Energy

10

PARTS 400 TO 499

Revised as of January 1, 1995

CONTAINING

A CODIFICATION OF DOCUMENTS

OF GENERAL APPLICABIUTY

AND FUTURE EFFECT

AS OF JANUARY 1. 1995

With Ancillaries

Published by

the Office of the Federal Regsler

National Archives and Records

Adminislralon

as a Special Edition of

the Federal Register

 EE-DET-94-003 COMMENT 0C

~._.J - " 

" 

\ ", 

" ~ .. 

) 

Energy 

10 

PARTS 400 TO 499 

Revised 8S of January 1, 1995 

CONTAINIIiS 

A COOlflCATlOIl Of DOCU"E"'~ 

Of 'EliERAl APPLICABllIll 

AIIO fUTURE EffECT 

AS OF JANUARY '1. 1995 

With Ancillaries 

Pll;>/ished bV 

the Ollice oIlhe Federal Reg$ler 

Nalional Archives and RecOfds 

Adminislralion 

as a Special Edllion 01 

the Federal RegI$ler 
$430.1

APPENDIX I TO SUBPART U OF PART 430-UNIFORM TEST MRTROD FOR Mt&SURiNO THE

ENERGY CONSUMPI70N OF CONVENTIONAL

RANOES . CONVENTIONAL COOKING ToPe,

CONVENTIONAL OVENS. MICROWAVE OVENS

AND MICROWAVIUCONV£NTIONAL RANGES

APPENDIX .1 TO SUBPART U OF PART 430-

U141-FORM TEST METHOD 11OIZ' 4WOURINO TVs

ENER41Y CONBIIMITI 44F AUTOMATIC AND

S uI-AUTOMATIC CIAL W1tbitERe

APPENDIX K TO SUBPART B OF PART 430-

( RESCNVED)

AI'1'ENDIX 1. TO BUBPART .B OF PART 130-

111COEnvED1

APPENDIX M TO Bt1BPART B Or PART 430-UNIFORM TEST Mrnion FOR MEASURING THE

ENEROr CONBUMr17ON Or CENTRAL AIR

CONDITIONERS

Al'1-£14DrX N TO SUBPART B OF PART 430-UNIFoRM TEST Mel 100 FOR MEASURING THE

ENBROY CoNSIJMP ION or FURNACZB

AI'1'ENOU( 0 TO SUBPART B Or PART 430-UNIFORM TEST METHOD FOR MEAsuRmNO THIS

ENCIIOY CONSUMPTION OF VENTED HOME

HEATING EQUIPMENT

APPENDIX P TO SUBPART B OF PART 430-UNIFORM TEST METHOD FOR MEAeURING THE

ENERGY COIlSIn4rfON Or POOL HEATERS

APPENDIX Q TO SUBPART B OF PART 430-UNIFORM TEST METHOD FOR MEASURING THE

ENEt.IY CONSUMPTION or FLuoRSeclNT

LAMP BALLASTS

APPENDIX R TO SUBPART B OF PART 434-

UNI-FORM TEST M1 nioD FOR MEASURING AVERAGE, LAMP EFFICACY (LE) AND COLOR

RENDERING INDEX (CRI) OF ELECTRIC

LAMPS

Subpart C-Energy Conservation

Standatda

430 31 Purpose and scope.

430.32 Energy conservation standards and

effective dates.

430.33 Preemption of State regulations.

Subpart D-Petitions To Exempt Stale Regulation From Preemption; Petitions to

Withdraw Exemption of Slats Regtflalion

430 40 Purpose and scope.

430 41 Prescriptions of a rule.

430 49 Filing reyulremeote.

430 43 Notice of peUtlon.

430 44 Consolidation.

430 45 Hearing.

430 469 Dlepoeltlon of petitions.

430 41 Effective dates of final rules.

43048 Request for reconsideration.

430.49 Finality of decision.

Subpart E-Smut Business Exsmpllons

430 60 Purpose and scope.

430 61 Eligibility. ,

430 69 Requirements for applications.

43063 Processing of applications.

130 .64 Referral to the Attorney General.

10 VFR h. 11(1-l1 Erition)

430.65 Evaluation of the applloatlon.

430.60 Decision and order.

430.67 Duration of temporary exemption.

Subpart F-CedIRcation and Enloccorned

430.60 Purpose and scope.

430 01 Prohibited acts.

43063 Submission of data.

43063 Sampling.

430 64 imported products.

430.66 Exported products.

430.10 Enforcement.

430.41 Cessation of distribution of a basic

model.

430.19 Subpoena.

430.13 Remedies.

430.74 Hearing$ and Appeals.

430.45 Confidentiality.

APPENDIX A TO SUBPART F OF PAST 430--001/-

PWAIICs STATEMIWr.

APPENDIX 8 TO BUIPAItT F OF PAZ? 430--SAMPLING PLAN Pon ENroscSMENTTErrare.

AtmtoRM: 42 U.S.C. 6301-8700.

SoURCr. 42 PR 91001 . June 1. 1477, unless

otherwise noted.

Subpbd A-(eneral Provblong

E 430.1 Purpose and scopa

This part establishes the regulations

for the Implementation of part S of

title ID (42 U.B.C. 8291 -8309) of the Energy Policy and Conservation Act (Pub.

L. 94-183). as amended by Pub. L. 04.

385, Pub. L. 100-12. and Pub. L. 100-357,

which establishes an energy conservation program for consumer products

other than automobiles.

(64 FR 6074. Feb. 1. 19691

$430.3 Deflnitlone.

For purposes of this part. words shall

be defined as provided for In section 321

of the Act and as followsAct. means the Energy Policy and

Conservation Act (Pub. L. 84-163), as

amended by the National Energy PolIcy Conservation Act (Pub. L. 95-819).

the National Appliance Energy Conservatlon Act of 1987 (Pub. L. 100-12),

the National Appliance Energy Conservation Amendments of 1988 (Pub. L.

100-357). and the Energy Policy Act of

1992 (Pub. L. 102-486).

Annual fuel utilization efficiency

means the efficiency descriptor for furnaces and boilers, determined using

test procedures prescribed under seotion 323 and based on the assumption

that all-

(a) Weatherised warm air furnaces or

boilers are located out-of-doors.

D+,partm.nt of En gy 5 41

(b) Warm air furnaces which are not which are essentially identical a

weathgrlted are located indoors and all which do not have any differing ph

combustion and ventilation air is ad- Ical or functional characterletice wh

matted through grill or duota from the affect energy consumption,

outdoors and does not communicate

With air in the conditioned Space

(4) With respect to cli,t.i,ee drys

; which have the sauna primary allot (a) Boilers which are not weatherlted source , which have electrical chan am located within the heated space .

terietlca that are essentially identic Automatic clothes washer means a and which do not have any differi class of clothes washer which has a physical or functional characteriati control system which is capable of that affect energy consumption.

scheduling a preselected gombinsltton

of operations (6) With respect to water heate,

, such as regulation of which have the same

water temperature primary enerl

,

regulation of the source and which, with the exception water till level, and performance of Immersed heating elements, do ni

wash, rinse, drain,

and spin functions have any differing electrical, phyelca without the need for user intervention or functional characteristics that a

subsequent to the Initiation of machine fact energy consumption. operation. Some models may require

user Intervention to loltfate these dlf- tlonere, having essentiall (6) With respect to room air co=d,

y identice

fmachtae has

segments of the cycle after the functional

physical and electrical char tun operation. but they

do not require the user to intervene to acterfetice.

regulate the water temperature by ad-

(7) With respect to unvented horns

lusting the external water faucet beating equipment, having essentially

valves.

Identical functional physical and oleo

Ballast efficacy factor mbana the rel- ideal characteristics.

alive light output divided by the power (e) With respect to television sets,

imput of a fluorescent lamp ballast,

as which have Identical screen size, which

measured under test cogildons sped- have electrical characteristics that are

tied In ANSI Standard CNLI!-IM . essentially identical, and which do not

Baseboard electric heater means an have any differing physical or func.

electric beater which Is intended to be tional characteristics that affect enrecessed In or surface mounted on walls

at floor Level, which is characterized by

long, low physical dimensions, and

which transfers beat by natural convection andlor radiation.

Banc maid moans all units of a given

type of covered product (or class thereof) manufactured by one manufacturer

and--

(1) With respect to refrigerators and

refrigerator-freezers, which have the

same primary energy source, which

have electrical characteristics that are

essentially identical, and which do not

have any differing physical or tune - physical or functional characteristics

tional characteristics that affect en- that affect energy consumption.

ergy consumption. (11) With respect to central air condl-

(2) With respect to freeze=, which tloners, which have electrical charachave the same primary energy source , terietice which are essentially Idenwhlch bare electrical oharaoterietics tical and which do not have any differthat are essentially Identical. and lag physical or functional charncter(awhich do not have any differing phys- tics that affect energy con: amptlon.

ical or functional oharaoteriatlca that (12 ) With respect to furnaces, having affect energy consumption, the name primary energy source and

(3) With respect to dishwashers, essentially Identical , functional, physwhich have electrical oharaeteristios tea4 .nn .,t ... '

orgy consumption.

(9) With respect to kitchen ra=pes

and ovens, whose major cooking cornponenta have the same primary energy

source, which have electrical charaoterietice that are essentially Identical,

and which do not have any differing

physical or functional characteristics

that affect energy consumption.

(10) With respect to clothes washers,

which have the same prlrna'ry energy

sourcq, whlcly have electrical characterietics that[ are essentially' identical,

and whtbb do not have any differing

 EE-DET-94-003 COMMENT 0C

5430.1 , I 

APl'EIIOlX I TO SUBPART Bot· PART tJO-UNIFORM TEaT M£TKOIl fUR MIL\SURIMO 11111 

ENERGY CoNaUNP1101f Of CoNVt/f110NAL 

IiANo£8. CONVIlfTIONAL CooIUNO Tops. 

CoNV£N110HAI. OVDlS. MICROWAVI OVINS 

. AND MICROWAVltlCONVktlT10 NAL RANGEIl 

AI'I'!NOIX J TO BUIII'ART 8 Of l>ART tJl)-UNIFOItN Tt:8T M~IOP FQ1t'~8\1RINO nt. 

(,;NERHY CotlBIINI'TIqIi Q" AttTONAnC AND 

8,£MI.AUTONATtc CtbtltKll WAinlUs 

AI'I'ZNDIX K TO SUBPART B OF PART 4»--

IRESERVEO) 

AI'/'ENOIII I, TO SlIBPART.B OF PART i»--

IltUlnv£ol 

A/'I'EIIOIII M TO SUBPART B Of' PART i3G-UIfIfORM fi8T MmlOD FOil MltA8UlUNO 11111 

ENIRGY CONSUMP11UN 0' CEm'RAL AIR 

CoNomoN11UI 

""1'£1100: N TO SUBPART B OF ('ART CJO-UNIFORM TEIIT MEn/oO FOR M&ASURlMG 1111' 

ENEMY CONllIMP110~ 0' FUll/UCla 

AI'I'l:lIam 0 TO SUBPART B 0' PART t3G-UNIroRM nST METHOD FOR MlL\sURlMO ".. 

ENEMY CONBUMP110N OF V~a 1I0NI 

UEAl1NO EQUIPNIUfT 

Apl'INam P TO SUBPART B OF ('ART 4JO-UNIroRM TEST METHOD roR MIASUAIMO 111& 

ENERGY Coll.UNmON 0' POOL Ifu,TKlUI 

API'£NOO: Q TO 5UBJ>ART B OF PART 4J1)-UNI-

. rolUf TEaT MIICTHOD roR MIASURDIO 111. 

EN£R.uy CONeUUP110N 0' FLUORJ:8C1N1' 

I,AMP BALLAeT8 

Apl'ENDO: R TO SUBPART BOt' PAin 43G-U'uroRM TEaT NmlOD roR MIASUIUNO AVERAOi: LANp EFFlcAcr (LEI AND CoLOR 

R£NDEIIINO INOU (CIlI) OF EI.IC1'IUC 

I,ANPS 

Subpoft C-Energy ConMfVatton 

Siandaldt 

no 31 Purpo.e and IICOpe. 

430.32 Ellel'S' conservation ataodard. aod 

.UectlvlI date •. t30.~ PrllenlptiOfl of State relulatlon •. 

Subpart D-PetlllOna To Ellempt Slate Regulation ffom " •• mptlon; P.'1HonI to 

WIthdIOW Exemption of Slat. R-otJIa-

.Ion 

tlO to Purpoae and 8COpe. 

430 tI J'rescrlptlon. ola rule. 

flO t2 Flllni flltlulremoot., 

430 t3 Notice of petition. 

430.. CooaoUdaUon. 

430.5 lIear'ol. 

t30 fa t DlepoalUolI or petiLlona. 

no 41 EUeetlve dat.I of nnal rul ••. 430.. ReQueat for reconsldera.t1oll. 

430." Flnallt, or deolalon. 

SubPart E-Smal ~ .. Ex.mptk)nl 

uo 60 Pllrpole and ICOpe. 

430 &1 ElIl1blllty., . 430 &2 ReQuirement. Cor appllcatlon •. no u l>1'ooeullll of appllcaUoal. 

430 IH Referral w the Atwrney Oener.l. 

10 VfR Ch. II (1-5 EcItIon) 

f30.65 EvaJuaUoD of Lbe applloaUoD. 

430.61 DecllloD aDd order. 

430.61 DURUOO of Lemporuf eumpUoo. 

430.&0 

Slj)paIt 

PurpoM 

F-c.rtIIcdton 

anlS KOpe. 

and ~ 

t30 II Problblted acU. 

430 a 8ubmlaalou 0' data. 

t30 a 8amplla,. 

430 It Imported producl.l. 

430.14 Esporl.l4 pr04ucl.I. 

430.10 broretmtot. 

430.11 C._tlOD of dl.U1butloD of a ""'0 

modlll. 

43012 Subpoena. 

430." Rem,dl ... t30.1. Ht ... lo .. and Appealt. 

G.1, Connd.aUallt,. 

APPlUfnDl A TO 8U11PAilT F or PdT UG-<lOwPLlAlfCil 81'AnNKHT. 

AppKNODl B TO 8uaPAJlT P or PAJrI' CI)-8.UIPWHO PLAN roa BlfrollClIMiIJIT TU'I'DIO. 

AtmrolUTY: t2 U.B.C. 11211....,... 

8otlltC&: t2 FR fllllll. Junl I. 1m. uol .. 

otht,.l .. DOted. 

Subpbrt A -Genefal Proviliona 

,41o.t ParpoM aad ~.,.. . 

ThI. part •• t&bllsb •• tb. rerolaUoDl 

ror tb. ImpJ.m.ott.tloQ 01 put ~ of 

tltl. m (42 U.B.O. 8291-«J(8) 01 tbe EDetn' Polle~ and Ooo""atlon Act (Pub. 

L. 9t-ISJ). u amended b~ Pub. L. 14-

385. Pub. L. JOO-12. and Pub. L. 101).-3&7. 

which estabUsbe. an enel'l'Y COo"natlon proiJ'&lll for couumer producta 

other thall automobile •. 

lM FR em •• Feb . .,. 18891 

I ao.J o.nall'oDL 

For purpose. or this put. word. aball , be den ned u provided for In .eetlon 32J or the Act. aod as followaAct meao. the Eoeayy Polley aDd 

c'onaervatloD Act (Pub. L. 14-1113). u amended by t.he National Eoeru PolIcy Conlle"atlon Act (Pub. L. tHlt). 

the National Appliance Enefl? 000-

servatloo Act of 1981 (Pub. L. 100(12). 

the Natlooal Appliance Enetn' 000-

eervatloo Ameodmente of 1988 (Pub. L. 

100-361). and tb. Enerl"Y Policy Act of 

1992 (Pub. L. 102-t88). 

Ann lUI' fue' uUIlzoUon ef/lctmCfl 

mealll tb •• mcleoe~ dellCrlptor for fUr- naces and boUen. d.termlned Ullq 

test proc.dure. preacrlbed under MOtion 323 and bued 00 tbe uaumpUon 

tbat all-

(a) Weatherlud warm &lr ~e. or bon.rs are located out-of-doors: • 

D4tpartrMnt of Energy 

(b) wa.rin a1r I'urDaoee wblob are oot weath~rtr.e4 are locate4ladoora and all 

oombu\loD and nDtUaUoll air .. admitted &broqb' rrlJl or duota from the 

outdoors an4doea not commUDIcate 

Wltb air In tbe coadJUoned apace; 

(0) Dollers which are DOt weather-lted 

are located within tbe beated apace. 

Automallc clolhu IDGlher meana a 

el... of cloth.. w .. b.r wblob baa a coouol ."tem wblob la capable or lICb.duUo. a pre .. lected oom~I~UoD 

of operaUoDt. auob at reruJaUon of 

water temperature. recuJat.on or th. 

water nil 10v.l. and perlonnanc. or w .. b. rlnae. dnJa. and .plD IUnctiou 

wltbout the need for uaer InterveoUoD 

lubaequeDt. to th. laltlatloa of macblne 

operatloD. Bome mod.11 m.q reqUlr. u.r IDterventioD to lalUate thue dJff.rent. lelD\.Dte or Lba 0)'010 aRer t.be 

macbln. baa be~ operation. but tbe~ 

do not requJre the user to laten.D. to 

nrolate th. water temperature b~ adJU.tilll' tb. .xternal water faucet 

"alv... . 

Bolltut e/JlC4qJ /GCIIIr m'bana the 1'01-

aUy. U,bt output. clJYlded b~ the power 

Imput 01 a lJuorelCeut lamp baUut. u 

meuured under te.t CO~UODA lpeelned ID ANBIBt.anclard C8U-U8t .. Baleboord electric IuGkr meana an eleotrto beater wblcb I. InteDded to be 

neeNed la or .urlace mounted OD wall. 

at noor IClVel. wblob la cbaractertsed by 

lOb.. low pb,.lcal dlmeulona. and 

wblcb traDsr.... b.at b~ aatural CODYClOtloD andlor radlatioD. 

Billie mDCle. m~ all uulte 01 aliveo 

type or coy.red produot. (or 01 ... th ..... oO·JnaQura.otured b:r OD. manufacturer 

and-

(I) With reepect. to renileraton Uld 

relrl,erator-Ireezen. wblob hay. tbe 

aam. primary .oeay~ aource. wblch 

have electrical cbaracterisUca that ...... .1880tlall, identical. and wblcb do Dot 

hav. any dlaerlnl phyalcal or tunctlooaJ characterlatlcs that atrect '0-

'fIY cooawnptloo. 

(2) Wltb re.peet to freezei'll. wblcb 

bay. tb. aam. PI'Iln&I7 ea.reI' aource. 

wbleb ban electrical cbaraoterlatlCl 

tbat an .... DUall~ Id.DUcal. and 

whtc.b do not. have any dJrrel1l11' p~ 

lcal or J\mctlooaJ ohan.cte .... tlca tbat 

affect .0et'I'Y couwnpUoa. 

(3) With n.peet to dlowuben. 

wbleb bay •• Ieotrtcal obaraotertatloa 

wblch are ell4enlllllly SlIentlcal I 

wblob do oot bave UlJ dJlfet101 ph 

lcal or tunotloDal cba.ractet1sllca wb 

affeot enefI"Y coneumptloit. 

(t) With respect to c,C.t.hIl8 ,'ry, wblch h .... e the 8alll6 pnmary e/l61 

.ource. wblch ha .. e electrical cblll1 

tet1stica that are e88eDtlally SlIentle 

Uld wMcb do bot bave any dllCeri 

physical or fUnctlona.1 characterietl 

that alCect. energy consuml,Uon. 

(fI) Wltb relJpect to water healel 

wblch bavCI tbe same l>rl~nary ener. .ource and wbleh. with tbe 6lIceptloQ , tmmel'll8d beating elem8l1tJs. do hi 

bay. any dlaet1ni' electrlca.). pbyslca or fUoctional cbaracterlllticlI that .. rect. energy consumption. 

(8) With reepect to room aIr CODdl 

t1ooel1J. b lvlng eosenUally IdenUca 

functional phYSical and electrIcal char 

acterlstlcs. 

(1) With reepect to un vented born. 

heating equIpment. bavlng ellsentlal!) 

Identical fun«tlonal physical and eleo· 

trlcal charactertst.lcs. 

(8) With respect to televleloll lela, 

wblch have ideotlcal screen .lte. ",hlcll 

bave electrical characterlstice that are 

eMentlally Identical. and wblcb do oot 

have any dlCCet1ng pbyslcal or fUnc· 

tlonal characteristics that a(fect en· eray CODll1ll'!ptloO. 

(9) With rellpect to k'Leholl /"anllel! 

and ovens. wbose major cookhlll COlDJl(lDeote bay. tbe eame primary energy .ouree. which bave electncal cbaracterlstlcs that are e88eotlaHy Identical. 

and wbJcb do not bave any dlnertns 

physical or fUnctional charaoterlstlca 

that aflect enelTY coosumptlon. 

(10) With reepect to clothes wlUlhers. 

wblch bave ths nIne primar.y energy IOurc~. whleb hav. electrical cbaraotet1IJUea t.balf are e8llentlally'hlentlcal. 

and ",bibb d() not have any dlCferlhS 

physical or fUnctiona.l characterlstlce 

that affect ellel1rY consumption. . 

(11) With respect to central air condl· 

tloners. wblcb bave electrical cbaracterieUca whlcb ANI tls86nllally Identical and wblcb do Dot have an, dlfferInc physical or functional cbaract6rtst!ca that dfoct ebertrY con: :lmpUon. 

(12) With respect to furnace8. bavlnll 

the same primary energy lource and 

'l88otl&lly Identlca.~, functional. "hYII- 'ro" .;,,, .. ,~ ... ~ .... 
9430.2.

(13) With respect to vented home

heating equipment, having the same

primary energy source and essentially

Identical functional , physical and electrical characteristics.

(14) With respect to fluorescent lamp

ballasts. which have electrical characteristics, including ^ Power Factor

(P.F:) of equal value, which' are essentially' Identical. and which do not have

any differing physical or functional

characteristics that affect energy consumption.

(16) With respect to general service

fluorescent lamps which have photometric and electrical characteristics.

including lumens per watt and Color

Rendering Index (CRI) which are essentially Identical, and which do not have

any differing physical or functional

characteristics that affect energy consumption.

(16) With respect to general service

incandescent lamps which have photometric and blectrical characteristics.

Including lumens per watt

, which are

essentially Identical

, and which do not

have any differing physical or functional characteristics that affect energy consumption. I I r

 EE-DET-94-003 COMMENT 0C

" 

, , ) 

) , '. 

1430.2 

(13) Wltb r"pect to vented borne, 

beatlnl equipment, bavlnl tbe same primary enersY louree and eelentlally 

Identical functional, pbyllcal aDd elac- , trlcal cb&racterllticl. 

Ut) Wltb relped to nuofeecent Jamp 

ballutll, "hlcb bave .lectrlcal cbaracterletlcs. Includln, ~ ,Power Factor 

(P.F.·) or equal value, wblcb' are eeaen- Ually'ldentical, and wblcb do not bave 

any dlfferlor pbYlleal or functional 

characterlltlcs that affect enerjy CODlumptlon. 

(16) Wltb reepect to leneral eemce nuoreecent lampe wblcb have pbotometric and electrical cbaracterlltlce, 

Includllll" lumenl per watt and Color 

RenderirIB Indu (CRI) wblcb are e.."nUally Identical. andwblcb do not bave 

any dlfferlor pbYlleal or functional 

cbaracterlltici thAt affect energy con- eumptlon. 

(16) With reepect to ... neral lien-Ice 

Incandeecent lampe whlcb bave photometric and ~Iectrlcal characterlltlcl, 

Including lumenl per watt. whlcb are eeaenUally IdenUcal, and whlcb do not 

bave any durarln, pb,llcal or functional c:baracterlltici tbat &crect en- ef!Y C:~Dlumption. 

' .. , 

I, 
the upper 95 percent confidence limit of of (A) the mean of the sample or ($)

the true mean dIvlded by 1 .10. and the upper 96 percent confidence limit of

(it) Any represehted value of the en - the true mean divided by 1.10, and

ergy factor or other measure of energy (11) Any represented value of the eni

1

}e' O.id Units to be tested.

When testing of a covered product In

tnqulre4 10 comply with section 323(c)

of the Act. or to comply with rules prescribed under sections 324 or 325 of the

Act, a sample shall be "looted and

tested comprised of units which are

production unite, or are representative

of production units of the basso model

being tooted, and shall meet the following applicable criteria.

(a)(1) For each basic model ' of alsotrio refrigerators and electric retrig•

erator-freezers, a sample of sufrielent

size shall be tested to Insure that-

(1) Any represented value of estimated annual operating cost. energy

consumption or other meagre of enorgy consumption of a basin model for

which . consumers would favor lower

values shall be no leas than the higher

of (A) the mean of the sample or (B)

the upper 96 percent confidence limit of

the true mean divided by 1.10, and

'(ii) Any represented value of the energy factor or other measure of energy

consumption of a baste model for which

consumer would favor higher values

shall be no greater than the lower of

(A) the mean of the sample or (B) the

lower 96 percent confidence limit of the

true mean divided by .90.

(b)(1) For each basic models of freezers, a sample of sufficient sine shall be

tested to Insure that:-

(1) Any represented value of estimated annual operating cost. energy

consumption or other measure of energy consumption of a basso model for

which consumers would favor lower

values shall be no law than the higher

of (A) the mean of the sample or (B)

' Uompoossta of similar deal" My be gala

stltatsr WSW" u sUlag adlfond tsatlsg

if the eepre.eat+e meaaree of esrgy eosaumpuon continue to Mtfsty the appUcsble

sampling provision.

36

consumption of a basic model for which

consumers would favor higher values

shall be no greater than the lower,

t, of (A) the mean of the ,sample or (B) the

lower 96 percent confidence flint of the

true mesa divided by .90.

(c)(1) For each basic model ' of dishwashers. a sample of sufficient also

shall be tasted to Insure that,

(I) Any represented value of ..Umated annual operating cost, energy

consumption or other measure of energy consumption of a basic model for

which consumers would favor lower

values shall be no low than the higher

of (A) the mean of the sample or (B)

the upper 91% percent confidence limit

of the true mean divided by 1.06. and

(11) Any represented value of the energy factor or other measure of energy

consumption of a basin model for which

consumers would favor, higher values

shall be no greater than the lower of

(A) the mean of the sample or (B) the

lower 974f percent confidence limit of

the true mean divided by .96.

(dXl) For each basic model' of

clothes dryers a sample 9f sufficient

also shall be tested to insurb that-

(1) Any represented value of estimated annual operating cost, energy

consumption or other measure of on

ergy consumption of a basic model for

which consumers would favor lower

values shall be no less than the higher

of (A) the mean of the sample or (B)

the upper 9759 percent confidence limit

of the true mean divided by 1.05, and

(11) Any represented value of the en -

ergy factor or other measure of energy

consumption of a basic model for which

consumers would favor higher values

shall be no greater than the lower of

(A) the mean of the sample or (B) the

lower 97% percent confidence limlt.of

the true mean divided by .95.

(eXI) For each basic model' of water

beaters, a sample of s`u-fficient sloe

shall be tested to insure that-

(I) Any represented value of estimated annual operating cost, energy

consumption or other measure of ener*y coosnmpttcm of a bask m ddsl for

which consumers would favor lower

values shall be no less than the higher

orgy factor or other measure of energy

consumption of a basic model for which

consumers would favor higher values

shall be no greater than the lower of

(A) the mean of the sample or (B) the

lower 95 percent confidence limit of the

true mean divided by .90.-

(r)(1) For each baslo model ' of room

air conditioners, a sample of sufficient

size shall be tested to Insure that--

(1) Any represented value of estimated annual operating coat, energy

consumption or other measure of energy consumption of a basic model for

which consumers would favor lower

values shall be no lean than the higher

of (A) the mean of the sample or (B)

the upper 91% percent confidence limit

of the true mean divided by 1.05, and

(Ii) Any represented value of the energy efficiency ratio or other measure

of energy consumption of a basic model

for which consumers would favor high-'

or values shall be no greater than the

lower of (A) the mean of the sample or

(B) the lower 9715 percent confidence

limit of the true mean divided by .96.

(g)(l) For each basic model' of

unvented bone beating equipment (not

Including furnaces), a sample of sufficient size shall be tested to Insure

that- i

(1) Any represented value of cet.lmated annual operating coat, energy

consumption or other measure of energy consumption of a basic model for

which consumers would favor lower

values shall be :Jo less than the higher

of (A) the mean of the sample or (B)

the upper 01% percent confidence limit

of the true mean divided by 1.016, and

(11) Any represented value of the annual fuel utilization efficiency or other

measure of energy consumption or a

basic model for which consumbre would

favor higher values shall be not greater

than the lower of ( A) the mean of the

sample or (B) the lower 97% percent

confidence limit of the true mean dl='

vfdgd by M.

'Compooeata of similar dealga may be cub

P9.19690411 witaoot reQslrtag addIIJoosl testing

U of r pseeetmf Maae.ies of hwtr ry eMmptl0a coatfsse to satisfy its applicable

sampling provision.

37

 EE-DET-94-003 COMMENT 0C

• I 

, 

I~ .. aJtaCObe ........ 

. Whon t.e.tll1l' of • cov.red produot ia 

pjqulte4 to complv with Metion _c) 

br the Act, or to oompl~ with ruiN ...... acrlbed under MCUO ... 12. or 321 01 the 

Act, a MJQP.e .ball be Mleote4 aDd 

te.t.ed oomprlMd of WlI~ whlcb an 

production WlI~, or an reprtMataUd 

of production WlIc. of the baalo model 

bell1l' teated, .... 4 lIIall meet the rouo.- Inc applicable criteria. 

(a)(1) For each buio mod.1 1 of el.oulo reb1re""to... &Dd .,I"trlo rebi,-

tlraLor-freezen, a IUDple ot .llfDoI.nt 

1118 IhaII be tetted to Ianni Ulat-

(I) AD7 reprennted walu. of •• umated &Donal operaUDI' oOlt, eoeru oouumpUon or other m ..... ot .~ 

el'lY ooUumpUoll ot a baalo inodel for 

.blob· oouurnen would layor lower 

yalu.,. .ball be DO I ... thu tile blaller or (A) the mean of tile ample or (8) 

tbe upper t6 percent confidence lImJt 01 

the true me&D divided b~ 1.10, &Del 

·(It) An~ repreaeDted yalue or th8 8nerey factor or otber meuun of ene,.,. 

coUurnpUoll or a bulo mod.l ror .hlob consumer .oul4 (ayor hI,lIer v&1u .. .hall be no It'Uter tbaD th. lo •• r of 

(A) th. meall or tbe ampl. or (8) th. 

lower 96 percent collfJd.nl:e limit 01 the uue me .... divided b~ .110. 

(b)(1) For eacb bulo mod.1 1 of h.,· . era. a earnpl. or sumctent abe lball be 

tested to Insun that36 

(l) Any repret4lnted value of e.Umated annual operatlDl' co.t, .neru consumpLion or ot.ber mouure ot 80-

.rgy coaaumpLioll or a balfo mod.l lor 

wblch couumena .ould favor lower 

yalulll lIIall be DO 1 ... thua tbe blaller or (A) th. me&D 01 the ampl. or (8) 

aa.a~tI 01 &Im1lu ...... .., ... .... .u ................. _ ........ ...... II UM "'po ....... _ ... ot~ ..... aumpUoD CODtlDQ. &0 _tl.-. ~ a_cUle 

aampllq (A .... OII. . 

... -.... -.... ." ................ , 

t.he upper Ii percent collfJdenc. limit 01 of (A) t.b. mean of tho u.mple or (lH 

th. true m.an 41".4.4 by 1.10, .... 4 tb. upper 96 percent. coandellce limit. of 

(II) Any repre .. Dtecl ... lu. of the .n- tb. true mean divided by 1.I0. And 

err7 factor or other meuure of ,nervY (II) Any repreaented value o( t.b6 en· couumptloG of .. bulo model lor .hlcb el'l'Y Cactor or ot.her meuure of enbrgy couum.n .oul4 C .. vor hI,ber v&1ue. consumptlOIl or a bulc model ror whleb 

,ball be no ..... ter than the 10 .... of consumena would fayor higher values 

(A) tb. m ..... of tb • .u.mple or (B) Lbe' ' .• hall be no rreater t.han the lower of 

low.r 86 percent oollfJdence l~t or the (A) the meAIl or t~e aample or (B) lhe 

t.rue mean 41Y1ded b~ .110. lower t5 percent confidence limit o( tbe 

(0)(1) 1'01' MOb bulo model' o( dl.b- tru. meaD divided by .80.-

w&abena. .. _pl. of suMaleot..... (0(1) POl' .acb b&alo modol' or room sball be teeted to IDiur. tba~ all' cODcUtlonen, .. aample 01 aLlCflelent 

(I) A1rI repnMGted wue 01 •• U- ,Ize .ball be tested to Insure t.bat.-

mated &IUlual Opa-aUq oaet. eD.,.,. (I) Ally rep ..... Dud v.alue 01 eal.l· 

oouumptioo or other meaaure of..... mated anDuai operaUng colt. en.m .r'17 oouumptioa of a baalo. mod.l for consumpUon or other meuure of en- whlcll oouumen would tavor 10"'1' el'l'Y couuinptloo ot a bute model for 

,&1u ... ball be 00 .IM than tb. bl.ller wblcb eouwn.... .ould lavor lower 

ot (A) the m ..... ot the ample or (8) valu ... ball be DO leea t.ban tbe hlgber 

tbe upper 8'l\l percent ooDfJd.llC8 limit 01 (A) tbe ~ean of tbe aampJe or (B) 

of the true m ..... dlYlcied b~ 1.05, .... d tbe upper 91\l percent collfJdenee 1Im1~ 

(II) AQ repnNotecl value of the ea- of tbe true meaD dlvlded by I.OS. and 

era7 r.etor or other meuun of to.,.,. (II) Any repreaented valua or the en- couumptloD ot .. bulo model tor .blell .1'87 .lnctenoy ratio or other n1elUlure couumena .oul4 favor, hllb.r .,&1ue. 01 eDel'l'Y eouumptioD or a ba.sle model 

.ball be GO I1"6&ter than' til. lo.er of for .hlch coaaum.na would ravor btgb-' 

fA) the m.u of the ample or (8) tbe er value •• ball be no rrealar tban t.be 

low.r fl\l perceot coDlldeace Ilmtt 01 lower of (A) the mean or tbe aampla or tile true mean cUvld" b~ .16. (B) the lower In~ percent conndenee 

(d)(l) Por MOh bulo model I 01' limit of tb. true me .... cllvldod by .96, 

clotb .. dry ...... aample ,r lumolellt (,)(1) For eacb ballo modlll' o( 

.Iae .... 11 be te,ted CO luurt. tbat- unwented bo~e beaUnr equipment (not 

(I) Ally r.pr ... nted value of •• U- IDCludlDl' I\lrnace.) ... aample or bUrn· 

mated annual operatlnl' co.t. ea.m clent elzo sball be tellted to lallure 

couumptlon or otber meuu... of .n- tbat.- I 

el'l'Y COD.umptiOO of a bulo model lor (I) Any repreaented VIlIUCl of clIl.l· 

wbleb oouumen .ould favor lo .... r mated annual operating COB\.. energy 

"alu ... hall be DO I ... tban tbe blaber consumption or ot.her mea.sure DC enol (A) the mean 01 tb. aample or (B) efll' coollumptloll of a bulc model for wblcb conaumen would Cavor lower 

tbe upper t1\l percent coondeDc. limit value •• hall be ~o leaa tban the hlghe:' 

oUbe tNo meu dlvtded by 1.05. and of (A) the meton or the sample or (B) 

(II) Any repreaeoted value 01 the .D- the upper e1'A1 percent conndenc6 limit 

eru factor or otber meullt8 of enerrY of tbe true mean divIded by 1.016. and 

cODlumptloll of a bulo model for wblcll (II) Any represent.ed value 01 the an . ,couum ..... ould lavor hlaber v&1u.. oual foe) utilization emeleDey or otber 

Iball be DO rreater than the low.r of meuure or eneru coasumptlon or a (A) the m.aa 01 the earnpl. or (8) t.b. bulo model for whleb consumere would 

lower I'l~ perceDt confid.nc. IImft.ol ravor higher valuellllbaU bo not greater 

tb. t.rue meu dlvld.d by .15. t.han the lower or (A) the lI1eall of! the 

(e)(1) For .acll bula mad.1 1 oC water &le or (B) the loiter 91Y.! perCePt 

beatere ... umple of SumO'.I'" II.. oonndenee limit 01 tbe true mean dl~' 

.ball be teat.d to laaun tha\- vld~cl by .925. 

m Any repreaeotecl .&1ue 01 .aUmated &IUlual opa-aU ... coat. eDIrD 

COMnmpUon « of.ll.W·......,. of eo-

«'n CCIMIIJrJ~ 01 a .... mc4t' t« 

wbleb coU'lUDlra wOllJci tuor low ... ,alu. abaU lie DO 1_ t.ban tbe bI,lIer 

3'1 

I CompoD.DtI of .Imn .... dN11'1l mar be au1>-

.cJWCH .,.~, "'II~ U4JuOllAJ ~I¥ "ea. ,.,.. .... "... ......." .. fA """1(, .y,. 

.mp'IOD CODUDD' &0 .U", ct •• ppll~bl. 

~Pllq J'ftfl.loD. 

( 
3 430.2/ - '

(b)(1) For each basic model' of television sets, .a sample of sufficient size

shall be tested to Insure that-

(1) Any represented value of estimated annual operating cost, energy

consumption or other measure of energy consumption of a basic model for

which consumers would favor lower

values shall be nq Jess than the higher

of (A) the .near) • ot he sample or (B)

the upper 9755 $roenticpnfldance limit

,of the true meandlvldeb by 1.06, and

(11) Any represented value of the energy factor or other measure of energy

consumption of a basic model for which

consumers would favor higher values

shall be no greater than the lower of

(A) the moan of the sample or (B) the

lower 97% percent confidence limit of

the true mean divided by .96.

(1)(1) Except as provided in paragraph

(i)(2) of this election, for each basic

model' of conventional cooking tops.

conventional ovens and microwave

ovens a sample of sufficient size shall

be tested to Insure that-

(1) Any represented value of estl

mated annual operating cost, energy

consumption or other measure of energy consumption of a basic model for

which consumers would favor lower

values shall be no lees than the higher

of (A) the mean of the sample or (B)

the upper 97% percent confidence limit

of the true mean divided by 1.05. and

(1i) Any represented value of the energy factor or other measure of energy

consumption of a basic model for which

consumers would favor higher values

shall be no greater than the lower of

(A) the mean of the sample or (B) the

lower 97% percent confidence limit of

the true moan divided by .95.

(2) Basic models need not be tested

which differ from other tested basic

models by only the design of oven

doors the use of which leads to Improved efficiency and decreased energy

consumption and estimated annual operating cost. Any represented values of

measures of energy consumption for

basic models not tested shall be the

sanip as for the tested basin model.

(J)(1) For each basic model' of

clothes washers, a sample of sufficient

site shall be tested to Insure that.-

(1) Any represented value of estimated annual operating cost, energy

consumption or other measure of ento CI R Ct1.11(1.1-93 Ed11on) Depattm.01 of Enefgl

orgy consumption of a basic model for (1) A sample of sufficient else, comwhich consumes would favor lower

values shall be no less than the higher

of (A) the mean of the sample or (B)

the upper 97% percent confidence limit

of the true mean divided by 1.06. and

(il) Any represented value of the energy factor or other measure of energy

consumption of a basic model for which

consumers would favor higher values

shall be no greater than the lower of

(A) the mean of the sample or (B) the

lower 97% percent confidence limit of

the true mean divided by .95.

(k)--(I) (Reserved)

(mXI) For central air conditioners,

each condensing unit shall have a condenser-evaporator coil combination selected and a sample of sufficient size

tested In accordance with applicable

provisions of this subpart such that-

(1) Any represented value of estimated annual operating cost, energy

consumption or other measure of energy consumption of the condenserevaporator coil combination for which

consumes would favor lower values

shall be no less than the higher of (A)

the mean of the ample or (B) the

upper 90 percent confidence limit of the

true mean divided by 1.06. and

(li) Any represented value of the energy efficiency or other measure of energy consumption of the condenserevaporator coil combination for which

consumers would favor higher values

shall be no greater than the lower of

(A) the mean of the sample or (B) the

lower 90 percent confidence limit of the

true mean divided by 0.06.

(2) The, condenser-evaporator coil

combination selected- for. tests pursuant to paragraph (m)(l) of this section

shall be that combination manufactured by the condensing unit manufacturer likely to have the largest volume

of retail sales. Components of similar

design may be substituted without requiring additional testing if the represented measures of energy consumption continue to satisfy the applicable

sampling provisions of paragraphs

(mXIXI) and (mXi•Xl$l of this section

prised of production units or representIng production units. shall be tested to

ensure that the requirements of paragraphs (mXIXI) and (mXI RII) of this

section are met for such other condenser-evaporator coil combinations;

or

(11) The representative values of the

measures of energy consumption shall

be based on an alternative rating method that has been approved by DOE In

accordance with the provisions of paragraphs (m)(4) and (m)(6) of this section.

(3) Whenever the representative valuee of the measures of energy consumption. as determined by the provisions

of paragraph (m)(2)(11 ) of this section.

do not agree within five percent of the

representative values of the measures

of energy consumption as determined

by actual testing. the representative

values determined by actual testing

shall be used .to comply with section

323(c) of the Act, or to comply with

rules prescribed under section 324 of

the Act. -

(4) The basis of the alternative rating

method referred to in paragraph

(m)(2)(11) of this section shall be a representation of the test di►tu► and calculations of a mechanical i vapor compression reflrlgeratlon cycle. The major

components In the refrigeration cycle

shall be modeled as "fits" to manufacturer performance data or by graphic

or tabular performance data. Heat

transfer characteristics of coils may be

modeled as a Oinction of face area,

number of rows. fine per inch. reftigerant circuitry. air flow rate and entering air enthalpy. Additional performance-related characteristics to be considered may Include type of expansion

device. refrigerant flow rate through

the expansion device. power of the Indoor fan and degradation coefficient.

(5) Manufacturers who elect to use an

alternative rating method for determining measures of energy consumption under paragraphs (m)(2)(11) and

(mXl) of this section must submit a request to DOE for reviewing the alternative rating method to the Assistant

For every other condenser-evaportgr Secretary of Conservation and Renewcoil combination manufactured by the able Energy, 1000 Independence Avenue,

same manufacturer or In part by a SW., Washington, DC 20685, and receive

component manufacturer using ' that approval to use the alternative method

same condensing unit, either- i by the Assistant Secretary before the

38

5430.24

alternative method may be used for

rating central air conditioners.

(8) Each request to DOE for reviewing

an alternative rating method shall Include:

(1) The name, address anti telephone

number of the official representing the

manufacturer.

(11) Complete documentation of the

alternative rating procedure. Including

the computer code when a computer

model Is used.

(111) Test data for two coils from two

different coil families for two different

condensing units. The tested capacities

for the matched systems for the two

condensing units shall differ by at least

a factor of two. Rating information for

the mixed systems shall Include the

ratings from testing, and from the alternative rating method.

(Iv) Complete test data , product Information, and related Information to

allow DOE to verity the rating Information submitted by the manufacturer.

(7) Manufacturers that elect to use

an alternatlve' rating method for determining measures of energy consumption under paragraphs (m)(2)(11) and

(m)(4) of this section must either subject a sample of their units to independent testing on a regular basis, e.g.,

voluntary certification program, or

have the representations reviewed and

certified by an Independent state-reglstered professional engineer who Is not

an employee of the manufacturer. The

registered professional engineer Is to

certify that the results of the alternative rating procedure accurately represent the energy consumption of the

unit(s). The manufacturer is to keep

the registered professional engineer's

certifications on file for review b'y DOE

for as long as said combination ,is, made

available for We by the manufacturer.

Any change td be made to the alternative rating method, must be approved by b6E prior to Its use for ratIng.

(8) -Manufacturers who choose to use

computer simulation or engineering

analysis for determining measures of

energy consumption under paragraphs

(m)(2)(1i) and (mX6) of this section

shall permit representatives of the Department of Energy to inspect for verIfication purposes the simulation

39

 EE-DET-94-003 COMMENT 0C

'43O.:U ... 

(b){l) For each bulc model I of televlllion aeta .. a sample or .urnolent II. 

IIhall be t.eBted to Insure tba~ 

(I) Any r-epresent.ed value of htlmated annual operaUq COlt. ene~ 

cOlUlumption or otber meaaure or en- elVY conlumpUon or a ballc model ror whlcb conlumen would favor lower 

vahlell IIhall be nq leu than tbe bl,ber 

of (A) tho fI1eR.fJ· or',he .. mple or (B) 

the ul'll6r 911,2 .Hrilentjcpnfldence limit 

,or the true meliri' dJvidOh by 1.05. and 

',(II) Any reprelented value of the en- ellrY factor or other meuW1I or enel"l7 

conllumpUon of a bulo model for wblch 

conBument would favor bllber value. 

Iban be no Ireater tban Lbe lo"er of 

(A) the mean or t.he eample or (0) tbe 

lower 91~ percent confidence limit or the true mea.n divided by .96. 

(1)(1) Except ... provIded In pa.racrapb 

(1){2) of this Mctlon. for eacb ballo 

models of conventional cookln .. tope. 

conventional avena a.nd mlcrowaye ovena a aample of sumclent eJze lball 

be tellted t.o lnaure that--

(I) An.,. represented value of eltlmated annual operatln .. COlt. enem cOlUlumption or otber me&lure or en- elVY conllumptlon of a ballo model ror which .conllumen would lavor lower 

vahlel .hall be nO leM t.hab tbe hl,ber or (A) tbe mea.n ot' the I&I11ple or (8) 

the upper 911,2 percent confidence limit 

of t.he true mea.n divided by 1.05. a.nd 

(II) Anyrepreltlnted value of the en- ellrY factor or otber meatlure 01 enel"l7 

consumption or a bulc model for wblcb 

consument would ravor bl .. tier value. 

shall be no wreater tba.n the lower or (A) t.he mean of tbe eample or (B) t.he 

lower 91~ percent confidence limit or the true mean divided by .95. 

(2) Bulc modell need not be te.ted 

wblch differ Itom other telted wlo 

models by only t.he dealrn of oven doon the Ultl of whlcb leads to Improved ernclency a.nd decreaaed energy 

cOlUlumption a.nd estimated annual operatlnr cost. Any repreaented valuea of meuures of enelll'Y conllumptloD for 

baalo models lIot tested I hal I be tbe 

aanl,e &I ror t.he tested wlo model. 

U1U) For eacb baela model I of 

olotbee wuhen. a tampl. or lumclent 

lize llhall be tellted to IIUIUTe that--

(I) Any represented value of e.Umated annual operat.lnl COlt. eoefl'}' 

oonaumptlon or other meuure of en38 

10 CfR Cb.11 (1-1-9$ Edition) 

el"l7 coDlumpUon of a bulo mod.1 for 

wbleb eODlumen would fayor low.r 

.alu .. aball be no leA tbaD th ..... b.r or (A) the meaD of tbe aample 01' (8) 

the upper 11~ percent coDlldeDDe limit 

of tbe true mean dIYlded b,. I .... aDd 

(II) ADJ' repreltlnted yalue of the _ .... 

el"l7 factor or otber mea ..... of Inl,.,. 

oODlumpUon of a bulo model for wblob eooeumera would favor b1,ber c yalu .. .hall be no creator tbaD the lower of 

(A) th. mean or tbe aample or (8) tbe 

lower 11~ peroent coandeDce limit or the true mean dI ylded b,. .15. . 

(kHI) (Reaened) 

(m)(i) For cenLral ... r condltlon.n, 

eacb eondenalnl' unit .ball ba.e a CODdell88r-evaporator coil combination Ielee ted and a aample of .umolent .... to.ted In accordance with appUcable 

prorilloDl or W. lubpart .ucb that-

(I) AD.J' repreaented nlue or tltImated aonual operatlnc oo.t. eDetO' 

cODiumptlon or other meal..... of eD-

'rv7 coDlumptlon of th. conde .... r- eYapontor coli combination ror wblob 

codUJnen would fa.or low.r .... u .. .ball be no I ... thaD the b1l'ber or (A) 

the mean of tbe urnple or (8) til. 

upper 10 percent oonf1denDe limit of th. 

true meaD dlrided b,.I .... aud 

(II) ADJ' repreMoted .ala. or tile eDel"l7 emoleno,. or otber m ... ure or eDefl'}' CODlumptiOD or the cODde ........ tvapontor coil comblDation ror wblob 

cODlumera would ra.or hll'ber .alu .. .ball be no lTeator tba.n til. lower of 

(A) th. meaD of tbe IUDple or (0) the 

lower 10 percent ooDlldence IlmIt or tile 

true mea.n dlrided b,. 0.16. 

(2) The oondenaer-eyaporator 0011 

combination .elected· for. te.ta punu- .... t to paraarapb (m)(1) of tbU MctloD 

.ball be tbat comblnaUon manurac- tured b,. tbe condeDllq unit ma.nUCaoturer IIkel,. to bave the laqe.t .olume 

of retail ..... e.. Componenta or IImIIar 

dellp ma;r be lubetStuted wltbout .... qulrtn. additional teltlnl II tbe repreeented meaeurel of Inel"l7 eODlurnptlon continue to eatllry tbe applicable 

II&I1lplln. prorisloDl 'of puqrapbe 

(m)(I)(1) and (m)(a.)(II. of W. MeUoit. 

For .. e,.,. other oond.Il88 ...... poraLqr 

0011 oomblnatlon manUCaOturecl b,. til. aame manufacturer or In part b,. a component manufacturer oaIllI" that 

l&IJle oondenalq unit. either- II 

oepamnent of Energy 

(I) A earnple of .untolent ..... eompriNd of production ualtl or repreMn&-

lDI JII'OCIUOtiOD PDlta. Iball be teated to 

eDiure tbat the requtrementa or para.. 

IT&phI (m)(I)(1) aDd (m)(I}(1I) or til .. Motlon ..... met for .uob other eon- dell88r-eyaporator coli comblaaUona; or 

(lI) The repreeent.atlYI .. .luel of the meaure. 'of ene~ oODlumptlon .ball 

be b .... d on lUI ... ternatl •• ratlnl' method tbat baa been approved b,. DOB In 

aGCOrdanCI wltb tbe prori.lODl or para-

.rapb. (m)et) and (m}(6) of tbll .eetlon. 

(3) Wh.neyer th. repnMDtatlYe .alUti or tbe meature. of .n8qy cODlumptlon. at detonnlned b,. th. provi.loDl 

orparaarapb (mX2XII) of W. lIIetion. 

do not..-ree w1tblD n •• percent of tbe 

repreMnt.atlve yalu •• of the me&lure. or ene...,. CODlumptiOD .. detonnlned 

b,. actual to.tlOI'. tbe repre.entatlve 

yaluh detennlned b,. actual teatln" 

.ball- be UNCI.to eompl,. with aeotlon 

123(0) or tile Act, or to compl,. with . rule~ prucrlbed under MOtion 32t or tbeAct. 

(t) Tbe ball. of tbe alternaUve ratln .. metbod rererred to lD puqrapb 

(m}(2}(U) or W. Motion .ball be a repreMntation of tbe teat ~~ a.nd calouiatloOl or a mec~oall.por com- pnAloD reft1.eratloD OJ'ole. Th. major 

componenta ID tile reAipratloD cycle 

.ball be modeled u "nta" to manufacturer perlormaace data or b,. IT&pblo or tabular perlOrmaDce data. Heat 

tranarer ebaractert.tlc. of coli. ma,. be 

modeled at a OmcUon or face .... ea. 

number or rowe. nn. per Inob. retH .. - .rant clroult,.,.. air now rate and enterIn. air enthlp,.. AddJUouJ perlonnauee-related cbaracterl.tlCl to be COD-

.Idered rna,y Include type of eapanalon 

dence. retH,erant now rate througb 

tbe eapanalon device. power of tbe Indoor ran a.nd de,radatioD coernclent. 

(6) Manufacturers wbo elect to use a.n alternative ratln, metbod for determiDIill' meuUTes of enellD' eonaump- tlon under IJjU'qr&pb. (m)(2)(II) a.nd 

(m)(t) of W. eectlon mnat lubmlt a re- qUI.t to DOE for revlewlq tbl alterDati •• ratllll' method to tb. A.I.tant 

a.o,.t.&r7 of OonMnaUoa and Renlwable EDe,.,.. 1000 ladependence AYllnue. 

BW •• Wublorton. DC 20685. and receive 

appro.aI to use th. alternative metbod 

b,. thl AMtetant Becretar)' berore thl 

39 

s.uo.:u 

alternative Qlethod may be tilled for 

raUn .. central air oondltloners. 

(6) Each request to DOE for revlewlor an alternaUve rating method Iball In- . clude: ; 

(I) Tbe name. addresa a.f14l telephone 

number of the omclal repreeentlnr the 

manufacturer. 

(II) Complete documentation of the 

alternative rating procedure. Includlor 

the computer code when a computer 

model II need. 

(Ill) Telt dat.a for two colis crom t.wo 

different coli families for two different 

eondenalng unite. Tbe tolted capa.cltle. ror the matched -Iystema for the two 

condenalllI unlta shall dUfer by at leut 

a ractor or two. Rating Information for 

the mixed Iystema Iball Include the 

ratlnll Ik'om testing. and Itom the alternative ratln .. method. . (Iv) Complete test data. product. InfoonaUon. and related Information to 

allow DOE to vertfY the rating Information lubmltted by t.he manufacturer. 

(7) M&nufacturera that elect t.o -uee an alternatlve'ratlnr method lor determlwq meuures 'of eoel1rY conlumpUon under JlIU1liraphs (m)(2)(Il) and 

(m)U) or tbls sectlonmuat elt.her subJect a sample of their unite to Independent testing on a rernlar buls. e ..... .oluntary cllrtlncatlon program. or bave tbe representations reviewed a.nd 

cerUned by an Independent state-relIstered profesalonal enrlneer who III not an employee of the manufacturer. Tbe 

rerlstered proresalonaJ engineer 's to 

certify that the results of t.he alternative rating procedure accurat.cly repreaent the eflerry cOlllluml,Uon of the 

unlt(s). The manufacturer Is to keep 

tbe rerlstered professional enrJneer'l 

certifications on file for review IIy DOE 

for &I long &.II Bald comblnatlon.ls,made 

avallabl, ror eaJe by the manufacturer. 

Any chlinre to' be made to the al ternative rat.lng· method. must. Le approvel1 by i:JOE prior to Its use for ral.-

Ing. 

(8) Ma.nufacturera who choose to use computer Ilmulatlon or englneerlor 

a.nalysls for determlnln, rne&.llures of 

IntllD' Qooeumptlon under pararrapbl 

(m)(2)(I1) and (m)(5) or this section 

.ball permit repreaentat.lvel or the Department of Enel1rY to Inllpect ror ver- Incatlon purposes t.be .Imulatlon 
§ 430.24

method or me+Lhods used. This inspection may Include conducting simulations to predict the performance of particular condenser-evaporator coil combinations specified by DOE. analysis of

previous simulations conducted by a

manufacturer, or both.

(nXl) For each basic model' of furPaces, other than basic models of those

sectional cast-Iroq,boilers which may

be aggregated Into ape having identical tntermedl&4 - ,Oatd9ns and combustion chambo)a. a sample of sufflclent size shall be tested to insure

that-

(1) Any represented value of estimated annual operating cost, energy

consumption or other measure of energy consumption of a basic model for

which consumers would favor lower

values shall be no less than the higher

of (A) the mean of the sample. or (B)

the upper 97% percent confidence limit

of the true mean divided by 1.06, and

(It) Any represented value of the annual fuel utilization efficiency or other

measure of energy consumption of a

basic model for which consumers would

favor higt&v values shall be no greater

than the lower of ( A) the mean of the

sample, or (B) the lower 9755 percent

confidence limit of the true mean divided by .96.

(2) For the lowest capacity basic

model' of a group of basic models of

those sectional cast-Iron boilers having

Identical Intermediate sections and

combustion chambers, a sample of sufficient size shall be tested to Insure

that-

(1) Any represented value of antimated annual operating cost, energy

consumption or other measure of energy consumption of a basic model for

which consumers would favor lower

values shall be no less than the higher

of (A) the mean of the sample, or (B)

the upper 9755 percent confidence limit

of the true mean divided by 1.05, and

( if) Any represented value of the fuel

utilization efficiency or other measure

of energy consumption of a basic model

for which consumers would favor higher Yalues shall be no greater than the

'Components of similar design may be substituted without requiring additional testing

If the represented measures of energy consumptlon continue to satisfy the applicable

sampling provision.

1 0 CFII Ch. 11(r-1.9S Edtibft)-

lower of (A) the mean of the sample. or

(B) the lower 97K percent confidence

limit of the true mean divided by .96. '

(3) For the highest capacity basic

model' of a group of basic models of'

those sectional cast-iron boilers having

Identical Intermediate sections and

combustion chambers, a sample of sufficient size shall be tested to insure

that-

(1) Any represented value of huttmated annual operating cost, energy

consumption or other measure of energy consumption of a basic model for

which consumers would favor lower

values be no less than the higher of (A)

the mean of the sample. or (B) the

upper 97% percent confidence limit of

the true mean divided by 1.06. and

(ii) Any represented value of the Will

utilization efficiency or other measure.

of energy consumption of a basic model

for which consumers would favor higher values shall be no greater than the

lower of (A) the mean of the sample, or

(B) the lower 9714 percent confidence

timid of the true mean divided by .06.

(41 For basic model ' or capacity other

than the highest or lowest of the group

of basic models' of sectional cast-iron

boilers having Identical intermediate

sections and combustion chambers.

represented values of measures of en-

.ergy consumption shall be determined

by of theta--

(1) A linear Interpolation of data obtalned for the smallest and largest capacity units of the family. or

(11) Testing a sample of sufficient size

to Insure that (A) any represented

value of estimated annual operating

cost, energy consumption or other

measure of energy consumption of a

basic model for which consumers would

favor lower values shall be no less than

the higher of (1) the mean of the sample, or (2) the upper 9734 percent confidence limit of the true mean divided

by 1.05, and (B) any represented value

of the energy factor or other measure

of energy consumption of a basic model

for which consumers would favor higher values shall be no greater than the

lower of (1) the mean of the sample. or

(2) the lower 97% percent confidence

limit of the true mean divided by .96.

(6) Whenever measures of energy consumption determined by linear interpolation do not agree with measures of

40

Dopatmont of Enosgy

energy consumption determined by actual testing, the values determined by

testing will. be assumed to be the more

reliable *alues.

(6) In calculating the measures of energy consumption for each unit tested,

use the design heating requirement

corresponding to the mean of the capacities of the units of the sample.

(oXl) For each basic model ' of vented

home heating equipment (not including

furnaces) a sample of sufficient size

shall be tested to Insure that-

(1) Any represented value of estimated annual operating cost, energy

consumption or other measure of energy consumption of a basic model for

which consumers would favor lower

values shall be no less than the higher

of (A) the mean of the sample or (B)

the upper 9755 percent confidence limit

of the true mean divided by 1.05. and

(11) Any represented value of the fuel

utilization *Moloney or other measure

of energy consumption of a basic modal

for which consumers would favor higher values shall be no greater than the

lower of (A) the mean of the sample or

(B) the lower 9734 percent confidence

limit of the true mean divided by .05.

(2) in calculating the measures of energy consumption for each unit tested

use the ' design beating i i1bqulrement

corresponding to the mesa of the cs.-

pacittes of the units of the sample.

(pXl) For each basic model' of pool

beater a sample of sufficient size shall

be tested to Insure that-

(I) (Reserved]

(11) Any represented value of the fuel

utilization efficiency or other measure

of energy consumption of a basic model

for which consumers would favor higher values shall be no greater than the

lower of (A) the mean of the sample or

(B) the lower 9735 percent confidence

limit of the true mean divided by .95.

(qXl) For each basic model of fluorescent lamp ballasts, as defined in paragraph (14) of 14M.2. a sample of suf

cient size, no less than four. shall be

tested to Insure that-

(1) Any represented value of estimated annual energy operating costs,

mponents of similar design may be sub. 'Co

stituted without requiring additional testing

If the represented measures of energy consumptton continue to satisfy the applicable

sampling provision.

3430

energy consumption, or other mess,,

of energy consumption of a basic mod

for which consumers would favor low,

values shall be no lase than the high

of (A) the mean of the sample or tt

the' upper 99 percent confidence limit

the true mean divided by 1.01. and

(11) Any represented value of the bas

last efficacy factor or other measure o

the energy consumption of a bast,

model for which consumers would favor

a higher value shall be no greater than

the lower of (A) the mean of the sample

or (B) the lower 99 percent confidence

limit of the true mean divided by 0.99.

(r)(1) For each basic model of general

service fluorescent lamp and general

service incandescent lamp as those

terms are defined in paragraphs (16)

and (Id) of the definition for "basic

model " In 1430. 2. samples of production

lamps shall be tested and the results

for all samples shall be averaged for a

12-month period. A minimum sample of

20 lamps shall be tested. The manufacturer shall randomly select 3 lamps

from each month of production for I

out of the 12 months required for the

average. In the Instance where a basic

model of general setvice fluorescent

lamp or general service incandescent

lamp has been manufactured for lees

than 7 of the preceding 12 months, the

number of lamps selected shall be divided as evenly as possible among the

months of production to attain a mintmum sample of 20 lamps. The lamp efficacy of the sample lamb shall be the

quotient of the average of the lumen

output and watts Input measurements

to Insure that any represented value of

lamp efficacy or other measure of the

energy consumption of a basic model

for which consumers would favor a

higher value shall be'no greater than

the lower,of ( 1) The mean of the sample

or (ii) The lower- 99 percent cgnttdence

limit of the-true mean divided by 0.99.

(2) For each basic model of general.

service fluorescent lamp except for medium bane compact fluorescent lamps,

as defined in paragraph ( 16) of 1 430.2.

random samples of production lamps

from 12 months of production shall be

selected for testing the Color Rendering Index (CRI). The CR1 shall be represented as the average of a minimum

sample of 20 lamps from. the earns produotion tote which ern. -

 EE-DET-94-003 COMMENT 0C

5430.2.4 

method or me-thoda uaed. Thla Ill8peetlOD may Include conductlng almulatlons to predict tbe performance oC puUcular condenaer-evaporator coli com- blnatlona apeclned by DOE. analylll or prevloua almulatioDl conducted b)' .. 

manufacturer. or botb. 

(n)(1) For eacb bulc model' oC fUr- nacea. oLlIer than bulo model a or thoM 

sectional cut-Iroq 1~~lIera wblcb ma)' 

be aggregated 10'0 iffiJ_pe hanOI' Iden-

,tical Intermed!U, '"~9nl and com- 'bustlon chamb6ra. a I&fiIple or .um- clent elze ahall be teated to JIlIu.re 

tbat- .. (I) Any repreBOnted value of e.Umated annual operaUnr COlt. enertY 

consumption or other me ... ure or on- ergy consumption oC a bule model Cor 

wblcb conIum en would favor lower 

valuea ahan be no lellll tban tbe hlgher 

of (A> tbe mean or tbe aample. or (D) 

the upper S'IY.t Percent confidence limit 

of the true mean divided by 1.0&. and 

(II) Any repreaented value or the an- nual fUel UUIIUUOD erflclenc), or otber meuure or enem' cOll8wnption of a bulo model ror wblob conllumen would 

(avor hllib'et valuel lib all be no ,reater. 

tban tbe lower oC (A) the mean or tbe 

sample. or (D) tbe lower &1~ percent 

conndence limit of the true mean divided by ,96, 

(2) For the lowellt capacity bula 

model' of a ,roup or baale model. of 

tboae aectlonal c ... t-Iron boilers havlq 

Identlcal Intermediate BOctiofUI .. nd 

combustion cbambers. a earnple of .ufnclent size ahall be tested to Insure 

that-

(I) Any repreaented value of estl· 

mated annual operatlnw COlt.. enerlY 

conaumpUon or other meuure of en- ergy consumption of a basIc model for 

which consume." would favor lower 

valllea shall be no le88 tban the hIgher of (A) t.he mean or the aample. or (8) 

tba IIpper 9'1Y.t percent conndenee limit 

of the true mean divided by 1.05. and 

(II) Any repreaented value of the fuel 

ullllzatJon erncleney or othar m8uure or energy consumptlon of a bulc model ror whlcb conaumers would favor blgb- er ya,yell shall be no greater tban the 

lCo~POD.DtI of Ih'ollar 4111111 rna, be lubItltute4 wlLboul. reQulrlD~ additloDaJ telUq 

It tbl repr ... oted m ... ur .. or .01"" COD-

.umpUoo cootioul to .. UII) thl appllcabll aampll~ pro.,llloD. 

10 efR eta. II (l-l-95 EcItIbn)· 

lower of tAl tbe mean of tbe aample, or (D) tbe lower 81~ percent coDJ1denGe 

limit of tbe true mean cltVl4ed br." . (3) For tbe hJ,beat capaclt)' bulo 

model' of .. ITOUP of ballo mode1a or thoae I8CUonal cut-tron boll ....... 91q 

Identical lotermedlate MotSona and 

combueUoD ebamben. a aampl. of .ur· 

ncteDt .Ise .ball be telted to luun 

tbat-

(I) Any represeoted .,alu. DC •• Umated anaw operaUq COlt. eoem' 

conaumpUoo or other me ... u.re oC eo- efIT oonaumpUoo oC .. bulo mode' for 

wbJcb cooawnen would favor low.r 

uJu .. be DO Ie .. than th. bI,b.r 01 (A) 

tbe m.aD oC the aample. or (8) tb. 

upper 17~ percent cooJldeDce Ilmlt of 

tbe true mean dh1ded b,. 1.06. and 

(tl) AnI' repr ... nted .,&lue oC tile fUel 

utlllzaUon ,mcleno), or otber m .... un. 

of eDem' cooaumptlon of .. balo model ror wblcb con.iumen would C .... or bI,ber value •• baIl be no mater tbaA tb. 

lower of (A) tbe mean of the lampl., or (8) tbe low.r 81M! percent ooDJ14enGe 

lImli of tbe true niean clt'flded br .06. 

( •• For .,..10 modell or capaclt,. otber 

tbaA tbe bJrbeat or lowe.t of tbe II'OUP 

of bulo modole' of Motional CUt-lroD 

bollenl ha'flllI Identical IDt.rmtcUa" 

HcttODl and oombu.tlon chamben. 

represeDt.d walue. of meuun. ole .. ,'1'17 cooawnptlon .ha)) be determined 

byelthel'- ' 

(I) A linear Interpolatlon of data obtained lor tbe emalle.t and IUle.t c.a.-

paclt)' unl ... oBhe famU, .. or (II) Te.tllllr a aample of .umclent .IM 

to lnaure tbat eA) any repreMnted 

value oC estimated annw ope ..... tlnr 

coat. ,nem' cOlUlumptlon or other meuure of en em' conSumption of a 

baalo model Cor wblch coneumen would . favor lower valuea sban be no lelll tban 

tbe bl,ber of (I) the mean DC tbe aampie. or (Z) tbe upper 9'1~ percent CODndence limit or the true mean dlvtded 

by 1.05. and (8) any repreaented value 

of the enel'l7 factor or otber me ... ure oC enem' conaumptioD of .. balle model ror wblcb conaumers would ravor blrb- or value •• hall be DO .... ater tban tb. 

lower oC (I) tbe meaD of the lamP'e. or el) tbe 10.'1' 87M! percent ooDJ1deDCI 

limit oc tb. true me&1l divided b, .15. . 

40 

e&) Whenever Ill .... ur •• ol.n'rrr CODeumptloD determined by 1I0ear tDte .... polatlon do bot arre. wStIl m .... un. of 

DepartrMnl of Energy 

.nellrJ conllumpUon determined by ac- tual testlq. tbe .,alu .. determined by 

teltlOl' JI!1U.", .... umed to be the more reliable t&lu ... (I) JD calcuIatlllI the meuurel or en- err7 coDlumptlon for eacb unit telted. ... e tbe deaJro beatlor requirement correlpondtnc to the mean of tbe ca- pacltl .. of uae untta of tbe aample. 

(0)(1) For eacb balo model' of vented 

borne beaUq equipment (not Inclu41q 

I\lrnacel) a aample of aumelent. .lze 

eball be telted to lnaote that.- . (I) Any represented .. &lue of eltlmated anaw operat.fn, COlt. .nertY 

OODllUnptloQ or other me ... ~ of en- err7 conaumptloD oC a bulo model Cor 

whlcb conaumen would favor lower 

valu ... baIl be no Ie .. tban tbe hl,her 

of (A) tbe mean oC tbe aample or (8) 

tbe·upper 81M! percent ooDJ1deDce limit 

of tbe true mean clt9lded by 1.05. and 

(II) An)' npreMated .,&lue oC tbe ruel 

utilization emelene,. or other .m .... ure or .n • ...,. cooaumptlon of a bulo model 

Cor whlcb oooaum.n would Cavor bI,b- er value •• baIl be no mater tban tbe 

lower or (A) uae mean of the aample or (D) tb. lower 11~ percent conndenc. 

limit of tbe true meaD dlnd.d by .•. (2) III calcutatlq tb. m .... ur .. 01 en- afIT oonaumptlon for eacb Wilt telted 

UI8 tbe· d.alpbeaUn, I ~u1rem.nt correlpoDdlq to th. meaD oC tbe ca.- pacltl .. of t.he unlta of tbe aample. 

(p)(1) For eacb bulo model' or pool 

beater .. lample DC .umclent lice lball 

be te.ted to Soaure tba~ 

(I) (Reae"") (II, Any repreaented value of tbe tuel . utnlzatlon erncSenor or otb.r meuure or enem' conawnptloQ or a hule model 

Cor wblcb cOlUlumen would Cavor blrb- er value. aball be no arealer than tbe 

lower of (A) tbe meaD of tbe aample or (8) tb. lower i1~ percent coofld.nce 

limit of tbe true mean cltvtded by .15. 

(q)(l) For eacb bulc model of nuorea- cent lamp bail_til. u clenned In Pararrapb (It) or 1430.2 ... aample of .um- cleDt .Ize. no 111111 tban four, .bal. b. 

keted to IDlure tba~ 

(I) Any represented value of eatlmated anaual eo.m' operatll1l co.ta. 

'Compoa.ate of Ilmnar dtalp rna, .,. lubIUtU," wlUloal. teQulrlq addlUoDal &nUUC 

If tbe hpntaDt.e4 m.1.IIIJ'M of .0 • ..., CODnmpUOD OODUaue &0 ... Ue" the applicable IUIlDllq pro .... oa. 

energy consumption. or othor moult 

of energy cODllumptlon of A blUllc mod 

for wblcb CODllumera would favor low. v~!lel abaJl be no le81 than the hIgh. or (A) the mean of the alU1I111e or (I 

tbe· upper 99 percent. confidence limit I 

tbe true mean divided by 1.01. and 

(II) Any reprellented value or tba bai 

lut emcacy factor or other mCUllre 0 

tbe energy conaumptlon or a baal. 

model for Which conBument WOIII<I (avol a blgher value shall be no I(realer thar. 

the lower or (A) the melUl of tha eaml}le 

or (8) the lo~er 99 percent conndence 

limit or "hit true mean dlvilled by 0.00. 

(1')( l) For each bll8lc mOllel of IlIlIeral 

BOrvlce nuorellcant lamp and ,eneral 

aervlce Incandescent lamp All those 

term. are 4enned 'In paragraphs (lb) 

and (16) of the deflnltlon ror "bll8lc 

model" In li30.2. aamplea of pro,luction lampe eball be tested -and t.ho rOllulu 

for all e&mplea sball be avoragod for a 12·montb period. A minimum aaml,le of 

2D lampe IIhall be ttllsted. The manufacturer aball randomly 80lect 3 lamps 

trom eaob month or production for T 

out or the 12 monthe required rllr the 

avota4te. In the Inatance whore a bll810 

model of lon.ral BOfvke nU(lNlscent 

lamp or general aervlce Incandellcent 

Jilmp bu been manufactured (or lese 

tban 1 of tbe precodlng 12 montha. the 

number of lampe lelected shall be dIVIded u evenly u poaalbla amollg t.he 

montba or prodUction to att.aln a mittSmum sample of 20 lamps. 'l'be lamp el'llcacy of tbe eample laml18 shl!l1 be tbe 

quotient or tbe average oC the IUllleD 

output a"d watta Input mell8uremenu . to lneure that any reprellented \!alue of . lamp emcacy or other meaaure or the 

energy consumption of a bulc model 

for which conaument would f'lvor a higher value ahall be 'no greater tban 

the lowertor (I) 'J(he mean or tbe 6 nml,le or (II) Tbo lowe~ 99 percent cQflttdence 

limit of thO'·true mean dlvl,led by 0.99. 

(2) For each bll8lc model oC gelleral. 

aervtee nuoreacent lamp 8lI:cepl for me- dium bue compact. nuorescent lampe. u denned In pa.ra&Tapb (16) of 1430.2. 

random aamplel of production lampe 

(rom 12 months or production IIhall be 

Hlected lor te.Ung tbe Color RenderInr Indn (CRI). The CRI ahall be repreBOnted .. the average oC a minimum 

aample of 20 lampe from. the eame pro- 4uoUon lote wl\toh .. ,.... • 
I . 1430.2S

measurement In 1430.24(r)(1). I.e.. the

manufacturer shall measure all lamps

for lumens

. watts Input. and CR1. The

20 CRI measurements shall be averaged

to Insure that any represented value of

CRI of a basio modelfor which oonsumers would favor a higher value shall be

no greater tha>EI the lower of (1) The

mean of the sample or (11) The lower 99

percent confidence limit of the true

mean divided by 0.09. (Energy Policy and Conservation Act. Pub.

L. 94-183. as *mended by Pub. L. 96119; Depertinent of nervy Organisation Act. Pub.

L. 98-91)

(N FR 31118, Apr. It 1479. as amended at 44

PR MI83, July S. 1979; 44 FR 79798. Dec. 37.

1979; 48 FR 81719

, Ave. 13. 1M0; iii FR 8313.

Mar. 14. 1989; 81 FR 9718. Feb. 7. 19* 89 PR

Il52. April 24. 1911. Redesignated and

amended at 60FR 9174. 41178. Sept. IS, 19M) 1 1

 EE-DET-94-003 COMMENT 0C

, \' . . \ ", " 

) .i I I 

, , 

. IUI.25 

meuurem.ot 10 1t3G.2t(r)(l). I .•.• tb. 

manufacturer Iball meuure all lamJII 

for Iwn.DI. w.ttl loput. and CRI. Th. 

20 CRI meuur.m.otl Iball be .Ye .... e4 

to IDiure tb.t any repreNoted yalu. of 

CRI of. bulo 1I}0de"for wblcb oODlum- .... woul4 f.~orJ. bl,h.r value tball be 

00 ..... ter tD&ll tbe Iow.r of (I) Th. 

'mean of tbe &le or (II) The lower .. percent conndenel limn of tbe true 

mean dJvldecl b,. 0 .... 

(Ea'rn Polle,. &lid CoDH"aUOD .lot. Pub. 

L. H-113 ... "".Dd.4 b,. Pub. L. •• 11; Departln.Dt 01 b.rn OrpDJuUOD Act. Pub. 

L. WHlI) 

1ft FJ\ 23411. Apr. I" 1111 ... un.Dded at ft 

Fa .163, JuJ,. I. 1m; ft FA 'It'rDI. Deo. 27. 

1m; tI Fa 6371., AIII'. 12, 1110; U Fa 1312, 

Mar. It. 1_: 51 Fa all. F.b. t. I .... III Fa 

lla2. Aprfl ". 1.1. Red ...... ted &114 

am.Dded at III Fa .., .... nil. 8ept.. •• I., 

. " 'f 

I, 

\ 

, , 
I

Subpart F-Cerdl lcaflon and

Enforcement

BouRcs: 64 FR 6091. Feb. 7. 1969, ugless otherwise noted.

1430.80 Purpose and scope.

The regulations in this subpart set

forth the procedures to be followed for

certification and enforcement testing

to determine whether a basic model of

a covered product complies with the

applicable energy conservation standard set forth In subpart C of the part.

Energy conservation standards Include

minimum levels of efficiency and maximum levels of consumption (also referred to as performance standards)

and prescriptive energy design requirements (also referred to as design standards).

1450.81 Prohibited acts.

(a) Each of the following to a prohlbite4 act pursuant to section 332 of the

Act:

(l) Failure to permit access to. or

copying of records required to be supplied under the Act and this rule or

failure to make reports or provide

other Information required to be supplied under this Act and this rule: (2) Failure of a manufacturer to supply at his expense a reasonable number

of covered products to a test laboratory designated by the Secretary;

(3) Failure of a manufacturer to permit a representative designated by the

Secretary to observe any testing required by the Act and this rule and inspect the results of such testing; and

(4) Distribution In commerce by a

manufacturer or private labeler of any

new covered product which is not In

165 I i

 EE-DET-94-003 COMMENT 0C

", ... 

) 

Subpart F-Certlncatlon and 

Enforcement 

SoURCE: 64 FR al. Feb, 1. 111811. uqle. otb- I, 

erwiN Doted, 

1430.80 PurpoM ud 1C0pe. 

Tbe relrUlations In this subpart let 

rorth the procedures t.o be rollowed for 

certification and enforcement tesUnr 

to determine whether & b&8lc model of 

& covered product complies with the 

,applicable enelTY conservation stand· 

ard .et fort.h In .ubpart C or ttls part. 

EnelTY cOllJetvaUon standards Include 

minimum levels of ernclency and mul- mum level. of consumption (aleo re- rerred to &8 perrormance standards) 

and prelCrlptive enelTY dellsn requlre- menu (allo referred to &8 d811,o eunduda). 

1430.1. Problbl&ed ad .. 

(a) Each or the rollowlng Is a prohlb- It.e~ act pursuant to section 333 or the 

Act: 

(I) Failure to permit acceea to, or copylnr or recordl required to be IUpplied under the Act and thll rule or rallure to make rePorts or provide 

other InformaUon required to be IUPplied under thll Act and thll rule: 

(3) Failure or a manuracturer to supply at hll expenslI a reaaonable number 

of covered products to & telt. laboratory deSignated by tbe Secretary: 

(3) Failure or a manuracturer to permit a representative designated by the 

Secretary to observe any testing re- quired by the Act and tbls rule and Inlpect the resulu ot lucb testing; and 

(4) Distribution In commerce by a manufacturer or private laheler or any new covered product "blch II not In 

I, 

I 

, 
§430.62

compliance with an applicable energy

efficiency standard prescribed under

the Act and this rule.

(b) In accordance with section 333 of

the Act, any person who knowingly

violates any provision of paragraph (a)

of this section may be subject to assessment of a civil pggalty of no more

than $100 for each violation. Each viola[;Ion of paragraph/( a) of this section

Will constitute a'separate violation

wlbh respect to each covered product,

and each day of noncompliance with

paragraphs ( a) (1) through (3) of this

section shall constitute a separate violation.

430. 62 Submission of data.

(a) Compliance statement and certincation report. Each manufacturer or

private labeler before distributing In

commerce any basic model of a covered

product subject to the applicable energy conservation standard set forth In

subpart C of this part shall certify by

means of a statement of compliance

and certification report, that each

bash. model meets the requirements of

that standard.

(1) The compliance statement shall

certify that:

(1) The basic model(s) comply with

the applicable energy conservation

standards;

(11) All required testing on which the

compliance statement is based was

conducted In conformance with the applicable test requirements prescribed

In 10 CFR Part 430 Subpart B and this

subpart and all test data are reported

In accordance with this subpart;

(111) All Information reported In the

compliance statement is true. accurate, and complete; and

(iv) The manufacturer (private labeler) is aware of the penalties associated

with violations of the Act and the regulations thereunder, and 18 U.S.C. 1001

which prohibits knowingly making

false statements to the Federal Oovernm nt. The format for a compliance

statement Is set forth in appendix A of

this subpart.

(2) For each basic model the certiflcation report shall Include the annual

energy use and adjusted volume (for re•

frigerators. refrigerator-freezers and

freezers). energy factor and rated storage volume ( for water heaters), the en10 CIR Ch. II (1-1-95 Edlllon)

orgy efficiency ratio (for room, air conditioners), seasonal energy efficiency

ratio and heating seasonal performance

factor ( for central air conditioners and

central air conditioning beat pumps),

thermal efficiency (for pool heaters),

and annual fuel utilization efficiency

(for furnaces and direct heating equip.

ment) the model numbers for each

basic model ; and Its capacity. For each

basic model of general service fluorescent and Incandescent reflector lamps,

the certification report shall Include

the laboratory's NVLAP Identification

number or other NVLAP-approved accreditation Identification, basic model

tested, production date codes (and accompanying decoding scheme ), the 12-

month average lamp efficacy and lamp

wattage, brand names and model designation. The certification report ahaU

also Include the 19-month. average

Color Rendering Index for general servIce fluorescent lamps.

(3) Copies of reports to the Federal

Trade1Commisslon which Include the

Information in paragraph (a)(2) of this

section meet the requirements of this

paragr(ph•

(b) Initial reporting requirements.

All data required by paragraph (a) of

this section shall be submitted on or

before the effective date of the applicable energy conservation standard as

prescribed in section 325 of the Act. For

each basic model of a covered product

to be distributed In commerce, each

manufacturer and private labeler or his

representative shall pie a compliance

statement and certification report, by

certified mall, to Department of Energy. Appliance Efficiency Standards,

Assistant Secretary for Conservation

and Renewable Energy , Forrestal

Building. 1000 Independence Avenue,

SW.. Washington, DC 20685.

(c) New models. All information required by paragraph (a)(2) of this seetion must be submitted for new models

prior to or concurrent with any distribution of such model. Any change to

a basic model which affects energy consumption may constitute ,the addition

of & new basic model subject to the requirements of $430.61 of this part. If

such change does not alter compliance

with the applicable energy oonaervaLion standard for the basic model, the

new model shall be considered oat

168

Deparlmonl of En•rgy

tined. Models which are discontinued

shall be reported, In writing, to. the Department of Energy.

(d) Maintenance of records. (1) The

manufacturer of any covered product

subject to any of the energy performance standards or procedures prescribed In this part, shall establish,

maintain, and retain the records of the

underlying test data for all certification testing. Such records shall be

organized and Indexed in a fashion

which makes them readily accessible

for review. The records should Include

the supporting test data associated

with tests performed on any test units

to satisfy the requirements of this subpart (except tests performed by DOE

directly).

(2) All such records shall be retained

by the manufacturer for a period of two

years from the data that production of

the applicable. model has ceased.

Records shall be retained In a form allowing ready access to DOE upon request.

(e) Third party representation. If a

manufacturer or private labeler elects

to use a third party, e.g., trade assoclation or other authorized representative, to submit the certificatlpn report,

the certification report shall Include

all the Information Identified In paragraph (a) of this section. Including the

compliance statement.

IN FR 5051 , Feb. 7, 1454, as amended at 50 FR

14475. Sept. 25.1BWl

1430.63 Sampling.

(a) For purposes of a certification of

compliance, the determination that a

bealo model complies with the applicable energy performance standard shall

be based upon the sampling procedures

set forth In 1430.28of this part. For

purposes of a certification of compliance, the determination that a basic

model complies with the applicable design standard shall be based upon the

Incorporation of specific design requirements for clothes dryers, dishwashers. clothes washers and kitchen

ranges and ovens specified In section

S of the Act.

(b) A basic model which meets the

following requirements may qualify as

an "other than tested model " for purposes of the certification testing and

sampling requirements:

§ 430.65

(1) Central air condltlonore: 'I'Iio condenser-evaporator coil combinations

manufactured by the condensing unit

manufacturer other than the'combination likely to have the largdet volume

of retail sales or the condenser-coil

combinations manufactured in part by

a component manufacturer uning the

same condensing unit.

(2) For purposes of certification of

"other than tested models," as defined

In paragraph (b)(1) of this se.alon, a

manufacturer may certify the basic

model on the basis of computer elinulaLion or engineering analysis as set

forth In 1430.23(m ) of this part.

1430.64 Imported products.

(a) Pursuant to section 331 of the Act,

any person Importing any covered

product Into the United States shall

comply with the provisions of the Act

and of this part, and Is subject to the

remedies of this part.

(b) Any covered product offorod for

Importation In violation of l.ho Act and

of this part shall be refused admission

Into the customs territory of the United States under ruled Issued by the

Secretary of the Treasury, except that

the Secretary of the Treasury may, by

such rules, authorize the Importation

of such. covered product upon such

terms and conditions (Including the

furnishing of a bond ) as may appear to

the Secretary of Treasury appropriate

to ensure that such covered product

will not violate the Act and this part,

or will be exported or abandoned to the

United States.

1430.65. Exported products.

Pursuant to section 330 ,of the Act,

this parb shall qot apply to any covered

product lf,(a) such covered product Is

manufactured, sold, or held for sale for

export from the United States (or such

product was Imported for export), unless such product Is. In fact, distributed

in commerce for use In the United

States, and (b) such covered product,

when distributed In commerce, or any

container In which It is enclosed when

so distributed, bears a stamp or label

stating that such covered product In Intended for export.

 EE-DET-94-003 COMMENT 0C

5430.62 I 

c(llllllllanc6 with an applicable energy 

emclency standard preecrthfld under 

the Act and thle rule. 

(b) In accordance with section 333 of 

the Act. any person who knowingly 

violates any provision of ptU'8gJ'&pb (a) 

of thlll section may be subject to u- sessment of a civil Mll.alty of no more than SIOO for each vt oJ'a'tt on. Each vlo- la~lon of paragraP,l't/(a) or ,this eection 

IIhall constitute a' separate vIolatIon 

wlbh respect to each covered product, 

and each day of noncompliance with 

paragraphs (a) (l) througb (3) of t.hll 

section shall cunstltute a separate vlolatlon. 

.480.62 8ubml .. loD 01 data. 

(a) Compliance lltatement and certlncation report. Eacb manufacturer or prIvate labeler before dilltributlni In commerce any baalc model 01 a covered 

product lIubJect to the applicable en- ergy conll6rvatlon It.andard eet lort.b In 

lIubpart C of tbll part ahall certifY by 

meanll of a ,statement. of compliance 

and certJncation report, tbat eacb 

baaln model mests the requIrements of 

that ·standard. 

(I) 'fbe compllarice statement. shall 

certifY tbat: 

(I) The basIc model(lI) comply witb 

the applicable energy coneervatlon 

II tandardll; 

(II) All required testing on wblch the 

compliance lIt.atement III baaed wu 

conducted In conformance wltb tbe applicable test requirements preecrtbed 

In ]0 CFR Part m Subpart. B and tbll 

lIubpart and all test data are reported 

In accordance wltb this aubpart; 

(III) All Information reported In the 

compliance atatement la true, accurate. and complete; and 

(Iv) 'I'be manufacturer (prtvate labeler) Is aware of tbe penalties aaaoclated 

"Jtll Violatlona 01 tbe Act and tbe rllfrulatlons thereunder, and ]8 U.S.C. ]001 

wblch prohibits knowingly maklll8' 

falee statements to tbe Federal Oov- ernm~nt. Tbe lonnat for a compliance 

ltatefhent la eet lorth In appendlx A 01 

thlll subpart. 

(2) For each bulc model t.be certlncation report sball Include tbe annw 

enervY UII6 and adjusted volume (for refrigerators. refrl,erator-freezers and 

h'eezers), energy factor and rated ltorage volume (for water beaters). tbe en-

.10 CfR Ch.1I (1-1-95 EcIHon) 

ergy ernclency ratio (lor room. alr COnditioners), eeaaonal energy emclenc, 

ratio and heaUng eeuonal performance 

lactor (lor central air condltlonen &Del 

central air conditioning beat pompa,. 

tbermal emclency (for pool beatera), 

and annual fuel utilization emclene, 

(for fUrnaces and direct beatlDIJ equJ~ 

ment) the model nunibera for eacla 

baalc model; and Its caJ*)lty. For eacll 

bulc model or general service nuoree- cent and Incandeecent renector lampe. 

t.be certlncaUon report sball Include 

tbe laboratory'lI NVLAP Identlncatlon 

number or oLher NVLAP-appro.ect accreditation IdenUncation. ballo modll 

telted. produotlon date cod .. (and accompanylnl decodJll8' ecbeme). tbe Umonth aver .. e lamp emca.cJ' and lamp 

wattace. brand Damee and model deeIl1l&tlon. The certlncatlon report IbaU 

allO Include tbe 12-montb. a ..... Cotor bnderln, Inde. lor ceneral IIInIce nuoreecent lampe. 

(3) Coplea 01 roporta to the Federal Trade~Commtlalon wblcb Include tbe 

Inlormatloo 10 paracrapb (a)(2) 01 thII 

IIIction meet the requirement. 01 tbJl 

paJ'q'J'tph. 

(b) initial report.inl requlremente. 

All data roqulred by Jl!U1I&T&pb (a) or 

tbll eectloo lball be aubmJtted 00 or belore the erreetl.e date or tbe applicable enefIY coneervatlon stanclud ae 

preecrlbed 10 eectlOD 326 01 tbe Aot. For 

eacb bulc model 01 a covered prOduet 

to be dilltributed In commerce. eacll 

manufacturer and private labeler or bll 

repreeentative sball nae a compliance 

statement and cerUncation report. b, 

cerUned mall, to Dep&rlment or EDelTY. Appliance Emclency 8tandatdl, 

Aaalat.ant 8eerot.ary lor Conle"aUOD 

and bnewable Enel'l'J' • ForreetaJ 

BulldlDIJ. 1000 Independence Avenue. 

8W .• WuhJll8'ton. DC 20685. 

(c) NetI1 mode,.. All Inlormatlon requlred b.J PIU'1l&'f&pb (a)(2) or tbJl eec· 

tlon mUit be lIubmltted ror new modell 

prior to or concurrent Wltb any dietrlbutlon olluch model. ADy cb&Dae &0 

a basic model wbJcb af'feets ene...., CODaumptlon may conatlt~te .the &cldltlon • or a new baslo model subject to tbs ,.. 

qulrementa 01 14311.81 of tbJa put. U 

luch ohanae doel not alter oompUanOl 

wltb tbe applicable enelW7 ooUln ... tlon atandard lor tbe buJo model. &U 

new model lball be oonaJdertd oer166 

tined. Modelll which are dlecont.inued 

.ball be reported. In wrltlll8'. to. tbe Department 01 Energy. 

(d) Ma.ntenance 0/ recOTw. (l) The 

manulacturer. 01 any covered product 

lubJect to any or tbe energy perfonn- ance lIt&ndarda or procedurell preacrtbed In tbls pa.rt. shall establish. 

maintaln. and retain tbe recorda 01 the 

underlying test data for all certlncation teatlng. sucb recorda 8hall be 

orranlzed and· Indned In a lashlon 

.bJeh makes t.hem readily acce88lble 

lor review. 'I11e recorda Ibould Include 

tbe lupportlnr teat data IUI80clated 

with tellts perfonned on any test unlta 

to eatillry tbe requlrementa 01 tbla lubpart (except telts perfonned by DOE 

directly). 

(2) All luch recorda IIhall be retained 

by tbe manufacturer lor a period 01 t.wo 

,eare Itom tbe date tbat production or the applicable model baa ceued. 

Recorda sball be retAIned In a lorm allowlol ready accela to DOE upon re- quellt. 

(e) ThIrd· part., repruenl4Jtlon. U a 

manufacturer or prt.ate labeler electa 

to Ule a tbJrd party. e., .• trade ... oolatlon or otber autbortzed repreeentatlve. to lIubmJt tbe certlnca~lpn report, 

tbe certlncaUon report IIbah InclUde 

all the Information Identlned 10 paraIr&pb (a) 01 tbJl IIIctlon. Includlll8' tbe 

compliance ltatement. 

1M FR al. Feb. 1. 1I11III ... ameDded at 68 FR tine. Sept. 211. llIftl . 

.ao.1I 8ampUq. 

(a) For purpolee 01 a oertlncation 01 

oompllance, tbe determlDaUon that a 

bulo model compllee wttb the appUcable enel'O' performance ltandard abaIl 

be buecl upon the eamplln, procedures 

lilt rortb In U30.2!f(/or thll part. For 

pllt'pOeell 01 a certlncatlon or compliance, tbe detennlnatlon that a basIc 

model complies wltb tbe applicable de- "I'D ltandard lball be bued upon the 

incorporation 01 lpeclna dealrn reQulrementa lor clothel dryen, dllb-

.were. olotbel wuben and kltcben 

ranree and o"ene IpeClned In I8ctlon 

126 01 tbe Act. 

(b) A bulo model .bJcb meeta tbs 

lollowln, requlremeots rn .. :i quallry u an "other than teste4 model" for purpoees 01 the oerttOoatloo teatlnJ aad 

Mmpllq requlrement.: 

§430.65 

0) Central 'alr condltlonerll: The condenser-evaporator coli combinations 

manufactured by the condensIng unit 

manufacturer other than tlur comhlrutLion likely to have the larg~lIt volume 

of retail 8ales or the conden8er-coll 

combinations manufactured In part by 

a component manufacturer UIIIIIII' I.he 

811.me condensing unit. 

(2) For purpo8e8 of certltlenUon of 

"other than tested models." W! denned 

In paragraph (b)(I) or this se.:tlon. a 

manufacturer may certifY Lhe haBlc 

model on the haals of computer slrnula· 

lion or engineering analysIs as set 

lorth In t 430.23(m) of this part. 

1480.64 Imported product.. 

(a) Pursuant to section 331 oC the Act. 

any person Importing any oovered 

product Into tbe United States IlIIaIl 

comply with the provisions or the Act 

and or this part~ and III lIubJect to the 

remedlell of this part. 

(b) Any covered product MCllre(1 for 

Importation In vlol~tlon of thn Ad and 

of this part shall be refused adml8Blon 

Into tbe customs terrttory of the (Jnlted States under rule~ Issued by t.he 

Secretary 01 t.h·e Treasury. except that 

tbe Secr8tary 01 the Treasury may. by 

such rulell. authorize the Importation 

01 auch covered product upon such 

term8 and condl lIonll (lndudlng the 

fUrnl8hlng 01 a bond) as may appear to 

tbe Secretary of Treaaury approprIate 

to ensure that such covered product 

will not violate tbe Act and this part. 

or will be exported or abandoned Lo the 

United 8tat.e8. 

• 430.86 Esported product.. 

Pursuant to section 330 'oC the Act. 

Lhls pe..rb IIhall qc>t apply to any covered 

product II ,(a) aucb covered ·product Is 

lTUUlufactuieil. lold. or held Cor 811.le for 

ellport from Lhe United States (or sucb 

product was Imported for ellportl. unle88 such product Is. In (act. dlstrtbuted 

In commerce lor UII6 In tbe United 

Statel, and (b) lIuch covered product. 

wben dilltrtbuted In commerce. or any 

conlalnel' 10 which It III enclosed when 

10 dlltrlbuted. bears a ltamp or label 

statlq that lucb 'covered product Is 10-

tended lor export. 
n

§430.70

f 430.70 Enforcement.

(a) Performance standard--(I) Test notice. Upon receiving information In

writing, concerning the energy performance of a particular covered product sold by a particu1 .r manufacturer

or private labeler which indicates that

the covered product may not be in

compliance with the applicable energy

performance standard , the Secretary

may conduct testing of that covered

product under this subpart by means of

a test notice addressed to the manufacturer in accordance with the following

requirements:

(1) Such a procedure will only be followed after the Secretary or his designated representative has examined

the underlying test data provided by

the manufacturer and after the manufacturer has been offered the opportunity to meet with DOE to verify

compliance with the applicable performance standard. A representative

designated by the Secretary shall be

permitted to observe any reveritlcation

procedures by this subpart, and to Inspect the results of such reverificatlon.

(11) The test notice will be signed by

the Secretary or his designee . The test

notice will be mailed or delivered by

DOE to the plant manager or other responsible official , as designated by the

manufacturer.

(III) The test notice will specify the

model or basic model to be selected for

testing, the method of selecting the

test sample, the time at which testing

shall be Initiated, the date by which

testing is scheduled to be completed

and the facility at which testing will

be conducted. The test notice may also

provide for situations in which the selected basic model to unavailable for

testing, and may include alternative

basic models.

(1v) The Secretary may require In the

test notice that the manufacturer of a

icovered product shall ship at his expenpe a reasonable number of units of a

baglo model specified In such test noticb to a testing laboratory designated

by the Secretary. The number of units

of a basic model specified In a test notice shall not exceed twenty (20).

(v) Within 6 working days of the time

units are selected, the manufacturer

shall ship the specified test units of a

basic model to the testing laboratory.

l0 CFR Ch. 11 (1-1-95 EdtIon I

(2) Testing Laboratory . Whenever DOE

conducts enforcement testing at a designated laboratory in accordance with

a test notice under this section, the resulting test data shall constitute official test data for that basic model.

Such test data will be used by DOE to

make a determination of compliance or

noncompliance If a sufficient number

of tests have been conducted to satiety

the requirements of appendix H of this

subpart.

(3) Sampling. The determination that

a manufacturer's basic model complies

with the applicable energy performance standard shall be based on the

testing conducted in accordance with

the statistical sampling procedures bet

forth In appendix B of this subpart and

the test procedures not forth in subpart

Hof this part.

(4) Test unit selection. A DOE inspector shall select a batch, a batch sample, and test units from the batch sample in accordance with the provisions

of this paragraph and the 'Conditions

specified in the test notice.

(1) The batch may be subdivided by

DOE utilizing criteria specified in the

test notice, e.g., date of manufacture,

component-supplier. location of manufacturing facility, or other crit9rla

which may differentiate one unit from

another within a basic model.

(ii) A batch sample of up to 20 units

will then be randomly selected from

one or more subdivided groups within

the batch. The manufacturer shall keep

on hand all. units In the batch sample,

until such time as the basic model is

determined to be in compliance or noncompliance.

(11p Individual test unite comprising

the test sample shall be randomly selected from the batch ample.

(iv) All random selection shall be

achieved by sequentially numbering all

of the units In a batch sample and then

using a table of random numbers to select the units to be tested.

(5) Test unit preparation . (i) Prior to

and during testing, a test unit selected

In accordance with paragraph (a)(4) of

this section shall not be prepared,

modified, or adjusted In any manner

unless such preparation . modification,

or adjustment is allowed by the applicable DOE test procedure. One test

shall be conducted for each test unit 10

Depattmenl of Energy

accordance with the applicable test

procedures prescribed in subpart B.

(11) No,quality control , testing or assembly procedures shall be performed

on a test unit, or any parts and subassemblies thereof, that 1s not perfortt► ed during the production and assembly of all other units included In

the basic model.

(lit) A test unit shall be considered

defective If such unit is Inoperative or

Is found to be in noncompliance due to

failure of the unit to operate according

to the manufacturer's design and operating Instructions. Defective units, Including those damaged due to shipping

or handling, shall be reported immediately to DOE. DOE shall authorize

testing of an additional unit on a caseby-case basis.

(6) Testing at manufacturer 's option. (1)

If a manufacturer's basic model Is determined to be in noncompliance with

the applicable energy performance

standard at the conclusion of DOE testIng In accordance with the double sampling plan specified In appendix B of

this subpart, the manufacturer may request that DOE conduct additional

testing of the model according to procedures set forth In appen¢Ix B of this

subpart.

(11) All units tested under paragraph

(a)(6) of this section . shall be selected

and tested In accordance with the provisions given in paragraphs (a) (1)

through (6) of this section.

(fit) The manufacturer shall bear the

cost of all testing conducted under

paragraph (aX6) of this section.

(iv) The manufacturer shall cease

distribution of the basic model being

tested under the provisions of paragraph (a)(6) of this section from the

time the manufacturer elects to exerelse the option provided In this paragraph until the basic model Is determined to be In compliance . DOE may

seek civil penalties for all units distributed during such period.

(v) If the additional testing results in

a determination of compliance, a notics of allowance to resume dlstributlon shall be Issued by the Department.

(b) Design standard. In the case of a

design standard, a model to determined

noncompliant by DOE after the Secretary or his designated representative

has examined the underlying design In-

§ 430.i

formation provided by the inanufu

turer and after the manufacturer It,

been offered the opportunity to verb

compliance with the applicable (tesI

standard.

1430.71 Cessation of distribution of

basic model

(a) In the event that a model in dot,

mined noncompliant by f)t)IE: In actor

ance with 1 430.70 of this part or if

manufacturer or private labeler dote

mines a model to be in noncompliant

then the manufacturer or private labs

or shall:

(1) Immediately cease distribution

commerce of the basic model;

(2) Give immediate written notific

Lion of the determination of no

compliance, to all persons to whom tl

manufacturer has distributed units

the basic model manufactured Bin,

the date of the last determination

compliance.

(3) Pursuant to a request made by tl

Secretary , provide DOE within 30 da'

of the request, records, reports al

other documentation pertaining to tt

acquisition, ordering, storage. still

ment, or sale of a basic model date

mined to be in noncompliance.

. (4) The manufacturer may modify LI

noncompliant basic model In auc

manner as to make It comply with ti.

applicable performance standard. Sue

modified basic model shall then 1

treated as a new basic model and mug

be certified In accordance with the pr.

visions of this subpart; except that I

addition satisfying all requirements

this subpart, the manufacturer she

also maintain records that der

onatrate that modifications have bei

made to all units of the new has

model prior to distribution in cot

merce.

(b) If a • basic model lei nut, propel

certified f in accordance with the t

qulrbmerits of this subpart, the St

rotary may Beek , among other ref

edles. Injunctive action to prohibit di

tribution In commerce of such bai

model.

1 430.72 Subpoena.

Pursuant to section 329(a) of the A.

for purposes of carrying out this pa

the Secretary or the Secretary's d,

lgnee, may sign and issue subpoenas I

 EE-DET-94-003 COMMENT 0C

., 

.430.70 Enforcement. 

(11.) Performance standard-H) Telt notice. Upon receiving Inronnation In 

writing, concerning the energy perCormance or II. particular covered product Bold by a partlcul~ manufacturer or private laooler' which Indlcatee that 

the covered product may not be In 

compliance with the applicable energy 

performance standard, the Secretary 

may conduct testing of that covered 

product under this subpart by means of a test notice addre8llBd to the manufacturer In accordance with the rollowlng 

requirements: 

(l) Such a procedure wlll only be Collowed after the Secretary or bls desIgnated representative haa eurnlned 

the underlying telt data provided by 

the manufacturer and after the manu- facturer hu been oreered the opportunity to meet with DOE to verily 

compliance with the applicable performance standard. A representative 

deelgnated by the Secretary shall be 

pennltted to observe any reveriOcation 

proceduree by this subpart. and to In-: 

spect the relulte oC such reveriOcation. 

(11) The telt notice will be signed by 

the Secretary or his designee. The tsst 

notice will be mailed or delivered by 

DOE to the plant manager or other re- sponelble otoclal, u designated by tbe 

manufacturer. 

(III) The test notice will speclry the 

model or baalc model to be selected for 

teeting, the method of selecting the 

test eample, tbe time .at wbJch teetlng 

shall be loltlated, the date by wblcb 

testing Is scheduled to be completed 

and the raclllty at which .teltlng will 

be conducted. Tbe test notice may alao 

provide for situations In which the Selected baalc model Is unavailable for 

teetlng, and may Include alternative 

bulc models. 

(Iv) The Secretary may require In the 

teet notice that the manuCacturer of a ,covered product shall ship at his ex- • penpe a reasonable number of unite of a blLl/lc model speclrted In such test no- tice to a testing laboratory deSignated 

by the Secretary. The number or unlta or a bulc model lpeclfled In a test notice shall not nceed twenty (20). 

(v) Wltbln 6 working day. or the time 

unite are aelected, the manufacturer 

aballablp tbe IpeclOed test unite or & 

bulc model to the testing laboratory. 

, 10 CFR Ch. II (1-1-95 EcItIon) , 

(2) Tullng Laborator)l. Whenever DOE 

conductll enrorcement testing at & d81-

Ignated laboratory In accordance with a test notice under this section, the re- '. 

suiting 'test data shall COD8t1tute om- clal test data for that basic model. 

Such test data wtll be used b:v DOE to 

make a detennloation of compliance or noncompliance If & suatclent number 

of teste have beeo conducted to uUary 

the requlremente of appendJx B or tbJa 

aubpart. , (3) Sampling. The determJnation that 

a manuracturer's bulc model compll .. with the applicable energy perform- ance atandard shall be baaed on tbe 

testing conducted In accordance w~tb 

the statistical eampllnl' procedures set 

rorth In appendill B or thla subpart and 

the telt procedures aet rorth I.n lubpart 

B 01 tbJs part. 

(t) Tut unU ,election. A DOE lD8pt1Ctor ahall .. Ieet a batch, a batcb IIUDpie, and telt unite from the batch IIUDpIe' In accordance with the proYl.IODl or this p&I'aITapb and thecondiUoDl 

epeclOed In the teat notice. 

(l) The batcb rna:v be .ubdlvtded bJ 

DOE utlll&lng criteria apeclnedln t.be 

teet notice, e.,., date or manufaotun, 

component-supplier, locatloo or ~u-

. racturlnr raclllty, or other crItfrla 

wbJcb may clJt(erentlate one uolt IrQm 

anotber wlWn a baIlie mqdel. 

(II) A batcb eample or up to :10 anita 

wID then be randomly aelected from 

oDe or more subdivided groupe wltbln 

tbe batcb. The manulacturer shall keep on hand all. unJte 10 tbe batch sample' 

until lucb time u the bula model I. 

determined to be In compliance or Doncompliance. 

(III) individual teat unite comprlelDl 

the test aample sball be randomly selected from the batch sample. (Iv) All random aelectlon shall be 

achieved by eequentlally numberlnr all 

01 the unite In a batch sample and then 

uslnl' a table oC random numbers to aBlect the unite to be tested. 

(6) Test unU preparation. (I) PrIor to 

and during teatlng, a teat unit aelectBd 

In accordance wltb pa .... raph (a)(t) of 

thl.aectlon ehall not be prepared, 

modlned, or adjusted 10 any m&IlD8r 

unle88 auch preparation, moclJncaUon, or adjustment Is allowed by the applicable DOB test procedure. ODe &eat 

shall be conducted ror eacb teat UDlt II 

Department of EfMKgy 

accordance with the applicable test 

procedures prescribed In subpart B. 

(II) No,quallty control, testing or aa- I8mbly ProCeduree shall be perfonned 00 a test unit, or any parta and IUbueemblles thereOf. that Is not perCortned during the production aDd u- aembly 01 all other unite Included Intbe bulc model. 

(III) A tellt unit IIhall be conllidered 

defective If euch uolt Is Inoperative or- la found to be In noncompllance due to .. rallure 01 the unit to operate according 

to the manuracturer's deslm and operatlq Inetructlona. Defective unite, Includinl' thoae damqed due to shipping or handllng, eball be reported Immediately to DOE. DOE aball authorize 

tasting of an additional uult on a cueby-cue bule. 

(8) T~tln" ot manufacturer', option. (I) 

U a manufacturer', bulc model la detarmJDed to be In noncompliance with 

tbe applicable enel'l')' performance 

atandard at the concloelon or DOE testInlr In accordance wltb the double 8&rnpUn&' plan epeclned In appendlll B oC 

tbla aubp&rt, tbe manuracturer may re- Queat that DOE conduct additional 

tasting or the model acconUDg to proceduree set lorth In &ppenflll B or t.Wa 

eubpart. 

(II) AU units t.eet.ed under pe.ragraph 

(a)(8) or thle aectlon· shall be aeleet.ed 

and teated In accordance wltb the proYlelona given In paragrapbe (a) (I)' 

through (6) or thla eectlon. 

(Ill) The manufacturer ahall bear the 

coat or all teatlntr conducted under 

puagraph (11.)(8) or tbls aectloD. 

(Iv) The manufacturer ahall ceaae dlatrlbutlon or the bulc model being 

talted under the provlsloD8 or paragraph (11.)(6) or this aectlon from the 

time the manufacturer elects to exer- elee tbe optlon' provided In thle paragraph until the bulc model III determined to be In compliance. DOE may 

aeek civil penalties for all units distributed durlnl' sucb period . (v) U the additional testing results In • determination or compliance, a no- Uce of allowance to relume dlstrlbuUon aball be luued by the Department. 

(b) Duf"n ,landard. In tbe cue or a dealm atandard, a model ladetermlned 

noncompliant by DOE alter the Beeretary or bls deslmated representative 

baa ebIDlned tbe uuderlylnr deslm In-

§439·i 

formaLion provldcll hy thc rnullufu 

turer and after the mallufacturer h. 

been orfered the opportunity to Veri, 

compliance with the applkahle (lellll-: 

standard. . 1 430.'l1 Ce ... tlon of dlatrlhutlon or 

b •• le model 

la) In the event thllt 11 11.0.11'1 III Ilotl 

mlno(1 1I0Dl'ompllllnt by r)(H'~ III lu:,:or ance with 1430.70 or tlds IlI,rt or H 

manuCacturer or private luboler dolt· 

mioes a model to be In noncompllanc 

then the manufacturer or private labt· er shall: 

(I) Immediately ceaae dllltrlbuLion . commerce of tbe bulc modol; 

(2) Olve Immediate written notlflc 

tlon of tbe detennlnatlon of no compliance, to all persons to whom tl 

manufact.urer baa dletrlbutell unltl! 

the baalc model manufactured ah •• the date oC the lut. deternlJnalion . compliance. 

(3) Pursuant to a request made by tI 

Secretary. provide DOE wllhln 30 da~ 

oC the re1Iuest.. rocordll. repol·ta al 

other documentation perl~tlfllng to U 

acqulllition. ordering, storage. shl, 

ment, or sale or a b9JIlc model dete 

mined to be In nOlJcompllllnce. . (t) The JTlIinuract.urer may modlf.y tI 

noncompliant basic model In suc' manner as 'to make It comply with U. 

applicable perConnance standard. SuC' 

modlned baalc model shall t.hen I 

t.reated aaa new bulc model and mill 

be certtned In accordance with thu pr. 

visions or this subpart; except that I 

addItion satisfying all requirements . t.hls 8ubpart. the manufact.urer shu 

11.1 eo maintain records t.hat der 

onstrate that modlncaUofls havo bel 

made to all unite or the new b9JI 

model prior to dlstrlbu~lolI In COl merce. 

(b) U a· b/Ullc /IIo,lel III 1101, Ill"OlltH 

certUled (In accordance' with the I 

qUlrbmerit.a of thle subpurt. I he 8f' 

retary may eeek. ILmong ol.her rei 

edles. Injunctive action to lirohlbl L dl 

trlbuUon In commerce of euch baJ 

model. 

1430.72 Subpoena. 

Pureuant to section 3'l911l) of the A. 

for purposes or carrying Ollt this ps. 

the Secretary or the Secret.ary's d, 

Imee, may sign and 11I8ue subpoenaa I 
` 9 430.73

the attendance and testimony of witnesses and the production of relevant

books, records, papers, and other documents, and administer the oaths. Witnesses summoned under the provisions

of this section shall be paid the same

fees and mileage as are paid to wltneseus In the courts of.,.tbe United

States. In case of con umacy by, or refusal to obey a sub nL set've)1, upon

any per6ans subject to . this part, the

Secretary may Beek an order from the

District Court of the United States for

any District In which such person Is

found or resides or transacts business

requiring such person to appear and

give testimony, or to appear and

produce documents. Failure to obey

such order to punishable by such court

as a contempt thereof.

1430.73 Remedies.

If DOE determines that a basic model

of a covered product does not comply

with an applicable energy conservation

standard:

(a) DOE will notify the manufacturer. private labeler or any other person as required , of this finding and of

the Secretary's Intent to seek a Judicial order restraining further distribution in commerce of such basin model

unless the manufacturer, private labeler or any other person as required, delivers to DOE within 15 calendar days a

statement, satisfactory to DOE, of the

steps he will take to insure that the

noncompliant model will no longer be

distributed In commerce. DOE will

monitor the Implementation of such

statement.

(b) If the manufacturer, private labeler or any other person as required,

falls to stop distribution of the

noncompliant model , the Secretary

may seek to restrain such violation in

accordance with section 334 of the Act.

(c) The Secretary shall determine

whether the facts of the case warrant

the assessment of civil penalties for

knowipg, vlolatlons In accordance with

section 333 of the Act.

C 430. 74 Hearings and appeals.

(a) Pursuant to section 333(d) of the

Act, before issuing an order assessing a

civil penalty against any. person under

this section , the Secretary shall provide to such person notice of the pro10 CFR Ch.11(1-1-95 Edilton)

posed penalty . Such notice shall inform

such person of that person's opportunity to elect In writing within 30

days after the date of receipt of such

notice to have the procedures of paragraph (c) of thid section (in lieu of

those In paragraph (b) of this section)

apply with respect to such assessment.

(b)(l) Unless an election is made

within 30 calendar days after receipt of

notice under paragraph (a) of this section to have paragraph ( c) of this'sec

tion apply with respect to such penalty, the Secretary shall assess the

penalty. by order, after a determination of violation has been made on the

record after an opportunity for. an

agency hearing pursuant to section 669

of title 6. United States Code, before an

administrative law judge appointed

under section 3105 of such title 6. Such

assessment order shall include the administrative law Judge's findings and

the basis for such assessment.

(2) Any person against whom a penalty Is assessed under this motion may,

within 60 calendar days after the date

of the order of the Secretary assessing

such penalty. Institute an action In the

United States Court of Appeals for the

appropriate judicial circuit for judicial

review of such order In accordance with

chapter 7 of title 5. United States Code.

The court shall have jurisdiction to

enter a judgment affirming , modifying.

or setting aside In whole or in part. the

order of the Secretary, or the court

may remand the proceeding to the Secretary for such further action as the

court may direct.

(0)(1) In the case of any civil penalty

with respect to which the procedures of

this section have been elected,. the Secretary shall promptly assess such penalty. by order, after the date of the receipt of the notice under paragraph (a)

of this section of the proposed penalty.

(2) If the civil penalty has not been

paid within 60 calendar days after the

assessment has been made under paragraph (c)(1) of this section, the Secretary shall Institute an action in the

appropriate District Caunt of the United States for an order affirming the Usesement of the civil penalty. The

court shall have authority to review de

novo the law and the facts Involved and

shall have jurisdiction to enter a judgment enforcing, modifying, and enforc170

I

DapadmmA of Energy

Ing as so modified, or setting aside In

whole or In part, such assessment.

(3) Any election to have this paragraph apply may not be revoked except

with the consent of the Secretary.

(d) If any person falls to pay an assessment of a civil penalty after it has

become a final and unappealable order

under paragraph (b) of this section, or

after the appropriate District Court

has entered final Judgment in favor. of

the Secretary under paragraph (c) of

this section, the Secretary shall Institute an action to recover the amount

of such penalty to any appropriate District Court of the United States. In

such action, the validity and appropriateness of such final assessment

order or Judgment shall not be subject

to review.

(eXi) In accordance with the provisions of section 333(d )(5XA) of the Act

and notwithstanding the provisions of

title 28. United States Code, or section

502(c ) of the Department of Energy Organization Act, the Secretary shall be

represented by the General Counsel of

the Department of Energy (or any attorney or attorneys within DOE designated by the Secretary) who shall supervise. conduct, and argpeil any civil

litigation to which paragraph (c) of

this section applies including any related collection action under paragraph

(d) of this section In a court of the

United States or In any other court.

except the Supreme Court of the United States. However, the Secretary or

the General Counsel shall consult with

the Attorney General concerning such

litigation and the Attorney General

shall provide, on request, such assistance In the conduct of such litigation

as may be appropriate.

(2) In accordance with the provisions

of section 333(d)(5)(B) of the Act, and

subject to the provisions of section'

602(c ) of the Department of Energy Organization Act, the Secretary shall be

represented by the Attorney General,

or the Solicitor General , as appropriate. In actions under this section,

except to the extent provided in paragraph (e)(1) of this section.

(3) In accordance with the provisions

of section 333(dXb)(C) of the Act. 'secLion 402(d) of the Department of Energy

Organization Act shall not apply with

§ 430.75

respect to the function of the Secretary under this section.

1430.76 Confidentiality.

Pursuant to the provisions of 10 CFR

1004.11. any person submitting Information or data which the person believes

to be confidential and exempt law from

public disclosure should submit one

complete copy, and fifteen copies from

which the Information believed to be

confidential has been deleted. In accordance with the procedures established at 10 CFR 1004.11. DOE shall

make Its own determination with re=

gard to any claim that Information

submitted be exempt from public disclosure.

OMB Control No. 1910 1400

APPENDIX A To SUBPART F OF PART

430-CUMPUANCB STATEMENT

Statement -of Compliance With Energy

Conservation Standards for Appliances

Product:

Manufacturer's Name and Address

Date: -- -

Submit by Certified Mail to: Department of

Energy , Appliance Efficiency Standards. Assistant Secretary for Conservation and Renewable Energy, Forrestal Building. 1000

Independence Avenue, SW., Washington, DC

90565.

This report I. submitted pursuant to fart

430 (Energy Conservation Progrum for

Consumer Products) of the Energy Policy

and Conservation Act (Pub. L. 64-163), and

amendments thereto. The basic model(s) Included In this report complies (comply) with

the applicable energy conservation standard.

All testing where appropriate , on which this

certification report In based , was conducted

In conformance with the applicable test requirements prescribed In Subpart B of 10

CFR Part 430. All Information repprted In

this certification report Is true: abcurate.

and complete. I am aware of the penalties associated with violations of the Act and the

regulations thereunder, and am also aware of

the provisions contained In 18 U . B.C. 1001,

which prohibits knowingly making (aloe

statements to the Federal Government.

Name of Person to Contact for Further Information:

Name:

Address:

Telephone No.: ------------

11 the model specific information accompanying this statement of compliance was

P71

 EE-DET-94-003 COMMENT 0C ........ d .. 1-IIF

,:' •• ,430.73 

the attendance and testimony of wltneslles and the production of relevant 

books. records. papers. and other documents. Slnd admInIster the oaths, WIt- nesses lIummoned under the provIsIons , of. thIs lIectlon shall be paId the same feos and mileage lUI are paid to wltnell80s III the cllurta, of ",tlie United 

Slat.es. In clUle of con~\ln)acy by. or re- fusal to obey a subpOena servell. upon 

any perhQnS subject to, thIs part. the 

Secretary may seek an order from the 

District Court of the United States for 

any I>lstrlct In which su"h person Is 

foulld or resides or transacts buslne88 

requirIng such person to appear and 

give testimony. or to appear and 

produce documenta. Failure to obey 

such order Is punishable by such court lUI a contempt thereof. 

• 430.73 RemediM. 

If DOE determines tbat a blUllc model 

of a covered product does not comply 

wIth an applicable energy conservation 

sta.ndLrd: " . (a) DOE will notifY' the manufacturer. private labeler or any other per- son lUI required. of t.hls nndlng and of 

t.he Secretary's Intent to seek a judIcIal order restrlllning further dIstribution In commerce 01 sucb baslo model 

unle88 t.he mllnufacturer. private label- er or any otber person as required. delivers to DOE wltbln 16 calendar days a ltatement. lI&t1sfactory to DOE. 01 tbe 

Itepe he will take to Insure tbat t.be 

noncompllant model will no lon,er be 

dJstributed In commerce. DOE will 

monitor tbe Implementation 01 lucb 

statement. 

(b) II t.be manufacturer. private labeler or any otber person aa reqUired. 

falls to stop distribution of tbe 

noncompllllnt model. the Secretary 

may seek t,o restrain sucb violation In 

accordance wltb section 33t 01 the Act. 

(c) The Secretary sball determIne 

whet.her the racts of the case warrant 

the aB116SSrntlnt of civil penalties for knowlpg,~lolatlone In accordance with 

section 333 of the Act. 

0430.74 Ile.rlD,1 aDd appea'" 

(a) Pursuant to section 333(d) of the 

Act. berore IssuIng an order IUIsell8lng a cIvil penalty against any person under 

this section. the Secretary shall provide to Buch persQn notice of the pro10 CFR Ch. II (1-, -95 Edition) 

posed penalt.y. Such notice sbaH Inform 

such person of t.bat. person'a opportunity to elect In writing within 30 

days arter the date of receIpt. 01 aucb 

notice t.o have t.he procedures of paragrapb (C) of thla section (tn lieu of 

t.hose In paragraph (b) of t.hls secUon) 

apply wlt.b respect t.o such lUl8es8ment. 

(b)(l) Unle81 an elecUon Is made 

wlt.hln 30 calendar daya after receipt of 

notice under paragrapb (a) of this 88Ctlon to bave paragraph (c) of tbls '88C-' 

tlon apply wltb respect to sucb penalt.y. tbe Secretary ahall a.88e88 tbe 

penalt.y. by ordef, after a determJnatlon of violation baa been made on tbe 

record after an opportunlt.y for, an agency bearing pursuant t.o aectlon 6M 

of title 6. United Statea Code, belore .... administrative law judge appointed 

under aectlon 3106 of sucb tltle 6. Sucb 

a88eument ordef sball Include tbe administrative law Judie'. nndlnp and 

tbe basi. for aucb aaaeisment. 

(2) Any person .. alnat wbom a penalt.y I. aaaeaeed under tbls aeotloo may. 

wltbln 60 calendar day. alter tbe date 

of tbe order of tbe Secretary &88888ln, 

lucb penalty. lnatltute an action In tbe 

Unlt.ed States Court 01 Appeala lor tbe 

appropriate judJolal clroult for JuclJctal 

review of suob order 10 accordance wltb 

chapter'J of title 6. United State. Code. 

Tbe court sball haVe Jurled1ctlon to 

enter a Judameot &tflrmln" moclJfJ1ng. or aet.tlq .. Ide 10 wbole or In put, tbe 

order of the Sscretary, or tbe court 

may remand t.be proceedJq to the Secretary for lucb f\J.rtber act.lon .. the 

court ma,. clJrect. 

(0)(1) In tbe c&88 of any civil penalty 

wltb respect to wblcb tbe procedures of 

tbls aectlon have been elected .. the Secretary Iball promptly &88888 auch penalty. by order, after t.be date of tbe re- ceipt of t.be notice under paragrapb (a) 

of t.bls 8ectlon 01 lobe proposed penalt.y. 

(2) If tbe civil penalt.y blUl not been 

paid wlt.hln 60 calendar days after tbe 

&88e8Sment haa been made under paraIraph (c)(1) of t.hls aectlon. t.be Secretary shall lnat.ltute an action In tbe 

appropriate District CQUllt of t.he Unit- • Id Statel for an order afndnlq tbe ... sessment of tbe civil penalt.y. Tbe 

court. shall bave authorlt.y to review de novo the law and t.he facta Involved and 

sball bave jurlsdlctlon t.o enter a judlment. enforcing, modifying, and enforc170 

Ing as so modified. or aet.tlng aside In 

whole or In part. sucb a.88esement. 

(3) Any election to bave tbla paraIr&pb apply may not be revoked ncept. 

wltb t.be conaent of t.be Secretary. 

(d) If any person falla to pay an as- se88ment. of a civil penalt.y after It baa 

become a Onal ,and unappealable onler 

under paragraph (b) of tbls secUon. or after tbe appropriate District Court 

baa entered nnal judlfJilent In favor 01 

tbe Secretary under para.grapb (c) of 

tbls aection, the Secretary ahall lnaUtute an action to recover t.be amount. 

of aucb penalty In any appropriate Dlatrict Co\U't of tbe Ulilted States. In 

such action. the valldJty and approprlatene88 of lucb nnal U8B88ment. 

order Of JUdament ahall DOt be aubject 

to review. 

(e)(1) In accordance wltb tbe provlslona of section 333(d)(6)(A) of tbe Act. 

and DotwJtbstandJng tbe provlalons of 

title 28. United States Code. or sectlon 

602(c) of tbe Department. of Enel'l'Y Or-

,anlzatlon Act, t.be Secretary shall be 

repreaented by tbe Oeneral Counael of 

the Depart.ment of Enel1D' (or any attorney or attorney I wltbln DOE deeIpated by t.be Secretary) who ehall su- pervise. conduct. and arap18ii any civil 

IItl,atlon to wblcb paragrapb (c) o( 

tbla aectlon appliea IncludJng any re- lated collection action under J)ILl'8grapb 

(d) of tbls aectlon In a court of tbe 

United Stat.es or In any ot.ber court. 

ncept tbe Supreme Court. of tbe United States. However. tbe Secretary or tbe General Counael aball conault wlt.b 

tbe Attorney General concerning auob 

litigation and t.be Attorney General 

.hall provide. on fequelt, auch aaalltaDce In the conduct of lucb litigation 

as may be appropriate. 

(2) In accordance wltb t.be prOvisIons 

of section 333(d)(5)(8) of tbe Act. and 

lubJect to the provisions of sectlon' 

602(c) of tbe Department of Energy Orlanlzatlon Act.. t.he Secretary ehall be 

represented by tbe Attorney General. or tbe Solicitor General. &8 approprlate,ln actions under tWs section. 

eJ:ceptto t.be ntent proVided In panIJ'&pb (e)(1) of t.bls section, 

(3) In accordance wltb tbe provlslona 

of section 333(d)(6)(C) of the Aci, 'section 402(d) of t.he Department of Energy 

Orranlzatlon Act. eball not apply wltb 

§~.15 

respect to the function of the Secretary under thIs secUon, 

1430.76 CoDfidentiallty. 

Pursuant. t.o t.be provlslonll of 10 CFR 

100t.11. any person submitting Information or data whlcb the person believes 

t.o be cunndentlal and tlxempt law from 

public disclosure should Bullmlt one complete copy, and nfteen caples from 

which the Information believed to be 

conndential baa been deleted. In ac- cordance with the procedures estab· 

IIshed at 10 CFR 100t.11. DOE 8hal1 

make Ita own determination with re; 

gard to any claim t.hat Infornlation 

aubmltted be exempt. from public disclosure. ' 

OMB Control No, 1910 UOO 

APPENDIX A TO SUBPART F OF PART 

t:JO--.COWPlJANCB STATEMENT 

Statement.or Compliance Wltb E~6rIl'Y Conservation St&IIdardi for Appliances 

~uct: ------------------------ Manuracturer'l Nams and Address -------------. --....... -..... 

Date: --------- Submit b" CpH/Ud Mall to: Department or Enel'l'Y. Appliance Etnclency Standardll. AllIllIt&IIt 8&cretary ror ConlMlrvatloD and ReDewable EDel'l'Y. Fomstal Building, 1000 

IndepeDdence Avenue. BW .• Wublngton. DC 

2)585. 

Tbla report Ie aubmltted pllr8l1ant to I'art 

430 (Energy ConlMlrvation Progrum ror 

Coneumer Producta) or tbe Energy Policy 

and ConlMlrvatlon Act (Pub, L. 94-163), and 

ameodmeote tbereto. The bulc model(e) In· 

cluded In tblll report compllee (comply) with 

tbe applicable energy conlervatlon atan,lnd, 

All telltlng where appropriate. on which thle 

certlncatlon report I, baaed, wu conducted 

In cODronnance with tbe apllllcaMe test re- qulremente prescribed In Subpart B or 10 

CFR Part 430, All Inronnatlon rel~rt.ed In 

tbla certiOcation report Ie true: aecuraLe, 

and complete, I am aware or tbe penalUee &II. 

IOClaLed with vlolatlona or the Ad and the 

relulaUllnll thoreun,lor. and am "IdOl ".a .. t! or the provlelona contaln6d In 18 US,C, 1(l(1I. 

wblcb problblta knowingly naaldllg raille 

ltatem6Dte to tbe Federal Oovernment, 

Name or PefllOn to Contact ror "'lIrther In· 

ronnat.lon: 

Name: ----------,- Addrll8a: ---.... -, - .- Telepbone No,: ..... _--

U tbe mooel apeclOo Inronnatlon accompanyln, thlll atatement or compliance WIUI 

'71 
Pt. 430, Subpt. F, App. B

prepared by a third party orkanizatloo under

the provisions of 1430 .62 of 10 CFR Part 130.

the individual ( manufacturer) authorizing

third party representations:

Signature:

Name: -

Address:

Telephone No.:

1

I

n

where x, is the measured energy efficiency or

energy consumption of unit I.

Step S. Compute the standard deviation (s,)

of the measured energy performance of the

no unite In the first sample as follows:

S1 = j1 I

Step 4. Compute the standard error (s-M,

of the measured energy performance of the

n, units in the first sample as follows: .

S- _

61

X1 N

Step 6. Compute the upper control limit

(UCL,) and lower control limit (LCL) for the

mean of

t

tbq first sample using the applicable

10 CFR Ch. 11(1-1-95 Edition)

APPENDIX B TO SUBPART F OF PART

430-SAMPLING PLAN FOR ENFORCRMENT TESTING

Double Sampling

Step 1. The first sample site (as) must be

four or more units.

Step 2. Compute the mean ( t,) of the measured energy performance of the as units In

the first sample as follows: IA

(1)

(2)

(3)

DOE energy performance standard (EPS) as

the desired mean and a probability level of 96

percent (two-tailed test) as follows:

Dept tminl of En.ig ►

LCL1 = EPS

UGLl = EPS + is -

1

where t is a statistic based on a 96 percent

two-tailed probability level and a sample

size of n,.

Stop OA. For an Energy Efficiency Standard, compare the mean of the first sample

(t,) with the upper and lower control limits

(UCL, and LCL,) to determine one of the following-.

(1) If the mean of the first sample Is below

the lower control limit, then the basic model

Is In noncompliance and testing Is at an end.

(Do not go on to any of the steps below.)

(11) If the mean of the first sample to equal

to or greater than the upper control limit.

then the basic model is In compliance and

tasting Is at an and. (Do not to on to any of

the steps below.)

(111) If the sample mean Is equal to or

greater than the lower control limit but lea

than the upper control limit, then no determination of compliance or noncompliance

can be made and a second sample else Is dotermined by StepUa.

Step (lb. For an Energy Consumption

Standard, compare the mean of 1 the first

sample (t,) with the upper and Io 4er control

limits (UCL, and LCL,) to determine one of

the following:

(1) It the mean of the first sample Is above

the upper control limit, then the basic model

to In noncompliance and testing Is at an and.

(Do not go on to any of the steps below.)

(11) If the mean of the first sample I. equal

to or less than the lower control limit, then

the basic model Is in compliance and testing

Is at an and. (Do not go on to any of the

steps below.)

(fit) If the sample mean Is equal to or lose

than the upper control limit but greater

than the lower control limit, then no determination of compliance or noncompliance

can be made and a second sample also Is determined.by Step Tb.

Step 7a. For an Energy Efficiency Standard, determine the second sample size (n,) as

follows:

ts,

0.06 EPS

(5)

where s, and I. have the values used In Steps

I and 6. respectively . The term "0.06 EPS" is

the difference between the applicable energy

efficiency standard and 95 percent of the

standard, where 96 percent of the standard Is

taken as the lower control limit. This procedure yields a sufficient combined sample size

(n,+n,) to give an estimated 97.6 percent

probability of obtaining a determination of

compliance when the true mean efficiency is

equal to the applicable standard.

Given the solution value of n,. determine

one of the following:

(1) U the value of n, is less than or equal to

zero and If the mean energy efficiency of the

first sample (t,) 1s either equal to or greater

than the lower control limit (LCL,) or equal

to or greater than 95 percent of the applicable energy efficiency standard (EES), whichever is greater. I.e.. If

n, S 0 and to 2 max (LCL,, 0.95 EES).

the basic model Is In.compliance and testing

Is at an and.

(2) If the value of n, is less than or equal to

zero and the mean energy efficiency of the

first sample ( 1,) Is less than the lower control limit (LCL,) or less than 96 percent of

the applicable energy efficiency standard

(EES), whichever Is greater, I.e.. If

n, S 0 and a, < max(I.CL,, 0.95 EES).

the basic model is ' in noncompliance and

testing to at an and.

(3) If the value of n, Is greater than zero,

then value of the second sample size is determined to be the smallest: integer equal to or

greater than the solution value of n, for

equation (6a). If the value of n, so calculated

Is greater than 20-n,, set n, equal to 20, n,.

Step 7b. For an Energy Consumption

Standard, determine the second sample size

(n,) as follows: ' '

M. 430. Subpt. F. App. B

(4)

te,

0.06 EPS

(6b)

172 1 173

 EE-DET-94-003 COMMENT 0C

Pt . .e3O, Subpl. F, App. B 

prepared by a thIrd party ortanlUltlon under 

tbe provIsIons of 1130,62 of 10 CFR Part 430. 

the IndIvIdual (manufacturer) authorIzing 

thIrd. party representatlonll: 

8lgnature: 

Name: ------------

Addrellll: -------------

Telephone No,: 

/ / 

= ~ (i: .) 1 1=1 I 

where ., III the me&llured en8l1fY elnclency or 

enel'f)' cOD.wnptloD of unIt I. 

Step 3. Compute the IltaDdard devlatloD (II,) 

of the me&llund enem performance of the 

D. uDltelD tbe nret sample &II followlI: 

n1 

2: (Xl 

sl = 1=1 

n1 - 1 

Step 4, Compute the standard error II - .,), 

o( tbe me&llured energy performance of tbe 

D, uDltaln tbe nret sample &II (ol\ows: 

Step 6. Compute the upper control limIt 

(UCL,) and lowllr control limIt (LeL,) for tbe 

mean of th'l flut lample ulllnir the applicable I I 

, 

10 CFR Ch. II (1-1-95 Edition) 

ApPENDIX B TO SUBPART F OF PART 

430-SAMPLINO PLAN FOR ENFORCEMENT'TESTINO 

Double Sampllna 

8tep I. The nnt I&II1ple llae (D,) muet bt 

four or more unite. 

Step 2. Compute the meaD (I,) of the meuured eDel'f)' performance 01 the D. IUllte ID 

the nnt aample .. 10110 .. : • 

(1) 

, \ 

- 2 Xl) (2) 

(3) 

DOE enel'f)' performance lltandard (EPS) &II 

the dell red mean aDd a probtblllt1 Illvel 0185 

percent (two-tailed telt) &II followl: 

172 

Depadment of lnefgy 

LeLI = EPS 

Ul;Lt , = EPS .. 

where t Ie a etaUIUc hued OD a 115 percent 

two-tailed probablllt1 le.el aDd a ample 

1118 OlD,. 

Step IA. For aD EDe...., Emclenc1 StaJldant. compare the mean of the nnt ample 

(I,) with tile upper and low., coDtrol IIm.te 

(VCL. anel LeL,) to determ'De ODe or tbe rollowlor. 

(I) If tbe meaD of the nnt I&II1ple II below 

the lower cODtlol limit. theD 'the ... 10 model 

II 'D DODcompllaDce and teatlq Ie at an eDd. 

(Do Dot p OD to a01 of tile etepe below.) 

(II) If the mean of the nnt ample" equaJ 

to or' ~ter thaD the upper CODtrol limit. 

tileD the ... 10 model Ie ID complIance and 

t.eetllll II at aD eDd. (Do Dot p OD to an1 01 

the etepe btlow.) 

(III) If the aample mean II equal to or 

lAater UlaD the lower coDtlol limIt but 1111 

'baD the upper cODtrol limit. theD DO determlDaUoD 01 compliance or DODcompUallCl 

caD be mad. aDd a ..coDd earnple elae '1 determ'Ded b1'8tep 'a. 

Step lb. For aD EnetID' Coulumptlon 

Standard. compare the mean lor t the nnt 

aample (I,) w.tb Lbe upper and o_er coDtrol 

limite (UCL, aDd LCL" to determ'De OD. 01 

the 101l0w1D,: 

(I) If tbe meaD 01 tbe Ont .. mple II above 

tbe upper eODtrolllmlt. tbeD tbe ... 10 model 

Ie In DODcompllance aDd teltln, II at aD eDd. 

(Do not ,0 OD t.o aD1 01 the etepe below.) 

(II) II tbe mean or the nnt .. mple .e equal 

to or Ie .. thaD the lower control limit. theD 

tbe bulo model 'e ID compllaDOI and teat'D, 

II at an eDd. (Do Dot ,0 OD to aD1 or the 

ltepe below.) 

(UI) If tbe .. mple mean '1 equal to or Ie .. 

tbaD the upper cODtrol limit but lAater 

tbaD tbe lower eODtrol limit. tileD DO det.rmlnatloD or compliance or DODcompllaDce 

can bt made aDd a MCODd &le llae .e determlDed. b1 Step Th. 

Step 'a. For an Energy EmeleDc1 8taDdard. determlDe the 1IIC0Dd aample llae (DJ) AI 

10110 .. : 

( 

tel ) . nJ= -D. 

O.06BP8 

(Ia) 

PI . .&30, Subpl. F, App. B 

ts- (4 ) Xl 

ts- (5) Xl 

wbere I, and t have the valuel uled In Stepe , 

• and 6. relpectl.ely. The term .. O,~ E1'8" II 

tbe dlRerence betweeD tbe applicable energy 

.mc'ency ltandard and 95 percent of the 

ltaJldard. wbere 116 percent or the etandard II 

takeD .. tbe lower CODtIOl limit. Thll procedure ltlelde a eumCleDt combined &le .Iae 

(D,+nd to ,I.e an e.tlmated "'.6 percent 

probability or obtalnlDIr a determln"tlon of 

compllaDc, wbeD the true meaD e(Oclency II 

equal to the applicable ltandard. . 

OlveD the IOlution value o( n •. determine 

one or the (ollo"ln,: 

(I) U the value 01 n. 18 Ie .. than or equal t.o 

aero lind If t.be mean enel'l'Y emclency of thl 

nnt. &le (I,) 'e either equal t.o or Iffeater 

UlaD the lo"er coDtrol limIt (LeL,) or equal 

to or Iftater than 86 percent 01 the applicable enercy elnclency ltandard (I!:ESJ. wblcb-

.ver'e Ifflater. I.e .• II 

DJ $ 0 lind ., ~ mu(LCI.,. 0.95 EESI. 

t.be bulc model II In,compllance and testing 

'e at an end. 

(2) U tbe value of nJ 18 Ie .. than or /Hlllal t.o 

aero lind t.be mean energy emcloncy o( tbe 

Ont. .. mpie (i,) II Ie .. t.han the lower contIOl limit (LCL,) or Ie .. than 96 percent ot 

t.be applicable energy efOclency etandard 

(EES). whichever II lITeator. I.e .• If 

n, s 0 and i, < mull.CL,. 0,95 EES). 

the baale model'.' In noncompliance allli 

teatln, '8 at an end. 

(3) Ir tbe value o( n, 'I Iffeater than zero. 

tben value of tbe second eample e'ze 'II deter· 

mined to be tbe Imallell~ 'nteger equal to or 

lAater tban the 1I0lutlon value of n, ror 

equation (6&). II the value o( nJ 110 calculated 

'elffeater than 26-n,. set. DJ equal t.o 2» n,. 

Step ,7b. For an Energy ConHlImptJon 

Standard. detennlne tbe llecond I14mpl,., .'ze 

(n,) aa (olloWII: • . 

n.· ( '~~P8} -n. "bJ 

173 
Pt. 430, Subpf. F. App. B

where e, and t have the values used In Steps

4 and 5, respectively. The term "0.06 EPS" Is

the difference between the applicable energy

consumption standard and 105 percent of the

standard, where 105 percent of the standard

Is taken an the upper control limit. This procedure yields a sufficient combined sample

site (n, + n,) to give in estimated 07.6 percent, probability of o$talning{ a determination of compliance when the true mean consumption is equal to the applicable standard.

Given the solution value of n,, determine

one of the following:

(1) If the value of n, is less than or equal to

zero and If the mean energy consumption of

the first sample (i,) Is either equal to or less

than the upper control limit (UCL,) or equal

to or lees than 105 percent of the applicable

energy performance standard (EPS). whichever Is lees, I.e.. If

n, s 0 and to 2 min(UCL,, 1.05 EPS),

nl + n2

1

10 CFR Ch. 11(1-1-95 Edflon)

the basic model is In compliance and testing

Is at an and.

(2) U the value of n, is less than or equal to

zero and the mean energy consumption of

the first sample (i,) Is greater than the

upper control limit (UCL,) or more than 106

percent of the applicable energy performance

standard (EPS), whichever U less, I.e.. If

no s 0 and to 2 min(LCL,. 1.06 EPS),

the basic model Is in noncompliance and

testing to at an end.

(3) U the value of no Is greater than zero,

then the value of the second . sample size is

determined to be the smallest Integer equal

to or greater than the solution value of no for

equation (Sb). U the value of no so calculated

Is greater than 20-n,, set n, equal to 20-n,.

Step S. Compute the combined mean (1,) of

the measured energy performance of the n,

and n, unite of the combined first and second

samples as follows:

I nl + n2

xl

i=1

Stop 9. Compute the standard error (s;,) of

the measured energy performance of the no

and n, unite In the combined first and second

samples as follows:

SX

. 2

No'rg.-e, Is the value obtained In Step 3.

Step lea. For an Energy Efficiency Standard. compute the lower control limit (LCI.)

for the mean of the combined first and second samples using the DOE energy efficiency

.LCL2 = EES - t sX

2

where the t-st►tletlo has the value obtained

In Step 5 above.

Sup tOb. Por an Energy Consumption

Siamese, compote the upper control limit

Iss _rhe saeaa of the combine4 first

Paolo" Meg the DUOS energy

(7)

(8)

standard (EES) as the desired mean and a

one-tailed probability level of 976 percent

(equivalent to the two-tailed probability

level of 96 percent used In Step 6, above) as

follows:

(9a)

performance standard ( CPS) as the desired

mean and a one-tailed probability level of

102.6 percent (equivalent to the two-tailed

probability level of 95 percent used In Step 6.

above) as follows:

Department d Energy

UCL EPS + t s2 2

where, the t-statletlc has the value obtained

In Step 6 above.

Step lla. For an Energy Efficiency Standard, compare the combined sample mean (i,)

to the lower control limit (LCL,) to nod one

of the following:

(I) if the mean of the combined sample (i3)

Is less than the lower control limit (LCL,) or

96 percent of the applicable energy efficiency

standard (EEB), whichever Is greater, It

Is 2 max(LCL,, 0.95 EES),

the basic model to in noncompliance and

testing to at an end.

(11) U the mean of the combined sample (13)

Is equal to or greater than the lower control

limit (LCL3) or 96 percent of the applicable

energy efficiency standard (BES), whichever

to greater. I.e.. It

1, 2 max(LCL,, 0.96-EE8),

the basic model Is In compliance and testing

Is at an and.

Step . lib. For an Energy Consumption

Standard, compare the combined sample

mean (i,) to the upper control limit (UCL,)

to find one of the following:

(1) It the mean of the cornbineQ sample (12)

Is greater than the upper I cdntrol limit

NCI.3) or 106 percent of the applicable energy performance standard (BPS), whichever

is lese. I.e., If

1, 2 min(UCL,, 1 .05 EPS),

the basic model Is In noncompliance and

testing 1s at an and.

(11) U the mean of the combined sample (1,)

1s equal to or low than the upper control

limit (UCL,) or 106 percent of the applicable

energy performance standard (EPS), whichever Is less, I.e.. It

1, S min(uCL,, 1.06 EPS),

the basic model I. in compliance and testing

Is at an end.

Manumacturer-Option Testing

U a determination of non-compliance is

made In Steps 6, 7 or II, above, the manufacturer may request that additional testing be

conducted. in accordance with the following

procedures.

Stop A. The manufacturer requests that an

Additional number, n,. of units be tested,

With as chosen such that o ,*n,,n, does not

exceed 20.

Step B. Compute the mean energy performance. standard error, and lower or upper oontrot limit of the new combined sample In aooordanoe with the procedures prescribed In

Steps 9. 9. and 10, above.

Pt. 430, Subpl. F, App. B

(9b)

I

Step C. Compare the mean performance of

the new combined sample to the revised

lower or upper control limit to determine

one of the following:

a.1. For an Energy Efficiency Standard, If

the new combined sample mean is equal to or

greater than the lower control limit or 95

percent of the applicable energy efficiency

standard, whichever to greater, the basic

model to In compliance and testing Is at an

and.

a.2. For an Energy Consumption Standard,

If the new combined sample mean Is equal to

or less than the upper control limit or 105

percent of the applicable energy . consump•

Won standard, whichever Is lees, the baslo

model Is In compliance and teeti.,g is at an

end.

b.l. For an Energy Efficiency Standard. If

the new combined sample mean Is lees than

the lower control limit or 95 percent of the

applicable energy efficiency standard, whichever, is greater, and the value of n,+n,+n, Is

less than 20, the manufacturer may request

that additional units be tested. The total of

all units tested may not exceed 20. Steps A,

B. and C are then repeated.

b.2. For an Energy Consumption Standard,

if the new combined sample mean Is greater

than the upper control limit or 106 percent of

the applicable energy, consumption standard,

whichever Is lees, and the value of n,+,+, Is

less than 20, the manufacturer may request

that additional units be tested . The total of

all unite tested may not exceed 20. Steps A.

B, and C are then repeated.

c. Otherwise, the basic model is determined

to be in noncompliance.

(54

FR Will . Feb. 7, 1969; W FR 11320, Mar. 17,

19091

'ART 436--ENERGY CONSERVAON VOLUNTARY PERT; ORMA E STANDARDS FOR NEW

BUIL GS; MANDATORY FOR

FEDE BUILDINGS

3td)parl A-V ok"v Petfonnance Standards lot IWw clol and WillrMfa+ Otlild►wk

UWdWoqft*

sec.

116.97 Purpose. '

435.98 scope.

05.1111 General definitions and acrony

416.100 Zxplanatloa of cambering

for standards.

 EE-DET-94-003 COMMENT 0C

PI. 430. SUbpt. F. App. B 

wbere II, aDd t. bave the valuell used ID Stepe • and 6. respectively. The tenn "0.06 EPS" .a tbe dJrrereDce betweeD tbe applicable eDergy 

cODsumptioD etaDdard aDd 105 perceDt or tbe 

lltaDc1ard. wbere 106 perceDt or t.he ltaDdard '.1 taken all the upper cODtrol limit. Thll procedure ylelde a lurrlclent·comblned &le 

ell!e (D, • D.) to ,Ive an 8eOmated 111.6 perc!lnt, probablllt.y or o~talnlD,i a detennlDatlon or compliance wilen tbe true mean con- lumptlon II equal to tbe applicable ltandard. 

GIven the IIOlutlon value or D •• detennlne 

ODI or the rollowlng: . 

• II) Jr t.he value of nJ II leaa thaD or equal to 

zoro ond II the meaD eDe .... y conlumptlon of 

tbe flret sample (i,) II either equal to or Ie .. tben t.be upper cODtrol limit (UCL,) or equal 

to or lela tJlan 105 percent. or t.be applicable enern perronnance etandard (EPS). wblcbever II lell. I.e., It 

D, S 0 and I, ~ mID(UCL,. 1.05 EPS). 

1 

+ 

Step 8. COmpute t.be ltaDdard error (Ii" or tbl meuured eDe...,. performaDce of the n, 

and n, uwttln tbe comblDed Ont and IIICOnd 

eamplel u rollowl: 

si 

·2 

= 

+ 

N01'X._, II t.be value obtalDed In Step 3. 

8tep IDa. For an EDe...,. EmcIIDC), Standard. compute tbe lower coDtrol Umlt (LeLd 

for Lbe mean or t.be comblDed flret. and MCood ampl.,. ullnw tb. DOE .Del"lrY emeleDoy 

LCL2 = EES - t 

where Lb. t.-_taU_Uo bat tbe valu. obtaln.d 

In Step 6 above. 

atep IDb. .or an Energy CODlumption ............ COIIIPGte \be upper CODtrol limit. ... 1M _ oC ..... comblne4 nret. 

.............. OO •• n .... 

10 eFR Ch.n (1-1-95 EcttIon) 

tbe hulc model II In compliance and telltlor 

Ie at aD end . (2) U the value or DJ II Ie .. t.baD or equal t.o zero and tbe meaD energy cODaUmptioD of 

t.be nret. urnpl. (i,) I. poeater tbaD tht 

upper control limit (UCL,) or mort tban 1011 

perceDt or tbe applicable .D ..... y perfonnance 

ttaDdard nCP8), wblchever It 1.,.1. I .•.• If 

D, $ D alld •• ~ mID(LCL .. 1.06 EP8). 

tb. bulc model III ID noncompllanc. aDd 

teltiDC II at an .od. 

(3) U tbl valu. or OJ II creater than Aro, 

tben tbl nioe or tbe IIICODd, earnpll II .. II 

determIned to be tb. ImaUllt Interer equal 

to or pouter tban thl eolutlon "alue of nJ lor 

equat.lon (Ib). U the "alue 01 n, eo calculated 

II creater tban .n •• Nt nJ .qual to .n,_ 

Step •. COmpute the combIned mean (I,) of 

tbe meuured Inl...,. 'performanc. of til. D, 

and D, unItt of th. combIned bret and IICODd 

earnplel .. lollow.: 

(7) 

(8) 

ltaDdard (EES) u Lb. dllllrtd mean aDd a oDe-tailed probability 1 ••• 1 of t'U perceat 

(equlnllnt to tile two-tailed probability 

IlIYel of 116 percent ulllld ID Step 6, abon) .. followl: 

(9.) 

performance ltaadard (EPS) u t.b. dell red m.an aDd a on.-tall.d probablllt, le.II of 

101.6 Percent. (~ul"aleDt to Lb. two-tailed I 

ProbablJlt, level of 86 perclnt IIl1d In Step i. 

above) .. lollow.: 

Deportment 01 Energy 

UC~2 = EPS + t 

wblre, tb. t-.tau,tlc bu the Yalue obtained 

10 Step 6 abov •. 

Step lIa. For aa En.1lrY srOd.ncy Stand. 

ard. compare tile combined earnpl. mean (a.) 

t.o tbe lo.er coDtrol limit (LCL,) to nnd OD. 

of Lbe (ollowlnc: , 

(I) If lobe meaa or tb. combloed urnple (i" 

II leu tban t.bl lower control limit (LCLd or 

16 percent of tbe applicable enel'lY .mcleDc, 

.taDdard (UB), wblcbever I. creater. } .•.• If ., it mu(Le .... US EEB). 

Lb. ...10 mod.1 .1 la noncompliance and 

C.ltlnc I. at an .nd. ' 

(II) U tile mIlAn of tile comblnld eaJnpll (id 

I. equal to or creater tbau till lower control 

limit (Le"" or 116 percent of tbe appllcabl. 

.Delll'l' erncl.ncy ltandard (ltES). wbJcbenr 

I. creater. I.e .• It 

~ it mu(Le .... UII·EEB). 

UI. baalc modi I II In compliance and teltlDl' 

I. at an .ad. 

Step, lib. For aD En.rgy COnaumptlon 

Standard. compare lob. combIned 'earnpl. 

meaD (Id to tb. upper control limIt. (UC",) 

t.o nnd one or th. followlnc: 

(I) If tb. meaD of the comblne4 earnpl. (i,) 

I. creater than tile upper I cdDtrol limit 

(uCL,) or 106 perceDt 01 the appllcabl. Inlro performance ltaadal'd (IPS) •• bJebe .. r 1.111 •• I .•.• If 

I, ~ mlD(UC .... 1,05 EPS). 

Ull "'10 model II ID noncompliance and 

tllltinc II at an end. 

(II) U th. mIlAn or tbe combln.d earnpl. (I,) 

I. equal to or Ie.. t.ban th. apper oontrol 

limit (Ue ... ) or 106 perc.nt of th. appllcabl • 

• a.rcy performaace ltaDdard (EPa). wbJcb- ner II 1_ ...... If 

., $ mln(UC .... 1.06 EPB). . 

UI. "'Ic mod. I II In compllanc. and .... tlor 

I •• tan end. 

Manu/llC'"rer-()ptlon Testing 

U a d.tennlnatlon of Doa-compUaDce I. 

mlde In Stepe e. 'I or II. abo •• , tbe n\anufa.cturer may requelt tIIat addltloaal taltlnc be 

conducted. ID accordanca WltII til. folloWlq Jroo8dIlrtll. 

Ittp A. TIl. manufacturer reqUllte tbat an 

Iddltlonal Dumber. D" of IIDltt be _ted 

tritll a, obOllo lUeb that O,."+D, doie DOi 

IICMcI30. 

Ittp B. Compute tb. meaa eD.ro performuee. ltaDdard error. and low., 01' upper OODtroillmit of th. nlw comblued earnpl. 10 ao~ 

COrdanoe wltll til. prooeda.ne rnecrtbed ID 

lteptl. t. &lid ID. abo... . 

PI. 430, Subpt. F. App. B 

(9b) 

Step C. Compare the mean performance of 

the oew combined &l. to the revlaed 

lower or upper control limit to determln. 

ODe or tbe rollowlDIr: 

a.l. For an Energy Errlclency Standerd, If 

the new combined eample mean Ie equal to or lTfIater tban tb. low.r cODtrol limit or 16 

perc.at or the appllcabl. eDergy emcllncy 

ltandard. whlcbeYer II poeater. the bulc 

model I. In compliance aDd telLlnlr II at an ~~. . 

a.2. For aD Enenry Connumptlon Standard. 

Ir tb. a.w combined &le mean II equal to 

or I.u tban tb. upper control limit or lOS 

perceDt or tb. appllcabl •• nergy con,ump-

,tloD ltandard. wblobeyer II 1.1.. tb. batlo 

model II In compllanc. and telt:.Jg II at an eDd. 

b.l. For an Ene...., Ernclency Standard. Ir 

the new comblD.d &le mean II II .. tban 

tb. lower control limit or 95 percent or tbl 

applicable .nergy elflcleDcy ltandard. wblcb- .ver. I. lITeater. and tb. valu. or D,.nJ+n, II 

Ie .. t.baa 20. tbe maDuractur.r may request 

tbat addItional unite be te.ted, Thl total 01 

aU ualte tellted may not II.Ic •• d :». StePi A, 

B. and e are tbea repea .. d. 

b.lI. For an Enel'lY CODlumptlon Standard. 

If tbe new combln.d urnpll mean 18 1IT •• ter 

than th. upper control limit. or 106 percent. of 

the appllcabll ea ..... y· conlumptlon ltandard. 

wbJcbever II I .... aDd tbe valu. or n, •• +, I. 

Ie .. thaD 20. til. maDuCacturer may rlque.t . that. additional unite be telted. Th. total or aU ualte telted may Dot ll.lceed 20. 8tePi A. 

... and C are thea r.peated. 

o. Otberwlle. th. batlc model 18 detennlned 

to be ID nonoompllaDce. 

1M FR 11081. Feb. 7. 11189; fit FR 11320. Mer. 17. 

11189) 

ART 43S-ENERGY CONSERVAON VOLUNTARY PERfORMA ~,SlANDARDS FOR NEW 

aUI GS: MANDATORY ,FOR 

FEDE BUILDINGS 

Bee. 

•. 111 PurpoH. I 

•. 11 Scope . 

G.. Oeneral denaltioDI and acrony 

GUllO Ji:aplanatioD of nwnberlor 

(or ltandarde.