installed at an angle greater 
than 60 degrees (1.05 rad) from horizontal.
    Zone means a space or group of spaces within a manufactured home 
with heating or cooling requirements that are sufficiently similar so 
that desired conditions can be maintained using a single controlling 
device.



Sec.  460.3  Materials incorporated by reference.

    Certain material is incorporated by reference into this part with 
the approval of the Director of the Federal Register in accordance with 
5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than 
that specified in this section, the U.S. Department of Energy (DOE) must 
publish a document in the Federal Register and the material must be 
available to the public. All approved material is available for 
inspection at DOE and at the National Archives and Records 
Administration (NARA). Contact DOE at: The 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) 
586-9127, [email protected], https://www.energy.gov/eere/buildings/
building-technologies-office. For information on the availability of 
this material at NARA, email: [email protected], or

[[Page 567]]

go to: www.archives.gov/federal-register/cfr/ibr-locations.html. The 
material may be obtained from the following sources:
    (a) ACCA. Air Conditioning Contractors of America, Inc., 2800 S. 
Shirlington Road, Suite 300, Arlington, VA 22206, 703-575-4477; 
www.acca.org/.
    (1) ANSI/ACCA 2 Manual J-2016 (ver 2.50) (``ACCA Manual J''), Manual 
J-Residential Load Calculations, Eight Edition, Version 2.50, Copyright 
2016; IBR approved for Sec.  460.205.
    (2) ANSI/ACCA 3 Manual S-2014 (``ACCA Manual S''), Manual S- 
Residential Equipment Selection, Second Edition, Version 1.00, Copyright 
2014; IBR approved for Sec.  460.205.
    (b) HUD User, 11491 Sunset Hills Road, Reston, VA 20190-5254; 
www.huduser.gov/portal/publications/pdrpubli.html.
    (1) HUD User No. 0005945, Overall U-Values and Heating/Cooling 
Loads--Manufactured Homes, February 1, 1992 (available from 
www.huduser.org/portal/publications/manufhsg/uvalue.html); IBR approved 
for Sec.  460.102(e).
    (2) [Reserved].



Sec.  460.4  Energy conservation standards.

    (a) General. A manufactured home must comply with the energy 
conservation standards specified for the applicable tier as presented in 
paragraphs (b) and (c) of this section.
    (b) Tier 1. A single-section manufactured home (i.e., a Tier 1 
manufactured home) must comply with all applicable requirements in 
subparts B and C of this part.
    (c) Tier 2. A multi-section manufactured home (i.e., a Tier 2 
manufactured home) must comply with all applicable requirements in 
subparts B and C of this part.



                   Subpart B_Building Thermal Envelope



Sec.  460.101  Climate zones.

    Manufactured homes subject to the requirements of this subpart must 
comply with the requirements applicable to one or more of the climate 
zones set forth in figure 1 to Sec.  460.101 and table 1 to Sec.  
460.101.
[GRAPHIC] [TIFF OMITTED] TR31MY22.216


[[Page 568]]



 Table 1 to Sec.   460.101--U.S. States and Territories per Climate Zone
------------------------------------------------------------------------
             Zone 1                     Zone 2              Zone 3
------------------------------------------------------------------------
Alabama                           Arkansas            Alaska
American Samoa                    Arizona             Colorado
Florida                           California          Connecticut
Georgia                           Kansas              Delaware
Guam                              Kentucky            District of
                                                       Columbia
Hawaii                            Missouri            Idaho
Louisiana                         New Mexico          Illinois
Mississippi                       North Carolina      Indiana
South Carolina                    Oklahoma            Iowa
Texas                             Tennessee           Maine
The Commonwealth of Puerto Rico                       Maryland
U.S. Virgin Islands                                   Massachusetts
                                                      Michigan
                                                      Minnesota
                                                      Montana
                                                      Nebraska
                                                      Nevada
                                                      New Hampshire
                                                      New Jersey
                                                      New York
                                                      North Dakota
                                                      Ohio
                                                      Oregon
                                                      Pennsylvania
                                                      Rhode Island
                                                      South Dakota
                                                      Utah
                                                      Vermont
                                                      Virginia
                                                      Washington
                                                      West Virginia
                                                      Wisconsin
                                                      Wyoming
------------------------------------------------------------------------



Sec.  460.102  Building thermal envelope requirements.

    (a) Compliance options. The building thermal envelope must meet 
either the prescriptive requirements of paragraph (b) of this section or 
the performance requirements of paragraph (c) of this section.
    (b) Prescriptive requirements. (1) The building thermal envelope 
must meet the applicable minimum R-value (nominal value of insulation), 
and the glazing maximum U-factor and SHGC, requirements set forth in 
table 1 to Sec.  460.102(b)(1) and table 2 to Sec.  460.102(b)(2) or 
component U-values set forth in table 3 to Sec.  460.102(b)(5) and table 
4 to Sec.  460.102(b)(5).

                               Table 1 to Sec.   460.102(b)(1)--Tier 1 Building Thermal Envelope Prescriptive Requirements
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                      Exterior    Exterior    Exterior
                                                                        wall       ceiling      floor    Window U-   Skylight   Door U-       Glazed
                            Climate zone                             insulation  insulation  insulation    factor    U-factor    factor    fenestration
                                                                       R-value     R-value     R-value                                         SHGC
--------------------------------------------------------------------------------------------------------------------------------------------------------
1..................................................................          13          22          22       1.08       0.75       0.40             0.7
2..................................................................          13          22          19        0.5       0.55       0.40             0.6
3..................................................................          19          22          22       0.35       0.55       0.40             Not
                                                                                                                                             applicable.
--------------------------------------------------------------------------------------------------------------------------------------------------------


                               Table 2 to Sec.   460.102(b)(1)--Tier 2 Building Thermal Envelope Prescriptive Requirements
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                      Exterior    Exterior    Exterior
                                                                        wall       ceiling      floor    Window U-   Skylight   Door U-       Glazed
                            Climate zone                             insulation  insulation  insulation    factor    U-factor    factor    fenestration
                                                                       R-value     R-value     R-value                                         SHGC
--------------------------------------------------------------------------------------------------------------------------------------------------------
1..................................................................          13          30          13       0.32       0.75       0.40            0.33
2..................................................................          21          30          19       0.30       0.55       0.40            0.25
3..................................................................          21          38          30       0.30       0.55       0.40             Not
                                                                                                                                             applicable.
--------------------------------------------------------------------------------------------------------------------------------------------------------


[[Page 569]]

    (2) For the purpose of compliance with the exterior ceiling 
insulation R-value requirement of paragraph (b)(1) of this section, the 
truss heel height must be a minimum of 5.5 inches at the outside face of 
each exterior wall.
    (3) A combination of R-21 batt insulation and R-14 blanket 
insulation may be used for the purpose of compliance with the floor 
insulation R-value requirement of table 2 to Sec.  460.102(b)(1), 
Climate Zone 3.
    (4) An individual skylight that has an SHGC that is less than or 
equal to 0.30 is not subject to the glazed fenestration SHGC 
requirements established in paragraph (b)(1) of this section. Adapted 
from section R402 of the 2021 IECC.
    (5) U-factor alternatives to R-value requirements. Compliance with 
the applicable requirements in paragraph (b)(1) of this section may be 
determined using the applicable maximum U-factor values set forth in 
table 3 to Sec.  460.102(b)(5) and table 4 to Sec.  460.102(b)(5), which 
reflect the thermal transmittance of the component, excluding 
fenestration, and not just the insulation of that component, as an 
alternative to the minimum nominal R-value requirements set forth in 
table 1 to Sec.  460.102(b)(1) and table 2 to Sec.  460.102(b)(1), 
respectively.

              Table 3 to Sec.   460.102(b)(5)--U-Factor Alternatives to Tier 1 R-Value Requirements
----------------------------------------------------------------------------------------------------------------
                                                            Exterior ceiling  Exterior wall U-  Exterior floor U-
                       Climate zone                             U-factor           factor            factor
----------------------------------------------------------------------------------------------------------------
1.........................................................             0.061             0.094             0.049
2.........................................................             0.061             0.094             0.056
3.........................................................             0.061             0.068             0.049
----------------------------------------------------------------------------------------------------------------


              Table 4 to Sec.   460.102(b)(5)--U-Factor Alternatives to Tier 2 R-Value Requirements
----------------------------------------------------------------------------------------------------------------
                                                            Exterior ceiling  Exterior wall U-  Exterior floor U-
                       Climate zone                             U-factor           factor            factor
----------------------------------------------------------------------------------------------------------------
1.........................................................             0.043             0.094             0.078
2.........................................................             0.043             0.063             0.056
3.........................................................             0.037             0.063             0.032
----------------------------------------------------------------------------------------------------------------

    (c) Performance requirements. (1) The building thermal envelope must 
have a Uo that is less than or equal to the applicable value 
specified in table 5 to Sec.  460.102(c)(1) and table 6 to Sec.  
460.102(c)(1).

    Table 5 to Sec.   460.102(c)(1)--Tier 1 Building Thermal Envelope
                        Performance Requirements
------------------------------------------------------------------------
                                                        Single-section U
                     Climate zone
------------------------------------------------------------------------
1.....................................................             0.110
2.....................................................             0.091
3.....................................................             0.074
------------------------------------------------------------------------


    Table 6 to Sec.   460.102(c)(1)--Tier 2 Building Thermal Envelope
                        Performance Requirements
------------------------------------------------------------------------
                                                         Multi-section U
                     Climate zone
------------------------------------------------------------------------
1.....................................................             0.082
2.....................................................             0.066
3.....................................................             0.055
------------------------------------------------------------------------

    (2) Area-weighted average vertical fenestration U-factor must not 
exceed 0.48 in Climate Zone 2 or 0.40 in Climate Zone 3. Adapted from 
section R402 of the 2021 IECC.
    (3) Area-weighted average skylight U-factor must not exceed 0.75 in 
Climate Zone 2 and Climate Zone 3. Adapted from section R402 of the 2021 
IECC.

[[Page 570]]

    (4) Windows, skylights and doors containing more than 50 percent 
glazing by area must satisfy the SHGC requirements established in 
paragraph (b)(1) of this section on the basis of an area-weighted 
average. Adapted from section R402 of the 2021 IECC.
    (d) [Reserved].
    (e) Determination of compliance with paragraph (c) of this section. 
(1) Uo must be determined in accordance with Overall U-Values and 
Heating/Cooling Loads--Manufactured Homes (incorporated by reference; 
see Sec.  460.3)
    (2) [Reserved]



Sec.  460.103  Installation of insulation.

    Insulating materials must be installed according to the insulation 
manufacturer's installation instructions and the requirements set forth 
in table 1 to 460.103, which is adapted from section R402 of the 2021 
IECC.

          Table 1 to Sec.   460.103--Installation of Insulation
------------------------------------------------------------------------
          Component                    Installation requirements
------------------------------------------------------------------------
General......................  Air-permeable insulation must not be used
                                as a material to establish the air
                                barrier.
Access hatches, panels, and    Access hatches, panels, and doors between
 doors.                         conditioned space and unconditioned
                                space, such as attics and crawlspaces,
                                must be insulated to a level equivalent
                                to the insulation of the surrounding
                                surface, must provide access to all
                                equipment that prevents damaging or
                                compressing the insulation, and must
                                provide a wood-framed or equivalent
                                baffle or retainer when loose fill
                                insulation is installed within an
                                exterior ceiling assembly to retain the
                                insulation both on the access hatch,
                                panel, or door and within the building
                                thermal envelope.
Baffles......................  For air-permeable insulations in vented
                                attics, a baffle must be installed
                                adjacent to soffit and eave vents.
                                Baffles, when used in conjunction with
                                eave venting, must be constructed using
                                a solid material, maintain an opening
                                equal or greater than the size of the
                                vents, and extend over the top of the
                                attic insulation.
Ceiling or attic.............  The insulation in any dropped ceiling or
                                dropped soffit must be aligned with the
                                air barrier.
Narrow cavities..............  Batts to be installed in narrow cavities
                                must be cut to fit or narrow cavities
                                must be filled with insulation that upon
                                installation readily conforms to the
                                available cavity space.
Rim joists...................  Rim joists must be insulated such that
                                the insulation maintain permanent
                                contact with the exterior rim board.
Shower or tub adjacent to      Exterior walls adjacent to showers and
 exterior wall.                 tubs must be insulated.
Walls........................  Air permeable exterior building thermal
                                envelope insulation for framed exterior
                                walls must completely fill the cavity,
                                including within stud bays caused by
                                blocking lay flats or headers.
------------------------------------------------------------------------



Sec.  460.104  Building thermal envelope air leakage.

    Manufactured homes must be sealed against air leakage at all joints, 
seams, and penetrations associated with the building thermal envelope in 
accordance with the component manufacturer's installation instructions 
and the requirements set forth in table 1 to 460.104. Sealing methods 
between dissimilar materials must allow for differential expansion, 
contraction and mechanical vibration, and must establish a continuous 
air barrier upon installation of all opaque components of the building 
thermal envelope. All gaps and penetrations in the exterior ceiling, 
exterior floor, and exterior walls, including ducts, flue shafts, 
plumbing, piping, electrical wiring, utility penetrations, bathroom and 
kitchen exhaust fans, recessed lighting fixtures adjacent to 
unconditioned space, and light tubes adjacent to unconditioned space, 
must be sealed with caulk, foam, gasket or other suitable material. The 
air barrier installation criteria are adapted from section R402 of the 
2021 IECC.

      Table 1 to Sec.   460.104--Air Barrier Installation Criteria
------------------------------------------------------------------------
          Component                       Air barrier criteria
------------------------------------------------------------------------
Ceiling or attic.............  The air barrier in any dropped ceiling or
                                dropped soffit must be aligned with the
                                insulation and any gaps in the air
                                barrier must be sealed with caulk, foam,
                                gasket, or other suitable material.
                                Access hatches, panels, and doors, drop-
                                down stairs, or knee wall doors to
                                unconditioned attic spaces must be
                                weather-stripped or equipped with a
                                gasket to produce a continuous air
                                barrier.

[[Page 571]]

 
Duct system register boots...  Duct system register boots that penetrate
                                the building thermal envelope or the air
                                barrier must be sealed to the subfloor,
                                wall covering or ceiling penetrated by
                                the boot, air barrier, or the interior
                                finish materials with caulk, foam,
                                gasket, or other suitable material.
Electrical box or phone box    The air barrier must be installed behind
 on exterior walls.             electrical and communication boxes or
                                the air barrier must be sealed around
                                the box penetration with caulk, foam,
                                gasket, or other suitable material.
Floors.......................  The air barrier must be installed at any
                                exposed edge of insulation. The bottom
                                board may serve as the air barrier.
Mating line surfaces.........  Mating line surfaces must be equipped
                                with a continuous and durable gasket.
Recessed lighting............  Recessed light fixtures installed in the
                                building thermal envelope must be sealed
                                to the drywall with caulk, foam, gasket,
                                or other suitable material.
Rim joists...................  The air barrier must enclose the rim
                                joists. The junctions of the rim board
                                and the subfloor must be air sealed.
Shower or tub adjacent to      The air barrier must separate showers and
 exterior wall.                 tubs from exterior walls.
Walls........................  The junction of the top plate and the
                                exterior ceiling, and the junction of
                                the bottom plate and the exterior floor,
                                along exterior walls must be sealed with
                                caulk, foam, gasket, or other suitable
                                material.
Windows, skylights, and        The rough openings around windows,
 exterior doors.                exterior doors, and skylights must be
                                sealed with caulk or foam.
------------------------------------------------------------------------



         Subpart C_HVAC, Service Hot Water, and Equipment Sizing



Sec.  460.201  Duct system.

    Each manufactured home equipped with a duct system, which may 
include air handlers and filter boxes, must be sealed to limit total air 
leakage to less than or equal to four (4) cubic feet per minute per 100 
square feet of conditioned floor area at a pressure differential of 0.1 
inch w.g. (25 Pascals) across the system. Building framing cavities must 
not be used as ducts or plenums when directly connected to mechanical 
systems. The duct total air leakage requirements are adapted from 
section R403 of the 2021 IECC.



Sec.  460.202  Thermostats and controls.

    (a) At least one thermostat must be provided for each separate 
heating and cooling system installed by the manufacturer. The thermostat 
and controls requirements are adapted from section R403 of the 2021 
IECC.
    (b) Any programmable thermostat installed by the manufacturer that 
controls the heating or cooling system must--
    (1) Be capable of controlling the heating and cooling system on a 
daily schedule to maintain different temperature set points at different 
times of the day and different days of the week;
    (2) Include the capability to set back or temporarily operate the 
system to maintain zone temperatures down to 55 [deg]F (13 [deg]C) or up 
to 85 [deg]F (29 [deg]C); and
    (3) Initially be programmed with a heating temperature set point no 
higher than 70 [deg]F (21 [deg]C) and a cooling temperature set point no 
lower than 78 [deg]F (26 [deg]C).
    (c) Heat pumps with supplementary electric-resistance heat must be 
provided with controls that, except during defrost, prevent supplemental 
heat operation when the heat pump compressor can meet the heating load.



Sec.  460.203  Service hot water.

    (a) Service hot water systems installed by the manufacturer must be 
installed according to the service hot water manufacturer's installation 
instructions. Where service hot water systems are installed by the 
manufacturer, the manufacturer must ensure that any maintenance 
instructions received from the service hot water system manufacturer are 
provided with the manufactured home. The service hot water requirements 
are adapted from section R403 of the 2021 IECC.
    (b) Any automatic and manual controls, temperature sensors, pumps 
associated with service hot water systems must provide access.
    (c) Heated water circulation systems must--
    (1) Be provided with a circulation pump;

[[Page 572]]

    (2) Ensure that the system return pipe is a dedicated return pipe or 
a cold water supply pipe;
    (3) Not include any gravity or thermosyphon circulation systems;
    (4) Ensure that controls for circulating heated water circulation 
pumps start the pump based on the identification of a demand for hot 
water within the occupancy; and
    (5) Ensure that the controls automatically turn off the pump when 
the water in the circulation loop is at the desired temperature and when 
there is no demand for hot water.
    (d) All hot water pipes--
    (1) Outside conditioned space must be insulated to a minimum R-value 
of R-3; and
    (2) From a service hot water system to a distribution manifold must 
be insulated to a minimum R-value of R-3.



Sec.  460.204  Mechanical ventilation fan efficacy.

    (a) Whole-house mechanical ventilation system fans must meet the 
minimum efficacy requirements set forth in table 1 to 460.204(a), except 
as provided in paragraph (b) of this section. The mechanical ventilation 
fan efficacy requirements are adapted from section R403 of the 2021 
IECC.

Table 1 to Sec.   460.204(a)--Mechanical Ventilation System Fan Efficacy
------------------------------------------------------------------------
                                 Airflow rate minimum   Minimum efficacy
     Fan type description                (cfm)             (cfm/watt)
------------------------------------------------------------------------
Heat recovery ventilator or     Any...................               1.2
 energy recovery ventilator.
In-line supply or exhaust fans  Any...................               3.8
Other exhaust fan.............  <90...................               2.8
Other exhaust fan.............  =90........               3.5
------------------------------------------------------------------------

    (b) Mechanical ventilation fans that are integral to heating, 
ventilating, and air conditioning equipment, including furnace fans as 
defined in Sec.  430.2 of this subchapter, are not subject to the 
efficiency requirements in paragraph (a) of this section.



Sec.  460.205  Equipment sizing.

    Sizing of heating and cooling equipment installed by the 
manufacturer must be determined in accordance with ACCA Manual S 
(incorporated by reference; see Sec.  460.3) based on building loads 
calculated in accordance with ACCA Manual J (incorporated by reference; 
see Sec.  460.3). The equipment sizing criteria are adapted from section 
R403 of the 2021 IECC.

Subpart D [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.



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.

[[Page 573]]

    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 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;

[[Page 574]]

    (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.
    (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.

[[Page 575]]

    (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 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.

[[Page 576]]

    (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 description 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 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;

[[Page 577]]

    (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 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.


[[Page 578]]


    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 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 management.
    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

[[Page 579]]

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 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.

[[Page 580]]



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
    (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);

[[Page 581]]

    (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.



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 [Reserved]

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).

[[Page 582]]

    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 values specified in Sec.  
474.3, paragraphs (b) through (f) of this part, which incorporate the 
parameters listed in 49 U.S.C. 32904(a)(2)(B) and are 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.

[65 FR 36991, June 12, 2000, as amended at 89 FR 22059, Mar. 29, 2024]



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
    (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) For model year (MY) 2024, MY 2025, and MY 2026 electric 
vehicles, the petroleum-equivalency factors 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.
    (c) For MY 2027 electric vehicles, the petroleum-equivalency factor 
is 79,989 Watt-hours per gallon.
    (d) For MY 2028 electric vehicles, the petroleum-equivalency factor 
is 50,427 Watt-hours per gallon.
    (e) For MY 2029 electric vehicles, the petroleum-equivalency factor 
is 36,820 Watt-hours per gallon.
    (f) For MY 2030 and later electric vehicles, the petroleum-
equivalency factor is 28,996 Watt-hours per gallon.

[65 FR 36991, June 12, 2000, as amended at 89 FR 22059, Mar. 29, 2024]



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.

[[Page 583]]



Sec.  474.5  [Reserved]



 Sec. Appendix A to Part 474--Sample Petroleum-Equivalent Fuel Economy 
                              Calculations

                Example 1: Battery Electric Vehicle (BEV)

    A battery 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

    The petroleum-equivalent fuel economy is:

PEF / combined electrical energy consumption value

    Thus, fuel economy for the example vehicle in MY 2030 would be:
    [GRAPHIC] [TIFF OMITTED] TR29MR24.055
    
where MPGe is miles per gallon equivalent.

               Example 2: Plug-In Hybrid Electric Vehicle

    A plug-in hybrid 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 in charge depleting mode, a combined 
gasoline fuel economy of 50.0 miles per gallon in charge sustaining 
mode, and an all-electric range corresponding to a percentage 
utilization of 60 percent travel on electricity and 40 percent travel on 
gasoline.
    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 to be 244.75 Wh/mile, which corresponds to 118.47 miles/gal 
equivalent as shown above for a BEV (using the MY 2030-and-beyond PEF 
value of 28,997 Wh/gal).
    The PHEV fuel economy is calculated by dividing one by the sum of 
the percentage utilization for petroleum and electricity divided by 
their respective fuel economy.
    In this case:
    [GRAPHIC] [TIFF OMITTED] TR29MR24.056
    

[89 FR 22059, Mar. 29, 2024]



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

[[Page 584]]

Subpart B [Reserved]

                 Subpart C_Mandatory State Fleet Program

490.200 Purpose and scope.
490.201 Alternative fueled vehicle acquisition mandate schedule.
490.202 Acquisitions satisfying the mandate.
490.203 Light Duty Alternative Fueled Vehicle plan.
490.204 Process for granting exemptions.
490.205 Reporting requirements.
490.206 Violations.

     Subpart D_Alternative Fuel Provider Vehicle Acquisition Mandate

490.300 Purpose and scope.
490.301 Definitions.
490.302 Vehicle acquisition mandate schedule.
490.303 Who must comply.
490.304 Which new light duty motor vehicles are covered.
490.305 Acquisitions satisfying the mandate.
490.306 Vehicle operation requirements.
490.307 Process for granting exemptions.
490.308 Annual reporting requirements.
490.309 Violations.

Subpart E [Reserved]

           Subpart F_Alternative Fueled Vehicle Credit Program

490.500 Purpose and scope.
490.501 Definitions.
490.502 Applicability.
490.503 Creditable actions.
490.504 Credit allocation.
490.505 Use of alternative fueled vehicle credits.
490.506 Credit accounts.
490.507 Alternative fueled vehicle credit transfers.
490.508 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; 28 U.S.C. 2461 note.

    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 for State government and alternative fuel 
provider fleets under titles III, IV, and V 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; 
79 FR 15902, Mar. 21, 2014]



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.

[[Page 585]]

    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 or other fuels; 
natural gas, including liquid fuels domestically produced from 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, as those terms are defined in 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 that is propelled by 
conventional fuel, or by alternative fuel, manufactured primarily for 
use on public streets, roads, and highways and having a gross vehicle 
weight rating of less than 10,000 pounds, except:
    (1) A vehicle operated only on a rail line;
    (2) A vehicle manufactured in different stages by two or more 
original equipment manufacturers, if no intermediate or final-stage 
original equipment manufacturer of that vehicle manufactures more than 
10,000 multi-stage vehicles per year; or
    (3) A work truck, as that term is defined in this section.
    Capable of Being Centrally Fueled means that a vehicle can be fueled 
at least 75 percent of the time at a location that is owned, operated, 
or controlled by the fleet or covered person, or at a location that is 
under contract with the fleet or covered person for fueling 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

[[Page 586]]

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 one or more alternative 
fuels; or
    (2) A motor vehicle, other than an automobile, that operates solely 
on one or more alternative fuels.
    DOE means the Department of Energy.
    Dual Fueled Vehicle means--
    (1) An automobile that meets the criteria for a dual fueled 
automobile as set forth in 49 U.S.C. 32901(a)(9); or
    (2) A motor vehicle, other than an automobile, that is capable of 
operating on alternative fuel and on gasoline or diesel.
    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 Sec.  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; or
    (4) By any person under common control with such person.
    Law Enforcement Motor Vehicle means any vehicle which is primarily 
operated by a civilian or military police officer or sheriff, or by 
personnel of the Federal Bureau of Investigation, the Drug Enforcement 
Administration, or other enforcement agencies of the Federal government, 
or by State highway patrols, municipal law enforcement, or other similar 
enforcement agencies, and which is used for the purpose of law 
enforcement activities including, but not limited to, chase, 
apprehension, and surveillance of people engaged in or potentially 
engaged in unlawful activities.
    Lease means the use and control of a motor vehicle for 
transportation purposes pursuant to a rental contract or similar 
arrangement with a term of 120 days or more.
    Light Duty Motor Vehicle means a light duty truck or light duty 
vehicle, as such terms are defined under section 216(7) of the Clean Air 
Act (42 U.S.C. Sec.  7550(7)), having a gross vehicle weight rating of 
8,500 pounds or less, before any after-market conversion to alternative 
fuel operation.
    Model Year means the period from September 1 of the previous 
calendar year through August 31.
    Motor Vehicle means a self-propelled vehicle, other than a non-road 
vehicle, designed for transporting persons or property on a street or 
highway.
    Non-road Vehicle means a vehicle not licensed for on-road use, 
including such vehicles used principally for industrial, farming or 
commercial use, for rail transportation, at an airport, or for marine 
purposes.
    Original Equipment Manufacturer means a manufacturer that provides 
the original design and materials for assembly and manufacture of its 
product.
    Original Equipment Manufacturer Vehicle means a vehicle engineered, 
designed, produced and warranted by an Original Equipment Manufacturer.
    Person means any individual, partnership, corporation, voluntary 
association, joint stock company, business trust, Governmental entity, 
or other

[[Page 587]]

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.
    Work Truck means a vehicle having a gross vehicle weight rating of 
more than 8,500 and less than or equal to 10,000 pounds that is not a 
medium-duty passenger vehicle as that term is defined in 40 CFR 86.1803-
01.

[61 FR 10653, Mar. 14, 1996, as amended at 64 FR 26829, May 17, 1999; 79 
FR 15902, Mar. 21, 2014]



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, including vehicles directly used in 
the emergency repair of transmission lines and in the restoration of 
electricity service following power outages, as determined by DOE;
    (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.

[61 FR 10653, Mar. 14, 1996, as amended at 79 FR 15903, Mar. 21, 2014]



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

[[Page 588]]

which an interpretive ruling is sought with regard to the relevant facts 
and circumstances; and
    (7) Contain any arguments in support of the terms of an 
interpretation the requester is seeking.
    (d) Public comment. DOE may give public notice of any request for an 
interpretive ruling and invite public comment.
    (e) Opportunity to respond to public comment. DOE may provide an 
opportunity for any person who requested an interpretive ruling to 
respond to public comments.
    (f) Other sources of information. DOE may--
    (1) Conduct an investigation of any statement in a request;
    (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;

[[Page 589]]

    (2) Would establish a generally applicable policy in an area that 
should be left to case-by-case determinations;
    (3) Would establish a policy inconsistent with the underlying 
statutory purposes; or
    (4) For other good cause.



Sec.  490.7  Relationship to other law.

    (a) Nothing in this part shall be construed to require or authorize 
sale of, or conversion to, light duty alternative fueled motor vehicles 
in violation of applicable regulations of any Federal, State or local 
government agency.
    (b) Nothing in this part shall be construed to require or authorize 
the use of a motor fuel in violation of applicable regulations of any 
Federal, State, or local government agency.



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

[[Page 590]]

Oklahoma City MSA OK
Omaha MSA NE-IA
Orlando MSA FL
Pensacola MSA FL
Peoria-Pekin MSA IL
Philadelphia-Wilmington-Atlantic City CMSA PA-NJ DE-MD
Phoenix-Mesa MSA AZ
Pittsburgh MSA PA
Portland-Salem CMSA OR-WA
Providence-Fall River-Warwick MSA RI-MA
Raleigh-Durham-Chapel Hill MSA NC
Reading MSA PA
Richmond-Petersburg MSA VA
Rochester MSA NY
Rockford MSA IL
Sacramento-Yolo CMSA CA
Saginaw-Bay City-Midland MSA MI
St. Louis MSA MO-IL
Salinas MSA CA
Salt Lake City-Ogden MSA UT
San Antonio MSA TX
San Diego MSA CA
San Francisco-Oakland-San Jose CMSA CA
San Juan MSA PR
Santa Barbara-Santa Maria-Lompoc MSA CA
Scranton-Wilkes Barre-Hazleton MSA PA
Seattle-Tacoma-Bremerton CMSA WA
Shreveport-Bossier City MSA LA
Spokane MSA WA
Springfield MSA MA
Stockton-Lodi MSA CA
Syracuse MSA NY
Tampa-St. Petersburg-Clearwater MSA FL
Toledo MSA OH
Tucson MSA AZ
Tulsa MSA OK
Utica-Rome MSA NY
Washington-Baltimore CMSA DC-MD-VA-WV
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) that is 
an alternative fueled vehicle and that was not previously under the 
control of the State or State agency;

[[Page 591]]

    (b) The purchase or lease of an after-market converted light duty 
vehicle (regardless of model year of manufacture), that was not 
previously under control of the State or State agency;
    (c) The conversion of a newly purchased or leased light duty vehicle 
to operate on alternative fuels within four months after the vehicle is 
acquired for a State fleet; and
    (d) The application of alternative fueled vehicle credits allocated 
under subpart F of this part.

[61 FR 10653, Mar. 14, 1996, as amended at 79 FR 15903, Mar. 21, 2014]



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

[[Page 592]]

may announce in a Federal Register notice.
    (2) Any requests for modifications shall also be sent to the address 
in paragraph (g)(1) of this section.
    (h) MY 1997 Exemption. (1) On or after September 1, 1996, a State 
shall be deemed automatically exempt from section 490.201 (a)(1) until 
DOE makes a final determination on a timely application to approve a 
plan for model year 1997 under this section if the State:
    (i) Has submitted the application; or
    (ii) Has sent a written notice to the Assistant Secretary, at the 
address under paragraph (g)(1) of this section, that it will file such 
an application on or before March 14, 1997.
    (2) During the period of an automatic exemption under this 
paragraph, a State may procure light duty motor vehicles in accordance 
with its normal procurement policies.



Sec.  490.204  Process for granting exemptions.

    (a) To obtain an exemption, in whole or in part, from the vehicle 
acquisition mandate in section 490.201 of this part, a State shall 
submit to DOE a written request for exemption, along with supporting 
documentation which must demonstrate that--
    (1) Alternative fuels that meet the normal requirements and 
practices of the principal business of the State fleet are not available 
from fueling sites that would permit central fueling of fleet vehicles 
in the area in which the vehicles are to be operated; or
    (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 must be accompanied by supporting 
documentation, must be submitted no earlier than September 1 following 
the model year for which the exemption is sought and no later than 
January 31 following the model year for which the exemption is sought, 
and will only be considered following submission of the annual report 
under Sec.  490.205.
    (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) If DOE, in response to a request for exemption, seeks 
clarification or additional information from the State, such 
clarification or additional information must be submitted to DOE in 
accordance with paragraph (f) of this section within 30 days of DOE's 
inquiry. In the event a State does not

[[Page 593]]

comply with this timeframe, DOE will proceed under paragraph (h) of this 
section based on the documentation provided to date.
    (h) 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.
    (i) 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.

[61 FR 10653, Mar. 14, 1996, as amended at 79 FR 15903, Mar. 21, 2014]



Sec.  490.205  Reporting requirements.

    (a) Any State subject to the requirements of this subpart must file 
an annual report for each State fleet on or before the December 31 after 
the close of the model year, beginning with model year 1997. The State 
annual report may consist of a single State report or separately 
prepared State agency reports.
    (b) The report shall include the following information:
    (1) Number of new light duty motor vehicles acquired for the fleet 
by a State during the model year;
    (2) Number of new light duty alternative fueled vehicles that are 
required to be acquired during the model year;
    (3) Number of new light duty alternative fueled vehicle acquisitions 
by the State during the model year;
    (4) Number of alternative fueled vehicle credits applied towards 
acquisition requirements pursuant to Sec.  490.505;
    (5) For each new light duty alternative fueled vehicle acquisition--
    (i) Vehicle make and model;
    (ii) Model year;
    (iii) Vehicle identification number;
    (iv) An indication of whether the vehicle is a dedicated vehicle or 
a dual fueled vehicle;
    (v) Type(s) of alternative fuel on which the vehicle is capable of 
operating;
    (vi) Acquisition date; and
    (vii) If the annual report shows that the State fleet did not 
satisfy its alternative fueled vehicle acquisition mandate, an 
indication of whether the fleet intends to submit a request for 
exemption under Sec.  490.204; 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 banked alternative fueled vehicle credits are applied towards 
a State's alternative fueled vehicle acquisition requirements pursuant 
to Sec.  490.505, or if allocation of alternative fueled vehicle credits 
is sought under subpart F of this part, then a credit activity report, 
as described in Sec.  490.508, must be included with the annual report 
submitted under this section.
    (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.

[61 FR 10653, Mar. 14, 1996, as amended at 79 FR 15903, Mar. 21, 2014]



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.

[[Page 594]]



Sec.  490.301  Definitions.

    In addition to the definitions found in section 490.2, the following 
definitions apply to this subpart--
    Affiliate means a person that, directly or indirectly, controls, is 
controlled by, or is under common ownership or control of a person 
subject to vehicle acquisition requirements in this part.
    Alternative Fuels Business means activities undertaken to derive 
revenue from--
    (1) Producing, storing, refining, processing, transporting, 
distributing, importing, or selling at wholesale or retail any 
alternative fuel other than electricity; or
    (2) Generating, transmitting, importing, or selling at wholesale or 
retail electricity.
    Business Unit means a semi-autonomous major grouping of activities 
for administrative purposes and organizational structure within a 
business entity and that is controlled by or under control of a person 
subject to vehicle acquisition requirements in this part.
    Division means a major administrative unit of an enterprise 
comprising at least several enterprise units or constituting a complete 
integrated unit for a specific purpose and that is controlled by or 
under control of a person subject to vehicle acquisition requirements in 
this part.
    Normal Requirements and Practices means the operating business 
practices and required conditions under which the principal business of 
a person subject to vehicle acquisition requirements in this part 
operates.
    Principal Business means the sales-related activity that produces 
the greatest gross revenue.
    Substantial Portion means that at least 30 percent of the annual 
gross revenue of a covered person is derived from the sale of 
alternative fuels.
    Substantially Engaged means that a covered person, or affiliate, 
division, or other business unit thereof, regularly derives more than a 
negligible amount of sales-related gross revenue from an alternative 
fuels business.



Sec.  490.302  Vehicle acquisition mandate schedule.

    (a) Except as provided in section 490.304 of this part, of the light 
duty motor vehicles newly acquired by a covered person described in 
section 490.303 of this part, the following percentages shall be 
alternative fueled vehicles for the following model years:
    (1) 30 percent for model year 1997.
    (2) 50 percent for model year 1998.
    (3) 70 percent for model year 1999.
    (4) 90 percent for model year 2000 and thereafter.
    (b) Except as provided in section 490.304 of this part, this 
acquisition schedule applies to all light duty motor vehicles that a 
covered person newly acquires for use within the United States.
    (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 490.307.

[61 FR 10653, Mar. 14, 1996, as amended at 79 FR 15903, Mar. 21, 2014]



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,

[[Page 595]]

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) that is 
an alternative fueled vehicle and that was not previously under the 
control of the covered person;
    (b) The purchase or lease of an after-market converted light duty 
vehicle (regardless of the model year of manufacture), that was not 
previously under the control of the covered person; and
    (c) The conversion of a newly purchased or leased light duty vehicle 
to operate on alternative fuels within four months after the vehicle is 
acquired by a covered person; and
    (d) The application of alternative fueled vehicle credits allocated 
under subpart F of this part.

[61 FR 10653, Mar. 14, 1996, as amended at 79 FR 15903, Mar. 21, 2014]



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  Process for granting exemptions.

    (a)(1) 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.
    (2) Requests for exemption must be accompanied by supporting 
documentation, must be submitted no earlier than September 1 following 
the model year for which the exemption is sought and no later than 
January 31 following the model year for which the exemption is sought, 
and will only be considered following submission of the annual report 
under Sec.  490.308.
    (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

[[Page 596]]

of that person's vehicles in the area in which the vehicles are to be 
operated; or
    (2) Alternative fueled vehicles that meet the normal requirements 
and practices of the principal business of the covered person are not 
available for purchase or lease commercially on reasonable terms and 
conditions in any State included in a MSA/CMSA that the vehicles are 
operated in.
    (c) Documentation. (1) Except as provided in paragraph (c) (2) of 
this section, if a covered person is seeking an exemption under 
paragraph (b)(1) of this section, the types of documentation that are to 
accompany the request include, but are not limited to, maps of vehicle 
operation zones and maps of locations providing alternative fuel.
    (2) If a covered person seeking an exemption under paragraph (b)(1) 
of this section operates light duty vehicles outside of the areas listed 
in appendix A of subpart A, and central fueling of those vehicles does 
not meet the normal requirements and practices of that person's 
business, then that covered person shall only be required to justify in 
a written request why central fueling is incompatible with its business.
    (3) If a covered person is seeking an exemption under paragraph 
(b)(2) of this section, the types of documentation that are to accompany 
the request include, but are not limited to, alternative fueled vehicle 
purchase or lease requests, a listing of vehicles that meet the normal 
practices and requirements of the covered person and any other 
documentation that exhibits good faith efforts to acquire alternative 
fueled vehicles.
    (4) If DOE, in response to a request for exemption, seeks 
clarification or additional information from the covered person, such 
clarification or additional information must be submitted to DOE in 
accordance with paragraph (a) of this section within 30 days of DOE's 
inquiry. In the event a covered person does not comply with this 
timeframe, DOE will proceed under paragraph (f) of this section based on 
the documentation provided to date.
    (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 covered person'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.

[61 FR 10653, Mar. 14, 1996. Redesignated and amended at 79 FR 15904, 
Mar. 21, 2014]



Sec.  490.308  Annual reporting requirements.

    (a) If a person is required to comply with the vehicle acquisition 
schedule in section 490.302, 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;

[[Page 597]]

    (4) Number of alternative fueled vehicle credits applied towards 
acquisition requirements pursuant to Sec.  490.505;
    (5) For each new light duty alternative fueled vehicle acquisition--
    (i) Vehicle make and model;
    (ii) Model year;
    (iii) Vehicle Identification Number;
    (iv) An indication of whether the vehicle is a dedicated vehicle or 
a dual fueled vehicle;
    (v) Type(s) of alternative fuel on which the vehicle is capable of 
operating;
    (vi) Acquisition date; and
    (vii) If the annual report shows that the covered person did not 
satisfy its alternative fueled vehicle acquisition mandate, an 
indication of whether the covered person intends to submit a request for 
exemption under Sec.  490.307.
    (c) If banked alternative fueled vehicle credits are applied towards 
a covered person's alternative fueled vehicle acquisition requirements 
pursuant to Sec.  490.505, or if allocation of alternative fueled 
vehicle credits is sought under subpart F of this part, then a credit 
activity report, as described in Sec.  490.508, must be included with 
the annual report submitted under this section.
    (d) Records shall be maintained and retained for a period of three 
years.

[61 FR 10653, Mar. 14, 1996. Redesignated and amended at 79 FR 15904, 
Mar. 21, 2014]



Sec.  490.309  Violations.

    Violations of this subpart are subject to investigation and 
enforcement under subpart G of this part.

[61 FR 10653, Mar. 14, 1996. Redesignated at 79 FR 15904, Mar. 21, 2014]

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 that:
    (a) Acquire alternative fueled vehicles in excess of the number they 
are required to acquire under this part or obtain alternative fueled 
vehicles before the model year when they are required to do so under 
this part;
    (b) Acquire certain other vehicles as identified in this subpart; or
    (c) Invest in qualified alternative fuel infrastructure or non-road 
equipment or an emerging technology.

[79 FR 15904, Mar. 21, 2014]



Sec.  490.501  Definitions.

    In addition to the definitions found in Sec.  490.2, the following 
definitions apply to this subpart:
    Alternative Fuel Infrastructure means property that is for:
    (1) The storage and dispensing of an alternative fuel into the fuel 
tank of a motor vehicle propelled by such fuel; or
    (2) The recharging of motor vehicles or neighborhood electric 
vehicles propelled by electricity.
    Alternative Fuel Non-road Equipment means mobile, non-road equipment 
that operates on alternative fuel (including but not limited to 
forklifts, tractors, bulldozers, backhoes, front-end loaders, and 
rollers/compactors).
    Emerging Technology means a pre-production or pre-commercially 
available version of a fuel cell electric vehicle, hybrid electric 
vehicle, medium- or heavy-duty electric vehicle, medium- or heavy-duty 
fuel cell electric vehicle, neighborhood electric vehicle, or plug-in 
electric drive vehicle, as such vehicles are defined in this section.
    Fuel Cell Electric Vehicle means a motor vehicle or non-road vehicle 
that uses a fuel cell, as that term is defined in section 803 of the 
Spark M. Matsunaga Hydrogen Act of 2005 (42 U.S.C. 16152(1)).
    Hybrid Electric Vehicle means a new qualified hybrid motor vehicle 
as defined in section 30B(d)(3) of the Internal Revenue Code of 1986 (26 
U.S.C. 30B(d)(3)).
    Medium- or Heavy-Duty Electric Vehicle means an electric, hybrid 
electric, or plug-in hybrid electric vehicle with a gross vehicle weight 
rating of more than 8,500 pounds.
    Medium- or Heavy-Duty Fuel Cell Electric Vehicle means a fuel cell 
electric vehicle with a gross vehicle weight rating of more than 8,500 
pounds.

[[Page 598]]

    Neighborhood Electric Vehicle means a 4-wheeled on-road or non-road 
vehicle that--
    (1) Has a top attainable speed in 1 mile of more than 20 mph and not 
more than 25 mph on a paved level surface; and
    (2) Is propelled by an electric motor and an on-board, rechargeable 
energy storage system that is rechargeable using an off-board source of 
electricity.
    Plug-in Electric Drive Vehicle means a vehicle that--
    (1) Draws motive power from a battery with a capacity of at least 4 
kilowatt-hours;
    (2) Can be recharged from an external source of electricity for 
motive power;
    (3) Is a light-, medium-, or heavy-duty motor vehicle or non-road 
vehicle, as those terms are defined in section 216 of the Clean Air Act 
(42 U.S.C. 7550); and
    (4) In the case of a plug-in hybrid electric vehicle, also includes 
an on-board method of charging the energy storage system and/or 
providing motive power.

[79 FR 15904, Mar. 21, 2014]



Sec.  490.502  Applicability.

    This subpart applies to all fleets and covered persons that are 
required to acquire alternative fueled vehicles by this part.

[79 FR 15904, Mar. 21, 2014]



Sec.  490.503  Creditable actions.

    A fleet or covered person becomes entitled to alternative fueled 
vehicle credits, at the allocation levels specified in Sec.  490.504, 
by:
    (a)(1) Acquiring light duty alternative fueled vehicles, including 
those in excluded categories under Sec.  490.3, in excess of the number 
of light duty alternative fueled vehicles that the fleet or covered 
person is required to acquire under Sec.  490.201 or Sec.  490.302;
    (2) Acquiring alternative fueled vehicles, including those in 
excluded categories under Sec.  490.3, with a gross vehicle weight 
rating of more than 8,500 pounds, in excess of the number of light duty 
alternative fueled vehicles that the fleet or covered person is required 
to acquire under Sec.  490.201 or Sec.  490.302;
    (3) Acquiring in model year 2014 or in any model year thereafter, 
any of the following vehicles in excess of the number of light duty 
alternative fueled vehicles that the fleet or covered person is required 
to acquire under Sec.  490.201 or Sec.  490.302:
    (i) Medium- or heavy-duty fuel cell electric vehicles that are not 
alternative fueled vehicles; or
    (ii) Medium- or heavy-duty electric vehicles that are not 
alternative fueled vehicles;
    (b) Acquiring alternative fueled vehicles, including those in 
excluded categories under Sec.  490.3 and those with a gross vehicle 
weight rating of more than 8,500 pounds, in model years before the model 
year when that fleet or covered person is first required to acquire 
light duty alternative fueled vehicles under Sec.  490.201 or Sec.  
490.302;
    (c) Investing, during a model year that is model year 2014 or 
thereafter and is also a model year in which requirements under this 
part apply to the fleet or covered person, at least $25,000 in 
alternative fuel infrastructure or alternative fuel non-road equipment, 
or at least $50,000 in an emerging technology, provided that:
    (1) The emerging technology, alternative fuel infrastructure, or 
alternative fuel non-road equipment is put into operation during the 
year in which the fleet or covered person has applied for credits;
    (2) In the case of an emerging technology, the amount invested by 
the fleet or covered person is not the basis for credit under paragraphs 
(a), (b), or (d) of this section; and
    (3) In the case of alternative fuel non-road equipment, the 
equipment is being operated on alternative fuel, within the constraints 
of best practices and seasonal fuel availability; or
    (d) Acquiring, during a model year that is model year 2014 or 
thereafter and is also a model year in which requirements under this 
part apply to the fleet or covered person, any of the following 
vehicles, including those in excluded categories under Sec.  490.3:
    (1) A hybrid electric vehicle that is a light duty motor vehicle, 
but that is not an alternative fueled vehicle;
    (2) A plug-in electric drive vehicle that is a light duty motor 
vehicle, but

[[Page 599]]

that is not an alternative fueled vehicle;
    (3) A fuel cell electric vehicle that is a light duty motor vehicle, 
but that is not an alternative fueled vehicle; or
    (4) A neighborhood electric vehicle.
    (e) 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 Sec. Sec.  490.202(c) and 490.305(c).

[79 FR 15905, Mar. 21, 2014]



Sec.  490.504  Credit allocation.

    (a) Based on annual credit activity report information, as described 
in Sec.  490.508, DOE shall allocate:
    (1) One alternative fueled vehicle credit for each alternative 
fueled vehicle, regardless of the vehicle's gross vehicle weight rating, 
that a fleet or covered person acquires in excess of the number of light 
duty alternative fueled vehicles that the fleet or covered person is 
required to acquire under Sec.  490.201 or Sec.  490.302; and
    (2) One-half of an alternative fueled vehicle credit for each 
medium- or heavy-duty fuel cell electric vehicle that is not an 
alternative fueled vehicle and each medium- or heavy-duty electric 
vehicle that is not an alternative fueled vehicle, either or both of 
which a fleet or covered person acquires in excess of the number of 
light duty alternative fueled vehicles that the fleet or covered person 
is required to acquire under Sec.  490.201 or Sec.  490.302.
    (b) If an alternative fueled vehicle, regardless of the vehicle's 
gross vehicle weight rating, is acquired by a fleet or covered person in 
a model year before the first model year that the fleet or covered 
person is required to acquire light duty 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.
    (d) Based on annual credit activity report information, as described 
in Sec.  490.508, DOE shall allocate alternative fueled vehicle credit 
in the amount set forth below for the associated creditable actions that 
a fleet or covered person undertakes as described in Sec.  490.503(d):
    (1) A hybrid electric vehicle that is a light duty motor vehicle, 
but that is not an alternative fueled vehicle--\1/2\ credit;
    (2) A plug-in electric drive vehicle that is a light duty motor 
vehicle, but that is not an alternative fueled vehicle--\1/2\ credit;
    (3) A fuel cell electric vehicle that is a light duty motor vehicle, 
but that is not an alternative fueled vehicle--\1/2\ credit; and
    (4) A neighborhood electric vehicle--\1/4\ credit.
    (e) Based on annual credit activity report information, as described 
in Sec.  490.508, DOE shall allocate one alternative fueled vehicle 
credit for every $25,000 that a fleet or covered person invests, as 
described in Sec.  490.503(c), in:
    (1) Alternative fuel infrastructure that is:
    (i) Publicly accessible, provided that the maximum number of credits 
under this paragraph shall not exceed ten for the model year and the 
alternative fuel infrastructure became operational in the same model 
year, and provided further that the total number of credits allocated 
under this paragraph (e)(1)(i) and paragraph (e)(1)(ii) of this section 
do not exceed ten in a given model year; or
    (ii) Not publicly accessible, provided that the maximum number of 
credits under this paragraph shall not exceed five for the model year 
and the alternative fuel infrastructure became operational in the same 
model year, and provided further that the total number of credits 
allocated under this paragraph (e)(1)(ii) and paragraph (e)(1)(i) of 
this section do not exceed ten in a given model year; or
    (2) Alternative fuel non-road equipment, provided that the maximum 
number of credits under this paragraph (e)(2) shall not exceed five for 
the model year, and provided further that

[[Page 600]]

the equipment is being operated on alternative fuel.
    (f) Based on annual credit activity report information, as described 
in Sec.  490.508 of this subpart, DOE shall allocate two alternative 
fueled vehicle credits for the first $50,000, and one alternative fueled 
vehicle credit for every $25,000 thereafter, that a fleet or covered 
person invests, as described in Sec.  490.503(c), in emerging 
technology, provided that the maximum number of credits under this 
paragraph (f) shall not exceed five for the model year, and provided 
further that the amount for which credit is allocated under this 
paragraph has not been the basis for credit allocation under paragraphs 
(a), (b), or (d) of this section.
    (g) A fleet or covered person may aggregate the amount of money 
invested in alternative fuel infrastructure, alternative fuel non-road 
equipment, and emerging technology such that funds from multiple 
categories may be used to achieve the applicable threshold for the 
purpose of earning an alternative fueled vehicle credit, so long as no 
funds are aggregated from a category for which the fleet has already 
been allocated the maximum number of credits allowed for that category, 
as set forth in paragraphs (e) and (f) of this section.

[79 FR 15905, Mar. 21, 2014]



Sec.  490.505  Use of alternative fueled vehicle credits.

    At the request of a fleet or covered person in an annual report 
under subpart C or D of this part, DOE shall treat each banked 
alternative fueled vehicle credit as the acquisition of an alternative 
fueled vehicle that the fleet or covered person is required to acquire 
under this part. Each full credit shall count as the acquisition of one 
alternative fueled vehicle in the model year for which the fleet or 
covered person requests that the credit be applied.

[79 FR 15906, Mar. 21, 2014]



Sec.  490.506  Credit accounts.

    (a) DOE shall establish a credit account for each fleet or covered 
person that 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 Sec.  490.508.

[79 FR 15906, Mar. 21, 2014]



Sec.  490.507  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 at the Office of Energy Efficiency and 
Renewable Energy, U.S. Department of Energy, EE-2G, 1000 Independence 
Avenue SW, Washington, DC 20585-0121, or such other address as DOE 
publishes on its Web site or in the Federal Register.

[79 FR 15906, Mar. 21, 2014]



Sec.  490.508  Credit activity reporting requirements.

    (a) A fleet or covered person that either applied one or more banked 
credits towards its alternative fueled vehicle acquisition requirements 
pursuant to Sec.  490.505, seeks the allocation of alternative fueled 
vehicle credits under this subpart, or participated in a credit transfer 
under Sec.  490.507 must include a credit activity report with its 
annual report submitted under subpart C or D of this part.
    (b) The credit activity report must include the following 
information:
    (1) Number of alternative fueled vehicle credits applied towards 
acquisition requirements pursuant to Sec.  490.505;
    (2) Number of alternative fueled vehicle credits requested for:

[[Page 601]]

    (i) Light duty alternative fueled vehicles acquired in excess of the 
required acquisition number;
    (ii) Alternative fueled vehicles with a gross vehicle weight rating 
of more than 8,500 pounds acquired in excess of the required acquisition 
number;
    (iii) Medium- or heavy-duty fuel cell electric vehicles that are not 
alternative fueled vehicles, acquired in excess of the required 
acquisition number;
    (iv) Medium- or heavy-duty electric vehicles that are not 
alternative fueled vehicles, acquired in excess of the required 
acquisition number;
    (v) Light duty alternative fueled vehicles acquired in model years 
before the first model year the fleet or covered person is required to 
acquire light duty alternative fueled vehicles by this part;
    (vi) Alternative fueled vehicles with a gross vehicle weight rating 
of more than 8,500 pounds acquired in model years before the first model 
year the fleet or covered person is required to acquire light duty 
alternative fueled vehicles by this part;
    (vii) The acquisition of light duty hybrid electric vehicles that 
are not alternative fueled vehicles;
    (viii) The acquisition of light duty plug-in electric drive vehicles 
that are not alternative fueled vehicles;
    (ix) The acquisition of light duty fuel cell electric vehicles that 
are not alternative fueled vehicles; and
    (x) The acquisition of neighborhood electric vehicles.
    (3) Number of alternative fueled vehicle credits, in whole number 
values, requested for each of the following:
    (i) Investment in alternative fuel infrastructure;
    (ii) Investment in alternative fuel non-road equipment; and
    (iii) Investment in an emerging technology.
    (4) For each vehicle that is not an alternative fueled vehicle and 
for which credit is requested under paragraphs (b)(2)(iii), (iv), (vii), 
(viii), (ix), or (x) of this section:
    (i) Vehicle make and model;
    (ii) Model year;
    (iii) Vehicle Identification Number; and
    (iv) Acquisition date.
    (5) For investment in alternative fuel infrastructure, supporting 
documentation and a written statement, certified by a responsible 
official of the fleet or covered person, indicating or providing:
    (i) The model year or period in which the investment was made;
    (ii) The amount of money invested by the fleet or covered person and 
to whom the money was provided;
    (iii) The physical location(s) (address and zip code) and a detailed 
description of the alternative fuel infrastructure, including the name 
and address of the construction/installation company (where 
appropriate), whether the infrastructure is publicly accessible, and the 
type(s) of alternative fuel offered; and
    (iv) The date on which the alternative fuel infrastructure became 
operational.
    (6) For investment in alternative fuel non-road equipment, 
supporting documentation and a written statement, certified by a 
responsible official of the fleet or covered person, indicating or 
providing:
    (i) The model year or period in which the investment was made;
    (ii) The amount of money invested by the fleet or covered person and 
to whom the money was provided; and
    (iii) A detailed description of the alternative fuel non-road 
equipment, including the name and address of the manufacturer, the 
type(s) of alternative fuel on which the equipment is capable of being 
operated, a certification that the equipment is being operated on that 
alternative fuel, the date on which the fleet or covered person 
purchased the equipment, and the date on which it was put into 
operation.
    (7) For investment in an emerging technology, supporting 
documentation and a written statement, certified by a responsible 
official of the fleet or covered person, indicating or providing:
    (i) The model year or period in which the investment was made;
    (ii) The amount of money invested by the fleet or covered person and 
to whom the money was provided;
    (iii) A certification that the emerging technology's acquisition is 
not included as a new light duty alternative

[[Page 602]]

fueled vehicle acquisition in the fleet or covered person's annual 
report;
    (iv) A certification that the emerging technology's acquisition is 
not included in paragraph (b)(2) of this section and the amount invested 
is not included in the amounts submitted under paragraph (b)(5)(ii) or 
(b)(6)(ii) of this section; and
    (v) A detailed description of the emerging technology, including the 
name and address of the manufacturer, the date on which the fleet or 
covered person purchased the emerging technology, and the date on which 
it was put it into operation.
    (8) The total number of alternative fueled vehicle credits requested 
by the fleet or covered person, calculated by adding the two subtotals 
under paragraphs (b)(2) and (b)(3) of this section and then rounding the 
aggregate figure to the nearest whole number; in rounding to the nearest 
whole number, any fraction equal to or greater than one half shall be 
rounded up and any fraction less than one half shall be rounded down.
    (9) Purchases of alternative fueled vehicle credits:
    (i) Credit source; and
    (ii) Date of purchase;
    (10) Sales of alternative fueled vehicle credits:
    (i) Credit purchaser; and
    (ii) Date of sale.

[79 FR 15906, Mar. 21, 2014]



                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 subpoena 
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 shall be subject 
to a civil penalty of not more than $11,128 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; 
74 FR 66032, Dec. 14, 2009; 79 FR 19, Jan. 2, 2014; 81 FR 41794, June 
28, 2016; 81 FR 96351, Dec. 30, 2016; 83 FR 1291, Jan. 11, 2018; 83 FR 
66083, Dec. 26, 2018; 85 FR 830, Jan. 8, 2020; 86 FR 2956, Jan. 14, 
2021; 87 FR 1064, Jan. 10, 2022; 88 FR 2193, Jan. 13, 2023; 89 FR 1028, 
Jan. 9, 2024; 89 FR 105406, Dec. 27, 2024]

[[Page 603]]



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 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;

[[Page 604]]

    (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.



Sec.  490.708  Violations.

    Violations of this subpart are subject to investigation and 
enforcement under subpart G of this part.

[[Page 605]]



                    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) Upon approval by 
DOE, petroleum fuel use reductions achieved by a fleet in excess of the 
amount required for alternative compliance in a previous model year may 
be applied towards the petroleum fuel use reduction requirement under 
Sec.  490.803(a) in a model year for which a waiver is granted and for 
which the fleet experiences a shortfall.
    (2)(i) A fleet seeking to roll over for future use the petroleum 
fuel use reductions that it achieved in excess of the amount required 
for alternative compliance in a particular model year must make a 
written request to DOE as part of the fleet's annual report required 
under Sec.  490.807 for the model year in which the excess reductions 
were achieved.
    (ii) Following receipt of a request under paragraph (c)(2)(i) of 
this section, DOE will notify the requesting fleet of the amount of 
excess petroleum

[[Page 606]]

fuel use reductions that DOE has approved for rollover and potential 
application towards the petroleum fuel use reduction requirement in a 
future model year.
    (iii) A fleet seeking to apply excess petroleum fuel use reductions 
rolled over pursuant to paragraph (c)(2)(ii) of this section in a model 
year for which a waiver is granted and for which the fleet experiences a 
shortfall in achieving the petroleum fuel use reduction requirement 
under Sec.  490.803(a) must make a written request to DOE as part of the 
fleet's annual report required under Sec.  490.807. The written request 
must specify the amount of the rollover reductions (in GGE) the fleet 
wishes to have applied and the total balance of rollover reductions (in 
GGE) the fleet possesses.
    (3)(i) In considering a written request to apply rollover reductions 
under paragraph (c)(2)(iii) of this section, DOE may seek from the fleet 
additional information about the fleet and its operations.
    (ii) Upon approving a request to apply rollover reductions, DOE will 
apply the approved rollover reductions only to the extent that other 
reductions in petroleum consumption through any of the means set forth 
in paragraphs (a) and (b) of this section were not reasonably 
achievable.
    (4) 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.

[72 FR 12964, Mar. 20, 2007, as amended at 79 FR 15907, Mar. 21, 2014]



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) A complete waiver application must be received by DOE no later 
than July 31 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;

[[Page 607]]

    (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 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.

[72 FR 12964, Mar. 20, 2007, as amended at 79 FR 15907, Mar. 21, 2014]



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.

[[Page 608]]

    (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 granted, to acquire the 
number of credits required for compliance with this subpart.



Sec.  490.809  Violations.

    If a State or covered person that received 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 and 
may impose on the State or covered person a penalty under subpart G of 
this part. A State or covered person whose waiver has been revoked by 
DOE is precluded from requesting an exemption under Sec.  490.204 or 
Sec.  490.307 from the vehicle acquisition mandate for the model year of 
the revoked waiver.

[79 FR 15907, Mar. 21, 2014]



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 609]]



                              FINDING AIDS




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  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 611]]



                    Table of CFR Titles and Chapters




                     (Revised as of January 1, 2025)

                      Title 1--General Provisions

         I  Administrative Committee of the Federal Register 
                (Parts 1--49)
        II  Office of the Federal Register (Parts 50--299)
       III  Administrative Conference of the United States (Parts 
                300--399)
        IV  Miscellaneous Agencies (Parts 400--599)
        VI  National Capital Planning Commission (Parts 600--699)

                 Title 2--Federal Financial Assistance

            Subtitle A--Office of Management and Budget Guidance 
                for Federal Financial Assistance
         I  Office of Management and Budget Governmentwide 
                Guidance for Grants and Agreements (Parts 2--199)
        II  Office of Management and Budget Guidance (Parts 200--
                299)
            Subtitle B--Federal Agency Regulations for Grants and 
                Agreements
       III  Department of Health and Human Services (Parts 300--
                399)
        IV  Department of Agriculture (Parts 400--499)
        VI  Department of State (Parts 600--699)
       VII  Agency for International Development (Parts 700--799)
      VIII  Department of Veterans Affairs (Parts 800--899)
        IX  Department of Energy (Parts 900--999)
         X  Department of the Treasury (Parts 1000--1099)
        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)
       XVI  U.S. International Development Finance Corporation 
                (Parts 1600--1699)
     XVIII  National Aeronautics and Space Administration (Parts 
                1800--1899)
       XIX  U.S. Agency for Global Media (Parts 1900--1999)
        XX  United States Nuclear Regulatory Commission (Parts 
                2000--2099)
      XXII  Corporation for National and Community Service (Parts 
                2200--2299)
     XXIII  Social Security Administration (Parts 2300--2399)

[[Page 612]]

      XXIV  Department of 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)
      XXIX  Department of Labor (Parts 2900--2999)
       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)
     XXXIV  Department of Education (Parts 3400--3499)
      XXXV  Export-Import Bank of the United States (Parts 3500--
                3599)
     XXXVI  Office of National Drug Control Policy, Executive 
                Office of the President (Parts 3600--3699)
    XXXVII  Peace Corps (Parts 3700--3799)
     LVIII  Election Assistance Commission (Parts 5800--5899)
       LIX  Gulf Coast Ecosystem Restoration Council (Parts 5900--
                5999)
        LX  Federal Communications Commission (Parts 6000--6099)

                        Title 3--The President

         I  Executive Office of the President (Parts 100--199)

                           Title 4--Accounts

         I  Government Accountability Office (Parts 1--199)

                   Title 5--Administrative Personnel

         I  Office of Personnel Management (Parts 1--1199)
        II  Merit Systems Protection Board (Parts 1200--1299)
       III  Office of Management and Budget (Parts 1300--1399)
        IV  Office of Personnel Management and Office of the 
                Director of National Intelligence (Parts 1400--
                1499)
         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)
       XVI  Office of Government Ethics (Parts 2600--2699)
       XXI  Department of the Treasury (Parts 3100--3199)
      XXII  Federal Deposit Insurance Corporation (Parts 3200--
                3299)

[[Page 613]]

     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  U.S. International Development Finance Corporation 
                (Parts 4300--4399)
     XXXIV  Securities and Exchange Commission (Parts 4400--4499)
      XXXV  Office of Personnel Management (Parts 4500--4599)
     XXXVI  Department of Homeland Security (Parts 4600--4699)
    XXXVII  Federal Election Commission (Parts 4700--4799)
        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)
       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)
      XLIX  Federal Labor Relations Authority (Parts 5900--5999)
         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)

[[Page 614]]

       LXX  Court Services and Offender Supervision Agency for the 
                District of Columbia (Parts 8000--8099)
      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)
      LXXX  Federal Housing Finance Agency (Parts 9000--9099)
   LXXXIII  Special Inspector General for Afghanistan 
                Reconstruction (Parts 9300--9399)
    LXXXIV  Bureau of Consumer Financial Protection (Parts 9400--
                9499)
    LXXXVI  National Credit Union Administration (Parts 9600--
                9699)
     XCVII  Department of Homeland Security Human Resources 
                Management System (Department of Homeland 
                Security--Office of Personnel Management) (Parts 
                9700--9799)
    XCVIII  Council of the Inspectors General on Integrity and 
                Efficiency (Parts 9800--9899)
      XCIX  Military Compensation and Retirement Modernization 
                Commission (Parts 9900--9999)
         C  National Council on Disability (Parts 10000--10049)
        CI  National Mediation Board (Parts 10100--10199)
       CII  U.S. Office of Special Counsel (Parts 10200--10299)
      CIII  U.S. Office of Federal Mediation and Conciliation 
                Service (Parts 10300--10399)
       CIV  Office of the Intellectual Property Enforcement 
                Coordinator (Part 10400--10499)

                      Title 6--Domestic Security

         I  Department of Homeland Security, Office of the 
                Secretary (Parts 1--199)
         X  Privacy and Civil Liberties Oversight Board (Parts 
                1000--1099)

                         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)

[[Page 615]]

        VI  Natural Resources Conservation Service, Department of 
                Agriculture (Parts 600--699)
       VII  Farm Service Agency, Department of Agriculture (Parts 
                700--799)
      VIII  Agricultural Marketing Service (Federal Grain 
                Inspection Service, Fair Trade Practices Program), 
                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  [Reserved]
      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  [Reserved]
       XXV  Office of Advocacy and Outreach, Department of 
                Agriculture (Parts 2500--2599)
      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)
      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  National Institute of Food and Agriculture (Parts 
                3400--3499)
      XXXV  Rural Housing Service, Department of Agriculture 
                (Parts 3500--3599)
     XXXVI  National Agricultural Statistics Service, Department 
                of Agriculture (Parts 3600--3699)

[[Page 616]]

    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, Department of 
                Agriculture (Parts 4200--4299)
         L  Rural Business-Cooperative Service, Rural Housing 
                Service, and Rural Utilities Service, Department 
                of Agriculture (Parts 5000--5099)

                    Title 8--Aliens and Nationality

         I  Department of Homeland Security (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  Agricultural Marketing Service (Fair Trade Practices 
                Program), 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 1300--
                1399)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)
     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)

[[Page 617]]

        IV  Export-Import Bank of the United States (Parts 400--
                499)
         V  (Parts 500--599) [Reserved]
        VI  Farm Credit Administration (Parts 600--699)
       VII  National Credit Union Administration (Parts 700--799)
      VIII  Federal Financing Bank (Parts 800--899)
        IX  (Parts 900--999)[Reserved]
         X  Consumer Financial Protection Bureau (Parts 1000--
                1099)
        XI  Federal Financial Institutions Examination Council 
                (Parts 1100--1199)
       XII  Federal Housing Finance Agency (Parts 1200--1299)
      XIII  Financial Stability Oversight Council (Parts 1300--
                1399)
       XIV  Farm Credit System Insurance Corporation (Parts 1400--
                1499)
        XV  Department of the Treasury (Parts 1500--1599)
       XVI  Office of Financial Research, Department of the 
                Treasury (Parts 1600--1699)
      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--1199)
         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)

[[Page 618]]

        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  National Technical Information Service, Department of 
                Commerce (Parts 1100--1199)
      XIII  East-West Foreign Trade Board (Parts 1300--1399)
       XIV  Minority Business Development Agency (Parts 1400--
                1499)
        XV  Office of the Under-Secretary for Economic Affairs, 
                Department of Commerce (Parts 1500--1599)
            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) [Reserved]

                    Title 16--Commercial Practices

         I  Federal Trade Commission (Parts 0--999)
        II  Consumer Product Safety Commission (Parts 1000--1799)

             Title 17--Commodity and Securities Exchanges

         I  Commodity Futures Trading Commission (Parts 1--199)
        II  Securities and Exchange Commission (Parts 200--399)
        IV  Department of the Treasury (Parts 400--499)

          Title 18--Conservation of Power and Water Resources

         I  Federal Energy Regulatory Commission, Department of 
                Energy (Parts 1--399)
       III  Delaware River Basin Commission (Parts 400--499)
        VI  Water Resources Council (Parts 700--799)
      VIII  Susquehanna River Basin Commission (Parts 800--899)
      XIII  Tennessee Valley Authority (Parts 1300--1399)

[[Page 619]]

                       Title 19--Customs Duties

         I  U.S. 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  U.S. Immigration and Customs Enforcement, Department 
                of Homeland Security (Parts 400--599) [Reserved]

                     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  Office of Workers' Compensation Programs, 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)
        IV  International Joint Commission, United States and 
                Canada (Parts 400--499)
         V  United States Agency for Global Media (Parts 500--599)
       VII  U.S. International Development Finance 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)

[[Page 620]]

       XII  United States International Development Cooperation 
                Agency (Parts 1200--1299)
      XIII  Millennium 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 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 200--299)
       III  Government National Mortgage Association, Department 
                of Housing and Urban Development (Parts 300--399)
        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)
        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)

[[Page 621]]

      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) 
                [Reserved]
       XII  Office of Inspector General, Department of Housing and 
                Urban Development (Parts 2000--2099)
        XV  Emergency Mortgage Insurance and Loan Programs, 
                Department of Housing and Urban Development (Parts 
                2700--2799) [Reserved]
        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) [Reserved]
       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--899)
         V  Bureau of Indian Affairs, Department of the Interior, 
                and Indian Health Service, Department of Health 
                and Human Services (Part 900--999)
        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--End)

           Title 27--Alcohol, Tobacco Products and Firearms

         I  Alcohol and Tobacco Tax and Trade Bureau, Department 
                of the Treasury (Parts 1--399)

[[Page 622]]

        II  Bureau of Alcohol, Tobacco, Firearms, and Explosives, 
                Department of Justice (Parts 400--799)

                   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 623]]

                      Title 30--Mineral Resources

         I  Mine Safety and Health Administration, Department of 
                Labor (Parts 1--199)
        II  Bureau of Safety and Environmental Enforcement, 
                Department of the Interior (Parts 200--299)
        IV  Geological Survey, Department of the Interior (Parts 
                400--499)
         V  Bureau of Ocean Energy Management, Department of the 
                Interior (Parts 500--599)
       VII  Office of Surface Mining Reclamation and Enforcement, 
                Department of the Interior (Parts 700--999)
       XII  Office of Natural Resources Revenue, Department of the 
                Interior (Parts 1200--1299)

                 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 Investment Security, Department of the 
                Treasury (Parts 800--899)
        IX  Federal Claims Collection Standards (Department of the 
                Treasury--Department of Justice) (Parts 900--999)
         X  Financial Crimes Enforcement Network, Department of 
                the Treasury (Parts 1000--1099)

                      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  Department of Defense, 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)

[[Page 624]]

        XX  Information Security Oversight Office, National 
                Archives and Records Administration (Parts 2000--
                2099)
       XXI  National Security Council (Parts 2100--2199)
      XXIV  Office of Science and Technology Policy (Parts 2400--
                2499)
     XXVII  Office for Micronesian Status Negotiations (Parts 
                2700--2799)
    XXVIII  Office of the Vice President of the United States 
                (Parts 2800--2899)

               Title 33--Navigation and Navigable Waters

         I  Coast Guard, Department of Homeland Security (Parts 
                1--199)
        II  Corps of Engineers, Department of the Army, Department 
                of Defense (Parts 200--399)
        IV  Great Lakes St. 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 Career, Technical, and Adult Education, 
                Department of Education (Parts 400--499)
         V  Office of Bilingual Education and Minority [Reserved]
        VI  Office of Postsecondary Education, Department of 
                Education (Parts 600--699)
       VII  Office of Educational Research and Improvement, 
                Department of Education (Parts 700--799) 
                [Reserved]
            Subtitle C--Regulations Relating to Education
        XI  [Reserved]
       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]

[[Page 625]]

       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)
        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  U.S. Copyright Office, Library of Congress (Parts 
                200--299)
       III  Copyright Royalty Board, Library of Congress (Parts 
                300--399)
        IV  National Institute of Standards and Technology, 
                Department of Commerce (Parts 400--599)

           Title 38--Pensions, Bonuses, and Veterans' Relief

         I  Department of Veterans Affairs (Parts 0--199)
        II  Armed Forces Retirement Home (Parts 200--299)

                       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)
      VIII  Gulf Coast Ecosystem Restoration Council (Parts 1800--
                1899)
        IX  Federal Permitting Improvement Steering Council (Part 
                1900)

          Title 41--Public Contracts and Property Management

            Subtitle A--Federal Procurement Regulations System 
                [Note]

[[Page 626]]

            Subtitle B--Other Provisions Relating to Public 
                Contracts
        50  Public Contracts, Department of Labor (Parts 50-1--50-
                999)
        51  Committee for Purchase From People Who Are Blind or 
                Severely Disabled (Parts 51-1--51-99)
        60  Office of Federal Contract Compliance Programs, Equal 
                Employment Opportunity, Department of Labor (Parts 
                60-1--60-999)
        61  Office of the Assistant Secretary for Veterans' 
                Employment and Training Service, Department of 
                Labor (Parts 61-1--61-999)
   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)
  103--104  (Parts 103-001--104-099) [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)
  129--200  [Reserved]
            Subtitle D--Federal Acquisition Supply Chain Security
       201  Federal Acquisition Security Council (Parts 201-1--
                201-99)
            Subtitle E [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)
   II--III  [Reserved]
        IV  Centers for Medicare & Medicaid Services, Department 
                of Health and Human Services (Parts 400--699)
         V  Office of Inspector General-Health Care, Department of 
                Health and Human Services (Parts 1000--1099)

                   Title 43--Public Lands: Interior

            Subtitle A--Office of the Secretary of the Interior 
                (Parts 1--199)

[[Page 627]]

            Subtitle B--Regulations Relating to Public Lands
         I  Bureau of Reclamation, Department of the Interior 
                (Parts 400--999)
        II  Bureau of Land Management, Department of the Interior 
                (Parts 1000--9999)
       III  Utah Reclamation Mitigation and Conservation 
                Commission (Parts 10000--10099)

             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 Services, Administration of 
                Families and Services, 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)
        IX  Denali Commission (Parts 900--999)
         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  Administration for Children and Families, 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 of Fine Arts (Parts 2100--2199)

[[Page 628]]

     XXIII  Arctic Research Commission (Parts 2300--2399)
      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)
       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)
         V  The First Responder Network Authority (Parts 500--599)

           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)

[[Page 629]]

        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)
        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) [Reserved]
        52  Department of the Navy Acquisition Regulations (Parts 
                5200--5299)
        53  Department of the Air Force Federal Acquisition 
                Regulation Supplement (Parts 5300--5399) 
                [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)
        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)

[[Page 630]]

      VIII  National Transportation Safety Board (Parts 800--999)
         X  Surface Transportation Board (Parts 1000--1399)
        XI  Research and Innovative Technology Administration, 
                Department of Transportation (Parts 1400--1499) 
                [Reserved]
       XII  Transportation Security Administration, Department of 
                Homeland Security (Parts 1500--1699)

                   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)

[[Page 631]]





           Alphabetical List of Agencies Appearing in the CFR




                     (Revised as of January 1, 2025)

                                                  CFR Title, Subtitle or 
                     Agency                               Chapter

Administrative Conference of the United States    1, III
Advisory Council on Historic Preservation         36, VIII
Advocacy and Outreach, Office of                  7, XXV
Afghanistan Reconstruction, Special Inspector     5, LXXXIII
     General for
African Development Foundation                    22, XV
  Federal Acquisition Regulation                  48, 57
Agency for International Development              2, VII; 22, II
  Federal Acquisition Regulation                  48, 7
Agricultural Marketing Service                    7, I, VIII, IX, X, XI; 9, 
                                                  II
Agricultural Research Service                     7, V
Agriculture, Department of                        2, IV; 5, LXXIII
  Advocacy and Outreach, Office of                7, XXV
  Agricultural Marketing Service                  7, I, VIII, IX, X, XI; 9, 
                                                  II
  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
  Economic Research Service                       7, XXXVII
  Energy Policy and New Uses, 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
  Information Resources Management, Office of     7, XXVII
  Inspector General, Office of                    7, XXVI
  National Agricultural Library                   7, XLI
  National Agricultural Statistics Service        7, XXXVI
  National Institute of Food and Agriculture      7, XXXIV
  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
  Rural Development Administration                7, XLII
  Rural Housing Service                           7, XVIII, XXXV
  Rural Utilities Service                         7, XVII, XVIII, XLII
  Secretary of Agriculture, Office of             7, Subtitle A
  Transportation, Office of                       7, XXXIII
  World Agricultural Outlook Board                7, XXXVIII
Air Force, Department of                          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
Architectural and Transportation Barriers         36, XI
   Compliance Board
[[Page 632]]

Arctic Research Commission                        45, XXIII
Armed Forces Retirement Home                      5, XI; 38, II
Army, Department of                               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
  Federal Acquisition Regulation                  48, 19
Career, Technical, and Adult Education, Office    34, IV
     of
Census Bureau                                     15, I
Centers for Medicare & Medicaid Services          42, IV
Central Intelligence Agency                       32, XIX
Chemical Safety and Hazard Investigation Board    40, VI
Chief Financial Officer, Office of                7, XXX
Child Support Services, Office of                 45, III
Children and Families, Administration for         45, II, IV, X, XIII
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 of                           2, XIII; 44, IV; 50, VI
  Census Bureau                                   15, I
  Economic Affairs, Office of the Under-          15, XV
       Secretary for
  Economic Analysis, Bureau of                    15, VIII
  Economic Development Administration             13, III
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 13
  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; 37, IV
  National Marine Fisheries Service               50, II, IV
  National Oceanic and Atmospheric                15, IX; 50, II, III, IV, 
       Administration                             VI
  National Technical Information Service          15, XI
  National Telecommunications and Information     15, XXIII; 47, III, IV
       Administration
  National Weather Service                        15, IX
  Patent and Trademark Office, United States      37, I
  Secretary of Commerce, Office of                15, Subtitle A
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 Financial Protection Bureau              5, LXXXIV; 12, X
Consumer Product Safety Commission                5, LXXI; 16, 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
Council of the Inspectors General on Integrity    5, XCVIII
     and Efficiency
Court Services and Offender Supervision Agency    5, LXX; 28, VIII
     for the District of Columbia
Customs and Border Protection                     19, I
Defense, Department of                            2, XI; 5, XXVI; 32, 
                                                  Subtitle A; 40, VII
  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

[[Page 633]]

  Defense Intelligence Agency                     32, I
  Defense Logistics Agency                        32, I, XII; 48, 54
  Engineers, Corps of                             33, II; 36, III
  National Imagery and Mapping Agency             32, I
  Navy, Department of                             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
Denali Commission                                 45, IX
Disability, National Council on                   5, C; 34, XII
District of Columbia, Court Services and          5, LXX; 28, VIII
     Offender Supervision Agency for the
Drug Enforcement Administration                   21, II
East-West Foreign Trade Board                     15, XIII
Economic Affairs, Office of the Under-Secretary   15, XV
     for
Economic Analysis, Bureau of                      15, VIII
Economic Development Administration               13, III
Economic Research Service                         7, XXXVII
Education, Department of                          2, XXXIV; 5, LIII
  Bilingual Education and Minority Languages      34, V
       Affairs, Office of
  Career, Technical, and Adult Education, Office  34, IV
       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
Educational Research and Improvement, Office of   34, VII
Election Assistance Commission                    2, LVIII; 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 Policy, National Commission for        1, IV
Employment Standards Administration               20, VI
Endangered Species Committee                      50, IV
Energy, Department of                             2, IX; 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
  Environmental Quality, Council on               40, V
  Management and Budget, Office of                2, Subtitle A; 5, III, 
                                                  LXXVII; 14, VI; 48, 99
  National Drug Control Policy, Office of         2, XXXVI; 21, III
  National Security Council                       32, XXI; 47, II
  Presidential Documents                          3
  Science and Technology Policy, Office of        32, XXIV; 47, II

[[Page 634]]

  Trade Representative, Office of the United      15, XX
       States
Export-Import Bank of the United States           2, XXXV; 5, LII; 12, IV
Families and Services, Administration of          45, III
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 Acquisition Security Council              41, 201
Federal Aviation Administration                   14, I
  Commercial Space Transportation                 14, III
Federal Claims Collection Standards               31, IX
Federal Communications Commission                 2, LX; 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                       5, XXXVII; 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                    5, LXXX; 12, XII
Federal Labor Relations Authority                 5, XIV, XLIX; 22, XIV
Federal Law Enforcement Training Center           31, VII
Federal Management Regulation                     41, 102
Federal Maritime Commission                       46, IV
Federal Mediation and Conciliation Service        5, CIII; 29, XII
Federal Mine Safety and Health Review Commission  5, LXXIV; 29, XXVII
Federal Motor Carrier Safety Administration       49, III
Federal Permitting Improvement Steering Council   40, IX
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
Financial Crimes Enforcement Network              31, X
Financial Research Office                         12, XVI
Financial Stability Oversight Council             12, XIII
Fine Arts, Commission of                          45, XXI
Fiscal Service                                    31, II
Fish and Wildlife Service, United States          50, I, IV
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
General Services Administration                   5, LVII; 41, 105

[[Page 635]]

  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
Great Lakes St. Lawrence Seaway Development       33, IV
     Corporation
Gulf Coast Ecosystem Restoration Council          2, LIX; 40, VIII
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 Services, Office of               45, III
  Children and Families, Administration for       45, II, IV, X, XIII
  Community Services, Office of                   45, X
  Families and Services, Administration of        45, III
  Family Assistance, Office of                    45, II
  Federal Acquisition Regulation                  48, 3
  Food and Drug Administration                    21, I
  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; 5, XXXVI; 6, I; 8, 
                                                  I
  Coast Guard                                     33, I; 46, I; 49, IV
  Coast Guard (Great Lakes Pilotage)              46, III
  Customs and Border Protection                   19, I
  Federal Emergency Management Agency             44, I
  Human Resources Management and Labor Relations  5, XCVII
       Systems
  Immigration and Customs Enforcement Bureau      19, IV
  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
Immigration and Customs Enforcement Bureau        19, IV
Immigration Review, Executive Office for          8, V
Independent Counsel, Office of                    28, VII
Independent Counsel, Offices of                   28, VI

[[Page 636]]

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, XV
Institute of Peace, United States                 22, XVII
Intellectual Property Enforcement Coordinator,    5, CIV
     Office of
Inter-American Foundation                         5, LXIII; 22, X
Interior, Department of                           2, XIV
  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
  National Indian Gaming Commission               25, III
  National Park Service                           36, I
  Natural Resource Revenue, Office of             30, XII
  Ocean Energy Management, Bureau of              30, V
  Reclamation, Bureau of                          43, I
  Safety and Environmental Enforcement, Bureau    30, II
       of
  Secretary of the Interior, Office of            2, XIV; 43, Subtitle A
  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 Development Finance Corporation,    2, XVI; 5, XXXIII; 22, VII
     U.S.
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 of                            2, XXVIII; 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
  Independent Counsel, Offices of                 28, VI
  Prisons, Bureau of                              28, V
  Property Management Regulations                 41, 128
Labor, Department of                              2, XXIX; 5, XLII
  Benefits Review Board                           20, VII

[[Page 637]]

  Employee Benefits Security Administration       29, XXV
  Employees' Compensation Appeals Board           20, IV
  Employment and Training Administration          20, V
  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, VI
Labor-Management Standards, Office of             29, II, IV
Land Management, Bureau of                        43, II
Legal Services Corporation                        45, XVI
Libraries and Information Science, National       45, XVII
     Commission on
Library of Congress                               36, VII
  Copyright Royalty Board                         37, III
  U.S. Copyright Office                           37, II
Management and Budget, Office of                  2, Subpart A; 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
Military Compensation and Retirement              5, XCIX
     Modernization Commission
Millennium Challenge Corporation                  22, XIII
Mine Safety and Health Administration             30, I
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   2, XXII; 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, VI
National Counterintelligence Center               32, XVIII
National Credit Union Administration              5, LXXXVI; 12, VII
National Crime Prevention and Privacy Compact     28, IX
     Council
National Drug Control Policy, Office of           2, XXXVI; 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 Geospatial-Intelligence Agency           32, I
National Highway Traffic Safety Administration    23, II, III; 47, VI; 49, V
National Imagery and Mapping Agency               32, I
National Indian Gaming Commission                 25, III
National Institute of Food and Agriculture        7, XXXIV
National Institute of Standards and Technology    15, II; 37, IV
National Intelligence, Office of Director of      5, IV; 32, XVII
National Labor Relations Board                    5, LXI; 29, I
National Marine Fisheries Service                 50, II, IV
National Mediation Board                          5, CI; 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

[[Page 638]]

National Railroad Passenger Corporation (AMTRAK)  49, VII
National Science Foundation                       2, XXV; 5, XLIII; 45, VI
  Federal Acquisition Regulation                  48, 25
National Security Council                         32, XXI; 47, II
National Technical Information Service            15, XI
National Telecommunications and Information       15, XXIII; 47, III, IV, V
     Administration
National Transportation Safety Board              49, VIII
Natural Resource Revenue, Office of               30, XII
Natural Resources Conservation Service            7, VI
Navajo and Hopi Indian Relocation, Office of      25, IV
Navy, Department of                               32, VI
  Federal Acquisition Regulation                  48, 52
Neighborhood Reinvestment Corporation             24, XXV
Northeast Interstate Low-Level Radioactive Waste  10, XVIII
     Commission
Nuclear Regulatory Commission                     2, XX; 5, XLVIII; 10, I
  Federal Acquisition Regulation                  48, 20
Occupational Safety and Health Administration     29, XVII
Occupational Safety and Health Review Commission  29, XX
Ocean Energy Management, Bureau of                30, V
Oklahoma City National Memorial Trust             36, XV
Operations Office                                 7, XXVIII
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                                       2, XXXVII; 22, III
Pennsylvania Avenue Development Corporation       36, IX
Pension Benefit Guaranty Corporation              29, XL
Personnel Management, Office of                   5, I, IV, XXXV; 45, VIII
  Federal Acquisition Regulation                  48, 17
  Federal Employees Group Life Insurance Federal  48, 21
       Acquisition Regulation
  Federal Employees Health Benefits Acquisition   48, 16
       Regulation
  Human Resources Management and Labor Relations  5, XCVII
       Systems, Department of Homeland Security
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
Privacy and Civil Liberties Oversight Board       6, X
Procurement and Property Management, Office of    7, XXXII
Public and Indian Housing, Office of Assistant    24, IX
     Secretary for
Public Contracts, Department of Labor             41, 50
Public Health Service                             42, I
Railroad Retirement Board                         20, II
Reclamation, Bureau of                            43, I
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 Housing Service                             7, XVIII, XXXV, L
Rural Utilities Service                           7, XVII, XVIII, XLII, L
Safety and Environmental Enforcement, Bureau of   30, II
Science and Technology Policy, Office of          32, XXIV; 47, II
Secret Service                                    31, IV
Securities and Exchange Commission                5, XXXIV; 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

[[Page 639]]

Special Counsel, Office of                        5, VIII
Special Education and Rehabilitative Services,    34, III
     Office of
State, Department of                              2, VI; 22, I; 28, XI
  Federal Acquisition Regulation                  48, 6
Surface Mining Reclamation and Enforcement,       30, VII
     Office of
Surface Transportation Board                      49, X
Susquehanna River Basin Commission                18, VIII
Tennessee Valley Authority                        5, LXIX; 18, XIII
Trade Representative, United States, Office of    15, XX
Transportation, Department of                     2, XII; 5, L
  Commercial Space Transportation                 14, III
  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
  Great Lakes St. Lawrence Seaway Development     33, IV
       Corporation
  Maritime Administration                         46, II
  National Highway Traffic Safety Administration  23, II, III; 47, IV; 49, V
  Pipeline and Hazardous Materials Safety         49, I
       Administration
  Secretary of Transportation, Office of          14, II; 49, Subtitle A
  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 of the                       2, X; 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                   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
  Financial Crimes Enforcement Network            31, X
  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
Truman, Harry S. Scholarship Foundation           45, XVIII
United States Agency for Global Media             2, XIX; 22, V
United States and Canada, International Joint     22, IV
     Commission
United States and Mexico, International Boundary  22, XI
     and Water Commission, United States Section
U.S. Copyright Office                             37, II
U.S. Office of Special Counsel                    5, CII
Utah Reclamation Mitigation and Conservation      43, III
     Commission
Veterans Affairs, Department of                   2, VIII; 38, I
  Federal Acquisition Regulation                  48, 8
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
Wage and Hour Division                            29, V
Water Resources Council                           18, VI
Workers' Compensation Programs, Office of         20, I, VI
World Agricultural Outlook Board                  7, XXXVIII

[[Page 641]]



List of CFR Sections Affected



All changes in this volume of the Code of Federal Regulations (CFR) that 
were made by documents published in the Federal Register since January 
1, 2020 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, parts and 
subparts as well as sections for revisions.
For changes to this volume of the CFR prior to this listing, consult the 
annual edition of the monthly List of CFR Sections Affected (LSA). The 
LSA is available at www.govinfo.gov. For changes to this volume of the 
CFR prior to 2001, see the ``List of CFR Sections Affected, 1949-1963, 
1964-1972, 1973-1985, and 1986-2000'' published in 11 separate volumes. 
The ``List of CFR Sections Affected 1986-2000'' is available at 
www.govinfo.gov.

                                  2020

10 CFR
                                                                   85 FR
                                                                    Page
Chapter II
431 Order...........................................................1378
431.4 Added.........................................................8711
431.87 Revised......................................................1681
431.342 Amended.....................................................1591
431.345 Added.......................................................1591
431.382 (b) revised..................................................830
431.401 (e)(1), (h), and (i)(1) revised; eff. 1-11-21..............79820
490.604 (a) revised..................................................830

                                  2021

10 CFR
                                                                   86 FR
                                                                    Page
Chapter II
431 Notification....................................................4776
431 Policy statement.........................................4885, 37001
431 Actions on petitions............................................8553
431 Determination..................................................58763
431 Interpretation.................................................73947
431.11 Amended.....................................................40774
431.12 Amended........................................................21
431.12 Regulation at 86 FR 21 eff. date delayed to 3-21-21..........7798
431.15 Amended; (c)(4) redesignated as (c)(7); (c)(2) and (3) 
        redesignated as (c)(4) and (5); new (c)(2), (3), and (6) 
        added; (a) and (d)(1) revised.................................21
431.15 Regulation at 86 FR 21 eff. date delayed to 3-21-21..........7798
431.19 (b)(4) and (c)(4) revised......................................21
431.19 Regulation at 86 FR 21 eff. date delayed to 3-21-21..........7798
431.20 (b)(4) and (c)(4) revised......................................22
431.20 Regulation at 86 FR 22 eff. date delayed to 3-21-21..........7798
431.11--431.36 (Subpart B) Appendix B amended.........................22
431.11--431.16 (Subpart B) Correction: Appendix B amended...........3747
431.11--431.36 (Subpart B) Regulation at 86 FR 22 eff. date 
        delayed to 3-21-21..........................................7798
431.171--431.173 (Subpart J) Added.................................46590
431.192 Amended....................................................51252
431.193 Revised....................................................51252
431.196 (a)(1) note, (2) note, (b)(1) note, (2) note, (c)(1) note, 
        and (2) note revised.......................................51252
431.191--431.196 (Subpart K) Appendix A amended....................51252
431.301--431.306 (Subpart R) Appendix C amended....................16035
431.382 (b) revised.................................................2955
431.401 (b), (e), (g) through (j), and (k)(1) revised; eff. 2-14-
        22.........................................................70960
431.441 Amended....................................................40774
431.442 Amended.......................................................23
431.442 Regulation at 86 FR 23 eff. date delayed to 3-21-21.........7798

[[Page 642]]

431.443 (c) redesignated as (d); new (c) and (e) added; (a) and 
        new (d)(1) revised............................................23
431.443 Regulation at 86 FR 23 eff. date delayed to 3-21-21.........7798
431.444 Revised.......................................................23
431.444 Regulation at 86 FR 23 eff. date delayed to 3-21-21.........7798
431.447 (b)(4) and (c)(4) revised.....................................25
431.447 Regulation at 86 FR 25 eff. date delayed to 3-21-21.........7798
431.481--431.484 (Subpart Z) Added.................................40774
490.604 (a) revised.................................................2956

                                  2022

10 CFR
                                                                   87 FR
                                                                    Page
Chapter II
431 Policy statement...............................................23421
431 Determination....................................31359, 34067, 78821
431.2 Amended......................................................45197
431.12 Amended.....................................................63654
431.12 Correction: Amended.........................................64689
431.14 Removed.....................................................63656
431.15 (a), (b), (c)(3), (4), (7), and (d) through (f) revised; 
        (c) introductory text amended; (c)(8) and (9) added........63656
431.17 Removed.....................................................63657
431.18 (b) revised.................................................63657
431.19 Removed.....................................................63657
431.20 Removed.....................................................63657
431.21 Removed.....................................................63657
431.25 (g)(9), (h) introductory text, Table 5 heading, (i) 
        introductory text, and Table 6 heading revised.............63657
431.11--431.36 (Subpart B) Appendix B revised......................63657
431.92 Amended..............................................45197, 63896
431.92 Amended; eff. 1-6-23........................................75167
431.92 Amended; eff. 1-17-23.......................................77325
431.95 (a), (b), (c) introductory text, and (2) revised; (c)(3) 
        and (4) redesignated as (c)(5) and (6); new (c)(3), new 
        (4), and (7) added.........................................45198
431.95 (b)(7) and (c)(2) revised; (c)(3) through (7) redesignated 
        as (c)(4) through (8); (b)(8) and new (c)(3) added.........63896
431.95 (b)(4) and (c)(2) revised; eff. 1-6-23......................75168
431.95 (b)(2) through (8) redesignated as (b)(3) through (9); 
        (b)(1), new (8), and (c)(2) revised; new (b)(2) added; 
        eff. 1-17-23...............................................77325
431.96 Table 1 and (d) table redesignated as (b) Table 1 and (d) 
        Table 2; (a) and new (b) Table 1 revised...................45198
431.96 (b)(1) and Table 1 revised..................................63897
431.96 (b) Table 1, (1), and (c) revised; eff. 1-6-23..............75168
431.96 (b) Table 1 revised; eff. 1-17-23...........................77325
431.97 (g) and Table 14 added; eff. 1-3-23.........................65668
431.91--431.97 (Subpart F) Appendix B amended......................45199
431.91--431.97 (Subpart F) Appendixes C, D, and D1 added...........63898
431.91--431.97 (Subpart F) Appendix E and Appendix F added; eff. 
        1-17-23....................................................77327
431.91--431.97 (Subpart F) Correction: Appendix F amended..........78513
431.91--431.97 (Subpart F) Appendix F1 added; eff. 1-17-23.........77328
431.91--431.97 (Subpart F) Appendix G added; eff. 1-6-23...........75169
431.132 Amended....................................................65899
431.133 Revised....................................................65900
431.134 Revised....................................................65900
431.152 Revised....................................................33405
431.154 Revised....................................................33405
431.262 Amended....................................................13909
431.263 Transferred................................................13910
431.264 (b) revised; (d) added.....................................13910
431.322 Amended....................................................37699
431.323 (a) and (b) revised; (c) redesignated as (d); new (c) 
        added......................................................37699
431.324 Revised....................................................37699
431.382 (b) revised.................................................1063
431.462 Amended....................................................57298
431.463 (a) revised; (d)(5) and (6) added..........................57299
431.464 (c) added..................................................57299
431.461--431.466 (Subpart Y) Appendix D added......................57299
433.2 Amended......................................................20293
433.3 (a) and (b) introductory text revised; (b)(5) added..........20294
433.100 (b) removed; (c) redesignated as new (b); (a)(5) added; 
        (a)(4) and new (b) revised.................................20294

[[Page 643]]

433.101 (a)(4) and (b) revised; (a)(5) added.......................20294
435.2 Amended......................................................19613
435.3 (a) revised; (b)(4) added....................................19613
435.4 (a)(3) introductory text revised; (a)(3)(i) amended; (a)(4) 
        added......................................................19613
435.5 (c) revised; (d) added.......................................19613
490.604 (a) revised.................................................1064
495.91--431.97 (Subpart F) Appendix G1 added; eff. 1-6-23..........75170

                                  2023

10 CFR
                                                                   88 FR
                                                                    Page
Chapter II
431 Determination...................................................9136
431 Technical correction...........................................70580
431 Regulation at 88 FR 36151 eff. date confirmed..................72405
431.12 Amended.....................................................36150
431.25 (h) introductory text revised; (m) through (r) added........36150
431.62 Revised.....................................................66222
431.63 (a), (c), (d), and (e) revised..............................66224
431.64 Revised.....................................................66225
431.61--431.66 (Subpart C) Appendix A removed; Appendix C revised 
                                                                   66225
431.61--431.66 (Subpart C) Appendix C added........................66228
431.61--431.66 (Subpart C) Appendix D added........................66229
431.72 Amended.....................................................36233
431.75 Revised.....................................................36234
431.76 Revised.....................................................36234
431.87 Revised.....................................................64352
431.92 Introductory text revised; section amended..................21838
431.92 Amended.......................................36386, 36424, 84228
431.95 (c)(2) and (7) amended; (c)(8) redesignated as (c)(9); 
        (b)(1) and new (c)(8) added................................21839
431.95 (b)(6) through (10) redesignated as (b)(7) through (11); 
        new (b)(6) and (e) added; (c)(2) and (3) amended; (d) 
        revised; eff. 1-3-24.......................................84228
431.96 (b) Table 1 revised..................................21839, 36424
431.96 (b) Table 1 revised; eff. 1-3-24............................84228
431.97 (f) revised; Table 14 redesignated as Table 15..............18982
431.97 (a) amended; (b) Tables 1 through 4 and (f) Table 13 
        revised; (h) added.........................................36386
431.97 (b) introductory text, Table 5, Table 6, (c) introductory 
        text, (f)(1) introductory text, (2) introductory text, (g) 
        introductory text, and (h) introductory text amended; 
        (f)(1) Table 13, (2) Table 14, (g) Table 15, (h) Table 16, 
        and Table 17 redesignated as (f)(1) Table 15, (2) Table 
        16, (g) Table 17, (h) Table 18, and Table 19; (c) Table 7 
        heading, Table 8 heading, (d)(1) Table 9 heading, (2) 
        Table 10 heading, (3) Table 11 heading, (e), new (f)(2) 
        Table 16 heading, new (g) Table 17 heading revised.........36425
431.71--431.77 (Subpart D) Appendix A added........................36234
431.71--431.77 (Subpart D) Appendix B added........................36235
431.91--431.97 (Subpart F) Appendix C and Appendix C1 added; eff. 
        1-3-24.....................................................84230
431.102 Amended.............................................40494, 69821
431.105 (a) revised................................................69821
431.110 Revised....................................................69822
431.172 Revised....................................................27389
431.172 Amended....................................................53375
431.173 Added......................................................27390
431.173 (b)(1) revised.............................................53375
431.174 Added......................................................27391
431.174 (a)(1), (4)(i)(B), and (c) amended; (d) revised............53375
431.171--431.176 (Subpart J) Appendix A added......................27391
431.171--431.176 (Subpart J) Appendix B added......................27393
431.171--431.176 (Subpart J) Appendix A amended....................53375
431.171--431.176 (Subpart J) Appendix B amended....................53376
431.293 Revised....................................................28400
431.291--431.296 (Subpart Q) Appendix A removed; Appendix B 
        revised....................................................28400
431.302 Amended....................................................28838
431.303 Revised....................................................28838
431.304 (b) revised................................................28839
431.301--431.306 (Subpart R) Appendix A revised.............28839, 73216
431.301--431.306 (Subpart R) Appendix B revised....................28843

[[Page 644]]

431.301--431.306 (Subpart R) Appendix C amended....................28845
431.301--431.306 (Subpart R) Appendix C1 added.....................28849
431.301--431.306 (Subpart R) Appendix B, Appendix C, and Appendix 
        C1 amended.................................................73217
431.382 (b) revised.................................................2193
431.462 Introductory text revised; section amended.................17975
431.463 Revised....................................................17976
431.463 Correction: Second (g)(3) redesignated as (g)(4)...........24471
431.464 (a)(1)(i) through (iii) revised............................17978
431.464 Correction: Amended........................................24471
431.461--431.466 (Subpart Y) Appendix A amended....................17978
431.481 (b) revised................................................67041
431.482 (a) and (c)(1) revised.....................................67041
431.482 Correction: Amended........................................71990
431.483 Revised....................................................67041
431.485 Added......................................................67041
431 Appendix E added...............................................21840
431 Appendix E1 added..............................................21841
460.1 Revised......................................................34419
490.3 Correction: (q) Note 1 removed; (q) Note 2 added.............19801
490.604 (a) revised.................................................2193

                                  2024

10 CFR
                                                                   89 FR
                                                                    Page
Chapter II
431 Policy statement...............................................79374
431 Notification..................................................104859
431.2 Amended......................................................82071
431.92 Amended.....................................................44035
431.95 (b)(5) and (c)(2) revised; (b)(11) redesignated as (b)(12); 
        new (b)(11) added..........................................44037
431.96 (b) Table 1 revised.........................................44037
431.97 Revised..............................................44038, 44134
431.91--431.97 (Subpart F) Appendix A revised......................44046
431.91--431.97 (Subpart F) Appendix A1 added.......................44047
431.192 Amended....................................................30039
431.196 (a)(2), (b)(2), and (c)(2) revised; (a)(3), (b)(3), (4), 
        (c)(3), and (e) added......................................30040
431.305 (a)(1) and (b)(1) revised..................................82071
431.301--431.306 (Subpart R) CFR correction: Appendix C and 
        Appendix C1 amended.......................................103631
431.306 (d) and (e) revised; eff. 2-21-25.........................104854
431.382 (b) revised.........................................1028, 105406
431.465 Heading revised; (i) added.................................44536
433.1 (b) added....................................................35415
433.2 Amended......................................................35415
433.200--433.202 (Subpart B) Added.................................35416
433.200 Correction: (c)(1)(ii)(C), (D) heading, (1), and (2) 
        redesignated as (c)(2), (3) heading, (i), and (ii); new 
        (c)(3)(i) amended..........................................48266
435 Added..........................................................35434
435.1 (b) added....................................................35433
435.2 Amended......................................................35433
436.30 (a) revised.................................................19501
474.2 Amended......................................................22059
474.3 (b) introductory text revised; (c) through (f) added.........22059
474.5 Removed......................................................22059
474 Appendix A revised.............................................22059
490.604 (a) revised.........................................1028, 105406


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