This section of the FEDERAL REGISTER

contains notices to the public of the proposed

issuance of rules and regulations. The

purpose of these notices is to give interested

persons an opportunity to participate in the

rule making prior to the adoption of the final

rules.

Proposed Rules Federal Register

37949

Vol. 60, No. 142

Tuesday, July 25, 1995

DEPARTMENT OF ENERGY

Office of Energy Efficiency and

Renewable Energy

10 CFR Part 437

[Docket No. EE-RM–95–202]

RIN 1904–AA 74

Voluntary Home Energy Rating System

Guidelines

AGENCY: Office of Energy Efficiency and

Renewable Energy, U.S. Department of

Energy.

ACTION: Notice of proposed rulemaking

and public hearings.

SUMMARY: Today, the U.S. Department of

Energy (‘‘Department’’ or ‘‘DOE’’) is

proposing statutorily required voluntary

guidelines for home energy rating

systems. The proposed voluntary

guidelines are designed to encourage

uniformity among systems for rating the

annual energy efficiency of new and

existing residential buildings. They

provide for a uniform rating method;

procedures for certification of the

technical accuracy of the building

energy analysis tools used to determine

energy efficiency ratings; training of

personnel conducting energy efficiency

ratings; data collection and reporting;

quality control; and monitoring and

evaluation. The voluntary guidelines are

intended for use by state and local

governments, utilities, builders, real

estate agents, lenders, agencies in

mortgage markets, and others, to enable

and encourage the assignment of energy

efficiency ratings to residential

buildings and the development of

criteria for attractive financial

instruments for energy efficient homes.

DATES: Written comments on the

proposed rule (10 copies) must be

received by the Department by October

23, 1995.

A public hearing will be held on

October 2, 1995.

Requests to speak at the public

hearing must be received by the

Department by 4 pm on or before

September 13, 1995. Ten copies of

statement to be given at the public

hearing must be received by the

Department by 4 pm September 28,

1995.

ADDRESSES: All written comments (10

copies), requests to speak at the public

hearing, and requests for the supporting

documentation are to be submitted to:

Voluntary Residential Energy Efficiency

Rating Guidelines, Docket Number EERM–95–202, Buildings Division, EE–

432, Office of Codes and Standards, U.

S. Department of Energy, 1000

Independence Avenue, SW., Room 1J–

018, Washington, DC. 20585

The public hearing will begin at 9:00

a.m., and will be held at the following

location: Washington, D.C.: U.S.

Department of Energy, Forrestal

Building, 1000 Independence Avenue,

SW., Room 1E–245 (1st Floor, E

Corridor), Washington, D.C. 20585.

Copies of the transcripts of the public

hearing, individual oral statements, and

the written public comments received

may be viewed and/or obtained from the

DOE, Freedom of Information Reading

Room, Room 1E–190, 1000

Independence Avenue S.W.,

Washington, D.C. 20585, (202) 586–

6020, 9:00 a.m.-4:00 p.m.

FOR FURTHER INFORMATION CONTACT:

Robert Mackie, Buildings Division, EE–

432, U.S. Department of Energy, Room

1J–018, 1000 Independence Avenue,

SW., Washington, D.C. 20585, (202)

586–7892

Diana Dean, Office of General Counsel,

GC–12, U.S. Department of Energy,

Room 6B–231, 1000 Independence

Avenue, SW., Washington, D.C.

20585, (202) 586–7440

SUPPLEMENTARY INFORMATION:

I. Background

A. Statutory Authority

B. General Purpose

C. Guideline Development

D. Rating Method Development

1. Reference House

2. Star Rating Method

II. Description of the Proposed Rule

A. Summary of the Voluntary Guidelines

B. Section by Section Description of the

Proposed Guidelines

1. Section 437.1: Purpose.

2. Section 437.2: Scope.

3. Section 437.3: General definitions and

acronyms.

4. Section 437.4: Availability of ratings.

5. Section 437.100: Rating procedure.

6. Section 437.101: Rating point score and

star rating.

7. Section 437.102: Rating reporting.

8. Section 437.103: Reference home

configuration.

9. Section 437.104: Minimum rated

features.

10. Section 437.105: Operating condition

assumptions.

11. Section 437.106: Non-rated energy

consuming devices.

12. Section 437.107: Projected ratings for

to-be built homes.

13. Section 437.200: Energy analysis tool

requirements.

14. Section 437.201: Site data collection

manual.

15. Section 437.202: Training home energy

raters.

16. Section 437.203: Quality control.

17. Section 437.204: Monitoring and

evaluation.

18. Section 437.205: Guideline compliance.

19. Section 437.206: Accreditation.

III. Procedural Requirements

A. Environmental Review

B. Regulatory Planning and Review

C. Federalism

D. Regulatory Flexibility Act

E. Paperwork Reduction Act

IV. Public Comment Procedures

A. Participation in Rulemaking

B. Written Comment Procedures

C. Public Hearing

1. Procedure for Submitting Request to

Speak

2. Conduct of Hearing

I. Background

A. Statutory Authority

Section 102 of the Energy Policy Act

of 1992 (Pub L. 102–486), amended Title

II of the National Energy Conservation

Policy Act (Act) by adding sections 271–

273 (42 U.S.C. 8236–8236b). Section 271

of the Act directs the Department to

issue, by rule, voluntary guidelines that

may be used by state and local

governments, utilities, builders, real

estate agents, lenders, agencies in

mortgage markets, and others, to enable

and encourage the assignment of energy

efficiency ratings to residential

buildings. Section 271 requires the

Department to consult with the

Secretary of Housing and Urban

Development, the Secretary of Veterans

Affairs, representatives of existing home

energy rating programs, and other

appropriate persons. In terms of

specified content, section 271 provides

that the voluntary guidelines shall:

(1) encourage uniformity with regard to

systems for rating the annual energy

efficiency of residential buildings;

(2) establish protocols and procedures for

(A) certification of the technical accuracy

of building energy analysis tools used to

determine energy efficiency ratings;
37950 Federal Register / Vol. 60, No. 142 / Tuesday, July 25, 1995 / Proposed Rules

(B) training of personnel conducting energy

efficiency ratings;

(C) data collection and reporting;

(D) quality control; and

(E) monitoring and evaluation;

(3) encourage consistency with, and

support for, the uniform plan for Federal

energy efficient mortgages, including that

developed under section 946 of the CranstonGonzalez National Affordable Housing Act

(42 U.S.C. 12712 note) and pursuant to

sections 105 and 106 of the Energy Policy Act

of 1992;

(4) provide that rating systems take into

account local climate conditions and

construction practices, solar energy collected

on-site, and the benefits of peak load shifting

construction practices, and not discriminate

among fuel types; and

(5) establish procedures to ensure that

residential buildings can receive an energy

efficiency rating at the time of sale and that

such rating is communicated to potential

buyers.

Section 105 of the Energy Policy Act

of 1992 amends section 104 of the

Cranston-Gonzalez National Affordable

Housing Act, 42 U.S.C. 12704, by

defining an ‘‘energy efficient mortgage’’

as a mortgage that provides financing

incentives for the purchase of energy

efficient homes, or that provides

financing incentives to make energy

efficiency improvements in existing

homes by incorporating the cost of such

improvements in the mortgage.

The Department is developing the

guidelines through notice and comment

rulemaking because section 271

specifically requires that they be

developed ‘‘by rule.’’ Nevertheless,

compliance with the final guidelines is

strictly voluntary.

B. General Purpose

The principal purpose of a home

energy rating system is to calculate a

descriptive rating of the energy

performance of a residential building.

An accurate home energy rating system

will give the lending industry the

confidence it needs to underwrite

energy efficient mortgages, offer

financing mechanisms, and provide the

real estate and appraisal industries with

a basis for valuing energy efficiency in

the home sale and resale markets. It is

anticipated that by providing an

accurate technical basis for projecting

energy savings from installations of

energy efficiency measures, the

guidelines, when finalized, will play a

critical role in establishing a marketbased system to encourage homeowners

to improve the energy efficiency of new,

reconstructed or existing housing.

Reliable and consistent energy

analysis systems are prerequisites for

financing residential energy efficiency

through the mortgage process with

energy efficient mortgages or energy

efficient loans. Variation in current local

and statewide home energy rating

programs impedes the implementation

of energy efficient mortgage programs

because the Federal mortgage agencies

and lenders are uncertain as to the

reliability of the ratings.

As of 1993, a number of states had

developed their own unique home

energy rating programs. The National

Association of State Energy Officials

(NASEO) stated that 14 states have statewide or city-wide, scaled home energy

rating programs for new and existing

homes. Thirty-three states had utilityrun home energy rating certification

programs for new homes in at least

some areas of the state. In some areas

both state and utility rating programs

were in use.

Today’s proposed rule responds to the

need of mortgage lending institutions

for a reliable technical basis upon which

to underwrite energy efficient

mortgages. Providing this solid footing

for mortgage underwriting will

encourage lenders to issue a variety of

energy-related financial products which

in turn will help stimulate the market

for energy efficient housing measures.

Along with access to attractive

financing, homeowners could be

encouraged to make investments in

energy efficiency if they are valued in

the real estate market. Currently,

appraisals are based on comparables

that do not necessarily value energy

efficiency measures. A reliable home

energy rating gives appraisers a sound

basis for recognizing energy efficient

measures that have been installed.

Uniformity across different home

energy rating systems could benefit

consumers and the housing industry by

making energy ratings a standard part of

the real estate process. As ratings

become widely utilized, consistency

among systems will promote proper

market valuation of improvements.

Expanded use of home energy rating

systems could stimulate increased use

of energy efficiency and renewable

energy technologies by making energy

efficiency a quantitative, visible, and

recognized attribute as homes are

designed, built, bought, and remodeled.

C. Guideline Development

The Department’s Office of Building

Technologies contracted with the Home

Energy Rating Systems Council (HERS

Council) in 1993 for the development of

a Technical Report to be used as a basis

for the guidelines proposed today. The

Department acted in response to the

provisions set forth in the Act to

develop voluntary guidelines in

consultation with the Secretary of

Housing and Urban Development, the

Secretary of Veterans Affairs,

representatives of existing home energy

rating programs, and other appropriate

persons.’’ The HERS Council is a not-for-profit,

corporation with a nineteen-member

board representing various stakeholders

in the matter of home energy ratings.

The HERS Council’s membership

includes builders, mortgage lenders,

HERS providers, consumer groups, State

energy offices, utilities, real estate

agents and appraisers, and product

manufacturers.

The HERS Council formed a

Technical Committee comprised of

representatives from electric and gas

utilities and utility trade associations,

home energy rating providers, software

developers, builders, state

organizations, product manufacturers,

and the heating, ventilation and airconditioning industry. The Department

also provided resources from the

National Renewable Energy Laboratory

to give technical support to the HERS

Council during their work on the

Technical Report. The Department, working through the

HERS Council, attempted to reach all

possible stakeholders to obtain

comments during the development of

these proposed guidelines.

Representatives from the U.S.

Department of Housing and Urban

Development (HUD) and the U.S.

Department of Veterans Affairs (VA)

attended HERS Council and Technical

Committee meetings to remain apprised

of the material being developed and the

Department has consulted with both

HUD and VA on the contents of these

proposed guidelines. Many of the larger and more active

rating organizations participated in this

effort, but the Department is aware that

there are some home energy rating

organizations not participating in the

HERS Council. Therefore, the Technical

Report created by the HERS Council, via

a consensus process, may not reflect all

opinions on the content of these

guidelines. The proposed guidelines

allow for delayed compliance as

described below. The Department

invites all interested parties to provide

the Department with their views

regarding the proposed guidelines in

comments responding to this notice and

at the public hearing.

D. Rating Method Development

The proposed guidelines provide for a

single method of rating homes that is

consistent with the statutory

requirement in section 271 of the Act to

encourage uniformity with regard to

systems for rating the annual energy

efficiency of residential buildings. The

HERS Council and the Technical
Federal Register / Vol. 60, No. 142 / Tuesday, July 25, 1995 / Proposed Rules 37951

Committee considered several existing

rating methods. Many of the existing

methods considered utilize a 100-point

scale, and therefore, a large portion of

consumers and financial institutions

should find this type of scale an

appropriate basis for ratings.

Many of the existing 100-point

methods, however, lack consistency in

the specification of the extremes of the

scale (0 and 100 points). In some of the

existing methods, the least efficient fuel

and type of heating system is used to

define the least efficient end of the

scale. In other existing methods, the best

available technology is used to define

the most efficient end of the scale. The

exact parameters that determine the

‘‘least efficient’’ and ‘‘most efficient’’

ends of the scale are selected

individually by each HERS provider

which can result in a lack of consistency

among providers.

To promote consistency, the proposed

scale utilizes a single fixed reference

point from which energy efficiency is

measured. The reference point is fixed

at 80 points, and the proposed method

assumes zero purchased energy at the

top end of the 100-point scale. The top

of the scale (100) represents a one

hundred percent improvement over the

reference point. Therefore, each point

above 80 represents a five percent

reduction in energy consumption from

the reference point. Conversely, at a five

percent increase in consumption per

point, zero would represent purchased

energy that is five (or more) times

greater than the purchased energy

consumed at the reference point. By

selecting the energy efficiency of a

hypothetical building (reference house)

that remains constant as the reference

point, the rating scale becomes both

uniform and consistent over time. If no

changes occur to the rated features of a

home, then the rating also remains

consistent over time.

1. Reference House

The approach used to create the

specifications for the reference home

was to base the proposed scale

specifications on an already recognized

standard for ‘‘energy efficiency.’’ Two

recognized standards for energy

efficiency that are national in scope are

the Council of American Building

Officials (CABO), Model Energy Code

(CABO–MEC) and the American Society

of Heating, Refrigerating, and Air

Conditioning Engineers (ASHRAE)

Standard 90.2.

The HERS Council Technical

Committee compared the specifications

of these two documents. Using

computer programs that met the

preliminary requirements of the

proposed tool certification process

found in proposed section 437.200, a

comparison was made of calculated

energy consumption for two standard

prototype homes located in seven cities

in the United States. The predicted

energy consumption was similar for

either standard in most climates. In

predominantly heating climates, CABO

was slightly more stringent, whereas

ASHRAE tended to be slightly more

stringent in climates where cooling was

the greater need. The difference was not

considered to be substantial.

The HERS Technical Committee

recommended the use of CABO–MEC as

the basis for the reference home in the

proposed rating method. CABO–MEC is

the qualifying threshold for the energy

efficient mortgage program of the

Federal National Mortgage Association

(Fannie Mae), and the Federal Housing

Administration. Further, Section 101 of

the Energy Policy Act of 1992 uses

CABO–MEC as the benchmark for

residential buildings in the

Department’s Building Energy

Efficiency Standards Program.

On the basis of the foregoing, the

Department accepts the HERS Technical

Committee’s recommendations to use

CABO–MEC. (See proposed section

437.102, ‘‘Section Description of the

Guidelines’’, ‘‘Configuration of the

Reference Home.’’)

As previously stated, several

secondary mortgage programs, including

HUD insured mortgages, recognize

CABO–MEC as providing a level of

energy efficiency that qualifies buyer for

increases in their debt to income ratio

limits. These programs currently

reference the 1992 edition of CABO–

MEC. The Department selected the 1993

edition to establish insulation levels for

the reference home because it provides

for more realistic (higher) levels of

efficiency in multi-family homes than

those provided in the 1992 edition. In

addition, some elements to define a

reference home and a standard set of

operating conditions are not present in

the 1992 or 1993 editions of CABO–

MEC, so they are taken from the 1994

Amendments. Details are provided in

Section II.B. ‘‘Sections Descriptions’’

under proposed section 437.103,

‘‘Configuration of the reference home’’

and proposed section 437.105,

‘‘Operating condition assumptions.’’

2. Star Rating Method

Many of the existing HERS systems

provide ‘‘star’’ ratings as a way of

summarily representing the point

scores. Many of the providers support

the concept that a ‘‘four star’’ rating

should denote efficiency. The proposed

guidelines include the use of a ‘‘star’’

system. Under this system, which uses

a ‘‘one star’’ to ‘‘five stars-plus’’ scale,

the reference home located at 80 points

is awarded four stars.

The divisions of the ‘‘star’’ scale in

the proposed rating method were

created by the HERS Technical

Committee based on a study of

calculated energy consumption. The

HERS Technical Committee used

incremental levels of efficiency to look

at the range of performance that might

be found in the existing housing stock.

(For example, a pre-1940 home with no

modifications consumes approximately

four times the energy used by a

reference home.) The study also looked

at logical incremental increases in levels

of thermal performance above the levels

found in the reference home. To attain

those higher levels, the study looked at

improved insulation equipment

efficiency and the use of renewable

energy sources such as passive and

active solar. The ‘‘star’’ breakpoints

presented in the proposed guidelines

have their origins in this analysis by the

HERS Technical Committee. Copies of

the results of this study are available

from the Department information

contact listed in the ‘‘Addresses’’

paragraph of this proposed rulemaking.

The Department has also placed a copy

in its Freedom of Information Reading

Room.

Thus, the guidelines proposed today

are based on the principle of a reference

house and logical incremental changes

in energy consumption. The expression

of the results is captured in the ‘‘star’’

categories of energy efficiency.

The Department invites comments

regarding the potential acceptance of

these guidelines by existing home

energy rating providers and invites

specific comments on the content of the

guidelines. Commenters should bear in

mind that these guidelines would not in

themselves set any ‘‘acceptable’’ level of

energy efficiency and that existing

programs could use any point or points

on the proposed scale for comparisons

that encourage efficiency. Commenters

are also encouraged to provide specific

examples if comparisons to existing

programs are offered.

II. Description of the Proposed Rule

A. Summary of the Proposed Voluntary

Guidelines

The proposed voluntary guidelines

would establish: (1) A uniform national

rating method, and protocols and

procedures for certification of the

technical accuracy of building energy

analysis tools used to determine energy

efficiency ratings; (2) training of
37952 Federal Register / Vol. 60, No. 142 / Tuesday, July 25, 1995 / Proposed Rules

personnel conducting energy efficiency

ratings; (3) data collection and

reporting; (4) quality control; (5) and

monitoring and evaluation. They take

into account local climate conditions

and construction practices, solar energy

collected on site, and the benefits of

peak load shifting construction

practices. They are designed not to

discriminate among fuel types.

The Department proposes to

incorporate by reference test

procedures, U values and Uo values, and

on site inspection procedures upon

publication of this rule as final. These

materials are listed below:

The ‘‘Home Energy Rating Systems

Building Simulation Test (HERSBESTTEST)’’, NREL/TP–472–7332,

National Renewable Energy Laboratory.

The U values and Uo values, of

paragraph 502.2 of the Model Energy

Code, 1993 Edition, Council of

American Building Officials. ‘‘On Site

Inspection Procedures’’, Guidelines No.

10, Home Energy Rating Systems

Council.

Copies of these document may be

reviewed at the Department of Energy,

Freedom of Information Reading Room

at the address stated above. Copies of

these documents may also be obtained

from the organizations and addresses

listed below:

‘‘Home Energy Rating Systems

Building Simulation Test,’’ NREL/TP–

472–7332, National Renewable Energy

Laboratory, 1617 Cole Boulevard,

Golden, CO 80401–3393.

‘‘Model Energy Code,’’ 1993 Edition,

Council of American Building Officials,

5203 Leesburg Pile, Falls Church, VA

22041.

‘‘On Site Inspection Procedures,’’

Guidelines No. 10, HERS Council, 1511

K Street, NW, Washington, DC 20005.

B. Section Descriptions

Subpart A—General Provisions

Proposed Section 437.1: Purpose

Proposed § 437.1 defines the purpose

of part 437 as the establishment of

voluntary guidelines to be used by

Home Energy Rating System Providers

to provide a consistent and uniform

approach to rating homes for energy

efficiency.

Proposed Section 437.2: Scope

Proposed § 437.2 specifies the types of

homes that may be rated using the

voluntary guidelines. Section 271 of the

Act calls for the development of

guidelines for ‘‘residential buildings’’

but does not define that term or

otherwise dictate the types of homes to

be covered by the guidelines. Consistent

with the decision to base the proposed

voluntary guidelines on CABO–MEC,

the proposed scope is limited to

residential buildings covered by CABO–

MEC.

Included are: (a) one and two family

dwellings; and (b) all other residential

buildings, three stories or less in height.

As required by section 271, both

existing and proposed homes are

included in the proposed scope of the

voluntary guidelines.

Proposed Section 437.3: General

Definitions and Acronyms

Proposed § 437.3 provides a listing of

all the general definitions and acronyms

used in section 437. ‘‘Home’’ is defined

in this section as a residence or

dwelling unit in detached or attached

structures of three stories or less. The

rating industry as it exists today favors

the term ‘‘home energy rating’’ and the

Department elects to follow that

convention. ‘‘HERS provider’’ is defined

as a person or organization that

develops, manages and operates a home

energy rating system or ‘‘HERS’’. The

rating industry as it exists today tends

to use the term ‘‘HERS provider’’ to

describe a person or organization that

provides HERS generated ratings.

Proposed Section 437.4 Availability of

Ratings

To respond to the statutory

requirement ‘‘to ensure that residential

buildings can receive an energy

efficiency rating at the time of sale and

that such rating is communicated to

potential buyers,’’ proposed § 437.4

recommends certain actions by people

or organizations that are typically

involved with the sale of a home or the

creation of a mortgage.

The Department is of the view that

informing home buyers of any available

financing incentives related to energy

efficiency will encourage consumers to

take steps that will reduce energy use in

this country. Consistent with that view,

proposed § 437.4(b) provides for

encouraging multiple listing services to

include available home energy rating

information. The Department

understands that there is concern among

stakeholders that buyers may need

additional time to investigate available

incentives and, if necessary, have a

rating conducted. In doing so, the

process of home selling might be

delayed. However the Department

believes that delays can be minimized

by lenders with proper administrative

procedures.

The Department also recognizes

further concern that some existing

homes may be viewed as less

marketable as the result of a rating and

therefore some homeowners may

oppose the concept of rating homes.

However the Department is not

proposing that such a rating should be

prerequisite to listing a home sale.

Proposed Section 437.100: Rating

Procedure

Proposed § 437.100 sets forth a

standard procedure to be used by each

provider who voluntarily follows the

proposed guidelines. A site visit would

be required to collect data that is used

in making a comparison of estimated

yearly energy consumption between the

home being rated and a standard

reference home of the same size and

shape. Only the energy consumed for

heating, cooling and water heating

would be used in this comparison. The

reference home would be defined under

proposed § 437.103.

Proposed Section 437.101: Rating Point

Score and Star Rating

This proposed section describes the

calculation procedure for determining a

point score and star rating. The

procedure would use the estimated

energy consumption of the rated and

reference houses to determine a rating

score between 0 and 100 points. A score

of 0 indicates that the rated home

consumes five times or more energy

than reference home and is considered

profoundly inefficient; a score of 100

indicates that the rated home has zero

annual purchased energy consumption

for heating, cooling and water heating.

In addition to a numerical score, the

rating is expressed by a ‘‘star’’ value of

between one and five stars (five

divisions) with a sixth division called

‘‘Five Plus’’. This section identifies the

relationship of the numerical score to its

corresponding ‘‘star’’ value.

Proposed Section 437.102: Rating

Report

Proposed § 437.102 lists the minimum

information that each rating provides.

Proposed paragraphs (a)(5) and (a)(6) of

this section would require each HERS

provider to report the name of the

agency certifying the accuracy of the

energy analysis tool and the margin of

error accepted by that agency. Section

271 of the Act requires that the

guidelines establish procedures for

certifying the technical accuracy of

energy analysis tools, but gives no

definition as to what constitutes

‘‘technical accuracy.’’ As proposed in

section 437.200, these guidelines look to

the accrediting agency to establish pass/

fail criteria for energy analysis tools.

The Department believes that the

acceptable margin of error is an issue to

be decided by the users of these ratings,

such as consumers and lenders.
Federal Register / Vol. 60, No. 142 / Tuesday, July 25, 1995 / Proposed Rules 37953

Therefore, the purpose of these two

proposed reporting requirements is to

provide information that allows users to

decide for themselves if the accuracy of

the energy analysis tool, as defined by

the accrediting body, is acceptable. The

Department expects and encourages

comments from the financial

community on this issue.

Proposed paragraph (a)(7) of this

section requires each HERS provider to

report the level of their accreditation as

either ‘‘basic compliance’’ or ‘‘full

accreditation’’. Existing HERS providers

may have functioning systems that

would comply, or could readily be made

to comply with the majority of these

guidelines, but would require lengthy

periods of time to come into full

compliance. In response to this

situation, the Department proposes two

levels of performance, basic compliance

and full accreditation, with the

opportunity for any existing HERS

provider to meet certain guidelines with

their present system for a period of up

to two years, during which time they

may represent themselves as being in

basic, but not full compliance with the

guidelines. The Department invites

comments on the advisability of such a

structure.

Paragraph (a)(9) provides for the

reporting of previous energy

consumption data if it is made available

by the homeowner. Various factors such

as prior home improvements or unusual

weather conditions make it necessary

for the rater to determine the usefulness

of such information and to determine if

it should be included in the report.

To facilitate energy efficient

mortgages and loans as provided in

section 271 of the Act, paragraph (b) of

this proposed section provides for the

report to include the estimated energy

cost savings available with the rated

home reconfigured with possible

improvements to the minimum rated

features. Paragraph (b)(2) also provides

for reporting of ‘‘The Present Worth

Value’’ of the energy cost savings and

the discount rate used to calculate that

value. The Department considers this

information necessary because it is used

in the qualification process for Federally

backed energy efficient mortgage

programs such as those provided by the

Department of Housing and Urban

Development (HUD). The Department is

not proposing a specific discount rate.

Proposed Section 437.103: Reference

House Configuration

Proposed § 437.103 establishes the

level of energy efficiency of the

reference home. The insulation levels

are those that are required by the

Council of American Building Officials

Model Energy Code, 1993 edition

(CABO-MEC), therefore, specific

reference is made in this proposed

section to have the enclosure elements

configured to Paragraph 502.2 of CABOMEC. This paragraph establishes the

criteria for building envelope

components according to the severity of

the normal winter weather conditions

for the geographic location of the home.

The Department considers this

procedure to be appropriate for the

determination of insulation levels for

the reference home.

To be responsive to the language in

section 271 of the Act regarding the

need to take into account ‘‘solar energy

collected on-site,’’ this proposed section

would create what the Department

considers a ‘‘solar neutral ‘‘ reference

home by fixing the following

components:

Fenestration Area—In proposed

paragraph (a)(5)(i), the fenestration area

is fixed at 18 percent of the conditioned

floor area. The requirements for wall

assemblies in CABO-MEC are based on

the average U-values of those assemblies

and therefore the total U-value of the

wall assemblies including windows and

doors is calculated, then divided by the

gross wall area to determine the average.

Since the area of glazing may vary

depending on the thermal performance

of the window itself and/or the opaque

wall area, it is considered necessary to

fix the amount of glazing to create

consistency in the reference home. In

the case of multi-family homes, where

18 percent of the conditioned floor area

may exceed the actual exposed wall

area, a formula is provided in proposed

section 437.103 to establish the

reference home fenestration on a ratio of

exposed and common wall areas.

Orientation—Also in proposed

paragraph (a)(6)(i), glazing in the

reference home would be distributed

equally in each of four cardinal

directions—north, south, east and west.

As a result, the reference home is

assumed to experience equally

beneficial solar gains during heating

season and equally detrimental solar

gains during cooling. The rated home

would reflect the benefits of favorable

orientation and/or the negative impact

of poor orientation. This principle is

also utilized with regard to multi-family

homes, which would assume

hypothetical glazing in walls even

though the actual wall in the rated home

may be common with an adjoining unit

and not have any windows.

Adjustment to Fenestration Area—

Proposed paragraph (a)(7) specifies the

percentage of the fenestration area that

be assumed as frame or sash. This serves

to further refine the actual glazed area

for purposes of solar contribution for

heating or solar load for cooling. The

value of 27 percent is taken from the

information in Chapter 27 of the 1993

ASHRAE Handbook of Fundamentals

which specifies a 27 percent frame area

for a 3 ft. by 4 ft. operable wood

residential window. Frame and sash

adjustments to fenestration area in the

rated home are based on the actual

windows in use or as proposed for

retrofit or to be built homes.

Shading Coefficient—Proposed

paragraph (a)(8) fixes the shading

coefficient at 0.70 during the cooling

season. This is consistent with the

provisions for a reference house in

section 8.8.3.2 of ASHRAE Standard

90.2, for energy efficient design of low

rise residential buildings. It is also

consistent with the provisions found in

the 1994 amendments to CABO–MEC.

The 1994 amendments were used as a

source of information to define this

feature of the reference home because

the 1993 code lacks clarity on these

necessary specifications. It should be

noted that CABO states the use of

draperies without providing a specific

shading coefficient which still leaves

some ambiguity that is avoided by

following the ASHRAE approach. This

part of the proposed guidelines also

fixes the shading coefficient for the

glazing area at 0.88 during heating. This

value is as stated in Chapter 27 of the

1989 ASHRAE Handbook of

Fundamentals for clear double 1⁄8 inch

glass. Shading coefficients for glazing in

the rated home are based on the actual

windows in use or as proposed, but also

assuming the use of non-white draperies

on the same schedule as is specified for

the reference home.

In response to the language in section

271 of the Act that requires that these

proposed guidelines not discriminate

among fuel types, proposed paragraph

(a)(10) provides that the reference home

utilize the same energy sources for the

same purposes as in the rated home. In

the case of ratings that include proposed

upgrades, this eliminates the possibility

of a better rating by fuel switching.

Energy suppliers are free to promote

their particular fuel type by providing

comparative operating costs but should

do so outside of the information

provided in the rating of the home as it

exists.

In proposed paragraph (a)(12), the

equipment efficiencies specified for

HVAC systems and domestic hot water

equipment in the reference home, are

the minimum efficiencies initially

established by the National Appliance

Energy Conservation Act of 1987

(NAECA)(Pub.L. 100–12). In proposed

paragraph (a)(11), the reference home is
37954 Federal Register / Vol. 60, No. 142 / Tuesday, July 25, 1995 / Proposed Rules

also assumed to have the same type of

HVAC system, e.g., forced air or hot

water, as the rated home, except that in

the case of homes heated electrically,

the reference home is assumed to be

heated with an air source heat pump.

The Department considers this to be

consistent with the use of the minimum

equipment efficiency established by

NAECA, but acknowledges the fact that

in some homes with an extremely

efficient envelope, the use of resistance

heat might very well represent the best

value when life-cycle costing principals

are applied. However, it is considered a

greater risk to allow the combined

inefficiency of a poor envelope using

resistance heat to be mitigated if a heat

pump system is not specified in the

reference home.

Proposed paragraph (a)(13) provides

for standard adjustments to HVAC

systems for duct or piping losses when

the rated home has all or part of its

distribution system outside of the

conditioned space. The adjustment

factors are consistent with those found

in the 1994 Amendments to CABO–

MEC.

Proposed paragraph (a)(14) provides

specifications for water heater efficiency

expressed as an energy factor (EF). The

values specified are those found in the

NAECA requirements for domestic

water heaters.

The seasonal average air leakage rate

of 0.67 air changes per hour (ACH)

established for the reference house in

proposed paragraph (a)(15) is consistent

with the 1994 amendments to CABO–

MEC. Consideration was given to

reducing that value to 0.50 air changes

per hour as was done in the 1995

edition of CABO–MEC, but at 0.67 there

can be a greater incentive to test with

diagnostic equipment such as a blower

door. With the reference home set at the

lower level of 0.50, a tested home would

receive minimal credit (0.15 ACH) in

the rating before reaching the current

ASHRAE minimum of 0.35 ACH

assumed necessary for adequate

ventilation. With an 0.67 rate as the

basis for the reference home, a tested

home has the opportunity to

demonstrate a 0.32 ACH advantage in

the rating. The minimum standard

default value in proposed section

437.104, unless diagnostic testing is

conducted, is 0.67 so in no case could

a rated house claim any advantage over

the reference home without testing.

Proposed paragraph (a)(16) sets

standard assumptions for the building

mass found in the reference building

that would be considered when

evaluating the benefits of mass for heat

storage during both heating and cooling

seasons. This approach allows designers

of the rated home to incorporate passive

solar strategies into the design and to

receive full credit for mass provided for

that purpose. The internal and

structural mass values used are those

found in the 1994 Amendments to

CABO–MEC.

The reference home defined by

proposed section 437.103 represents a

fixed rating point that will not change

over time. Homes which have been

rated will never need to be re-rated

unless modifications have been made to

the home which affect its energy

efficiency.

The Department invites comments on

the configuration of the reference house

but reminds comment writers that it is

not the intention of these guidelines to

use the reference house to set any

specific level of efficiency. While the

specifications happen to be consistent

with some current energy efficient

mortgage programs, anyone offering

incentives for energy efficiency in

financing or otherwise, is free to select

any point on the rating scale as their

‘‘threshold of energy efficiency’’ or other

basis for comparison. The objective in

defining and using the reference home

is consistency and the fact that it is

fixed in time has no bearing on future

definitions of ‘‘energy efficiency’’ or

future qualifications for energy efficient

financing programs.

Proposed Section 437.104: Minimum

Rated Features

Proposed § 437.104 provides in Table

5, a list of building components and a

corresponding list of features of those

building components that must be

considered when calculating the energy

consumption for the rated home as

required by § 437.100. The Department

recognizes that there are numerous

additional features or devices that might

affect energy consumption in buildings.

Examples are ceiling fans, whole house

fans, moveable insulation, etc., most of

which are occupant controlled. The

Department believes that those listed in

Table 5 represent all the major

influences on energy consumption and

that it is not necessary to require that

each HERS provider be able to evaluate

all options and to do so would place an

undue burden on many existing

systems. Paragraph (h) of this section

states that any HERS provider may base

a rating on additional features if the

energy analysis tool being used is

capable of doing so.

Proposed paragraph (c) provides

methods, listed in the preferred order of

use, to determine building envelope

thermal characteristics.

Proposed paragraph (d) allows for the

use of default values when data for the

minimum rated features is not available

without expensive and destructive

disassembly of the home. The

Department believes that these default

values are best determined by a person

or persons knowledgeable about typical

construction practices used in any given

time frame for homes in any given area.

For this reason, this section places the

responsibility for establishing or

approving default values on the

accrediting body and reflects the

expectation that the required expertise

is present in that body.

Paragraph (e) of this section deals

specifically with air leakage. It states

that if diagnostic testing equipment is

not used to determine leakage, then

based on observations of the general

tightness of construction, a value of 0.67

air changes per hour or greater is to be

used. This precludes the use of a lower,

more efficient value in a rated home

than is used for the reference home

unless testing is done. It does not ensure

that the energy consumption

attributable to air leakage is accurately

reported in the rating but neither do the

models used to extrapolate annual

average air leakage rates from a single

diagnostic test. An experienced and

well trained rater may make reasonable

estimates of air leakage and doing so

without the expense of diagnostic

equipment reduces the cost of

completing a rating. The Department

invites comments on the sensitivity of

the possible range of error which can

occur with either estimated air leakage

or in the models for diagnostic testing.

Proposed paragraph (f) of this section

provides methods, listed in a preferred

order of use, for determining efficiencies

of primary types of mechanical

equipment. Proposed paragraph (g)

provides as the last in order of

preference, an age-based table of default

values for typical space conditioning

and domestic water heating equipment.

A non-aged based table of default values

is provided for less common types of

mechanical equipment.

These tables identified as Tables 6

and 7, were developed from the

following references:

Department of Energy Residential

Conservation Services Training

Manual (1981)

California Home Energy Efficiency

Rating System (CHEERS) equipment

default table

Air Conditioning & Refrigeration

Institute (ARI) historic equipment

shipment data, weighted averages

Gas Appliance Manufacturers

Association (GAMA) historic

equipment shipment data, weighted

averages
Federal Register / Vol. 60, No. 142 / Tuesday, July 25, 1995 / Proposed Rules 37955

Oil equipment shipment data compiled

by R. Krajewksi (Brookhaven National

Laboratory), weighted averages

Proposed Section 437.105: Operating

Condition Assumptions

These guidelines are to be used to rate

homes and not the occupants of the

home. Therefore occupant dependent

factors e.g., thermostat set points, are to

be disregarded when estimating the

energy consumption of the rated and

reference homes. Instead, the standard

operating conditions provided in

proposed § 437.105 are to be assumed.

Proposed paragraph (a) of this section

provides standard temperature control

setpoints of 68 °F for heating and 78 °F

for cooling which are consistent with

those found in the 1994 Amendments to

CABO–MEC. When programmable

offsets are available in the rated home,

proposed paragraph (b) of this section

specifies assumptions for the periods of

offset and the amount of offset (5 °F).

These values are based on information

obtained from an industry survey

conducted by Minneapolis Honeywell

that reported typical use of

programmable thermostats. The

Department considers these schedules

and offsets to be conservative and

therefore suitable as an operating

conditioning assumption when the rated

home is so equipped.

Proposed paragraph (c) sets standard

values for internal gains from lights,

people and equipment to be used when

calculating the space conditioning loads

and energy consumption. These values

are consistent with those found in the

1994 Amendments to CABO–MEC.

Proposed paragraph (d) provides a

formula for the determination of

domestic hot water usage. This formula

for daily usage, (30 gallons + (10 gallons

× number of bedrooms)), is consistent

with the formulas found in the 1994

Amendments to CABO–MEC and in

ASHRAE Standard 90.2 that establish

domestic hot water usage.

Proposed paragraph (e) would require

the HERS provider to make a

determination as to what weather data

is to be used when calculating energy

usage. The normal source of weather

information is to be found in the typical

meteorological year (TMY) data

published by the National Climatic

Center, Asheville, NC. The term

‘‘climatologically most representative’’

is used regarding the choice of location

of the TMY data to be used. This is

because the Department recognizes the

possibility that the closest TMY weather

site geographically may not be truly

representative of the weather conditions

found at the site of the home being

rated. This proposed paragraph also

allows interpolation of weather data if

the interpolated weather information is

consistent among all HERS providers

operating within a State and is approved

by the accrediting body.

Proposed paragraph (f) provides that

operating adjustments to equipment

efficiencies are to be made to correct for

climate and mis-sizing of equipment.

These correction factors may be

obtained from recognized sources. The

most logical sources of this information

are the Air Conditioning and

Refrigeration Institute (ARI) or

ASHRAE. The requirements of this

proposed paragraph would be met if the

adjustments are either provided by or

approved by the accrediting body and

are consistent among all HERS

providers operating within a State.

Proposed paragraph (g) would require

each HERS provider to use local utility

or energy rates when calculating costs

for reporting as required in proposed

section 437.102. This paragraph also

would provide for consistency among

HERS providers on the updating of the

rate information by requiring each HERS

provider operating within a State to

update information on the same

schedule which is established by the

accrediting body.

Proposed Section 437.106: Non-Rated

Energy Consuming Devices

The energy consumed by appliances

and lights is not included in

consumption used to determine the

rating. Proposed § 437.106 would

establish standard consumption values

for energy consuming devices such as

appliances and lights since it is

necessary to estimate the energy usage

of these non-rated devices to comply

with proposed § 437.102 (Rating

Report). Proposed § 437.102 would

require that, in addition to reporting the

estimated energy use for heating,

cooling and water heating, each HERS

provider reports the estimated energy

use and cost of all other energy used in

the rated home.

The Department recognizes the fact

that some appliances, especially

refrigerators, may have a wide variance

in energy use. There are also dramatic

savings available with the use of

alternative lighting fixtures. The

primary reason behind the decision to

neutralize the affect of appliances in the

rating process is that the rating should

not be based on items that are not a

permanent part of the structure.

Refrigerators and other appliances can

be moved with the occupants or can be

replaced with models that are more or

less efficient. In the case of lighting,

there are opportunities to include

permanently wired fixtures in the rating

but it is necessary to know the operating

schedule of the lighting to properly

identify savings. Therefore the rating

would be based on the occupants and

not on the house. In addition, the

number of permanently wired fixtures

in the typical home is limited and, in

most cases, represent only a small part

of the total energy use.

In proposed § 437.100(d), each HERS

provider is encouraged to provide

separate information on the cost of

operating appliances.

The electric energy use values

proposed in Table 8 of this section are

taken from documents published by the

Electric Power Research Institute (EPRI).

Those documents include: EPRI

Residential End-Use Energy

Consumption: A Survey of Conditional

Demand Estimates 1989 and EPRI

Residential Energy Usage Comparison

Project: An Overview 1990.

The gas energy use values proposed in

this section are taken from documents

published by the Gas Research Institute

(GRI). Those documents are: GRI

Baseline Projection Data Book, 1994

Edition; and GRI Interim Technical

Input to NAECA Rulemaking for GasFired Ranges, 1993.

Proposed Section 437.107 Projected

Ratings for To-Be-Built Homes

This section recognizes that

homebuilders may wish to offer

standard models that may be built on

sites that vary in orientation. This

would prevent a rater from meeting a

provision of section 437.104 which lists

window and skylight orientation as a

minimum rated feature. Therefore, a

projected rating for to-be-built homes

may be based on plans by estimating the

energy consumption for each of the four

cardinal orientations, (north, south, east

and west), and basing the projected

rating on the orientation that results in

the greatest energy consumption.

Projected ratings for to-be-built homes

must also use a default value for air

leakage of no less than 0.67 air changes

per hour. The rating may be revised

upon completion of the home if

diagnostic testing results in a lower air

leakage rate (and/or on the basis of

actual orientation). The Department

recognizes that this may be unfair to

builders who consistently deliver homes

with tighter construction because the

projected rating will not reflect the

benefit of additional investment in

tightening of the home and may cause

the rating to fall short of a level required

to obtain a particular incentive. The

final rulemaking could address this

issue by allowing an exception to the

default value for demonstrated

consistency of tightness by a builder
37956 Federal Register / Vol. 60, No. 142 / Tuesday, July 25, 1995 / Proposed Rules

and the Department solicits comments

on the appropriate basis on which that

exception might be made (number of

homes with demonstrated tightness,

etc.).

Subpart C—How to Administer a Home

Energy Rating System

Proposed Section 437.200: Energy

Analysis Tool Requirements

Proposed § 437.200 establishes the

minimum capabilities that an energy

analysis tool must have in order to

produce the information used in

determining a rating. These include the

ability to consider the effect of the

following items when estimating energy

use:

Building types. (Proposed § 437.2);

Reference home configuration.

(Proposed § 437.103);

Minimum rated features. (Proposed

§ 437.104);

Operating condition assumptions.

(Proposed § 437.105);

Non rated energy consuming devices.

(Proposed § 437.106).

Proposed paragraph (a)(5) is provided

in response to section 271(b)(2) of the

Act which requires that the voluntary

guidelines include protocols and

procedures for certification of the

technical accuracy of building energy

analysis tools used to determine energy

efficiency ratings.

The National Renewable Energy

Laboratory (NREL) has developed a

Home Energy Rating System Building

Energy Simulation Test (HERS

BESTEST) for this purpose. HERS–

BESTEST is published as a technical

report identified as NREL/TP–472–7332,

and is available from the information

contact identified at the beginning of

this notice or from the National

Technical Information Service, U. S.

Department of Commerce, Springfield,

Virginia 22161.

In developing HERS BESTEST, NREL

used the results of three public domain

dynamic analysis programs with time

steps of one hour or less to establish

reference energy consumption values as

a basis for comparison of the energy

consumption calculations generated by

HERS tools. The programs used were

DOE 2.1E, BLAST 3.0, and SERI–RES.

The NREL report establishes the

procedures to administer HERS–

BESTEST. The NREL report also

provides suggested pass/fail criteria for

certification of a rating tool based on the

tools ability to correctly calculate,

within an allowable deviation, building

energy loads for a series of tests

identified as Test Suite 1 of the HERS–

BESTEST process.

A single story slab on grade house

with typical glazing and insulation is

used as a base case with the HERS–

BESTEST Tier 1 test suite consisting of

variations to the building in these

elements:

• Air leakage.

• Wall and ceiling R-value.

• Glazing area.

• Glazing physical properties.

• Glazing orientation.

• South overhang.

• Uninsulated slab.

• Insulated slab.

• Uninsulated basement.

• Insulated basement.

• Internal loads.

• Crawl space.

• Exterior surface color.

• Combination of features using the

least energy efficient specifications for

each.

In each of the variations listed above,

the energy loads calculated by the three

public domain dynamic analysis

programs differ by varying amounts.

The variation can be up to fifteen

percent of the mean of all three results.

Thus a ‘‘band width’’ of results is

created for each test case.

Proposed § 437.206 (Accreditation)

provides that it is the responsibility of

a State or any other organization

established as an accrediting body, to

establish the pass/fail criteria for

certification of the tool. The suggested

pass/fail criteria provided in the NREL

report are based on the widest interval

produced by either a deviation of four

million BTU outside, on either side of

the ‘‘band width’’ created in HERS–

BESTEST or an interval produced by the

90% confidence interval for the

population mean using a Students t

distribution based on the reference

results of HERS–BESTEST.

Proposed paragraph (b) of this section

provides for future energy analysis tool

requirements. The Department believes

that the accuracy of ratings will be

improved with tools that utilize hourly

simulations to handle the variables

provided for in this proposed paragraph.

Proposed paragraph (b) of this section

sets a period of four years from the date

of final rulemaking for HERS providers

to improve their tools to meet the

requirements of this part.

The Department invites comments on

the need for the degree of accuracy

expected to result from the HERS–

BESTEST procedure. Specific questions

are: Can accuracy be best determined

using empirical data that compares

predictions to actual consumptions?

Also, should HERS providers be able to

self-certify the accuracy of the energy

analysis tools?

Proposed Section 437.201: Site Data

Collection Manual

Proposed § 437.100 states that data is

to be collected at the site of the rated

home. Proposed § 437.201 would

require each HERS provider to supply

each data collector with a manual

containing approved data collection

procedures. Proposed paragraph (a) of

this section provides, as a reference

source for such procedures, Guideline

No. 10 of the Home Energy Rating

Systems Council HERS Guidelines. The

Department has placed a copy of this

guideline in the public file for this

notice.

The Department believes that a

manual of this type can be most useful

if it is directed to local building practice

and history. Therefore, proposed

paragraph (a) states that a HERS

provider may use procedures

established by the accrediting body or

may create its own material as long as

the procedures used are approved by the

accrediting body.

Proposed Section 437.202: Training

Home Energy Raters

Proposed § 437.202 would require

each HERS provider to provide training

to any employee who will be involved

in the rating process. This section

provides for the development of a

syllabus to be used in this training.

Proposed paragraph (a) of this section

identifies the subject matter for a

classroom training segment of the

training. Proposed paragraph (b) would

require a written examination.

Paragraph (c) would require field

training. Paragraph (d) specifies a

probationary period.

Proposed paragraph (e) provides for

the use of a challenge test of

competency for rater personnel with

prior experience. The challenge test, if

passed, would allow the HERS provider

to waive the classroom training required

by paragraph (a) of this proposed

section.

The classroom training agenda in

proposed paragraph (a) was developed

from information provided to the

Department by the HERS Council

Technical Committee and is based on

recommendations made by personnel

representing the following

organizations: California Home Energy

Efficiency Rating System (CHEERS),

Energy Rated Homes of America

(ERHA), Oregon Department of Energy,

Policy & Planning Division, Western

Massachusetts Electric Co. Energy

Crafted Home Program.

The Department considers these

organizations to be among the most

experienced HERS providers operating
Federal Register / Vol. 60, No. 142 / Tuesday, July 25, 1995 / Proposed Rules 37957

today. The Department also believes

that the proposed training requirements

are based on sound principles.

Proposed Section 437.203: Quality

Control

Proposed paragraph (a) requires each

HERS provider to establish a Quality

Assurance Plan and specifies the

minimum elements of that plan. The

first element listed as paragraph (a)(1) is

the use of a peer review where other

raters would be asked to critique the

work of each rater as part of a

continuing re-evaluation program.

Proposed paragraph (b) would require

HERS providers to establish a Quality

Assurance File and specifies the

minimum contents of that file. This

paragraph further provides for a

minimum updating cycle of two years

for the information in this file, or sooner

if changes are made to the HERS

providers system.

Proposed paragraph (c) would require

HERS providers to maintain an

electronic database of specific

information on each home rated and

specifies the minimum content of that

database. The main purpose of

maintaining this data is to support the

monitoring and evaluation activities

provided in proposed section 437.204. It

may also be possible in the future to

link these databases with National or

State databases that track default data

on mortgages or loans. Only selected

parts of the database such as the unique

ID number would be needed for that

purpose.

The specification of individual

elements listed in proposed paragraphs

(a), (b) and (c) is based on

recommendations from the same

organizations referenced in the

discussion above on the development of

proposed § 437.202 and the Department

considers the requirements to represent

the minimum effort expected for quality

control. Specific recommendations or

comments are invited on this subject.

Proposed Section 437.204: Monitoring

and Evaluation

Proposed § 437.204 requires each

HERS provider to semi-annually

evaluate the accuracy of ratings being

performed by a periodic comparison of

predicted and actual energy use.

The Department believes that HERS

providers should maintain certain

information that would facilitate both

their own monitoring and evaluation

program and that of an accrediting body

or other third-party reviewer. Proposed

section 437.204 specifies that, in

addition to the data specified in

proposed § 437.203, each HERS

provider shall maintain a database

consisting of authorizations for the

release of consumption information by

utility companies. Optimally, the HERS

provider could maintain actual

consumption data for each rated home,

but even if the information were readily

available that would place a significant

administrative burden on the provider.

The Department also recognizes the fact

that in many cases these authorizations

may be difficult or impossible to obtain,

but believes the need exists to make a

reasonable effort to do so. This data

must be retained for a minimum of 10

percent of the ratings performed or 500

homes, whichever is less, in order to

allow the accrediting body or other

monitoring entity to make random

selections of ratings to review.

Proposed Section 437.205: Guideline

Compliance

Proposed § 437.205 sets forth two

levels of compliance for HERS providers

and also sets future requirements for

energy analysis tool capabilities. The

Department considers this to be a

phased-in approach to allow any

existing HERS provider to represent

themselves as operating in basic

compliance with the requirements of

this part while in the process of revising

certain elements of their existing system

to become fully accredited.

Proposed paragraph (a) of this section

provides a list of what must be

demonstrated to be deemed fully

accredited. Proposed paragraph (a)(4)

sets forth requirements for the energy

analysis tool to pass both Tier 1 and

Tier 2 sets of tests of HERS-BESTEST.

The Tier 2 set of tests test for the ability

to evaluate the following features

related to high mass passive solar

design:

• Variations in mass;

• Glazing orientation;

• Glazing area;

• South overhang;

• East and west shading.

Proposed paragraph (b) of this section

provides for ‘‘basic compliance’’ by

providing exceptions (with a maximum

two year duration) to the full

requirements provided in proposed

paragraph (a) of this section.

The exception permitted in paragraph

(b)(1)is the acceptance of simplified

utility rate structures. Since the rating is

based on consumption, the rating

accuracy is not compromised and only

minor inaccuracies are anticipated in

operating cost estimates.

Paragraph (b)(2) allows an exception

to the minimum rated features but it is

unlikely that any key features would be

excluded because the HERS provider

would not pass the HERS-BESTEST

procedure. The exception is most likely

to be used because of the inability of

existing systems to evaluate active solar

water heating or passive solar systems.

The exception to the use of standard

operating conditions allowed by

paragraph (b)(3) is also considered to

have minimal impact because of the

need to pass HER-BESTEST. If a HERS

provider does not use the exact

prescribed standard operating

conditions the results could be slightly

less accurate but they must still be

within HERS-BESTEST parameters.

Paragraph (b)(4) allows a HERS

provider to be in basic compliance by

passing only the Tier 1 set of HERSBESTEST tests. The additional

requirements found in the Tier 2 tests

are all related to a high mass passive

solar building and are not considered

critical for basic compliance.

The exception to specific training

requirements allowed under paragraph

(b)(5)is provided to recognize the fact

that many successful HERS providers

may not have training programs that

exactly match the syllabus set forth in

these proposed guidelines, and therefore

are given an opportunity to demonstrate

that suitable training has been provided.

The Department believes that the

exceptions listed will not significantly

compromise the accuracy or the utility

of ratings and provide for a reasonable

period of time to become fully

accredited.

Proposed Section 437.206:

Accreditation

Proposed § 437.206 states a

requirement that each HERS provider

operating in voluntary compliance with

these guidelines shall be accredited by

an accrediting body such as a State or

an independent entity meeting the

criteria set forth in this section.

In it’s consultation with various

stakeholders in the development of

these proposed guidelines, the

Department has received conflicting

commentary on the need for a system of

accrediting HERS providers and

certifying the energy analysis tools used

by these providers. The leading

proponent of accreditation is the HERS

Council, supported by its financial

community members. Opposition is

primarily found in existing operating

HERS systems where an accreditation

process and/or changes to meet the

proposed guidelines could be disruptive

to their present systems. Many of the

proposed guidelines state that when

certain information needed for the

rating process is not readily available

without destructive disassembly of the

home or without costly diagnostic

procedures, then standard default

values may be used. Such default values

are best developed by local entities
37958 Federal Register / Vol. 60, No. 142 / Tuesday, July 25, 1995 / Proposed Rules

based on local experience or historic

data for building practice. The

accreditation process would assure that

the default values used were consistent

among HERS providers operating within

a defined area such as a State.

As the proposed guidelines are

themselves voluntary, a voluntary

system, probably a combination of states

and national entities, could be

developed for home energy rating

providers seeking accreditation and tool

certification.

The Department requests comments

on the processes of accreditation and

tool certification, and the establishment

of appropriate entities for these

purposes. Specific questions are:

Should a national entity be created for

accreditation of HERS?

Should States accredit HERS and if

so, who would accredit HERS in states

where the State is unwilling or unable

to do so?

Should guidelines be developed for

the accreditation process itself and if so,

who should develop them?

Is self-accreditation a viable approach

and what process should be

implemented to do so?

III. Procedural Requirements

A. Environmental Review

The proposed quidelines were

reviewed under the National

Environmental Policy Act (42 U.S.C.

4321 et seq.), the Council on

Environmental Quality regulations

implementing the provisions of the

National Environmental Policy Act (40

CFR parts 1500–1508), and the

Department’s regulations for compliance

with the National Environmental Policy

Act (10 CFR part 1021).

DOE concludes that, under Category

A11 (Technical advice and assistance)

of Appendix A to Subpart D,

‘‘Categorical Exclusions Applicable to

General Agency Actions’’, of 10 CFR

part 1021, the voluntary guidelines are

categorically excluded from further

environmental documentation.

B. Regulatory Planning and Review

The proposed guidelines do not

constitutes a ‘‘significant regulatory

action’’ as defined in section 3(f) of

Executive Order 12866, ‘‘Regulatory

Planning and Review’’ (58 FR 51735),

and has not been reviewed by the Office

of Information and Regulatory Affairs of

the Office of Management and Budget.

C. Federalism

The proposed guidelines have been

reviewed in accordance with Executive

Order 12612, ‘‘Federalism’’ (52 FR

41685), which directs agencies to

consider the impact of Federal actions

on States, on the relationship between

the Federal Government and the States,

and on the distribution of power and

responsibilities among the various

levels of government.

The guidelines proposed by DOE are

strictly voluntary. No requirements or

inducements have been placed upon the

States to adopt the guidelines.

Consequently, the guidelines do not

contain sufficient federalism

implications to warrant the preparation

of a federalism assessment.

D. Regulatory Flexibility Act

The proposed guidelines were

analyzed under the Regulatory

Flexibility Act, 5 U.S.C. 601 et seq.,

which directs agencies to prepare a

regulatory flexibility analysis for each

proposed rule or certify that the rule

will not have a ‘‘significant economic

impact on a substantial number of small

entities.’’

The proposed guidelines are expected

to have a minimal effect on small

entities. The guidelines described are

voluntary and no requirements or

burdens have been imposed on any

entity. As permitted by section 605 of

the Regulatory Flexibility Act, DOE

certifies that the proposed guidelines

will not have a significant economic

impact on a substantial number of small

entities. Consequently, no regulatory

flexibility analysis will be produced.

E. Paperwork Reduction Act

These proposed guidelines were

examined with respect to the Paperwork

Reduction Act, 44 U.S.C. 3501 et seq.,

which directs agencies to minimize

Federal information collection and

reporting burdens imposed on

individuals, small businesses, and State

and local governments.

These proposed guidelines establish

voluntary guidelines for residential

energy efficiency ratings and do not

impose requirements for the collection

or reporting of information to the

Federal Government. Accordingly,

clearance under the Paperwork

Reduction Act of 1980 is not required by

the Office of Information and Regulatory

Affairs of the Office of Management and

Budget.

IV. Public Comment Procedures

A. Public Participation

The Department encourages the

maximum level of public participation

in developing these guidelines.

Individuals, Federal agencies,

architects, engineers, utilities, States

and local governments, building code

organizations, builders, builder

associations, building owners, building

owner associations, consumers,

mortgage lenders, and others are urged

to submit written statements on the

proposal. The Department also

encourages interested persons to

participate in the public hearing to be

held in Washington, D.C., at the time

and place indicated at the beginning of

this Notice.

The Department has established a

comment period of 90 days following

publication of this notice, for interested

persons to comment on this proposal.

All comments will be available for

review in the Department’s Freedom of

Information Reading Room.

B. Written Comment Procedures

Interested persons are invited to

participate in this proceeding by

submitting written data, views or

arguments with respect to the subjects

set forth in this notice. Instructions for

submitting written comments are set

forth in the beginning of this notice and

below.

Comments (with 7 copies) should be

labeled both on the envelope and on the

documents, ‘‘Residential Energy

Efficiency Rating Guidelines’’ (Docket

No. EE–RM–95–202)’’ and must be

received by the date indicated in the

beginning of this notice, in order to

insure full consideration. Additionally,

the Department would appreciate an

electronic copy of the comments to the

extent possible. The Department is

currently using the WordPerfect 5.1

word processing program. All comments

received by the date specified at the

beginning of this notice and other

relevant information will be considered

by the Department before final action is

taken on the proposed regulation.

All written comments received on the

proposed voluntary guidelines will be

available for public inspection at the

Department’s Freedom of Information

Reading Room as provided at the

beginning of this notice.

Pursuant to the provisions of 10 CFR

1004.11, any person submitting

information or data which the

submitting person believes to be

confidential and exempt by law from

public disclosure, should submit one

complete copy of the document, and 7

copies, if possible, from which the

information believed to be confidential

has been deleted. The submitter is to

include a statement specifying why the

information is privileged or

confidential. The Department will make

its own determination with regard to the

confidential status of the information or

data and treat it according to its

determination.
Federal Register / Vol. 60, No. 142 / Tuesday, July 25, 1995 / Proposed Rules 37959

C. Public Hearing

1. Procedure for Submitting Requests To

Speak

In order to have the benefit of a broad

range of public viewpoints in,

developing these guidelines the

Department will hold a public hearing.

Listed earlier in this notice is the date

and address for the hearing. Any person

who has an interest in these

proceedings, or who is a representative

of any group or class of persons having

an interest, may make a request for an

opportunity to make an oral

presentation at the public hearing. Such

requests should be labeled both on the

letter and the envelope, ‘‘Residential

Energy Efficiency Rating Guidelines’’

(Docket No. EE–RM–95–202)’’ and

should be sent to the address and must

be received by the time specified at the

beginning of this notice.

The person making the request should

briefly describe the interest concerned

and, if appropriate, state why he or she

is a proper representative of the group

or class of persons that has such an

interest, and give a telephone number

where he or she may be contacted. Each

person selected to be heard will be so

notified by the Department as to the

approximate time they will be speaking.

Each person to be heard is requested

to bring to the hearing seven copies of

their statement. In the event any person

wishing to testify cannot meet this

requirement, alternative arrangements

can be made with the Office of Hearings

and Dockets in advance by so indicating

in a letter requesting to make an oral

presentation.

A list of the persons to be heard at the

hearing will be available upon request

from the Office of Hearings and Dockets.

The list will also be available for

inspection in the Department’s Freedom

of Information Reading Room.

2. Conduct of Hearing

The Department reserves the right to

select the persons to be heard at the

public hearing, to schedule the

representative presentations, and to

establish the procedures governing the

conduct of the hearing. The length of

each presentation is limited to 20

minutes.

A Department official will be

designated to preside at the hearing. The

hearing will not be judicial or

evidentiary-type hearing, but will be

conducted in accordance with 5 U.S.C.

553 and Section 501 of the Department

of Energy Organization Act, 42 U.S.C.

7191. At the conclusion of all initial oral

statements, each person who has made

an oral statement will be given the

opportunity to make a rebuttal

statement, subject to time limitations.

The rebuttal statements will be given in

the order in which the initial statements

were made. The official conducting the

hearing will accept additional

comments or questions from those

attending, as time permits. Any

interested person may submit to the

presiding official written questions to be

asked of any person making a statement

at the hearing. The presiding official

will determine whether the question is

relevant or whether time limitations

permit it to be presented for a response.

Further questioning of speakers may

be permitted by the Department. The

presiding official will afford any

interested person an opportunity to

question the interested persons who

made oral presentations, and employees

of the United States who have made

written or oral presentation with respect

to disputed issues of material fact

relating to the proposed rule. This

opportunity will be afforded after any

rebuttal statements, to the extent that

the presiding official determines that

such questioning is likely to result in a

more timely and effective resolution of

such issues. If the time provided is

insufficient, the Department will

consider affording an additional

opportunity for questioning at a

mutually convenient time. Persons

interested in making use of this

opportunity must submit their request

to the presiding official no later than

shortly after the completion of any

rebuttal statements and be prepared to

state specific justifications, including

why the issue is one of disputed fact

and how the proposed questions would

expedite their resolution.

Any further procedural rules

regarding proper conduct of the hearing

will be announced by the presiding

official.

Transcripts of the hearing will be

made, and the entire record of this

rulemaking, including the transcripts,

will be retained by the Department and

made available for inspection at the

Department’s Freedom of Information

Reading Room as provided at the

beginning of this notice. Any person

may also purchase a copy of the

transcript from the transcribing reporter.

The Department may cancel the

public hearing if the Department does

not receive sufficient interest

concerning the hearing. The Department

will include for the record a copy of the

statement of any person who requested

to speak at a hearing that was canceled

by the Department.

List of Subjects in 10 CFR Part 437

Buildings, Energy conservation,

Housing standards, Mortgages.

Issued in Washington, DC, on July 11,

1995.

Christine A. Ervin,

Assistant Secretary, Energy Efficiency and

Renewable Energy.

For the reasons set forth in the

preamble, it is proposed to amend 10

CFR Chapter II by adding part 437 to

read as follows:

PART 437—VOLUNTARY HOME

ENERGY RATING SYSTEM

GUIDELINES

Subpart A—General Provisions

Sec.

437.1 Purpose.

437.2 Scope.

437.3 General definitions and acronyms.

437.4 Availability of ratings.

Subpart B—How To Rate a Home

Sec.

437.100 Rating procedure.

437.101 Rating point score and star rating.

437.102 Rating report.

437.103 Reference home configuration.

437.104 Minimum rated features.

437.105 Operating condition assumptions.

437.106 Non-rated energy consuming

devices.

437.107 Projected ratings for to-be-built

homes.

Subpart C—How To Administer a Home

Energy Rating System

Sec.

437.200 Energy analysis tool requirements.

437.201 Site data collection manual.

437.202 Training home energy raters.

437.203 Quality control.

437.204 Monitoring and evaluation.

437.205 Guideline compliance.

437.206 Accreditation.

Authority: 42 U.S.C. 8236–8236b

Subpart A—General Provisions

§ 437.1 Purpose.

The provisions of this part establish

voluntary guidelines which any

provider of home energy ratings may

follow to produce uniform energy

efficiency ratings for residential

buildings. The energy efficiency ratings

produced under this part may be used

to enable and encourage the use of home

mortgages or home improvement loans

that include incentives for energy

efficiency in homes.

§ 437.2 Scope.

These guidelines apply to existing or

proposed site-constructed or

manufactured residential buildings that

are either one and two family dwellings,

or other residential dwellings three

stories or less in height excepting hotels

and motels.

§ 437.3 General definitions and acronyms.

As used in this part—
37960 Federal Register / Vol. 60, No. 142 / Tuesday, July 25, 1995 / Proposed Rules

Accrediting body means a State, local

government, or other independent

agency that meets the criteria provided

in § 437.206 of these guidelines for the

accreditation of HERS providers.

AGA means American Gas

Association

Annual Fuel Utilization Efficiency or

AFUE means the ratio of annual output

energy to annual input energy that

includes any non-heating season pilot

input loss.

Conditioned space, directly means an

enclosed space having heating

equipment with a capacity of 10 BTU/

(hr-ft2), or cooling equipment with a

capacity exceeding 10 BTU/(hr-ft2). An

exception is if the heating and cooling

equipment is designed and

thermostatically controlled to maintain

a process environment temperature less

than 65° Fahrenheit or greater than 85°

Fahrenheit for the whole space the

equipment serves.

Conditioned space, indirectly means

enclosed space that is not directly

conditioned space:

(1) With area weighted heat transfer

coefficient (U-value) to directly

conditioned space exceeding that to the

outdoors or to unconditioned spaces; or

(2) Through which air from directly

conditioned spaces is transferred at a

rate exceeding three air changes per

hour.

COP means Coefficient of

Performance, which is 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.

Data analyst means a person trained

to enter the information compiled by a

data collector into the rating tool and to

produce the energy efficiency rating of

a home.

Data collector means a person trained

to evaluate the minimum rated features

of a home on site and collect all the

information required to create a rating.

Detached one- and two-family

dwelling means a building with one or

two independent dwelling units with an

individual or central HVAC system.

Energy analysis tool means a

calculation procedure for determining a

home’s energy efficiency rating and

estimating annual purchased energy

consumption and cost.

EER means Energy Efficiency Ratio,

which is the ratio of net equipment

cooling capacity in Btu/h to total rate of

electric input in watts under designated

operating conditions.

Energy efficiency rating or rating

means an unbiased indication of a

home’s relative energy efficiency based

on consistent inspection procedures,

operating assumptions, climate data and

calculation methods.

Energy factor means a measure of

water heater energy efficiency as

determined under Department of Energy

Regulations. 10 CFR 430.23(e)(2)(ii).

Estimated annual energy cost savings

means positive dollar difference

between estimated annual energy costs

for a home with energy saving measures

and estimated annual energy costs of the

same home in its current condition.

Fenestration means a glazed opening

in a building.

Full rater means the person trained to

perform the functions of both a data

collector and a data analyst.

HERS-BESTEST means the Home

Energy Ratings System Building

Simulation Test published in NREL

Report No. NREL/TP–472–7332.

HERS provider means a person or

organization that develops, manages and

operates a home energy rating system.

Home means a one or two family

dwelling, or multi-family dwelling of

three stories or less.

Home energy rater or rater means the

person trained to inspect a home to

evaluate the minimum rated features

and prepare an energy efficiency rating.

(see also Data collector, Data analyst,

Full rater)

Home Energy Rating System or HERS

means the materials and procedures

needed to operate a home energy rating

program including but not limited to:

marketing materials, training,

publications, rating tool, quality control,

data base collection and maintenance,

agreements, data collection sheets,

home owner reports, and other related

materials and services.

HSPF means Heating Seasonal

Performance Factor which is 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.

HVAC means Heating, Ventilating and

Air Conditioning.

Internal gains means the heat gains

within a home attributable to lights,

people, and miscellaneous equipment

including domestic hot water

equipment losses.

NREL means National Renewable

Energy Laboratory.

Purchased energy means the portion

of the total energy requirement of a

home that is purchased from a utility or

other energy supplier.

Reference home means a hypothetical

home configured to the specifications

set forth in section 437.103 of these

guidelines.

R-value means thermal resistance

value.

SEER means seasonal energy

efficiency ratio, which is the total

cooling output of an air conditioner

during its normal annual usage period

for cooling, in Btu/h, divided by the

total electric energy input during the

same period, in watt-hours.

Thermal storage mass means

materials or equipment incorporated

into a home that will store heat,

produced by renewable or non

renewable energy, for release at a later

time.

Trombe wall means a heavy mass

wall, usually of masonry materials or

containing water, constructed adjacent

to a glazed area, for the purpose of

collecting and storing solar energy.

Typical Meteorological Year or TMY

Data means hourly data published by

the National Climatic Center, Asheville,

NC. based on historical weather data for

216 locations.

U-value means thermal transmittance

value.

§ 437.4 Availability of ratings.

The purposes of this rating system are

to permit:

(a) Each builder, real estate agent,

lender, or organization in the mortgage

business—

(1) When rating information is

available, to communicate that

information in writing to home buyers

prior to sale; and

(2) To advise each applicant for

financing of a home of incentives

relating to qualification criteria, rate

structure, or otherwise, available based

on the energy efficiency of the home as

measured by ratings conducted under

these guidelines,

(b) Each multi-listing service (MLS) to

include available home energy rating

information on any applicable listing.

Subpart B—How To Rate a Home

§ 437.100 Rating procedure.

(a) To determine the energy efficiency

rating of a home, each HERS provider

shall—

(1) If the rating is being conducted for

an existing home, visit the site of the

home being rated to collect the data

needed to conduct the rating;

(2) If the rating is being conducted for

a to be built home, follow the

procedures set forth in § 437.107 of

these guidelines to collect the data

needed to conduct the rating;

(3) Use the collected data to estimate

the annual purchased energy

consumption for heating, cooling and

water heating for both the rated home

and the reference home defined in

§ 437.103.

(4) If the energy efficiency rating is

conducted to evaluate proposed energy
Federal Register / Vol. 60, No. 142 / Tuesday, July 25, 1995 / Proposed Rules 37961

conserving improvements to the home,

conduct additional estimates of annual

purchased energy consumption with the

home reconfigured to include those

improvements sufficient to consider

interactions among improvement

options.

(b) Estimates completed by each

HERS provider under paragraphs (a)(3)

and (4) of this section must be—

(1) Based on the minimum rated

features set forth in § 437.104 of these

guidelines;

(2) Conducted using the standard

operating assumptions established in

§ 437.105;

(3) Conducted using an energy

analysis tool that has been certified for

accuracy under § 437.200.

(c) Each HERS provider shall compare

the estimates provided under paragraph

(a) of this section to determine the

energy efficiency rating of the home and

if applicable, the energy efficiency

rating of the home with proposed

conservation measures installed.

(d) To encourage the use of energy

efficient appliances, each HERS

provider may provide additional

information on estimated appliance

energy consumption of the appliances

in use in the rated home. This

information will not change the rating

procedure set forth in this section.

§ 437.101 Rating point score and star

rating.

(a) Point score. The reference home

has a score of 80 points on a 0 to 100

point scale. A rated home with the same

annual purchased energy consumption

as its associated reference home also has

a score of 80 points. Every 0.05 decrease

in the ratio (from 1:1) of the rated

home’s annual purchased energy

consumption to the reference home’s

annual purchased energy consumption

translates to an increase in the rated

home’s score of 1 point. An increase of

0.05 in the ratio translates to a decrease

in the rated home’s score of one point.

Equation 1 is used to calculate the point

score.

Equation 1

Point score = 100-((ER/EC)/.05)

Where—

ER=Estimated purchased energy

consumption for heating, cooling and

water heating of rated home (Btu).

EC=Estimated purchased energy

consumption for heating, cooling and

water heating of reference home (Btu).

(b) Star rating. The rated home will be

given a star rating between one and fiveplus stars, determined by the numerical

score and the corresponding number of

stars depicted in Table 1;

TABLE 1.—SCORE AND STAR SCALES FOR RATED HOMES

Score Stars Annual purchased energy consumption

0–39 .................................... One ..................................... > 3.0×Reference house.

40–59 .................................. Two ..................................... > 2.0 and < 3.0×Reference House.

60–79 .................................. Three .................................. > 1.0 and <= 2.0×Reference House.

80–85 .................................. Four .................................... > 0.70 and <= 1.0×Reference House.

86–91 .................................. Five ..................................... > 0.40 and <= 0.70×Reference House.

92–100 ................................ Five Plus ............................. >= zero and <= 0.40×Reference House.

(c) Homes that utilize no purchased

energy due to the use of technologies

such as wind generation or photo

voltaic power systems will require no

calculations and will automatically be

given a 100 point score and a five-plus

star rating

§ 437.102 Rating report.

(a) For each rating conducted under

this part, a report is to be prepared

containing the following information:

(1) The numerical rating score

determined in § 437.101;

(2) The star rating determined in

§ 437.101;

(3) The estimated annual purchased

energy consumption by fuel type of

space heating, space cooling, domestic

hot water, and all other energy use, and

the total of these four estimates;

(4) The estimated annual energy cost

by fuel type of space heating, space

cooling, domestic hot water, and all

other energy use, and the total of these

four estimates;

(5) The name of the accrediting body

certifying the accuracy of the energy

analysis tool under § 437.200.

(6) The margin of estimating error

accepted by the accrediting body

certifying the energy analysis tool;

(7) The level of accreditation, stated

as either basic compliance or full

accreditation determined under

§ 437.205 (a) and Guidelines

compliance; and

(8) Whether infiltration was tested

using diagnostic equipment or estimated

by the HERS provider.

(9) Any available and pertinent prior

energy consumption data.

(b) If ratings are conducted to evaluate

energy saving improvements to the

home, in addition to the information set

forth under paragraph (a) this section,

each rating report must include—

(1) The estimated annual energy cost

savings available with the home

reconfigured to include those

improvements;

(2) The discount rate applied to, and

present worth value of, the energy cost

savings; and

(3) The financing interest rate and life

of the measure used by the HERS

provider to determine the present worth

value.

(c) The rating report must also

provide either:

(1) The estimated appliance energy

consumption of the rated home: or

(2) Information that additional energy

savings related to appliance use may be

attainable and that the information

available on Energy Guide labels and

from other recognized sources may be

used to consider the energy efficiency of

appliances.

(d) If the rating is a projected rating

for a to-be-built home, conducted under

§ 437.104(d) the rating shall be

identified as a rating based on plans.

(e) For each rating conducted under

these guidelines, the following items are

to be prominently displayed on all

reports and labels:

(1) Date of the rating;

(2) Annual estimated energy costs for

heating, cooling, water heating and all

other use:

(3) Rating point score: and

(4) Star rating.

§ 437.103 Reference home configuration.

(a) To conduct each rating under this

part, each HERS provider shall establish

a reference home that is used in an

annual purchased energy consumption

comparison with the rated home. The

reference home is a hypothetical home

configured using—

(1) The same shape and size as the

rated home;

(2) The same area of surfaces

bounding conditioned space as the rated

home, but not including surfaces that

neither gain nor lose heat;

(3) All enclosure elements that meet,

but not exceed, the requirements,

expressed as U and Uo values, of
37962 Federal Register / Vol. 60, No. 142 / Tuesday, July 25, 1995 / Proposed Rules

paragraph 502.2 of the 1993 CABO

Model Energy Code;

(4) An area of exterior doors of 40

square feet and with the door U-value at

0.20.

(5) Vertical fenestration area equal

to—

(i) For detached homes, 18% of the

floor area of directly conditioned space;

(ii) For attached homes, F×18% of the

floor area of directly conditioned space

where:

F=(exposed wall area)/(exposed wall

area+common wall area)>=.56

(6) Vertical fenestration distributed—

(i) For detached homes, equally in

each of the four cardinal directions,

north, south, east and west; and

(ii) For attached homes, equally in

each of the four cardinal directions,

north, south, east and west, which if

necessary may assume fenestration in

common walls;

(7) A frame factor equal to 27% of the

gross fenestration area calculated under

paragraph (a)(5) of this section;

(8) The glazed area of the fenestration

with a shading coefficient (SC) of 0.70

assumed during the cooling season,

which represents the combined SC of

the glazing and the use of nonwhite

draperies and with a SC of 0.88

representing the SC of the glazing only

assumed at all other times;

(9) No external shading assumed at

any time;

(10) The same energy sources for

heating, cooling and water heating used

in the rated home;

(11) The same type of HVAC system(s)

as the rated home except that if the

rating is for any electrically heated

home, the reference home HVAC system

is an air source heat pump;

(12) The efficiencies of HVAC systems

set forth in Table 2;

TABLE 2

Type Units Rating

Heating Equipment:

Gas or Oil Warm Air Furnace.AFUE 0.78

Gas Boiler (water) .......... AFUE 0.80

Gas Boiler (steam) ......... AFUE 0.75

Oil Boiler (water or

steam).

AFUE 0.80

Air Source Heat Pump:

(split system) .................. HSPF 6.80

(package system) ........... HSPF 6.60

Cooling Equipment:

Central Air Conditioner:

(split system) .................. SEER 10.00

(package system) ........... SEER 9.70

Heat Pump:

(split system) .................. SEER 10.00

(package system) ........... SEER 9.70

(13) The heating and cooling system

efficiencies proportionally adjusted for

sections of ductwork located outside or

inside conditioned space, with

adjustment based on the configuration

of the ductwork in the rated home and

using the values set forth in Table 3 and

Equation 2;

TABLE 3.—FORCED AIR AND

HYDRONIC DISTRIBUTION SYSTEM

LOSS FACTORS

Within conditioned

space

Outside

conditioned

space

Unconditioned

basement

Forced Air Systems—Duct Location

Heating 1.00 .......... 0.72 0.80

Cooling 1.00 ........... 0.72 0.80

Hydronic Systems—Piping Location

1.00 ........................ 0.95 0.95

Equation 2

Adjusted Efficiency=Equipment Efficiency ×

Distribution Loss Factor

(14) The energy factor for the water

heater set forth in Table 4 for the size

used in the rated house;

TABLE 4

Water heating Rated storage capacity

(gallons)

Type Unit 30 gal 40 gal 50 gal 60 gal

Gas ...................................................................................................................................... EF 0.56 0.54 0.53 0.51

Oil ........................................................................................................................................ EF 0.53 0.53 0.50 0.48

Electric ................................................................................................................................ EF 0.91 0.90 0.88 0.87

1EF=Energy Factor.

(15) A seasonal average air leakage

rate of 0.67 air changes per hour;

(16) An internal mass of 8 pounds per

square foot of floor area and a structural

mass of 3.5 pounds per square foot of

floor area; and

(17) No heat capacitance associated

with solar storage mass within the

thermal envelope of the rated home.

(b) For walls of attached homes, the

U-value calculation set forth under

paragraph (a)(3) of this section is

completed using the fenestration area

calculated as F in paragraph (a)(5)(ii) of

this section and the actual area of walls

that experience heat loss or gain.

Common walls that separate homes are

not included in this calculation.

§ 437.104 Minimum rated features.

(a) Each HERS provider shall

complete the annual purchased energy

consumption estimates for heating,

cooling and water heating set forth in

§ 437.100 of these guidelines using the

energy loss and gain associated with the

minimum features set forth in Table 5.

(b) For existing homes, the envelope

thermal characteristics of building

elements 1 through 7 set forth in Table

5 are determined by site observation.

(c) If data for the minimum rated

features set forth in paragraph (b) of this

section can not be obtained by

observation or without destructive

disassembly of the home, each HERS

provider shall use default values. The

default values are determined from the

following sources listed in the

preferential order of use—

(1) for manufactured homes, available

manufacturer’s data;

(2) current and historical local

building practices; or

(3) current and historical local

building codes.

(d) Default values set forth in

paragraph (c) of this section will be

established or approved by the

accrediting body and consistent for each

HERS provider operating within a state.

(e) For existing homes, the

determination of air leakage and duct

leakage values set forth as building

elements 10 and 11 in Table 5 are

determined by data collected on site

using the following procedures listed in

preferential order of use:

(1) current on-site diagnostic test data;

or

(2) observations of the condition of

the building and duct system made by

the HERS provider. Based on these

observations values used will be;

(i) for air leakage, 0.67 air changes per

hour or greater with the minimum value
Federal Register / Vol. 60, No. 142 / Tuesday, July 25, 1995 / Proposed Rules 37963

of 0.67 to be used only when the rater

observes features that denote tight

construction; and

(ii) for duct leakage, default values

approved or established by the

accrediting body.

(f) For existing homes, the energy

efficiency of the mechanical equipment

set forth as building elements 12

through 14 in Table 5 is determined by

data collected on site using the

following sources listed in preferential

order of use:

(1) current on-site diagnostic test data;

(2) name plate data;

(3) manufacturer’s data sheet; or

(4) equipment directories.

(g) If information on the energy

efficiency of mechanical equipment

cannot be determined from the sources

listed in paragraph (f) of this section, the

values set forth in Tables 6 and 7 shall

be used.

(h) Any HERS provider may base

annual purchased energy consumption

estimates for the rated home on

additional features if the HERS

provider’s energy analysis tool is

capable of doing so.

TABLE 5.—MINIMUM RATED FEATURES

Building element Minimum rated features

1. Floor/Foundation Assembly.Construction type (slab-on-grade, crawl space, basement), insulation (edge, under slab, cavity, sheathing), vented

or unvented (crawl space), capacitance (if slab or basement receives appreciable solar gain).

2. Walls ................................ Construction type, insulation value (cavity, sheathing), capacitance, color (light, medium, or dark).

3. Roof/Ceiling Assembly .... Construction type, insulation value (cavity, sheathing), roof color (light, medium, or dark).

4. Rim Joist .......................... Insulation value (cavity, sheathing).

5. Doors ............................... Construction type, insulation value.

6. Windows .......................... Construction type, orientation, U-value (of complete assembly), solar heat gain coefficient, shading.

7. Skylights .......................... Construction type, orientation, tilt, U-value (of complete assembly), heat gain coefficient, shading.

8. Passive Solar System (Direct Gain System).Solar aperture area and orientation, thermal storage mass.

9. Solar Domestic Hot Water

Equipment.

System type, collector type and area, orientation, tilt, efficiency, storage tank size, pipe insulation value.

10. Air Leakage ................... Air leakage measurement type (estimate, blower door test, tracer gas test), volume of conditioned space.

11. Distribution System ........ System type, location, insulation value (duct and pipe), air leakage (ducted systems only).

12. Heating Equipment ........ Equipment type, location, efficiency (AFUE, HSPF).

13. Cooling Equipment ........ Equipment type, location, efficiency (SEER, COP).

14. Domestic Hot Water

Equipment.

Equipment type, location, energy factor or seasonal efficiency, extra tank insulation value, pipe insulation value.

15. Control Systems ............ Thermostat type.

TABLE 6.—MECHANICAL

Mechanical Systems Units Pre-1960 1960–69 1970–74 1975–83 1984–87 1988–91 1992 to

present

Heating:

Gas Furnace ...................... AFUE 0.60 0.60 0.65 0.65 0.68 0.76 0.78

Gas Boiler .......................... AFUE 0.60 0.60 0.65 0.65 0.70 0.77 0.80

Oil Furnace or Boiler .......... AFUE 0.60 0.65 0.72 0.75 0.80 0.80 0.80

Air-Source Heat Pump ....... HSPF 4.50 4.50 4.70 5.50 6.30 6.80 6.80

Ground-Water Geothermal

Heat Pump.

COP 2.70 2.70 2.70 3.00 3.10 3.20 3.50

Ground-Coupled Geothermal Heat Pump.COP 2.30 2.30 2.30 2.50 2.60 2.70 3.00

Cooling:

Air-Source Heat Pump ....... SEER 5.00 6.10 6.50 7.40 8.70 9.40 10.00

Ground-Water Geothermal

Heat Pump.

EER 10.00 10.00 10.00 13.00 13.00 14.00 16.00

Ground-Coupled Geothermal Heat Pump.EER 8.00 8.00 8.00 11.00 11.00 12.00 14.00

Central Air Conditioner ....... SEER 5.00 6.10 6.50 7.40 8.70 9.40 10.00

Room Air Conditioner ......... EER 5.00 6.10 6.10 6.70 7.70 8.10 8.50

Water Heating:

Storage Gas ....................... EF 0.47 0.47 0.47 0.49 0.55 0.56 0.56

Storage Oil ......................... EF 0.47 0.47 0.47 0.48 0.49 0.54 0.56

Storage Electric .................. EF 0.79 0.80 0.80 0.81 0.83 0.87 0.88

TABLE 7.—MECHANICAL EQUIPMENT

EFFICIENCY VALUES(Not Age-Based)

Units Rating

Heating:

Gas Wall Furnace

(Fan).

SE 0.70

Gas Wall Heater (Gravity).SE 0.65

Gas Floor Furnace ....... SE 0.60

TABLE 7.—MECHANICAL EQUIPMENT

EFFICIENCY VALUES(Not AgeBased)—Continued

Units Rating

Gas Water Heater

(Space Heating).

AFUE 0.75

Electric Furnace ........... HSPF 3.413

Electric Radiant ............ HSPF 3.413

TABLE 7.—MECHANICAL EQUIPMENT

EFFICIENCY VALUES(Not AgeBased)—Continued

Units Rating

Heat Pump Water

Heater (Space).

HSPF 5.11

Electric Water Heater

(Space).

HSPF 2.73
37964 Federal Register / Vol. 60, No. 142 / Tuesday, July 25, 1995 / Proposed Rules

TABLE 7.—MECHANICAL EQUIPMENT

EFFICIENCY VALUES(Not AgeBased)—Continued

Units Rating

Cooling:

Electric Evaporative

Cooling.

EERrc 30

Gas Absorption Cooler COP 0.40

Water Heating:

Heat Pump ................... COP 2.00

Instantaneous Electric .. EF 0.87

Instantaneous Gas ....... EF 0.75

Solar (Use SRCC Adjustment Procedures).EF 2.00

§ 437.105 Operating condition

assumptions.

To conduct each rating under these

guidelines, each HERS provider shall

estimate the annual purchased energy

consumption for heating, cooling and

water heating for both the rated home

and the reference home using the

following assumptions—

(a) Temperature control set points for

heating and cooling of 68° F and 78° F;

.

(b) Where programmable offsets are

available in the rated home, 5° F

temperature control point offsets with

an 11 PM to 7 AM schedule for heating

and a 9 AM to 3 PM schedule for

cooling, and with no offsets assumed for

the reference home;

(c) Internal heat gains from lights,

people and equipment of 3000 Btu/hr

for detached homes and 1500 Btu/hr for

attached homes;

(d) Estimated hot water usage based

on Equation 3.

Equation 3

Gallons/day=30 gallons+(10 gallons *

number of bedrooms).

(e) the climatologically most

representative TMY or equivalent

weather data, which may be

interpolated between weather sites if

interpolation is established or approved

by the accrediting body and consistent

for each HERS provider operating

within a state.

(f) Corrections for climate conditions

and mis-sizing of equipment, using

correction factors to HSPF, SEER and

AFUE that are established or approved

by the accrediting body and consistent

for each HERS provider operating

within a state.

(g) Local residential energy or utility

rates that—

(1) Include fuel/energy unit rates;

(2) Include fuel/energy unit demand

rates;

(3) Include fuel/energy block rates;

(4) Include customer service and fuel

charges;

(5) Are updated at least annually; and

(6) Are confirmed by the accrediting

body

§ 437.106 Non-rated energy consuming

devices.

Consistent with § 437.102(a) (3) and

(4) of these guidelines each HERS

provider shall calculate and report the

annual purchased energy consumption

and energy cost for the operation of all

non-rated energy consuming devices in

the rated and reference homes. Actual

efficiency of these devices is not

considered and usage estimates are

based on Table 8. The data in table 8

may be modified if they are established

or approved by the accrediting body and

consistent for each HERS provider

operating within the state.

TABLE 8.—ANNUAL ENERGY USE FOR NON-RATED FEATURES

End use Units/year Energy estimate Applicability

Ceiling Fan ................................................. kWh .......... 220/ea ..................... If present.

Dishwasher ................................................ kWh .......... 299/per cooking area If present, or if space is dedicated for DW.

Dryer, electric ............................................. kWh .......... 875/ea ..................... If present, or if 220V wiring is present @ dryer location.

Dryer, gas .................................................. Therms .....

kWh ..........

60/ea .......................

100/ea

If present, or if gas piping is present @ dryer location.

Lights ......................................................... kWh .......... 940 .......................... All homes.

Microwave Oven-built-in ............................ kWh .......... 191/per cooking area If permanently installed.

Miscellaneous Plug Loads ......................... kWh .......... 500 .......................... All homes.

Pool Pump ................................................. kWh .......... 1700/ea ................... If present.

Range/Oven Combo-electric ...................... kWh .......... 450/per cooking area If present, or if 220V wiring is present @ range location.

Range/Oven Combo-gas w/pilot ................ Therms ..... 44/per cooking area If present, or if gas piping is present @ range location.

Range/Oven Combo-gas w/o pilot ............. Therms ..... 22/per cooking area If present.

Refrigerator ................................................ kWh .......... 1150 ........................ Each one present.

Television ................................................... kWh .......... 720 .......................... All homes.

Washer, clothes ......................................... kWh .......... 99/ea ....................... If present, or facilities present for washer.

Well pump .................................................. kWh .......... 288/ea ..................... If present.

§ 437.107 Projected ratings for to-be-built

homes.

(a) A HERS provider may calculate

the projected rating of a to-be-built

home based on architectural drawings

with material, mechanical and electrical

specifications; and by—

(1) Using a default value for air

leakage of 0.67 air changes per hour;

and

(2) Using the planned location and

orientation of the proposed home, or if

the proposed orientation is unknown,

calculating ratings for the home facing

each of the four cardinal directions,

north, south, east and west, and using

the lowest rating score as the projected

rating.

(b) Upon completion of construction

and verification of the proposed

specifications, the rating may be revised

using the air leakage rate based on onsite testing and the actual orientation of

the home.

Subpart C—How To Administer a

Home Energy Rating System

§ 437.200 Energy analysis tool

requirements.

(a) In order to be certified for the

purpose of providing home energy

ratings under these guidelines, an

energy analysis tool must—

(1) Demonstrate the ability to

calculate annual purchased energy

consumption for each building type for

which ratings are provided;

(2) Estimate the total annual

purchased energy consumption

associated with the minimum rated

features set forth in § 437.104;

(3) Calculate energy use of non-rated

energy consuming devices set forth in

§ 437.105 of these guidelines;

(4) Reflect the operating conditions

assumptions described in § 437.105 of

these guidelines; and

(5) Pass all tests in Tier 1 and Tier 2

of the Home Energy Ratings System

Building Energy Simulation Test (HERS-
Federal Register / Vol. 60, No. 142 / Tuesday, July 25, 1995 / Proposed Rules 37965

BESTEST)—NREL Report no. NREL/TP–

472–7332 which is administered by, and

has pass-fail criteria set by the

accrediting body.

(b) Future tool requirements. On or

before [insert date four years from the

date of the final rule], each HERS

provider accredited under these

guidelines, shall have updated their

energy analysis tool to be capable of

rating the following additional

features—

(1) Thermostat set-back and set-up;

(2) Effects of part load and weather

conditions on HVAC systems;

(3) Demand and time of use utility

rates;

(4) Solar water heating;

(5) Trombe walls;

(6) Sunspaces; and

(7) Whole house fans.

(c) Energy analysis tools that are

certified under paragraph (a)(5) of this

section must be retested and recertified

if a new version of the tool is released

that includes changes to the engineering

algorithms.

§ 437.201 Site data collection manual.

Each HERS provider shall provide

each data collector with a manual

containing procedures for the on site

collection of data that are:

(a) Consistent with those provided in

Guideline No. 10 of the Home Energy

Rating Systems Council HERS

Guidelines, titled ‘‘On Site Inspection

Procedures’’; or

(b) Established or approved by the

accrediting body and updated as

supplemental or revised information

becomes available.

§ 437.202 Training home energy raters.

Each person seeking a position as a

full rater, data collector, or data analyst

for any HERS provider shall receive

training prior to performing rating tasks

without supervision. The training will

be conducted in accordance with a

syllabus developed by each HERS

provider. The syllabus must specify

subjects that are applicable to each

position (i.e. full rater, data collector or

data analyst) and must include—

(a) Classroom training. Each rater

shall receive classroom training on—

(1) Basic principles of heat transfer

(i.e., viewing the home as a system);

(2) The minimum rated features of

buildings;

(3) Variations in construction types

and their ramifications;

(4) Types and efficiencies of

windows;

(5) Types and efficiencies of heating,

cooling, water heating, and lighting

systems;

(6) Types and characteristics of space

conditioning and domestic hot water

distribution systems;

(7) Types of thermostatic controls;

(8) Determination of azimuth;

(9) Determination of air leakage;

(10) Determination of fuels used by

major appliances;

(11) Utility rate structures;

(12) On-site inspection procedures;

(13) Producing a scale and dimension

drawing of a home;

(14) Calculating the area of rectangles,

triangles, circles, ovals and

combinations of these shapes;

(15) Calculating the volume of boxes,

pyramids, spheres, and other geometric

shapes;

(16) Communicating the benefits of

energy saving measures and practices to

the consumer; and

(17) Quality assurance.

(b) Written examination. Each rater

shall be given a written examination

that evaluates the rater’s understanding

of the subjects in paragraph (a) of this

section.

(c) Field training. Each rater shall

perform two ratings (or portions of

ratings for those seeking to be data

collectors or data analysts), including

software operations, in the presence of

trainers.

(d) Probationary period. Each rater

shall complete a probationary period

where close supervision is provided.

This period covers a minimum of five

ratings, after which the supervisor shall

determine if additional training is

needed.

(e) Challenge test. A challenge test

may be taken, which, if passed in all

competencies, will waive the classroom

training requirement. The requirements

of paragraphs (c) and (d) of this section

may not be waived.

§ 437.203 Quality control.

(a) Each HERS provider shall establish

a quality assurance plan that includes—

(1) Periodic peer review and reevaluation of raters;

(2) Random auditing of each rater’s

work;

(3) Evaluation of the training program

by raters after field experience;

(4) Customer evaluation of rating

services;

(5) Random review of the inputs into

the rating tool to ensure that they are

consistent with the data collected in the

field; and

(6) Verification of the accuracy and

completion of the input forms and

output of the first five ratings performed

by each rater.

(b) Each HERS provider shall

maintain a permanent quality assurance

file that is updated at least every two

years or when changes to the system are

made, and contains—

(1) A description of local rate

structures for electricity, gas and other

locally used fuels;

(2) A description of climatological

data (including interpolation methods)

used;

(3) A description of the data storage

and maintenance systems including—

(i) Software for database;

(ii) Training for data entry personnel;

and

(iii) Data quality assurance procedures

that will be exercised;

(4) A description of each rating tool

that the HERS provider uses including

a list of which home types the tool

supports;

(5) The results and date of the

certified accuracy test conducted for the

rating tool;

(6) An example of the rating outputs

that are produced;

(7) The materials and tests used to

provide training for home energy raters;

(8) The materials used to document

the site data collection procedures; and

(9) A description of the individual

elements of the quality assurance plan

set forth in paragraph (a) of this section.

(c) Each HERS provider shall

maintain an electronic database of

information for each home rated. The

minimum content of the database is—

(1) A unique file reference or ID

number;

(2) Date of on-site inspection;

(3) Raters name;

(4) Tool name and version;

(5) Identification of weather data used

for the rating;

(6) Type of rating, either complete or

projected;

(7) Use of rating, either—

(i) Time of sale rating;

(ii) Pre-home improvement rating;

(iii) Post home improvement rating; or

(iv) Information only rating;

(8) Address of rated home;

(9) Home type;

(10) Floor area of conditioned space;

(11) Fuel types used by building

HVAC and water heating systems;

(12) Minimum rated feature energy

efficiency data used to determine the

rating;

(13) In the four categories of heating,

cooling, water heating and all other

uses, the—

(i) Estimated annual purchased energy

consumption in total;

(ii) Estimated annual purchased

energy consumption by fuel;

(iii) Estimated annual energy cost in

total; and

(iv) Estimated annual energy cost by

fuel.

(14) Estimated total annual energy

cost for all uses; and
37966 Federal Register / Vol. 60, No. 142 / Tuesday, July 25, 1995 / Proposed Rules

(15) Rating score of the rated home on

0–100 points scale and 1–5+ stars

category.

§ 437.204 Monitoring and evaluation.

(a) Each HERS provider shall at least

semi-annually evaluate the accuracy of

consumption and cost estimates by

comparing predicted energy usage and

costs to actual billing records.

(b) To allow the accrediting body to

monitor the accuracy of ratings, each

HERS provider shall for 10% or for 500

of the homes rated annually, whichever

is less, maintain a database of the

following—

(1) Homeowners authorization for the

release of consumption information by

utility company(s);

(2) Weather data site selected for

energy estimation;

(3) Any energy efficiency

improvements made to the home, date

of completion, and whether the

improvement plans were evaluated in

the rating report.

§ 437.205 Guideline compliance.

(a) Full accreditation. Any HERS

provider may be accredited as being in

full compliance with these guidelines if

it demonstrates that it can—

(1) Conducts ratings in accordance

with the provisions of § 437.100;

(2) Reports the results of ratings in

accordance with the provisions of

§ 437.102 of these guidelines;

(3) Produces documentation of a

correctly configured reference home in

accordance with the provisions of

§ 437.103;

(4) Provides documentation that their

energy analysis tool is certified under

§ 437.200 as having passed all HERS–

BESTEST tests designated as Tier 1 and

Tier 2 tests;

(5) Provides training in accordance

with the provisions of § 437.202;

(6) Provides documentation of a

quality control plan and a permanent

quality assurance file in accordance

with the provisions of § 437.203; and

(7) Provides documentation of a

monitoring and evaluation program in

accordance with the provisions of

§ 437.204.

(b) Basic compliance. Any existing

HERS provider may be accredited for a

period of up to two years from [insert

date of issuing final rule], as being in

basic compliance with these guidelines,

by demonstrating that it meets all the

provisions of paragraph (a) of this

section except that it may—

(1) Use a simplification of utility rate

structures;

(2) Rate only the features set forth by

§ 437.104, that may be rated with its

existing system capabilities;

(3) Use only those standard operating

conditions set forth in § 437.105 that

can be handled by their existing energy

analysis tool;

(4) Pass only the Tier 1 set of HERS–

BESTEST tests;

(5) Meet the training requirements of

§ 437.202 by—

(i) Verification that each person with

responsibilities in the conduction of

ratings has completed classroom

training on all items set forth in

§ 437.202 (a) of these guidelines;

(ii) Verification that each person with

responsibilities for the conduction of

ratings has received field training;

(iii) Verification that all personnel

have successfully passed a written

objective examination in all areas

applicable to their designated job

descriptions; and

(iv) Verification of a probationary

period set forth in § 437.202 (d); and

(6) Use an existing program to

monitoring and evaluate the accuracy of

ratings;

§ 437.206 Accreditation.

(a) Each HERS provider operating in

voluntary compliance with these

guidelines shall be accredited only by a

State or other independent accrediting

body having a person or persons—

(1) Qualified to establish and

coordinate standard default values

within a State, for—

(i) Default values for minimum rated

features set forth in section 437.104;

(ii) Operating condition assumptions

and local climatic data interpolation set

forth in section 437.105 of these

guidelines;

(2) Qualified to administer the

procedures for certification of energy

analysis tools established by HERS–

BESTEST set forth in the NREL Report

no. NREL/TP–472–7332 referenced in

§ 437.200;

(3) Qualified to evaluate the training

syllabus and procedures set forth in

§ 437.202;

(4) Qualified to review and evaluate

the quality control procedures set forth

in § 437.203.

(b) Any Lender or agency in a

mortgage business who offers mortgage

or loan incentives for energy efficiency

on the basis of a home energy rating

should require that any HERS provider

conducting those ratings be accredited

under these guidelines.

[FR Doc. 95–18015 Filed 7–20–95; 8:45 am]

BILLING CODE 6450–01–P

DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. 95–CE–27–AD]

Airworthiness Directives; Jetstream

Aircraft Limited HP137 Mk1, Jetstream

Series 200, and Jetstream Models 3101

and 3201 Airplanes

AGENCY: Federal Aviation

Administration, DOT.

ACTION: Notice of proposed rulemaking

(NPRM).

SUMMARY: This document proposes to

adopt a new airworthiness directive

(AD) that would apply to Jetstream

Aircraft Limited (JAL) HP137 Mk1,

Jetstream series 200, and Jetstream

Models 3101 and 3201 airplanes. The

proposed action would require

inspecting (one-time) the threaded

portion of the aileron mounting spigots

for cracks, replacing any cracked

spigots, and replacing the securing nut

assemblies with newly designed special

nut assemblies and new split pins. The

proposed action is prompted by reports

of cracked mounting spigots caused by

stress corrosion. The actions specified

by the proposed AD are intended to

prevent damage to the aileron control

systems, which if not detected and

corrected, could cause loss of lateral

control and eventual loss of control of

the airplane.

DATES: Comments must be received on

or before September 29, 1995.

ADDRESSES: Submit comments in

triplicate to the Federal Aviation

Administration (FAA), Central Region,

Office of the Assistant Chief Counsel,

Attention: Rules Docket No. 95–CE–27–

AD, Room 1558, 601 E. 12th Street,

Kansas City, Missouri 64106. Comments

may be inspected at this location

between 8 a.m. and 4 p.m., Monday

through Friday, holidays excepted.

Service information that applies to the

proposed AD may be obtained from

Jetstream Aircraft Limited, Prestwick

International Airport, Ayrshire, KA9

2RW, Scotland, telephone (44–292)

79888; facsimile (44–292) 79703; or

Jetstream Aircraft Inc., Librarian, P.O.

Box 16029, Dulles International Airport,

Washington, D.C. 20041–6029;

telephone (703) 406–1161; facsimile

(703) 406–1469. This information also

may be examined at the Rules Docket at

the address above.

FOR FURTHER INFORMATION CONTACT: Mr.

Raymond A. Stoer, Program Officer,

Brussels Aircraft Certification Office,

FAA, Europe, Africa, and Middle East