  Jan. 1, 2020

      Title 10
      Energy
      Parts 200 to 499
      Revised as of January 1, 2020
      Containing a codification of documents of general applicability and future effect
      As of January 1, 2020

        Published by the Office of the Federal Register National Archives and Records Administration as a Special Edition of the Federal Register

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      Table of Contents
      Page

        Explanation
        v

        Title 10:

          Chapter II—Department of Energy
          3

        Finding Aids:
        Table of CFR Titles and Chapters
        1243
        Alphabetical List of Agencies Appearing in the CFR
        1263
        List of CFR Sections Affected
        1273

      Cite this Code: CFR

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

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

        Title 1 through Title 16
        as of January 1
        Title 17 through Title 27
        as of April 1
        Title 28 through Title 41
        as of July 1
        Title 42 through Title 50
        as of October 1

      The appropriate revision date is printed on the cover of each volume.

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

        HOW TO USE THE CODE OF FEDERAL REGULATIONS
        The Code of Federal Regulations is kept up to date by the individual issues of the Federal Register. These two publications must be used together to determine the latest version of any given rule.
        To determine whether a Code volume has been amended since its revision date (in this case, January 1, 2020), consult the “List of CFR Sections Affected (LSA),” which is issued monthly, and the “Cumulative List of Parts Affected,” which appears in the Reader Aids section of the daily Federal Register. These two lists will identify the Federal Register page number of the latest amendment of any given rule.

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

        OMB CONTROL NUMBERS

        The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires Federal agencies to display an OMB control number with their information collection request. Many agencies have begun publishing numerous OMB control numbers as amendments to existing regulations in the CFR. These OMB numbers are placed as close as possible to the applicable recordkeeping or reporting requirements.

        PAST PROVISIONS OF THE CODE
        Provisions of the Code that are no longer in force and effect as of the revision date stated on the cover of each volume are not carried. Code users may find the text of provisions in effect on any given date in the past by using the appropriate List of CFR Sections Affected (LSA). For the convenience of the reader, a “List of CFR Sections Affected” is published at the end of each CFR volume. For changes to the Code prior to the LSA listings at the end of the volume, consult previous annual editions of the LSA. For changes to the Code prior to 2001, consult the List of CFR Sections Affected compilations, published for 1949-1963, 1964-1972, 1973-1985, and 1986-2000.

        “[RESERVED]” TERMINOLOGY
        The term “[Reserved]” is used as a place holder within the Code of Federal Regulations. An agency may add regulatory information at a “[Reserved]” location at any time. Occasionally “[Reserved]” is used editorially to indicate that a portion of the CFR was left vacant and not dropped in error.

        INCORPORATION BY REFERENCE

          What is incorporation by reference? Incorporation by reference was established by statute and allows Federal agencies to meet the requirement to publish regulations in the Federal Register by referring to materials already published elsewhere. For an incorporation to be valid, the Director of the Federal Register must approve it. The legal effect of incorporation by reference is that the material is treated as if it were published in full in the Federal Register (5 U.S.C. 552(a)). This material, like any other properly issued regulation, has the force of law.

          What is a proper incorporation by reference? The Director of the Federal Register will approve an incorporation by reference only when the requirements of 1 CFR part 51 are met. Some of the elements on which approval is based are:
        (a) The incorporation will substantially reduce the volume of material published in the Federal Register.
        (b) The matter incorporated is in fact available to the extent necessary to afford fairness and uniformity in the administrative process.
        (c) The incorporating document is drafted and submitted for publication in accordance with 1 CFR part 51.

          What if the material incorporated by reference cannot be found? If you have any problem locating or obtaining a copy of material listed as an approved incorporation by reference, please contact the agency that issued the regulation containing that incorporation. If, after contacting the agency, you find the material is not available, please notify the Director of the Federal Register, National Archives and Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001, or call 202-741-6010.

        CFR INDEXES AND TABULAR GUIDES

        A subject index to the Code of Federal Regulations is contained in a separate volume, revised annually as of January 1, entitled CFR Index and Finding Aids. This volume contains the Parallel Table of Authorities and Rules. A list of CFR titles, chapters, subchapters, and parts and an alphabetical list of agencies publishing in the CFR are also included in this volume.

        An index to the text of “Title 3—The President” is carried within that volume.

        The Federal Register Index is issued monthly in cumulative form. This index is based on a consolidation of the “Contents” entries in the daily Federal Register.
        A List of CFR Sections Affected (LSA) is published monthly, keyed to the revision dates of the 50 CFR titles.

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

        INQUIRIES
        For a legal interpretation or explanation of any regulation in this volume, contact the issuing agency. The issuing agency's name appears at the top of odd-numbered pages.

        For inquiries concerning CFR reference assistance, call 202-741-6000 or write to the Director, Office of the Federal Register, National Archives and Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001 or e-mail fedreg.info@nara.gov.

        SALES
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        ELECTRONIC SERVICES

        The full text of the Code of Federal Regulations, the LSA (List of CFR Sections Affected), The United States Government Manual, the Federal Register, Public Laws, Public Papers of the Presidents of the United States, Compilation of Presidential Documents and the Privacy Act Compilation are available in electronic format via www.govinfo.gov. For more information, contact the GPO Customer Contact Center, U.S. Government Publishing Office. Phone 202-512-1800, or 866-512-1800 (toll-free). E-mail, ContactCenter@gpo.gov.

        The Office of the Federal Register also offers a free service on the National Archives and Records Administration's (NARA) website for public law numbers, Federal Register finding aids, and related information. Connect to NARA's website at www.archives.gov/federal-register.

        The e-CFR is a regularly updated, unofficial editorial compilation of CFR material and Federal Register amendments, produced by the Office of the Federal Register and the Government Publishing Office. It is available at www.ecfr.gov.

          Oliver A. Potts,

          Director,

          Office of the Federal Register

          January 1, 2020

      THIS TITLE
      Title 10—Energy is composed of four volumes. The parts in these volumes are arranged in the following order: Parts 1-50, 51-199, 200-499 and part 500-end. The first and second volumes containing parts 1-199 are comprised of chapter I—Nuclear Regulatory Commission. The third and fourth volumes containing part 200-end are comprised of chapters II, III and X—Department of Energy, chapter XIII—Nuclear Waste Technical Review Board, chapter XVII—Defense Nuclear Facilities Safety Board, and chapter XVIII—Northeast Interstate Low-Level Radioactive Waste Commission. The contents of these volumes represent all current regulations codified under this title of the CFR as of January 1, 2020.
      For this volume, Gabrielle E. Burns was Chief Editor. The Code of Federal Regulations publication program is under the direction of John Hyrum Martinez, assisted by Stephen J. Frattini.

    10 CFR Ch. II (1-1-20 Edition)
    Department of Energy

        Title 10—Energy
        (This book contains parts 200 to 499)

        Part

            chapter ii—Department of Energy
          202

          CHAPTER II—DEPARTMENT OF ENERGY

          SUBCHAPTER A—OIL

        Part
        Page

          200-201
          [Reserved]
          202
          Production or disclosure of material or information
          5
          205
          Administrative procedures and sanctions
          6
          207
          Collection of information
          51
          209
          International voluntary agreements
          55
          210
          General allocation and price rules
          60
          212
          Mandatory petroleum price regulations
          67
          215
          Collection of foreign oil supply agreement information
          68
          216
          Materials allocation and priority performance under contracts or orders to maximize domestic energy supplies
          69
          217
          Energy priorities and allocations system
          73
          218
          Standby mandatory international oil allocation
          93
          220
          [Reserved]
          221
          Priority supply of crude oil and petroleum products to the Department of Defense under the Defense Production Act
          98

          SUBCHAPTER B—CLIMATE CHANGE

          300
          Voluntary Greenhouse Gas Reporting Program: General guidelines
          102

          SUBCHAPTER C [RESERVED]

          SUBCHAPTER D—ENERGY CONSERVATION

          400-417
          [Reserved]
          420
          State energy program
          124
          429
          Certification, compliance, and enforcement for consumer products and commercial and industrial equipment
          138
          430
          Energy conservation program for consumer products
          275
          431
          Energy efficiency program for certain commercial and industrial equipment
          787

          433
          Energy efficiency standards for the design and construction of new Federal commercial and multi-family high-rise residential buildings
          1043
          434
          Energy code for new Federal commercial and multi-family high rise residential buildings
          1047
          435
          Energy efficiency standards for the design and construction of new Federal low-rise residential buildings
          1108
          436
          Federal energy management and planning programs
          1115
          440
          Weatherization assistance for low-income persons
          1142
          445
          [Reserved]
          451
          Renewable energy production incentives
          1164
          452
          Production incentives for cellulosic biofuels
          1169
          455
          Grant programs for schools and hospitals and buildings owned by units of local government and public care institutions
          1173
          456
          [Reserved]
          470
          Appropriate Technology Small Grants Program
          1204
          473
          Automotive propulsion research and development
          1209
          474
          Electric and Hybrid Vehicle Research, Development, and Demonstration Program; petroleum-equivalent fuel economy calculation
          1213
          490
          Alternative fuel transportation program
          1214
          491-499
          [Reserved]

        SUBCHAPTER A—OIL

          PARTS 200-201 [RESERVED]

          Pt. 202
          PART 202—PRODUCTION OR DISCLOSURE OF MATERIAL OR INFORMATION

              Subpart A [Reserved]

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

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

            Subpart A [Reserved]

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

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

              § 202.21
              Purpose and scope.
              (a) This subpart sets forth the procedures to be followed when a subpoena, order, or other demand (hereinafter referred to as a “demand”) of a court or other authority is issued for the production or disclosure of (1) any material contained in the files of the Department of Energy (DOE), (2) any information relating to material contained in the files of the DOE, or (3) any information or material acquired by any person while such person was an employee of the DOE as a part of the performance of his official duties or because of his official status.
              (b) For purposes of this subpart, the term “Employee of the DOE” includes all officers and employees of the United States appointed by, or subject to the supervision, jurisdiction, or control of, the Administrator of DOE.

              § 202.22
              Production or disclosure prohibited unless approved by appropriate DOE official.
              No employee or former employee of the DOE shall, in response to a demand of a court or other authority, produce any material contained in the file of the DOE or disclose any information relating to material contained in the files of the DOE, or disclose any information or produce any material acquired as part of the performance of his official duties or because of his official status without prior approval of the General Counsel of DOE.

              § 202.23
              Procedure in the event of a demand for production or disclosure.
              (a) Whenever a demand is made upon an employee or former employee of the DOE for the production of material or the disclosure of information described in § 202.21(a), he shall immediately notify the Regional Counsel for the region where the issuing authority is located. The Regional Counsel shall immediately request instructions from the General Counsel of DOE.
              (b) If oral testimony is sought by the demand, an affidavit, or, if that is not feasible, a statement by the party seeking the testimony or his attorney, setting forth a summary of the testimony desired, must be furnished for submission by the Regional Counsel to the General Counsel.

              § 202.24
              Final action by the appropriate DOE official.
              If the General Counsel approves a demand for the production of material or disclosure of information, he shall so notify the Regional Counsel and such other persons as circumstances may warrant.

              § 202.25
              Procedure where a decision concerning a demand is not made prior to the time a response to the demand is required.
              If response to the demand is required before the instructions from the General Counsel are received, a U.S. attorney or DOE attorney designated for the purpose shall appear with the employee or former employee of the DOE upon whom the demand has been made, and shall furnish the court or other authority with a copy of the regulations contained in this subpart and inform the court or other authority that the demand has been, or is being, as the case may be, referred for the prompt consideration of the appropriate DOE official and shall respectfully request the court or authority to stay the demand pending receipt of the requested instructions.

              § 202.26
              Procedure in the event of an adverse ruling.
              If the court or other authority declines to stay the effect of the demand in response to a request made in accordance with § 202.25 pending receipt of instructions, of if the court or other authority rules that the demand must be complied with irrespective of instructions not to produce the material or disclose the information sought, the employee or former employee upon whom the demand has been made shall respectfully decline to comply with the demand. “United States ex rel Touhy v. Ragen,” 340 U.S. 462.

          Pt. 205
          PART 205—ADMINISTRATIVE PROCEDURES AND SANCTIONS

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

              Subparts B-E [Reserved]

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

              Subparts G-J [Reserved]

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

              Subpart L [Reserved]

              Subpart M—Conferences, Hearings, and Public Hearings
              205.170
              Purpose and scope.
              205.171
              Conferences.
              205.172
              Hearings.
              205.173
              Public hearings.

              Subpart N [Reserved]

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

              Actions not subject to administrative appeal.

              205.199I
              Remedies.
              205.199J
              Consent order.

              Subparts P-T [Reserved]

              Subpart U—Procedures for Electricity Export Cases
              205.260
              Purpose and scope.
              205.261-205.269
              [Reserved]
              205.270
              Off-the-record communications.

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

              Subpart W—Electric Power System Permits and Reports; Applications; Administrative Procedures and Sanctions; Grid Security Emergency Orders

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

                Application for Presidential Permit Authorizing the Construction, Connection, Operation, and Maintenance of Facilities for Transmission of Electric Energy at International Boundaries
                205.320
                Who shall apply.
                205.321
                Time of filing.
                205.322
                Contents of application.
                205.323
                Transferability.
                205.324
                Form and style; number of copies.
                205.325
                Annual report.
                205.326
                Filing procedures and fees.
                205.327
                Other information.
                205.328
                Environmental requirements for Presidential Permits—Alternative 1.
                205.329
                Environmental requirements for Presidential Permits—Alternative 2.

                Report of Major Electric Utility System Emergencies
                205.350
                General purpose.
                205.351
                Reporting requirements.
                205.352
                Information to be reported.
                205.353
                Special investigation and reports.

                Emergency Interconnection of Electric Facilities and the Transfer of Electricity to Alleviate an Emergency Shortage of Electric Power
                205.370
                Applicability.
                205.371
                Definition of emergency.
                205.372
                Filing procedures; number of copies.
                205.373
                Application procedures.
                205.374
                Responses from “entities” designated in the application.
                205.375
                Guidelines defining inadequate fuel or energy supply.
                205.376
                Rates and charges.
                205.377
                Reports.
                205.378
                Disconnection of temporary facilities.
                205.379
                Application for approval of the installation of permanent facilities for emergency use only.

                Internal Procedures for Issuance of a Grid Security Emergency Order
                205.380
                Definitions.
                205.381
                Applicability of emergency order.
                205.382
                Issuing an emergency order.
                205.383
                Consultation.
                205.384
                Communication of orders.
                205.385
                Clarification or reconsideration.
                205.386
                Temporary access to classified and sensitive information.
                205.387
                Tracking compliance.
                205.388
                Enforcement.
                205.389
                Rehearing and judicial review.
                205.390
                Liability exemptions.
                205.391
                Termination of an emergency order.

            Authority:

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

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

            Subpart A—General Provisions

              § 205.1
              Purpose and scope.

              This part establishes the procedures to be utilized and identifies the sanctions that are available in proceedings before the Department of Energy and State Offices, in accordance with parts 209 through 214 of this chapter. Any exception, exemption, appeal, stay, modification, recession, redress or resolution of private grievance sought under the authority of 42 U.S.C. 7194 shall be governed by the procedural rules set forth in 10 CFR part 1003.
              [61 FR 35114, July 5, 1996]

              § 205.2
              Definitions.
              The definitions set forth in other parts of this chapter shall apply to this part, unless otherwise provided. In addition, as used in this part, the term:

                Action means an order, interpretation, notice of probable violation or ruling issued, or a rulemaking undertaken by the DOE or, as appropriate, by a State Office.

                Adjustment means a modification of the base period volume or other measure of allocation entitlement in accordance with part 211 of this chapter.

                Aggrieved, for purposes of administrative proceedings, describes and means a person with an interest sought to be protected under the FEAA, EPAA, or Proclamation No. 3279, as amended, who is adversely affected by an order or interpretation issued by the DOE or a State Office.

                Appropriate Regional Office or appropriate State Office means the office located in the State or DOE region in which the product will be physically delivered.

                Assignment means an action designating that an authorized purchaser be supplied at a specified entitlement level by a specified supplier.

                Conference means an informal meeting, incident to any proceeding, between DOE or State officials and any person aggrieved by that proceeding.

                Consent order means a document of agreement between DOE and a person prohibiting certain acts, requiring the performance of specific acts or including any acts which DOE could prohibit or require pursuant to § 205.195.

                Duly authorized representative means a person who has been designated to appear before the DOE or a State Office in connection with a proceeding on behalf of a person interested in or aggrieved by that proceeding. Such appearance may consist of the submission of applications, petitions, requests, statements, memoranda of law, other documents, or of a personal appearance, verbal communication, or any other participation in the proceeding.

                EPAA means the Emergency Petroleum Allocation Act of 1973 (Pub. L. 93-159).

                EPCA means the Energy Policy and Conservation Act (Pub. L. 94-163).

                Exception means the waiver or modification of the requirements of a regulation, ruling or generally applicable requirement under a specific set of facts.

                Exemption means the release from the obligation to comply with any part or parts, or any subpart thereof, of this chapter.

                DOE means the Department of Energy, created by the FEAA and includes the DOE National Office and Regional Offices.

                FEAA means the Federal Energy Administration Act of 1974 (Pub. L. 93-275).

                Federal legal holiday means New Year's Day, Washington's Birthday, Memorial Day, Independence Day, Labor Day, Columbus Day, Veterans' Day, Thanksgiving Day, Christmas Day, and any other day appointed as a national holiday by the President or the Congress of the United States.

                Interpretation means a written statement issued by the General Counsel or his delegate or Regional Counsel, in response to a written request, that applies the regulations, rulings, and other precedents previously issued, to the particular facts of a prospective or completed act or transaction.

                Notice of probable violation means a written statement issued to a person by the DOE that states one or more alleged violations of the provisions of this chapter or any order issued pursuant thereto.

                Order means a written directive or verbal communication of a written directive, if promptly confirmed in writing, issued by the DOE or a State Office. It may be issued in response to an application, petition or request for DOE action or in response to an appeal from an order, or it may be a remedial order or other directive issued by the DOE or a State Office on its own initiative. A notice of probable violation is not an order. For purposes of this definition a “written directive” shall include telegrams, telecopies and similar transcriptions.

                Person means any individual, firm, estate, trust, sole proprietorship, partnership, association, company, joint-venture, corporation, governmental unit or instrumentality thereof, or a charitable, educational or other institution, and includes any officer, director, owner or duly authorized representative thereof.

                Proceeding means the process and activity, and any part thereof, instituted by the DOE or a State Office, either on its own initiative or in response to an application, complaint, petition or request submitted by a person, that may lead to an action by the DOE or a State Office.

                Remedial order means a directive issued by the DOE requiring a person to cease a violation or to eliminate or to compensate for the effects of a violation, or both.

                Ruling means an official interpretative statement of general applicability issued by the DOE General Counsel and published in the Federal Register that applies the DOE regulations to a specific set of circumstances.

                State Office means a State Office of Petroleum Allocation certified by the DOE upon application pursuant to part 211 of this chapter.
              Throughout this part the use of a word or term in the singular shall include the plural and the use of the male gender shall include the female gender.
              (Emergency Petroleum Allocation Act of 1973, Pub. L. 93-159, as amended, Pub. L. 93-511, Pub. L. 94-99, Pub. L. 94-133, Pub. L. 94-163, and Pub. L. 94-385; Federal Energy Administration Act of 1974, Pub. L. 93-275, as amended, Pub. L. 94-385; Energy Policy and Conservation Act, Pub. L. 94-163, as amended, Pub. L. 94-385; E.O. 11790, 39 FR 23185; Department of Energy Organization Act, Pub. L. 95-91; E.O. 12009, 42 FR 46267)
              [39 FR 35489, Oct. 1, 1974, as amended at 40 FR 36555, Aug. 21, 1975; 40 FR 36761, Aug. 22, 1975; 41 FR 36647, Aug. 31, 1976; 43 FR 14437, Apr. 6, 1978]

              § 205.3
              Appearance before the DOE or a State Office.
              (a) A person may make an appearance, including personal appearances in the discretion of the DOE, and participate in any proceeding described in this part on his own behalf or by a duly authorized representative. Any application, appeal, petition, request or complaint filed by a duly authorized representative shall contain a statement by such person certifying that he is a duly authorized representative, unless a DOE form requires otherwise. Falsification of such certification will subject such person to the sanctions stated in 18 U.S.C. 1001 (1970).
              (b) Suspension and disqualification: The DOE or a State Office may deny, temporarily or permanently, the privilege of participating in proceedings, including oral presentation, to any individual who is found by the DOE—
              (1) To have made false or misleading statements, either verbally or in writing;
              (2) To have filed false or materially altered documents, affidavits or other writings;
              (3) To lack the specific authority to represent the person seeking a DOE or State Office action; or
              (4) To have engaged in or to be engaged in contumacious conduct that substantially disrupts a proceeding.

              § 205.4
              Filing of documents.
              (a) Any document, including, but not limited to, an application, request, complaint, petition and other documents submitted in connection therewith, filed with the DOE or a State Office under this chapter is considered to be filed when it has been received by the DOE National Office, a Regional Office or a State Office. Documents transmitted to the DOE must be addressed as required by § 205.12. All documents and exhibits submitted become part of an DOE or a State Office file and will not be returned.

              (b) Notwithstanding the provisions of paragraph (a) of this section, an appeal, a response to a denial of an appeal or application for modification or recision in accordance with §§ 205.106(a)(3) and 205.135(a)(3), respectively, a reply to a notice of probable violation, the appeal of a remedial order or remedial order for immediate compliance, a response to denial of a claim of confidentiality, or a comment submitted in connection with any proceeding transmitted by registered or certified mail and addressed to the appropriate office is considered to be filed upon mailing.

              (c) Hand-delivered documents to be filed with the Office of Exceptions and Appeals shall be submitted to Room 8002 at 2000 M Street, NW., Washington, D.C. All other hand-delivered documents to be filed with the DOE National Office shall be submitted to the Executive Secretariat at 12th and Pennsylvania Avenue, NW., Washington, D.C. Hand-delivered documents to be filed with a Regional Office shall be submitted to the Office of the Regional Administrator. Hand-delivered documents to be filed with a State Office shall be submitted to the office of the chief executive officer of such office.
              (d) Documents received after regular business hours are deemed filed on the next regular business day. Regular business hours for the DOE National Office are 8 a.m. to 4:30 p.m. Regular business hours for a Regional Office or a State Office shall be established independently by each.

              § 205.5
              Computation of time.
              (a) Days. (1) Except as provided in paragraph (b) of this section, in computing any period of time prescribed or allowed by these regulations or by an order of the DOE or a State Office, the day of the act, event, or default from which the designated period of time begins to run is not to be included. The last day of the period so computed is to be included unless it is a Saturday, Sunday, or Federal legal holiday in which event the period runs until the end of the next day that is neither a Saturday, Sunday, nor a Federal legal holiday.
              (2) Saturdays, Sundays or intervening Federal legal holidays shall be excluded from the computation of time when the period of time allowed or prescribed is 7 days or less.
              (b) Hours. If the period of time prescribed in an order issued by the DOE or a State Office is stated in hours rather than days, the period of time shall begin to run upon actual notice of such order, whether by verbal or written communication, to the person directly affected, and shall run without interruption, unless otherwise provided in the order, or unless the order is stayed, modified, suspended or rescinded. When a written order is transmitted by verbal communication, the written order shall be served as soon thereafter as is feasible.
              (c) Additional time after service by mail. Whenever a person is required to perform an act, to cease and desist therefrom, or to initiate a proceeding under this part within a prescribed period of time after issuance to such person of an order, notice, interpretation or other document and the order, notice, interpretation or other document is served by mail, 3 days shall be added to the prescribed period.

              § 205.6
              Extension of time.
              When a document is required to be filed within a prescribed time, an extension of time to file may be granted by the office with which the document is required to be filed upon good cause shown.

              § 205.7
              Service.
              (a) All orders, notices, interpretations or other documents required to be served under this part shall be served personally or by registered or certified mail or by regular United States mail (only when service is effected by the DOE or a State Office), except as otherwise provided.
              (b) Service upon a person's duly authorized representative shall constitute service upon that person.

              (c) Service by registered or certified mail is complete upon mailing. Official United States Postal Service receipts from such registered or certified mailing shall constitute prima facie evidence of service.

              § 205.8
              Subpoenas, special report orders, oaths, witnesses.
              (a) In this section the following terms have the definitions indicated unless otherwise provided.

              (1) “DOE Official” means the Secretary of the Department of Energy, the Administrator of the Economic Regulatory Administration, the Administrator of Energy Information Administration, the General Counsel of the Department of Energy, the Special Counsel for Compliance, the Assistant Administrator for Enforcement, the Director of the Office of Hearings and Appeals, or the duly authorized delegate of any of the foregoing officials.

              (2) “SRO” means a Special Report Order issued pursuant to paragraph (b) of this section.
              (b) (1) In accordance with the provisions of this section and as otherwise authorized by law, a DOE Official may sign, issue and serve subpoenas; administer oaths and affirmations; take sworn testimony; compel attendance of and sequester witnesses; control dissemination of any record of testimony taken pursuant to this section; subpoena and reproduce books, papers, correspondence, memoranda, contracts agreements, or other relevant records or tangible evidence including, but not limited to, information retained in computerized or other automated systems in possession of the subpoenaed person. Unless otherwise provided by subpart O, the provisions of this section apply to subpoenas issued by the office of Hearings and Appeals with respect to matters in proceedings before it.
              (2) A DOE Official may issue a Special Report Order requiring any person subject to the jurisdiction of the ERA to file a special report providing information relating to DOE regulations, including but not limited to written answers to specific questions. The SRO may be in addition to any other reports required by this chapter.
              (3) The DOE Official who issues a subpoena or SRO pursuant to this section, for good cause shown, may extend the time prescribed for compliance with the subpoena or SRO and negotiate and approve the terms of satisfactory compliance.
              (4) Prior to the time specified for compliance, but in no event more than 10 days after the date of service of the subpoena or SRO, the person upon whom the document was served may file a request for review of the subpoena or SRO with the DOE Official who issued the document. The DOE Official then shall forward the request to his supervisor who shall provide notice of receipt to the person requesting review. The supervisor or his designee may extend the time prescribed for compliance with the subpoena or SRO and negotiate and approve the terms of satisfactory compliance.
              (5) If the subpoena or SRO is not modified or rescinded within 10 days of the date of the supervisor's notice of receipt, (i) the subpoena or SRO shall be effective as issued; and (ii) the person upon whom the document was served shall comply with the subpoena or SRO within 20 days of the date of the supervisor's notice of receipt, unless otherwise notified in writing by the supervisor or his designee.
              (6) There is no administrative appeal of a subpoena or SRO.
              (c) (1) A subpoena or SRO shall be served upon a person named in the document by delivering a copy of the document to the person named.
              (2) Delivery of a copy of the document to a natural person may be made by:
              (i) Handing it to the person;
              (ii) Leaving it at the person's office with the person in charge of the office;
              (iii) Leaving it at the person's dwelling or usual place of abode with a person of suitable age and discretion who resides there;
              (iv) Mailing it to the person by registered or certified mail, at his last known address; or
              (v) Any method that provides the person with actual notice prior to the return date of the document.
              (3) Delivery of a copy of the document to a person who is not a natural person may be made by:
              (i) Handing it to a registered agent of the person;
              (ii) Handing it to any officer, director, or agent in charge of any office of such person;
              (iii) Mailing it to the last known address of any registered agent, officer, director, or agent in charge of any office of the person by registered or certified mail, or
              (iv) Any method that provides any registered agent, officer, director, or agent in charge of any office of the person with actual notice of the document prior to the return date of the document.
              (d)(1) A witness subpoenaed by the DOE shall be paid the same fees and mileage as paid to a witness in the district courts of the United States.

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

              (k) The DOE Official shall take all necessary action to regulate the course of testimony and to avoid delay and prevent or restrain contemptuous or obstructionist conduct or contemptuous language. DOE may take actions as the circumstances may warrant in regard to any instances where any attorney refuses to comply with directions or provisions of this section.
              (Emergency Petroleum Allocation Act of 1973, Pub. L. 93-159, as amended, Pub. L. 94-163, and Pub. L. 94-385; Federal Energy Administration Act of 1974, Pub. L. 93-275, as amended, Pub. L. 94-332, Pub. L. 94-385, Pub. L. 95-70, and Pub. L. 95-91; Energy Supply and Environmental Coordination Act of 1974, Pub. L. 93-319, as amended; Energy Policy and Conservation Act, Pub. L. 94-163, as amended, Pub. L. 94-385, and Pub. L. 95-70; Department of Energy Organization Act, Pub. L. 95-91; E.O. 11790, 39 FR 23185; E.O. 12009, 42 FR 46267)
              [44 FR 23201, Apr. 19, 1979]

              § 205.9
              General filing requirements.
              (a) Purpose and scope. The provisions of this section shall apply to all documents required or permitted to be filed with the DOE or with a State Office.
              (b) Signing. All applications, petitions, requests, appeals, comments or any other documents that are required to be signed, shall be signed by the person filing the document or a duly authorized representative. Any application, appeal, petition, request, complaint or other document filed by a duly authorized representative shall contain a statement by such person certifying that he is a duly authorized representative, unless an DOE form other wise requires. (A false certification is unlawful under the provisions of 18 U.S.C. 1001 (1970)).
              (c) Labeling. An application, petition, or other request for action by the DOE or a State Office should be clearly labeled according to the nature of the action involved (e.g., “Application for Assignment”) both on the document and on the outside of the envelope in which the document is transmitted.
              (d) Obligation to supply information. A person who files an application, petition, complaint, appeal or other request for action is under a continuing obligation during the proceeding to provide the DOE or a State Office with any new or newly discovered information that is relevant to that proceeding. Such information includes, but is not limited to, information regarding any other application, petition, complaint, appeal or request for action that is subsequently filed by that person with any DOE office or State Office.
              (e) The same or related matters. A person who files an application, petition, complaint, appeal or other request for action by the DOE or a State Office shall state whether, to the best knowledge of that person, the same or related issue, act or transaction has been or presently is being considered or investigated by any DOE office, other Federal agency, department or instrumentality; or by a State Office, a state or municipal agency or court; or by any law enforcement agency; including, but not limited to, a consideration or investigation in connection with any proceeding described in this part. In addition, the person shall state whether contact has been made by the person or one acting on his behalf with any person who is employed by the DOE or any State Office with regard to the same issue, act or transaction or a related issue, act or transaction arising out of the same factual situation; the name of the person contacted; whether the contact was verbal or in writing; the nature and substance of the contact; and the date or dates of the contact.
              (f) Request for confidential treatment. (1) If any person filing a document with the DOE or a State Office claims that some or all the information contained in the document is exempt from the mandatory public disclosure requirements of the Freedom of Information Act (5 U.S.C. 552 (1970)), is information referred to in 18 U.S.C. 1905 (1970), or is otherwise exempt by law from public disclosure, and if such person requests the DOE or a State Office not to disclose such information, such person shall file together with the document a second copy of the document from which has been deleted the information for which such person wishes to claim confidential treatment. The person shall indicate in the original document that it is confidential or contains confidential information and may file a statement specifying the justification for non-disclosure of the information for which confidential treatment is claimed. If the person states that the information comes within the exception in 5 U.S.C. 552(b)(4) for trade secrets and commercial or financial information, such person shall include a statement specifying why such information is privileged or confidential. If the person filing a document does not submit a second copy of the document with the confidential information deleted, the DOE or a State Office may assume that there is no objection to public disclosure of the document in its entirety.
              (2) The DOE or a State Office retains the right to make its own determination with regard to any claim of confidentiality. Notice of the decision by the DOE or a State Office to deny such claim, in whole or in part, and an opportunity to respond shall be given to a person claiming confidentiality of information no less than five days prior to its public disclosure.
              (g) Separate applications, petitions or requests. Each application, petition or request for DOE action shall be submitted as a separate document, even if the applications, petitions, or requests deal with the same or a related issue, act or transaction, or are submitted in connection with the same proceeding.

              § 205.10
              Effective date of orders.
              Any order issued by the DOE or a State Office under this chapter is effective as against all persons having actual notice thereof upon issuance, in accordance with its terms, unless and until it is stayed, modified, suspended, or rescinded. An order is deemed to be issued on the date, as specified in the order, on which it is signed by an authorized representative of the DOE or a State Office, unless the order provides otherwise.

              § 205.11
              Order of precedence.
              (a) If there is any conflict or inconsistency between the provisions of this part and any other provision of this chapter, the provisions of this part shall control with respect to procedure.
              (b) Notwithstanding paragraph (a) of this section, subpart I of part 212 of this chapter shall control with respect to prenotification and reporting and subpart J of part 212 of this chapter shall control with respect to accounting and financial reporting requirements.

              § 205.12
              Addresses for filing documents with the DOE.
              (a) All applications, requests, petitions, appeals, reports, DOE or FEO forms, written communications and other documents to be submitted to or filed with the DOE National Office in accordance with this chapter shall be addressed as provided in this section. The DOE National Office has facilities for the receipt of transmissions via TWX and FAX. The FAX is a 3M full duplex 4 or 6 minute (automatic) machine.

                  FAX Numbers
                  TWX Numbers

                  (202) 254-6175
                  (701) 822-9454

                  (202) 254-6461
                  (701) 822-9459

              (1) Documents for which a specific address and/or code number is not provided in accordance with paragraphs (a)(2) through (7) of this section, shall be addressed as follows: Department of Energy, Attn: (name of person to receive document, if known, or subject), Washington, DC 20461.
              (2) Documents to be filed with the Office of Exceptions and Appeals, as provided in this part or otherwise, shall be addressed as follows. Office of Exceptions and Appeals, Department of Energy, Attn: (name of person to receive document, if known, and/or labeling as specified in § 205.9(c)), Washington, DC 20461.
              (3) Documents to be filed with the Office of General Counsel, as provided in this part or otherwise, shall be addressed as follows: Office of the General Counsel, U.S. Department of Energy, Attn: (name of person to receive document, if known, and labeling as specified in § 205.9(c)), 1000 Independence Avenue, Washington, DC 20585.
              (4) Documents to be filed with the Office of Private Grievances and Redress, as provided in this part or otherwise, shall be addressed as follows: Office of Private Grievances and Redress, Department of Energy, Attn: (name of person to receive document, if known and/or labeling as specified in § 205.9(c)), Washington, DC 20461.

              (5) All other documents filed, except those concerning price (see paragraph (a)(6) of this section), those designated as DOE or FEO forms (see paragraph (a)(7) of this section), and “Surplus Product Reports” (see paragraph (a)(8) of this section), but including those pertaining to compliance and allocation (adjustment and assignment) of allocated products, are to be identified by one of the code numbers stated below and addressed as follows: Department of Energy, Code__, labeling as specified in § 205.9(c), Washington, DC 20461.

                Code Numbers

                  Code

                  Product:

                  Crude oil
                  10

                  Naphtha and gas oil
                  15

                  Propane, butane and natural gasoline
                  25

                  Other products
                  30

                  Bunker fuel
                  40

                  Residual fuel (nonutility)
                  50

                  Motor gasoline
                  60

                  Middle distillates
                  70

                  Aviation fuels
                  80

                  Submissions by specific entities:

                  Electric utilities
                  45

                  Department of Defense
                  55

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

                Region 1
                Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, Vermont; Regional Office, Department of Energy, 150 Causeway Street, Boston, Massachusetts 02114.
                Region 2
                New Jersey, New York, Puerto Rico, Virgin Islands; Regional Office, Department of Energy, 26 Federal Plaza, New York, New York 10007.
                Region 3
                Delaware, District of Columbia, Maryland, Pennsylvania, Virginia, West Virginia; Regional Office, Department of Energy, Federal Office Building, 1421 Cherry Street, Philadelphia, Pennsylvania 19102.
                Region 4
                Alabama, Canal Zone, Florida, Georgia, Kentucky, Mississippi, North Carolina, South Carolina; Regional Office, Department of Energy, 1655 Peachtree Street NW., Atlanta, Georgia 30309.
                Region 5
                Illinois, Indiana, Michigan, Minnesota, Ohio, Wisconsin; Regional Office, Department of Energy, 175 West Jackson Street, Chicago, Illinois 60604.
                Region 6
                Arkansas, Louisiana, New Mexico, Oklahoma, Texas; Regional Office, Department of Energy, 212 North Saint Paul Street, Dallas, Texas 75201.
                Region 7
                Iowa, Kansas, Missouri, Nebraska; Regional Office, Department of Energy, Federal Office Building, P.O. Box 15000, 112 East 12th Street, Kansas City, Missouri 64106.
                Region 8
                Colorado, Montana, North Dakota, South Dakota, Utah, Wyoming; Regional Office, Department of Energy, Post Office Box 26247, Belmar Branch, Denver, Colorado 80226.
                Region 9

                American Samoa, Arizona, California, Guam, Hawaii, Nevada, Trust Territory of the Pacific Islands; Regional Office, Department of Energy, 111 Pine Street, San Francisco, California 94111.
                Region 10
                Alaska, Idaho, Oregon, Washington; Regional Office, Department of Energy, Federal Office Building, 909 First Avenue, Room 3098, Seattle, Washington 98104.

              (Emergency Petroleum Allocation Act of 1973, 15 U.S.C. 751 et seq., Pub. L. 93-159, as amended, Pub. L. 93-511, Pub. L. 94-99, Pub. L. 94-133, Pub. L. 94-163, and Pub. L. 94-385; Federal Energy Administration Act of 1974, 15 U.S.C. 787 et seq., Pub. L. 93-275, as amended, Pub. L. 94-332, Pub. L. 94-385, Pub. L. 95-70, and Pub. L. 95-91; Energy Policy and Conservation Act, 42 U.S.C. 6201 et seq., Pub. L. 94-163, as amended, Pub. L. 94-385, and Pub. L. 95-70; Department of Energy Organization Act, 42 U.S.C. 7101 et seq., Pub. L. 95-91; E.O. 11790, 39 FR 23185; E.O. 12009, 42 FR 46267)
              [39 FR 35489, Oct. 1, 1974, as amended at 40 FR 36555, Aug. 21, 1975; 45 FR 37684, June 4, 1980]

              § 205.13
              Where to file.
              (a) Except as otherwise specifically provided in other subparts of this part, all documents to be filed with the ERA pursuant to this part shall be filed with the appropriate ERA Regional Office (unless otherwise specified in part 211 of this chapter), except that all documents shall be filed with the ERA National Office that relate to:
              (1) The allocation and pricing of crude oil pursuant to subpart C of part 211 and part 212 of this chapter;
              (2) Refinery yield controls pursuant to subpart C of part 211 of this chapter;
              (3) The pricing of propane, butane and natural gasoline pursuant to part 212 of this chapter and the allocation of butane and natural gasoline pursuant to part 211 of this chapter;
              (4) The allocation and pricing of middle distillate fuels pursuant to subpart G of part 211 and part 212 of this chapter, filed by electric utilities;
              (5) The allocation and pricing of aviation fuel pursuant to subpart H of part 211 and part 212 of this chapter, filed by civil air carriers (except air taxi/commercial operators);
              (6) The allocation and pricing of residual fuel oil pursuant to subpart I of part 211 and part 212 of this chapter, filed by electric utilities;
              (7) The allocation and pricing of naphtha and gas oil pursuant to subpart J of part 211 and part 212 of this chapter;
              (8) The allocation and pricing of other products pursuant to subpart K of part 211 and part 212 of this chapter;
              (9) An application for an exemption under subpart E of this part; requests for a rulemaking proceeding under subpart L of this part or for the issuance of a ruling under subpart K of this part; and petitions to the Office of Private Grievances and Redress under subpart R of this part;
              (10) The pricing of products pursuant to part 212 of this chapter, filed by a refiner; and
              (11) The allocation of crude oil and other allocated products to meet Department of Defense needs pursuant to part 211 of this chapter.
              (12) The allocation of crude oil and other allocated products to be utilized as feedstock in a synthetic natural gas plant, pursuant to § 211.29.
              (13) Allocations, fee-paid and fee-exempt licenses issued pursuant to part 213 of this chapter.
              (b) Applications by end-users and wholesale purchasers for an allocation under the state set-aside system in accordance with § 211.17 shall be filed with the appropriate State Office.
              (c) Applications to a State Office or a DOE Regional Office shall be directed to the office located in the state or region in which the allocated product will be physically delivered. An applicant doing business in more than one state or region must apply separately to each State or region in which a product will be physically delivered, unless the State Offices or Regional Offices involved agree otherwise.
              [39 FR 35489, Oct. 1, 1974, as amended at 39 FR 36571, Oct. 11, 1974; 39 FR 39022, Nov. 5, 1974; 40 FR 28446, July 7, 1975; 40 FR 36555, Aug. 21, 1975; 44 FR 60648, Oct. 19, 1979]

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

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

              § 205.15
              Public docket room.
              There shall be established at the DOE National Office, 12th and Pennsylvania Avenue, NW., Washington, DC, a public docket room in which shall be made available for public inspection and copying:
              (a) A list of all persons who have applied for an exception, an exemption, or an appeal, and a digest of each application;
              (b) Each decision and statement setting forth the relevant facts and legal basis of an order, with confidential information deleted, issued in response to an application for an exception or exemption or at the conclusion of an appeal;
              (c) The comments received during each rulemaking proceeding, with a verbatim transcript of the public hearing if such a public hearing was held; and
              (d) Any other information required by statute to be made available for public inspection and copying, and any information that the DOE determines should be made available to the public.

            Subparts B-E [Reserved]

            Subpart F—Interpretation

              § 205.80
              Purpose and scope.
              (a) This subpart establishes the procedures for the filing of a formal request for an interpretation and for the consideration of such request. Responses, which may include verbal or written responses to general inquiries or to other than formal written requests for interpretation filed with the General Counsel or his delegate or a Regional Counsel, are not interpretations and merely provide general information.
              (b) A request for interpretation that includes, or could be construed to include an application for an exception or an exemption may be treated solely as a request for interpretation and processed as such.
              (Emergency Petroleum Allocation Act of 1973, Pub. L. 93-159, as amended, Pub. L. 93-511, Pub. L. 94-99, Pub. L. 94-133, Pub. L. 94-163, and Pub. L. 94-385, Federal Energy Administration Act of 1974, Pub. L. 93-275, as amended, Pub. L. 94-385, Energy Policy and Conservation Act, Pub. L. 94-163, as amended, Pub. L. 94-385; E.O. 11790, 39 FR 23185; Department of Energy Organization Act, Pub. L. 95-91; E.O. 12009, 42 FR 46267)
              [39 FR 35489, Oct. 1, 1974, as amended at 43 FR 14437, Apr. 6, 1978]

              § 205.81
              What to file.
              (a) A person filing under this subpart shall file a “Request for Interpretation,” which should be clearly labeled as such both on the request and on the outside of the envelope in which the request is transmitted, and shall be in writing and signed by the person filing the request. The person filing the request shall comply with the general filing requirements stated in § 205.9 in addition to the requirements stated in this subpart.
              (b) If the person filing the request wishes to claim confidential treatment for any information contained in the request or other documents submitted under this subpart, the procedures set out in § 205.9(f) shall apply.

              § 205.82
              Where to file.
              A request for interpretation shall be filed with the General Counsel or his delegate or with the appropriate Regional Counsel at the address provided in § 205.12.
              (Emergency Petroleum Allocation Act of 1973, Pub. L. 93-159, as amended, Pub. L. 93-511, Pub. L. 94-99, Pub. L. 94-133, Pub. L. 94-163, and Pub. L. 94-385; Federal Energy Administration Act of 1974, Pub. L. 93-275, as amended, Pub. L. 94-385; Energy Policy and Conservation Act, Pub. L. 94-163, as amended, Pub. L. 94-385; E.O. 11790, 39 FR 23185; Department of Energy Organization Act, Pub. L. 95-91; E.O. 12009, 42 FR 46267)
              [39 FR 35489, Oct. 1, 1974, as amended at 43 FR 14437, Apr. 6, 1978; 43 FR 17803, Apr. 26, 1978]

              § 205.83
              Contents.

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

              § 205.84
              DOE evaluation.
              (a) Processing. (1) The DOE may initiate an investigation of any statement in a request and utilize in its evaluation any relevant facts obtained by such investigation. The DOE may accept submissions from third persons relevant to any request for interpretation provided that the person making the request is afforded an opportunity to respond to all third person submissions. In evaluating a request for interpretation, the DOE may consider any other source of information. The DOE on its own initiative may convene a conference, if, in its discretion, it considers that such conference will advance its evaluation of the request.
              (2) The DOE shall issue its interpretation on the basis of the information provided in the request, unless that information is supplemented by other information brought to the attention of the General Counsel or a Regional Counsel during the proceeding. The interpretation shall, therefore, depend for its authority on the accuracy of the factual statement and may be relied upon only to the extent that the facts of the actual situation correspond to those upon which the interpretation was based.
              (3) If the DOE determines that there is insufficient information upon which to base a decision and if upon request additional information is not submitted by the person requesting the interpretation, the DOE may refuse to issue an interpretation.
              (b) Criteria. (1) The DOE shall base an interpretation on the FEA and EPAA and the regulations and published rulings of the DOE as applied to the specific factual situation.
              (2) The DOE shall take into consideration previously issued interpretations dealing with the same or a related issue.

              § 205.85
              Decision and effect.
              (a) An interpretation may be issued after consideration of the request for interpretation and other relevant information received or obtained during the proceeding.
              (b) The interpretation shall contain a statement of the information upon which it is based and a legal analysis of and conclusions regarding the application of rulings, regulations and other precedent to the situation presented in the request.
              (c) Only those persons to whom an interpretation is specifically addressed and other persons upon whom the DOE serves the interpretation and who are directly involved in the same transaction or act may rely upon it. No person entitled to rely upon an interpretation shall be subject to civil or criminal penalties stated in subpart P of this part for any act taken in reliance upon the interpretation, notwithstanding that the interpretation shall thereafter be declared by judicial or other competent authority to be invalid.
              (d) An interpretation may be rescinded or modified at any time. Rescission or modification may be effected by notifying persons entitled to rely on the interpretation that it is rescinded or modified. This notification shall include a statement of the reasons for the recision or modification and, in the case of a modification, a restatement of the interpretation as modified.

              (e) An interpretation is modified by a subsequent amendment to the regulations or ruling to the extent that it is inconsistent with the amended regulation or ruling.

              (f)(1) Any person aggrieved by an interpretation may submit a petition for reconsideration to the General Counsel within 30 days of service of the interpretation from which the reconsideration is sought. There has not been an exhaustion of administrative remedies until a period of 30 days from the date of service of the interpretation has elapsed without receipt by the General Counsel of a petition for reconsideration or, if a petition for reconsideration of the interpretation has been filed in a timely manner, until that petition has been acted on by the General Counsel. However, a petition to which the General Counsel does not respond within 60 days of the date of receipt thereof, or within such extended time as the General Counsel may prescribe by written notice to the petitioner concerned within that 60 day period, shall be considered denied.
              (2) A petition for reconsideration may be summarily denied if—
              (i) It is not filed in a timely manner, unless good cause is shown; or
              (ii) It is defective on its face for failure to state, and to present facts and legal argument in support thereof, that the interpretation was erroneous in fact or in law, or that it was arbitrary or capricious.
              (3) The General Counsel may deny any petition for reconsideration if the petitioner does not establish that—
              (i) The petition was filed by a person aggrieved by an interpretation;
              (ii) The interpretation was erroneous in fact or in law; or
              (iii) The interpretation was arbitrary or capricious. The denial of a petition shall be a final order of which the petitioner may seek judicial review.
              (Emergency Petroleum Allocation Act of 1973, Pub. L. 93-159, as amended, Pub. L. 93-511, Pub. L. 94-99, Pub. L. 94-133, Pub. L. 94-163, and Pub. L. 94-385, Federal Energy Administration Act of 1974, Pub. L. 93-275, as amended, Pub. L. 94-385, Energy Policy and Conservation Act, Pub. L. 94-163, as amended, Pub. L. 94-385; E.O. 11790, 39 FR 23185; Department of Energy Organization Act, Pub. L. 95-91; E.O. 12009, 42 FR 46267)
              [39 FR 35489, Oct. 1, 1974, as amended at 43 FR 14437, Apr. 6, 1978]

              § 205.86
              Appeal.
              There is no administrative appeal of an interpretation.
              (Emergency Petroleum Allocation Act of 1973, Pub. L. 93-159, as amended, Pub. L. 93-511, Pub. L. 94-99, Pub. L. 94-133, Pub. L. 94-163, and Pub. L. 94-385, Federal Energy Administration Act of 1974, Pub. L. 93-275, as amended, Pub. L. 94-385, Energy Policy and Conservation Act, Pub. L. 94-163, as amended, Pub. L. 94-385; E.O. 11790, 39 FR 23185; Department of Energy Organization Act, Pub. L. 95-91; E.O. 12009, 42 FR 46267)
              [43 FR 14437, Apr. 6, 1978]

            Subparts G-J [Reserved]

            Subpart K—Rulings

              § 205.150
              Purpose and scope.

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

              § 205.151
              Criteria for issuance.
              (a) A ruling may be issued, in the discretion of the General Counsel, whenever there have been a substantial number of inquiries with regard to similar factual situations or a particular section of the regulations.
              (b) The General Counsel may issue a ruling whenever it is determined that it will be of assistance to the public in applying the regulations to a specific situation.

              § 205.152
              Modification or rescission.
              (a) A ruling may be modified or rescinded by:

              (1) Publication of the modification or rescission in the Federal Register; or
              (2) A rulemaking proceeding in accordance with subpart L of this part.

              (b) Unless and until a ruling is modified or rescinded as provided in paragraph (a) of this section, no person shall be subject to the sanctions or penalties stated in subpart P of this part for actions taken in reliance upon the ruling, notwithstanding that the ruling shall thereafter be declared by judicial or other competent authority to be invalid. Upon such declaration, no person shall be entitled to rely upon the ruling.

              § 205.153
              Comments.
              A written comment on or objection to a published ruling may be filed at any time with the General Counsel at the address specified in § 205.12.

              § 205.154
              Appeal.
              There is no administrative appeal of a ruling.

            Subpart L [Reserved]

            Subpart M—Conferences, Hearings, and Public Hearings

              § 205.170
              Purpose and scope.
              This subpart establishes the procedures for requesting and conducting a DOE conference, hearing, or public hearing. Such proceedings shall be convened in the discretion of the DOE, consistent with the requirements of the FEAA.

              § 205.171
              Conferences.
              (a) The DOE in its discretion may direct that a conference be convened, on its own initiative or upon request by a person, when it appears that such conference will materially advance the proceeding. The determination as to who may attend a conference convened under this subpart shall be in the discretion of the DOE, but a conference will usually not be open to the public.
              (b) A conference may be requested in connection with any proceeding of the DOE by any person who might be aggrieved by that proceeding. The request may be made in writing or verbally, but must include a specific showing as to why such conference will materially advance the proceeding. The request shall be addressed to the DOE office that is conducting the proceeding.
              (c) A conference may only be convened after actual notice of the time, place, and nature of the conference is provided to the person who requested the conference.
              (d) When a conference is convened in accordance with this section, each person may present views as to the issue or issues involved. Documentary evidence may be presented at the conference, but will be treated as if submitted in the regular course of the proceedings. A transcript of the conference will not usually be prepared. However, the DOE in its discretion may have a verbatim transcript prepared.
              (e) Because a conference is solely for the exchange of views incident to a proceeding, there will be no formal reports or findings unless the DOE in its discretion determines that such would be advisable.

              § 205.172
              Hearings.
              (a) The DOE in its discretion may direct that a hearing be convened on its own initiative or upon request by a person, when it appears that such hearing will materially advance the proceedings. The determination as to who may attend a hearing convened under this subpart shall be in the discretion of DOE, but a hearing will usually not be open to the public. Where the hearing involves a matter arising under part 213, the Director of Oil Imports shall be notified as to its time and place, in order that he or his representative may present views as to the issue or issues involved.
              (b) A hearing may only be requested in connection with an application for an exception or an appeal. Such request may be by the applicant, appellant, or any other person who might be aggrieved by the DOE action sought. The request shall be in writing and shall include a specific showing as to why such hearing will materially advance the proceeding. The request shall be addressed to the DOE office that is considering the application for an exception or the appeal.
              (c) The DOE will designate an agency official to conduct the hearing, and will specify the time and place for the hearing.

              (d) A hearing may only be convened after actual notice of the time, place, and nature of the hearing is provided both to the applicant or appellant and to any other person readily identifiable by the DOE as one who will be aggrieved by the DOE action involved. The notice shall include, as appropriate:

              (1) A statement that such person may participate in the hearing; or
              (2) A statement that such person may request a separate conference or hearing regarding the application or appeal.
              (e) When a hearing is convened in accordance with this section, each person may present views as to the issue or issues involved. Documentary evidence may be presented at the hearing, but will be treated as if submitted in the regular course of the proceedings. A transcript of the hearing will not usually be prepared. However, the DOE in its discretion may have a verbatim transcript prepared.
              (f) The official conducting the hearing may administer oaths and affirmations, rule on the presentation of information, receive relevant information, dispose of procedural requests, determine the format of the hearing, and otherwise regulate the course of the hearing.
              (g) Because a hearing is solely for the exchange of views incident to a proceeding, there will be no formal reports or findings unless the DOE in its discretion determines that such would be advisable.
              [39 FR 35489, Oct. 1, 1974, as amended at 40 FR 36557, Aug. 21, 1975]

              § 205.173
              Public hearings.
              (a) A public hearing shall be convened incident to a rulemaking:
              (1) When the proposed rule or regulation is likely to have a substantial impact on the Nation's economy or large numbers of individuals or businesses; or
              (2) When the DOE determines that a public hearing would materially advance the consideration of the issue. A public hearing may be requested by any interested person in connection with a rulemaking proceeding, but shall only be convened on the initiative of the DOE unless otherwise required by statute.
              (b) A public hearing may be convened incident to any proceeding when the DOE in its discretion determines that such public hearing would materially advance the consideration of the issue.

              (c) A public hearing may only be convened after publication of a notice in the Federal Register, which shall include a statement of the time, place, and nature of the public hearing.

              (d) Interested persons may file a request to participate in the public hearing in accordance with the instructions in the notice published in the Federal Register. The request shall be in writing and signed by the person making the request. It shall include a description of the person's interest in the issue or issues involved and of the anticipated content of the presentation. It shall also contain a statement explaining why the person would be an appropriate spokesperson for the particular view expressed.
              (e) The DOE shall appoint a presiding officer to conduct the public hearing. An agenda shall be prepared that shall provide, to the extent practicable, for the presentation of all relevant views by competent spokespersons.
              (f) A verbatim transcript shall be made of the hearing. The transcript, together with any written comments submitted in the course of the proceeding, shall be made available for public inspection and copying in the public docket room, as provided in § 205.15.
              (g) The information presented at the public hearing, together with the written comments submitted and other relevant information developed during the course of the proceeding, shall provide the basis for the DOE decision.

            Subpart N [Reserved]

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

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

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

              § 205.190
              Purpose and scope.
              (a) This subpart establishes the procedures for determining the nature and extent of violations of the DOE regulations in parts 210, 211, and 212 and the procedures for issuance of a Notice of Probable Violation, a Proposed Remedial Order, a Remedial Order, an Interim Remedial Order for Immediate Compliance, a Remedial Order for Immediate Compliance, a Notice of Probable Disallowance, a Proposed Order of Disallowance, an Order of Disallowance, or a Consent Order. Nothing in these regulations shall affect the authority of DOE enforcement officials in coordination with the Department of Justice to initiate appropriate civil or criminal enforcement actions in court at any time.
              (b) When any report required by the ERA or any audit or investigation discloses, or the ERA otherwise discovers, that there is reason to believe a violation of any provision of this chapter, or any order issued thereunder, has occurred, is continuing or is about to occur, the ERA may conduct an inquiry to determine the nature and extent of the violation. A Remedial Order or Order of Disallowance may be issued thereafter by the Office of Hearings and Appeals. The ERA may commence enforcement proceedings by serving a Notice of Probable Violation, a Notice of Probable Disallowance, a Proposed Remedial Order, a Proposed Order of Disallowance, or an Interim Remedial Order for Immediate Compliance.

              § 205.191
              [Reserved]

              § 205.192
              Proposed remedial order.
              (a) If the ERA finds, after the 30-day or other period authorized for reply to the Notice of Probable Violation, that a violation has occurred, is continuing, or is about to occur, it may issue a Proposed Remedial Order, which shall set forth the relevant facts and law.
              (b) The ERA may issue a Proposed Remedial Order at any time it finds that a violation has occurred, is continuing, or is about to occur even if it has not previously issued a Notice of Probable Violation.

              (c) The ERA shall serve a copy of the Proposed Remedial Order upon the person to whom it is directed. The ERA shall promptly publish a notice in the Federal Register which states the person to whom the Proposed Remedial Order is directed, his address, and the products, dollar amounts, time period, and geographical area specified in the Proposed Remedial Order. The notice shall indicate that a copy of the Proposed Remedial Order with confidential information, if any, deleted may be obtained from the ERA and that within 15 days after the date of publication any aggrieved person may file a Notice of Objection with the Office of Hearings and Appeals of accordance with § 205.193. The ERA shall mail copies of the Federal Register notice to all readily identifiable persons who are likely to be aggrieved by issuance of the Proposed Remedial Order as a final order.
              (d) The Proposed Remedial Order shall set forth the proposed findings of fact and conclusions of law upon which it is based. It shall also include a discussion of the relevant authorities which support the position asserted, including rules, regulations, rulings, interpretations and previous decisions issued by DOE or its predecessor agencies. The Proposed Remedial Order shall be accompanied by a declaration executed by the DOE employee primarily knowledgeable about the facts of the case stating that, to the best of declarant's knowledge and belief, the findings of fact are correct.
              (e) The ERA may amend or withdraw a Proposed Remedial Order at its discretion prior to the date of service of a Statement of Objections in that proceeding. The date of service of the amended documents shall be considered the date of service of the Proposed Remedial Order in calculating the time periods specified in this part 205.

              § 205.192A
              Burden of proof.

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

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

              § 205.193
              Notice of Objection.

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

              § 205.193A
              Submission of ERA supplemental information.
              Within 20 days after service of a Notice of Objection to a Proposed Remedial Order the ERA may serve, upon the person to whom the Proposed Remedial Order was directed, supplemental information relating to the calculations and determinations which support the findings of fact set forth in the Proposed Remedial Order.

              § 205.194
              Participants; official service list.

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

              (2) A detailed description of the person's interest in the proceeding;

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

              § 205.195
              Filing and service of all submissions.
              (a)(1) Statements of Objections, Responses to such Statements, and any motions or other documents filed in connection with a proceeding shall meet the requirements of § 205.9 and shall be filed with the Office of Hearings and Appeals in accordance with § 205.4. Unless otherwise specified, any participant may file a response to a motion within five days of service.
              (2) All documents shall be filed in duplicate, unless they contain confidential information, in which case they must be filed in triplicate.
              (3) If a person claims that any portion of a document which he is filing contains confidential information, such information should be deleted from two of the three copies which are filed. One copy from which confidential information has been deleted will be placed in the Office of Hearings and Appeals Public Docket Room.
              (b)(1) Persons other than DOE offices shall on the date a submission is filed serve each person on the official service list. Service shall be made in accordance with § 205.7 and may also be made by deposit in the regular United States mail, properly stamped and addressed, when accompanied by proof of service consisting of a certificate of counsel or an affidavit of the person making the service. If any filing arguably contains confidential information, a person may serve copies with the confidential information deleted upon all persons on the official service list except DOE offices, which shall be served both an original filing and one with deletions.

              (2) A DOE office shall on the date it files a submission serve all persons on the official service list, unless the filing arguably contains confidential information. In that case the DOE office shall notify the person to whom the information relates of the opportunity to identify and delete the confidential information. The DOE Office may delay the service of a submission containing arguably confidential information upon all persons other than the possessor of the confidential information and other DOE offices up to 14 days. The possessor of the confidential information shall serve the filing with any deletions upon all persons on the official service list within such time period.
              (c) Any filing made under this section shall include a certification of compliance by the filer with the provisions of this subpart. The person serving a document shall file a certificate of service, which includes the date and manner of service for each person on the official service list.

              § 205.196
              Statement of objections.
              (a) A person who has filed a Notice of Objection shall file a Statement of Objections to a Proposed Remedial Order within 40 days after service of the Notice of Objection. A request for an extension of time for filing must be submitted in writing and may be granted for good cause shown.
              (b) The Statement of Objections shall set forth the bases for the objections to the issuance of the Proposed Remedial Order as a final order, including a specification of the issues of fact or law which the person intends to contest in any further proceeding involving the compliance matter which is the subject of the Proposed Remedial Order. The Statement shall set forth the findings of fact contained in the Proposed Remedial Order which are alleged to be erroneous, the factual basis for such allegations, and any alternative findings which are sought. The Statement shall include a discussion of all relevant authorities which support the position asserted. The Statement may include additional factual representations which are not referred to in the Proposed Remedial Order and which the person contends are material and relevant to the compliance proceeding. For each additional factual representation which the person asserts should be made, the Statement shall include reasons why the factual representation is relevant and material, and the manner in which its validity is or will be established. The person shall also specify the manner in which each additional issue of fact was raised in any prior administrative proceeding which led to issuance of the Proposed Remedial Order, or the reasons why it was not raised.
              (c) A Statement of Objections that is filed by the person to whom a Proposed Remedial Order is directed shall include a copy of any relevant Notice of Probable Violation, each Response thereto, the Proposed Remedial Order, and any relevant work papers or supplemental information previously provided by ERA. Copies of this material must also be included with the copy of the Statement of Objections served upon the DOE Assistant General Counsel for Administrative Litigation. All other persons on the official service list must be notified that such materials are available from the notifier upon written request.

              § 205.197
              Response to statement of objections; reply.
              (a) Within 30 days after service of a Statement of Objections each participant may file a Response. If any motions are served with the Statement of Objections, a participant shall have 30 days from the date of service to respond to such submissions, notwithstanding any shorter time periods otherwise required in this subpart. The Response shall contain a full discussion of the position asserted and a discussion of the legal and factual bases which support that position. The Response may also contain a request that any issue of fact or law advanced in a Statement of Objections be dismissed. Any such request shall be accompanied by a full discussion of the reasons supporting the dismissal.
              (b) A participant may submit a Reply to any Response within 10 days after the date of service of the Response.

              § 205.198
              Discovery.

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

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

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

              § 205.199
              Evidentiary hearing.
              (a) Filing Requirements. At the time a person files a Statement of Objections he may also file a motion requesting an evidentiary hearing be convened. A motion requesting an evidentiary hearing may be filed by any other participant within 30 days after that participant is served with a Statement of Objections.
              (b) Contents of Motion for Evidentiary Hearing. A Motion for Evidentiary Hearing shall specify each disputed issue of fact and the bases for the alternative findings the movant asserts. The movant shall also describe the manner in which each disputed issue of fact was raised in any prior administrative proceeding which led to issuance of the Proposed Remedial Order, or why it was not raised. The movant shall with respect to each disputed or alternative finding of fact:

              (1) As specifically as possible, identify the witnesses whose testimony is required;
              (2) State the reasons why the testimony of the witnesses is necessary; and
              (3) State the reasons why the asserted position can be effectively established only through the direct questioning of witnesses at an evidentiary hearing.
              (c) Response to Motion for Evidentiary Hearing. Within 20 days after service of any Motion for Evidentiary Hearing, the Office that issued the Proposed Remedial Order shall, and any other participant may file a Response with the Office of Hearings and Appeals. The Response shall specify:
              (1) Each particular factual representation which is accepted as correct for purposes of the proceeding;
              (2) Each particular factual representation which is denied;
              (3) Each particular factual representation which the participant is not in a position to accept or deny;
              (4) Each particular factual representation which is not accepted and the participant wishes proven by the submission of evidence;
              (5) Each particular factual representation which the participant is prepared to dispute through the testimony of witnesses or the submission of verified documents; and
              (6) Each particular factual representation which the participant asserts should be dismissed as immaterial or irrelevant.
              (d) Prehearing Conferences. After all submissions with respect to a Motion for Evidentiary Hearing are filed, the Office of Hearings and Appeals may conduct conferences or hearings to resolve differences of view among the participants.
              (e) Decision on Motion for Evidentiary Hearing. After considering all relevant information received in connection with the Motion, the Office of Hearings and Appeals shall enter an Order. In the Order the Office of Hearings and Appeals shall direct that an evidentiary hearing be convened if it concludes that a genuine dispute exists as to relevant and material issues of fact and an evidentiary hearing would substantially assist it in making findings of fact in an effective manner. If the Motion for Evidentiary Hearing is granted in whole or in part, the Order shall specify the parties to the hearing, any limitations on the participation of a party, and the issues of fact set forth for the evidentiary hearing. The Order may also require parties that have adopted similar positions to consolidate their presentations and to appear at the evidentiary hearing through a common representative. If the Motion is denied, the Order may allow the movant to file affidavits and other documents in support of his asserted findings of fact.
              (f) Review of Decision. The Order of the Office of Hearings and Appeals with respect to a Motion for Evidentiary Hearing shall be subject to further administrative review or appeal only upon issuance of the determination referred to in § 205.199B.
              (g) Conduct of Evidentiary Hearing. All evidentiary hearings convened pursuant to this section shall be conducted by the Director of the Office of Hearings and Appeals or his designee. At any evidentiary hearing the parties shall have the opportunity to present material evidence which directly relates to a particular issue of fact set forth for hearing. The presiding officer shall afford the parties an opportunity to cross examine all witnesses. The presiding officer may administer oaths and affirmations, rule on objections to the presentation of evidence, receive relevant material, rule on any motion to conform the Proposed Remedial Order to the evidence presented, rule on motions for continuance, dispose of procedural requests, determine the format of the hearing, modify any order granting a Motion for Evidentiary Hearing, direct that written motions or briefs be provided with respect to issues raised during the course of the hearing, issue subpoenas, and otherwise regulate the conduct of the hearing. The presiding officer may take reasonable measures to exclude duplicative material from the hearing, and may place appropriate limitations on the number of witnesses that may be called by a party. The presiding officer may also require that evidence be submitted through affidavits or other documents if the direct testimony of witnesses will unduly delay the orderly progress of the hearing and would not contribute to resolving the issues involved in the hearing. The provisions of § 205.8 which relate to subpoenas and witness fees shall apply to any evidentiary hearing, except that subsection § 205.8(h) (2), (3), and (4) shall not apply.

              § 205.199A
              Hearing for the purpose of oral argument only.
              (a) A participant is entitled upon timely request to a hearing to present oral argument with respect to the Proposed Remedial Order, whether or not an evidentiary hearing is requested or convened. A participant's request shall normally be considered untimely, if made more than 10 days after service of a determination regarding any motion filed by the requestor or, if no motions were filed by him, if made after the date for filing his Reply or his Response to a Statement of Objections.
              (b) If an evidentiary hearing is convened, and a hearing for oral argument is requested, the Office of Hearings and Appeals shall determine whether the hearing for oral argument shall be held in conjunction with the evidentiary hearing or at a separate time.
              (c) A hearing for the purpose of receiving oral argument will generally be conducted only after the issues involved in the proceeding have been delineated, and any written material which the Office of Hearings and Appeals has requested to supplement a Statement of Objections or Responses has been submitted. The presiding officer may require further written submissions in support of any position advanced or issued at the hearing, and shall allow responses any such submissions.

              § 205.199B
              Remedial order.
              (a) After considering all information received during the proceeding, the Director of the Office of Hearings and Appeals or his designee may issue a final Remedial Order. The Remedial Order may adopt the findings and conclusions contained in the Proposed Remedial Order or may modify or rescind any such finding or conclusion to conform the Order to the evidence or on the basis of a determination that the finding or conclusion is erroneous in fact or law or is arbitrary or capricious. In the alternative, the Office of Hearings and Appeals may determine that no Remedial Order should be issued or may remand all or a portion of the Proposed Remedial Order to the issuing DOE office for further consideration or modification. Every determination made pursuant to this section shall state the relevant facts and legal bases supporting the determination.
              (b) The DOE shall serve a copy of any determination issued pursuant to paragraph (a) of this section upon the person to whom it is directed, any person who was served with a copy of the Proposed Remedial Order, the DOE office that issued the Proposed Remedial Order, the DOE Assistant General Counsel for Administrative Litigation and any other person on the official service list. Appropriate deletions may be made in the determinations to ensure that confidentiality of information protected from disclosure under 18 U.S.C. 1905 and 5 U.S.C. 552. A copy of the determination with appropriate deletions to protect confidential and proprietary data shall be placed in the Office of Hearings and Appeals Public Docket Room.

              § 205.199C
              Appeals of remedial order to FERC.
              (a) The person to whom a Remedial Order is issued by the Office of Hearings and Appeals may file an administrative appeal if the Remedial Order proceeding was initiated by a Notice of Probable Violation issued after October 1, 1977, or, in those situations in which no Notice of Probable Violation was issued, if the proceeding was initiated by a Proposed Remedial Order issued after October 1, 1977.
              (b) Any such appeal must be initiated within 30 days after service of the Order by giving written notice to the Office of Hearings and Appeals that the person to whom a Remedial Order is issued wishes to contest the Order.
              (c) The Office of Hearings and Appeals shall promptly advise the Federal Energy Regulatory Commission of its receipt of a notice described in paragraph (b) of this section.

              (d) The Office of Hearings and Appeals may, on a case by case basis, set reasonable time limits for the Federal Energy Regulatory Commission to complete its action on such an appeal proceeding.
              (e) In order to exhaust administrative remedies, a person who is entitled to appeal a Remedial Order issued by the Office of Hearings and Appeals must file a timely appeal and await a decision on the merits. Any Remedial Order that is not appealed within the 30-day period shall become effective as a final Order of the DOE and is not subject to review by any court.

              §§ 205.199D-205.199E
              [Reserved]

              § 205.199F
              Ex parte communications.
              (a) No person who is not employed or otherwise supervised by the Office of Hearings and Appeals shall submit ex parte communications to the Director or any person employed or otherwise supervised by the Office with respect to any matter involved in Remedial Order or Order of Disallowance proceedings.
              (1) Ex parte communications include any ex parte oral or written communications relative to the merits of a Proposed Remedial Order, Interim Remedial Order for Immediate Compliance, or Proposed Order of Disallowance proceeding pending before the Office of Hearings and Appeals. The term shall not, however, include requests for status reports, inquiries as to procedures, or the submission of proprietary or confidential information. Notice that proprietary or confidential submissions have been made shall be given to all persons on the official service list.
              (b) If any communication occurs that violates the provisions of this section, the Office of Hearings and Appeals shall promptly make the substance of the communication available to the public and serve a copy of a written communication or a memorandum summarizing an oral communication to all participants in the affected proceeding. The Office of Hearings and Appeals may also take any other appropriate action to mitigate the adverse impact to any person whose interest may be affected by the ex parte contact.

              § 205.199G
              Extension of time; Interim and Ancillary Orders.
              The Director of the Office of Hearings and Appeals or his designee may permit upon motion any document or submission referred to in this subpart other than appeals to FERC to be amended or withdrawn after it has been filed or to be filed within a time period different from that specified in this subpart. The Director or his designee may upon motion or on his own initiative issue any interim or ancillary Orders, reconsider any determinations, or make any rulings or determinations that are deemed necessary to ensure that the proceedings specified in this subpart are conducted in an appropriate manner and are not unduly delayed.

              § 205.199H
              Actions not subject to administrative appeal.
              A Notice of Probable Violation, Notice of Proposed Disallowance, Proposed Remedial Order or Interim Remedial Order for Immediate Compliance issued pursuant to this subpart shall not be an action from which there may be an administrative appeal pursuant to subpart H. In addition, a determination by the Office of Hearings and Appeals that a Remedial Order, an Order of Disallowance, or a Remedial Order for Immediate Compliance should not be issued shall not be appealable pursuant to subpart H.

              § 205.199I
              Remedies.

              (a) A Remedial Order, a Remedial Order for Immediate Compliance, an Order of Disallowance, or a Consent Order may require the person to whom it is directed to roll back prices, to make refunds equal to the amount (plus interest) charged in excess of those amounts permitted under DOE Regulations, to make appropriate compensation to third persons for administrative expenses of effectuating appropriate remedies, and to take such other action as the DOE determines is necessary to eliminate or to compensate for the effects of a violation or any cost disallowance pursuant to § 212.83 or § 212.84. Such action may include a direction to the person to whom the Order is issued to establish an escrow account or take other measures to make refunds directly to purchasers of the products involved, notwithstanding the fact that those purchasers obtained such products from an intermediate distributor of such person's products, and may require as part of the remedy that the person to whom the Order is issued maintain his prices at certain designated levels, notwithstanding the presence or absence of other regulatory controls on such person's prices. In cases where purchasers cannot be reasonably identified or paid or where the amount of each purchaser's overcharge is incapable of reasonable determination, the DOE may refund the amounts received in such cases directly to the Treasury of the United States on behalf of such purchasers.
              (b) The DOE may, when appropriate, issue final Orders ancillary to a Remedial Order, Remedial Order for Immediate Compliance, Order of Disallowance, or Consent Order requiring that a direct or indirect recipient of a refund pass through, by such means as the DOE deems appropriate, including those described in paragraph (a) of this section, all or a portion of the refund, on a pro rata basis, to those customers of the recipient who were adversely affected by the initial overcharge. Ancillary Orders may be appealed to the Office of Hearings and Appeals only pursuant to subpart H.

              § 205.199J
              Consent order.
              (a) Notwithstanding any other provision of this subpart, the DOE may at any time resolve an outstanding compliance investigation or proceeding, or a proceeding involving the disallowance of costs pursuant to § 205.199E with a Consent Order. A Consent Order must be signed by the person to whom it is issued, or a duly authorized representative, and must indicate agreement to the terms contained therein. A Consent Order need not constitute an admission by any person that DOE regulations have been violated, nor need it constitute a finding by the DOE that such person has violated DOE regulations. A Consent Order shall, however, set forth the relevant facts which form the basis for the Order.
              (b) A Consent Order is a final Order of the DOE having the same force and effect as a Remedial Order issued pursuant to § 205.199B or an Order of Disallowance issued pursuant to § 205.199E, and may require one or more of the remedies authorized by § 205.199I and § 212.84(d)(3). A Consent Order becomes effective no sooner than 30 days after publication under paragraph (c) of this section, unless (1) the DOE makes a Consent Order effective immediately, because it expressly deems it necessary in the public interest, or (2) the Consent Order involves a sum of less than $500,000 in the aggregate, excluding penalties and interest, in which case it will be effective when signed both by the person to whom it is issued and the DOE, and will not be subject to the provisions of paragraph (c) of this section unless the DOE determines otherwise. A Consent Order shall not be appealable pursuant to the provisions of § 205.199C or § 205.199D and subpart H, and shall contain an express waiver of such appeal or judicial review rights as might otherwise attach to a final Order of the DOE.

              (c) When a Consent Order has been signed, both by the person to whom it is issued and the DOE, the DOE will publish notice of such Consent Order in the Federal Register and in a press release to be issued simultaneously therewith. The Federal Register notice and the press release will state at a minimum the name of the company concerned, a brief summary of the Consent Order and other facts or allegations relevant thereto, the address and telephone number of the DOE office at which copies of the Consent Order will be available free of charge, the address to which comments on the Consent Order will be received by the DOE, and the date by which such comments should be submitted, which date will not be less than 30 days after publication of the Federal Register notice. After the expiration of the comment period the DOE may withdraw its agreement to the Consent Order, attempt to negotiate a modification of the Consent Order, or issue the Consent Order as signed. The DOE will publish in the Federal Register, and by press release, notice of any action taken on a Consent Order and such explanation of the action taken as deemed appropriate. The provisions of this paragraph shall be applicable notwithstanding the fact that a Consent Order may have been made immediately effective pursuant to paragraph (b) of this section (except in cases where the Consent Order involves sums of less than $500,000 in the aggregate, excluding penalties and interest).
              (d) At any time and in accordance with the procedures of subpart J, a Consent Order may be modified or rescinded, upon petition by the person to whom the Consent Order was issued, and may be rescinded by the DOE upon discovery of new evidence which is materially inconsistent with evidence upon which the DOE's acceptance of the Consent Order was based. Modifications of a Consent Order which is subject to public comment under the provisions of paragraph (c) of this section, which in the opinion of the DOE significantly change the terms or the impact of the original Order, shall be republished under the provisions of that paragraph.
              (e) Notwithstanding the issuance of a Consent Order, the DOE may seek civil or criminal penalties or compromise civil penalties pursuant to subpart P concerning matters encompassed by the Consent Order, unless the Consent Order by its terms expressly precludes the DOE from so doing.
              (f) If at any time after a Consent Order becomes effective it appears to the DOE that the terms of the Consent Order have been violated, the DOE may refer such violations to the Department of Justice for appropriate action in accordance with subpart P.

            Subparts P-T [Reserved]

            Subpart U—Procedures for Electricity Export Cases

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

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

              § 205.260
              Purpose and scope.
              (a) The purpose of this section is to state the procedures that will be followed by the Economic Regulatory Administration of the Department of Energy in electricity export adjudications.
              (b) Definitions. As used in this subpart—

                Administrator means the Administrator of the Economic Regulatory Administration.

                Decisional employees means the Administrator, presiding officers at adjudicatory hearings, and other employees of the Department, including consultants and contractors, who are, or may reasonably be expected to be, involved in the decision-making process, which includes advising the Administrator in resolving the issues in an adjudication. The term does not include those employees of the Department performing investigative or trial functions in an adjudication, unless they are specifically requested by the Administrator or his delegate to participate in the decision-making process.

                Department means the Department of Energy.

                Off-the-record communication means an ex parte communication, which is an oral or written communication relevant to the merits of an adjudication and not on the record and with respect to which reasonable prior notice to all participants and opportunity to be present at, or respond to, the communication is not given, but does not include a communication relating solely to procedures which are not relevant to the merits of the adjudication.

                Interested person means a person outside the Department whose interest in the adjudication goes beyond the general interest of the public as a whole and includes applicants, intervenors, competitors of applicants, non-profit and public interest organizations, and other individuals and organizations, including state, local and other public officials, with a proprietary, financial or other special interest in the outcome of the adjudication. The term does not include other federal agencies, unless an agency is a participant in the adjudication.

                Participant means any applicant or intervenor participating in the adjudication.

                Adjudication means a formal proceeding employing procedures identical or similar to those required by the Administrative Procedure Act, as codified in 5 U.S.C. 551, 556, and 557, to consider an application to export electricity.

                Reasonable prior notice means 7 days' written notice stating the nature and purpose of the communication.

                Relevant to the merits means a communication directly related to the merits of a specific adjudication but does not include general background discussions about an entire industry or communications of a general nature made in the course of developing agency policy for future general application.

              §§ 205.261-205.269
              [Reserved]

              § 205.270
              Off-the-record communications.
              (a) In any proceeding which is subject to this subpart—
              (1) No interested person shall make an off-the-record communication or knowingly cause an off-the-record communication to be made to any decisional employee.
              (2) No decisional employee shall make an off-the-record communication or knowingly cause an off-the-record communication to be made to any interested person.
              (3) A decisional employee who receives, makes, or knowingly causes to be made an oral communication prohibited by this section shall prepare a memorandum stating the substance of the communication and any responses made to it.
              (4) With 48 hours of receiving, making or knowingly causing to be made a communication prohibited by this section, a decisional employee shall deliver all written off-the-record communications and all memoranda prepared in compliance with paragraph (a)(3) of this section to the Director of the Coal and Electricity Division, ERA, who will immediately place the materials described above in the public record associated with the adjudication, available for public inspection.
              (5) Upon receipt of a communication knowingly made or knowingly caused to be made by a participant in violation of this section, the Administrator or presiding officer may, to the extent consistent with the interests of justice and the applicable statutory policy, require the participant to show cause why his or her claim or interest in the adjudication should not be dismissed, denied, disregarded, or otherwise adversely affected on account of the violation.
              (6) The prohibitions of this section shall apply beginning at the time an adjudication is noticed for hearing (or the person responsible for the communication acquires knowledge that it will be noticed), a protest is filed, or a petition or notice to intervene in opposition to the requested Department action is filed, whichever occurs first.
              (b) The prohibition, cited at 18 CFR 1.30(f), against participation in the decision-making process by Department employees who perform investigative or trial functions in an adjudication, shall no longer be applicable to ERA.

            Subpart V—Special Procedures for Distribution of Refunds

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

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

              § 205.280
              Purpose and scope.

              This subpart establishes special procedures pursuant to which refunds may be made to injured persons in order to remedy the effects of a violation of the regulations of the Department of Energy. This subpart shall be applicable to those situations in which the Department of Energy is unable to readily identify persons who are entitled to refunds specified in a Remedial Order, a Remedial Order for Immediate Compliance, an Order of Disallowance or a Consent Order, or to readily ascertain the amounts that such persons are entitled to receive.

              § 205.281
              Petition for implementation of special refund procedures.
              (a) At any time after the issuance of a Remedial Order (including for purposes of this subpart a Remedial Order for Immediate Compliance and an Order of Disallowance), or a Consent Order, the Special Counsel of the Department of Energy, the ERA Office of Enforcement, or any other enforcement official of the Department of Energy may file with the Office of Hearings and Appeals a Petition for the Implementation of Special Refund Procedures.
              (b) The Petition shall state that the person filing it has been unable readily either to identify the persons who are entitled to refunds to be remitted pursuant to a Remedial Order or a Consent Order or to ascertain the amounts of refunds that such persons are entitled to receive. The Petition shall request that the Office of Hearings and Appeals institute appropriate proceedings under this subpart to distribute the funds referred to in the enforcement documents.
              (c) The Petition shall contain a copy of each relevant enforcement document, shall be filed in duplicate, and shall meet the requirements of § 205.9 of this part.

              § 205.282
              Evaluation of petition by the Office of Hearings and Appeals.
              (a) After considering the Petition, the Director of the Office of Hearings and Appeals or his designee shall issue a Proposed Decision and Order. The Proposed Decision and Order shall generally describe the nature of the particular refund proceeding and shall set forth the standards and procedures that the Office of Hearings and Appeals intends to apply in evaluating refund claims.

              (b) The Proposed Decision and Order shall be published in the Federal Register together with a statement that any member of the public may submit written comments to the Office of Hearings and Appeals with respect to the matter. At least 30 days following publication in the Federal Register shall be provided for the submission of comments.

              (c) After considering the comments submitted, the Director of the Office of Hearings and Appeals or his designee shall issue a final Decision and Order which shall govern the disposition of the refunds. The final Decision and Order shall also be published in the Federal Register.

              (d) The final Decision and Order shall set forth the standards and procedures that will be used in evaluating individual Applications for Refunds and distributing the refund amount. Those standards and procedures shall be consistent with the provisions of this subpart.
              (e) In establishing standards and procedures for implementing refund distributions, the Office of Hearings and Appeals shall take into account the desirability of distributing the refunds in an efficient, effective and equitable manner and resolving to the maximum extent practicable all outstanding claims. In order to do so, the standards for evaluation of individual claims may be based upon appropriate presumptions.

              § 205.283
              Applications for refund.
              (a) Any person entitled to a refund pursuant to a final Decision and Order issued pursuant to § 205.282 may file an Application for Refund. All Applications must be signed by the applicant and specify the DOE order to which they pertain. Any Application for a refund in excess of $100 must be file in duplicate, and a copy of that Application will be available for public inspection in the DOE Public Docket Room at 2000 M Street, NW., Washington, DC. Any applicant who believes that his Application contains confidential information must so indicate on the first page of his Application and submit two additional copies of his Application from which the information that the applicant claims is confidential has been deleted, together with a statement specifying why any such information is privileged or confidential.

              (b) The contents of an Application for Refund shall be specified in the final Decision and Order referred to in § 205.282(c). A filing deadline for Applications shall also be specified in the final Decision and Order, and shall be no less than 90 days after the publication of the Order in the Federal Register.

              (c) Each Application shall be in writing and signed by the applicant, and shall indicate whether the applicant or any person acting on his instructions has filed or intends to file any other Application or claim of whatever nature regarding the matters at issue in the underlying enforcement proceeding. Each Application shall also include a sworn statement by the applicant that all information in his Application is true and correct to the best of his knowledge and belief.

              § 205.284
              Processing of applications.
              (a) The Director of the Office of Hearings and Appeals may appoint an administrator to evaluate Applications under guidelines established by the Office of Hearings and Appeals. The administrator, if he is not a Federal Government employee, may be compensated from the funds referred to in the Remedial Order or Consent Order. The administrator may design and distribute an optional application form for the convenience of the applicants.
              (b) The Office of Hearings and Appeals or its designee may initiate an investigation of any statement made in an Application and may require verification of any document submitted in support of a claim. In evaluating an Application, the Office of Hearings and Appeals or its designee may solicit and consider information obtained from any source and may on its own initiative convene a hearing or conference, if it determines that a hearing or conference will advance its evaluation of an Application.
              (c) The Director of the Office of Hearings and Appeals or his designee shall conduct any hearing or conference convened with respect to an Application for Refund and shall specify the time and place for the hearing or conference and notify the applicant. The official conducting the hearing may administer oaths and affirmations, rule on the presentation of information, receive relevant information, dispose of procedural requests, determine the format of the hearing and otherwise regulate the course of the hearing. The provisions of § 205.8 of this part which relate to subpoenas and witness fees shall apply to any hearing convened with respect to an application for refund, except that § 205.8(h) (2), (3) and (4) shall not apply.
              (d) Upon consideration of an Application and other relevant information received during the course of a refund proceeding, the Director of the Office of Hearings and Appeals or his designee shall issue an order granting or denying the Application. The order shall contain a concise statement of the relevant facts and the legal basis for the order. A copy of the order, with such modification as is necessary to ensure the confidentiality of information protected from public disclosure by 18 U.S.C. 1905, may be obtained upon request by an applicant or any other person who participated in the proceeding.

              § 205.285
              Effect of failure to file a timely application.
              An Application for Refund must be filed no later than the date that the Office of Hearings and Appeals establishes pursuant to § 205.283(b). Any Application that is not filed on a timely basis may be summarily dismissed. The Office of Hearings and Appeals or its designee may, however, grant extensions of time for good cause shown. Any request for an extension of time must generally be submitted in writing prior to the deadline.

              § 205.286
              Limitations on amount of refunds.

              (a) The aggregate amount of all refunds approved by the Office of Hearings and Appeals or its designee in a given case shall not exceed the amount to be remitted pursuant to the relevant DOE enforcement order, plus any accumulated interest, reduced by the amount of any administrative costs approved by the Office of Hearings and Appeals. In the event that the aggregate amount of approved claims exceeds the aggregate amount of funds specified above, the Office of Hearings and Appeals may make refunds on a pro rata basis. The Office of Hearings and Appeals may delay payment of any refunds until all Applications have been processed.
              (b) The Office of Hearings and Appeals may decline to consider Applications for refund amounts that, in view of the direct administrative costs involved, are too small to warrant individual consideration.

              § 205.287
              Escrow accounts, segregated funds and other guarantees.
              (a) In implementing the refund procedures specified in this subpart, the Director of the Office of Hearings and Appeals or his designee shall issue an order providing for the custody of the funds to be tendered pursuant to the Remedial Order or Consent Order. This Order may require placement of the funds in an appropriate interest-bearing escrow account, retention of the funds by the firm in a segregated account under such terms and conditions as are specified by the DOE, or the posting of a sufficient bond or other guarantee to ensure payment.
              (b) All costs and charges approved by the Office of Hearings and Appeals and incurred in connection with the processing of Applications for Refund or incurred by an escrow agent shall be paid from the amount of funds, including any accumulated interest, to be remitted pursuant to the Remedial Order or Consent Order.
              (c) After the expenses referred to in paragraph (b) of this section have been satisfied and refunds distributed to successful applicants, any remaining funds remitted pursuant to the Remedial Order or Consent Order shall be deposited in the United States Treasury or distributed in any other manner specified in the Decision and Order referred to in § 205.282(c).
              (d) Funds contained in an escrow account, segregated fund, or guaranteed by other approved means shall be disbursed only upon written order of the Office of Hearings and Appeals.

              § 205.288
              Interim and ancillary orders.
              The Director of the Office of Hearings and Appeals or his designee may issue any interim or ancillary orders, or make any rulings or determinations to ensure that refund proceedings, including the actions of the administrator and the custodian of the funds involved in a refund proceeding, are conducted in an appropriate manner and are not unduly delayed.

            Subpart W—Electric Power System Permits and Reports; Applications; Administrative Procedures and Sanctions; Grid Security Emergency Orders

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

              Authority:

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

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

              Application for Authorization to Transmit Electric Energy to a Foreign Country

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

                § 205.301
                Time of filing.

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

                § 205.302
                Contents of application.
                Every application shall contain the following information set forth in the order indicated below:
                (a) The exact legal name of the applicant.
                (b) The exact legal name of all partners.
                (c) The name, title, post office address, and telephone number of the person to whom correspondence in regard to the application shall be addressed.
                (d) The state or territory under the laws of which the applicant is organized or incorporated, or authorized to operate. If the applicant is authorized to operate in more than one state, all pertinent facts shall be included.
                (e) The name and address of any known Federal, State or local government agency which may have any jurisdiction over the action to be taken in this application and a brief description of that authority.
                (f) A description of the transmission facilities through which the electric energy will be delivered to the foreign country, including the name of the owners and the location of any remote facilities.
                (g) A technical discussion of the proposed electricity export's reliability, fuel use and system stability impact on the applicant's present and prospective electric power supply system. Applicant must explain why the proposed electricity export will not impair the sufficiency of electric supply on its system and why the export will not impede or tend to impede the regional coordination of electric utility planning or operation.
                (h) The original application shall be signed and verified under oath by an officer of the applicant having knowledge of the matters set forth therein.

                § 205.303
                Required exhibits.
                There shall be filed with the application and as a part thereof the following exhibits:
                (a) Exhibit A. A copy of the agreement or proposed agreement under which the electricity is to be transmitted including a listing of the terms and conditions. If this agreement contains proprietary information that should not be released to the general public, the applicant must identify such data and include a statement explaining why proprietary treatment is appropriate.
                (b) Exhibit B. A showing, including a signed opinion of counsel, that the proposed export of electricity is within the corporate power of the applicant, and that the applicant has complied or will comply with all pertinent Federal and State laws.
                (c) Exhibit C. A general map showing the applicant's overall electric system and a detailed map highlighting the location of the facilities or the proposed facilities to be used for the generation and transmission of the electric energy to be exported. The detailed map shall identify the location of the proposed border crossing point(s) or power transfer point(s) by Presidential Permit number whenever possible.
                (d) Exhibit D. If an applicant resides or has its principal office outside the United States, such applicant shall designate, by irrevocable power of attorney, an agent residing within the United States. A verified copy of such power of attorney shall be furnished with the application.
                (e) Exhibit E. A statement of any corporate relationship or existing contract between the applicant and any other person, corporation, or foreign government, which in any way relates to the control or fixing of rates for the purchase, sale or transmission of electric energy.
                (f) Exhibit F. An explanation of the methodology (Operating Procedures) to inform neighboring electric utilities in the United States of the available capacity and energy which may be in excess of the applicant's requirements before delivery of such capacity to the foreign purchaser. Approved firm export, diversity exchange and emergency exports are exempted from this requirement. Those materials required by this section which have been filed previously with the ERA may be incorporated by reference.

                § 205.304
                Other information.

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

                § 205.305
                Transferability.
                (a) An authorization to transmit electric energy from the United States to a foreign country granted by order of the ERA under section 202(e) of the Federal Power Act shall not be transferable or assignable. Provided written notice is given to the ERA within 30 days, the authorization may continue in effect temporarily in the event of the involuntary transfer of this authority by operation of law (including transfers to receivers, trustees, or purchasers under foreclosure or judicial sale). This continuance is contingent on the filing of an application for permanent authorization and may be effective until a decision is made thereon.
                (b) In the event of a proposed voluntary transfer of this authority to export electricity, the transferee and the transferor shall file jointly an application pursuant to this subsection, setting forth such information as required by §§ 205.300 through 205.304, together with a statement of reasons for the transfer.
                (c) The ERA may at any time subsequent to the original order of authorization, after opportunity for hearing, issue such supplemental orders as it may find necessary or appropriate.

                § 205.306
                Authorization not exclusive.
                No authorization granted pursuant to section 202(e) of the Act shall be deemed to prevent an authorization from being granted to any other person or entity to export electric energy or to prevent any other person or entity from making application for an export authorization.

                § 205.307
                Form and style; number of copies
                An original and two conformed copies of an application containing the information required under §§ 205.300 through 205.309 must be filed.

                § 205.308
                Filing schedule and annual reports.
                (a) Persons authorized to transmit electric energy from the United States shall promptly file all supplements, notices of succession in ownership or operation, notices of cancellation, and certificates of concurrence. In general, these documents should be filed at least 30 days prior to the effective date of any change.
                (b) A change in the tariff arrangement does not require an amendment to the authorization. However, any entity with an authorization to export electric energy shall file with the ERA, and the appropriate state regulatory agency, a certified copy of any changed rate schedule and terms. Such changes may take effect upon the date of filing of informational data with the ERA.
                (c) Persons receiving authorization to transmit electric energy from the United States shall submit to the ERA, by February 15 each year, a report covering each month of the preceding calendar year detailing the gross amount of kilowatt-hours of energy, by authorized category, received or delivered, and the cost and revenue associated with each category.
                (Approved by the Office of Management and Budget under Control No. 1901-0245)
                [45 FR 71560, Oct. 28, 1980, as amended at 46 FR 63209, Dec. 31, 1981]

                § 205.309
                Filing procedures and fees.
                Applications shall be addressed to the Office of Utility Systems of the Economic Regulatory Administration. Every application shall be accompanied by a fee of $500.00. Fee payment shall be by check, draft, or money order payable to the Treasurer of the United States. Copies of applications and notifications of rate changes shall be furnished to the Federal Energy Regulatory Commission and all affected State public utility regulatory agencies.

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

                § 205.320
                Who shall apply.
                (a) Any person, firm, co-operative, corporation or other entity who operates an electric power transmission or distribution facility crossing the border of the United States, for the transmission of electric energy between the United States and a foreign country, shall have a Presidential Permit, in compliance with Executive Order 10485, as amended by Executive Order 12038. Such applications should be filed with the Office of Utility Systems of the Economic Regulatory Administration.

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

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

                § 205.321
                Time of filing.
                Pursuant to the DOE's responsibility under the National Environmental Policy Act, the DOE must make an environmental determination of the proposed action. If, as a result of this determination, an environmental impact statement (EIS) must be prepared, the permit processing time normally will be 18-24 months. If no environmental impact statement is required, then a six-month processing time normally would be sufficient.

                § 205.322
                Contents of application.
                Every application shall be accompanied by a fee prescribed in § 205.326 of this subpart and shall provide, in the order indicated, the following:
                (a) Information regarding the applicant. (1) The legal name of the applicant;
                (2) The legal name of all partners;
                (3) The name, title, post office address, and telephone number of the person to whom correspondence in regard to the application shall be addressed;
                (4) Whether the applicant or its transmission lines are owned wholly or in part by a foreign government or directly or indirectly assisted by a foreign government or instrumentality thereof; or whether the applicant has any agreement pertaining to such ownership by or assistance from any foreign government or instrumentality thereof.
                (5) List all existing contracts that the applicant has with any foreign government, or any foreign private concerns, relating to any purchase, sale or delivery of electric energy.
                (6) A showing, including a signed opinion of counsel, that the construction, connection, operation, or maintenance of the proposed facility is within the corporate power of the applicant, and that the applicant has complied with or will comply with all pertinent Federal and State laws;
                (b) Information regarding the transmission lines to be covered by the Presidential Permit. (1)(i) A technical description providing the following information: (A) Number of circuits, with identification as to whether the circuit is overhead or underground; (B) the operating voltage and frequency; and (C) conductor size, type and number of conductors per phase.
                (ii) If the proposed interconnection is an overhead line the following additional information must also be provided: (A) The wind and ice loading design parameters; (B) a full description and drawing of a typical supporting structure including strength specifications; (C) structure spacing with typical ruling and maximum spans; (D) conductor (phase) spacing; and (E) the designed line to ground and conductor side clearances.

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

                § 205.323
                Transferability.
                (a) Neither a permit issued by the ERA pursuant to Executive Order 10485, as amended, nor the facility shall be transferable or assignable. Provided written notice is given to the ERA within 30 days, the authorization may continue in effect temporarily in the event of the involuntary transfer of the facility by operation of law (including transfers to receivers, trustees, or purchases under foreclosure or judicial sale). This continuance is contingent on the filing of an application for a new permit and may be effective until a decision is made thereon.

                (b) In the event of a proposed voluntary transfer of the facility, the permittee and the party to whom the transfer would be made shall file a joint application with the ERA pursuant to this paragraph, setting forth information as required by § 205.320 et seq., together with a statement of reasons for the transfer. The application shall be accompanied by a filing fee pursuant to § 205.326.
                (c) No substantial change shall be made in any facility authorized by permit or in the operation thereof unless or until such change has been approved by the ERA.

                (d) Permits may be modified or revoked without notice by the President of the United States, or by the Administrator of the ERA after public notice.

                § 205.324
                Form and style; number of copies.
                All applicants shall file an original and two conformed copies of the application and all accompanying documents required under §§ 205.320 through 205.327.

                § 205.325
                Annual report.
                Persons receiving permits to construct, connect, operate or maintain electric transmission facilities at international boundaries shall submit to the ERA, by February 15 each year, a report covering each month of the preceding calendar year, detailing by category the gross amount of kilowatt-hours of energy received or delivered and the cost and revenue associated with each category.

                § 205.326
                Filing procedures and fees.
                Applications shall be forwarded to the Office of Utility Systems of the Economic Regulatory Administration and shall be accompanied by a filing fee of $150. The application fee will be charged irrespective of the ERA's disposition of the application. Fee payment shall be by check, draft, or money order payable to the Treasurer of the United States. Copies of applications shall be furnished to the Federal Energy Regulatory Commission and all affected State public utility regulatory agencies.

                § 205.327
                Other information.
                The applicant may be required after filing the application to furnish such supplemental information as the ERA may deem pertinent. Such requests shall be written and a prompt response will be expected. Protest regarding the supplying of such information should be directed to the Administrator of the ERA.

                § 205.328
                Environmental requirements for Presidential Permits—Alternative 1.
                (a) NEPA Compliance. Except as provided in paragraphs (c) and (e) of this section, when an applicant seeks a Presidential Permit, such applicant will be responsible for the costs of preparing any necessary environmental document, including an Environmental Impact Statement (EIS), arising from ERA's obligation to comply with the National Environmental Policy Act of 1969 (NEPA). ERA will determine whether an environmental assessment (EA) or EIS is required within 45 days of the receipt of the Presidential Permit application and of environmental information submitted pursuant to 10 CFR 205.322 (c) and (d). ERA will use these and other sources of information as the basis for making the environmental determination:
                (1) If an EIS is determined to be necessary, the applicant shall enter into a contract with an independent third party, which may be a Government-owned, contractor-operated National Laboratory, or a qualified private entity selected by ERA. The third party contractor must be qualified to conduct an environmental review and prepare an EIS, as appropriate, under the supervision of ERA, and may not have a financial or other interest in the outcome of the proceedings. The NEPA process must be completed and approved before ERA will issue a Presidential Permit.
                (2) If an EA is determined to be necessary, the applicant may be permitted to prepare an environmental assessment pursuant to 10 CFR 1506.5(b) for review and adoption by ERA, or the applicant may enter into a third party contract as set forth in this section.
                (b) Environmental Review Procedure. Except as provided in paragraphs (c) and (e) of this section, environmental documents, including the EIS, where necessary, will be prepared utilizing the process set forth above. ERA, the applicant, and the independent third party, which may be a Government-owned, contractor-operated National Laboratory or a private entity, shall enter into an agreement in which the applicant will engage and pay directly for the services of the qualified third party to prepare the necessary environmental documents. The agreement shall outline the responsibilities of each party and its relationship to the other two parties regarding the work to be done or supervised. ERA shall approve the information to be developed and supervise the gathering, analysis and presentation of the information. In addition, ERA will have the authority to approve and modify any statement, analysis, and conclusion contained in the environmental documents prepared by the third party. Before commencing preparation of the environmental document the third party will execute an ERA-prepared disclosure document stating that it does not have any conflict of interest, financial or otherwise, in the outcome of either the environmental process or the Permit application.
                (c) Financial Hardship. Whenever ERA determines that a project is no longer economically feasible, or that a substantial financial burden would be imposed by the applicant bearing all of the costs of the NEPA studies, ERA may waive the requirement set forth in paragraphs (a) and (b) of this section and perform the necessary environmental review, completely or in part, with its own resources.
                (d) Discussions Prior to Filing. Prior to the preparation of any Presidential Permit application and environmental report, a potential applicant is encouraged to contact ERA and each affected State public utility regulatory agency to discuss the scope of the proposed project and the potential for joint State and Federal environmental review.
                (e) Federal Exemption. Upon a showing by the applicant that it is engaged in the transaction of official business of the Federal Government in filing the application pursuant to 10 CFR 205.320 et seq., it will be exempt from the requirements of this section.
                [48 FR 33819, July 25, 1983]

                § 205.329
                Environmental requirements for Presidential Permits—Alternative 2.
                (a) NEPA Compliance. Except as provided in paragraph (b) and (e) of this section, applicants seeking Presidential Permits will be financially responsible for the expenses of any contractor chosen by ERA to prepare any necessary environmental document arising from ERA's obligation to comply with the National Environmental Policy Act of 1969 (NEPA) in issuing such Presidential Permits:
                (1) ERA will determine whether an Environmental Impact Statement (EIS) or an Environmental Assessment (EA) is required within 45 days of receipt of the Presidential Permit application and of the environmental information submitted pursuant to 10 CFR 205.322 (c) and (d). ERA will use these and other sources of information as the basis for making the environmental determination.

                (2) If an EIS is determined to be necessary, ERA will notify the applicant of the fee for completing the EIS within 90 days after the submission of the application and environmental information. The fee shall be based on the expenses estimated to be incurred by DOE in contracting to prepare the EIS (i.e., the estimated fee charges to ERA by the contractor). DOE employee salaries and other fixed costs, as set forth in OMB Circular A-25, shall not be included in the applicant's fee. Fee payment shall be by check, draft, or money order payable to the Treasurer of the United States, and shall be submitted to ERA. Upon submission of fifty percent of the environmental fee, ERA will provide to the applicant a tentative schedule for completion of the EIS.
                (3) If an EA is determined to be necessary, the applicant may be permitted to prepare an environmental assessment pursuant to 40 CFR 1506.5(b) for review and adoption by ERA, or the applicant may choose to have ERA prepare the EA pursuant to the fee procedures set forth above.
                (4) The NEPA process must be completed and approved before ERA will issue a Presidential Permit.
                (b) Financial Hardship. Whenever ERA determines that a project is no longer economically feasible, or that a substantial financial burden would be imposed by the applicant bearing all of the costs of the NEPA studies, ERA may waive the requirement set forth in paragraphs (a) and (b) of this section and perform the necessary environmental review, completely or in part, with its own resources.
                (c) Discussions Prior to Filing. Prior to the preparation of any Presidential Permit application and environmental assessment, a potential applicant is encouraged to contact ERA and each affected State public utility regulatory agency to discuss the scope of the proposed project and the potential for joint State and Federal environmental review.
                (d) Fee Payment. The applicant shall make fee payment for completing the EIS to ERA in the following manner:
                (1) 50 percent of the total amount due to be paid within 30 days of receipt of the fee information from DOE;
                (2) 25 percent to be paid upon publication of the draft EIS; and

                (3) 25 percent to be paid upon publication of the final EIS.

                If costs are less than the amount collected, ERA will refund to the applicant the excess fee collected. If costs exceed the initial fee, ERA will fund the balance, unless the increase in costs is caused by actions or inactions of the applicant, such as the applicant's failure to submit necessary environmental information in a timely fashion. If the application is withdrawn at any stage prior to issuance of the final EIS, the fee will be adjusted to reflect the costs actually incurred; payment shall be made by the applicant within 30 days of above referenced events.
                (e) Federal Exemption. Upon a showing by the applicant that it is engaged in the transaction of official business of the Federal Government in filing an application pursuant to 10 CFR 205.320 et seq., it will be exempt from the requirements of this section.
                [48 FR 33820, July 25, 1983]

              Report of Major Electric Utility System Emergencies

                Authority:

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

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

                § 205.350
                General purpose.
                The purpose of this rule is to establish a procedure for the Office of International Affairs and Energy Emergencies (IE) to obtain current information regarding emergency situations on the electric energy supply systems in the United States so that appropriate Federal emergency response measures can be implemented in a timely and effective manner. The data also may be utilized in developing legislative recommendations and reports to the Congress.
                (Approved by the Office of Management and Budget under control number 1901-0288)

                § 205.351
                Reporting requirements.
                For the purpose of this section, a report or a part of a report may be made jointly by two or more entities. Every electric utility or other entity engaged in the generation, transmission or distribution of electric energy for delivery and/or sale to the public shall report promptly, through the DOE Emergency Operations Center, by telephone, the occurrence of any event such as described in paragraphs (a) through (d) of this section. These reporting procedures are mandatory. Entities that fail to comply within 24 hours will be contacted and reminded of their reporting obligation.
                (a) Loss of Firm System Loads, caused by:

                (1) Any load shedding actions resulting in the reduction of over 100 megawatts (MW) of firm customer load for reasons of maintaining the continuity of the bulk electric power supply system.

                (2) Equipment failures/system operational actions attributable to the loss of firm system loads for a period in excess of 15 minutes, as described below:

                (i) Reports from entities with a previous year recorded peak load of over 3000 MW are required for all such losses of firm loads which total over 300 MW.

                (ii) Reports from all other entities are required for all such losses of firm loads which total over 200 MW or 50 percent of the system load being supplied immediately prior to the incident, whichever is less.
                (3) Other events or occurrences which result in a continuous interruption for 3 hours or longer to over 50,000 customers, or more than 50 percent of the total customers being served immediately prior to the interruption, whichever is less.
                (b) Voltage Reductions or Public Appeals:

                (1) Reports are required for any anticipated or actual system voltage reductions of 3 percent or greater for purposes of maintaining the continuity of the bulk electric power supply system.

                (2) Reports are required for any issuance of a public appeal to reduce the use of electricity for purposes of maintaining the continuity of the bulk electric power system.
                (c) Vulnerabilities that could Impact System Reliability:

                (1) Reports are required for any actual or suspected act(s) of physical sabotage (not vandalism) or terrorism directed at an electric power supply system, local or regional, in an attempt to either:
                (i) Disrupt or degrade the service reliability of the local or regional bulk electric power supply system, or
                (ii) Disrupt, degrade, or deny bulk electric power service to:
                (A) A specific facility (industrial, military, governmental, private), or
                (B) A specific service (transportation, communications), or
                (C) A specific locality (town, city, county).

                (2) Reports are required for any abnormal emergency system operating condition(s) or other event(s) which in the judgment of the reporting entity could or would constitute a hazard to maintaining the continuity of the bulk electric power supply system. Examples will be provided in the DOE pamphlet on reporting procedures.
                (d) Fuel Supply Emergencies:

                (1) Reports are required for any anticipated or existing fuel supply emergency situation which would threaten the continuity of the bulk electric power supply system, such as:
                (i) Fuel stocks or hydro project water storage levels are at 50 percent (or less) of normal for that time of the year, and a continued downward trend is projected.
                (ii) Unscheduled emergency generation is dispatched causing an abnormal use of a particular fuel type, such that the future supply or stocks of that fuel could reach a level which threatens the reliability or adequacy of electric service.
                (Approved by the Office of Management and Budget under control number 1901-0288)

                § 205.352
                Information to be reported.
                The emergency situation data shall be supplied to the DOE Emergency Operations Center in accordance with the current DOE pamphlet on reporting procedures. The initial report shall include the utility name; the area affected; the time of occurrence of the initiating event; the duration or an estimate of the likely duration; an estimate of the number of customers and amount of load involved; and whether any known critical services such as hospitals, military installations, pumping stations or air traffic control systems, were or are interrupted. To the extent known or reasonably suspected, the report shall include a description of the events initiating the disturbance. The DOE may require further clarification during or after restoration of service.
                (Approved by the Office of Management and Budget under control number 1901-0288)

                § 205.353
                Special investigation and reports.

                If directed by the Director, Office of Energy Emergency Operations in writing and noticed in the Federal Register, a utility or other subject entity experiencing a condition described in § 205.351 above shall submit a full report of the technical circumstances surrounding a specific power system disturbance, including the restoration procedures utilized. The report shall be filed at such times as may be directed by the Director, Office of Energy Emergency Operations.
                (Approved by the Office of Management and Budget under control number 1901-0288)

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

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

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

                § 205.370
                Applicability.
                Sections 202(c) and 202(d) of the Federal Power Act are applicable to any “entity” which owns or operates electric power generation, transmission or distribution facilities. An “entity” is a private or public corporation (utility), a governmental agency, a municipality, a cooperative or a lawful association of the foregoing. Under this section, the DOE has the authority to order the temporary connection of facilities, or the generation or delivery of electricity, which it deems necessary to alleviate an emergency. Such orders shall be effective for the time specified and will be subject to the terms and conditions the DOE specifies. The DOE retains the right to cancel, modify or otherwise change any order, with or without notice, hearing, or report. Requests for action under these regulations will be accepted from any “entity,” State Public Utility Commission, State Energy Agency, or State Governor. Actions under these regulations also may be initiated by the DOE on its own motion. Orders under this authority may be made effective without prior notice.

                § 205.371
                Definition of emergency.
                “Emergency,” as used herein, is defined as an unexpected inadequate supply of electric energy which may result from the unexpected outage or breakdown of facilities for the generation, transmission or distribution of electric power. Such events may be the result of weather conditions, acts of God, or unforeseen occurrences not reasonably within the power of the affected “entity” to prevent. An emergency also can result from a sudden increase in customer demand, an inability to obtain adequate amounts of the necessary fuels to generate electricity, or a regulatory action which prohibits the use of certain electric power supply facilities. Actions under this authority are envisioned as meeting a specific inadequate power supply situation. Extended periods of insufficient power supply as a result of inadequate planning or the failure to construct necessary facilities can result in an emergency as contemplated in these regulations. In such cases, the impacted “entity” will be expected to make firm arrangements to resolve the problem until new facilities become available, so that a continuing emergency order is not needed. Situations where a shortage of electric energy is projected due solely to the failure of parties to agree to terms, conditions or other economic factors relating to service, generally will not be considered as emergencies unless the inability to supply electric service is imminent. Where an electricity outage or service inadequacy qualifies for a section 202(c) order, contractual difficulties alone will not be sufficient to preclude the issuance of an emergency order.

                § 205.372
                Filing procedures; number of copies.
                An original and two conformed copies of the applications and reports required under §§ 205.370 through 205.379 shall be filed with the Division of Power Supply and Reliability, Department of Energy. Copies of all documents also shall be served on:
                (a) The Federal Energy Regulatory Commission;
                (b) Any State Regulatory Agency having responsibility for service standards, or rates of the “entities” that are affected by the requested order;
                (c) Each “entity” suggested as a potential source for the requested emergency assistance;
                (d) Any “entity” that may be a potential supplier of transmission services;
                (e) All other “entities” not covered under paragraphs (c) and (d) of this section which may be directly affected by the requested order; and
                (f) The appropriate Regional Reliability Council.

                § 205.373
                Application procedures.
                Every application for an emergency order shall set forth the following information as required. This information shall be considered by the DOE in determining that an emergency exists and in deciding to issue an order pursuant to sections 202(c) and 202(d) of the Federal Power Act.

                (a) The exact legal name of the applicant and of all other “entities” named in the application.

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

                (m) A general or key map on a scale not greater than 100 kilometers to the centimeter showing, in separate colors, the territory serviced by each “entity” named in the application; the location of the facilities to be used for the generation and transmission of the requested emergency service; and all connection points between systems.

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

                § 205.374
                Responses from “entities” designated in the application.
                Each “entity” designated as a potential source of emergency assistance or as a potential supplier of transmission services and which has received a copy of the application under § 205.373, shall have three (3) calendar days from the time of receipt of the application to file the information designated below with the DOE. The DOE will grant extensions of the filing period when appropriate. The designated “entities” shall provide an analysis of the impact the requested action would have on its system reliability and its ability to supply its own interruptible and firm customers. The effects of the requested action on the ability to serve firm loads shall be clearly distinguished from the ability to serve contractually interruptible loads. The designated “entity” also may provide other information relevant to the requested action, which is not included in the reliability analysis. Copies of any response shall be provided to the applicant, the Federal Energy Regulatory Commission, any State Regulatory Agency having responsibility for service standards or rates of any “entity” that may be directly involved in the proposed action, and the appropriate Regional Electric Reliability Council. Pursuant to section 202(c) of the Federal Power Act, DOE may issue an emergency order even though a designated “entity” has failed to file a timely response.

                § 205.375
                Guidelines defining inadequate fuel or energy supply.
                An inadequate utility system fuel inventory or energy supply is a matter of managerial and engineering judgment based on such factors as fuels in stock, fuels en route, transportation time, and constraints on available storage facilities. A system may be considered to have an inadequate fuel or energy supply capability when, combined with other conditions, the projected energy deficiency upon the applicant's system without emergency action by the DOE, will equal or exceed 10 percent of the applicant's then normal daily net energy for load, or will cause the applicant to be unable to meet its normal peak load requirements based upon use of all of its otherwise available resources so that it is unable to supply adequate electric service to its ultimate customers. The following conditions will be considered in determining that a system has inadequate fuel or energy supply capability:
                (1) System coal stocks are reduced to 30 days (or less) of normal burn days and a continued downward trend in stock is projected;
                (2) System residual oil stocks are reduced to 15 days (or less) of normal burn days and a continued downward trend in stocks is projected;
                (3) System distillate oil stocks which cannot be replaced by alternate fuels are reduced to 15 days (or less) of normal burn days and a continued downward trend in stocks is projected;
                (4) System natural gas deliveries which cannot be replaced by alternate fuels have been or will be reduced 20 percent below normal requirements and no improvement in natural gas deliveries is projected within 30 days;
                (5) Delays in nuclear fuel deliveries will extend a scheduled refueling shutdown by more than 30 days; and

                (6) Water supplies required for power generation have been reduced to the level where the future adequacy of the power supply may be endangered and no near term improvement in water supplies is projected.

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

                § 205.376
                Rates and charges.

                The applicant and the generating or transmitting systems from which emergency service is requested are encouraged to utilize the rates and charges contained in approved existing rate schedules or to negotiate mutually satisfactory rates for the proposed transactions. In the event that the DOE determines that an emergency exists under section 202(c), and the “entities” are unable to agree on the rates to be charged, the DOE shall prescribe the conditions of service and refer the rate issues to the Federal Energy Regulatory Commission for determination by that agency in accordance with its standards and procedures.

                § 205.377
                Reports.
                In addition to the information specified below, the DOE may require additional reports as it deems necessary.
                (a) Where the DOE has authorized the temporary connection of transmission facilities, all “entities” whose transmission facilities are thus temporarily interconnected shall report the following information to the DOE within 15 days following completion of the interconnection:
                (1) The date the temporary interconnection was completed;
                (2) The location of the interconnection;
                (3) A description of the interconnection; and
                (4) A one-line electric diagram of the interconnection.
                (b) Where the DOE orders the transfer of power, the “entity” receiving such service shall report the following information to the DOE by the 10th of each month for the preceding month's activity for as long as such order shall remain in effect:
                (1) Amounts of capacity and/or energy received each day;
                (2) The name of the supplier;
                (3) The name of any “entity” supplying transmission services; and
                (4) Preliminary estimates of the associated costs.
                (c) Where the DOE has approved the installation of permanent facilities that will be used only during emergencies, any use of such facilities shall be reported to the DOE within 24 hours. Details of such usage shall be furnished as deemed appropriate by the DOE after such notification.
                (d) Any substantial change in the information provided under § 205.373 shall be promptly reported to the DOE.
                (Approved by the Office of Management and Budget under Control No. 1904-0066)
                [46 FR 39989, Aug. 6, 1981, as amended at 46 FR 63209, Dec. 31, 1981]

                § 205.378
                Disconnection of temporary facilities.
                Upon the termination of any emergency for the mitigation of which the DOE ordered the construction of temporary facilities, such facilities shall be disconnected and any temporary construction removed or otherwise disposed of, unless application is made as provided in § 205.379 for permanent connection for emergency use. This disconnection and removal of temporary facilities shall be accomplished within 30 days of the termination of the emergency unless an extension is granted by the DOE. The DOE shall be notified promptly when such removal of facilities is completed.

                § 205.379
                Application for approval of the installation of permanent facilities for emergency use only.
                Application for DOE approval of a permanent connection for emergency use only shall conform with the requirements in § 205.373. However, the baseline data specified in § 205.373(d) need not be included in an application made under this section. In addition, the application shall state in full the reasons why such permanent connection for emergency use is in the public interest.

              Internal Procedures for Issuance of a Grid Security Emergency Order

                Source:
                Sections 205.80 through 205.391 were added at 83 FR 1180, Jan. 10, 2018, unless otherwise noted.

                § 205.380
                Definitions.
                As used in this subpart:

                  Bulk-power system means the same as the definition of such term in paragraph (1) of section 215(a) of the Federal Power Act.

                  Critical electric infrastructure means the same as the definition of such term in paragraph (2) of section 215A(a) of the Federal Power Act.

                  Defense critical electric infrastructure means the same as the definition of such term in paragraph (4) of section 215A(a) of the Federal Power Act.

                  Department means the United States Department of Energy.

                  Electric Reliability Organization means the same as the definition of such term in paragraph (2) of section 215(a) of the Federal Power Act.

                  Electricity Information Sharing and Analysis Center (E-ISAC) means the organization, operated on behalf of the electricity subsector by the Electric Reliability Organization, that gathers and analyzes security information, coordinates incident management, and communicates mitigation strategies with stakeholders within the electricity subsector, across interdependent sectors, and with government partners. The E-ISAC, in collaboration with the Department of Energy and the Electricity Subsector Coordinating Council, serves as the primary security communications channel for the electricity subsector and enhances the subsector's ability to prepare for and respond to cyber and physical threats, vulnerabilities, and incidents.

                  Electricity subsector means both commercial and industrial actors who generate and deliver electric power.

                  Electricity Subsector Coordinating Council (ESCC) means the organization that aims to foster and facilitate the coordination of sector-wide, policy-related activities and initiatives designed to improve the reliability and resilience of the electricity subsector, including physical and cyber security infrastructure.

                  Electromagnetic pulse means the same as the definition of such term in paragraph (5) of section 215A(a) of the Federal Power Act.

                  Emergency & Incident Management Council (EIMC) means the organization, internal to the Department of Energy and chaired by the Deputy Secretary of Energy, designed to increase cooperation and coordination across the Department to prepare for, mitigate, respond to, and recover from emergencies.

                  Emergency measures means measures necessary in the judgment of the Secretary to protect or restore the reliability of critical electric infrastructure or of defense critical electric infrastructure during a grid security emergency as defined in section 215A(a) of the Federal Power Act.

                  Emergency order means an order for emergency measures under section 215A(b) of the Federal Power Act.

                  Geomagnetic storm means a temporary disturbance of the Earth's magnetic field resulting from solar activity.

                  Grid security emergency means the same as the definition of such term in paragraph (7) of section 215A(a) of the Federal Power Act. A grid security emergency is “declared” once the President of the United States has issued and provided to the Secretary a written directive or determination identifying the emergency.

                  Regional entity means an entity having enforcement authority under section 215(e)(4) of the Federal Power Act, 16 U.S.C. 824o(e)(4).

                  Secretary means the Secretary of Energy.

                § 205.381
                Applicability of emergency orders.
                An order for emergency measures under section 215A(b) of the Federal Power Act (emergency order) may apply to the Electric Reliability Organization, a regional entity or entities, or any owner, user, or operator of critical electric infrastructure or of defense critical electric infrastructure within the United States. Emergency measures may be issued if deemed necessary in the judgment of the Secretary to protect or restore the reliability of critical electric infrastructure or of defense critical electric infrastructure during a presidentially-declared grid security emergency.

                § 205.382
                Issuing an emergency order.
                (a) The Secretary will use the procedures outlined in this section in issuing emergency orders, unless the Secretary determines that alternative procedures are more appropriate for the unique circumstances presented by the emergency. In all instances, the Secretary has final authority on the procedures to be used in issuing an emergency order.

                (b) Upon the Department's receipt of the President's written directive or determination identifying a grid security emergency, the Emergency & Incident Management Council (EIMC) will convene at least one emergency meeting. Resulting from this meeting, the EIMC's responsibilities will include, but not be limited to:
                (1) Assigning consultation and situational awareness tasks;
                (2) Creating ad hoc task groups;
                (3) Assigning recommendation development tasks to the ad hoc task groups it has created; and
                (4) Presenting its recommendations to the Secretary as expeditiously as possible and practicable.
                (c) Following receipt of the EIMC's recommendations, unless the Secretary has determined alternative procedures are appropriate, the Secretary will issue an emergency order as quickly as the Secretary determines that the situation requires.

                § 205.383
                Consultation.
                (a) To obtain information related to a particular grid security emergency and recommended emergency measures from those government entities, electric reliability organizations, and private sector companies, and their respective associations where applicable, affected by the emergency, the Department of Energy's Office of Electricity Delivery and Energy Reliability will conduct consultation related to each emergency order. Before an emergency order is put into effect and, to the extent practicable in light of the nature of the grid security emergency and the urgency of the need for action, efforts will be made to consult with at least the following, as appropriate:
                (1) The Electricity Subsector Coordinating Council;
                (2) The Electricity Information Sharing and Analysis Center;
                (3) The Electric Reliability Organization;
                (4) Regional entities; and
                (5) Owners, users, or operators of critical electric infrastructure or of defense critical electric infrastructure within the United States; and
                (6) At least the following government entities:
                (i) Authorities in the government of Canada;
                (ii) Authorities in the government of Mexico;
                (iii) Appropriate Federal and State agencies including, but not limited to, those supporting Emergency Support Function No. 12;
                (iv) The Federal Energy Regulatory Commission; and
                (v) The Nuclear Regulatory Commission.
                (b) The Department recognizes the expertise of electric grid owners and operators and other consulted entities in seeking to ensure that emergency orders result in the safe and effective operation of the electric grid, align with additional priorities including evidence collection, and comply with existing regulatory requirements, where required. The Department will endeavor, to the extent practicable, to conduct consultation in alignment with the existing Emergency Support Function No. 12 structure and established emergency management processes under the National Response Framework.

                § 205.384
                Communication of orders.
                The Department will communicate the contents of an emergency order to the entities subject to the order, utilizing the most expedient form or forms of communication under the circumstances. The Department will attempt to conduct communication of emergency orders in alignment with the existing Emergency Support Function No. 12 structure and established emergency management procedures under the National Response Framework by relying on existing coordinating bodies, such as the ESCC and the E-ISAC, and, recognizing the existence of established crisis communication procedures, any other form or forms of communication most expedient under the particular circumstances. To the extent practicable under the particular circumstances, efforts will be made to declassify eligible information to ensure maximum distribution.

                § 205.385
                Clarification or reconsideration.

                (a) Any entity subject to an emergency order may request clarification or reconsideration of the emergency order. All such requests must be submitted in writing to the Secretary. The Department will post all such requests on the DOE website consistent with 10 CFR part 1004. To the extent the ordered entity believes the grid security emergency order lacks necessary clarity for implementation, or conflicts with the technically feasible operations of the electric grid or existing regulatory requirements, the ordered entity should seek immediate clarification from the Department.
                (b) Upon receipt of a request for clarification or reconsideration, the Secretary may, in his or her sole discretion, order a stay of the emergency order for which such clarification or rehearing is sought. The Secretary will act as soon as practicable on each request, with or without further proceedings. Such responsive actions may include granting or denying the request or abrogating or modifying the order, in whole or in part.

                § 205.386
                Temporary access to classified and sensitive information.
                (a) To the extent practicable, and consistent with obligations to protect classified and sensitive information, the Secretary may provide temporary access to classified and sensitive information, at the level necessary in light of the conditions of the incident, related to a grid security emergency for which emergency measures are issued to key personnel of any entity subject to such emergency measures, to the extent the Secretary deems necessary under the circumstances. The purpose of this access, as defined under section 215A(b)(7) of the Federal Power Act, is to enable optimum communication between the entity and the Secretary and other appropriate Federal agencies regarding the grid security emergency.
                (b) CEII will be shared, where deemed necessary by the Secretary, in accordance with 10 CFR part 1004.

                § 205.387
                Tracking compliance.
                Beginning at the time the Secretary issues an emergency order, the Department may, at the discretion of the Secretary, require the entity or entities subject to an emergency order to provide a detailed account of actions taken to comply with the terms of the emergency order.

                § 205.388
                Enforcement.
                In accordance with available enforcement authorities, the Secretary may take or seek enforcement action against any entity subject to an emergency order who fails to comply with the terms of that emergency order.

                § 205.389
                Rehearing and judicial review.
                The procedures of Part III of the Federal Power Act apply to motions for rehearing of an emergency order. A request for clarification or reconsideration filed under § 205.385 of this subpart, if the filling entity so designates, may serve as a request for rehearing pursuant to section 313(a) of the Federal Power Act.

                § 205.390
                Liability exemptions.
                (a) To the extent any action or omission taken by an entity that is necessary to comply with an emergency order issued pursuant to section 215A(b)(1) of the Federal Power Act and this Part, including any action or omission taken to voluntarily comply with such order, results in noncompliance with, or causes such entity not to comply with any rule, order, regulation, or provision of or under the Federal Power Act, including any reliability standard approved by the Federal Energy Regulatory Commission pursuant to section 215 of the Federal Power Act, the Department will not consider such action or omission to be a violation of such rule, order, regulation, or provision.
                (b) The Department will treat an action or omission by an owner, operator, or user of critical electric infrastructure or of defense critical electric infrastructure to comply with an emergency order issued pursuant to section 215A(b)(1) of the Federal Power Act as the functional equivalent of an action or omission taken to comply with an order issued under section 202(c) of the Federal Power Act for purposes of section 202(c).

                (c) The liability exemptions specified in paragraphs (a) and (b) of this section do not apply to an entity that, in the course of complying with an emergency order by taking an action or omission for which the entity would otherwise be liable, takes such action or omission in a grossly negligent manner.

                § 205.391
                Termination of an emergency order.
                (a) An emergency order will expire no later than 15 days after its issuance. The Secretary may reissue an emergency order for subsequent periods, not to exceed 15 days for each such period, provided that the President, for each such period, issues and provides to the Secretary a written directive or determination that the grid security emergency for which the Secretary intends to reissue an emergency order continues to exist or that the emergency measures continue to be required.
                (b) The Secretary may rescind an emergency order after finding that the grid security emergency for which that order was issued has ended, and that protective or mitigation measures required by that order have been sufficiently taken.
                (c) An entity or entities subject to an emergency order issued under this subpart may, at any time, request termination of the emergency order by demonstrating, in a petition to the Secretary, that the emergency no longer exists and that protective or mitigation measures required by the order have been sufficiently taken.

          Pt. 207
          PART 207—COLLECTION OF INFORMATION

              Subpart A—Collection of Information Under the Energy Supply and Environmental Coordination Act of 1974
              Sec.
              207.1
              Purpose.
              207.2
              Definitions.
              207.3
              Method of collecting energy information under ESECA.
              207.4
              Confidentiality of energy information.
              207.5
              Violations.
              207.6
              Notice of probable violation and remedial order.
              207.7
              Sanctions.
              207.8
              Judicial actions.
              207.9
              Exceptions, exemptions, interpretations, rulings and rulemaking.

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

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

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

              § 207.1
              Purpose.
              The purpose of this subpart is to set forth the manner in which energy information which the Administrator is authorized to obtain by sections 11 (a) and (b) of ESECA will be collected.

              § 207.2
              Definitions.
              As used in this subpart:

                Administrator means the Federal Energy Administrator of his delegate.

                Energy information includes all information in whatever form on (1) fuel reserves, exploration, extraction, and energy resources (including petrochemical feedstocks) wherever located; (2) production, distribution, and consumption of energy and fuels, wherever carried on; and (3) matters relating to energy and fuels such as corporate structure and proprietary relationships, costs, prices, capital investment, and assets, and other matters directly related thereto, wherever they exist.

                ESECA means the Energy Supply and Environmental Coordination Act of 1974 (Pub. L. 93-319).

                EPAA means the Emergency Petroleum Allocation Act of 1973 (Pub. L. 93-159).

                DOE means the Department of Energy.

                Person means any natural person, corporation, partnership, association, consortium, or any entity organized for a common business purpose, wherever situated, domiciled, or doing business, who directly or through other persons subject to their control does business in any part of the United States.

                United States, when used in the geographical sense, means the States, the District of Columbia, Puerto Rico, and the territories and possessions of the United States.

              § 207.3
              Method of collecting energy information under ESECA.
              (a) Whenever the Administrator determines that:

              (1) Certain energy information is necessary to assist in the formulation of energy policy or to carry out the purposes of the ESECA of the EPAA; and

              (2) Such energy information is not available to DOE under the authority of statutes other than ESECA or that such energy information should, as a matter of discretion, be collected under the authority of ESECA;

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

              Any such subpoena or rule or order shall contain (or be accompanied by) a recital that energy information is requested under the authority of ESECA.
              (f) For the purpose of verifying the accuracy of any energy information requested, acquired, or collected by the DOE, the Administrator, or any officer or employee duly designated by him, upon presenting appropriate credentials and a written notice from the Administrator to the owner, operator, or agent in charge, may—
              (1) Enter, at reasonable times, any business premise of facility; and

              (2) Inspect, at reasonable times and in a reasonable manner, any such premise or facility, inventory and sample any stock of energy resources therein, and examine and copy books, records, papers, or other documents, relating to any such energy information.

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

              § 207.4
              Confidentiality of energy information.
              (a) Information obtained by the DOE under authority of ESECA shall be available to the public in accordance with the provisions of part 202 of this chapter. Upon a showing satisfactory to the Administrator by any person that any energy information obtained under this subpart from such person would, if made public, divulge methods or processes entitled to protection as trade secrets or other proprietary information of such person, such information, or portion thereof, shall be deemed confidential in accordance with the provisions of section 1905 of title 18, United States Code; except that such information, or part thereof, shall not be deemed confidential pursuant to that section for purposes of disclosure, upon request, to (1) any delegate of the DOE for the purpose of carrying out ESECA or the EPAA, (2) the Attorney General, the Secretary of the Interior, the Federal Trade Commission, the Federal Power Commission, or the General Accounting Office, when necessary to carry out those agencies' duties and responsibilities under ESECA and other statutes, and (3) the Congress, or any Committee of Congress upon request of the Chairman.

              (b) Whenever the Administrator requests reports of energy information under this subpart, he may specify (in the rule, order or questionnaire or other means by which he has requested such reports) the nature of the showing required to be made in order to satisfy DOE that certain energy information contained in such reports warrants confidential treatment in accordance with this section. He shall, to the maximum extent practicable, either before or after requesting reports, by ruling or otherwise, inform respondents providing energy information pursuant to this subpart of whether such information will be made available to the public pursuant to requests under the Freedom of Information Act (5 U.S.C. 552).

              § 207.5
              Violations.
              Any practice that circumvents or contravenes or results in a circumvention or contravention of the requirements of any provision of this subpart or any order issued pursuant thereto is a violation of the DOE regulations stated in this subpart.

              § 207.6
              Notice of probable violation and remedial order.
              (a) Purpose and scope. (1) This section establishes the procedures for determining the nature and extent of violations of this subpart and the procedures for issuance of a notice of probable violation, a remedial order or a remedial order for immediate compliance.
              (2) When the DOE discovers that there is reason to believe a violation of any provision of this subpart, or any order issued thereunder, has occurred, is continuing or is about to occur, the DOE may conduct proceedings to determine the nature and extent of the violation and may issue a remedial order thereafter. The DOE may commence such proceeding by serving a notice of probable violation or by issuing a remedial order for immediate compliance.
              (b) Notice of probable violation. (1) The DOE may begin a proceeding under this subpart by issuing a notice of probable violation if the DOE has reason to believe that a violation has occurred, is continuing, or is about to occur.
              (2) Within 10 days of the service of a notice of probable violation, the person upon whom the notice is served may file a reply with the DOE office that issued the notice of probable violation at the address provided in § 205.12 of this chapter. The DOE may extend the 10-day period for good cause shown.
              (3) The reply shall be in writing and signed by the person filing it. The reply shall contain a full and complete statement of all relevant facts pertaining to the act or transaction that is the subject of the notice of probable violation. Such facts shall include a complete statement of the business or other reasons that justify the act or transaction, it appropriate; a detailed description of the act or transaction; and a full discussion of the pertinent provisions and relevant facts reflected in any documents submitted with the reply. Copies of all relevant documents shall be submitted with the reply.
              (4) The reply shall include a discussion of all relevant authorities, including, but not limited to, DOE rulings, regulations, interpretations, and decisions on appeals and exceptions relied upon to support the particular position taken.
              (5) The reply should indicate whether the person requests or intends to request a conference regarding the notice. Any request not made at the time of the reply shall be made as soon thereafter as possible to insure that the conference is held when it will be most beneficial. A request for a conference must conform to the requirements of subpart M of part 205 of this chapter.
              (6) If a person has not filed a reply with the DOE within the 10-day period provided, and the DOE has not extended the 10-day period, the person shall be deemed to have conceded the accuracy of the factual allegations and legal conclusions stated in the notice of probable violation.
              (7) If the DOE finds, after the 10-day period provided in § 207.6(b)(2), that no violation has occurred, is continuing, or is about to occur, or that for any reason the issuance of a remedial order would not be appropriate, it shall notify, in writing, the person to whom a notice of probable violation has been issued that the notice is rescinded.
              (c) Remedial order. (1) If the DOE finds, after the 10-day period provided in § 207.6(b)(2), that a violation has occurred, is continuing, or is about to occur, the DOE may issue a remedial order. The order shall include a written opinion setting forth the relevant facts and the legal basis of the remedial order.
              (2) A remedial order issued under this subpart shall be effective upon issuance, in accordance with its terms, until stayed, suspended, modified or rescinded. The DOE may stay, suspend, modify or rescind a remedial order on its own initiative or upon application by the person to whom the remedial order is issued. Such action and application shall be in accordance with the procedures for such proceedings provided for in part 205 of this chapter.
              (3) A remedial order may be referred at any time to the Department of Justice for appropriate action in accordance with § 207.7.
              (d) Remedial order for immediate compliance. (1) Notwithstanding paragraphs (b) and (c) of this section, the DOE may issue a remedial order for immediate compliance, which shall be effective upon issuance and until rescinded or suspended, if it finds:
              (i) There is a strong probability that a violation has occurred, is continuing or is about to occur;
              (ii) Irreparable harm will occur unless the violation is remedied immediately; and
              (iii) The public interest requires the avoidance of such irreparable harm through immediate compliance and waiver of the procedures afforded under paragraphs (b) and (c) of this section.
              (2) A remedial order for immediate compliance shall be served promptly upon the person against whom such order is issued by telex or telegram, with a copy served by registered or certified mail. The copy shall contain a written statement of the relevant facts and the legal basis for the remedial order for immediate compliance, including the findings required by paragraph (d)(1) of this section.
              (3) The DOE may rescind or suspend a remedial order for immediate compliance if it appears that the criteria set forth in paragraph (d)(1) of this section are no longer satisfied. When appropriate, however, such a suspension or rescission may be accompanied by a notice of probable violation issued under paragraph (b) of this section.
              (4) If at any time in the course of a proceeding commenced by a notice of probable violation the criteria set forth in paragraph (d)(1) of this section are satisfied, the DOE may issue a remedial order for immediate compliance, even if the 10-day period for reply specified in § 207.6(b)(2) of this part has not expired.
              (5) At any time after a remedial order for immediate compliance has become effective the DOE may refer such order to the Department of Justice for appropriate action in accordance with § 207.7 of this part.
              (e) Remedies. A remedial order or a remedial order for immediate compliance may require the person to whom it is directed to take such action as the DOE determines is necessary to eliminate or to compensate for the effects of a violation.
              (f) Appeal. (1) No notice of probable violation issued pursuant to this subpart shall be deemed to be an action of which there may be an administrative appeal.
              (2) Any person to whom a remedial order or a remedial order for immediate compliance is issued under this subpart may file an appeal with the DOE Office of Exceptions and Appeals in accordance with the procedures for such appeal provided in subpart H of part 205 of this chapter. The appeal must be filed within 10 days of service of the order from which the appeal is taken.

              § 207.7
              Sanctions.
              (a) General. (1) Penalties and sanctions shall be deemed cumulative and not mutually exclusive.
              (2) Each day that a violation of the provisions of this subpart or any order issued pursuant thereto continues shall be deemed to constitute a separate violation within the meaning of the provisions of this subpart relating to criminal fines and civil penalties.
              (b) Criminal penalties. Any person who willfully violates any provision of this subpart or any order issued pursuant thereto shall be subject to a fine of not more than $5,000 for each violation. Criminal violations are prosecuted by the Department of Justice upon referral by the DOE.
              (c) Civil Penalties. (1) Any person who violates any provision of this subpart or any order issued pursuant thereto shall be subject to a civil penalty of not more than $10,633 for each violation. Actions for civil penalties are prosecuted by the Department of Justice upon referral by the DOE.
              (2) When the DOE considers it to be appropriate or advisable, the DOE may compromise and settle, and collect civil penalties.
              [40 FR 18409, Apr. 28, 1975, as amended at 62 FR 46183, Sept. 2, 1997; 74 FR 66032, Dec. 14, 2009; 81 FR 41793, June 28, 2016; 81 FR 96351, Dec. 30, 2016; 83 FR 1291, Jan. 11, 2018; 83 FR 66082, Dec. 26, 2018]

              § 207.8
              Judicial actions.
              (a) Enforcement of subpoenas; contempt. Any United States district court within the jurisdiction of which any inquiry is carried on may, upon petition by the Attorney General at the request of the Administrator, in the case of refusal to obey a subpoena or order of the Administrator issued under this subpart, issue an order requiring compliance. Any failure to obey such an order of the court may be punished by the court as contempt.
              (b) Injunctions. Whenever it appears to the Administrator that any person has engaged, is engaged, or is about to engage in any act or practice constituting a violation of any regulation or order issued under this subpart, the Administrator may request the Attorney General to bring a civil action in the appropriate district court of the United States to enjoin such acts or practices and, upon a proper showing, a temporary restraining order or preliminary or permanent injunction shall be granted without bond. The relief sought may include a mandatory injunction commanding any person to comply with any provision of such order or regulation, the violation of which is prohibited by section 12(a) of ESECA, as implemented by this subpart.

              § 207.9
              Exceptions, exemptions, interpretations, rulings and rulemaking.
              Applications for exceptions, exemptions or requests for interpretations relating to this subpart shall be filed in accordance with the procedures provided in subparts D, E and F, respectively, of part 205 of this chapter. Rulings shall be issued in accordance with the procedures of subpart K of part 205 of this chapter. Rulemakings shall be undertaken in accordance with the procedures provided in subpart L of part 205 of this chapter.

          Pt. 209
          PART 209—INTERNATIONAL VOLUNTARY AGREEMENTS

              Subpart A—General Provisions
              Sec.
              209.1
              Purpose and scope.
              209.2
              Delegation.
              209.3
              Definitions.

              Subpart B—Development of Voluntary Agreements
              209.21
              Purpose and scope.
              209.22
              Initiation of meetings.
              209.23
              Conduct of meetings.
              209.24
              Maintenance of records.

              Subpart C—Carrying Out of Voluntary Agreements and Developing and Carrying Out of Plans of Actions
              209.31
              Purpose and scope.
              209.32
              Initiation of meetings.
              209.33
              Conduct of meetings.
              209.34
              Maintenance of records.

              Subpart D—Availability of Information Relating to Meetings and Communications
              209.41
              Availability of information relating to meetings and communications.

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

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

            Subpart A—General Provisions

              § 209.1
              Purpose and scope.

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

              § 209.2
              Delegation.
              To the extent otherwise permitted by law, any authority, duty, or responsibility vested in DOE or the Administrator under these regulations may be delegated to any regular full-time employee of the Department of Energy, and, by agreement, to any regular full-time employee of the Department of Justice or the Department of State.

              § 209.3
              Definitions.
              For purposes of this part—
              (a) Administrator means the Administrator of the Department of Energy.
              (b) Information and allocation provisions of the International Energy Program means the provisions of chapter V of the Program relating to the Information System, and the provisions at chapters III and IV thereof relating to the international allocation of petroleum.
              (c) International Energy Agency (IEA) means the International Energy Agency established by Decision of the Council of the Organization for Economic Cooperation and Development, dated November 15, 1974.
              (d) International Energy Program (IEP) means the program established pursuant to the Agreement on an International Energy Program signed at Paris on November 18, 1974, including (1) the Annex entitled “Emergency Reserves”, (2) any amendment to such Agreement which includes another nation as a Party to such Agreement, and (3) any technical or clerical amendment to such Agreement.
              (e) International energy supply emergency means any period (1) beginning on any date which the President determines allocation of petroleum products to nations participating in the international energy program is required by chapters III and IV of such program, and (2) ending on a date on which he determines such allocation is no longer required. Such a period shall not exceed 90 days, except where the President establishes one or more additional periods by making the determination under paragraph (e)(1) of this section.
              (f) Potential participant means any person engaged in the business of producing, transporting, refining, distributing, or storing petroleum products; “participant” means any such person who agrees to participate in a voluntary agreement pursuant to a request to do so by the Administrator.
              (g) Petroleum or petroleum products means crude oil, residual fuel oil, or any refined petroleum product (including any natural gas liquid and any natural gas liquid product).

            Subpart B—Development of Voluntary Agreements

              § 209.21
              Purpose and scope.
              (a) This subpart establishes the standards and procedures by which persons engaged in the business of producing, transporting, refining, distributing. or storing petroleum products shall develop voluntary agreements which are required to implement the allocation and information provisions of the International Energy Program.
              (b) This subpart does not apply to meetings of bodies created by the International Energy Agency.

              § 209.22
              Initiation of meetings.
              (a) Any meeting held for the purpose of developing a voluntary agreement involving two or more potential participants shall be initiated and chaired by the Administrator or other regular full-time Federal employee designated by him.

              (b) DOE shall provide notice of meetings held pursuant to this subpart, in writing, to the Attorney General, the Federal Trade Commission, and to the Speaker of the House and the President of the Senate for delivery to the appropriate committees of Congress, and to the public through publication in the Federal Register. Such notice shall identify the time, place, and agenda of the meeting, and such other matters as the Administrator deems appropriate. Notice in the Federal Register shall be published at least seven days prior to the date of the meeting.

              § 209.23
              Conduct of meetings.
              (a) Meetings to develop a voluntary agreement held pursuant to this subpart shall be open to all interested persons. Interested persons desiring to attend meetings under this subpart may be required pursuant to notice to advise the Administrator in advance.
              (b) Interested persons may, as set out in notice provided by the Administrator, present data, views, and arguments orally and in writing, subject to such reasonable limitations with respect to the manner of presentation as the Administrator may impose.

              § 209.24
              Maintenance of records.
              (a) The Administrator shall keep a verbatim transcript of any meeting held pursuant to this subpart.
              (b)(1) Except as provided in paragraphs (b) (2) through (4) of this section, potential participants shall keep a full and complete record of any communications (other than in a meeting held pursuant to this subpart) between or among themselves for the purpose of developing a voluntary agreement under this part. When two or more potential participants are involved in such a communication, they may agree among themselves who shall keep such record. Such record shall include the names of the parties to the communication and the organizations, if any, which they represent; the date of the communication; the means of communication; and a description of the communication in sufficient detail to convey adequately its substance.
              (2) Where any communication is written (including, but not limited to, telex, telegraphic, telecopied, microfilmed and computer printout material), and where such communication demonstrates on it face that the originator or some other source furnished a copy of the communication to the Office of International Affairs, Department of Energy with the notation “Voluntary Agreement” marked on the first page of the document, no participant need record such a communication or send a further copy to the Department of Energy. The Department of Energy may, upon written notice to potential participants, from time to time, or with reference to particular types of documents, require deposit with other offices or officials of the Department of Energy. Where such communication demonstrates that it was sent to the Office of International Affairs, Department of Energy with the notation “Voluntary Agreement” marked on the first page of the document, or such other offices or officials in the Department of Energy has designated pursuant to this section it shall satisfy paragraph (c) of this section, for the purpose of deposit with the Department of Energy.
              (3) To the extent that any communication is procedural, administrative or ministerial (for example, if it involves the location of a record, the place of a meeting, travel arrangements, or similar matters), only a brief notation of the date, time, persons involved and description of the communication need be recorded.
              (4) To the extent that any communication involves matters which recapitulate matters already contained in a full and complete record, the substance of such matters shall be identified, but need not be recorded in detail, provided that reference is made to the record and the portion thereof in which the substance is fully set out.
              (c) Except where the Department of Energy otherwise provides, all records and transcripts prepared pursuant to paragraphs (a) and (b) of this section, shall be deposited within fifteen (15) days after the close of the month of their preparation together with any agreement resulting therefrom, with the Department of Energy, and shall be available to the Department of Justice, the Federal Trade Commission, and the Department of State. Such records and transcripts shall be available for public inspection and copying to the extent set forth in subpart D. Any person depositing material pursuant to this section shall indicate with particularity what portions, if any, the person believes are subject to disclosure to the public pursuant to subpart D and the reasons for such belief.

              (d) Any meeting between a potential participant and an official of DOE for the purpose of developing a voluntary agreement shall, if not otherwise required to be recorded pursuant to this section, be recorded by such official as provided in § 204.5.
              (Approved by the Office of Management and Budget under Control No. 1905-0079)
              (Federal Energy Administration Act of 1974, Pub. L. 93-275, as amended, E.O. 11790, 39 FR 23185; E. O. 11930, 41 FR 32397; Energy Policy and Conservation Act, Pub. L. 94-163; E.O. 11912, 41 FR 15825; Department of Energy Organization Act, Pub. L. 95-91; 91 Stat. 565; E.O. 12009, 42 FR 46267)
              [41 FR 6754, Feb. 13, 1976, as amended at 43 FR 12854, Mar. 28, 1978; 46 FR 63209, Dec. 31, 1981]

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

              § 209.31
              Purpose and scope.
              This subpart establishes the standards and procedures by which persons engaged in the business of producing, transporting, refining, distributing, or storing petroleum products shall carry out voluntary agreements and develop and carry out plans of action which are required to implement the allocation and information provisions of the International Energy Program.

              § 209.32
              Initiation of meetings.
              (a) Except for meetings of bodies created by the International Energy Agency, any meeting among participants in a voluntary agreement pursuant to this subpart, for the purpose of carrying out such voluntary agreement or developing or carrying out a plan of action pursuant thereto, shall be initiated and chaired by a full-time Federal employee designated by the Administrator.

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

              § 209.33
              Conduct of meetings.
              (a) Subject to the provisions of paragraph (c) of this section, meetings held to carry out a voluntary agreement, or to develop or carry out a plan of action pursuant to this subpart, shall be open to all interested persons, subject to limitations of space. Interested persons desiring to attend meetings under this subpart may be required to advise the Administrator in advance.
              (b) Interested persons permitted to attend meetings under this section may present data, views, and arguments orally and in writing, subject to such limitations with respect to the manner of presentation as the Administrator may impose.
              (c) Meetings held pursuant to this subpart shall not be open to the public to the extent that the President or his delegate finds that disclosure of the proceedings beyond those authorized to attend would be detrimental to the foreign policy interests of the United States, and determines, in consultation with the Administrator, the Secretary of State, and the Attorney General, that a meeting shall not be open to interested persons or that attendance by interested persons shall be limited.
              (d) The requirements of this section do not apply to meetings of bodies created by the International Energy Agency except that no participant in a voluntary agreement may attend any meeting of any such body held to carry out a voluntary agreement or to develop or to carry out a plan of action unless a full-time Federal employee is present.

              § 209.34
              Maintenance of records.
              (a) The Administrator or his delegate shall keep a verbatim transcript of any meeting held pursuant to this subpart except where (1) due to considerations of time or other overriding circumstances, the keeping of a verbatim transcript is not practicable, or (2) principal participants in the meeting are representatives of foreign governments. If any such record other than a verbatim transcript, is kept by a designee who is not a full-time Federal employee, that record shall be submitted to the full-time Federal employee in attendance at the meeting who shall review the record, promptly make any changes he deems necessary to make the record full and complete, and shall notify the designee of such changes.
              (b)(1) Except as provided in paragraphs (b) (2) through (4) of this section, participants shall keep a full and complete record of any communication (other than in a meeting held pursuant to this subpart) between or among themselves or with any other member of a petroleum industry group created by the International Energy Agency, or subgroup thereof for the purpose of carrying out a voluntary agreement or developing or carrying out a plan of action under this subpart, except that where there are several communications within the same day involving the same participants, they may keep a cumulative record for the day. The parties to a communication may agree among themselves who shall keep such record. Such record shall include the names of the parties to the communication and the organizations, if any, which they represent; the date of communication; the means of communication, and a description of the communication in sufficient detail to convey adequately its substance.
              (2) Where any communication is written (including, but not limited to, telex, telegraphic, telecopied, microfilmed and computer printout material), and where such communication demonstrates on its face that the originator or some other source furnished a copy of the communication to the Office of International Affairs, Department of Energy with the notation “Voluntary Agreement” on the first page of the document, no participants need record such a communication or send a further copy to the Department of Energy. The Department of Energy may, upon written notice to participants, from time to time, or with reference to particular types of documents, require deposit with other offices or officials of the Department of Energy. Where such communication demonstrates that it was sent to the Office of International Affairs, Department of Energy with the notation “Voluntary Agreement” on the first page of the document, or such other offices or officials as the Department of Energy has designated pursuant to this section, it shall satisfy paragraph (c) of this section, for the purpose of deposit with the Department of Energy.
              (3) To the extent that any communication is procedural, administrative or ministerial (for example, if it involves the location of a record, the place of a meeting, travel arrangements, or similar matters) only a brief notation of the date, time, persons involved and description of the communication need be recorded; except that during an IEA emergency allocation exercise or an allocation systems test such a non-substantive communication between members of the Industry Supply Advisory Group (ISAG) which occur within IEA headquarters need not be recorded.
              (4) To the extent that any communication involves matters which recapitulate matters already contained in a full and complete record, the substance of such matters shall be identified, but need not be recorded in detail, provided that reference is made to the record and the portion thereof in which the substance is fully set out.

              (c) Except where the Department of Energy otherwise provides, all records and transcripts prepared pursuant to paragraphs (a) and (b) of this section, shall be deposited within seven (7) days after the close of the week (ending Saturday) of their preparation during an international energy supply emergency or a test of the IEA emergency allocation system, and within fifteen (15) days after the close of the month of their preparation during periods of non-emergency, together with any agreement resulting therefrom, with the Department of Energy and shall be available to the Department of Justice, the Federal Trade Commission, and the Department of State. Such records and transcripts shall be available for public inspection and copying to the extent set forth in subpart D. Any person depositing materials pursuant to this section shall indicate with particularity what portions, if any, the person believes are not subject to disclosure to the public pursuant to subpart D and the reasons for such belief.
              (d) Any meeting between a participant and an official of DOE for the purpose of carrying out a voluntary agreement or developing or carrying out a plan of action shall, if not otherwise required to be recorded pursuant to this section, be recorded by such official as provided in § 204.5.
              (e) During international oil allocation under chapters III and IV of the IEP or during an IEA allocation systems test, the Department of Energy may issue such additional guidelines amplifying the requirements of these regulations as the Department of Energy determines to be necessary and appropriate.
              (Approved by the Office of Management and Budget under Control No. 1905-0067)
              (Federal Energy Administration Act of 1974, Pub. L. 93-275, as amended; E.O. 11790, 39 FR 23185; E.O. 11930, 41 FR 32397; Energy Policy and Conservation Act, Pub. L. 94-163; E.O. 11912, 41 FR 15825; Department of Energy Organization Act, Pub. L. 95-91, 91 Stat. 565, E.O. 12009, 42 FR 46267)
              [41 FR 6754, Feb. 13, 1976, as amended at 43 FR 12854, Mar. 28, 1978; 46 FR 63209, Dec. 31, 1981]

            Subpart D—Availability of Information Relating to Meetings and Communications

              § 209.41
              Availability of information relating to meetings and communications.
              (a) Except as provided in paragraph (b) of this section, records or transcripts prepared pursuant to this subpart shall be available for public inspection and copying in accordance with section 552 of title 5, United States Code and part 202 of this title.
              (b) Matter may be withheld from disclosure under section 552(b) of title 5 only on the grounds specified in:
              (1) Section 552(b)(1), applicable to matter specifically required by Executive Order to be kept secret in the interest of the national defense or foreign policy. This section shall be interpreted to include matter protected under Executive Order No. 11652 of March 8, 1972, establishing categories and criteria for classification, as well as any other such orders dealing specifically with disclosure of IEP related materials;
              (2) Section 552(b)(3), applicable to matter specifically exempted from disclosure by statute; and
              (3) So much of section 552(b)(4) as relates to trade secrets.

          Pt. 210
          PART 210—GENERAL ALLOCATION AND PRICE RULES

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

            Subpart A—Recordkeeping

              § 210.1
              Records.

              (a) The recordkeeping requirements that were in effect on January 27, 1981, in parts 210, 211, and 212 will remain in effect for (1) all transactions prior to February 1, 1981; and (2) all allowed expenses incurred and paid prior to April 1, 1981 under § 212.78 of part 212. These requirements include, but are not limited to, the requirements that were in effect on January 27, 1981, in § 210.92 of this part; in §§ 211.67(a)(5)(ii); 211.89; 211.109, 211.127; and 211.223 of part 211; and in §§ 212.78(h)(5)(ii); 212.78(h)(6); 212.83(c)(2)(iii)(E)(I); 212.83(c)(2)(iii)(E)(II); 212.83(c)(2)(iii); “Fi t”; 212.83(i); 212.93(a); 212.93(b)(4)(iii)(B)(I); 212.93(i)(4); 212.94(b)(2)(iii); 212.128; 212.132; 212.172; and § 212.187 of part 212.

              (b) Effective February 5, 1985, paragraph (a) of this section shall apply, to the extent indicated, only to firms in the following categories. A firm may be included in more than one category, and a firm may move from one category to another. The fact that a firm becomes no longer subject to the recordkeeping requirements of one category shall not relieve that firm of compliance with the recordkeeping requirements of any other category in which the firm is still included.
              (1) Those firms which are or become parties in litigation with DOE, as defined in paragraph (c)(1) of this section. Any such firm shall remain subject to paragraph (a) of this section. DOE shall notify the firm in writing of the final resolution of the litigation and whether or not any of its records must be maintained for a further period. DOE shall notify a firm which must maintain any records for a further period when such records are no longer needed.
              (2)(i) Those firms which as of November 30 1984, have completed making all restitutionary payments required by an administrative or judicial order, consent order, or other settlement or order but which payments are on February 5, 1985, still subject to distribution by DOE. This requirement is applicable to only those firms listed in appendix B. Any such firm shall maintain all records for the time period covered by the administrative or judicial order, consent order, or other settlement or order requiring the payments, evidencing sales volume data for each product subject to controls and customers' names and addresses, until one of the following: June 30, 1985, unless this period is extended on a firm-by-firm basis; the end of the individual firm's extension; or the firm is notified in writing that its records are no longer needed.
              (ii) Those firms which as of November 30, 1984, are required to make restitutionary or other payments pursuant to an administrative or judicial order, consent order, or other settlement or order. Any such firm shall remain subject to paragraph (a) of this section until the firm completes all restitutionary payments required by the administrative or judicial order, consent order, or other settlement or order. However, after completing all such payments, a firm shall maintain all records described in paragraph (b)(2)(i) of this section until one of the following: Six months after the firm completes all such payments, unless this period is extended on a firm-by-firm basis; the end of the individual firm's extension; or the firm is notified in writing that its records are no longer needed.
              (3)(i) Those firms with completed audits in which DOE has not yet made a determination to initiate a formal enforcement action and firms under audit which do not have outstanding subpoenas. Any such firm shall maintain all records for the period covered by the audit including all records necessary to establish historical prices or volumes which serve as the basis for determining the lawful prices or volumes for any subsequent regulated transaction which is subject to audit, until one of the following: June 30, 1985, unless this period is extended on a firm-by-firm basis; the end of the individual firm's extension; or the firm is notified in writing by DOE that its records are no longer needed. However, if a firm in this group shall become a party in litigation, the firm shall then be subject to the recordkeeping requirements for firms in litigation set forth in paragraph (b)(1) of this section.
              (ii) Those firms under audit which have outstanding subpoenas on February 5, 1985, or which receive subpoenas at any time thereafter or which have supplied records for an audit as the result of a subpoena enforced after November 1, 1983. Any such firm shall remain subject to paragraph (a) of this section until two years after ERA has notified the firm in writing that is in full compliance with the subpoena or until ERA has received from the firm a sworn certification of compliance with the subpoena as required by 10 CFR 205.8. However, if a firm in this group shall become a party in litigation, the firm shall then be subject to the recordkeeping requirements for firms in litigation set forth in paragraph (b)(1) of this section.

              (4) Those firms which are subject to requests for data necessary to verify that crude oil qualifies as “newly discovered” crude oil under 10 CFR 212.79. Any such firm shall maintain the records evidencing such data until one of the following: June 30, 1985, unless this period is extended on a firm-by-firm basis; the end of an individual firm's extension; or the firm is notified in writing by DOE that its records are no longer needed. However, if a firm in this group shall become a party in litigation, the firm shall then be subject to the recordkeeping requirements for firms in litigation set forth in paragraph (b)(1) of this section.
              (5) Those firms whose records are determined by DOE as necessary to complete the enforcement activity relating to another firm which is also subject to paragraph (a) of this section unless such firms required to keep records have received certified notice letters specifically describing the records determined as necessary. At that time, the specific notice will control the recordkeeping requirements. These firms have been identified in appendix A. Any such firm shall maintain these records until one of the following: June 30, 1985, unless this period is extended on a firm-by-firm basis; the end of the individual firm's extension; or the firm is notified in writing by DOE that its records are no longer needed.

              (6) Those firms which participated in the Entitlements program. Any such firm shall maintain its Entitlements-related records until six months after the final judicial resolution (including any and all appeals) of Texaco v. DOE, Nos. 84-391, 84-410, and 84-456 (D. Del.), or the firm is notified by DOE that its records are no longer needed, whichever occurs first.
              (c) For purposes of this section:
              (1) A firm is “a party in litigation” if:
              (i)(A) The firm has received a Notice of Probable Violation, a Notice of Probable Disallowance, a Proposed Remedial Order, or a Proposed Order of Disallowance; or

              (B) The firm and DOE are parties in a lawsuit arising under the Emergency Petroleum Allocation Act of 1973, as amended (15 U.S.C. 751 et seq.) or 10 CFR parts 205, 210, 211, or 212; and
              (ii)(A) There has been no final (that is, non-appealable) administrative or judicial resolution, or
              (B) DOE has not informed the firm in writing that the Department has completed its review of the matter.
              (2) A firm means any association, company, corporation, estate, individual, joint-venture, partnership, or sole proprietorship, or any other entity, however organized, including charitable, educational, or other eleemosynary institutions, and state and local governments. A firm includes a parent and the consolidated and unconsolidated entities (if any) which it directly or indirectly controls.

                Appendix A to 10 CFR 210.1—Third Party Firms
                Name of Firm
                A & R, Inc.
                A. J. Petroleum
                ADA Resources, Inc.
                ATC Petroleum
                Abbco Petroleum, Inc.
                Ada Oil Company
                Adams Grocery
                Advanced Petroleum Distributing Co.
                Agway Inc.
                Allegheny Petroleum Corp.
                Alliance Oil and Refining Company
                Allied Chemical Corp.
                Allied Transport
                Amerada Hess Corp.
                American Natural Crude Oil Assoc.
                Amoco Production Company
                Amorient Petroleum, Inc.
                An-Son Transportation Co.
                Anadarko Products Co.
                Andrus Energy Corp.
                Antler Petroleum
                Arco Pipeline Company
                Armada Petroleum Corp.
                Armour Oil Company
                Arnold Brooks Const. Inc.
                Ashland Oil
                Asiatic Petroleum Co.
                Aspen Energy, Inc.
                Athens General Hospital
                Atlantic Pacific Energy, Inc.
                Atlas Processing Company
                B & B Trading Company
                BLT, Inc.
                BPM, Ltd.
                Baker Services, Inc.
                Basin Inc.
                Basin Petroleum, Inc.
                Beacon Hill Mobil
                Belcher Oil Company
                Bighart Pipeline Company
                Bigheart Pipeline Corp
                Bowdoin Square Exxon
                Bowdoin Super Service (Sunoco)
                Brio Petroleum, Inc.
                Brixon
                C.E. Norman
                CPI Oil & Refining
                CRA-Farmland Industries, Inc.
                Calcaseiu Refining, Ltd.
                Carbonit Houston, Inc.
                Carr Oil Company, Inc.
                Castle Coal & Oil Co.

                Central Crude Corporation
                Century Trading Co.
                Charter Crude Oil
                Chastain Vineyard
                Chevron USA, Inc.
                Cibro Petroleum, Inc.
                Cirillo Brothers
                Cities Service (Citgo) Station
                Cities Service Company
                Cities Service Midland
                City of Athens
                Clarke County Board of Education
                Claude E. Silvey
                Coastal Corporation (The)
                Coastal Petroleum and Supply Inc.
                Coastal States Trading Company
                Commonwealth Oil Refining Co., Inc.
                Coral Petroleum Canada, Inc.
                Coral Petroleum, Inc.
                Corex of Georgia
                Cothran Interstate Exxon
                Couch's Standard Chevron
                Cougar Oil Marketers Inc.
                Crude Company (The)
                Crystal Energy Corporation
                Crystal Refining
                D & E Logging
                DDC Corporation of America
                Darrell Williamson
                Davis Ellis
                Days Inn of America, Inc.
                Delta Petroleum & Energy Corp.
                Derby & Company, Inc.
                Derby Refining Company
                Dewveall Petroleum
                Dixie Oil Company
                Dixon Oil Co.
                Don Hardy
                Donald Childs
                Dow Chemical Company
                Dr. Joe L. Griffeth
                Driver Construction Co.
                Drummond Brothers, Inc.
                Duffie Monroe & Sons Co., Inc.
                ECI (A/K/A Energy Cooperative Inc.)
                Earnest Dalton
                Earth Resources Trading
                Eastern Seaboard Petroleum, Inc.
                Elmer Hammon
                Elvin Knight
                Empire Marketing, Inc.
                Encorp.
                Energy Cooperative, Inc.
                Energy Distribution Co.
                Englehard Corporation
                Englehard Oil Corporation
                Entex
                Evans Oil Co.
                Exxon Company
                F & S Trading Company, Inc.
                Farmers Union Central Exchange, Inc.
                Farmland Industries Inc.
                Fasgo, Inc.
                Fedco Oil Company
                Federal Employees Distributing Co.
                Fitzpatrick Spreader
                Flutz Oil Company
                Flying J. Inc.
                Foremost Petroleum
                Four Corners Pipe Line
                Frank Katz
                Frank W. Abrahamsen
                Frank's Butane, Inc.
                Friendswood Refinery
                Frontier Manor Collection
                Fuel Oil Supply & Terminaling, Inc.
                G. C. Clark Company
                GPC Marketing Company
                Gary Refining Co.
                Geer Tank Trucks, Inc.
                Gene Clary
                Gene McDonald
                General Crude Oil Company
                Geodynamics Oil & Gas Inc.
                George Kennedy
                George Smith Chevron
                Gleason Oil Company
                Glenn Company
                Globe Oil Co.
                Godfrey's Standard Service
                Good Hope Industries, Inc.
                Good Hope Refineries, Inc.
                Granite Oil Company
                Guam Oil & Refining Co., Inc.
                Gulf States Oil & Refining Company
                H. D. Adkinson
                H. H. Dunson
                H.S. & L, Inc.
                HNG Oil Company
                Harbor Petroleum, Inc.
                Harbor Trading
                Harmony Grove Mills, Inc.
                Harry Rosser
                Hast Oil, Inc.
                Heet Gas Company
                Henry Alva Mercer
                Herndon Oil & Gas Company
                Horizon Petroleum Company
                Houston Oil & Minerals Products Co.
                Houston Oil & Refining
                Howell Corporation
                Hurricane Trading Company, Inc.
                Hydrocarbon Trading and Transport Co.
                Inco Trading
                Independent Refining Corp.
                Independent Trading Corporation
                Indiana Refining, Inc.
                Intercontinental Petroleum Corp.
                International Crude Corporation
                International Petro
                International Petroleum Trading, Inc.
                International Processors
                Isthmus Trading Corporation
                J & M Transport
                J. & J.'s Fast Stop
                J. A. Rackerby Corporation
                J. H. Baccus
                J. H. Baccus & Co.
                J. J. Williamson
                J. M. Petroleum Corporation
                JPK Industries
                Jack W. Grigsby
                Jaguar Petroleum, Inc.
                James L. Bush

                Jay Petroleum Company
                Jay-Ed Petroleum Company
                John W. McGowan
                Kalama Chemical, Inc.
                Kelly Trading Corp.
                Kenco Refining
                Kerr-McGee Corporation
                Koch Fuel
                Koch Industries, Inc.
                Kocolene Oil
                Kocolene Station
                L & L Resources, Inc.
                L.S. Parker
                LaGloria Oil & Gas
                LaJet, Inc.
                Lamar Refining Co.
                Langham Petroleum Corp.
                Larry Roberts
                Laurel Oil, Inc.
                Lee Allen
                Lincoln Land Sales Company
                Listo Petroleum Inc.
                Longview Refining Corp.
                Love's Standard
                Lucky Stores Inc.
                M.L. Morrow
                Magna Energy Corporation
                Magnolia Oil Company
                Mansfield Oil Co.
                Mapco Petroleum, Inc.
                Mapco, Inc.
                Marion Trading Co.
                Marlex Oil & Refining, Inc.
                Marlin Petroleum, Inc.
                Martin Oil Company
                Mathew's Grocery
                McAuleep Oil Co.
                McAuley Oil Company
                Meadows Gathering, Inc.
                Mellon Energy Products Co.
                Merit Petroleum, Inc.
                Metro Wash, Inc.
                Miller Oil Purchasing Co.
                Minor Oil, Inc.
                Minro Oil, Inc.
                Mitchell Oil Co.
                Mitsui & Co. (USA) Inc.
                Mobil Bay Refining Company
                Montgomery Well Drilling
                Mundy Food Market
                Munford, Inc.
                Mutual Petroleum
                NRG Oil Company
                National Convenience Stores
                National Cooperative Refinery
                Nicholson Grocery and Gas
                North American Petroleum
                Northeast Petroleum Corp.
                Northeast Petroleum Corporation
                Northgate Auto Center
                Northwest Crude, Inc.
                Nova Refining Corp.
                Occidental Petroleum Corp. (includes Permia)
                Ocean Drilling and Exploration Co.
                Oil Exchange, Inc.
                Oilco
                Omega Petroleum Corp.
                Otoe Corporation
                Oxxo Energy Group, Inc.
                P & O Falco, Inc.
                P. L. Heatley Co.
                PEH, Inc.
                PIB, Inc.
                PSW Distributors Company
                Pacific Refinery, Inc.
                Pacific Resources, Inc.
                Pan American Products Corp.
                Par Brothers Food Store
                Pauley Petroleum Inc.
                Pennzoil Co.
                Permian Corporation (The)
                Pescar International Corp.
                Pescar International Trading Co.
                Petraco (U.S.A.) Inc.
                Petrade International
                Petrol Products, Inc.
                Phillips Petroleum Company
                Phoenis Petroleum Co.
                Phoenix Petroleum Co.
                Pine Mountains
                Poole Petroleum
                Port Petroleum
                Presley Oil Co.
                Procoil Inc.
                Publiker Industries, Inc.
                Pyramid Dist. Co., Inc.
                Questor Crude Oil Company
                Quitman Refining Co.
                R. H. Garrett Paving
                Ra-Gan Fuel, Inc.
                Reeder Distributing Co.
                Reeder Distributors
                Reese Exploration Co.
                Research Fuels Inc.
                Revere Petroleum Co.
                Richardson-Ayres, Inc.
                Robert Bishop
                Robert Patrick
                Roberts Grocery
                Rock Island Refining Corporation
                Rogers Oil Company
                Roy Baerne
                Russell Oil Company
                S. G. Coplen
                SECO (Scruggs Energy)
                Saber Crude Oil, Inc.
                Saber Refining Company
                Salem Ventures, Inc.
                Samson Resources Company
                Santa Fe Energy Products Co.
                Saye's Truck Stop
                Scandix Oil Limited
                Score, Inc.
                Scruggs Energy Company
                Scurlock Oil Company
                Scurry Oil Company
                Seamount Petroleum Company
                Seaview Petroleum Company
                Sector Refining, Inc.
                Selfton Miller
                Shepherd Trading Corporation
                Shulze Processing
                Sigmor Corporation

                Skelly Oil Company
                South Hampton Refining Company
                South Texas LP Gas Co.
                Southern Crude Oil Resources
                Southern Terminal & Transport, Ltd.
                Southern Union Company
                Southwest Petro. Energy
                Southwest Petrochem
                Standard Oil Co. (Ohio)
                Standard Oil Co. of California
                Standard Oil Company (Indiana)
                Standard Oil Company (Ohio)
                Sterling Energy Company
                Steve Childs
                Stix Gas Company, Inc.
                Sunset Grocery
                Sunset Oil & Refining, Inc.
                Swanee Petroleum Company
                T & P Enterprises
                T. B. Eley
                T. E. Jawell
                Tauber Oil Company
                Tenneco, Inc.
                Tesoro Crude Oil Company
                Texana Oil & Gas Corp.
                Texas American Petrochemicals (TAP)
                Texas City Refining
                Texas Eastern Transmission Corp.
                Texas Energy Reserve Corporation
                Texas Pacific Oil Company
                Thomas Cockvell
                Thomas Petroleum Products, Inc.
                Thorton Oil Company
                Thyssen Incorporated
                Tiger Petroleum Company
                Time Oil Co.
                Tipperary Refining Company
                Tom Banks
                Tom Smith
                Tomlinson Petroleum, Inc.
                Tosco Corporation
                Total Petroleum, Inc.
                Trans-Texas Petroleum Corp.
                Transco Trading Company
                Turboil Oil and Refining
                Two Rivers Oil & Gas Co., Inc.
                U-Fill 'er Up
                USA Gas, Inc.
                Uni Oil Company
                Union Oil of California
                Doram Energy
                United Petroleum Marketing
                United Refining Company
                United Refining, Inc.
                Universal Rundle
                Val-Cap, Inc.
                Vedetta Oil Trading, Inc.
                Vedette Oil Trading, Inc.
                Vickers Energy Corp.
                W. C. Colquitt
                W. T. Strickland
                W. W. Blanton
                W.A. Nunnally, Jr., Construction Co.
                W.D. Porterfiled
                Wellven, Inc.
                West Texas Marketing Corp.
                Western Crude Oil, Inc.
                Western Fuels, Inc.
                Wight Nurseries of Oglethorpe Co.
                William Seabolt
                Wilson's Used Tractors
                Windsor Gas Corp.
                Wyoming Refining

                Appendix B to 10 CFR 210.1—Firms With Completed Payments Subject to Distribution
                The following firms have completed making restitutionary payments to DOE but their payments are still subject to distribution by DOE. Each such firm must maintain relevant records until June 30, 1985, unless this period is extended on a firm-by-firm basis. Relevant records are all records of the firm, including any affiliates, subsidiaries or predecessors in interest, for the time period covered by the judicial or administrative order, consent order, or other settlement or order requiring the payments, evidencing sales volume data for each product subject to controls and customers' names and addresses.

                  Name of firm
                  Location

                  A. Tarricone Inc
                  Yonkers, NY.

                  Adolph Coors Company
                  Golden, CO.

                  Allied Materials Corp & Excel
                  Oklahoma City, OK.

                  Aminoil USA, Inc
                  Houston, TX.

                  Amtel, Inc
                  Providence, RI.

                  Apache Corporation
                  Minneapolis, MN.

                  APCO Oil Corporation
                  Oklahoma City, OK.

                  Arapaho Petroleum, Inc
                  Breckenridge, TX.

                  Arkansas Louisiana Gas Company
                  Shreveport, LA.

                  Arkla Chemical Corporation
                  Shreveport, LA.

                  Armour Oil Company
                  San Diego, CA.

                  Associated Programs Inc
                  Boca Raton, FL.

                  Atlanta Petroleum Production
                  Fort Worth, TX.

                  Automatic Heat, Inc

                  Ayers Oil Company
                  Canton, MD.

                  Aztex Energy Corporation
                  Knoxville, TN.

                  Bak Ltd
                  Narbeth, PA.

                  Bayou State Oil/IDA Gasoline
                  Shreveport, LA.

                  Bayside Fuel Oil Depot Corp
                  Brooklyn, NY.

                  Belridge Oil Company
                  Los Angeles, CA.

                  Blaylock Oil Co., Inc
                  Homestead, FL.

                  Blex Oil Company
                  Minneapolis, MN.

                  Boswell Oil Company
                  Cincinnati, OH.

                  Box, Cloyce K
                  Dallas, TX.

                  Breckenridge Gasoline Company
                  Kansas City, KS.

                  Brownlie, Wallace, Armstrong
                  Denver, CO.

                  Bucks Butane & Propane Service
                  San Jose, CA.

                  Budget Airport Associates
                  Los Angeles, CA.

                  Busler Enterprises Inc
                  Evansville, IN.

                  Butler Petroleum Corp
                  Butler, PA.

                  C.K. Smith & Company, Inc
                  Worcester, MA.

                  Cap Oil Company
                  Tulsa, OK.

                  Champlain Oil Co., Inc
                  South Burlington, VT.

                  Chapman, H.A
                  Tulsa, OK.

                  Cibro Gasoline Corporation
                  Bronx, NY.

                  City Service Inc
                  Kalispell, MT.

                  Coastal Corporation
                  Houston, TX.

                  Coline Gasoline Corporation
                  Santa Fe Springs, CA.

                  Collins Oil Co
                  Aurora, IL.

                  Columbia Oil Co
                  Hamilton, OH.

                  Conlo Service Inc
                  East Farmingdale, NY.

                  Conoco, Inc
                  Houston, TX.

                  Consolidated Gas Supply Corp
                  Hastings, WV.

                  Consolidated Leasing Corp
                  Los Angeles, CA.

                  Consumers Oil Co
                  Rosemead, CA.

                  Continental Resources Company
                  Winter Park, FL.

                  Cordele Operating Co
                  Corsicana, TX.

                  Cosby Oil Co., Inc
                  Whittier, CA.

                  Cougar Oil Co
                  Selma, AL.

                  Cross Oil Co., Inc
                  Wellstone, MO.

                  Crystal Oil Company (formerly Vallery Corp.)
                  Shreveport, LA.

                  Crystal Petroleum Co
                  Corpus Christi, TX.

                  Devon Corporation
                  Oklahoma City, OK.

                  Dorchester Gas Corp
                  Dallas, TX.

                  E.B. Lynn Oil Company
                  Allentown, PA.

                  E.M. Bailey Distributing Co
                  Paducah, KY.

                  Eagle Petroleum Co
                  Wichita Falls, TX.

                  Earls Broadmoor
                  Houma, LA.

                  Earth Resources Co
                  Dallas, TX.

                  Eastern Petroleum Corp
                  Annapolis, MD.

                  Edington Oil Co
                  Los Angeles, CA.

                  Elias Oil Company
                  West Palm Beach, FL.

                  Elm City Filling Stations, Inc
                  New Haven, CT.

                  Empire Oil Co
                  Bloomington, CA.

                  Endicott, Eugene
                  Redmond, OR.

                  Enserch Corp
                  Dallas, TX.

                  Enterprise Oil & Gas Company
                  Detroit, MI.

                  F.O. Fletcher, Inc
                  Tacoma, WA.

                  Fagadau Energy Corporation
                  Dallas, TX.

                  Farstad Oil Company
                  Minot, ND.

                  Field Oil Co., Inc
                  Ogden, UT.

                  Fine Petroleum Co., Inc
                  Norfolk, VA.

                  Foster Oil Co
                  Richmond, MI.

                  Franks Petroleum Inc
                  Shreveport, LA.

                  Froesel Oil Co

                  Gas Systems Inc
                  Ft. Worth, TX.

                  Gate Petroleum Co., Inc
                  Jacksonville, FL.

                  GCO Minerals Company
                  Houston, TX.

                  Getty Oil Company
                  Los Angeles, CA.

                  Gibbs Industries, Inc
                  Revere, MA.

                  Glaser Gas Inc
                  Calhoun, CO.

                  Glover, Lawrence H
                  Patchogue, NY.

                  Goodman Oil Company
                  Boise, ID.

                  Grant Rent a Car Corporation
                  Los Angeles, CA.

                  Grimes Gasoline Co
                  Tulsa, OK.

                  Gulf Energy & Development Corp. (also known as Gulf Energy Development Corp.)
                  San Antonio, TX.

                  Gulf Oil Corp
                  Houston, TX.

                  Gull Industries, Inc
                  Seattle, WA.

                  H.C. Lewis Oil Co
                  Welch, WV.

                  Hamilton Brothers Petroleum Co
                  Denver, CO.

                  Harris Enterprise Inc
                  Portland, OR.

                  Heller, Glenn Martin
                  Boston, MA.

                  Hendel's Inc
                  Waterford, CT.

                  Henry H. Gungoll Associates
                  Enid, OK.

                  Hertz Corporation, The
                  New York, NY.

                  Hines Oil Co
                  Murphysboro, IL.

                  Horner & Smith, A Partnership
                  Houston, TX.

                  Houston Natural Gas Corp
                  Houston, TX.

                  Howell Corporation/Quintana Refinery Co
                  Houston, TX.

                  Hunt Industries
                  Dallas, TX.

                  Hunt Petroleum Corp
                  Dallas, TX.

                  Husky Oil Company of Delaware
                  Cody, WY.

                  Ideal Gas Co., Inc
                  Nyassa, OR.

                  Independent Oil & Tire Company
                  Elyria, OH.

                  Inland USA, Inc
                  St. Louis, MO.

                  Inman Oil Co
                  Salem, MO.

                  Internorth, Inc
                  Omaha, NE.

                  J.E. DeWitt, Inc
                  South El Monte, CA.

                  J.M. Huber Corp
                  Houston, TX.

                  James Petroleum Corp
                  Bakersfield, CA.

                  Jay Oil Company
                  Fort Smith, AR.

                  Jimmys Gas Stations Inc
                  Auburn, ME.

                  Jones Drilling Corporation
                  Duncan, OK.

                  Juniper Petroleum Corporation
                  Denver, CO.

                  Kansas-Nebraska Natural Gas Co
                  Hastings, NE.

                  Keller Oil Company, Inc
                  Effingham, IL.

                  Kenny Larson Oil Co., Inc

                  Kent Oil & Trading Company
                  Houston, TX.

                  Key Oil Co., Inc
                  Tuscaloosa, AL.

                  Key Oil Company
                  Bowling Green, KY.

                  Kiesel Co
                  St. Louis, MO.

                  King & King Enterprise
                  Kansas City, MO.

                  Kingston Oil Supply Corp
                  Port Ewen, NY.

                  Kirby Oil Company

                  L & L Oil Co., Inc
                  Belle Chasse, LA.

                  L.P. Rech Distributing Co
                  Roundup, MT.

                  La Gloria Oil and Gas Co
                  Houston, TX.

                  Lakes Gas Co., Inc
                  Forest Lake, MN.

                  Lakeside Refining Co./Crystal
                  Southfield, MI.

                  Landsea Oil Company
                  Irvine, CA.

                  Leathers Oil Co., Inc
                  Portland, OR.

                  Leese Oil Company
                  Pocatello, ID.

                  Leonard E. Belcher, Inc
                  Springfield, MA.

                  Lincoln Land Oil Co
                  Springfield, IL.

                  Liquid Products Recovery
                  Houston, TX.

                  Little America Refining Co
                  Salt Lake City, UT.

                  Lockheed Air Terminal Inc
                  Burbank, CA.

                  Lowe Oil Company
                  Clinton, MO.

                  Lucia Lodge Arco
                  Big Sur, CA.

                  Luke Brothers Inc
                  Calera, OK.

                  Lunday Thargard Oil
                  South Gate, CA.

                  Malco Industries Inc
                  Cleveland, OH.

                  Mapco, Inc
                  Tulsa, OK.

                  Marine Petroleum Co
                  St. Louis, MO.

                  Marlen L. Knutson Dist. Inc
                  Stanwood, WA.

                  Martin Oil Service, Inc
                  Blue Island, IL.

                  Martinoil Company
                  Fresno, CA.

                  Marvel Fuel Oil and Gas Co

                  McCarty Oil Co
                  Wapakoneta, OH.

                  McCleary Oil Co., Inc
                  Chambersburg, OH.

                  McClure's Service Station
                  Salisbury, PA.

                  McTan Corporation
                  Abilene, TX.

                  Mesa Petroleum Company
                  Amarillo, TX.

                  Midway Oil Co
                  Rock Island, IL.

                  Midwest Industrial Fuels, Inc
                  La Crosse, WI.

                  Mississippi River Transmission
                  St. Louis, MO.

                  Mitchell Energy Corp
                  Woodlands, TX.

                  Montana Power Co
                  Butte, MT.

                  Moore Terminal and Barge Co
                  Monroe, LA.

                  Mountain Fuel Supply Company
                  Salt Lake City, UT.

                  Moyle Petroleum Co
                  Rapid City, SD.

                  Mustang Fuel Corporation
                  Oklahoma City, OK.

                  Naphsol Refining Company
                  Muskegon, MI.

                  National Helium Corporation
                  Liberal, KS.

                  National Propane Corp
                  Wyandanch, NY.

                  Navajo Refining Company
                  Dallas, TX.

                  Nielson Oil & Propane, Inc
                  West Point, NE.

                  Northeast Petroleum Industries
                  Chelsea, MA.

                  Northeastern Oil Co., Inc
                  Gillette, WY.

                  Northwest Pipeline Corp
                  Salt Lake City, UT.

                  O'Connell Oil Co
                  Pittsfield, MA.

                  Oceana Terminal Corp. et al
                  Bronx, NY.

                  OKC Corporation
                  Dallas, TX.

                  Olin Corporation
                  Stamford, CT.

                  Oneok Incorporation
                  Tulsa, OK.

                  Ozona Gas Processing Plant
                  Tyler, TX.

                  Pacer Oil Co. of Florida, Inc
                  Ormond Beach, FL.

                  Pacific Northern Oil
                  Seattle, WA.

                  Panhandle Eastern (Century)
                  Houston, TX.

                  Parade Company
                  Shreveport, LA.

                  Parham Oil Corporation
                  Nashville, TN.

                  Pasco Petroleum Co., Inc
                  Phoenix, AZ.

                  Pedersen Oil, Inc
                  Silverdale, WA.

                  Pennzoil Company
                  Houston, TX.

                  Perry Gas Processors, Inc
                  Odessa, TX.

                  Peoples Energy Corp
                  Chicago, IL.

                  Perta Oil Marketing Corp
                  Beverly Hills, CA.

                  Peterson Petroleum Inc
                  Hudson, NY.

                  Petro-Lewis Corp
                  Denver, CO.

                  Petrolane-Lomita Gasoline Co
                  Long Beach, CA.

                  Petroleum Heat & Power Co. Inc
                  Stamford, CT.

                  Petroleum Sales/Services Inc
                  Buffalo, NY.

                  Pioneer Corp
                  Amarillo, TX.

                  Planet Engineers Inc
                  Denver, CO.

                  Plateau, Inc
                  Albuquerque, NM.

                  Plaquemines Oil Sales
                  Belle Chasse, LA.

                  Point Landing Inc
                  Hanrahan, LA.

                  Port Oil Company, Inc
                  Mobile, AL.

                  Post Petroleum Co
                  West Sacramento, CA.

                  Power Pak Co., Inc
                  Houston, TX.

                  Pride Refining, Inc
                  Abilene, TX.

                  Pronto Gas Co
                  Abilene, TX.

                  Propane Gas & Appliance Co
                  New Brockton, AL.

                  Prosper Energy Corporation
                  Dallas, TX.

                  Pyro Energy Corporation
                  Evansville, IN.

                  Pyrofax Gas Corporation
                  Houston, TX.

                  Quaker State Oil
                  Oil City, PA.

                  Quarles Petroleum, Inc
                  Fredericksburg, VA.

                  Resources Extraction Process
                  Houston, TX.

                  Reynolds Oil Co
                  Kremling, CO.

                  Richardson Ayers Jobbers, Inc
                  Alexandria, LA.

                  Riverside Oil, Inc
                  Evansville, IN.

                  Roberts Oil Co. Inc
                  Albuquerque, NM.

                  Rookwood Oil Terminals Inc
                  Cincinnati, OH.

                  Saber Energy, Inc
                  Houston, TX.

                  Sanesco Oil Co
                  Escondido, CA.

                  Schroeder Oil Company
                  Carroll, IA.

                  Seminole Refining Inc
                  St. Marks, FL.

                  Sid Richardson Carbon & Gas
                  Ft. Worth, TX.

                  Sigmore Corporation
                  San Antonio, TX.

                  Southwestern Refining Co., Inc
                  Salt Lake City, UT.

                  Speedway Petroleum Co., Inc
                  Fitchburg, MA.

                  St. James Resources Corp
                  Boston, MA.

                  Standard Oil Co. (Indiana)
                  Chicago, IL.

                  Stinnes Inter Oil Inc
                  New York, NY.

                  Tenneco Oil Company
                  Houston, TX.

                  Texas/Arkansas/Colorado/Oklahoma/Oil Purchasing
                  Dallas, TX.

                  Texas Gas & Exploration
                  Dallas, TX.

                  Texas Oil & Gas Corporation
                  Dallas, TX.

                  Texas Pacific Oil Company, Inc
                  Dallas, TX.

                  The True Companies
                  Casper, WY.

                  Thompson Oil Inc
                  Purcellville, VA.

                  Tiger Oil Co
                  Yakima, WA.

                  Time Oil Company
                  Seattle, WA.

                  Tipperary Corp
                  Midland, TX.

                  Tippins Oil & Gas Co
                  Richmond, MO.

                  Triton Oil & Gas Corp
                  Dallas, TX.

                  U.S. Compressed Gas Company
                  King of Prussia, PA.

                  U.S. Oil Company
                  Combined Locks, WI.

                  U.S.A. Petroleum, Inc
                  Santa Monica, CA.

                  Union Texas Petroleum Corp
                  Houston, TX.

                  United Oil Company
                  Hillside, NJ.

                  Upham Oil & Gas Co
                  Mineral Wells, TX.

                  Vangas Inc
                  Fresno, CA.

                  VGS Corporation
                  Jackson, MS.

                  Waller Petroleum Company, Inc
                  Towson, MD.

                  Warren Holding Company
                  Providence, RI.

                  Warrior Asphalt Co. of Alabama
                  Tuscaloosa, AL.

                  Webco Southern Oil Inc
                  Smyrna, CA.

                  Wellen Oil Co
                  Jersey City, NJ

                  Wiesehan Oil Co

                  Willis Distributing Company
                  Erie, PA.

                  Winston Refining Company
                  Fort Worth, TX.

                  Witco Chemical Corporation
                  New York, NY.

                  World Oil Company
                  Los Angeles, CA.

                  Worldwide Energy Corp
                  Denver, CO.

                  Young Refining Corporation
                  Douglasville, GA.

                  Zia Fuels (G.G.C. Corp.)
                  Hobbs, NM.

              (Approved by the Office of Management and Budget under control number 1903-0073)
              [50 FR 4962, Feb. 5, 1985]

            Subparts B-D [Reserved]

          Pt. 212
          PART 212—MANDATORY PETROLEUM PRICE REGULATIONS

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

            Subparts A-C [Reserved]

            Subpart D—Producers of Crude Oil

              § 212.78
              Tertiary incentive crude oil.

                Annual prepaid expenses report. By January 31 of each year after 1980, the project operator with respect to any enhanced oil recovery project for which a report had been filed previously with DOE pursuant to paragraph (h)(2)(i) of this section as that paragraph was in effect on January 27, 1981, shall file with DOE a report in which the operator shall certify to DOE (a) which of the expenses that had been reported previously to DOE pursuant to paragraph (h)(2)(i) of this section as that paragraph was in effect on January 27, 1981, were prepaid expenses; (b) the goods or services for which such expenses had been incurred and paid; (c) the dates on which such goods or services are intended to be used; (d) the dates on which such goods or services actually are used; (e) the identity of each qualified producer to which such prepaid expenses had been attributed; and (f) the percentage of such prepaid expenses attributed to each such qualified producer. An operator shall file an annual prepaid expenses report each year until it has reported the actual use of all the goods and services for which a prepaid expense had been incurred and paid. For purposes of this paragraph, a prepaid expense is an expense for any injectant or fuel used after September 30, 1981, or an expense for any other item to the extent that IRS would allocate the deductions (including depreciation) for that item to the period after September 30, 1981.
              (Approved by the Office of Management and Budget under OMB Control No.: 1903-0069)
              [46 FR 43654, Aug. 31, 1981, as amended at 46 FR 63209, Dec. 31, 1981]

            Subparts E-I [Reserved]

          Pt. 215
          PART 215—COLLECTION OF FOREIGN OIL SUPPLY AGREEMENT INFORMATION

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

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

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

            § 215.1
            Purpose.
            The purpose of this part is to set forth certain requirements pursuant to section 13 of the Federal Energy Administration Act to furnish information concerning foreign crude oil supply arrangements. The authority set out in this section is not exclusive.

            § 215.2
            Definitions.
            As used in this subpart:

              Administrator means the Federal Energy Administrator or his delegate.

              DOE means the Department of Energy.

              Host government means the government of the country in which crude oil is produced and includes any entity which it controls, directly or indirectly.

              Person means any natural person, corporation, partnership, association, consortium, or any other entity doing business or domiciled in the U.S. and includes (a) any entity controlled directly or indirectly by such a person and (b) the interest of such a person in any joint venture, consortium or other entity to the extent of entitlement to crude oil by reason of such interest.

            § 215.3
            Supply reports.
            (a) Any person having the right to lift for export by virtue of any equity interest, reimbursement for services, exchange or purchase, from any country, from fields actually in production, (1) an average of 150,000 barrels per day or more of crude oil for a period of at least one year, or (2) a total of 55,000,000 barrels of crude oil for a period of less than one year, or (3) a total of 150,000,000 barrels of crude oil for the period specified in the agreement, pursuant to supply arrangements with the host government, shall report the following information.
            (1) Parties (including partners and percentage interest, where applicable).
            (2) Grade or grades available; loading terminal or terminals.
            (3) Government imposed production limits, if any.
            (4) Minimum lifting obligation and maximum lifting rights.
            (5) Details of lifting options within the above limits.
            (6) Expiration and renegotiation dates.
            (7) Price terms including terms of rebates, discounts, and number of days of credit calculated from the date of loading.
            (8) Other payments to or interests retained by the host government (i.e. taxes, royalties, and any other payment to the host government) expressed in terms of the applicable rates or payment or preemption terms, or the base to which those rates or terms are applied.
            (9) Related service or other fees and cost of providing services.
            (10) Restrictions on shipping or disposition.
            (11) Other material contract terms.

            (b) Reports under this section shall be made no later than (1) 60 days after final issuance of reporting forms implementing this regulation, as announced in the Federal Register, (2) fourteen days after the date when supply arrangements are entered into, or (3) fourteen days after the initial lifting under an agreement in which the parties have tentatively concurred but not signed, whichever occurs first. Reporting shall be based on actual practice between the parties. Material changes in any item which must be reported pursuant to this section shall be reported no later than 30 days after a person receives actual notice of such changes.
            (c) Where reports under this section by each participant in a joint operation would be impracticable, or would result in the submission of inaccurate or misleading information, the participants acting together may designate a single participant to report on any of the rights, obligations, or limitations affecting the operation as a whole. Any such designation shall be signed by a duly authorized representative of each participant, and shall specify:
            (1) The precise rights, obligations, or limitations to be covered by the designation; and
            (2) The reasons for the designation. Such designations shall be submitted to the Assistant Administrator for International Energy Affairs, and shall take effect only upon his written approval, which may at any time be revoked.

            § 215.4
            Production of contracts and documents.
            Whenever the Administrator determines that certain foreign crude oil supply information is necessary to assist in the formulation of energy policy or to carry out any other function of the Administrator, he may require the production by any person of any agreement or document relating to foreign oil supply arrangements or reports related thereto. Such material shall be provided pursuant to the conditions prescribed by the Administrator at the time of such order or subsequently. As used in this section, the term “agreement” includes proposed or draft agreements, and agreements in which the parties have tentatively concurred but have not yet signed, between or among persons and a host country.

            § 215.5
            Pricing and volume reports.
            To the extent not reported pursuant to § 215.3, any person lifting for export crude oil from a country shall report to the DOE within 30 days of the date on which he receives actual notice:
            (a) Any change (including changes in the timing of collection) by the host government in official selling prices, royalties, host government taxes, service fees, quality or port differentials, or any other payments made directly or indirectly for crude oil; changes in participation ratios; changes in concessionary arrangements; and
            (b) Any changes in restrictions on lifting, production, or disposition.

            § 215.6
            Notice of negotiations.
            Any person conducting negotiations with a host government which may reasonably lead to the establishment of any supply arrangement subject to reporting pursuant to § 215.3(a), or may reasonably have a significant effect on the terms and conditions of an arrangement subject to § 215.3(a), shall notify DOE of such negotiations. Such notice shall be made no later than the later of 30 days after the effective date of this regulation or within 14 days after such negotiations meet the conditions of this section, and shall specify all persons involved and the host government affected. Notice must be in writing to the Assistant Administrator for International Energy Affairs. Where this notice pertains to negotiations to modify a supply agreement previously reported to the Department of Energy under this part, such notice shall include the agreement serial number assigned to the basic agreement.

          Pt. 216
          PART 216—MATERIALS ALLOCATION AND PRIORITY PERFORMANCE UNDER CONTRACTS OR ORDERS TO MAXIMIZE DOMESTIC ENERGY SUPPLIES

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

            Authority:

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

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

            § 216.1
            Introduction.
            (a) This part describes and establishes the procedures to be used by the Department of Energy (DOE) in considering and making certain findings required by section 101(c)(2)(A) of the Defense Production Act of 1950, as amended, 50 U.S.C. app. 2071(c)(2)(A) (DPA). Section 101(c) authorizes the allocation of, or priority performance under contracts or orders (other than contracts of employment) relating to, materials and equipment, services, or facilities in order to maximize domestic energy supplies if the findings described in section 101(c)(2) are made. Among these findings are that such supplies of materials and equipment, services, or facilities are critical and essential to maintain or further exploration, production, refining, transportation or the conservation of energy supplies or for the construction or maintenance of energy facilities. The function of finding that supplies are critical and essential was delegated to the Secretary of Energy pursuant to E.O. 12919 (59 FR 29525, June 7, 1994) and Department of Commerce Defense Priorities and Allocations System Delegation No. 2, 15 CFR part 700.
            (b) The purpose of these regulations is to establish the procedures and criteria to be used by DOE in determining whether programs or projects maximize domestic energy supplies and whether or not supplies of materials and equipment, services, or facilities are critical and essential, as required by DPA section 101(c)(2)(A). The critical and essential finding will be made only for supplies of materials and equipment, services, or facilities related to those programs or projects determined by DOE to maximize domestic energy supplies. These regulations do not require or imply that the findings, on which the exercise of such authority is conditioned, will be made in any particular case.
            (c) If DOE determines that a program or project maximizes domestic energy supplies and finds that supplies of materials and equipment, services, or facilities are critical and essential to maintain or further the exploration, production, refining, transportation or conservation of energy supplies or for the construction or maintenance of energy facilities, such determination and finding will be communicated to the Department of Commerce (DOC). If not, the applicant will be so informed. If the determination and finding described in this paragraph are made, DOC, pursuant to DPA section 101(c) and section 203 of E.O. 12919, will find whether or not: The supplies of materials and equipment, services, or facilities in question are scarce; and maintenance or furtherance of exploration, production, refining, transportation, or conservation of energy supplies or the construction or maintenance of energy facilities cannot be reasonably accomplished without exercising the authority specified in DPA section 101(c). If these additional two findings are made, DOC will notify DOE, and DOE will inform the applicant that it has been granted the right to use priority ratings under the Defense Priorities and Allocations System (DPAS) regulation established by the DOC, 15 CFR part 700.
            [73 FR 10983, Feb. 29, 2008]

            § 216.2
            Definitions.
            As used in these regulations:
            (a) Secretary means the Secretary of the Department of Energy.
            (b) Applicant means a person requesting priorities or allocation assistance in connection with an energy program or project.
            (c) Application means the written request of an applicant for assistance.
            (d) Assistance means use of the authority vested in the President by DPA section 101(c) to implement priorities and allocation support.
            (e) DHS means the Department of Homeland Security.
            (f) DOC means the Department of Commerce.
            (g) DOE means the Department of Energy.
            (h) Defense Priorities and Allocations System Coordination Office means the Department of Energy, Office of Electricity and Energy Assurance, OE-30.
            (i) Eligible energy program or project means a designated activity which maximizes domestic energy supplies by furthering the exploration, production, refining, transportation or conservation of energy supplies or construction or maintenance of energy facilities within the meaning of DPA section 101(c), as determined by DOE.
            (j) Facilities means all types of buildings, structures, or other improvements to real property (but excluding farms, churches or other places of worship, and private dwelling houses), and services relating to the use of any such building, structure, or other improvement.
            (k) Materials and equipment means: (1) Any raw materials (including minerals, metals, and advanced processed materials), commodities, articles, components (including critical components), products, and items of supply; and
            (2) Any technical information or services ancillary to the use of such raw materials, commodities, articles, components, products, or items.
            (l) National Defense means programs for military and energy production or construction, military assistance to any foreign nation, stockpiling, space, and any directly related activity. Such term also includes emergency preparedness activities conducted pursuant to title VI of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5195, et seq.) and critical infrastructure protection and restoration.
            (m) Person means an individual, corporation, partnership, association, or any other organized group of persons, or legal successor or representative thereof, or any state or local government or agency thereof.
            (n) Services include any effort that is needed for or incidental to:
            (1) The development, production, processing, distribution, delivery, or use of an industrial resource, or critical technology item; or
            (2) The construction of facilities.
            [43 FR 6212, Feb. 14, 1978, as amended at 51 FR 8311, Mar. 11, 1986; 73 FR 10983, Feb. 29, 2008]

            § 216.3
            Requests for assistance.
            (a) Persons who believe that they perform work associated with a program or project which may qualify as an eligible energy program or project and wishing to receive assistance as authorized by DPA section 101(c)(1) may submit an application to DOE requesting DOE to determine whether a program or project maximizes domestic energy supplies and to find whether or not specific supplies of materials and equipment, services, or facilities identified in the application are critical and essential for a purpose identified in section 101(c). The application shall be sent to: U.S. Department of Energy, Attn: Office of Electricity and Energy Assurance, OE-30, Forrestal Building, 1000 Independence Avenue, SW., Washington, DC 20585. The application shall contain the following information:
            (1) The name and address of the applicant and of its duly authorized representative.
            (2) A description of the energy program or project for which assistance is requested and an assessment of its impact on the maximization of domestic energy supplies.
            (3) The amount of energy to be produced by the program or project which is directly affected by the supplies of the materials and equipment, services, or facilities in question.
            (4) A statement explaining why the materials and equipment, services, or facilities for which assistance is requested are critical and essential to the construction or operation of the energy project or program.
            (5) A detailed description of the specific supplies of materials and equipment, services, or facilities in connection with which assistance is requested, including: Components, performance data (capacity, life duration, etc.), standards, acceptable tolerances in dimensions and specifications, current inventory, present and expected rates of use, anticipated deliveries and substitution possibilities (feasibility of using other materials and equipment, services, or facilities).

            (6) A detailed description of the sources of supply, including: The name of the regular supplying company or companies, other companies capable of supplying the materials and equipment, services, or facilities; location of supplying plants or plants capable of supplying the needed materials and equipment, services, or facilities; possible suppliers for identical or substitutable materials and equipment, services, or facilities and possible foreign sources of supply.
            (7) A detailed description of the delivery situation, including: Normal delivery times, promised delivery time without priorities assistance, and delivery time required for expeditious fulfillment or completion of the program or project.
            (8) Evidence of the applicant's unsuccessful efforts to obtain on a timely basis the materials and equipment, services, or facilities in question through normal business channels from current or other known suppliers.
            (9) A detailed estimate of the delay in fulfilling or completing the energy program or project which will be caused by inability to obtain the specified materials and equipment, services, or facilities in the usual course of business.
            (10) Any known conflicts with rated orders already issued pursuant to the DPA for supplies of the described materials and equipment, services, or facilities.
            (b) DOE, on consultation with the DOC, may prescribe standard forms of application or letters of instruction for use by all persons seeking assistance.
            (c) In addition to the information described above, DOE may from time to time request whatever additional information it reasonably believes is relevant to the discharge of its functions pursuant to DPA section 101(c).
            [43 FR 6212, Feb. 14, 1978, as amended at 51 FR 8311, Mar. 11, 1986; 73 FR 10983, Feb. 29, 2008]

            § 216.4
            Evaluation by DOE of applications.
            (a) Based on the information provided by the applicant and other available information, DOE will:
            (1) Determine whether or not the energy program or project in connection with which the application is made maximizes domestic energy supplies and should be designated an eligible energy program or project; and
            (2) Find whether the described supplies of materials and equipment, services, or facilities are critical and essential to the eligible energy program or project.
            (b) In determining whether the program or project referred to in the application should be designated an eligible energy program or project, DOE will consider all factors which it considers relevant including, but not limited to, the following:
            (1) Quantity of energy involved;
            (2) Benefits of timely energy program furtherance or project completion;
            (3) Socioeconomic impact;
            (4) The need for the end product for which the materials and equipment, services, or facilities are allegedly required; and
            (5) Established national energy policies.
            (c) In finding whether the supplies of materials and equipment, services, or facilities described in the application are critical and essential to an eligible energy program or project, DOE will consider all factors which it considers relevant including, but not limited to, the following:
            (1) Availability and utility of substitute materials and equipment, services, or facilities; and
            (2) Impact of the nonavailability of the specific supplies of materials and equipment, services, or facilities on the furtherance or timely completion of the approved energy program or project.
            (d) Increased costs which may be associated with obtaining materials and equipment, services, or facilities without assistance shall not be considered a valid reason for finding the materials and equipment, services, or facilities to be critical and essential.
            (e) After DOE has determined a program or project to be an eligible energy program or project, this determination shall be deemed made with regard to subsequent applications involving the same program or project unless and until DOE announces otherwise.
            [43 FR 6212, Feb. 14, 1978, as amended at 73 FR 10984, Feb. 29, 2008]

            § 216.5
            Notification of findings.
            (a) DOE will notify DOC if it finds that supplies of materials and equipment, services, or facilities for which an applicant requested assistance are critical and essential to an eligible energy program or project, and in such cases will forward to DOC the application and whatever information or comments DOE believes appropriate. If DOE believes at any time that findings previously made may no longer be valid, it will immediately notify the DOC and the affected applicant(s) and afford such applicant(s) an opportunity to show cause why such findings should not be withdrawn.
            (b) If DOC notifies DOE that DOC has found that supplies of materials and equipment, services, or facilities for which the applicant requested assistance are scarce and that the related eligible energy program or project cannot reasonably be accomplished without exercising the authority specified in DPA section 101(c)(1), DOE will notify the applicant that the applicant is authorized to place rated orders for specific materials and equipment, services, or facilities pursuant to the provisions of the DOC's DPAS regulation.
            [73 FR 10984, Feb. 29, 2008]

            § 216.6
            Petition for reconsideration.
            If DOE, after evaluating an application in accordance with § 216.4, does not determine that the energy program or project maximizes domestic energy supplies or does not find that the supplies of materials and equipment, services, or facilities described in the application are critical and essential to an eligible energy program or project, it will so notify the applicant and the applicant may petition DOE for reconsideration. If DOE concludes at any time that findings previously made are no longer valid and should be withdrawn, DOE will so notify the affected applicant(s), and such applicant(s) may petition DOE for reconsideration of the withdrawal decision. A petition is deemed accepted when received by DOE at the address stated in § 216.8. DOE will consider the petition for reconsideration and either grant or deny the relief requested. Written notice of the decision and of the reasons for the decision will be provided to the applicant. There has not been an exhaustion of administrative remedies until a petition for reconsideration has been submitted and the review procedure completed by grant or denial of the relief requested. The denial of relief requested in a petition for reconsideration is a final administrative decision.
            [43 FR 6212, Feb. 14, 1978, as amended at 51 FR 8312, Mar. 11, 1986; 73 FR 10984, Feb. 29, 2008]

            § 216.7
            Conflict in priority orders.
            If it appears that the use of assistance pursuant to DPA section 101(c) creates or threatens to create a conflict with priorities and allocation support provided in connection with the national defense pursuant to DPA section 101(a), DOE will work with the DOC and other claimant agencies affected by the conflict to reschedule deliveries or otherwise accommodate the competing demands. If acceptable solutions cannot be agreed upon by the claimant agencies DHS will attempt to resolve theconflicts.
            [43 FR 6212, Feb. 14, 1978, as amended at 51 FR 8312, Mar. 11, 1986; 73 FR 10984, Feb. 29, 2008]

            § 216.8
            Communications.
            All written communications concerning these regulations shall be addressed to: U.S. Department of Energy, Attention: Office of Electricity and Energy Assurance, OE-30, Forrestal Building, 1000 Independence Avenue, SW., Washington, DC 20585.
            [73 FR 10984, Feb. 29, 2008]

            § 216.9
            Violations.
            Any person who willfully furnishes false information or conceals any material fact in the course of the application process or in a petition for reconsideration is guilty of a crime, and upon conviction may be punished by fine or imprisonment or both.

          Pt. 217
          PART 217—ENERGY PRIORITIES AND ALLOCATIONS SYSTEM

              Subpart A—General
              Sec.
              217.1
              Purpose of this part.

              217.2
              Priorities and allocations authority.
              217.3
              Program eligibility.

              Subpart B—Definitions
              217.20
              Definitions.

              Subpart C—Placement of Rated Orders
              217.30
              Delegation of authority.
              217.31
              Priority ratings.
              217.32
              Elements of a rated order.
              217.33
              Acceptance and rejection of rated orders.
              217.34
              Preferential scheduling.
              217.35
              Extension of priority ratings.
              217.36
              Changes or cancellations of priority ratings and rated orders.
              217.37
              Use of rated orders.
              217.38
              Limitations on placing rated orders.

              Subpart D—Special Priorities Assistance
              217.40
              General provisions.
              217.41
              Requests for priority rating authority.
              217.42
              Examples of assistance.
              217.43
              Criteria for assistance.
              217.44
              Instances where assistance may not be provided.

              Subpart E—Allocation Actions
              217.50
              Policy.
              217.51
              General procedures.
              217.52
              Controlling the general distribution of a material in the civilian market.
              217.53
              Types of allocation orders.
              217.54
              Elements of an allocation order.
              217.55
              Mandatory acceptance of an allocation order.
              217.56
              Changes or cancellations of an allocation order.

              Subpart F—Official Actions
              217.60
              General provisions.
              217.61
              Rating Authorizations.
              217.62
              Directives.
              217.63
              Letters and Memoranda of Understanding.

              Subpart G—Compliance
              217.70
              General provisions.
              217.71
              Audits and investigations.
              217.72
              Compulsory process.
              217.73
              Notification of failure to comply.
              217.74
              Violations, penalties, and remedies.
              217.75
              Compliance conflicts.

              Subpart H—Adjustments, Exceptions, and Appeals
              217.80
              Adjustments or exceptions.
              217.81
              Appeals.

              Subpart I—Miscellaneous Provisions
              217.90
              Protection against claims.
              217.91
              Records and reports.
              217.92
              Applicability of this part and official actions.
              217.93
              Communications.
              Appendix I to Part 217—Sample Form DOE F 544 (05-11)

            Authority:
            Defense Production Act of 1950, as amended, 50 U.S.C. App. 2061-2171; E.O. 12919, as amended, (59 FR 29525, June 7, 1994).

            Source:
            76 FR 33619, June 9, 2011, unless otherwise noted.

            Subpart A—General

              § 217.1
              Purpose of this part.
              This part provides guidance and procedures for use of the Defense Production Act section 101(a) priorities and allocations authority with respect to all forms of energy necessary or appropriate to promote the national defense. (The guidance and procedures in this part are consistent with the guidance and procedures provided in other regulations that, as a whole, form the Federal Priorities and Allocations System. Guidance and procedures for use of the Defense Production Act priorities and allocations authority with respect to other types of resources are provided for: Food resources, food resource facilities, and the domestic distribution of farm equipment and commercial fertilizer; health resources; all forms of civil transportation (49 CFR Part 33); water resources; and all other materials, services, and facilities, including construction materials in the Defense Priorities and Allocations System (DPAS) regulation (15 CFR Part 700).) Department of Energy (DOE) regulations at 10 CFR Part 216 describe and establish the procedures to be used by DOE in considering and making certain findings required by section 101(c)(2)(A) of the Defense Production Act of 1950, as amended.

              § 217.2
              Priorities and allocations authority.

              (a) Section 201 of E.O. 12919 (59 FR 29525) delegates the President's authority under section 101 of the Defense Production Act to require acceptance and priority performance of contracts and orders (other than contracts of employment) to promote the national defense over performance of any other contracts or orders, and to allocate materials, services, and facilities as deemed necessary or appropriate to promote the national defense to:
              (1) The Secretary of Agriculture with respect to food resources, food resource facilities, and the domestic distribution of farm equipment and commercial fertilizer;
              (2) The Secretary of Energy with respect to all forms of energy;
              (3) The Secretary of Health and Human Services with respect to health resources;
              (4) The Secretary of Transportation with respect to all forms of civil transportation;
              (5) The Secretary of Defense with respect to water resources; and
              (6) The Secretary of Commerce for all other materials, services, and facilities, including construction materials.
              (b) Section 202 of E.O. 12919 states that the priorities and allocations authority delegated in section 201 of this order may be used only to support programs that have been determined in writing as necessary or appropriate to promote the national defense:
              (1) By the Secretary of Defense with respect to military production and construction, military assistance to foreign nations, stockpiling, outer space, and directly related activities;
              (2) By the Secretary of Energy with respect to energy production and construction, distribution and use, and directly related activities; and
              (3) By the Secretary of Homeland Security with respect to essential civilian needs supporting national defense, including civil defense and continuity of government and directly related activities.

              § 217.3
              Program eligibility.

              Certain programs to promote the national defense are eligible for priorities and allocations support. These include programs for military and energy production or construction, military or critical infrastructure assistance to any foreign nation, deploying and sustaining military forces, homeland security, stockpiling, space, and any directly related activity. Other eligible programs include emergency preparedness activities conducted pursuant to title VI of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5195 et seq.) and critical infrastructure protection and restoration.

            Subpart B—Definitions

              § 217.20
              Definitions.
              The following definitions pertain to all sections of this part:

                Allocation order means an official action to control the distribution of materials, services, or facilities for a purpose deemed necessary or appropriate to promote the national defense.

                Allotment means an official action that specifies the maximum quantity or use of a material, service, or facility authorized for a specific use to promote the national defense.

                Approved program means a program determined by the Secretary of Defense, the Secretary of Energy, or the Secretary of Homeland Security to be necessary or appropriate to promote the national defense, in accordance with section 202 of E.O. 12919.

                Civil transportation includes movement of persons and property by all modes of transportation in interstate, intrastate, or foreign commerce within the United States, its territories and possessions, and the District of Columbia, and, without limitation, related public storage and warehousing, ports, services, equipment and facilities, such as transportation carrier shop and repair facilities. However, “civil transportation” shall not include transportation owned or controlled by the Department of Defense, use of petroleum and gas pipelines, and coal slurry pipelines used only to supply energy production facilities directly. As applied herein, “civil transportation” shall include direction, control, and coordination of civil transportation capacity regardless of ownership.

                Construction means the erection, addition, extension, or alteration of any building, structure, or project, using materials or products which are to be an integral and permanent part of the building, structure, or project. Construction does not include maintenance and repair.

                Critical infrastructure means any systems and assets, whether physical or cyber-based, so vital to the United States that the degradation or destruction of such systems and assets would have a debilitating impact on national security, including, but not limited to, national economic security and national public health or safety.

                Defense Production Act means the Defense Production Act of 1950, as amended (50 U.S.C. App. 2061 et seq.).

                Delegate Agency means a Federal government agency authorized by delegation from the Department of Energy to place priority ratings on contracts or orders needed to support approved programs.

                Directive means an official action that requires a person to take or refrain from taking certain actions in accordance with its provisions.

                Emergency preparedness means all those activities and measures designed or undertaken to prepare for or minimize the effects of a hazard upon the civilian population, to deal with the immediate emergency conditions which would be created by the hazard, and to effectuate emergency repairs to, or the emergency restoration of, vital utilities and facilities destroyed or damaged by the hazard. Such term includes the following:
              (1) Measures to be undertaken in preparation for anticipated hazards (including the establishment of appropriate organizations, operational plans, and supporting agreements, the recruitment and training of personnel, the conduct of research, the procurement and stockpiling of necessary materials and supplies, the provision of suitable warning systems, the construction or preparation of shelters, shelter areas, and control centers, and, when appropriate, the nonmilitary evacuation of the civilian population).
              (2) Measures to be undertaken during a hazard (including the enforcement of passive defense regulations prescribed by duly established military or civil authorities, the evacuation of personnel to shelter areas, the control of traffic and panic, and the control and use of lighting and civil communications).
              (3) Measures to be undertaken following a hazard (including activities for fire fighting, rescue, emergency medical, health and sanitation services, monitoring for specific dangers of special weapons, unexploded bomb reconnaissance, essential debris clearance, emergency welfare measures, and immediately essential emergency repair or restoration of damaged vital facilities).

                Energy means all forms of energy including petroleum, gas (both natural and manufactured), electricity, solid fuels (including all forms of coal, coke, coal chemicals, coal liquification, and coal gasification), and atomic energy, and the production, conservation, use, control, and distribution (including pipelines) of all of these forms of energy.

                Facilities includes all types of buildings, structures, or other improvements to real property (but excluding farms, churches or other places of worship, and private dwelling houses), and services relating to the use of any such building, structure, or other improvement.

                Farm equipment means equipment, machinery, and repair parts manufactured for use on farms in connection with the production or preparation for market use of food resources.

                Fertilizer means any product or combination of products that contain one or more of the elements—nitrogen, phosphorus, and potassium—for use as a plant nutrient.

                Food resources means all commodities and products, simple, mixed, or compound, or complements to such commodities or products, that are capable of being ingested by either human beings or animals, irrespective of other uses to which such commodities or products may be put, at all stages of processing from the raw commodity to the products thereof in vendible form for human or animal consumption. “Food resources” also means all starches, sugars, vegetable and animal or marine fats and oils, cotton, tobacco, wool, mohair, hemp, flax fiber, and naval stores, but does not mean any such material after it loses its identity as an agricultural commodity or agricultural product.

                Food resource facilities means plants, machinery, vehicles (including on-farm), and other facilities required for the production, processing, distribution, and storage (including cold storage) of food resources, livestock and poultry feed and seed, and for the domestic distribution of farm equipment and fertilizer (excluding transportation thereof).

                Hazard means an emergency or disaster resulting from:
              (1) A natural disaster; or
              (2) An accidental or human-caused event.

                Health resources means drugs, biological products, medical devices, diagnostics, materials, facilities, health supplies, services and equipment required to diagnose, prevent the impairment of, improve, or restore the physical or mental health conditions of the population.

                Homeland security includes efforts—
              (1) To prevent terrorist attacks within the United States;
              (2) To reduce the vulnerability of the United States to terrorism;
              (3) To minimize damage from a terrorist attack in the United States; and
              (4) To recover from a terrorist attack in the United States.

                Industrial resources means all materials, services, and facilities, including construction materials, but not including: food resources, food resource facilities, and the domestic distribution of farm equipment and commercial fertilizer; all forms of energy; health resources; all forms of civil transportation; and water resources.

                Item means any raw, in process, or manufactured material, article, commodity, supply, equipment, component, accessory, part, assembly, or product of any kind, technical information, process, or service.

                Maintenance and repair and operating supplies or MRO—
              (1) “Maintenance” is the upkeep necessary to continue any plant, facility, or equipment in working condition.
              (2) “Repair” is the restoration of any plant, facility, or equipment to working condition when it has been rendered unsafe or unfit for service by wear and tear, damage, or failure of parts.
              (3) “Operating supplies” are any resources carried as operating supplies according to a person's established accounting practice. Operating supplies may include hand tools and expendable tools, jigs, dies, fixtures used on production equipment, lubricants, cleaners, chemicals and other expendable items.
              (4) MRO does not include items produced or obtained for sale to other persons or for installation upon or attachment to the property of another person, or items required for the production of such items; items needed for the replacement of any plant, facility, or equipment; or items for the improvement of any plant, facility, or equipment by replacing items which are still in working condition with items of a new or different kind, quality, or design.

                Materials includes—
              (1) Any raw materials (including minerals, metals, and advanced processed materials), commodities, articles, components (including critical components), products, and items of supply; and
              (2) Any technical information or services ancillary to the use of any such materials, commodities, articles, components, products, or items.
              (3) Natural resources such as oil and gas.

                National defense means programs for military and energy production or construction, military or critical infrastructure assistance to any foreign nation, homeland security, stockpiling, space, and any directly related activity. Such term includes emergency preparedness activities conducted pursuant to title VI of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5195, et seq.) and critical infrastructure protection and restoration.

                Official action means an action taken by the Department of Energy or another resource agency under the authority of the Defense Production Act, E.O. 12919, and this part or another regulation under the Federal Priorities and Allocations System. Such actions include the issuance of Rating Authorizations, Directives, Set Asides, Allotments, Letters of Understanding, Memoranda of Understanding, Demands for Information, Inspection Authorizations, and Administrative Subpoenas.

                Person includes an individual, corporation, partnership, association, or any other organized group of persons, or legal successor or representative thereof, or any State or local government or agency thereof.

                Rated order means a prime contract, a subcontract, or a purchase order in support of an approved program issued in accordance with the provisions of this part.

                Resource agency means any agency delegated priorities and allocations authority as specified in § 217.2.

                Secretary means the Secretary of Energy.

                Services includes any effort that is needed for or incidental to—
              (1) The development, production, processing, distribution, delivery, or use of an industrial resource or a critical technology item;
              (2) The construction of facilities;
              (3) The movement of individuals and property by all modes of civil transportation; or
              (4) Other national defense programs and activities.

                Set-aside means an official action that requires a person to reserve materials, services, or facilities capacity in anticipation of the receipt of rated orders.

                Stafford Act means title VI (Emergency Preparedness) of the Robert T. Stafford Disaster Relief and Emergency Assistance Act, as amended (42 U.S.C. 5195-5197g).

                Water resources means all usable water, from all sources, within the jurisdiction of the United States, which can be managed, controlled, and allocated to meet emergency requirements.

            Subpart C—Placement of Rated Orders

              § 217.30
              Delegations of authority.
              (a) The priorities and allocations authorities of the President under Title I of the Defense Production Act with respect to all forms of energy have been delegated to the Secretary of Energy under E.O. 12919 of June 3, 1994 (59 FR 29525).
              (b) The Department of Commerce has delegated authority to the Department of Energy to provide for extension of priority ratings for “industrial resources,” as provided in § 261.35 of this part, to support rated orders for all forms of energy.

              § 217.31
              Priority ratings.
              (a) Levels of priority.
              (1) There are two levels of priority established by the Energy Priorities and Allocations System regulations, identified by the rating symbols “DO” and “DX”.
              (2) All DO-rated orders have equal priority with each other and take precedence over unrated orders. All DX-rated orders have equal priority with each other and take precedence over DO-rated orders and unrated orders. (For resolution of conflicts among rated orders of equal priority, see § 217.34(c).)
              (3) In addition, a Directive regarding priority treatment for a given item issued by the Department of Energy for that item takes precedence over any DX-rated order, DO-rated order, or unrated order, as stipulated in the Directive. (For a full discussion of Directives, see § 217.62.)
              (b) Program identification symbols. Program identification symbols indicate which approved program is being supported by a rated order. The list of currently approved programs and their identification symbols are listed in Schedule 1, set forth as an appendix to 15 CFR part 700. For example, DO-F3 identifies a domestic energy construction program. Additional programs may be approved under the procedures of E.O. 12919 at any time. Program identification symbols do not connote any priority.
              (c) Priority ratings. A priority rating consists of the rating symbol—DO or DX—and the program identification symbol, such as F1, F2, or F3. Thus, a contract for a domestic energy construction program will contain a DO-F3 or DX-F3 priority rating.

              § 217.32
              Elements of a rated order.
              Each rated order must include:
              (a) The appropriate priority rating (e.g. DO-F1 or DX-F1)

              (b) A required delivery date or dates. The words “immediately” or “as soon as possible” do not constitute a delivery date. A “requirements contract”, “basic ordering agreement”, “prime vendor contract”, or similar procurement document bearing a priority rating may contain no specific delivery date or dates and may provide for the furnishing of items or service from time to time or within a stated period against specific purchase orders, such as “calls”, “requisitions”, and “delivery orders”. These purchase orders must specify a required delivery date or dates and are to be considered as rated as of the date of their receipt by the supplier and not as of the date of the original procurement document;
              (c) The written signature on a manually placed order, or the digital signature or name on an electronically placed order, of an individual authorized to sign rated orders for the person placing the order. The signature or use of the name certifies that the rated order is authorized under this part and that the requirements of this part are being followed; and
              (d)(1) A statement that reads in substance:
              This is a rated order certified for national defense use, and you are required to follow all the provisions of the Energy Priorities and Allocations System regulation at 10 CFR part 217.
              (2) If the rated order is placed in support of emergency preparedness requirements and expedited action is necessary and appropriate to meet these requirements, the following sentences should be added following the statement set forth in paragraph (d)(1) of this section:
              This rated order is placed for the purpose of emergency preparedness. It must be accepted or rejected within 2 days after receipt of the order if (1) The order is issued in response to a hazard that has occurred; or
              (2) If the order is issued to prepare for an imminent hazard, as specified in EPAS Section 217.33(e), 10 CFR 217.33(e).

              § 217.33
              Acceptance and rejection of rated orders.
              (a) Mandatory acceptance. (1) Except as otherwise specified in this section, a person shall accept every rated order received and must fill such orders regardless of any other rated or unrated orders that have been accepted.
              (2) A person shall not discriminate against rated orders in any manner such as by charging higher prices or by imposing different terms and conditions than for comparable unrated orders.
              (b) Mandatory rejection. Unless otherwise directed by the Department of Energy for a rated order involving all forms of energy:
              (1) A person shall not accept a rated order for delivery on a specific date if unable to fill the order by that date. However, the person must inform the customer of the earliest date on which delivery can be made and offer to accept the order on the basis of that date. Scheduling conflicts with previously accepted lower rated or unrated orders are not sufficient reason for rejection under this section.
              (2) A person shall not accept a DO-rated order for delivery on a date which would interfere with delivery of any previously accepted DO- or DX-rated orders. However, the person must offer to accept the order based on the earliest delivery date otherwise possible.
              (3) A person shall not accept a DX-rated order for delivery on a date which would interfere with delivery of any previously accepted DX-rated orders, but must offer to accept the order based on the earliest delivery date otherwise possible.
              (4) If a person is unable to fill all of the rated orders of equal priority status received on the same day, the person must accept, based upon the earliest delivery dates, only those orders which can be filled, and reject the other orders. For example, a person must accept order A requiring delivery on December 15 before accepting order B requiring delivery on December 31. However, the person must offer to accept the rejected orders based on the earliest delivery dates otherwise possible.
              (c) Optional rejection. Unless otherwise directed by the Department of Energy for a rated order involving all forms of energy, rated orders may be rejected in any of the following cases as long as a supplier does not discriminate among customers:

              (1) If the person placing the order is unwilling or unable to meet regularly established terms of sale or payment;
              (2) If the order is for an item not supplied or for a service not capable of being performed;
              (3) If the order is for an item or service produced, acquired, or provided only for the supplier's own use for which no orders have been filled for two years prior to the date of receipt of the rated order. If, however, a supplier has sold some of these items or provided similar services, the supplier is obligated to accept rated orders up to that quantity or portion of production or service, whichever is greater, sold or provided within the past two years;
              (4) If the person placing the rated order, other than the U.S. Government, makes the item or performs the service being ordered;
              (5) If acceptance of a rated order or performance against a rated order would violate any other regulation, official action, or order of the Department of Energy, issued under the authority of the Defense Production Act or another relevant statute.
              (d) Customer notification requirements. (1) Except as provided in this paragraph, a person must accept or reject a rated order in writing or electronically within fifteen (15) working days after receipt of a DO rated order and within ten (10) working days after receipt of a DX rated order. If the order is rejected, the person must give reasons in writing or electronically for the rejection.
              (2) If a person has accepted a rated order and subsequently finds that shipment or performance will be delayed, the person must notify the customer immediately, give the reasons for the delay, and advise of a new shipment or performance date. If notification is given verbally, written or electronic confirmation must be provided within five (5) working days.
              (e) Exception for emergency preparedness conditions. If the rated order is placed for the purpose of emergency preparedness, a person must accept or reject a rated order and transmit the acceptance or rejection in writing or in an electronic format within 2 days after receipt of the order if:
              (1) The order is issued in response to a hazard that has occurred; or
              (2) The order is issued to prepare for an imminent hazard.

              § 217.34
              Preferential scheduling.
              (a) A person must schedule operations, including the acquisition of all needed production items or services, in a timely manner to satisfy the delivery requirements of each rated order. Modifying production or delivery schedules is necessary only when required delivery dates for rated orders cannot otherwise be met.
              (b) DO-rated orders must be given production preference over unrated orders, if necessary to meet required delivery dates, even if this requires the diversion of items being processed or ready for delivery or services being performed against unrated orders. Similarly, DX-rated orders must be given preference over DO-rated orders and unrated orders. (Examples: If a person receives a DO-rated order with a delivery date of June 3 and if meeting that date would mean delaying production or delivery of an item for an unrated order, the unrated order must be delayed. If a DX-rated order is received calling for delivery on July 15 and a person has a DO-rated order requiring delivery on June 2 and operations can be scheduled to meet both deliveries, there is no need to alter production schedules to give any additional preference to the DX-rated order.)
              (c) Conflicting rated orders.
              (1) If a person finds that delivery or performance against any accepted rated orders conflicts with the delivery or performance against other accepted rated orders of equal priority status, the person shall give precedence to the conflicting orders in the sequence in which they are to be delivered or performed (not to the receipt dates). If the conflicting orders are scheduled to be delivered or performed on the same day, the person shall give precedence to those orders that have the earliest receipt dates.

              (2) If a person is unable to resolve rated order delivery or performance conflicts under this section, the person should promptly seek special priorities assistance as provided in §§ 217.40 through 217.44. If the person's customer objects to the rescheduling of delivery or performance of a rated order, the customer should promptly seek special priorities assistance as provided in §§ 217.40 through 217.44. For any rated order against which delivery or performance will be delayed, the person must notify the customer as provided in § 217.33.
              (d) If a person is unable to purchase needed production items in time to fill a rated order by its required delivery date, the person must fill the rated order by using inventoried production items. A person who uses inventoried items to fill a rated order may replace those items with the use of a rated order as provided in § 217.37(b).

              § 217.35
              Extension of priority ratings.
              (a) A person must use rated orders with suppliers to obtain items or services needed to fill a rated order. The person must use the priority rating indicated on the customer's rated order, except as otherwise provided in this part or as directed by the Department of Energy. For example, if a person is in receipt of a DO-F1 rated order for an electric power sub-station, and needs to purchase a transformer for its manufacture, that person must use a DO-F1 rated order to obtain the needed transformer.
              (b) The priority rating must be included on each successive order placed to obtain items or services needed to fill a customer's rated order. This continues from contractor to subcontractor to supplier throughout the entire procurement chain.

              § 217.36
              Changes or cancellations of priority ratings and rated orders.
              (a) The priority rating on a rated order may be changed or canceled by:
              (1) An official action of the Department of Energy; or
              (2) Written notification from the person who placed the rated order.
              (b) If an unrated order is amended so as to make it a rated order, or a DO rating is changed to a DX rating, the supplier must give the appropriate preferential treatment to the order as of the date the change is received by the supplier.
              (c) An amendment to a rated order that significantly alters a supplier's original production or delivery schedule shall constitute a new rated order as of the date of its receipt. The supplier must accept or reject the amended order according to the provisions of § 217.33.
              (d) The following amendments do not constitute a new rated order: a change in shipping destination; a reduction in the total amount of the order; an increase in the total amount of the order which has negligible impact upon deliveries; a minor variation in size or design; or a change which is agreed upon between the supplier and the customer.
              (e) If a person no longer needs items or services to fill a rated order, any rated orders placed with suppliers for the items or services, or the priority rating on those orders, must be canceled.
              (f) When a priority rating is added to an unrated order, or is changed or canceled, all suppliers must be promptly notified in writing.

              § 217.37
              Use of rated orders.
              (a) A person must use rated orders to obtain:
              (1) Items which will be physically incorporated into other items to fill rated orders, including that portion of such items normally consumed or converted into scrap or by-products in the course of processing;
              (2) Containers or other packaging materials required to make delivery of the finished items against rated orders;
              (3) Services, other than contracts of employment, needed to fill rated orders; and
              (4) MRO needed to produce the finished items to fill rated orders.
              (b) A person may use a rated order to replace inventoried items (including finished items) if such items were used to fill rated orders, as follows:
              (1) The order must be placed within 90 days of the date of use of the inventory.
              (2) A DO rating and the program identification symbol indicated on the customer's rated order must be used on the order. A DX rating may not be used even if the inventory was used to fill a DX-rated order.

              (3) If the priority ratings on rated orders from one customer or several customers contain different program identification symbols, the rated orders may be combined. In this case, the program identification symbol “H1” must be used (i.e., DO-H1).

              (c) A person may combine DX- and DO-rated orders from one customer or several customers if the items or services covered by each level of priority are identified separately and clearly. If different program identification symbols are indicated on those rated orders of equal priority, the person must use the program identification symbol “H1” (i.e., DO-H1 or DX-H1).
              (d) Combining rated and unrated orders.
              (1) A person may combine rated and unrated order quantities on one purchase order provided that:
              (i) The rated quantities are separately and clearly identified; and
              (ii) The four elements of a rated order, as required by § 217.32, are included on the order with the statement required in § 217.32(d) modified to read in substance:
              This purchase order contains rated order quantities certified for national defense use, and you are required to follow all applicable provisions of the Energy Priorities and Allocations System regulations at 10 CFR part 217 only as it pertains to the rated quantities.
              (2) A supplier must accept or reject the rated portion of the purchase order as provided in § 217.33 and give preferential treatment only to the rated quantities as required by this part. This part may not be used to require preferential treatment for the unrated portion of the order.
              (3) Any supplier who believes that rated and unrated orders are being combined in a manner contrary to the intent of this part or in a fashion that causes undue or exceptional hardship may submit a request for adjustment or exception under § 217.80.
              (e) A person may place a rated order for the minimum commercially procurable quantity even if the quantity needed to fill a rated order is less than that minimum. However, a person must combine rated orders as provided in paragraph (c) of this section, if possible, to obtain minimum procurable quantities.
              (f) A person is not required to place a priority rating on an order for less than $50,000, or one-half of the Simplified Acquisition Threshold (as established in the Federal Acquisition Regulation (FAR) (see FAR section 2.101) or in other authorized acquisition regulatory or management systems) whichever amount is greater, provided that delivery can be obtained in a timely fashion without the use of the priority rating.

              § 217.38
              Limitations on placing rated orders.
              (a) General limitations.
              (1) A person may not place a DO- or DX-rated order unless entitled to do so under this part.
              (2) Rated orders may not be used to obtain:
              (i) Delivery on a date earlier than needed;
              (ii) A greater quantity of the item or services than needed, except to obtain a minimum procurable quantity. Separate rated orders may not be placed solely for the purpose of obtaining minimum procurable quantities on each order;
              (iii) Items or services in advance of the receipt of a rated order, except as specifically authorized by the Department of Energy (see § 217.41(c) for information on obtaining authorization for a priority rating in advance of a rated order);
              (iv) Items that are not needed to fill a rated order, except as specifically authorized by the Department of Energy, or as otherwise permitted by this part; or
              (v) Any of the following items unless specific priority rating authority has been obtained from the Department of Energy, a Delegate Agency, or the Department of Commerce, as appropriate:
              (A) Items for plant improvement, expansion, or construction, unless they will be physically incorporated into a construction project covered by a rated order; and
              (B) Production or construction equipment or items to be used for the manufacture of production equipment. [For information on requesting priority rating authority, see § 217.21.]

              (vi) Any items related to the development of chemical or biological warfare capabilities or the production of chemical or biological weapons, unless such development or production has been authorized by the President or the Secretary of Defense.
              (b) Jurisdictional limitations.
              (1) Unless authorized by the resource agency with jurisdiction, the provisions of this part are not applicable to the following resources:
              (i) Food resources, food resource facilities, and the domestic distribution of farm equipment and commercial fertilizer (Resource agency with jurisdiction—Department of Agriculture);
              (ii) Health resources (Resource agency with jurisdiction—Department of Health and Human Services);
              (iii) All forms of civil transportation (Resource agency with jurisdiction—Department of Transportation);
              (iv) Water resources (Resource agency with jurisdiction—Department of Defense/U.S. Army Corps of Engineers); and
              (v) Communications services (Resource agency with jurisdiction—National Communications System under E. O. 12472 of April 3, 1984).

            Subpart D—Special Priorities Assistance

              § 217.40
              General provisions.
              (a) The EPAS is designed to be largely self-executing. However, from time-to-time production or delivery problems will arise. In this event, a person should immediately contact the Office of Infrastructure Security and Energy Restoration, for guidance or assistance (Contact the Senior Policy Advisor for the Office of Electricity Delivery and Energy Reliability, as listed in § 217.93). If the problem(s) cannot otherwise be resolved, special priorities assistance should be sought from the Department of Energy through the Office of Infrastructure Security and Energy Restoration (Contact the Senior Policy Advisor for the Office of Electricity Delivery and Energy Reliability, as listed in § 217.93). If the Department of Energy is unable to resolve the problem or to authorize the use of a priority rating and believes additional assistance is warranted, the Department of Energy may forward the request to another agency with resource jurisdiction, as appropriate, for action. Special priorities assistance is provided to alleviate problems that do arise.
              (b) Special priorities assistance is available for any reason consistent with this part. Generally, special priorities assistance is provided to expedite deliveries, resolve delivery conflicts, place rated orders, locate suppliers, or to verify information supplied by customers and vendors. Special priorities assistance may also be used to request rating authority for items that are not normally eligible for priority treatment.
              (c) A request for special priorities assistance or priority rating authority must be submitted on Form DOE F 544 (05-11) (OMB control number 1910-5159) to the Senior Policy Advisor for the Office of Electricity Delivery and Energy Reliability, as listed in § 217.93. Form DOE F 544 (05-11) may be obtained from the Department of Energy or a Delegate Agency. A sample Form DOE F 544 (05-11) is attached at appendix I to this part.

              § 217.41
              Requests for priority rating authority.
              (a) If a rated order is likely to be delayed because a person is unable to obtain items or services not normally rated under this part, the person may request the authority to use a priority rating in ordering the needed items or services.
              (b) Rating authority for production or construction equipment.
              (1) A request for priority rating authority for production or construction equipment must be submitted to the U.S. Department of Commerce on Form BIS-999.
              (2) When the use of a priority rating is authorized for the procurement of production or construction equipment, a rated order may be used either to purchase or to lease such equipment. However, in the latter case, the equipment may be leased only from a person engaged in the business of leasing such equipment or from a person willing to lease rather than sell.

              (c) Rating authority in advance of a rated prime contract. (1) In certain cases and upon specific request, the Department of Energy, in order to promote the national defense, may authorize or request the Department of Commerce to authorize, as appropriate, a person to place a priority rating on an order to a supplier in advance of the issuance of a rated prime contract. In these instances, the person requesting advance rating authority must obtain sponsorship of the request from the Department of Energy or the appropriate Delegate Agency. The person shall also assume any business risk associated with the placing of rated orders in the event the rated prime contract is not issued.
              (2) The person must state the following in the request:
              It is understood that the authorization of a priority rating in advance of our receiving a rated prime contract from the Department of Energy and our use of that priority rating with our suppliers in no way commits the Department of Energy, the Department of Commerce, or any other government agency to enter into a contract or order or to expend funds. Further, we understand that the Federal Government shall not be liable for any cancellation charges, termination costs, or other damages that may accrue if a rated prime contract is not eventually placed and, as a result, we must subsequently cancel orders placed with the use of the priority rating authorized as a result of this request.
              (3) In reviewing requests for rating authority in advance of a rated prime contract, the Department of Energy or the Department of Commerce, as appropriate, will consider, among other things, the following criteria:
              (i) The probability that the prime contract will be awarded;
              (ii) The impact of the resulting rated orders on suppliers and on other authorized programs;
              (iii) Whether the contractor is the sole source;
              (iv) Whether the item being produced has a long lead time;
              (v) The time period for which the rating is being requested.
              (4) The Department of Energy or the Department of Commerce, as appropriate, may require periodic reports on the use of the rating authority granted under paragraph (c) of this section.
              (5) If a rated prime contract is not issued, the person shall promptly notify all suppliers who have received rated orders pursuant to the advanced rating authority that the priority rating on those orders is cancelled.

              § 217.42
              Examples of assistance.
              (a) While special priorities assistance may be provided for any reason in support of this part, it is usually provided in situations where:
              (1) A person is experiencing difficulty in obtaining delivery against a rated order by the required delivery date; or
              (2) A person cannot locate a supplier for an item or service needed to fill a rated order.
              (b) Other examples of special priorities assistance include:
              (1) Ensuring that rated orders receive preferential treatment by suppliers;
              (2) Resolving production or delivery conflicts between various rated orders;
              (3) Assisting in placing rated orders with suppliers;
              (4) Verifying the urgency of rated orders; and
              (5) Determining the validity of rated orders.

              § 217.43
              Criteria for assistance.

              Requests for special priorities assistance should be timely, i.e., the request has been submitted promptly and enough time exists for the Department of Energy, the Delegate Agency, or the Department of Commerce for industrial resources to effect a meaningful resolution to the problem, and must establish that:
              (a) There is an urgent need for the item; and
              (b) The applicant has made a reasonable effort to resolve the problem.

              § 217.44
              Instances where assistance may not be provided.
              Special priorities assistance is provided at the discretion of the Department of Energy, the Delegate Agencies, or the Department of Commerce when it is determined that such assistance is warranted to meet the objectives of this part. Examples where assistance may not be provided include situations when a person is attempting to:
              (a) Secure a price advantage;
              (b) Obtain delivery prior to the time required to fill a rated order;
              (c) Gain competitive advantage;

              (d) Disrupt an industry apportionment program in a manner designed to provide a person with an unwarranted share of scarce items; or
              (e) Overcome a supplier's regularly established terms of sale or conditions of doing business.

            Subpart E—Allocation Actions

              § 217.50
              Policy.
              (a) It is the policy of the Federal Government that the allocations authority under title I of the Defense Production Act may:
              (1) Only be used when there is insufficient supply of a material, service, or facility to satisfy national defense supply requirements through the use of the priorities authority or when the use of the priorities authority would cause a severe and prolonged disruption in the supply of materials, services, or facilities available to support normal U.S. economic activities; and
              (2) Not be used to ration materials or services at the retail level.
              (b) Allocation orders, when used, will be distributed equitably among the suppliers of the materials, services, or facilities being allocated and not require any person to relinquish a disproportionate share of the civilian market.

              § 217.51
              General procedures.
              When the Department of Energy plans to execute its allocations authority to address a supply problem within its resource jurisdiction, the Department shall develop a plan that includes the following information:
              (a) A copy of the written determination made, in accordance with section 202 of E.O. 12919, that the program or programs that would be supported by the allocation action are necessary or appropriate to promote the national defense;
              (b) A detailed description of the situation to include any unusual events or circumstances that have created the requirement for an allocation action;
              (c) A statement of the specific objective(s) of the allocation action;
              (d) A list of the materials, services, or facilities to be allocated;
              (e) A list of the sources of the materials, services, or facilities that will be subject to the allocation action;

              (f) A detailed description of the provisions that will be included in the allocation orders, including the type(s) of allocation orders, the percentages or quantity of capacity or output to be allocated for each purpose, and the duration of the allocation action (i.e., anticipated start and end dates);
              (g) An evaluation of the impact of the proposed allocation action on the civilian market; and
              (h) Proposed actions, if any, to mitigate disruptions to civilian market operations.

              § 217.52
              Controlling the general distribution of a material in the civilian market.
              No allocation action by the Department of Energy may be used to control the general distribution of a material in the civilian market, unless the Secretary of the Department of Energy has:
              (a) Made a written finding that:
              (1) Such material is a scarce and critical material essential to the national defense, and
              (2) The requirements of the national defense for such material cannot otherwise be met without creating a significant dislocation of the normal distribution of such material in the civilian market to such a degree as to create appreciable hardship;
              (b) Submitted the finding for the President's approval through the Assistant to the President for National Security Affairs; and
              (c) The President has approved the finding.

              § 217.53
              Types of allocation orders.
              There are three types of allocation orders available for communicating allocation actions. These are:
              (a) Set-aside: an official action that requires a person to reserve materials, services, or facilities capacity in anticipation of the receipt of rated orders;
              (b) Directive: an official action that requires a person to take or refrain from taking certain actions in accordance with its provisions. For example, a directive can require a person to: stop or reduce production of an item; prohibit the use of selected materials, services, or facilities; or divert the use of materials, services, or facilities from one purpose to another; and
              (c) Allotment: an official action that specifies the maximum quantity of a material, service, or facility authorized for a specific use.

              § 217.54
              Elements of an allocation order.
              Each allocation order must include:
              (a) A detailed description of the required allocation action(s);
              (b) Specific start and end calendar dates for each required allocation action;
              (c) The written signature on a manually placed order, or the digital signature or name on an electronically placed order, of the Secretary of Energy. The signature or use of the name certifies that the order is authorized under this part and that the requirements of this part are being followed;
              (d) A statement that reads in substance: “This is an allocation order certified for national defense use. [Insert the legal name of the person receiving the order] is required to comply with this order, in accordance with the provisions of the Energy Priorities and Allocations System regulation (10 CFR part 217), which is part of the Federal Priorities and Allocations System”; and
              (e) A current copy of the Energy Priorities and Allocations System regulation (10 CFR part 217).

              § 217.55
              Mandatory acceptance of an allocation order.
              (a) Except as otherwise specified in this section, a person shall accept and comply with every allocation order received.
              (b) A person shall not discriminate against an allocation order in any manner such as by charging higher prices for materials, services, or facilities covered by the order or by imposing terms and conditions for contracts and orders involving allocated materials, services, or facilities that differ from the person's terms and conditions for contracts and orders for the materials, services, or facilities prior to receiving the allocation order.
              (c) If a person is unable to comply fully with the required action(s) specified in an allocation order, the person must notify the Department of Energy immediately, explain the extent to which compliance is possible, and give the reasons why full compliance is not possible. If notification is given verbally, written or electronic confirmation must be provided within five (5) working days. Such notification does not release the person from complying with the order to the fullest extent possible, until the person is notified by the Department of Energy that the order has been changed or cancelled.

              § 217.56
              Changes or cancellations of an allocation order.
              An allocation order may be changed or canceled by an official action of the Department of Energy.

            Subpart F—Official Actions

              § 217.60
              General provisions.
              (a) The Department of Energy may take specific official actions to implement the provisions of this part.
              (b) These official actions include Rating Authorizations, Directives, and Memoranda of Understanding.

              § 217.61
              Rating Authorizations.
              (a) A Rating Authorization is an official action granting specific priority rating authority that:
              (1) Permits a person to place a priority rating on an order for an item or service not normally ratable under this part; or
              (2) Authorizes a person to modify a priority rating on a specific order or series of contracts or orders.
              (b) To request priority rating authority, see § 217.41.

              § 217.62
              Directives.
              (a) A Directive is an official action that requires a person to take or refrain from taking certain actions in accordance with its provisions.
              (b) A person must comply with each Directive issued. However, a person may not use or extend a Directive to obtain any items from a supplier, unless expressly authorized to do so in the Directive.

              (c) A Priorities Directive takes precedence over all DX-rated orders, DO-rated orders, and unrated orders previously or subsequently received, unless a contrary instruction appears in the Directive.
              (d) An Allocations Directive takes precedence over all Priorities Directives, DX-rated orders, DO-rated orders, and unrated orders previously or subsequently received, unless a contrary instruction appears in the Directive.

              § 217.63
              Letters and Memoranda of Understanding.
              (a) A Letter or Memorandum of Understanding is an official action that may be issued in resolving special priorities assistance cases to reflect an agreement reached by all parties (the Department of Energy, the Department of Commerce (if applicable), a Delegate Agency (if applicable), the supplier, and the customer).
              (b) A Letter or Memorandum of Understanding is not used to alter scheduling between rated orders, to authorize the use of priority ratings, to impose restrictions under this part. Rather, Letters or Memoranda of Understanding are used to confirm production or shipping schedules that do not require modifications to other rated orders.

            Subpart G—Compliance

              § 217.70
              General provisions.
              (a) The Department of Energy may take specific official actions for any reason necessary or appropriate to the enforcement or the administration of the Defense Production Act and other applicable statutes, this part, or an official action. Such actions include Administrative Subpoenas, Demands for Information, and Inspection Authorizations.
              (b) Any person who places or receives a rated order or an allocation order must comply with the provisions of this part.
              (c) Willful violation of the provisions of title I or section 705 of the Defense Production Act and other applicable statutes, this part, or an official action of the Department of Energy is a criminal act, punishable as provided in the Defense Production Act and other applicable statutes, and as set forth in § 217.74 of this part.

              § 217.71
              Audits and investigations.
              (a) Audits and investigations are official examinations of books, records, documents, other writings and information to ensure that the provisions of the Defense Production Act and other applicable statutes, this part, and official actions have been properly followed. An audit or investigation may also include interviews and a systems evaluation to detect problems or failures in the implementation of this part.
              (b) When undertaking an audit or investigation, the Department of Energy shall:
              (1) Define the scope and purpose in the official action given to the person under investigation, and
              (2) Have ascertained that the information sought or other adequate and authoritative data are not available from any Federal or other responsible agency.
              (c) In administering this part, the Department of Energy may issue the following documents that constitute official actions:
              (1) Administrative Subpoenas. An Administrative Subpoena requires a person to appear as a witness before an official designated by the Department of Energy to testify under oath on matters of which that person has knowledge relating to the enforcement or the administration of the Defense Production Act and other applicable statutes, this part, or official actions. An Administrative Subpoena may also require the production of books, papers, records, documents and physical objects or property.

              (2) Demands for Information. A Demand for Information requires a person to furnish to a duly authorized representative of the Department of Energy any information necessary or appropriate to the enforcement or the administration of the Defense Production Act and other applicable statutes, this part, or official actions.

              (3) Inspection Authorizations. An Inspection Authorization requires a person to permit a duly authorized representative of the Department of Energy to interview the person's employees or agents, to inspect books, records, documents, other writings, and information, including electronically-stored information, in the person's possession or control at the place where that person usually keeps them or otherwise, and to inspect a person's property when such interviews and inspections are necessary or appropriate to the enforcement or the administration of the Defense Production Act and related statutes, this part, or official actions.
              (d) The production of books, records, documents, other writings, and information will not be required at any place other than where they are usually kept if, prior to the return date specified in the Administrative Subpoena or Demand for Information, a duly authorized official of the Department of Energy is furnished with copies of such material that are certified under oath to be true copies. As an alternative, a person may enter into a stipulation with a duly authorized official of Department of Energy as to the content of the material.
              (e) An Administrative Subpoena, Demand for Information, or Inspection Authorization, shall include the name, title, or official position of the person to be served, the evidence sought to be adduced, and its general relevance to the scope and purpose of the audit, investigation, or other inquiry. If employees or agents are to be interviewed; if books, records, documents, other writings, or information are to be produced; or if property is to be inspected; the Administrative Subpoena, Demand for Information, or Inspection Authorization will describe them with particularity.
              (f) Service of documents shall be made in the following manner:
              (1) Service of a Demand for Information or Inspection Authorization shall be made personally, or by Certified Mail-Return Receipt Requested at the person's last known address. Service of an Administrative Subpoena shall be made personally. Personal service may also be made by leaving a copy of the document with someone at least 18 years old at the person's last known dwelling or place of business.
              (2) Service upon other than an individual may be made by serving a partner, corporate officer, or a managing or general agent authorized by appointment or by law to accept service of process. If an agent is served, a copy of the document shall be mailed to the person named in the document.
              (3) Any individual 18 years of age or over may serve an Administrative Subpoena, Demand for Information, or Inspection Authorization. When personal service is made, the individual making the service shall prepare an affidavit as to the manner in which service was made and the identity of the person served, and return the affidavit, and in the case of subpoenas, the original document, to the issuing officer. In case of failure to make service, the reasons for the failure shall be stated on the original document.

              § 217.72
              Compulsory process.
              (a) If a person refuses to permit a duly authorized representative of the Department of Energy to have access to any premises or source of information necessary to the administration or the enforcement of the Defense Production Act and other applicable statutes, this part, or official actions, the Department of Energy representative may seek compulsory process. Compulsory process means the institution of appropriate legal action, including ex parte application for an inspection warrant or its equivalent, in any forum of appropriate jurisdiction.
              (b) Compulsory process may be sought in advance of an audit, investigation, or other inquiry, if, in the judgment of the Senior Policy Advisor for the Office of Electricity Delivery and Energy Reliability, as listed in § 217.93, there is reason to believe that a person will refuse to permit an audit, investigation, or other inquiry, or that other circumstances exist which make such process desirable or necessary.

              § 217.73
              Notification of failure to comply.

              (a) At the conclusion of an audit, investigation, or other inquiry, or at any other time, the Department of Energy may inform the person in writing where compliance with the requirements of the Defense Production Act and other applicable statutes, this part, or an official action were not met.
              (b) In cases where the Department of Energy determines that failure to comply with the provisions of the Defense Production Act and other applicable statutes, this part, or an official action was inadvertent, the person may be informed in writing of the particulars involved and the corrective action to be taken. Failure to take corrective action may then be construed as a willful violation of the Defense Production Act and other applicable statutes, this part, or an official action.

              § 217.74
              Violations, penalties, and remedies.
              (a) Willful violation of the provisions of title I or sections 705 or 707 of the Defense Production Act, the priorities provisions of the Selective Service Act and related statutes (when applicable), this part, or an official action, is a crime and upon conviction, a person may be punished by fine or imprisonment, or both. The maximum penalties provided by the Defense Production Act are a $10,000 fine, or one year in prison, or both. The maximum penalties provided by the Selective Service Act and related statutes are a $50,000 fine, or three years in prison, or both.
              (b) The Government may also seek an injunction from a court of appropriate jurisdiction to prohibit the continuance of any violation of, or to enforce compliance with, the Defense Production Act, this part, or an official action.
              (c) In order to secure the effective enforcement of the Defense Production Act and other applicable statutes, this part, and official actions, the following are prohibited:
              (1) No person may solicit, influence or permit another person to perform any act prohibited by, or to omit any act required by, the Defense Production Act and other applicable statutes, this part, or an official action.
              (2) No person may conspire or act in concert with any other person to perform any act prohibited by, or to omit any act required by, the Defense Production Act and other applicable statutes, this part, or an official action.
              (3) No person shall deliver any item if the person knows or has reason to believe that the item will be accepted, redelivered, held, or used in violation of the Defense Production Act and other applicable statutes, this part, or an official action. In such instances, the person must immediately notify the Department of Energy that, in accordance with this provision, delivery has not been made.

              § 217.75
              Compliance conflicts.
              If compliance with any provision of the Defense Production Act and other applicable statutes, this part, or an official action would prevent a person from filling a rated order or from complying with another provision of the Defense Production Act and other applicable statutes, this part, or an official action, the person must immediately notify the Department of Energy for resolution of the conflict.

            Subpart H—Adjustments, Exceptions, and Appeals

              § 217.80
              Adjustments or exceptions.
              (a) A person may submit a request to the Senior Policy Advisor for the Office of Electricity Delivery and Energy Reliability, as listed in § 217.93, for an adjustment or exception on the ground that:
              (1) A provision of this part or an official action results in an undue or exceptional hardship on that person not suffered generally by others in similar situations and circumstances; or
              (2) The consequences of following a provision of this part or an official action is contrary to the intent of the Defense Production Act and other applicable statutes, or this part.
              (b) Each request for adjustment or exception must be in writing and contain a complete statement of all the facts and circumstances related to the provision of this part or official action from which adjustment is sought and a full and precise statement of the reasons why relief should be provided.

              (c) The submission of a request for adjustment or exception shall not relieve any person from the obligation of complying with the provision of this part or official action in question while the request is being considered unless such interim relief is granted in writing by the Senior Policy Advisor for the Office of Electricity Delivery and Energy Reliability, as listed in § 217.93.
              (d) A decision of the Senior Policy Advisor for the Office of Electricity Delivery and Energy Reliability, as listed in § 217.93, under this section may be appealed to the Office of Infrastructure Security and Energy Restoration (For information on the appeal procedure, see § 217.81.)

              § 217.81
              Appeals.
              (a) Any person who has had a request for adjustment or exception denied by the Senior Policy Advisor for the Office of Electricity Delivery and Energy Reliability, as listed in section 217.93, under § 217.80, may appeal to the Office of Infrastructure Security and Energy Restoration who shall review and reconsider the denial.
              (b)(1) Except as provided in this paragraph (b)(2), an appeal must be received by the Office of Infrastructure Security and Energy Restoration no later than 45 days after receipt of a written notice of denial from the Senior Policy Advisor for the Office of Electricity Delivery and Energy Reliability, as listed in § 217.93. After this 45-day period, an appeal may be accepted at the discretion of the Office of Infrastructure Security and Energy Restoration for good cause shown.
              (2) For requests for adjustment or exception involving rated orders placed for the purpose of emergency preparedness (see 217.14(d)), an appeal must be received by the Office of Infrastructure Security and Energy Restoration, no later than 15 days after receipt of a written notice of denial from the Senior Policy Advisor for the Office of Electricity Delivery and Energy Reliability, as listed in § 217.93. Contract performance under the order shall not be stayed pending resolution of the appeal.
              (c) Each appeal must be in writing and contain a complete statement of all the facts and circumstances related to the action appealed from and a full and precise statement of the reasons the decision should be modified or reversed.
              (d) In addition to the written materials submitted in support of an appeal, an appellant may request, in writing, an opportunity for an informal hearing. This request may be granted or denied at the discretion of the Office of Infrastructure Security and Energy Restoration.
              (e) When a hearing is granted, the Office of Infrastructure Security and Energy Restoration may designate an employee to conduct the hearing and to prepare a report. The hearing officer shall determine all procedural questions and impose such time or other limitations deemed reasonable. In the event that the hearing officer decides that a printed transcript is necessary, all expenses shall be borne by the appellant.
              (f) When determining an appeal, the Office of Infrastructure Security and Energy Restoration may consider all information submitted during the appeal as well as any recommendations, reports, or other relevant information and documents available to the Department of Energy or consult with any other persons or groups.
              (g) The submission of an appeal under this section shall not relieve any person from the obligation of complying with the provision of this part or official action in question while the appeal is being considered unless such relief is granted in writing by the Office of Infrastructure Security and Energy Restoration.
              (h) The decision of the Office of Infrastructure Security and Energy Restoration shall be made within five (5) days after receipt of the appeal, or within one (1) day for appeals pertaining to emergency preparedness and shall be the final administrative action. It shall be issued to the appellant in writing with a statement of the reasons for the decision.

            Subpart I—Miscellaneous Provisions

              § 217.90
              Protection against claims.

              A person shall not be held liable for damages or penalties for any act or failure to act resulting directly or indirectly from compliance with any provision of this part, or an official action, notwithstanding that such provision or action shall subsequently be declared invalid by judicial or other competent authority.

              § 217.91
              Records and reports.
              (a) Persons are required to make and preserve for at least three years, accurate and complete records of any transaction covered by this part or an official action.
              (b) Records must be maintained in sufficient detail to permit the determination, upon examination, of whether each transaction complies with the provisions of this part or any official action. However, this part does not specify any particular method or system to be used.
              (c) Records required to be maintained by this part must be made available for examination on demand by duly authorized representatives of the Department of Energy as provided in § 217.71.
              (d) In addition, persons must develop, maintain, and submit any other records and reports to the Department of Energy that may be required for the administration of the Defense Production Act and other applicable statutes, and this part.
              (e) Section 705(d) of the Defense Production Act, as implemented by E.O. 12919, provides that information obtained under this section which the Secretary deems confidential, or with reference to which a request for confidential treatment is made by the person furnishing such information, shall not be published or disclosed unless the Secretary determines that the withholding of this information is contrary to the interest of the national defense. Information required to be submitted to the Department of Energy in connection with the enforcement or administration of the Defense Production Act, this part, or an official action, is deemed to be confidential under section 705(d) of the Defense Production Act and shall be handled in accordance with applicable Federal law.

              § 217.92
              Applicability of this part and official actions.
              (a) This part and all official actions, unless specifically stated otherwise, apply to transactions in any state, territory, or possession of the United States and the District of Columbia.
              (b) This part and all official actions apply not only to deliveries to other persons but also include deliveries to affiliates and subsidiaries of a person and deliveries from one branch, division, or section of a single entity to another branch, division, or section under common ownership or control.
              (c) This part and its schedules shall not be construed to affect any administrative actions taken by the Department of Energy, or any outstanding contracts or orders placed pursuant to any of the regulations, orders, schedules or delegations of authority previously issued by the Department of Energy pursuant to authority granted to the President in the Defense Production Act. Such actions, contracts, or orders shall continue in full force and effect under this part unless modified or terminated by proper authority.

              § 217.93
              Communications.

              All communications concerning this part, including requests for copies of the regulation and explanatory information, requests for guidance or clarification, and requests for adjustment or exception shall be addressed to the Senior Policy Advisor for the Office of Electricity Delivery and Energy Reliability, Office of Infrastructure Security and Energy Restoration, U.S. Department of Energy, 1000 Independence Ave., SW., Washington, DC 20585; (202) 536-0379 (GC-76EPAS@hq.doe.gov).

              Pt. 217, App. I
              Appendix I to Part 217—Sample Form DOE F 544 (05-11)

                ER09JN11.049

          Pt. 218
          PART 218—STANDBY MANDATORY INTERNATIONAL OIL ALLOCATION

              Subpart A—General Provisions
              Sec.
              218.1
              Purpose and scope.
              218.2
              Activation/Deactivation.
              218.3
              Definitions.

              Subpart B—Supply Orders
              218.10
              Rule.
              218.11
              Supply orders.
              218.12
              Pricing.

              Subpart C [Reserved]

              Subpart D—Procedures
              218.30
              Purpose and scope.
              218.31
              Incorporated procedures.
              218.32
              Review.
              218.33
              Stay.
              218.34
              Addresses.

              Subpart E—Investigations, Violations, Sanctions and Judicial Actions
              218.40
              Investigations.
              218.41
              Violations.
              218.42
              Sanctions.
              218.43
              Injunctions.

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

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

            Subpart A—General Provisions

              § 218.1
              Purpose and scope.
              (a) This part implements section 251 of the Energy Policy and Conservation Act (Pub. L. 94-163) (42 U.S.C. 6271), as amended, which authorizes the President to take such action as he determines to be necessary for performance of the obligations of the United States under chapters III and IV of the Agreement on an International Energy Program (TIAS 8278), insofar as such obligations relate to the mandatory international allocation of oil by International Energy Program participating countries.
              (b) Applicability. This part applies to any firm engaged in producing, transporting, refining, distributing or storing oil which is subject to the jurisdiction of the United States.

              § 218.2
              Activation/Deactivation.
              (a) This rule shall take effect providing:
              (1) The International Energy Program has been activated; and,
              (2) The President has transmitted this rule to Congress, has found putting such rule into effect is required in order to fulfill obligations of the United States under the International Energy Program and has transmitted such a finding to the Congress together with a statement of the effective date and manner for exercise of such rule.
              (b) This rule shall revert to standby status no later than 60 days after the deactivation of the emergency allocation system activated to implement the International Energy Program.

              § 218.3
              Definitions.

                DOE means the Department of Energy established by the Department of Energy Organization Act (Pub. L. 95-91), and includes the Secretary of Energy or his delegate.

                EPCA means the Energy Policy and Conservation Act (Pub. L. 94-163), as amended.

                Firm means any association, company, corporation, estate, individual, joint-venture, partnership, or sole proprietorship or any other entity however organized including charitable, educational, or other eleemosynary institutions, and the Federal Government including corporations, departments, Federal agencies, and other instrumentalities, and State and local governments. The ERA may, in regulations and forms issued in this part, treat as a firm: (a) A parent and the consolidated and unconsolidated entities (if any) which it directly or indirectly controls, (b) a parent and its consolidated entities, (c) an unconsolidated entity, or (d) any part of a firm.

                IEA means the International Energy Agency established to implement the IEP.

                IEP means the International Energy Program established pursuant to the Agreement on an International Energy Program signed at Paris, France, on November 18, 1974, including (a) the Annex entitled “Emergency Reserves”, (b) any amendment to such Agreement that includes another nation as a Party to such Agreement, and (c) any technical or clerical amendment to such Agreement.

                International energy supply emergency means any period (a) beginning on any date that the President determines allocation of petroleum products to nations participating in the IEP is required by chapters III and IV of the IEP and (b) ending on a date on which he determines such allocation is no longer required.

                Oil means crude oil, residual fuel oil, unfinished oil, refined petroleum product and natural gas liquids, which is owned or controlled by a firm, including any petroleum product destined, directly or indirectly, for import into the United States or any foreign country, or produced in the United States but excludes any oil stored in or owned and controlled by the United States Government in connection with the Strategic Petroleum Reserve authorized in section 151, et seq., of the Energy Policy and Conservation Act (Pub. L. 94-163).

                Person means any individual, firm, estate, trust, sole proprietorship, partnership, association, company, joint-venture, corporation, governmental unit or instrumentality thereof, or a charitable, educational or other institution, and includes any officer, director, owner or duly authorized representative thereof.

                Supply order means a written directive or a verbal communication of a written directive, if promptly confirmed in writing, issued by the DOE pursuant to subpart B of this part.

                United States when used in the geographic sense means the several States, the District of Columbia, Puerto Rico, and the territories and possessions of the United States, and the outer continental shelf as defined in 43 U.S.C. 1331.

            Subpart B—Supply Orders

              § 218.10
              Rule.
              (a) Upon the determination by the President that an international energy supply emergency exists, firms engaged in producing, transporting, refining, distributing, or storing oil shall take such actions as are determined by the DOE to be necessary for implementation of the obligations of the United States under chapters III and IV of the IEP that relate to the mandatory international allocation of oil by IEP participating countries.
              (b) Any actions required in accordance with paragraph (a) of this section shall be stated in supply orders issued by DOE.
              (c) No firm to which a supply order is issued shall be required to comply with such order unless the firm to which the oil is to be provided in accordance with such supply order has agreed to a procedure for the resolution of any dispute related to the terms and conditions of the sale undertaken pursuant to the supply order. The means for resolving any such disputes may include any procedures that are mutually acceptable to the parties, including arbitration before the IEA if the IEA has established arbitration procedures, arbitration or adjudication before an appropriate body, or any other similar procedure.

              § 218.11
              Supply orders.
              (a) A supply order shall require that the firm to which it is issued take actions specified therein relating to supplying the stated volume of oil to a specified recipient including, but not limited to, distributing, producing, storing, transporting or refining oil. A supply order shall include a concise statement of the pertinent facts and of the legal basis on which it is issued, and shall describe the action to be taken.
              (b) The DOE shall serve a copy of the supply order on the firm directed to act as stated therein.
              (c) The DOE may modify or rescind a supply order on its own motion or pursuant to an application filed in accordance with § 218.32 of this part.
              (d) A supply order shall be effective in accordance with its terms, and when served upon a firm directed to act thereunder, except that a supply order shall not remain in effect (1) upon reversion of this rule to standby status or (2) twelve months after the rule has been transmitted to Congress (whichever occurs first) or (3) to the extent that DOE or a court of competent jurisdiction directs that it be stayed, modified, or rescinded.

              (e) Any firm issued a supply order pursuant to this subpart may seek modification or rescission of the supply order in accordance with procedures provided in § 218.32 of this part.

              § 218.12
              Pricing.
              The price for oil subject to a supply order issued pursuant to this subpart shall be based on the price conditions prevailing for comparable commercial transactions at the time the supply order is served.

            Subpart C [Reserved]

            Subpart D—Procedures

              § 218.30
              Purpose and scope.
              This subpart establishes the administrative procedures applicable to supply orders. They shall be exclusive of any other procedures contained in this chapter, unless such other procedures are specifically made applicable hereto by this subpart.

              § 218.31
              Incorporated procedures.
              The following subparts of part 205 of this chapter are, as appropriate, hereby made applicable to this part:
              (a) Subpart A— General Provisions; Provided, that § 205.11 shall not apply; and Provided further, that in addition to the methods of service specified in § 205.7 of this chapter, service shall be effective if a supply order is transmitted by telex, telecopies or other similar means of electronic transmission of a writing and received by the firm to which the supply order is addressed.
              (b) Subpart F— Interpretation.
              (c) Subpart K— Rulings.
              (d) Subpart M— Conferences, Hearings and Public Hearings.

              § 218.32
              Review.
              (a) Purpose and scope. This subpart establishes the procedures for the filing of an application for review of a supply order. An application for review is a summary proceeding which will be initiated only if the criteria described in paragraph (g)(2) of this section are satisfied.
              (b) What to file. (1) A firm filing under this subpart shall file an “Application for Review” which should be clearly labeled as such both on the application and on the outside of the envelope in which the application is transmitted, and shall be in writing and signed by the firm filing the application. The applicant shall comply with the general filing requirements stated in 10 CFR 205.9 in addition to the requirements stated in this section.
              (2) If the applicant wishes to claim confidential treatment for any information contained in the application or other documents submitted under this subpart, the procedures set out in 10 CFR 205.9(f) shall apply.
              (c) When to file. An application for review should be filed no later than 5 days after the receipt by the applicant of the supply order that is the subject of the application, or no later than 2 days after the occurrence of an event that results in a substantial change in the facts or circumstances affecting the applicant.
              (d) Where to file. The application for review shall be filed with DOE Office of Hearings and Appeals (OHA), 2000 M Street, NW., Washington, DC 20461.
              (e) Notice. The applicant shall send by United States mail or deliver by hand a copy of the application and any subsequent amendments or other documents relating to the application to the Administrator of the Economic Regulatory Administration of DOE, 2000 M Street, NW., Washington, DC 20461. Service shall be made on the ERA at same time the document is filed with OHA and each document filed with the OHA shall include certification that the applicant has complied with the requirements of this paragraph.
              (f) Contents. (1) The application shall contain a full and complete statement of all relevant facts pertaining to the application and to the DOE action sought. Such facts shall include a complete statement of the business or other reasons that justify review of the supply order and a full description of the pertinent provisions and relevant facts contained in any relevant documents. Copies of all contracts, agreements, leases, instruments, and other documents relevant to the application shall be submitted with the application. A copy of the order of which review is sought shall be included with the application. When the application pertains to only one step of a larger integrated transaction, the facts, circumstances, and other relevant information pertaining to the entire transaction shall be submitted.
              (2) The application shall include a discussion of all relevant authorities, including, but not limited to, DOE and DOE rulings, regulations, interpretations and decisions on appeal and exception relied upon to support the action sought therein.
              (g) DOE evaluation—(1) Processing. (i) The DOE may initiate an investigation of any statement in an application and utilize in its evaluation any relevant facts obtained by such investigation. The DOE may solicit and accept submissions from third parties relevant to any application for review provided that the applicant is afforded an opportunity to respond to all third party submissions. In evaluating an application for review, the DOE may convene a conference, on its own initiative, if, in its discretion, it considers that a conference will advance its evaluation of the application.
              (ii) If the DOE determines that there is insufficient information upon which to base a decision and if upon request the necessary additional information is not submitted, the DOE may dismiss the application without prejudice. If the failure to supply additional information is repeated or willful, the DOE may dismiss the application with prejudice. If the applicant fails to provide the notice required by paragraph (e) of this section, the DOE may dismiss the application without prejudice.
              (iii) An order dismissing an application for any of the reasons specified in paragraph (g)(1)(ii) of this section shall contain a statement of the grounds for the dismissal. The order shall become final within 5 days of its service upon the applicant, unless within such 5-day period the applicant files an amendment correcting the deficiencies identified in the order. Within 5 days of the filing of such amendment, the DOE shall notify the applicant whether the amendment corrects the specified deficiencies. If the amendment does not correct the deficiencies specified in the order, the order shall become a final order of the DOE of which the applicant may seek judicial review.
              (2) An application for review of an order shall be processed only if the applicant demonstrates that—
              (i) There is probable cause to believe that the supply order is erroneous, inequitable, or unduly burdensome; or
              (ii) There has been discovered a law, regulation, interpretation, ruling, order or decision that was in effect at the time of the application which, if it had been made known to the DOE, would have been relevant to the supply order and would have substantially altered the supply order; or
              (iii) There has been a substantial change in the facts or circumstances affecting the applicant, which change has occurred during the interval between issuance of the supply order and the date of the application and was caused by forces or circumstances beyond the control of the applicant.
              (h) Decision. (1) Upon consideration of the application and other relevant information received or obtained during the proceeding, the DOE shall issue an order granting or denying the modification or rescission of the supply order requested in the application for review.
              (2) The DOE shall process applications for review as expeditiously as possible. When administratively feasible, the DOE shall issue an order granting or denying the application within 20 business days after receipt of the application.
              (3) The order shall include a written statement setting forth the relevant facts and the legal basis of the order. The order shall state that it is a final order of which the applicant may seek judicial review.
              (4) The DOE shall serve a copy of the order upon the applicant and any other party who participated in the proceeding.

              § 218.33
              Stay.

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

              § 218.34
              Addresses.
              All correspondence, petitions, and any information required by this part shall be submitted to: Administrator, Economic Regulatory Administration, Department of Energy, 2000 M Street, NW., Washington, DC 20461, and to the Director, Office of Hearings and Appeals, Department of Energy, 2000 M Street, NW., Washington, DC 20461.

            Subpart E—Investigations, Violations, Sanctions and Judicial Actions

              § 218.40
              Investigations.
              (a) The DOE may initiate and conduct investigations relating to the scope, nature and extent of compliance by any person with the rules, regulations or statutes of the DOE or any order promulgated by the DOE under the authority of section 251 of EPCA, or any court decree.
              (b) Any duly designated and authorized representative of DOE has the authority to conduct an investigation and to take such action as he deems necessary and appropriate to the conduct of the investigation including any action pursuant to § 205.8.
              (c) There are no parties, as that term is used in adjudicative proceedings, in an investigation under this subpart, and no person may intervene or participate as a matter of right in any investigation under this subpart.
              (d) Any person may request the DOE to initiate an investigation pursuant to paragraph (a) of this section. A request for an investigation shall set forth the subject matter to be investigated as fully as possible and include supporting documentation and information. No particular forms or procedures are required.
              (e) Any person who is requested to furnish documentary evidence or testimony in an investigation, upon written request, shall be informed of the general purpose of the investigation.
              (f) DOE shall not disclose information or documents that are obtained during any investigation unless (1) DOE directs or authorizes the public disclosure of the investigation; (2) the information or documents are a matter of public record; or (3) disclosure is not precluded by the Freedom of Information Act, 5 U.S.C. 552 and 10 CFR part 1004.
              (g) During the course of an investigation any person may submit at any time any document, statement of facts or memorandum of law for the purpose of explaining the person's position or furnish evidence which the person considers relevant to a matter under investigation.
              (h) If facts disclosed by an investigation indicate that further action is unnecessary or unwarranted, the investigative file may be closed without prejudice to further investigation by the DOE at any time that circumstances so warrant.

              § 218.41
              Violations.

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

              § 218.42
              Sanctions.
              (a) General. Any person who violates any provisions of this part 218 or any order issued pursuant thereto shall be subject to penalties and sanctions as provided herein.
              (1) The provisions herein for penalties and sanctions shall be deemed cumulative and not mutually exclusive.
              (2) Each day that a violation of the provisions of this part 218 or any order issued pursuant thereto continues shall be deemed to constitute a separate violation within the meaning of the provisions of this part relating to fines and civil penalties.
              (b) Penalties. (1) Any person who violates any provision of this part or any order issued pursuant thereto shall be subject to a civil penalty of not more than $23,031 for each violation.
              (2) Any person who willfully violates any provision of this part 218 or any order issued pursuant thereto shall be subject to a fine of not more than $10,000 for each violation.
              (3) Any person who knowingly and willfully violates any provision of this part 218 or any order issued pursuant thereto with respect to the sale, offer of sale, or distribution in commerce of oil in commerce after having been subject to a sanction under paragraph (b)(1) or (2) of this section for a prior violation of the provisions of this part 218 or any order issued pursuant thereto with respect to the sale, offer of sale, or distribution in commerce of oil shall be subject to a fine of not more than $50,000 or imprisonment for not more than six months, or both, for each violation.
              (4) Actions for penalties under this section are prosecuted by the Department of Justice upon referral by the DOE.
              (5) When the DOE considers it to be appropriate or advisable, the DOE may compromise and settle any action under this paragraph, and collect civil penalties.
              (c) Other Penalties. Willful concealment of material facts, or making of false, fictitious or fraudulent statements or representations, or submission of a document containing false, fictitious or fraudulent statements pertaining to matters within the scope of this part 218 by any person shall subject such persons to the criminal penalties provided in 18 U.S.C. 1001 (1970).
              [44 FR 27972, May 14, 1979, as amended at 62 FR 46183, Sept. 2, 1997; 74 FR 66032, Dec. 14, 2009; 79 FR 19, Jan. 2, 2014; 81 FR 41793, June 28, 2016; 81 FR 96351, Dec. 30, 2016; 83 FR 1291, Jan. 11, 2018; 83 FR 66083, Dec. 26, 2018]

              § 218.43
              Injunctions.
              Whenever it appears to the DOE that any firm has engaged, is engaging, or is about to engage in any act or practice constituting a violation of any regulation or order issued under this part 218, the DOE may request the Attorney General to bring a civil action in the appropriate district court of the United States to enjoin such acts or practices and, upon a proper showing, a temporary restraining order or a preliminary or permanent injunction shall be granted without bond. The relief sought may include a mandatory injunction commanding any firm to comply with any provision of such order or regulation, the violation of which is prohibited by section 524 of the EPCA.

          PART 220 [RESERVED]

          Pt. 221
          PART 221—PRIORITY SUPPLY OF CRUDE OIL AND PETROLEUM PRODUCTS TO THE DEPARTMENT OF DEFENSE UNDER THE DEFENSE PRODUCTION ACT

              Subpart A—General
              Sec.
              221.1
              Scope.
              221.2
              Applicability.

              Subpart B—Exclusions
              221.11
              Natural gas and ethane.

              Subpart C—Definitions
              221.21
              Definitions.

              Subpart D—Administrative Procedures and Sanctions
              221.31
              Requests by DOD.
              221.32
              Evaluation of DOD request.
              221.33
              Order.
              221.34
              Effect of order.

              221.35
              Contractual requirements.
              221.36
              Records and reports.
              221.37
              Violations and sanctions.

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

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

            Subpart A—General

              § 221.1
              Scope.
              This part sets forth the procedures to be utilized by the Economic Regulatory Administration of the Department of Energy and the Department of Defense whenever the priority supply of crude oil and petroleum products is necessary or appropriate to meet national defense needs. The procedures available in this part are intended to supplement but not to supplant other regulations of the ERA regarding the allocation of crude oil, residual fuel oil and refined petroleum products.

              § 221.2
              Applicability.
              This part applies to the mandatory supply of crude oil, refined petroleum products (including liquefied petroleum gases) and lubricants to the Department of Defense for its own use or for purchases made by the Department of Defense on behalf of other Federal Government agencies.

            Subpart B—Exclusions

              § 221.11
              Natural gas and ethane.
              The supply of natural gas and ethane are excluded from this part.

            Subpart C—Definitions

              § 221.21
              Definitions.
              For purposes of this part—

                Directive means an official action taken by ERA which requires a named person to take an action in accordance with its provisions.

                DOD means the Department of Defense, including Military Departments and Defense Agencies, acting through either the Secretary of Defense or the designee of the Secretary.

                ERA means the Economic Regulatory Administration of the Department of Energy.

                National defense means programs for military and atomic energy production or construction, military assistance to any foreign nation, stockpiling and space, or activities directly related to any of the above.

                Person means any individual, corporation, partnership, association or any other organized group of persons, and includes any agency of the United States Government or any other government.

                Priority-rated supply order means any delivery order for crude oil or petroleum products issued by DOD bearing a priority rating issued by ERA under this part.

                Supplier means any person other than the DOD which supplies, sells, transfers, or otherwise furnishes (as by consignment) crude oil or petroleum product to any other person.

            Subpart D—Administrative Procedures and Sanctions

              § 221.31
              Requests by DOD.
              (a) When DOD finds that (1) a fuel supply shortage for DOD exists or is anticipated which would have a substantial negative impact on the national defense, and (2) the defense activity for which fuel is required cannot be postponed until after the fuel supply shortage is likely to terminate, DOD may submit a written request to ERA for the issuance to it of a priority rating for the supply of crude oil and petroleum products.
              (b) Not later than the transmittal date of its request to ERA, DOD shall notify the Federal Emergency Management Agency that it has requested a priority rating from ERA.
              (c) Requests from DOD shall set forth the following:
              (1) The quantity and quality of crude oil or petroleum products determined by DOD to be required to meet national defense requirements;
              (2) The required delivery dates;

              (3) The defense-related activity and the supply location for which the crude oil or petroleum product is to be delivered;

              (4) The current or most recent suppliers of the crude oil or petroleum product and the reasons, if known, why the suppliers will not supply the requested crude oil or petroleum product;
              (5) The degree to which it is feasible for DOD to use an alternate product in lieu of that requested and, if such an alternative product can be used, the efforts which have been made to obtain the alternate product;
              (6) The period during which the shortage of crude oil or petroleum products is expected to exist;
              (7) The proposed supply source for the additional crude oil or petroleum products required, which shall, if practicable, be the historical supplier of such crude oil or product to DOD; and
              (8) Certification that DOD has made each of the findings required by paragraph (a) of this section.

              § 221.32
              Evaluation of DOD request.
              (a) Upon receipt of a request from DOD for a priority rating as provided in § 221.31, it shall be reviewed promptly by ERA. The ERA will assess the request in terms of:
              (1) The information provided under § 221.31;
              (2) Whether DOD's national defense needs for crude oil or petroleum products can reasonably be satisfied without exercising the authority specified in this part;
              (3) The capability of the proposed supplier to supply the crude oil or petroleum product in the amounts required;
              (4) The known capabilities of alternative suppliers;
              (5) The feasibility to DOD of converting to and using a product other than that requested; and
              (6) Any other relevant information.
              (b) The ERA promptly shall notify the proposed supplier of DOD's request for a priority rating specified under this part. The proposed supplier shall have a period specified in the notice, not to exceed fifteen (15) days from the date it is notified of DOD's request, to show cause in writing why it cannot supply the requested quantity and quality of crude oil or petroleum products. ERA shall consider this information in determining whether to issue the priority rating.
              (c) If acceptance by a supplier of a rated order would create a conflict with another rated order of the supplier, it shall include all pertinent information regarding such conflict in its response to the show cause order provided for in subsection (b), and ERA, in consultation with DOD and the Federal Emergency Management Agency shall determine the priorities for meeting all such requirements.
              (d) ERA may waive some or all of the requirements of § 221.31 or this section where the Secretary of Defense or his designee certifies, and has so notified the Federal Emergency Management Agency, that a fuel shortage for DOD exists or is imminent and that compliance with such requirements would have a substantial negative impact on the national defense.

              § 221.33
              Order.
              (a) Issuance. If ERA determines that issuance of a priority rating for a crude oil or refined petroleum product is necessary to provide the crude oil or petroleum products needed to meet the national defense requirement established by DOD, it shall issue such a rating to DOD for delivery of specified qualities and quantities of the crude oil or refined petroleum products on or during specified delivery dates or periods. In accordance with the terms of the order, DOD may then place such priority rating on a supply order.
              (b) Compliance. Each person who receives a priority-rated supply order pursuant to this part shall supply the specified crude oil or petroleum products to DOD in accordance with the terms of that order.
              (c) ERA directives. Notwithstanding any other provisions of this part, where necessary or appropriate to promote the national defense ERA is authorized to issue a directive to a supplier of crude oil or petroleum product requiring delivery of specified qualities and quantities of such crude oil or petroleum products to DOD at or during specified delivery dates or periods.
              (d) Use of ratings by suppliers. No supplier who receives a priority-rated supply order or directive issued under the authority of this section may use such priority order or directive in order to obtain materials necessary to meet its supply obligations thereunder.

              § 221.34
              Effect of order.

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

              § 221.35
              Contractual requirements.
              (a) No supplier may discriminate against an order or contract on which a priority rating has been placed under this part by charging higher prices, by imposing terms and conditions for such orders or contracts different from other generally comparable orders or contracts, or by any other means.
              (b) Contracts with priority ratings shall be subject to all applicable laws and regulations which govern the making of such contracts, including those specified in 10 CFR 211.26(e).

              § 221.36
              Records and reports.
              (a) Each person receiving an order or directive under this part shall keep for at least two years from the date of full compliance with such order or directive accurate and complete records of crude oil and petroleum product deliveries made in accordance with such order or directive.
              (b) All records required to be maintained shall be made available upon request for inspection and audit by duly authorized representatives of the ERA.
              (Approved by the Office of Management and Budget under control number 1903-0073)
              [45 FR 76433, Nov. 19, 1980, as amended at 46 FR 63209, Dec. 31, 1981]

              § 221.37
              Violations and sanctions.
              (a) Any practice that circumvents or contravenes the requirements of this part or any order or directive issued under this part is a violation of the regulations provided in this part.
              (b) Criminal penalties. Any person who willfully performs any act prohibited, or willfully fails to perform any act required by this part or any order or directive issued under this part shall be subject to a fine of not more than $10,000 for each violation or imprisoned for not more than one year for each violation, or both.
              (c) Whenever in the judgment of the Administrator of ERA any person has engaged or is about to engage in any acts or practices which constitute or will constitute a violation of any provision of these regulations, the Administrator may make application to the appropriate court for an order enjoining such acts or practices, or for an order enforcing compliance with such provision.

        SUBCHAPTER B—CLIMATE CHANGE

          Pt. 300
          PART 300—VOLUNTARY GREENHOUSE GAS REPORTING PROGRAM: GENERAL GUIDELINES

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

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

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

            § 300.1
            General.
            (a) Purpose. The General Guidelines in this part and the Technical Guidelines incorporated by reference in § 300.13 govern the Voluntary Reporting of Greenhouse Gases Program authorized by section 1605(b) of the Energy Policy Act of 1992 (42 U.S.C. 13385(b)). The purpose of the guidelines is to establish the procedures and requirements for filing voluntary reports, and to encourage corporations, government agencies, non-profit organizations, households and other private and public entities to submit annual reports of their greenhouse gas emissions, emission reductions, and sequestration activities that are complete, reliable and consistent. Over time, it is anticipated that these reports will provide a reliable record of the contributions reporting entities have made toward reducing their greenhouse gas emissions.
            (b) Reporting under the program. (1) Each reporting entity, whether or not it intends to register emissions as described in paragraph (c) of this section, must:
            (i) File an entity statement that meets the appropriate requirements in § 300.5(d) through (f) of this part;
            (ii) Use appropriate emission inventory and emission reduction calculation methods specified in the Technical Guidelines (incorporated by reference, see § 300.13), and calculate and report the weighted average quality rating of any emission inventories it reports;
            (iii) Comply with the record keeping requirements in § 300.9 of this part; and
            (iv) Comply with the certification requirements in § 300.10 of this part;
            (2) Each reporting entity, whether or not it intends to register emissions as described in paragraph (c) of this section, may report offset reductions achieved by other entities outside their boundaries as long as such reductions are reported separately and calculated in accordance with methods specified in the Technical Guidelines. The third-party entity that achieved these reductions must agree to their being reported as offset reductions, and must also meet all of the requirements of reporting that would apply if the third-party entity reported directly under the 1605(b) program.
            (3) An entity that intends to register emissions and emission reductions must meet the additional requirements referenced in paragraph (c) of this section.
            (4) An entity that does not intend to register emissions and emission reductions may choose to report its emissions and/or emission reductions on an entity-wide basis or for selected elements of the entity, selected gases or selected sources.
            (5) An entity that does not intend to register emissions may report emission inventories for any year back to 1990 and may report emission reductions for any year back to 1991, relative to a base period of one to four years, ending no earlier than 1990.
            (c) Registration requirements. Entities that seek to register reductions must meet the additional requirements in this paragraph; although these requirements differ depending on whether the entity is a large or small emitter.

            (1) To be eligible for registration, a reduction must have been achieved after 2002, unless the entity has committed under the Climate Leaders or Climate VISION programs to reduce its entity-wide emissions relative to a base period that ends earlier 2002, but no earlier than 2000.
            (2) A large emitter must submit an entity-wide emission inventory that meets or exceeds the minimum quality requirements specified in § 300.6(b) and the Technical Guidelines (incorporated by reference, see § 300.13). Registered reductions of a large emitter must be based on an entity-wide assessment of net emission reductions, determined in accordance with § 300.8 and the Technical Guidelines.
            (3) A small emitter must also submit an emission inventory that meets minimum quality requirements specified in § 300.6(b) and the Technical Guidelines (incorporated by reference, see § 300.13) and base its registered reductions on an assessment of annual changes in net emissions. A small emitter, however, may restrict its inventory and assessment to a single type of activity, such as forest management, building operations or agricultural tillage.
            (4) Reporting entities may, under certain conditions, register reductions achieved by other entities:
            (i) Reporting entities that have met the requirements for registering their own reductions may also register offset reductions achieved by other entities if:
            (A) They have an agreement with the third-party entities to do so and these third-party entities have met all of the requirements for registration; or
            (B) They were the result of qualified demand management or other programs and are calculated in accordance with the action-specific method identified in § 300.8(h)(5).
            (ii) Small emitters that serve as an aggregator may register offset reductions achieved by non-reporting entities without reporting on their own emissions, as long as they have an agreement with the third-party entities to do so and these third-party entities have met all of the requirements for registration.
            (d) Forms. Annual reports of greenhouse gas emissions, emission reductions, and sequestration must be made on forms or software made available by the Energy Information Administration of the Department of Energy (EIA).
            (e) Status of reports under previous guidelines. EIA continues to maintain in its Voluntary Reporting of Greenhouse Gases database all reports received pursuant to DOE's October 1994 guidelines. Those guidelines are available from EIA at http://www.eia.doe.gov/oiaf/1605/guidelns.html.

            (f) Periodic review and updating of General and Technical Guidelines. DOE intends periodically to review the General Guidelines and the Technical Guidelines (incorporated by reference, see § 300.13) to determine whether any changes are warranted; DOE anticipates these reviews will occur approximately once every three years. These reviews will consider any new developments in climate science or policy, the participation rates of large and small emitters in the 1605(b) program, the general quality of the data submitted by different participants, and any changes to other emissions reporting protocols. Possible changes may include, but are not limited to:
            (1) The addition of greenhouse gases that have been demonstrated to have significant, quantifiable climate forcing effects when released to the atmosphere in significant quantities;
            (2) Changes to the minimum, quantity-weighted quality rating for emission inventories;
            (3) Updates to emission inventory methods, emission factors and other provisions that are contained in industry protocols or standards. The review may also consider updates to any government-developed and consensus-based emission factors for which automatic updating is not provided in the Technical Guidelines;
            (4) Modifications to the benchmarks or emission conversion factors used to calculate avoided and indirect emissions; and
            (5) Changes in the minimum requirements for registered emission reductions.

            § 300.2
            Definitions.
            This section provides definitions for commonly used terms in this part.

              Activity of a small emitter means, with respect to a small emitter, any single category of anthropogenic production, consumption or other action that releases emissions or results in sequestration, the annual changes of which can be assessed generally by using a single calculation method.

              Aggregator means an entity that reports to the 1605(b) program on behalf of non-reporting entities. An aggregator may be a large or small emitter, such as a trade association, non-profit organization or public agency.

              Anthropogenic means greenhouse gas emissions and removals that are a direct result of human activities or are the result of natural processes that have been affected by human activities.

              Avoided emissions means the greenhouse gas emission reductions that occur outside the organizational boundary of the reporting entity as a direct consequence of changes in the entity's activity, including but not necessarily limited to the emission reductions associated with increases in the generation and sale of electricity, steam, hot water or chilled water produced from energy sources that emit fewer greenhouse gases per unit than other competing sources of these forms of distributed energy.

              Base period means a period of 1-4 years used to derive the average annual base emissions, emissions intensity or other values from which emission reductions are calculated.

              Base value means the value from which emission reductions are calculated for an entity or subentity. The value may be annual emissions, emissions intensity, kilowatt-hours generated, or other value specified in the 1605(b) guidelines. It is usually derived from actual emissions and/or activity data derived from the base period.

              Biogenic emissions mean emissions that are naturally occurring and are not significantly affected by human actions or activity.

              Boundary means the actual or virtual line that encompasses all the emissions and carbon stocks that are to be quantified and reported in an entity's greenhouse gas inventory, including de minimis emissions. Entities may use financial control or another classification method based on ownership or control as the means of determining which sources or carbon stocks fall within this organizational boundary.

              Carbon dioxide equivalent means the amount of carbon dioxide by weight emitted into the atmosphere that would produce the same estimated radiative forcing as a given weight of another radiatively active gas. Carbon dioxide equivalents are computed by multiplying the weight of the gas being measured by its estimated global warming potential.

              Carbon stocks mean the quantity of carbon stored in biological and physical systems including: trees, products of harvested trees, agricultural crops, plants, wood and paper products and other terrestrial biosphere sinks, soils, oceans, and sedimentary and geological sinks.

              Climate Leaders means the EPA sponsored industry-government partnership that works with individual companies to develop long-term comprehensive climate change strategies. Certain Climate Leaders Partners have, working with EPA, set a corporate-wide greenhouse gas reduction goal and have inventoried their emissions to measure progress towards their goal.

              Climate VISION means the public-private partnership initiated pursuant to a Presidential directive issued in 2002 that aims to contribute to the President's goal of reducing greenhouse gas intensity through voluntary frameworks with industry. Climate VISION partners have signed an agreement with DOE to implement various climate-related actions to reduce greenhouse gas emissions.

              De minimis emissions means emissions from one or more sources and of one or more greenhouse gases that, in aggregate, are less than or equal to 3 percent of the total annual carbon dioxide (CO2) equivalent emissions of a reporting entity.

              Department or DOE means the U.S. Department of Energy.

              Direct emissions are emissions from sources within the organizational boundaries of an entity.

              Distributed energy means electrical or thermal energy generated by an entity that is sold or otherwise exported outside of the entity's boundaries for use by another entity.

              EIA means the Energy Information Administration within the U.S. Department of Energy.

              Emissions means the direct release of greenhouse gases to the atmosphere from any anthropogenic (human induced) source and certain indirect emissions (releases) specified in this part.

              Emissions intensity means emissions per unit of output, where output is defined as the quantity of physical output, or a non-physical indicator of an entity's or subentity's productive activity.

              Entity means the whole or part of any business, institution, organization, government agency or corporation, or household that:
            (1) Is recognized under any U.S. Federal, State or local law that applies to it;
            (2) Is located and operates, at least in part, in the United States; and
            (3) The emissions of such operations are released, at least in part, in the United States.

              First reduction year means the first year for which an entity intends to register emission reductions; it is the year that immediately follows the start year.

              Fugitive emissions means uncontrolled releases to the atmosphere of greenhouse gases from the processing, transmission, and/or transportation of fossil fuels or other materials, such as HFC leaks from refrigeration, SF6 from electrical power distributors, and methane from solid waste landfills, among others, that are not emitted via an exhaust pipe(s) or stack(s).

              Greenhouse gases means the gases that may be reported to the Department of Energy under this program. They are:
            (1) Carbon dioxide (CO2)
            (2) Methane (CH4)
            (3) Nitrous oxide (N2O)
            (4) HydrofluorocarbonsHFC-23 [trifluoromethane-(CHF3]HFC-32 [trifluoromethane-CH2F2], CH2CF3, CH3F, CHF2CF3, CH2FCF3, CH3FCF3, CHF2CH2F, CF3CH3, CH2FCH2F, CH3CHF2, CH3CH2F, CF3CHFCF3, CH2FCF3CF3, CHF2CHFCF3, CF3CH2CF3, CH2FCF2CHF2, CHF2CH2CF3, CF3CH2CF2CH3, CH3 CHFCHFCF2)
            (5) Perfluorocarbons (perfluoromethane-CF4, perfluoroethane-C2F6, C3F8, C4F10, c-C4F8, C5F12, C6F14)
            (6) Sulfur hexafluoride (SF6)

            (7) Chlorofluorocarbons (CFC-11 [trichlorofluoromethane-CCl3F], CCl2F2, CClF3, CCl2FCClF2, CClF2CClF2, ClF3CClF2,)

            (8) Other gases or particles that have been demonstrated to have significant, quantifiable climate forcing effects when released to the atmosphere in significant quantities and for which DOE has established or approved methods for estimating emissions and reductions. (Note: As provided in § 300.6(i), chlorofluorcarbons and other gases with quantifiable climate forcing effects may be reported to the 1605(b) program if DOE has established an appropriate emission inventory or emission reduction calculation method, but reductions of these gases may not be registered.)

              Incidental lands are entity landholdings that are a minor component of an entity's operations and are not actively managed for production of goods and services, including:
            (1) Transmission, pipeline, or transportation right of ways that are not managed for timber production;
            (2) Land surrounding commercial enterprises or facilities; and
            (3) Land where carbon stock changes are determined by natural factors.

              Indirect emissions means greenhouse gas emissions from stationary or mobile sources outside the organizational boundary that occur as a direct consequence of an entity's activity, including but not necessarily limited to the emissions associated with the generation of electricity, steam and hot/chilled water used by the entity.

              Large emitter means an entity whose annual emissions are more than 10,000 metric tons of CO2 equivalent, as determined in accordance with § 300.5(c).

              Net emission reductions means the sum of all annual changes in emissions, eligible avoided emissions and sequestration of the greenhouse gases specifically identified in § 300.6(i), and determined to be in conformance with §§ 300.7 and 300.8 of this part.

              Offset means an emission reduction that is included in a 1605(b) report and meets the requirements of this part, but is achieved by an entity other than the reporting entity. Offset reductions must not be reported or registered by any other entity and must appear as a separate and distinct component of an entity's report. Offsets are not integrated into the reporting entity's emissions or net emission reductions.

              Registration means the reporting of emission reductions that the EIA has determined meet the qualifications for registered emission reductions set forth in the guidelines.

              Reporting entity means an entity that has submitted a report under the 1605(b) program that has been accepted by the Energy Information Administration.

              Reporting year means the year that is the subject of a report to DOE.

              Sequestration means the process by which CO2 is removed from the atmosphere, either through biologic processes or physical processes.

              Simplified Emission Inventory Tool (SEIT) is a computer-based method, to be developed and made readily accessible by EIA, for translating common physical indicators into an estimate of greenhouse gas emissions.

              Sink means an identifiable discrete location, set of locations, or area in which CO2 or some other greenhouse gas is sequestered.

              Small emitter means an entity whose annual emissions are less than or equal to 10,000 metric tons of CO2 equivalent, as determined in accordance with § 300.5(c), and that chooses to be treated as a small emitter under the guidelines.

              Source means any land, facility, process, vehicle or activity that releases a greenhouse gas.

              Start year means the year upon which the initial entity statement is based and the last year of the initial base period(s).

              Subentity means a component of any entity, such as a discrete business line, facility, plant, vehicle fleet, or energy using system, which has associated with it emissions of greenhouse gases that can be distinguished from the emissions of all other components of the same entity and, when summed with the emissions of all other subentities, equal the entity's total emissions.

              Total emissions means the total annual contribution of the greenhouse gases (as defined in this section) to the atmosphere by an entity, including both direct and indirect entity-wide emissions.

              United States or U.S. means the 50 States, the District of Columbia, the Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana Islands, Guam, American Samoa, and any other territory of the United States.

            § 300.3
            Guidance for defining and naming the reporting entity.
            (a) A reporting entity must be composed of one or more businesses, public or private institutions or organizations, households, or other entities having operations that annually release emissions, at least in part, in the United States. Entities may be defined by, as appropriate, a certificate of incorporation, corporate charter, corporate filings, tax identification number, or other legal basis of identification recognized under any Federal, State or local law or regulation. If a reporting entity is composed of more than one entity, all of the entities included must be responsible to the same management hierarchy and all entities that have the same management hierarchy must be included in the reporting entity.

            (b) All reporting entities are strongly encouraged to define themselves at the highest level of aggregation. To achieve this objective, DOE suggests the use of a corporate-level definition of the entity, based on filings with the Securities and Exchange Commission or institutional charters. While reporting at the highest level of aggregation is encouraged, DOE recognizes that certain businesses and institutions may conclude that reporting at some lower level is desirable. Federal agencies are encouraged to report at the agency or departmental level, but distinct organizational units (such as a Department of the Interior Fish and Wildlife Service National Wildlife Refuge) may report directly if authorized by their department or agency. Once an entity has determined the level of corporate or institutional management at which it will report (e.g., the holding company, subsidiary, regulated stationary source, state government, agency, refuge, etc.), the entity must include all elements of the organization encompassed by that management level and exclude any organizations that are managed separately. For example, if two subsidiaries of a parent company are to be covered by a single report, then all subsidiaries of that parent company must also be included. Similarly, if a company decides to report on the U.S. and Canadian subsidiaries of its North American operations unit, it must also report on any other subsidiaries of its North American unit, such as a Mexican subsidiary.
            (c) A name for the defined entity must be specified by all reporters. For entities that intend to register reductions, this should be the name commonly used to represent the activities being reported, as long as it is not also used to refer to substantial activities not covered by the entity's reports. While DOE believes entities should be given considerable flexibility in defining themselves at an appropriate level of aggregation, it is essential that the name assigned to an entity that intends to register reductions corresponds closely to the scope of the operations and emissions covered by its report. If, for example, an individual plant or operating unit is reporting as an entity, it should be given a name that corresponds to the specific plant or unit, and not to the responsible subsidiary or corporate entity. In order to distinguish a parent company from its subsidiaries, the name of the parent company generally should not be incorporated into the name of the reporting subsidiary, but if it is, the name of the parent company usually should be secondary.

            § 300.4
            Selecting organizational boundaries.
            (a) Each reporting entity must disclose in its entity statement the approach used to establish its organizational boundaries, which should be consistent with the following guidelines:
            (1) In general, entities should use financial control as the primary basis for determining their organizational boundaries, with financial control meaning the ability to direct the financial and operating policies of all elements of the entity with a view to gaining economic or other benefits from its activities over a period of many years. This approach should ensure that all sources, including those controlled by subsidiaries, that are wholly or largely owned by the entity are covered by its reports. Sources that are under long-term lease of the entity may, depending on the provisions of such leases, also be considered to be under the entity's financial control. Sources that are temporarily leased or operated by an entity generally would not be considered to be under its financial control.
            (2) Entities may establish organizational boundaries using approaches other than financial control, such as equity share or operational control, but must disclose how the use of these other approaches results in organizational boundaries that differ from those resulting from using the financial control approach.
            (3) Emissions from facilities or vehicles that are partially-owned or leased may be included at the entity's discretion, provided that the entity has taken reasonable steps to assure that doing so does not result in the double counting of emissions, sequestration or emission reductions. Emissions reductions or sequestration associated with land, facilities or other sources not owned or leased by an entity may not be included in the entity's reports under the program unless the entity has long-term control over the emissions or sequestration of the source and the owner of the source has agreed that the emissions or sequestration may be included in the entity's report.
            (4) If the scope of a defined entity extends beyond the United States, the reporting entity should use the same approach to determining its organizational boundaries in the U.S. and outside the U.S.

            (b) Each reporting entity must keep separate reports on emissions or emission reductions that occur within its defined boundaries and those that occur outside its defined boundaries. Entities must also keep separate reports on emissions and emission reductions that occur outside the United States and those that occur within the United States.
            (c) An entity that intends to register its entity-wide emissions reductions must document and maintain its organizational boundary for accounting and reporting purposes.

            § 300.5
            Submission of an entity statement.
            (a) Determining the type of reporting entity. The entity statement requirements vary by type of reporting entity. For the purposes of these guidelines, there are three types of entities:
            (1) Large emitters that intend to register emission reductions;
            (2) Small emitters that intend to register emission reductions; and
            (3) Emitters that intend to report, but not register emission reductions.
            (b) Choosing a start year. The first entity statement describes the make-up, operations and boundaries of the entity, as they existed in the start year.
            (1) For all entities, it is the year immediately preceding the first year for which the entity intends to register emission reductions and the last year of the initial base period(s).
            (2) For entities intending to register emission reductions, the start year may be no earlier than 2002, unless the entity has made a commitment to reduce its entity-wide emissions under the Climate Leaders or Climate VISION program. An entity that has made such a commitment may establish a start year derived from the base period of the commitment, as long as it is no earlier than 2000.
            (i) For a large emitter, the start year is the first year for which the entity submits a complete emissions inventory under the 1605(b) program.
            (ii) The entity's emissions in its start year or its average annual emissions over a period of up to four years ending in the start year determine whether it qualifies to begin reporting as a small emitter.
            (3) For entities not intending to register reductions, the start year may be no earlier than 1990.
            (c) Determining and maintaining large or small emitter reporting status. (1) Any entity that intends to register emission reductions can choose to participate as a large emitter, but only an entity that has demonstrated that its annual emissions are less than or equal to 10,000 metric tons of CO2 equivalent may participate as a small emitter. To demonstrate that its annual emissions are less than or equal to 10,000 metric tons of CO2 equivalent, an entity must submit either an estimate of its emissions during its chosen start year or an estimate of its average annual emissions over a continuous period not to exceed four years of time ending in its chosen start year, as long as the operations and boundaries of the entity have not changed significantly during that period.

            (2) An entity must estimate its total emissions using methods specified in Chapter 1 of the Technical Guidelines (incorporated by reference, see § 300.13) or by using the Simplified Emission Inventory Tool (SEIT) provided by EIA and also discussed in Chapter 1. The results of this estimate must be reported to EIA. [Note: emission estimates developed using SEIT may not be used to prepare, in whole or part, entity-wide emission inventories required for the registration of reductions.]

            (3) After starting to report, each small emitter must annually certify that the emissions-related operations and boundaries of the entity have not changed significantly since the previous report. A new estimate of total emissions must be submitted after any significant increase in emissions, any change in the operations or boundaries of the small emitter, or every five years, whichever occurs first. Small emitters with estimated annual emissions of over 9,000 metric tons of CO2 equivalent should re-estimate and submit their emissions annually. If an entity determines that it must report as a large emitter, then it must continue to report as a large emitter in all future years in order to ensure a consistent time series of reports. Once a small emitter becomes a large emitter, it must begin reporting in conformity with the reporting requirements for large emitters.
            (d) Entity statements for large emitters intending to register reductions. When a large emitter intending to register emission reductions first reports under these guidelines, it must provide the following information in its entity statement:
            (1) The name to be used to identify the participating entity;
            (2) The legal basis of the named entity;
            (3) The criteria used to determine:
            (i) The organizational boundaries of the entity, if other than financial control; and

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

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

            § 300.6
            Emissions inventories.
            (a) General. The objective of an emission inventory is to provide a full accounting of an entity's emissions for a particular year, including direct emissions of the first six categories of gases listed in the definition of “greenhouse gases” in § 300.2, indirect emissions specified in paragraph (e) of this section, and all sequestration or other changes in carbon stocks. An emission inventory must be prepared in accordance with Chapter 1 of the Technical Guidelines (incorporated by reference, see § 300.13). An inventory does not include avoided emissions or any offset reductions, and is not subsequently adjusted to reflect future acquisitions, divestitures or other changes to the reporting entity (although a reporting entity often makes these types of adjustments when calculating emission reductions under the guidelines). Entity-wide inventories are a prerequisite for the registration of emission reductions by entities with average annual emissions of more than 10,000 metric tons of CO2 equivalent. Entities that have average annual emissions of less than or equal to 10,000 metric tons of CO2 equivalent are eligible to register emission reductions associated with specific activities without also reporting an inventory of the total emissions, but such entities should inventory and report the emissions associated with the specific activity(ies) they do cover in their reports.
            (b) Quality requirements for emission inventories. The Technical Guidelines (incorporated by reference, see § 300.13) usually identify more than one acceptable method of measuring or estimating greenhouse gas emissions. Each acceptable method is rated A, B, C or D, with A methods usually corresponding to the highest quality method available and D methods representing the lowest quality method that may be used. Each letter is assigned a numerical rating reflecting its relative quality, 4 for A methods, 3 for B methods, 2 for C methods and 1 for D methods. Entities that intend to register emission reductions must use emission inventory methods that result in a quantity-weighted average quality rating of at least 3.0.
            (1) Entities may at any time choose to modify the measurement or estimation methods that they use for their current or future year emission inventories. Such modifications would enable entities to gradually improve the quality of the ratings over time, but prior year inventories may be modified only to correct significant errors.
            (2) Entities that have had their emission quantities and the quantity-weighted quality rating of their emissions inventory independently verified may report their emissions and average quality ratings by greenhouse gas, indirect emissions and sequestration, rather than by source or sink category.
            (3) Entities that certify that they have used only A or B methods, may forego indicating in their reports the quality ratings of the methods used and may forego calculating the quantity-weighted average quality of their emission inventories.
            (c) Using estimation methods not included in the Technical Guidelines. An entity may obtain DOE approval for the use of an estimation method not included in the Technical Guidelines (incorporated by reference, see § 300.13) if the method covers sources not described in the Technical Guidelines, or if the method provides more accurate results for the entity's specific circumstances than the methods described in the Technical Guidelines. If an entity wishes to propose the use of a method that is not described in the Technical Guidelines, the entity must provide a written description of the method, an explanation of how the method is implemented (including data requirements), empirical evidence of the method's validity and accuracy, and a suggested rating for the method to DOE's Office of Policy and International Affairs (with a copy to EIA). DOE reserves the right to deny the request, or to assign its own rating to the method. By submitting this information, the entity grants permission to DOE to incorporate the method in a future revision of the Technical Guidelines.
            (d) Direct emissions inventories. Direct greenhouse gas emissions that must be reported are the emissions resulting from stationary or mobile sources within the organizational boundaries of an entity, including but not limited to emissions resulting from combustion of fossil fuels, process emissions, and fugitive emissions. Process emissions (e.g., PFC emissions from aluminum production) must be reported along with fugitive emissions (e.g., leakage of greenhouse gases from equipment).
            (e) Inventories of indirect emissions associated with purchased energy. (1) To provide a clear incentive for the users of electricity and other forms of purchased energy to reduce demand, an entity must include the indirect emissions from the consumption of purchased electricity, steam, and hot or chilled water in the entity's inventory as indirect emissions. To avoid double counting among entities, the entity must report all indirect emissions separately from its direct emissions. Entities should use the methods for quantifying indirect emissions specified in the Technical Guidelines (incorporated by reference, see § 300.13).
            (2) Entities may choose to report other forms of indirect emissions, such as emissions associated with employee commuting, materials consumed or products produced, although such other indirect emissions may not be included in the entity's emission inventory and may not be the basis for registered emission reductions. All such reports of other forms of indirect emissions must be distinct from reports of indirect emissions associated with purchased energy and must be based on emission measurement or estimation methods identified in the Technical Guidelines (incorporated by reference, see § 300.13) or approved by DOE.
            (f) Entity-level inventories of changes in terrestrial carbon stocks. Annual changes in managed terrestrial carbon stocks should be comprehensively assessed and reported across the entity, and the net emissions resulting from such changes included in the entity's emissions inventory. Entities should use the methods for estimating changes in managed terrestrial carbon stocks specified in the Technical Guidelines (incorporated by reference, see § 300.13).
            (g) Treatment of de minimis emissions and sequestration. (1) Although the goal of the entity-wide reporting requirement is to provide an accurate and comprehensive estimate of total emissions, there may be small emissions from certain sources that are unduly costly or otherwise difficult to measure or reliably estimate annually. An entity may exclude particular sources of emissions or sequestration if the total quantities excluded represent less than or equal to 3 percent of the total annual CO2 equivalent emissions of the entity. The entity must identify the types of emissions excluded and provide an estimate of the annual quantity of such emissions using methods specified in the Technical Guidelines (incorporated by reference, see § 300.13) or by using the Simplified Emissions Inventory Tool (SEIT). The results of this estimate of the entity's total excluded annual emissions must be reported to DOE together with the entity's initial entity statement.

            (2) After starting to report, each reporting entity that excludes from its annual reports any de minimis emissions must re-estimate the quantity of excluded emissions after any significant increase in such emissions, or every five years, whichever occurs sooner.
            (h) Separate reporting of domestic and international emissions. Non-U.S. emissions included in an entity's emission inventory must be separately reported and clearly distinguished from emissions originating in the U.S. Entities must identify any country-specific factors used in the preparation of such reports.
            (i) Covered gases. Entity-wide emissions inventories must include the emissions of the first six categories of named gases listed in the definition of “greenhouse gases” in § 300.2. Entities may report chlorofluorocarbons and other greenhouse gases with quantifiable climate forcing effects as long as DOE has established a method for doing so, but such gases must be reported separately and emission reductions, if any, associated with such other gases are not eligible for registration.
            (j) Units for reporting. Emissions and sequestration should be reported in terms of the mass (not volume) of each gas, using metric units (e.g., metric tons of methane). Entity-wide and subentity summations of emissions and reductions from multiple sources must be converted into CO2 equivalent units using the global warming potentials for each gas in the International Panel on Climate Change's Third Assessment (or most recent) Report, as specified in the Technical Guidelines (incorporated by reference, see § 300.13). Entities should specify the units used (e.g., kilograms, or metric tons). Entities may need to use the standard conversion factors specified in the Technical Guidelines to convert existing data into the common units required in the entity-level report. Emissions from the consumption of purchased electricity must be calculated by region (from the list provided by DOE in the Technical Guidelines) or country, if outside the United States. Consumption of purchased steam or chilled/hot water must be reported according to the type of system and fuel used to generate it (from the list provided by DOE in the Technical Guidelines). Entities must convert purchased energy to CO2 equivalents using the conversion factors in the Technical Guidelines. Entities should also provide the physical quantities of each type of purchased energy covered by their reports.

            § 300.7
            Net emission reductions.
            (a) Entities that intend to register emission reductions achieved must comply with the requirements of this section. Entities may voluntarily follow these procedures if they want to demonstrate the achievement of net, entity-wide reductions for years prior to the earliest year permitted for registration. Only large emitters must follow the requirements of paragraph (b) of this section, but small emitters may do so voluntarily. Only entities that qualify as small emitters may use the special procedures in paragraph (c) of this section. Entities seeking to register emission reductions achieved by other entities (offsets) must certify that these emission reductions were calculated in a manner consistent with the requirements of paragraph (d) of this section and use the emission reduction calculation methods identified in § 300.8. All entities seeking to register emission reductions must comply with the requirements of paragraph (e) of this section. Only reductions in the emissions of the first six categories of gases listed in the definition of “greenhouse gases” in § 300.2 are eligible for registration.
            (b) Assessing net emission reductions for large emitters. (1) Entity-wide reporting is a prerequisite for registering emission reductions by entities with average annual emissions of more than 10,000 metric tons of CO2 equivalent. Net annual entity-wide emission reductions must be based, to the maximum extent practicable, on a full assessment and sum total of all changes in an entity's emissions, eligible avoided emissions and sequestration relative to the entity's established base period(s). This assessment must include all entity emissions, including the emissions associated with any non-U.S. operations covered by the entity statement, although the reductions achieved by non-U.S. operations must be separately totaled prior to being integrated with the net emission reductions achieved by U.S. operations. It must include the annual changes in the total emissions of the entity, including the total emissions of each of the subentities identified in its entity statement. All changes in emissions, avoided emissions, and sequestration must be determined using methods that are consistent with the guidelines described in § 300.8 of this part.

            (2) If it is not practicable to assess the changes in net emissions resulting from certain entity activities using at least one of the methods described in § 300.8 of this part, the entity may exclude them from its estimate of net emission reductions. The entity must identify as one or more distinct subentities the sources of emissions excluded for this reason and describe the reasons why it was not practicable to assess the changes that had occurred. DOE believes that few emission sources will be excluded for this reason, but has identified at least two situations where such an exclusion would be warranted. For example, it is likely to be impossible to assess the emission changes associated with a new manufacturing plant that produces a product for which the entity has no historical record of emissions or emissions intensity (emissions per unit of product output). However, once the new plant has been operational for at least a full year, a base period and base value(s) for the new plant could be established and its emission changes assessed in the following year. Until the emission changes of this new subentity can be assessed, it should be identified in the entity's report as a subentity for which no assessment of emission changes is practicable. The other example involves a subentity that has reduced its output below the levels of its base period. In such a case, the subentity could not use the absolute emissions method and may also be unable to identify an effective intensity metric or other method.

            (3) In calculating its net annual emission reductions, an entity should exclude any emissions or sequestration that have been excluded from the entity's inventory. The entity should also exclude all de minimis and biogenic emissions that are excluded from the entity's inventory of greenhouse gas emissions from its assessments of emission changes.
            (c) Assessing emission reductions for entities with small emissions. (1) Entities with average annual emissions of less than or equal to 10,000 metric tons of CO2 equivalent are not required to inventory their total emissions or assess all changes in their emissions, eligible avoided emissions and sequestration to qualify for registered reductions. These entities may register emission reductions that have occurred since 2002 and that are associated with one or more specific activities, as long as they:
            (i) Perform a complete assessment of the annual emissions and sequestration associated with each of the activities upon which they report, using methods that meet the same quality requirements applicable to entity-wide emission inventories; and
            (ii) Determine the changes in the emissions, eligible avoided emissions or sequestration associated with each of these activities.
            (2) An entity reporting as a small emitter must report on one or more specific activities and is encouraged, but not required to report on all activities occurring within the entity boundary. Examples of small emitter activities include: vehicle operations; product manufacturing processes; building operations or a distinct part thereof, such as lighting; livestock operations; crop management; and power generation. For example, a farmer managing several woodlots and also producing a wheat crop may report emission reductions associated with managing an individual woodlot. However, the farmer must also assess and report the net sequestration resulting from managing all the woodlots within the entity's boundary. The small emitter is not required to report on emissions or reductions associated with growing the wheat crop.
            (3) A small emitter must certify that the reductions reported were not caused by actions likely to cause increases in emissions elsewhere within the entity's operations. This certification should be based on an assessment of the likely direct and indirect effects of the actions taken to reduce greenhouse gas emissions.
            (d) Net emission reductions achieved by other entities (offset reductions or emission reductions submitted by aggregators). A reporting entity or aggregator under certain conditions may report or register all or some of the net emission reductions achieved by entities that choose not to report under the section 1605(b) program. In all cases, an agreement must exist between the reporting entity or aggregator and the other entity that specifies the quantity of the emission reductions (or increases) achieved by the other entity that may be reported or registered as an offset reduction by the reporting entity or aggregator. A large emitter that is reporting on behalf of other entities must meet all of the requirements applicable to large emitters, including submission of an entity statement, an emissions inventory, and an entity-wide assessment of emission reductions. If an aggregator is a small emitter, it may choose to report only on the activities, emissions and emission reductions of the entities on behalf of which it is reporting and not to report on any of its own activities or emission reductions. The reporting entity or aggregator must include in its report all of the information on the other entity, including an entity statement, an emissions inventory (when required), and an assessment of emission reductions that would be required if the other entity were directly reporting to EIA. The net emissions reductions (or increases) of each other entity will be evaluated separately by EIA to determine whether they are eligible for registration in accordance with the guidelines of this part. Those registered reductions (or increases) assigned by the other entity, by agreement, to a reporting entity or aggregator will be included in EIA's summary of all registered offset reductions for that entity or aggregator. If the agreement between the reporting entity and other entity is discontinued, for any reason, the reporting entity must inform EIA and must identify any emission reductions previously reported that could be attributable to an increase in the carbon stocks of the other entity. Such reductions will be removed by EIA from the records of the reporting entity's offset reductions.
            (e) Net emission reductions to be reported by other entities as offset reductions. Entities must identify in their report the quantity of any net emission reductions covered by the report, if any, that another entity will report as an offset reduction, including the name of the other entity;
            (f) Adjusting for year-to-year increases in net emissions. (1) Normally, net annual emission reductions for an entity are calculated by summing the net annual changes in emissions, eligible avoided emissions and sequestration, as determined using the calculation methods identified in § 300.8 and according to the procedures described in paragraph (b) of this section for large emitters, paragraph (c) for small emitters of this section for small emitters, and paragraph (d) of this section for offsets. However, if the entity experienced a net increase in emissions for one or more years, these increases must be reported and taken into account in calculating any future year reductions. If the entity subsequently achieves net annual emission reductions, the net increases experienced in the preceding year(s) must be more than offset by these reductions before the entity can once again register emission reductions. For example, if an entity achieved a net emission reduction of 5,000 metric tons of CO2 equivalent in its first year, a net increase of 2,000 metric tons in its second year, and a net reduction of 3,000 metric tons in its third year, it would be able to register a 5,000 metric ton reduction in its first year, no reduction in its second year, and a 1,000 metric ton reduction in its third year (3,000-2,000). The entity must file full reports for each of these three years. Its report for the second year would indicate the net increase in emissions and this increase would be noted in EIA's summary of the entity's report for that year and for any future year, until the emissions increase was entirely offset by subsequent emission reductions. If this same entity achieved a net reduction of only 1,000 metric tons in its third year, it would not be able to register additional reductions until it had, in some future year, offset more than its second year increase of 2,000 metric tons.
            (2) [Reserved]

            § 300.8
            Calculating emission reductions.
            (a) Choosing appropriate emission reduction calculation methods. (1) An entity must choose the method or methods it will use to calculate emission reductions from the list provided in paragraph (h) of this section. Each of the calculation methods has special characteristics that make it applicable to only certain types of emissions and activities. An entity should select the appropriate calculation method based on several factors, including:
            (i) How the entity's subentities are defined;
            (ii) How the reporter will gather and report emissions data; and
            (iii) The availability of other types of data that might be needed, such as production or output data.

            (2) For some entities, a single calculation method will be sufficient, but many entities may need to apply more than one method because discrete components of the entity require different calculation methods. In such a case, the entity will need to select a method for each subentity (or discrete component of the entity with identifiable emission or reductions). The emissions and output measure (generally a physical measure) of each subentity must be clearly distinguished and reported separately. Guidance on the selection and specification of calculation methods is provided in Chapter 2 of the Technical Guidelines (incorporated by reference, see § 300.13).

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

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

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

            § 300.9
            Reporting and recordkeeping requirements.
            (a) Starting to report under the guidelines. An entity may report emissions and sequestration on an annual basis beginning in any year, but no earlier than the base period of 1987-1990 specified in the Energy Policy Act of 1992. To be recognized under these guidelines, all reports must conform to the measurement methods established by the Technical Guidelines (incorporated by reference, see § 300.13).
            (b) Revisions to reports submitted under the guidelines. (1) Once EIA has accepted a report under this part, it may be revised by the reporting entity only under the circumstances specified in this paragraph and related provisions of the Technical Guidelines (incorporated by reference, see § 300.13). In general:
            (i) Revised reports may be submitted to correct errors that have a significant effect on previously estimated emissions or emission reductions; and

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

            § 300.10
            Certification of reports.
            (a) General requirement and certifying official: All reports submitted to EIA must include a certification statement, as provided in paragraph (b) of this section, signed by a certifying official of the reporting entity. A household report may be certified by one of its members. All other reports must be certified by the chief executive officer, agency head, or an officer or employee of the entity who is responsible for reporting the entity's compliance with environmental regulations.
            (b) Certification statement requirements. All entities, whether reporting or registering reductions, must certify the following:

            (1) The information reported is accurate and complete;

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

            § 300.11
            Independent verification.
            (a) General. Entities are encouraged to have their annual reports reviewed by independent and qualified auditors, as described in paragraphs (b), (c), and (f) of this section.
            (b) Qualifications of verifiers. (1) DOE envisions that independent verification will be performed by professional verifiers (i.e., individuals or companies that provide verification or “attestation” services). EIA will consider a report to the program to be independently verified if:
            (i) The lead individual verifier and other members of the verification team are accredited by one or more independent and nationally-recognized accreditation programs, described in paragraph (c) of this section, for the types of professionals needed to determine compliance with DOE's 1605(b) guidelines;
            (ii) The lead verifier has experience managing an auditing or verification process, including the recruitment and allocation of other individual verifiers, and has been empowered to make decisions relevant to the provision of a verification statement; and
            (iii) All members of a verification team have education, training and/or professional experience that matches the tasks performed by the individual verifiers, as deemed necessary by the verifier accreditation program.
            (2) As further guidance, all members of the verification team should be familiar with:
            (i) The subject matter covered by the scope of the verification;
            (ii) The requirements of this part;

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

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

            § 300.12
            Acceptance of reports and registration of entity emission reductions.
            (a) Acceptance of reports. EIA will review all reports to ensure they are consistent with this part and with the Technical Guidelines (incorporated by reference, see § 300.13). EIA will also review all reports for completeness, internal consistency, arithmetic accuracy and plausibility. Subject to the availability of adequate resources, EIA intends to notify entities of the acceptance or rejection of any report within six months of its receipt.
            (b) Registration of emission reductions. EIA will review each accepted report to determine if emission reductions were calculated using an acceptable base period (usually ending no earlier than 2002), and to confirm that the report complies with the other provisions of this part. EIA will also review its records to verify that the reporting entity has submitted accepted annual reports for each year between the establishment of its base period and the year covered by the current report. EIA will notify the entity that reductions meeting these requirements have been credited to the entity as “registered reductions” which can be held by the reporting entity for use (including transfer to other entities) in the event a future program that recognizes such reductions is enacted into law.
            (c) Rejection of reports. If EIA does not accept a report or if it determines that emission reductions intended for registration do not qualify, EIA will return the report to the sender with an explanation of its inadequacies. The reporting entity may resubmit a modified report for further consideration at any time.
            (d) EIA database and summary reports. The Administrator of EIA will establish a publicly accessible database composed of all reports that meet the definitional, measurement, calculation, and certification requirements of these guidelines. EIA will maintain separate subtotals of direct emissions, indirect emissions and carbon fluxes. A portion of the database will provide summary information on the emissions and registered emission reductions of each reporting entity.

            § 300.13
            Incorporation by reference.

            The Technical Guidelines for the Voluntary Reporting of Greenhouse Gases (1605(b)) Program (January 2007), referred to throughout this part as the “Technical Guidelines,” have been approved for incorporation by reference by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. You may obtain a copy of the Technical Guidelines from the Office of Policy and International Affairs, U.S. Department of Energy, 1000 Independence Ave., SW., Washington, DC 20585, or by visiting the following Web site: http://www.policy.energy.gov/enhancingGHGregistry/technicalguidelines/. The Technical Guidelines also are available for inspection at the National Archives and Record Administration (NARA). For more information on the availability of this material at NARA, call 202-741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.

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

        SUBCHAPTER C [RESERVED]

        SUBCHAPTER D—ENERGY CONSERVATION

          PARTS 400-417 [RESERVED]

          Pt. 420
          PART 420—STATE ENERGY PROGRAM

              Subpart A—General Provisions for State Energy Program Financial Assistance
              Sec.
              420.1
              Purpose and scope.
              420.2
              Definitions.
              420.3
              Administration of financial assistance.
              420.4
              Technical assistance.
              420.5
              Reports.
              420.6
              Reference standards.

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

              Subpart C—Implementation of Special Projects Financial Assistance
              420.30
              Purpose and scope.
              420.31
              Notice of availability.
              420.32
              Program guidance/solicitation.
              420.33
              Application requirements.
              420.34
              Matching contributions or cost-sharing.
              420.35
              Application evaluation.
              420.36
              Evaluation criteria.
              420.37
              Selection.
              420.38
              Special projects expenditure prohibitions and limitations.

            Authority:

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

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

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

            Subpart A—General Provisions for State Energy Program Financial Assistance

              § 420.1
              Purpose and scope.
              It is the purpose of this part to promote the conservation of energy, to reduce the rate of growth of energy demand, and to reduce dependence on imported oil through the development and implementation of a comprehensive State Energy Program and the provision of Federal financial and technical assistance to States in support of such program.

              § 420.2
              Definitions.
              As used in this part:

                Act means title III, part D, as amended, of the Energy Policy and Conservation Act, 42 U.S.C. 6321 et seq.

                Alternative transportation fuel means methanol, denatured ethanol, and other alcohols; mixtures containing 85 percent or more by volume of methanol, denatured ethanol, and other alcohols with gasoline or other fuels; natural gas; liquified petroleum gas; hydrogen; coal-derived liquid fuels; fuels (other than alcohol) derived from biological materials (including neat biodiesel); and electricity (including electricity from solar energy).

                ASHRAE/IESNA 90.1-1989, as amended means the building design standard published in December 1989 by the American Society of Heating, Refrigerating and Air-Conditioning Engineers, and the Illuminating Engineering Society of North America titled “Energy Efficient Design of New Buildings Except Low-Rise Residential Buildings,” with Addenda 90.1b-1992; Addenda 90.1d-1992; Addenda 90.1e-1992; Addenda 90.1g-1993; and Addenda 90.1i-1993, which is incorporated by reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. The availability of this incorporation by reference is given in § 420.6(b).

                Assistant Secretary means the Assistant Secretary for Energy Efficiency and Renewable Energy or any official to whom the Assistant Secretary's functions may be redelegated by the Secretary.

                British thermal unit (Btu) means the quantity of heat necessary to raise the temperature of one pound of water one degree Fahrenheit at 39.2 degrees Fahrenheit and at one atmosphere of pressure.

                Building means any structure which includes provision for a heating or cooling system, or both, or for a hot water system.

                Carpool means the sharing of a ride by two or more people in an automobile.

                Carpool matching and promotion campaign means a campaign to coordinate riders with drivers to form carpools and/or vanpools.

                Commercial building means any building other than a residential building, including any building constructed for industrial or public purposes.

                Commercially available means available for purchase by the general public or target audience in the State.

                Deputy Assistant Secretary means the Deputy Assistant Secretary for Building Technology, State and Community Programs or any official to whom the Deputy Assistant Secretary's functions may be redelegated by the Assistant Secretary.

                Director, Office of State and Community Programs means the official responsible for DOE's formula grant programs to States, or any official to whom the Director's functions may be redelegated by the Assistant Secretary.

                DOE means the Department of Energy.

                Energy audit means any process which identifies and specifies the energy and cost savings which are likely to be realized through the purchase and installation of particular energy efficiency measures or renewable energy measures.

                Energy efficiency measure means any capital investment that reduces energy costs in an amount sufficient to recover the total cost of purchasing and installing such measure over an appropriate period of time and maintains or reduces non-renewable energy consumption.

                Environmental residual means any pollutant or pollution causing factor which results from any activity.

                Exterior envelope physical characteristics means the physical nature of those elements of a building which enclose conditioned spaces through which thermal energy may be transferred to or from the exterior.

                Governor means the chief executive officer of a State, the District of Columbia, Puerto Rico, or any territory or possession of the United States, or a person duly designated in writing by the Governor to act upon his or her behalf.

                Grantee means the State or other entity named in the notice of grant award as the recipient.

                HVAC means heating, ventilating and air-conditioning.

                IBR means incorporation by reference.

                Industrial facility means any fixed equipment or facility which is used in connection with, or as part of, any process or system for industrial production or output.

                Institution of higher education has the same meaning as such term is defined in section 1201(a) of the Higher Education Act of 1965 (20 U.S.C. 1141(a)).

                Manufactured home means any dwelling covered by the Federal Manufactured Home Construction and Safety Standards, 24 CFR part 3280.

                Metropolitan Planning Organization means that organization required by the Department of Transportation, and designated by the Governor as being responsible for coordination within the State, to carry out transportation planning provisions in a Standard Metropolitan Statistical Area.

                Model Energy Code, 1993, including Errata, means the model building code published by the Council of American Building Officials, which is incorporated by reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. The availability of this incorporation by reference is given in § 420.6(b).

                Park-and-ride lot means a parking facility generally located at or near the trip origin of carpools, vanpools and/or mass transit.

                Petroleum violation escrow funds. For purposes both of exempting petroleum violation escrow funds from the matching requirements of § 420.12 and of applying the limitations specified under § 420.18(b), this term means any funds distributed to the States by the Department of Energy or any court and identified as Alleged Crude Oil Violation funds, together with any interest earned thereon by the States, but excludes any funds designated as “excess funds” under section 3003(d) of the Petroleum Overcharge Distribution and Restitution Act, subtitle A of title III of the Omnibus Budget Reconciliation Act of 1986, Public Law 99-509, and the funds distributed under the “Warner Amendment,” section 155 of Public Law 97-377.

                Plan means a State Energy Program plan including required program activities in accordance with § 420.15 and otherwise meeting the applicable provisions of this part.

                Political subdivision means a unit of government within a State, including a county, municipality, city, town, township, parish, village, local public authority, school district, special district, council of governments, or any other regional or intrastate governmental entity or instrumentality of a local government exclusive of institutions of higher learning and hospitals.

                Preferential traffic control means any one of a variety of traffic control techniques used to give carpools, vanpools and public transportation vehicles priority treatment over single occupant vehicles other than bicycles and other two-wheeled motorized vehicles.

                Program activity means one or more State actions, in a particular area, designed to promote energy efficiency, renewable energy and alternative transportation fuel.

                Public building means any building which is open to the public during normal business hours, including:
              (1) Any building which provides facilities or shelter for public assembly, or which is used for educational office or institutional purposes;
              (2) Any inn, hotel, motel, sports arena, supermarket, transportation terminal, retail store, restaurant, or other commercial establishment which provides services or retail merchandise;
              (3) Any general office space and any portion of an industrial facility used primarily as office space;
              (4) Any building owned by a State or political subdivision thereof, including libraries, museums, schools, hospitals, auditoriums, sport arenas, and university buildings; and
              (5) Any public or private non-profit school or hospital.

                Public transportation means any scheduled or nonscheduled transportation service for public use.

                Regional Office Director means the director of a DOE Regional Office with responsibility for grants administration or any official to whom that function may be redelegated.

                Renewable energy means a non-depletable source of energy.

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

                Residential building means any building which is constructed for residential occupancy.

                Secretary mean the Secretary of DOE.

                SEP means the State Energy Program under this part.

                Small business means a private firm that does not exceed the numerical size standard promulgated by the Small Business Administration under section 3(a) of the Small Business Act (15 U.S.C. 632) for the Standard Industrial Classification (SIC) codes designated by the Secretary of Energy.

                Start-up business means a small business which has been in existence for 5 years or less.

                State means a State, the District of Columbia, Puerto Rico, or any territory or possession of the United States.

                State or local government building means any building owned and primarily occupied by offices or agencies of a State; and any building of a unit of local government or a public care institution which could be covered by part H, title III, of the Energy Policy and Conservation Act, 42 U.S.C. 6372-6372i.

                Transit level of service means characteristics of transit service provided which indicate its quantity, geographic area of coverage, frequency and quality (comfort, travel, time, fare and image).

                Urban area traffic restriction means a setting aside of certain portions of an urban area as restricted zones where varying degrees of limitation are placed on general traffic usage and/or parking.

                Vanpool means a group of riders using a vehicle, with a seating capacity of not less than eight individuals and not more than fifteen individuals, for transportation to and from their residence or other designated locations and their place of employment, provided the vehicle is driven by one of the pool members.

                Variable working schedule means a flexible working schedule to facilitate activities such as carpools, vanpools, public transportation usage, and/or telecommuting.
              [61 FR 35895, July 8, 1996, as amended at 62 FR 26726, May 14, 1997]

              § 420.3
              Administration of financial assistance.
              (a) Financial assistance under this part shall comply with applicable laws and regulations including, but without limitation, the requirements of:
              (1) Executive Order 12372, Intergovernmental Review of Federal Programs, as implemented by 10 CFR part 1005.
              (2) DOE Financial Assistance Rules (10 CFR part 600); and
              (3) Other procedures which DOE may from time to time prescribe for the administration of financial assistance under this part.
              (b) The budget period(s) covered by the financial assistance provided to a State according to § 420.11(b) or § 420.33 shall be consistent with 10 CFR part 600.
              (c) Subawards are authorized under this part and are subject to the requirements of this part and 10 CFR part 600.

              § 420.4
              Technical assistance.
              At the request of the Governor of any State to DOE and subject to the availability of personnel and funds, DOE will provide information and technical assistance to the State in connection with effectuating the purposes of this part.

              § 420.5
              Reports.
              (a) Each State receiving financial assistance under this part shall submit to the cognizant Regional Office Director a quarterly program performance report and a quarterly financial status report.
              (b) Reports under this section shall contain such information as the Secretary may prescribe in order to monitor effectively the implementation of a State's activities under this part.
              (c) The reports shall be submitted within 30 days following the end of each calendar year quarter.

              § 420.6
              Reference standards.

              (a) The following standards which are not otherwise set forth in this part are incorporated by reference and made a part of this part. The following standards have been approved for incorporation by reference by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. A notice of any change in these materials will be published in the Federal Register. The standards incorporated by reference are available for inspection at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202-741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.

              (b) The following standards are incorporated by reference in this part:
              (1) The American Society of Heating, Refrigerating and Air-Conditioning Engineers (ASHRAE), 1791 Tullie Circle, N.E., Atlanta, Georgia 30329, (404) 636-8400/The Illuminating Engineering Society of North America (IESNA), 345 East 47th Street, New York, New York 10017, (212) 705-7913: (i) ASHRAE/IESNA 90.1-1989, entitled “Energy Efficient Design of New Buildings Except Low-Rise Residential Buildings,” with Addenda 90.1b-1992; Addenda 90.1d-1992; Addenda 90.1e-1992; Addenda 90.1g-1993; and Addenda 90.1i-1993, IBR approved for § 420.2 and § 420.15.
              (2) The Council of American Building Officials (CABO), 5203 Leesburg Pike, Suite 708, Falls Church, Virginia 22041, (703) 931-4533: (i) The Model Energy Code, 1993, including Errata, IBR approved for § 420.2 and § 420.15.
              [61 FR 35895, July 8, 1996, as amended at 69 FR 18803, Apr. 9, 2004]

            Subpart B—Formula Grant Procedures

              § 420.10
              Purpose.
              This subpart specifies the procedures that apply to the Formula Grant part of the State Energy Program, which allows States to apply for financial assistance to undertake a wide range of required and optional energy-related activities provided for under § 420.15 and § 420.17. Funding for these activities is allocated to the States based on funds available for any fiscal year, as described under § 420.11.

              § 420.11
              Allocation of funds among the States.
              (a) The cognizant Regional Office Director shall provide financial assistance to each State having an approved annual application from funds available for any fiscal year to develop, modify, or implement a plan.
              (b) DOE shall allocate financial assistance to develop, implement or modify plans among the States from funds available for any fiscal year, as follows:
              (1) If the available funds equal $25.5 million, such funds shall be allocated to the States according to Table 1 of this section.
              (2) The base allocation for each State is listed in Table 1.

                Table 1—Base Allocation by State

                  State/Territory

                  Alabama
                  $381,000

                  Alaska
                  180,000

                  Arizona
                  344,000

                  Arkansas
                  307,000

                  California
                  1,602,000

                  Colorado
                  399,000

                  Connecticut
                  397,000

                  Delaware
                  164,000

                  District of Columbia
                  158,000

                  Florida
                  831,000

                  Georgia
                  534,000

                  Hawaii
                  170,000

                  Idaho
                  190,000

                  Illinois
                  1,150,000

                  Indiana
                  631,000

                  Iowa
                  373,000

                  Kansas
                  327,000

                  Kentucky
                  411,000

                  Louisiana
                  446,000

                  Maine
                  231,000

                  Maryland
                  486,000

                  Massachusetts
                  617,000

                  Michigan
                  973,000

                  Minnesota
                  584,000

                  Mississippi
                  279,000

                  Missouri
                  518,000

                  Montana
                  182,000

                  Nebraska
                  246,000

                  Nevada
                  196,000

                  New Hampshire
                  216,000

                  New Jersey
                  783,000

                  New Mexico
                  219,000

                  New York
                  1,633,000

                  North Carolina
                  564,000

                  North Dakota
                  172,000

                  Ohio
                  1,073,000

                  Oklahoma
                  352,000

                  Oregon
                  325,000

                  Pennsylvania
                  1,090,000

                  Rhode Island
                  199,000

                  South Carolina
                  340,000

                  South Dakota
                  168,000

                  Tennessee
                  476,000

                  Texas
                  1,322,000

                  Utah
                  242,000

                  Vermont
                  172,000

                  Virginia
                  571,000

                  Washington
                  438,000

                  West Virginia
                  286,000

                  Wisconsin
                  604,000

                  Wyoming
                  155,000

                  American Samoa
                  115,000

                  Guam
                  120,000

                  Northern Marianas
                  114,000

                  Puerto Rico
                  322,000

                  U.S. Virgin Islands
                  122,000

                  Total
                  25,500,000

              (3) If the available funds for any fiscal year are less than $25.5 million, then the base allocation for each State shall be reduced proportionally.
              (4) If the available funds exceed $25.5 million, $25.5 million shall be allocated as specified in Table 1 and any in excess of $25.5 million shall be allocated as follows:
              (i) One-third of the available funds is divided among the States equally;
              (ii) One-third of the available funds is divided on the basis of the population of the participating States as contained in the most recent reliable census data available from the Bureau of the Census, Department of Commerce, for all participating States at the time DOE needs to compute State formula shares; and
              (iii) One-third of the available funds is divided on the basis of the energy consumption of the participating States as contained in the most recent State Energy Data Report available from DOE's Energy Information Administration.

              (c) The budget period covered by the financial assistance provided to a State according to § 420.11(b) shall be consistent with 10 CFR part 600.

              § 420.12
              State matching contribution.
              (a) Each State shall provide cash, in kind contributions, or both for SEP activities in an amount totaling not less than 20 percent of the financial assistance allocated to the State under § 420.11(b).
              (b) Cash and in-kind contributions used to meet this State matching requirement are subject to the limitations on expenditures described in § 420.18(a), but are not subject to the 20 percent limitation in § 420.18(b).
              (c) Nothing in this section shall be read to require a match for petroleum violation escrow funds used under this subpart.
              [61 FR 35895, July 8, 1996, as amended at 64 FR 46114, Aug. 24, 1999]

              § 420.13
              Annual State applications and amendments to State plans.
              (a) To be eligible for financial assistance under this subpart, a State shall submit to the cognizant Regional Office Director an original and two copies of the annual application executed by the Governor, including an amended State plan or any amendments to the State plan needed to reflect changes in the activities the State is planning to undertake for the fiscal year concerned. The date for submission of the annual State application shall be set by DOE.
              (b) An application shall include:
              (1) A face sheet containing basic identifying information, on Standard Form (SF) 424;
              (2) A description of the energy efficiency, renewable energy, and alternative transportation fuel goals to be achieved, including wherever practicable:
              (i) An estimate of the energy to be saved by implementation of the State plan;
              (ii) Why the goals were selected;
              (iii) How the attainment of the goals will be measured by the State; and
              (iv) How the program activities included in the State plan represent a strategy to achieve these goals;
              (3) With respect to financial assistance under this subpart, a goal, consisting of an improvement of 25 percent or more in the efficiency of use of energy in the State concerned in the calendar year 2012, as compared to the calendar year 1990, and may contain interim goals;
              (4) For the budget period for which financial assistance will be provided:
              (i) A total program budget with supporting justification, broken out by object category and by source of funding;
              (ii) The source and amount of State matching contribution;
              (iii) A narrative statement detailing the nature of State plan amendments and of new program activities.
              (iv) For each program activity, a budget and listing of milestones; and
              (v) An explanation of how the minimum criteria for required program activities prescribed in § 420.15 have been implemented and are being maintained.
              (5) If any of the activities being undertaken by the State in its plan have environmental impacts, a detailed description of the increase or decrease in environmental residuals expected from implementation of a plan defined insofar as possible through the use of information to be provided by DOE and an indication of how these environmental factors were considered in the selection of program activities.
              (6) If a State is undertaking program activities involving purchase or installation of materials or equipment for weatherization of low-income housing, an explanation of how these activities would supplement and not supplant the existing DOE program under 10 CFR part 440.
              (7) A reasonable assurance to DOE that it has established policies and procedures designed to assure that Federal financial assistance under this subpart will be used to supplement, and not to supplant, State and local funds, and to the extent practicable, to increase the amount of such funds that otherwise would be available, in the absence of such Federal financial assistance, for those activities set forth in the State Energy Program plan approved pursuant to this subpart;

              (8) An assurance that the State shall comply with all applicable statutes and regulations in effect with respect to the periods for which it receives grant funding; and

              (9) For informational purposes only, and not subject to DOE review, an energy emergency plan for an energy supply disruption, as designed by the State consistent with applicable Federal and State law including an implementation strategy or strategies (including regional coordination) for dealing with energy emergencies.
              (c) The Governor may request an extension of the annual submission date by submitting a written request to the cognizant Regional Office Director not less than 15 days prior to the annual submission date. The extension shall be granted only if, in the cognizant Regional Office Director's judgment, acceptable and substantial justification is shown, and the extension would further objectives of the Act.
              (d) The Secretary, or a designee, shall, at least once every three years from the submission date of each State plan, invite the Governor of the State to review and, if necessary, revise the energy conservation plan of such State. Such reviews should consider the energy conservation plans of other States within the region, and identify opportunities and actions that may be carried out in pursuit of common energy conservation goals.
              [61 FR 35895, July 8, 1996, as amended at 62 FR 26727, May 14, 1997; 64 FR 46114, Aug. 24, 1999; 71 FR 57887, Oct. 2, 2006]

              § 420.14
              Review and approval of annual State applications and amendments to State plans.
              (a) After receipt of an application for financial assistance under this subpart and for approval of an amendment, if any, to a State plan, the cognizant Regional Office Director may request the State to submit within a reasonable period of time any revisions necessary to make the application complete and to bring the application into compliance with the requirements of subparts A and B of this part. The cognizant Regional Office Director shall attempt to resolve any dispute over the application informally and to seek voluntary compliance. If a State fails to submit timely appropriate revisions to complete an application or to bring it into compliance, the cognizant Regional Office Director may reject the application in a written decision, including a statement of reasons, which shall be subject to administrative review under § 420.19 of subparts A and B of this part.
              (b) On or before 60 days from the date that a timely filed application is complete, the cognizant Regional Office Director shall—
              (1) Approve the application in whole or in part to the extent that—
              (i) The application conforms to the requirements of subparts A and B of this part;
              (ii) The proposed program activities are consistent with a State's achievement of its energy conservation goals in accordance with § 420.13; and
              (iii) The provisions of the application regarding program activities satisfy the minimum requirements prescribed by § 420.15 and § 420.17 as applicable;
              (2) Approve the application in whole or in part subject to special conditions designed to ensure compliance with the requirements of subparts A and B of this part; or
              (3) Disapprove the application if it does not conform to the requirements of subparts A and B of this part.
              [61 FR 35895, July 8, 1996, as amended at 62 FR 26727, May 14, 1997; 64 FR 46114, Aug. 24, 1999]

              § 420.15
              Minimum criteria for required program activities for plans.
              A plan shall satisfy all of the following minimum criteria for required program activities.
              (a) Mandatory lighting efficiency standards for public buildings shall:
              (1) Be implemented throughout the State, except that the standards shall be adopted by the State as a model code for those local governments of the State for which the State's constitution reserves the exclusive authority to adopt and implement building standards within their jurisdictions;
              (2) Apply to all public buildings (except for public buildings owned or leased by the United States), above a certain size, as determined by the State;

              (3) For new public buildings, be no less stringent than the provisions of ASHRAE/IESNA 90.1-1989, and should be updated by enactment of, or support for the enactment into local codes or standards, which, at a minimum, are comparable to provisions of ASHRAE/IESNA 90.1-1989 which is incorporated by reference in accordance with 5 U.S.C. 552 (a) and 1 CFR part 51. The availability of this incorporation by reference is given in § 420.6; and
              (4) For existing public buildings, contain the elements deemed appropriate by the State.
              (b) Program activities to promote the availability and use of carpools, vanpools, and public transportation shall:
              (1) Have at least one of the following actions under implementation in at least one urbanized area with a population of 50,000 or more within the State or in the largest urbanized area within the State if that State does not have an urbanized area with a population of 50,000 or more:
              (i) A carpool/vanpool matching and promotion campaign;
              (ii) Park-and-ride lots;
              (iii) Preferential traffic control for carpoolers and public transportation patrons;
              (iv) Preferential parking for carpools and vanpools;
              (v) Variable working schedules;
              (vi) Improvement in transit level of service for public transportation;
              (vii) Exemption of carpools and vanpools from regulated carrier status;
              (viii) Parking taxes, parking fee regulations or surcharge on parking costs;
              (ix) Full-cost parking fees for State and/or local government employees;
              (x) Urban area traffic restrictions;
              (xi) Geographical or time restrictions on automobile use; or
              (xii) Area or facility tolls; and
              (2) Be coordinated with the relevant Metropolitan Planning Organization, unless no Metropolitan Planning Organization exists in the urbanized area, and not be inconsistent with any applicable Federal requirements.
              (c) Mandatory standards and policies affecting the procurement practices of the State and its political subdivisions to improve energy efficiency shall—
              (1) With respect to all State procurement and with respect to procurement of political subdivisions to the extent determined feasible by the State, be under implementation; and
              (2) Contain the elements deemed appropriate by the State to improve energy efficiency through the procurement practices of the State and its political subdivisions.
              (d) Mandatory thermal efficiency standards for new and renovated buildings shall—
              (1) Be implemented throughout the State, with respect to all buildings (other than buildings owned or leased by the United States, buildings whose peak design rate of energy usage for all purposes is less than one watt (3.4 Btu's per hour) per square foot of floor space for all purposes, or manufactured homes), except that the standards shall be adopted by the State as a model code for those local governments of the State for which the State's law reserves the exclusive authority to adopt and implement building standards within their jurisdictions;
              (2) Take into account the exterior envelope physical characteristics, HVAC system selection and configuration, HVAC equipment performance and service water heating design and equipment selection;
              (3) For all new commercial and multifamily high-rise buildings, be no less stringent than provisions of sections 7-12 of ASHRAE/IESNA 90.1-1989, and should be updated by enactment of, or support for the enactment into local codes or standards, which, at a minimum, are comparable to provisions of ASHRAE/IESNA 90.1-1989; and
              (4) For all new single-family and multifamily low-rise residential buildings, be no less stringent than the Model Energy Code, 1993, and should be updated by enactment of, or support for the enactment into local codes or standards, which, at a minimum, are comparable to the Model Energy Code, 1993, which is incorporated by reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. The availability of this incorporation by reference is given in § 420.6;
              (5) For renovated buildings:
              (i) Apply to those buildings determined by the State to be renovated buildings; and
              (ii) Contain the elements deemed appropriate by the State regarding thermal efficiency standards for renovated buildings.

              (e) A traffic law or regulation which permits the operator of a motor vehicle to make a turn at a red light after stopping shall:
              (1) Be in a State's motor vehicle code and under implementation throughout all political subdivisions of the State;
              (2) Permit the operator of a motor vehicle to make a right turn (left turn with respect to the Virgin Islands) at a red traffic light after stopping except where specifically prohibited by a traffic sign for reasons of safety or except where generally prohibited in an urban enclave for reasons of safety; and
              (3) Permit the operator of a motor vehicle to make a left turn from a one-way street to a one-way street (right turn with respect to the Virgin Islands) at a red traffic light after stopping except where specifically prohibited by a traffic sign for reasons of safety or except where generally prohibited in an urban enclave for reasons of safety.
              (f) Procedures must exist for ensuring effective coordination among various local, State, and Federal energy efficiency, renewable energy and alternative transportation fuel programs within the State, including any program administered within the Office of Building Technology, State and Community Programs of the Department of Energy and the Low Income Home Energy Assistance Program administered by the Department of Health and Human Services.
              [61 FR 35895, July 8, 1996, as amended at 62 FR 26727, May 14, 1997]

              § 420.16
              Extensions for compliance with required program activities.
              An extension of time by which a required program activity must be ready for implementation may be granted if DOE determines that the extension is justified. A written request for an extension, with accompanying justification and an action plan acceptable to DOE for achieving compliance in the shortest reasonable time, shall be made to the cognizant Regional Office Director. Any extension shall be only for the shortest reasonable time that DOE determines necessary to achieve compliance. The action plan shall contain a schedule for full compliance and shall identify and make the most reasonable commitment possible to provision of the resources necessary for achieving the scheduled compliance.

              § 420.17
              Optional elements of State Energy Program plans.
              (a) Other appropriate activities or programs may be included in the State plan. These activities may include, but are not limited to, the following:
              (1) Program activities of public education to promote energy efficiency, renewable energy, and alternative transportation fuels;
              (2) Program activities to increase transportation energy efficiency, including programs to accelerate the use of alternative transportation fuels for government vehicles, fleet vehicles, taxis, mass transit, and privately owned vehicles;
              (3) Program activities for financing energy efficiency measures and renewable energy measures—
              (i) Which may include loan programs and performance contracting programs for leveraging of additional public and private sector funds and program activities which allow rebates, grants, or other incentives for the purchase of energy efficiency measures and renewable energy measures; or
              (ii) In addition to or in lieu of program activities described in paragraph (a)(3)(i) of this section, which may be used in connection with public or nonprofit buildings owned and operated by a State, a political subdivision of a State or an agency or instrumentality of a State, or an organization exempt from taxation under section 501(c)(3) of the Internal Revenue Code of 1986 including public and private non-profit schools and hospitals, and local government buildings;
              (4) Program activities for encouraging and for carrying out energy audits with respect to buildings and industrial facilities (including industrial processes) within the State;
              (5) Program activities to promote the adoption of integrated energy plans which provide for:
              (i) Periodic evaluation of a State's energy needs, available energy resources (including greater energy efficiency), and energy costs; and

              (ii) Utilization of adequate and reliable energy supplies, including greater energy efficiency, that meet applicable safety, environmental, and policy requirements at the lowest cost;

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

              (2) Each State Energy Technology Commercialization Services Program shall develop and maintain a data base of engineering and scientific experts in energy technologies and product commercialization interested in participating in the service. Such data base shall, at a minimum, include faculty of institutions of higher education, retired manufacturing experts, and National Laboratory personnel.
              (3) The services provided by the Energy Technology Commercialization Services Program established under this subpart shall be available to any small or start-up business. Such service programs shall charge fees which are affordable to a party eligible for assistance, which shall be determined by examining factors, including the following: the costs of the services received; the need of the recipient for the services; and the ability of the recipient to pay for the services.
              [61 FR 35895, July 8, 1996, as amended at 62 FR 26727, May 14, 1997; 64 FR 46114, Aug. 24, 1999]

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

              (5) Subject to paragraph (f) of this section, a State may use a variety of financial incentives to fund purchases and installation of materials and equipment under paragraph (e) of this section including, but not limited to, regular loans, revolving loans, loan buy-downs, performance contracting, rebates and grants.
              (f) The following mechanisms are not allowed for funding the purchase and installation of materials and equipment under paragraph (e) of this section:
              (1) Rebates for more than 50 percent of the total cost of purchasing and installing materials and equipment (States shall set appropriate restrictions and limits to insure the most efficient use of rebates); and
              (2) Loan guarantees.
              [61 FR 35895, July 8, 1996, as amended at 62 FR 26727, May 14, 1997; 64 FR 46114, Aug. 24, 1999]

              § 420.19
              Administrative review.
              (a) A State shall have 20 days from the date of receipt of a decision under § 420.14 to file a notice requesting administrative review in accordance with paragraph (b) of this section. If an applicant does not timely file such a notice, the decision under § 420.14 shall become final for DOE.
              (b) A notice requesting administrative review shall be filed with the cognizant Regional Office Director and shall be accompanied by a written statement containing supporting arguments. If the cognizant Regional Office Director has disapproved an entire application for financial assistance, the State may request a public hearing.
              (c) A notice or any other document shall be deemed filed under this section upon receipt.
              (d) On or before 15 days from receipt of a notice requesting administrative review which is timely filed, the cognizant Regional Office Director shall forward to the Deputy Assistant Secretary, the notice requesting administrative review, the decision under § 420.14 as to which administrative review is sought, a draft recommended final decision for concurrence, and any other relevant material.

              (e) If the State requests a public hearing on the disapproval of an entire application for financial assistance under this subpart, the Deputy Assistant Secretary, within 15 days, shall give actual notice to the State and Federal Register notice of the date, place, time, and procedures which shall apply to the public hearing. Any public hearing under this section shall be informal and legislative in nature.
              (f) On or before 45 days from receipt of documents under paragraph (d) of this section or the conclusion of the public hearing, whichever is later, the Deputy Assistant Secretary shall concur in, concur in as modified, or issue a substitute for the recommended decision of the cognizant Regional Office Director.
              (g) On or before 15 days from the date of receipt of the determination under paragraph (f) of this section, the Governor may file an application for discretionary review by the Assistant Secretary. On or before 15 days from filing, the Assistant Secretary shall send a notice to the Governor stating whether the Deputy Assistant Secretary's determination will be reviewed. If the Assistant Secretary grants a review, a decision shall be issued no later than 60 days from the date review is granted. The Assistant Secretary may not issue a notice or decision under this paragraph without the concurrence of the DOE Office of General Counsel.
              (h) A decision under paragraph (f) of this section shall be final for DOE if there is no review under paragraph (g) of this section. If there is review under paragraph (g) of this section, the decision thereunder shall be final for DOE and no appeal shall lie elsewhere in DOE.

              (i) Prior to the effective date of the termination or suspension of a grant award for failure to implement an approved State plan in compliance with the requirements of this subpart, a grantee shall have the right to written notice of the basis for the enforcement action and of the opportunity for public hearing before the DOE Financial Assistance Appeals Board notwithstanding any provisions to the contrary of 10 CFR 600.22, 600.24, 600.25, and 600.243. To obtain a public hearing, the grantee must request an evidentiary hearing, with prior Federal Register notice, in the election letter submitted under Rule 2 of 10 CFR 1024.4 and the request shall be granted notwithstanding any provisions to the contrary of Rule 2.
              [61 FR 35895, July 8, 1996, as amended at 64 FR 46114, Aug. 24, 1999]

            Subpart C—Implementation of Special Projects Financial Assistance

              § 420.30
              Purpose and scope.
              (a) This subpart sets forth DOE's policies and procedures for implementing special projects financial assistance under this part.
              (b) For years in which such funding is available, States may apply for financial assistance to undertake a variety of State-oriented energy-related special projects activities in addition to the funds provided under the regular SEP grants.
              (c) The types of funded activities may vary from year to year, and from State to State, depending upon funds available for each type of activity and DOE and State priorities.
              (d) A number of end-use sector programs in the Office of Energy Efficiency and Renewable Energy participate in the funding of these activities, and the projects must meet the requirements of those programs.
              (e) The purposes of the special project activities are:
              (1) To utilize States to accelerate deployment of energy efficiency, renewable energy, and alternative transportation fuel technologies;
              (2) To facilitate the commercialization of emerging and underutilized energy efficiency and renewable energy technologies; and
              (3) To increase the responsiveness of Federally funded technology development efforts to the needs of the marketplace.

              § 420.31
              Notice of availability.

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

              § 420.32
              Program guidance/solicitation.

              After the publication of the notice of availability in the Federal Register, DOE shall, upon request, provide States interested in applying for one or more project(s) under the special projects financial assistance with a detailed program guidance/solicitation that will include:
              (a) The control number of the program;
              (b) The expected duration of DOE support or period of performance;
              (c) An application form or the format to be used, location for application submission, and number of copies required;
              (d) The name of the DOE program office contact from whom to seek additional information;
              (e) Detailed descriptions of each type of program activity for which financial assistance is being offered;
              (f) The amount of money available for award, together with any limitations as to maximum or minimum amounts expected to be awarded;
              (g) Deadlines for submitting applications;
              (h) Evaluation criteria that DOE will apply in the selection and ranking process for applications for each program activity;
              (i) The evaluation process to be applied to each type of program activity;
              (j) A listing of program policy factors if any that DOE may use in the final selection process, in addition to the results of the evaluations, including:
              (1) The importance and relevance of the proposed applications to SEP and the participating programs in the Office of Energy Efficiency and Renewable Energy; and
              (2) Geographical diversity;
              (k) Reporting requirements;
              (l) References to:
              (1) Statutory authority for the program;
              (2) Applicable rules; and

              (3) Other terms and conditions applicable to awards made under the program guidance/solicitation; and
              (m) A statement that DOE reserves the right to fund in whole or in part, any, all, or none of the applications submitted.

              § 420.33
              Application requirements.
              (a) Consistent with § 420.32 of this part, DOE shall set forth general and special project activity-specific requirements for applications for special projects financial assistance in the program guidance/solicitation.
              (b) In addition to any other requirements, all applications shall provide:
              (1) A detailed description of the proposed project, including the objectives of the project in relationship to DOE's program and the State's plan for carrying it out;
              (2) A detailed budget for the entire proposed period of support, with written justification sufficient to evaluate the itemized list of costs provided on the entire project; and
              (3) An implementation schedule for carrying out the project.
              (c) DOE may, subsequent to receipt of an application, request additional budgetary information from a State when necessary for clarification or to make informed preaward determinations.
              (d) DOE may return an application which does not include all information and documentation required by this subpart, 10 CFR part 600, or the program guidance/solicitation, when the nature of the omission precludes review of the application.
              [61 FR 35895, July 8, 1996, as amended at 64 FR 46114, Aug. 24, 1999]

              § 420.34
              Matching contributions or cost-sharing.
              DOE may require (as set forth in the program guidance/solicitation) States to provide either:
              (a) A matching contribution of at least a specified percentage of the Federal financial assistance award; or
              (b) A specified share of the total cost of the project for which financial assistance is provided.

              § 420.35
              Application evaluation.
              (a) DOE staff at the cognizant Regional Office shall perform an initial review of all applications to ensure that the State has provided the information required by this subpart, 10 CFR part 600, and the program guidance/solicitation.
              (b) DOE shall group, and technically evaluate according to program activity, all applications determined to be complete and satisfactory.
              (c) DOE shall select evaluators on the basis of their professional qualifications and expertise relating to the particular program activity being evaluated.
              (1) DOE anticipates that evaluators will primarily be DOE employees; but
              (2) If DOE uses non-DOE evaluators, DOE shall require them to comply with all applicable DOE rules or directives concerning the use of outside evaluators.
              [61 FR 35895, July 8, 1996, as amended at 64 FR 46114, Aug. 24, 1999]

              § 420.36
              Evaluation criteria.
              The evaluation criteria, including program activity-specific criteria, will be set forth in the program guidance/solicitation document.

              § 420.37
              Selection.
              (a) DOE may make selection of applications for award based on:
              (1) The findings of the technical evaluations;
              (2) The priorities of DOE, SEP, and the participating program offices;
              (3) The availability of funds for the various special project activities; and
              (4) Any program policy factors set forth in the program guidance/solicitation.
              (b) The Director, Office of State and Community Programs makes the final selections of projects to be awarded financial assistance.

              § 420.38
              Special projects expenditure prohibitions and limitations.

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

              (b) DOE must state any expenditure prohibitions or limitations specific to a particular category of special projects in the annual SEP special projects solicitation/guidance.
              [64 FR 46114, Aug. 24, 1999]

          Pt. 429
          PART 429—CERTIFICATION, COMPLIANCE, AND ENFORCEMENT FOR CONSUMER PRODUCTS AND COMMERCIAL AND INDUSTRIAL EQUIPMENT

              Subpart A—General Provisions
              Sec.
              429.1
              Purpose and scope.
              429.2
              Definitions.
              429.4
              Materials incorporated by reference.
              429.5
              Imported products.
              429.6
              Exported products.
              429.7
              Confidentiality.
              429.8
              Subpoenas.

              Subpart B—Certification
              429.10
              Purpose and scope.
              429.11
              General requirements applicable to units to be tested.
              429.12
              General requirements applicable to certification reports.
              429.13
              Testing requirements.
              429.14
              Consumer refrigerators, refrigerator-freezers and freezers.
              429.15
              Room air conditioners.
              429.16
              Central air conditioners and central air conditioning heat pumps.
              429.17
              Water heaters.
              429.18
              Residential furnaces.
              429.19
              Dishwashers.
              429.20
              Residential clothes washers.
              429.21
              Residential clothes dryers.
              429.22
              Direct heating equipment.
              429.23
              Cooking products.
              429.24
              Pool heaters.
              429.25
              Television sets.
              429.26
              Fluorescent lamp ballasts.
              429.27
              General service fluorescent lamps, general service incandescent lamps, and incandescent reflector lamps.
              429.28
              Faucets.
              429.29
              Showerheads.
              429.30
              Water closets.
              429.31
              Urinals.
              429.32
              Ceiling fans.
              429.33
              Ceiling fan light kits.
              429.34
              Torchieres.
              429.35
              Compact fluorescent lamps.
              429.36
              Dehumidifiers.
              429.37
              External power supplies.
              429.38
              Non-class A external power supplies. [Reserved]
              429.39
              Battery chargers.
              429.40
              Candelabra base incandescent lamps and intermediate base incandescent lamps.
              429.41
              Commercial warm air furnaces.
              429.42
              Commercial refrigerators, freezers, and refrigerator-freezers.
              429.43
              Commercial heating, ventilating, air-conditioning (HVAC) equipment.
              429.44
              Commercial water heating (WH) equipment.
              429.45
              Automatic commercial ice makers.
              429.46
              Commercial clothes washers.
              429.47
              Distribution transformers.
              429.48
              Illuminated exit signs.
              429.49
              Traffic signal modules and pedestrian modules.
              429.50
              Commercial unit heaters.
              429.51
              Commercial pre-rinse spray valves.
              429.52
              Refrigerated bottled or canned beverage vending machines.
              429.53
              Walk-in coolers and walk-in freezers.
              429.54
              Metal halide lamp ballasts and fixtures.
              429.56
              Integrated light-emitting diode lamps.
              429.57
              General service lamps.
              429.58
              Furnace fans.
              429.59
              Pumps.
              429.60
              Commercial packaged boilers.
              429.61
              Consumer miscellaneous refrigeration products.
              429.62
              Portable air conditioners.
              429.63
              Compressors.
              429.70
              Alternative methods for determining energy efficiency and energy use.
              429.71
              Maintenance of records.
              429.72
              Alternative methods for determining non-energy ratings.
              Appendix A to Subpart B of Part 429—Student's t-Distribution Values for Certification Testing

              Subpart C—Enforcement
              429.100
              Purpose and scope.
              429.102
              Prohibited acts subjecting persons to enforcement action.
              429.104
              Assessment testing.
              429.106
              Investigation of compliance.
              429.110
              Enforcement testing.
              429.114
              Notice of noncompliance determination to cease distribution of a basic model.
              429.116
              Additional certification testing requirements.
              429.118
              Injunctions.
              429.120
              Maximum civil penalty.
              429.122
              Notice of proposed civil penalty.
              429.124
              Election of procedures.
              429.126
              Administrative law judge hearing and appeal.
              429.128
              Immediate issuance of order assessing civil penalty.
              429.130
              Collection of civil penalties.
              429.132
              Compromise and settlement.
              429.134
              Product-specific enforcement provisions.

                Regional Standards Enforcement Procedures
                429.140
                Regional standards enforcement procedures.
                429.142
                Records retention.
                429.144
                Records request.
                429.146
                Notice of violation.
                429.148
                Routine violator.
                429.150
                Appealing a finding of routine violation.
                429.152
                Removal of finding of “routine violator”.
                429.154
                Remediation.
                429.156
                Manufacturer and private labeler liability.
                429.158
                Product determined noncompliant with regional standards.
                Appendix A to Subpart C of Part 429—Sampling Plan for Enforcement Testing of Covered Products and Certain High-Volume Covered Equipment
                Appendix B to Subpart C of Part 429—Sampling Plan for Enforcement Testing of Covered Commercial Equipment and Certain Low-Volume Covered Products
                Appendix C to Subpart C of Part 429—Sampling Plan for Enforcement Testing of Distribution Transformers
                Appendix D to Subpart C of Part 429—Sampling Plan for Enforcement Testing of Uninterruptible Power Supplies

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

            Source:
            76 FR 12451, Mar. 7, 2011, unless otherwise noted.

            Subpart A—General Provisions

              § 429.1
              Purpose and scope.
              This part sets forth the procedures to be followed for certification, determination and enforcement of compliance of covered products and covered equipment with the applicable conservation standards set forth in parts 430 and 431 of this subchapter. This part does not cover motors or electric motors as defined in § 431.12, and all references to “covered equipment” in this part exclude such motors.

              § 429.2
              Definitions.
              (a) The definitions found in §§ 430.2, 431.2, 431.62, 431.72, 431.82, 431.92, 431.102, 431.132, 431.152, 431.192, 431.202, 431.222, 431.242, 431.262, 431.282, 431.292, 431.302, 431.322, 431.342, 431.442, and 431.462 of this chapter apply for purposes of this part.
              (b) The following definitions apply for the purposes of this part. Any words or terms defined in this section or elsewhere in this part shall be defined as provided in sections 321 and 340 of the Energy Policy Conservation Act, as amended, hereinafter referred to as “the Act.”

                Energy conservation standard means any standards meeting the definitions of that term in 42 U.S.C. 6291(6) and 42 U.S.C. 6311(18) as well as any other water conservation standards and design requirements found in this part or parts 430 or 431.

                Engineered-to-order means a basic model of commercial water heating equipment, commercial packaged boiler, commercial heating, ventilation, and air conditioning (HVAC) equipment, or commercial refrigeration equipment that is: Not listed in any catalogs or marketing literature and designed and built to specific customer requirements. A unit of an engineered-to-order basic model is not offered as a set of options (e.g., configure-to-order, menu-system).

                Manufacturer's model number means the identifier used by a manufacturer to uniquely identify the group of identical or essentially identical covered products or covered equipment to which a particular unit belongs. The manufacturer's model number typically appears on the product nameplates, in product catalogs and in other product advertising literature.
              [76 FR 12451, Mar. 7, 2011, as amended at 79 FR 25499, May 5, 2014; 81 FR 4144, Jan. 25, 2016; 82 FR 1099, Jan. 4, 2017]

              § 429.4
              Materials incorporated by reference.

              (a) General. We incorporate by reference the following standards into part 429. The material listed has been approved for incorporation by reference by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Any subsequent amendment to a standard by the standard-setting organization will not affect the DOE regulations unless and until amended by DOE. Material is incorporated as it exists on the date of the approval and a notice of any change in the material will be published in the Federal Register. All approved material is available for inspection at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202-741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html. Also, this material is available for inspection at U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Program, 6th Floor, 950 L'Enfant Plaza, SW., Washington, DC 20024, (202) 586-2945, or go to: http://www1.eere.energy.gov/buildings/appliance_standards/. Standards can be obtained from the sources below.
              (b) AHAM. Association of Home Appliance Manufacturers, 1111 19th Street, NW., Suite 402, Washington, DC 20036, 202-872-5955, or go to http://www.aham.org.

              (1) ANSI/AHAM DW-1-2010, Household Electric Dishwashers, (ANSI approved September 18, 2010), IBR approved for § 429.19.
              (2) ANSI/AHAM PAC-1-2015 (“ANSI/AHAM PAC-1-2015”), Portable Air Conditioners, June 19, 2015, IBR approved for § 429.62.
              (c) AHRI. Air-Conditioning, Heating, and Refrigeration Institute, 2111 Wilson Blvd., Suite 500, Arlington, VA 22201, (703) 524-8800, or go to: http://www.ahrinet.org.

              (1) ANSI/AHRI Standard 340/360-2007, (“AHRI-340/360-2007”), 2007 Standard for Performance Rating of Commercial and Industrial Unitary Air-Conditioning and Heat Pump Equipment, with Addenda 1 and 2, ANSI approved October 27, 2011, IBR approved for § 429.43.
              (2) AHRI Standard 1500-2015, (“ANSI/AHRI Standard 1500-2015”), “2015 Standard for Performance Rating of Commercial Space Heating Boilers,” ANSI approved November 28, 2014: Figure C9, Suggested Piping Arrangement for Hot Water Boilers; IBR approved for § 429.60.
              (d) HI. Hydraulic Institute, 6 Campus Drive, First Floor North, Parsippany, NJ 07054-4406, 973-267-9700. www.Pumps.org.
              (1) HI 40.6-2014, (“HI 40.6-2014-B”), “Methods for Rotodynamic Pump Efficiency Testing,”, (except for sections 40.6.4.1 “Vertically suspended pumps”, 40.6.4.2 “Submersible pumps”,40.6.5.3 “Test report”, 40.6.5.5 “Test conditions”, 40.6.5.5.2 “Speed of rotation during testing”, and 40.6.6.1 “Translation of test results to rated speed of rotation”, and Appendix A “Testing arrangements (normative)”: A.7 “Testing at temperatures exceeding 30 °C (86  °F)”, and Appendix B “Reporting of test results (normative)”), copyright 2014, IBR approved for § 429.134.
              (2) [Reserved]
              (e) ISO. International Organization for Standardization, ch. de la Voie-Creuse CP 56 CH-1211 Geneva 20 Switzerland, telephone + 41 22 749 01 11, or go to http://www.iso.org/iso.

              (1) International Organization for Standardization (ISO)/International Electrotechnical Commission, (“ISO/IEC 17025:2005(E)”), “General requirements for the competence of testing and calibration laboratories”, Second edition, May 15, 2005, IBR approved for § 429.110.
              (2) [Reserved]
              (f) NSF. NSF International. 789 N. Dixboro Road, Ann Arbor, MI 48105, (743) 769-8010. www.nsf.org.
              (1) NSF/ANSI 50-2015, “Equipment for Swimming Pools, Spas, Hot Tubs and Other Recreational Water Facilities,” Annex C—“Test methods for the evaluation of centrifugal pumps,” Section C.3, “self-priming capability,” ANSI approved January 26, 2015, IBR approved for §§ 429.59 and 429.134.
              (2) [Reserved]
              [76 FR 12451, Mar. 7, 2011, as amended at 77 FR 65977, Oct. 31, 2012; 80 FR 79668, Dec. 23, 2015; 81 FR 35264, June 1, 2016; 81 FR 89303, Dec. 9, 2016; 81 FR 90118, Dec. 13, 2016; 82 FR 36917, Aug. 7, 2017]

              § 429.5
              Imported products.
              (a) Any person importing any covered product or covered equipment into the United States shall comply with the provisions of this part, and parts 430 and 431, and is subject to the remedies of this part.

              (b) Any covered product or covered equipment offered for importation in violation of this part, or part 430 or 431, shall be refused admission into the customs territory of the United States under rules issued by the U.S. Customs and Border Protection (CBP) and subject to further remedies as provided by law, except that CBP may, by such rules, authorize the importation of such covered product or covered equipment upon such terms and conditions (including the furnishing of a bond) as may appear to CBP appropriate to ensure that such covered product or covered equipment will not violate this part, or part 430 or 431, or will be exported or abandoned to the United States.

              § 429.6
              Exported products.
              This part, and parts 430 and 431, shall not apply to any covered product or covered equipment if:
              (a) Such covered product or covered equipment is manufactured, sold, or held for sale for export from the United States or is imported for export;
              (b) Such covered product or covered equipment or any container in which it is enclosed, when distributed in commerce, bears a stamp or label stating “NOT FOR SALE FOR USE IN THE UNITED STATES”; and
              (c) Such product is, in fact, not distributed in commerce for use in the United States.

              § 429.7
              Confidentiality.
              (a) The following records are not exempt from public disclosure: Product or equipment type; product or equipment class; private labeler name; brand name; applicable model number(s) unless that information meets the criteria specified in paragraph (b) of this section; energy or water ratings submitted by manufacturers to DOE pursuant to § 429.12(b)(13); whether the certification was based on a test procedure waiver and the date of such waiver; and whether the certification was based on exception relief from the Office of Hearing and Appeals and the date of such relief.
              (b) An individual, manufacturer model number is public information unless:
              (1) The individual, manufacturer model number is a unique model number of a commercial packaged boiler, commercial water heating equipment, commercial HVAC equipment or commercial refrigeration equipment that was developed for an individual customer,
              (2) The individual, manufacturer model number is not displayed on product literature, and
              (3) Disclosure of the individual, manufacturer model number would reveal confidential business information as described at § 1004.11 of this title—in which case, under these limited circumstances, a manufacturer may identify the individual manufacturer model number as a private model number on a certification report submitted pursuant to § 429.12(b)(6).
              (c) Pursuant to the provisions of 10 CFR 1004.11(e), any person submitting information or data which the person believes to be confidential and exempt by law from public disclosure should—at the time of submission—submit:
              (1) One complete copy, and one copy from which the information believed to be confidential has been deleted.
              (2) A request for confidentiality containing the submitter's views on the reasons for withholding the information from disclosure, including:
              (i) A description of the items sought to be withheld from public disclosure,
              (ii) Whether and why such items are customarily treated as confidential within the industry,
              (iii) Whether the information is generally known by or available from other sources,
              (iv) Whether the information has previously been made available to others without obligation concerning its confidentiality,
              (v) An explanation of the competitive injury to the submitting person which would result from public disclosure,
              (vi) A date upon which such information might lose its confidential nature due to the passage of time, and
              (vii) Why disclosure of the information would be contrary to the public interest.
              (d) In accordance with the procedures established in 10 CFR 1004.11(e), DOE shall make its own determination with regard to any claim that information submitted be exempt from public disclosure.
              [76 FR 12451, Mar. 7, 2011, as amended at 79 FR 25499, May 5, 2014; 80 FR 151, Jan. 5, 2015]

              § 429.8
              Subpoena.

              For purposes of carrying out parts 429, 430, and 431, the General Counsel (or delegee), may sign and issue subpoenas for the attendance and testimony of witnesses and the production of relevant books, records, papers, and other documents, and administer oaths. Witnesses summoned under the provisions of this section shall be paid the same fees and mileage as are paid to witnesses in the courts of the United States. In case of contumacy by, or refusal to obey a subpoena served, upon any persons subject to parts 429, 430, or 431, the General Counsel (or delegee) may seek an order from the District Court of the United States for any District in which such person is found or resides or transacts business requiring such person to appear and give testimony, or to appear and produce documents. Failure to obey such order is punishable by such court as contempt thereof.

            Subpart B—Certification

              § 429.10
              Purpose and scope.
              This subpart sets forth the procedures for manufacturers to certify that their covered products and covered equipment comply with the applicable energy conservation standards.

              § 429.11
              General sampling requirements for selecting units to be tested.
              (a) When testing of covered products or covered equipment is required to comply with section 323(c) of the Act, or to comply with rules prescribed under section 324, 325, or 342, 344, 345 or 346 of the Act, a sample comprised of production units (or units representative of production units) of the basic model being tested must be selected at random and tested, and must meet the criteria found in §§ 429.14 through 429.62 of this subpart. Components of similar design may be substituted without additional testing if the substitution does not affect energy or water consumption. Any represented values of measures of energy efficiency, water efficiency, energy consumption, or water consumption for all individual models represented by a given basic model must be the same, except for central air conditioners and central air conditioning heat pumps, as specified in § 429.16 of this subpart.
              (b) The minimum number of units tested shall be no less than two, except where:
              (1) A different minimum limit is specified in §§ 429.14 through 429.65 of this subpart; or
              (2) Only one unit of the basic model is produced, in which case, that unit must be tested and the test results must demonstrate that the basic model performs at or better than the applicable standard(s). If one or more units of the basic model are manufactured subsequently, compliance with the default sampling and representations provisions is required.
              [76 FR 12451, Mar. 7, 2011, as amended at 81 FR 4144, Jan. 25, 2016; 81 FR 89303, Dec. 9, 2016; 82 FR 1468, Jan. 5, 2017]

              § 429.12
              General requirements applicable to certification reports.
              (a) Certification. Each manufacturer, before distributing in commerce any basic model of a covered product or covered equipment subject to an applicable energy conservation standard set forth in parts 430 or 431, and annually thereafter on or before the dates provided in paragraph (d) of this section, shall submit a certification report to DOE certifying that each basic model meets the applicable energy conservation standard(s). The certification report(s) must be submitted to DOE in accordance with the submission procedures of paragraph (h) of this section.
              (b) Certification report. A certification report shall include a compliance statement (see paragraph (c) of this section), and for each basic model, the information listed in this paragraph (b).
              (1) Product or equipment type;
              (2) Product or equipment class (as denoted in the provisions of part 430 or 431 of this chapter containing the applicable energy conservation standard);
              (3) Manufacturer's name and address;
              (4) Private labeler's name(s) and address(es) (if applicable);
              (5) Brand name;

              (6) For each brand, the basic model number and the manufacturer's individual model number(s) in that basic model with the following exceptions: For external power supplies that are certified based on design families, the design family model number and the individual manufacturer's model numbers covered by that design family must be submitted for each brand. For distribution transformers, the basic model number or kVA grouping model number (depending on the certification method) for each brand must be submitted. For commercial HVAC, WH, and refrigeration equipment, an individual manufacturer model number may be identified as a “private model number” if it meets the requirements of § 429.7(b).
              (7) Whether the submission is for a new model, a discontinued model, a correction to a previously submitted model, data on a carryover model, or a model that has been found in violation of a voluntary industry certification program;
              (8) The test sample size (i.e., number of units tested for the basic model, or in the case of single-split system or single-package central air conditioners and central air conditioning heat pumps, or multi-split, multi-circuit, or multi-head mini-split systems other than the “tested combination,” for each individual combination or individual model). Enter “0” if an AEDM was used in lieu of testing (and in the case of central air conditioners and central air conditioning heat pumps, this must be indicated separately for each metric);
              (9) The certifying party's U.S. Customs and Border Protection (CBP) importer identification numbers assigned by CBP pursuant to 19 CFR 24.5, if applicable;
              (10) Whether certification is based upon any waiver of test procedure requirements under § 430.27 or § 431.401 of this chapter and the date(s) of such waiver(s);
              (11) Whether certification is based upon any exception relief from an applicable energy conservation standard and the date such relief was issued by DOE's Office of Hearings and Appeals;
              (12) If the test sample size is listed as “0” to indicate the certification is based upon the use of an alternate way of determining measures of energy conservation, identify the method used for determining measures of energy conservation (such as “AEDM,” or linear interpolation). Manufacturers of commercial packaged boilers, commercial water heating equipment, commercial refrigeration equipment, commercial HVAC equipment, and central air conditioners and central air conditioning heat pumps must provide the manufacturer's designation (name or other identifier) of the AEDM used; and
              (13) Product specific information listed in §§ 429.14 through 429.60 of this chapter.
              (c) Compliance statement. The compliance statement required by paragraph (b) of this section shall include the date, the name of the company official signing the statement, and his or her signature, title, address, telephone number, and facsimile number and shall certify that:
              (1) The basic model(s) complies with the applicable energy conservation standard(s);
              (2) All required testing has been conducted in conformance with the applicable test requirements prescribed in parts 429, 430 and 431, as appropriate, or in accordance with the terms of an applicable test procedure waiver;
              (3) All information reported in the certification report is true, accurate, and complete; and
              (4) The manufacturer is aware of the penalties associated with violations of the Act, the regulations thereunder, and 18 U.S.C. 1001 which prohibits knowingly making false statements to the Federal Government.
              (d) Annual filing. All data required by paragraphs (a) through (c) of this section shall be submitted to DOE annually, on or before the following dates:

                  Product category
                  Deadline for data submission

                  Fluorescent lamp ballasts, Medium base compact fluorescent lamps, Incandescent reflector lamps, General service fluorescent lamps, General service incandescent lamps, Intermediate base incandescent lamps, Candelabra base incandescent lamps, Residential ceiling fans, Residential ceiling fan light kits, Residential showerheads, Residential faucets, Residential water closets, and Residential urinals
                  Mar. 1.

                  Residential water heater, Residential furnaces, Residential boilers, Residential pool heaters, Commercial water heaters, Commercial hot water supply boilers, Commercial unfired hot water storage tanks, Commercial packaged boilers, Commercial warm air furnaces, Commercial unit heaters and Residential furnace fans
                  May 1.

                  Residential dishwashers, Commercial prerinse spray valves, Illuminated exit signs, Traffic signal modules, Pedestrian modules, and Distribution transformers
                  June 1.

                  Room air conditioners, Residential central air conditioners, Residential central heat pumps, Small duct high velocity system, Space constrained products, Commercial package air-conditioning and heating equipment, Packaged terminal air conditioners, Packaged terminal heat pumps, and Single package vertical units
                  July 1.

                  Residential refrigerators, Residential refrigerators-freezers, Residential freezers, Commercial refrigerator, freezer, and refrigerator-freezer, Automatic commercial automatic ice makers, Refrigerated bottled or canned beverage vending machine, Walk-in coolers, Walk-in freezers, and Miscellaneous refrigeration products
                  Aug. 1.

                  Torchieres, Residential dehumidifiers, Metal halide lamp fixtures, External power supplies, and Pumps
                  Sept. 1.

                  Residential clothes washers, Residential clothes dryers, Residential direct heating equipment, Residential cooking products, and Commercial clothes washers
                  Oct. 1.

              (e) New model filing. (1) In addition to the annual filing schedule in paragraph (d) of this section, any new basic models must be certified pursuant to paragraph (a) of this section before distribution in commerce. A modification to a model that increases the model's energy or water consumption or decreases its efficiency resulting in re-rating must be certified as a new basic model pursuant to paragraph (a) of this section.

              (2) For general service fluorescent lamps or incandescent reflector lamps: Prior to or concurrent with the distribution of a new basic model each manufacturer shall submit an initial certification report listing the basic model number, lamp wattage, and date of first manufacture (i.e., production date) for that basic model. The certification report must also state how the manufacturer determined that the lamp meets or exceeds the energy conservation standards, including a description of any testing or analysis the manufacturer performed. Manufacturers of general service fluorescent lamps and incandescent reflector lamps shall submit the certification report required by paragraph (b) of this section within one year after the first date of new model manufacture.
              (3) For distribution transformers, the manufacturer shall submit all information required in paragraphs (b) and (c) of this section for the new basic model, unless the manufacturer has previously submitted to the Department a certification report for a basic model of distribution transformer that is in the same kVA grouping as the new basic model.
              (f) Discontinued model filing. When production of a basic model has ceased and it is no longer being sold or offered for sale by the manufacturer or private labeler, the manufacturer must report this discontinued status to DOE as part of the next annual certification report following such cessation. For each basic model, the report must include the information specified in paragraphs (b)(1) through (7) of this section, except that for integrated light-emitting diode lamps and for compact fluorescent lamps, the manufacturer must submit a full certification report, including all of the information required by paragraph (b) of this section and the product-specific information required by § 429.56(b)(2) or § 429.35(b)(2), respectively.
              (g) Third party submitters. A manufacturer may elect to use a third party to submit the certification report to DOE (for example, a trade association, independent test lab, or other authorized representative, including a private labeler acting as a third party submitter on behalf of a manufacturer); however, the manufacturer is responsible for submission of the certification report to DOE. DOE may refuse to accept certification reports from third party submitters who have failed to submit reports in accordance with the rules of this part. The third party submitter must complete the compliance statement as part of the certification report. Each manufacturer using a third party submitter must have an authorization form on file with DOE. The authorization form includes a compliance statement, specifies the third party authorized to submit certification reports on the manufacturer's behalf and provides the contact information and signature of a company official.
              (h) Method of submission. Reports required by this section must be submitted to DOE electronically at http://www.regulations.doe.gov/ccms (CCMS). A manufacturer or third party submitter can find product-specific templates for each covered product or covered equipment with certification requirements online at https://www.regulations.doe.gov/ccms/templates.html. Manufacturers and third party submitters must submit a registration form, signed by an officer of the company, in order to obtain access to CCMS.
              (i) Compliance dates. For any product subject to an applicable energy conservation standard for which the compliance date has not yet occurred, a certification report must be submitted not later than the compliance date for the applicable energy conservation standard. The covered products enumerated below are subject to the stated compliance dates for initial certification:
              (1) Commercial warm air furnaces, packaged terminal air conditioners, and packaged terminal heat pumps, July 1, 2014;
              (2) Commercial gas-fired and oil-fired instantaneous water heaters less than 10 gallons and commercial gas-fired and oil-fired hot water supply boilers less than 10 gallons, October 1, 2014;
              (3) All other types of covered commercial water heaters except those specified in paragraph (i)(2) of this section, commercial packaged boilers with input capacities less than or equal to 2.5 million Btu/h, and self-contained commercial refrigeration equipment with solid or transparent doors, December 31, 2014;
              (4) Variable refrigerant flow air conditioners and heat pumps, March 31, 2015;
              (5) Small, large, or very large air-cooled, water-cooled, evaporatively-cooled, and water-source commercial air conditioning and heating equipment, single package vertical units, computer room air conditioners, commercial packaged boilers with input capacities greater than 2.5 million Btu/h, and all other types of commercial refrigeration equipment except those specified in paragraph (i)(3) of this section, July 1, 2015.
              [76 FR 12451, Mar. 7, 2011; 76 FR 24762, May 2, 2011, as amended at 76 FR 38292, June 30, 2011; 76 FR 65365, Oct. 21, 2011; 77 FR 76830, Dec. 31, 2012; 78 FR 79593, Dec. 31, 2013; 79 FR 25500, May 5, 2014; 79 FR 38208, July 3, 2014; 81 FR 4430, Jan. 26, 2016; 81 FR 37049, June 8, 2016; 81 FR 43425, July 1, 2016; 81 FR 46789, July 18, 2016; 81 FR 59415, Aug. 29, 2016; 81 FR 95798, Dec. 28, 2016]

              § 429.13
              Testing requirements.
              (a) The determination that a basic model complies with an applicable energy conservation standard shall be determined from the values derived pursuant to the applicable testing and sampling requirements set forth in parts 429, 430 and 431. The determination that a basic model complies with the applicable design standard shall be based upon the incorporation of specific design requirements in parts 430 and 431 or as specified in section 325 and 342 of the Act.
              (b) Where DOE has determined a particular entity is in noncompliance with an applicable standard or certification requirement, DOE may impose additional testing requirements as a remedial measure.

              § 429.14
              Consumer refrigerators, refrigerator-freezers and freezers.
              (a) Sampling plan for selection of units for testing. (1) The requirements of § 429.11 are applicable to residential refrigerators, refrigerator-freezers and freezers; and
              (2) For each basic model of residential refrigerators, refrigerator-freezers, and freezers, a sample of sufficient size shall be randomly selected and tested to ensure that—
              (i) Any represented value of estimated annual operating cost, energy consumption, or other measure of energy consumption of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of:
              (A) The mean of the sample, where:

                ER07MR11.003

              or,

              (B) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.10, where:

                ER02MY11.026

              and

              (ii) Any represented value of the energy factor or other measure of energy consumption of a basic model for which consumers would favor higher values shall be less than or equal to the lower of:
              (A) The mean of the sample, where:

                ER07MR11.005

              or,

              (B) The lower 95 percent confidence limit (LCL) of the true mean divided by 0.90, where:

                ER02MY11.027

              (3) The value of total refrigerated volume of a basic model reported in accordance with paragraph (b)(2) of this section shall be the mean of the total refrigerated volumes measured for each tested unit of the basic model or the total refrigerated volume of the basic model as calculated in accordance with § 429.72(c). The value of adjusted total volume of a basic model reported in accordance with paragraph (b)(2) of this section shall be the mean of the adjusted total volumes measured for each tested unit of the basic model or the adjusted total volume of the basic model as calculated in accordance with § 429.72(c).
              (b) Certification reports. (1) The requirements of § 429.12 are applicable to residential refrigerators, refrigerator-freezers and freezers; and
              (2) Pursuant to § 429.12(b)(13), a certification report shall include the following public product-specific information: The annual energy use in kilowatt hours per year (kWh/yr); the total refrigerated volume in cubic feet (ft3); and the adjusted total volume in cubic feet (ft3).

              (3) Pursuant to § 429.12(b)(13), a certification report shall include the following additional product-specific information: whether the basic model has variable defrost control (in which case, manufacturers must also report the values, if any, of CTL and CTM (For an example, see section 5.2.1.3 in appendix A to subpart B of 10 CFR part 430) used in the calculation of energy consumption), whether the basic model has variable anti-sweat heater control (in which case, manufacturers must also report the values of heater Watts at the ten humidity levels (5%, 15%, 25%, 35%, 45%, 55%, 65%, 75%, 85%, and 95%) used to calculate the variable anti-sweat heater “Correction Factor”), and whether testing has been conducted with modifications to the standard temperature sensor locations specified by the figures referenced in section 5.1 of appendices A1, B1, A, and B to subpart B of 10 CFR part 430.
              (c) Rounding requirements for representative values, including certified and rated values. (1) The represented value of annual energy use must be rounded to the nearest kilowatt hour per year.
              (2) The represented value of total refrigerated volume must be rounded to the nearest 0.1 cubic foot.
              (3) The represented value of adjusted total volume must be rounded to the nearest 0.1 cubic foot.
              (d) Product category determination. Each basic model shall be certified according to the appropriate product category as defined in § 430.2 based on compartment volumes and compartment temperatures.
              (1) Compartment volumes used to determine product category shall be the mean of the measured compartment volumes for each tested unit of the basic model according to the provisions in section 5.3 of appendix A of subpart B of part 430 of this chapter for refrigerators and refrigerator-freezers and section 5.3 of appendix B of subpart B of part 430 of this chapter for freezers, or the compartment volumes of the basic model as calculated in accordance with § 429.72(d); and
              (2) Compartment temperatures used to determine product category shall be the mean of the measured compartment temperatures at the coldest setting for each tested unit of the basic model according to the provisions section 5.1 of appendix A of subpart B of part 430 of this chapter for refrigerators and refrigerator-freezers and section 5.1 of appendix B of subpart B of part 430 of this chapter for freezers.
              [76 FR 12451, Mar. 7, 2011; 76 FR 24762, May 2, 2011, as amended at 79 FR 22348, Apr. 21, 2014; 81 FR 46789, July 18, 2016]

                Effective Date Note:
                At 81 FR 46789, July 18, 2016, § 429.14(c)(2) and (c)(3) were stayed indefinitely.

              § 429.15
              Room air conditioners.
              (a) Sampling plan for selection of units for testing. (1) The requirements of § 429.11 are applicable to room air conditioners; and
              (2) For each basic model of room air conditioners, a sample of sufficient size shall be randomly selected and tested to ensure that—
              (i) Any represented value of estimated annual operating cost, energy consumption or other measure of energy consumption of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of:
              (A) The mean of the sample, where:

                ER07MR11.007

              or,

              (B) The upper 971/2 percent confidence limit (UCL) of the true mean divided by 1.05, where:

                ER02MY11.028

              and

              (ii) Any represented value of the energy efficiency ratio or other measure of energy consumption of a basic model for which consumers would favor higher values shall be less than or equal to the lower of:
              (A) The mean of the sample, where:

                ER07MR11.009

              or,

              (B) The lower 971/2 percent confidence limit (LCL) of the true mean divided by 0.95, where:

                ER02MY11.029

              (b) Certification reports. (1) The requirements of § 429.12 are applicable to room air conditioners; and

              (2) Pursuant to § 429.12(b)(13), a certification report shall include the following public product-specific information: The energy efficiency ratio (EER in British thermal units per Watt-hour (Btu/W-h)), cooling capacity in British thermal units per hour (Btu/h), and the electrical power input in watts (W).
              [76 FR 12451, Mar. 7, 2011; 76 FR 24763, May 2, 2011]

              § 429.16
              Central air conditioners and central air conditioning heat pumps.
              (a) Determination of Represented Value—(1) Required represented values. Determine the represented values (including SEER, EER, HSPF, SEER2, EER2, HSPF2, PW,OFF, cooling capacity, and heating capacity, as applicable) for the individual models/combinations (or “tested combinations”) specified in the following table.

                  Category
                  Equipment subcategory
                  Required represented values

                  Single-Package unit
                  Single-Package AC (including Space-Constrained)
                  Every individual model distributed in commerce.

                  Single-Package HP (including Space-Constrained)

                  Outdoor Unit and Indoor Unit (Distributed in Commerce by OUM)
                  Single-Split-System AC with Single-Stage or Two-Stage Compressor (including Space-Constrained and Small-Duct, High Velocity Systems (SDHV))
                  Every individual combination distributed in commerce must be rated as a coil-only combination. For each model of outdoor unit, this must include at least one coil-only value that is representative of the least efficient combination distributed in commerce with that particular model of outdoor unit. Additional blower-coil representations are allowed for any applicable individual combinations, if distributed in commerce.

                  Single-Split-System AC with Other Than Single-Stage or Two-Stage Compressor (including Space-Constrained and SDHV)
                  Every individual combination distributed in commerce, including all coil-only and blower coil combinations.

                  Single-Split-System HP (including Space-Constrained and SDHV)
                  Every individual combination distributed in commerce.

                  Multi-Split, Multi-Circuit, or Multi-Head Mini-Split Split System—non-SDHV (including Space-Constrained)

                  For each model of outdoor unit, at a minimum, a non-ducted “tested combination.” For any model of outdoor unit also sold with models of ducted indoor units, a ducted “tested combination.” When determining represented values on or after January 1, 2023, the ducted “tested combination” must comprise the highest static variety of ducted indoor unit distributed in commerce (i.e., conventional, mid-static, or low-static). Additional representations are allowed, as described in paragraph (c)(3)(i) of this section.

                  Multi-Split, Multi-Circuit, or Multi-Head Mini-Split Split System—SDHV
                  For each model of outdoor unit, an SDHV “tested combination.” Additional representations are allowed, as described in paragraph (c)(3)(ii) of this section.

                  Indoor Unit Only Distributed in Commerce by ICM)
                  Single-Split-System Air Conditioner (including Space-Constrained and SDHV)
                  Every individual combination distributed in commerce.

                  Single-Split-System Heat Pump (including Space-Constrained and SDHV)

                  Multi-Split, Multi-Circuit, or Multi-Head Mini-Split Split System—SDHV
                  For a model of indoor unit within each basic model, an SDHV “tested combination.” Additional representations are allowed, as described in section (c)(3)(ii) of this section.

                  Outdoor Unit with no Match
                  Every model of outdoor unit distributed in commerce (tested with a model of coil-only indoor unit as specified in paragraph (b)(2)(i) of this section).

              (2) P
                W,OFF. If individual models of single-package systems or individual combinations (or “tested combinations”) of split systems that are otherwise identical are offered with multiple options for off mode-related components, determine the represented value for the individual model/combination with the crankcase heater and controls that are the most consumptive. A manufacturer may also determine represented values for individual models/combinations with less consumptive off mode options; however, all such options must be identified with different model numbers for single-package systems or for outdoor units (in the case of split systems).
              (3) Refrigerants. (i) If a model of outdoor unit (used in a single-split, multi-split, multi-circuit, multi-head mini-split, and/or outdoor unit with no match system) is distributed in commerce and approved for use with multiple refrigerants, a manufacturer must determine all represented values for that model using each refrigerant that can be used in an individual combination of the basic model (including outdoor units with no match or “tested combinations”). This requirement may apply across the listed categories in the table in paragraph (a)(1) of this section. A refrigerant is considered approved for use if it is listed on the nameplate of the outdoor unit. If any of the refrigerants approved for use is HCFC-22 or has a 95 °F midpoint saturation absolute pressure that is ± 18 percent of the 95 °F saturation absolute pressure for HCFC-22, or if there are no refrigerants designated as approved for use, a manufacturer must determine represented values (including SEER, EER, HSPF, SEER2, EER2, HSPF2, PW,OFF, cooling capacity, and heating capacity, as applicable) for, at a minimum, an outdoor unit with no match. If a model of outdoor unit is not charged with a specified refrigerant from the point of manufacture or if the unit is shipped requiring the addition of more than two pounds of refrigerant to meet the charge required for testing per section 2.2.5 of appendix M or appendix M1 (unless either (a) the factory charge is equal to or greater than 70% of the outdoor unit internal volume times the liquid density of refrigerant at 95 °F or (b) an A2L refrigerant is approved for use and listed in the certification report), a manufacturer must determine represented values (including SEER, EER, HSPF, SEER2, EER2, HSPF2, PW,OFF, cooling capacity, and heating capacity, as applicable) for, at a minimum, an outdoor unit with no match.
              (ii) If a model is approved for use with multiple refrigerants, a manufacturer may make multiple separate representations for the performance of that model (all within the same individual combination or outdoor unit with no match) using the multiple approved refrigerants. In the alternative, manufacturers may certify the model (all within the same individual combination or outdoor unit with no match) with a single representation, provided that the represented value is no more efficient than its performance using the least-efficient refrigerant. If a manufacturer certifies a single model with multiple representations for the different approved refrigerants, it may use an AEDM to determine the represented values for all other refrigerants besides the refrigerant used for testing. A single representation made for multiple refrigerants may not include equipment in multiple categories or equipment subcategories listed in the table in paragraph (a)(1) of this section.
              (4) Limitations for represented values of individual combinations. The following paragraphs explains the limitations for represented values of individual combinations (or “tested combinations”).
              (i) Regional. A basic model may only be certified as compliant with a regional standard if all individual combinations within that basic model meet the regional standard for which it is certified. A model of outdoor unit that is certified below a regional standard can only be rated and certified as compliant with a regional standard if the model of outdoor unit has a unique model number and has been certified as a different basic model for distribution in each region. An ICM cannot certify an individual combination with a rating that is compliant with a regional standard if the individual combination includes a model of outdoor unit that the OUM has certified with a rating that is not compliant with a regional standard. Conversely, an ICM cannot certify an individual combination with a rating that is not compliant with a regional standard if the individual combination includes a model of outdoor unit that an OUM has certified with a rating that is compliant with a regional standard.
              (ii) Multiple product classes. Models of outdoor units that are rated and distributed in individual combinations that span multiple product classes must be tested, rated, and certified pursuant to paragraph (a) of this section as compliant with the applicable standard for each product class. This includes multi-split systems, multi-circuit systems, and multi-head mini-split systems with a represented value for a mixed combination including both SDHV and either non-ducted or ducted indoor units.
              (5) Requirements. All represented values under paragraph (a) of this section must be based on testing in accordance with the requirements in paragraph (b) of this section or the application of an AEDM or other methodology as allowed in paragraph (c) of this section.
              (b) Units tested—(1) General. The general requirements of § 429.11 apply to central air conditioners and heat pumps; and
              (2) Individual model/combination selection for testing. (i) The table identifies the minimum testing requirements for each basic model that includes multiple individual models/combinations; if a basic model spans multiple categories or subcategories listed in the table, multiple testing requirements apply. For each basic model that includes only one individual model/combination, test that individual model/combination. For single-split-system non-space-constrained air conditioners and heat pumps, when testing is required in accordance with 10 CFR part 430, subpart B, appendix M1, these requirements do not apply until July 1, 2024, provided that the manufacturer is certifying compliance of all basic models using an AEDM in accordance with paragraph (c)(1)(i)(B) of this section and paragraph (e)(2)(i)(A) of § 429.70.

                  Category
                  Equipment subcategory
                  Must test:
                  With:

                  Single-Package Unit
                  Single-Package AC (including Space-Constrained)
                  The individual model with the lowest SEER (when testing in accordance with appendix M to subpart B of part 430) or SEER2 (when testing in accordance with appendix M1 to subpart B of part 430)
                  N/A.

                  Single-Package HP (including Space-Constrained)

                  Outdoor Unit and Indoor Unit (Distributed in Commerce by OUM)
                  Single-Split-System AC with Single-Stage or Two-Stage Compressor (including Space-Constrained and Small- Duct, High Velocity Systems (SDHV))
                  The model of outdoor unit
                  A model of coil-only indoor unit.

                  Single-Split-System AC with Other Than Single-Stage or Two-Stage Compressor (including Space-Constrained and SDHV)
                  The model of outdoor unit
                  A model of indoor unit.

                  Single-Split-System HP (including Space-Constrained and SDHV)

                  Multi-Split, Multi-Circuit, or Multi-Head Mini-Split Split System—non-SDHV (including Space-Constrained)
                  The model of outdoor unit

                  At a minimum, a “tested combination” composed entirely of non-ducted indoor units. For any models of outdoor units also sold with models of ducted indoor units, test a second “tested combination” composed entirely of ducted indoor units (in addition to the non-ducted combination). If testing under appendix M1 to subpart B of part 430, the ducted “tested combination” must comprise the highest static variety of ducted indoor unit distributed in commerce (i.e., conventional, mid-static, or low-static).

                  Multi-Split, Multi-Circuit, or Multi-Head Mini-Split Split System—SDHV
                  The model of outdoor unit
                  A “tested combination” composed entirely of SDHV indoor units.

                  Indoor Unit Only (Distributed in Commerce by ICM)
                  Single-Split-System Air Conditioner (including Space-Constrained and SDHV)
                  A model of indoor unit
                  The least efficient model of outdoor unit with which it will be paired where the least efficient model of outdoor unit is the model of outdoor unit in the lowest SEER combination (when testing under appendix M to subpart B of part 430) or SEER2 combination (when testing under appendix M1 to subpart B of part 430) as certified by the OUM. If there are multiple models of outdoor unit with the same lowest SEER (when testing under appendix M to subpart B of part 430) or SEER2 (when testing under appendix M1 to subpart B of part 430) represented value, the ICM may select one for testing purposes.

                  Single-Split-System Heat Pump (including Space-Constrained and SDHV)
                  Nothing, as long as an equivalent air conditioner basic model has been testedIf an equivalent air conditioner basic model has not been tested, must test a model of indoor unit

                  Multi-Split, Multi-Circuit, or Multi-Head Mini-Split Split System—SDHV
                  A model of indoor unit
                  A “tested combination” composed entirely of SDHV indoor units, where the outdoor unit is the least efficient model of outdoor unit with which the SDHV indoor unit will be paired. The least efficient model of outdoor unit is the model of outdoor unit in the lowest SEER combination (when testing under appendix M to subpart B of part 430) or SEER2 combination (when testing under appendix M1 to subpart B of part 430) as certified by the OUM. If there are multiple models of outdoor unit with the same lowest SEER represented value (when testing under appendix M to subpart B of part 430) or SEER2 represented value (when testing under appendix M1 to subpart B of part 430), the ICM may select one for testing purposes.

                  Outdoor Unit with No Match

                  The model of outdoor unit
                  A model of coil-only indoor unit meeting the requirements of section 2.2e of appendix M or M1 to subpart B of part 430.

              (ii) Each individual model/combination (or “tested combination”) identified in paragraph (b)(2)(i) of this section is not required to be tested for PW,OFF. Instead, at a minimum, among individual models/combinations with similar off-mode construction (even spanning different models of outdoor units), a manufacturer must test at least one individual model/combination for PW,OFF.
              (3) Sampling plans and represented values. For individual models (for single-package systems) or individual combinations (for split-systems, including “tested combinations” for multi-split, multi-circuit, and multi-head mini-split systems) with represented values determined through testing, each individual model/combination (or “tested combination”) must have a sample of sufficient size tested in accordance with the applicable provisions of this subpart. For heat pumps (other than heating-only heat pumps), all units of the sample population must be tested in both the cooling and heating modes and the results used for determining all representations. The represented values for any individual model/combination must be assigned such that:
              (i) Off-Mode. Any represented value of power consumption or other measure of energy consumption for which consumers would favor lower values must be greater than or equal to the higher of:
              (A) The mean of the sample, where:

                ER08JN16.000

              and, x is the sample mean; n is the number of samples; and xi is the ith sample; Or,
              (B) The upper 90 percent confidence limit (UCL) of the true mean divided by 1.05, where:

                ER08JN16.001

              And x is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.90 is the t statistic for a 90 percent one-tailed confidence interval with n−1 degrees of freedom (from appendix D). Round represented values of off-mode power consumption to the nearest watt.
              (ii) SEER, EER, HSPF, SEER2, EER2, and HSPF2. Any represented value of the energy efficiency or other measure of energy consumption for which consumers would favor higher values shall be less than or equal to the lower of:
              (A) The mean of the sample, where:

                ER05JA17.000

              and, x
                 is the sample mean; n is the number of samples; and xi is the ith sample; or,
              (B) The lower 90 percent confidence limit (LCL) of the true mean divided by 0.95, where:

                ER05JA17.001

              And x
                 is the sample mean; s is the sample standard deviation; n is the number of samples; and t
                0.90 is the t statistic for a 90 percent one-tailed confidence interval with n-1 degrees of freedom (from appendix D). Round represented values of EER, SEER, HSPF, EER2, SEER2, and HSPF2 to the nearest 0.05.
              (iii) Cooling Capacity and Heating Capacity. The represented values of cooling capacity and heating capacity must each be a self-declared value that is:
              (A) Less than or equal to the lower of:
              (1) The mean of the sample, where:

                ER05JA17.002

              and, x
                 is the sample mean; n is the number of samples; and xi is the ith sample; or,
              (2) The lower 90 percent confidence limit (LCL) of the true mean divided by 0.95, where:

                ER05JA17.003

              And x
                 is the sample mean; s is the sample standard deviation; n is the number of samples; and t
                0.90 is the t statistic for a 90 percent one-tailed confidence interval with n-1 degrees of freedom (from appendix D).
              (B) Rounded according to:
              (1) To the nearest 100 Btu/h if cooling capacity or heating capacity is less than 20,000 Btu/h,
              (2) To the nearest 200 Btu/h if cooling capacity or heating capacity is greater than or equal to 20,000 Btu/h but less than 38,000 Btu/h, and
              (3) To the nearest 500 Btu/h if cooling capacity or heating capacity is greater than or equal to 38,000 Btu/h and less than 65,000 Btu/h.
              (c) Determination of represented values for all other individual models/combinations besides those specified in paragraph (b)(2) of this section—(1) All basic models except outdoor units with no match and multi-split systems, multi-circuit systems, and multi-head mini-split systems. (i) For every individual model/combination within a basic model other than the individual model/combination required to be tested pursuant to paragraph (b)(2) of this section, either—
              (A) A sample of sufficient size, comprised of production units or representing production units, must be tested as complete systems with the resulting represented values for the individual model/combination obtained in accordance with paragraphs (b)(1) and (3) of this section; or
              (B) The represented values of the measures of energy efficiency or energy consumption through the application of an AEDM in accordance with paragraph (d) of this section and § 429.70. An AEDM may only be used to determine represented values for individual models or combinations in a basic model (or separate approved refrigerants within an individual combination) other than the individual model or combination(s) required for mandatory testing under paragraph (b)(2) of this section, except that, for single-split, non-space-constrained systems, when testing is required in accordance with 10 CFR part 430, subpart B, appendix M1, an AEDM may be used to rate the individual model or combination(s) required for mandatory testing under paragraph (b)(2) of this section until July 1, 2024, in accordance with paragraph (e)(2)(i)(A) of § 429.70.

              (ii) For every individual model/combination within a basic model tested pursuant to paragraph (b)(2) of this section, but for which PW,OFF testing was not conducted, the represented value of PW,OFF may be assigned through, either:
              (A) The testing result from an individual model/combination of similar off-mode construction, or
              (B) The application of an AEDM in accordance with paragraph (d) of this section and § 429.70.
              (2) Outdoor units with no match. All models of outdoor units with no match within a basic model must be tested. No model of outdoor unit with no match may be rated with an AEDM, other than to determine the represented values for models using approved refrigerants other than the one used in testing.

              (3) For multi-split systems, multi-circuit systems, and multi-head mini-split systems. The following applies:

              (i) When testing in accordance with 10 CFR part 430, subpart B, appendix M1, for basic models that include additional varieties of ducted indoor units (i.e., conventional, low-static, or mid-static) other than the one for which representation is required in paragraph (a)(1) of this section, if a manufacturer chooses to make a representation, the manufacturer must conduct testing of a tested combination according to the requirements in paragraph (b)(3) of this section.
              (ii) When testing in accordance with 10 CFR part 430, subpart B, appendix M, for basic models composed of both non-ducted and ducted combinations, the represented value for the mixed non-ducted/ducted combination is the mean of the represented values for the non-ducted and ducted combinations as determined in accordance with paragraph (b)(3) of this section. When testing in accordance with 10 CFR part 430, subpart B, appendix M1, for basic models that include mixed combinations of indoor units (any two kinds of non-ducted, low-static, mid-static, and conventional ducted indoor units), the represented value for the mixed combination is the mean of the represented values for the individual component combinations as determined in accordance with paragraph (b)(3) of this section.
              (iii) When testing in accordance with 10 CFR part 430, subpart B, appendix M, for basic models composed of both SDHV and non-ducted or ducted combinations, the represented value for the mixed SDHV/non-ducted or SDHV/ducted combination is the mean of the represented values for the SDHV, non-ducted, or ducted combinations, as applicable, as determined in accordance with paragraph (b)(3) of this section. When testing in accordance with 10 CFR part 430, subpart B, appendix M1, for basic models including mixed combinations of SDHV and another kind of indoor unit (any of non-ducted, low-static, mid-static, and conventional ducted), the represented value for the mixed SDHV/other combination is the mean of the represented values for the SDHV and other tested combination as determined in accordance with paragraph (b)(3) of this section.
              (iv) All other individual combinations of models of indoor units for the same model of outdoor unit for which the manufacturer chooses to make representations must be rated as separate basic models, and the provisions of paragraphs (b)(1) through (3) and (c)(3)(i) through (iii) of this section apply.
              (v) With respect to PW,OFF only, for every individual combination (or “tested combination”) within a basic model tested pursuant to paragraph (b)(2) of this section, but for which PW,OFF testing was not conducted, the representative values of PW,OFF may be assigned through either:
              (A) The testing result from an individual model or combination of similar off-mode construction, or
              (B) Application of an AEDM in accordance with paragraph (d) of this section and § 429.70.
              (d) Alternative efficiency determination methods. In lieu of testing, represented values of efficiency or consumption may be determined through the application of an AEDM pursuant to the requirements of § 429.70(e) and the provisions of this section.
              (1) Power or energy consumption. Any represented value of the average off mode power consumption or other measure of energy consumption of an individual model/combination for which consumers would favor lower values must be greater than or equal to the output of the AEDM but no greater than the standard.
              (2) Energy efficiency. Any represented value of the SEER, EER, HSPF, SEER2, EER2, HSPF2 or other measure of energy efficiency of an individual model/combination for which consumers would favor higher values must be less than or equal to the output of the AEDM but no less than the standard.
              (3) Cooling capacity. The represented value of cooling capacity of an individual model/combination must be no greater than the cooling capacity output simulated by the AEDM.
              (4) Heating capacity. The represented value of heating capacity of an individual model/combination must be no greater than the heating capacity output simulated by the AEDM.
              (e) Certification reports. This paragraph specifies the information that must be included in a certification report.
              (1) General. The requirements of § 429.12 apply to central air conditioners and heat pumps.
              (2) Public product-specific information. Pursuant to § 429.12(b)(13), for each individual model (for single-package systems) or individual combination (for split-systems, including outdoor units with no match and “tested combinations” for multi-split, multi-circuit, and multi-head mini-split systems), a certification report must include the following public product-specific information: When certifying compliance with January 1, 2015, energy conservation standards, the seasonal energy efficiency ratio (SEER in British thermal units per Watt-hour (Btu/W-h)) or when certifying compliance with January 1, 2023, energy conservation standards, seasonal energy efficiency ratio 2 (SEER2 in British thermal units per Watt-hour (Btu/W-h)); the average off mode power consumption (PW,OFF in Watts); the cooling capacity in British thermal units per hour (Btu/h); the region(s) in which the basic model can be sold; when certifying compliance with January 1, 2023, energy conservation standards, the kind(s) of air conditioner or heat pump associated with the minimum external static pressure used in testing or rating (ceiling-mount, wall-mount, mobile home, low-static, mid-static, small duct high velocity, space-constrained, or conventional/not otherwise listed); and
              (i) For heat pumps, when certifying compliance with January 1, 2015, energy conservation standards, the heating seasonal performance factor (HSPF in British thermal units per Watt-hour (Btu/W-h)) or, when certifying compliance with January 1, 2023, energy conservation standards, heating seasonal performance factor 2 (HSPF2 in British thermal units per Watt-hour (Btu/W-h));

              (ii) For central air conditioners (excluding space-constrained products), when certifying compliance with January 1, 2015, energy conservation standards, the energy efficiency ratio (EER in British thermal units per Watt-hour (Btu/W-h)) from the A or A2 test, whichever applies, or when certifying compliance with January 1, 2023, energy conservation standards, the energy efficiency ratio 2 (EER2 in Btu/W-h);
              (iii) For single-split-systems, whether the represented value is for a coil-only or blower coil system;
              (iv) For multi-split, multiple-circuit, and multi-head mini-split systems (including VRF and SDHV), when certifying compliance with January 1, 2015, energy conservation standards, whether the represented value is for a non-ducted, ducted, mixed non-ducted/ducted system, SDHV, mixed non-ducted/SDHV system, or mixed ducted/SDHV system;
              (v) For all split systems including outdoor units with no match, the refrigerant.
              (3) Basic and individual model numbers. The basic model number and individual model number(s) required to be reported under § 429.12(b)(6) must consist of the following:

                  Equipment type
                  Basic model number
                  Individual model number(s)
                  1
                  2
                  3

                  Single-Package (including Space-Constrained)
                  Number unique to the basic model
                  Package
                  N/A
                  N/A.

                  Single-Split System (including Space-Constrained and SDHV)
                  Number unique to the basic model
                  Outdoor Unit
                  Indoor Unit
                  If applicable—Air Mover (could be same as indoor unit if fan is part of indoor unit model number).

                  Multi-Split, Multi-Circuit, and Multi-Head Mini-Split System (including Space-Constrained and SDHV)
                  Number unique to the basic model
                  Outdoor Unit
                  When certifying a basic model based on tested combination(s): * * *When certifying an individual combination: Indoor Unit(s)

                  If applicable—When certifying a basic model based on tested combination(s): * * *.When certifying an individual combination: Air Mover(s).

                  Outdoor Unit with No Match
                  Number unique to the basic model
                  Outdoor Unit
                  N/A
                  N/A.

              (4) Additional product-specific information. Pursuant to § 429.12(b)(13), for each individual model/combination (including outdoor units with no match and “tested combinations”), a certification report must include the following additional product-specific information: The cooling full load air volume rate for the system or for each indoor unit as applicable (in cubic feet per minute of standard air (scfm)); the air volume rates that represent normal operation for other test conditions including minimum cooling air volume rate, intermediate cooling air volume rate, full load heating air volume rate, minimum heating air volume rate, intermediate heating air volume rate, and nominal heating air volume rate (scfm) for the system or for each indoor unit as applicable, if different from the cooling full load air volume rate; whether the individual model uses a fixed orifice, thermostatic expansion valve, electronic expansion valve, or other type of metering device; the duration of the compressor break-in period, if used; whether the optional tests were conducted to determine the C
                D
                c value used to represent cooling mode cycling losses or whether the default value was used; the temperature at which the crankcase heater with controls is designed to turn on, if applicable; whether an inlet plenum was installed during testing; the duration of the indoor fan time delay, if used; and

              (i) For heat pumps, whether the optional tests were conducted to determine the C
                D
                h value or whether the default value was used; and the maximum time between defrosts as allowed by the controls (in hours);
              (ii) For multi-split, multiple-circuit, and multi-head mini-split systems, the number of indoor units tested with the outdoor unit; the nominal cooling capacity of each indoor unit and outdoor unit in the combination; and the indoor units that are not providing heating or cooling for part-load tests;
              (iii) For ducted systems having multiple indoor fans within a single indoor unit, the number of indoor fans; the nominal cooling capacity of the indoor unit and outdoor unit; which fan(s) operate to attain the full-load air volume rate when controls limit the simultaneous operation of all fans within the single indoor unit; and the allocation of the full-load air volume rate to each operational fan when different capacity blowers are connected to the common duct;
              (iv) For blower coil systems, the airflow-control settings associated with full load cooling operation; and the airflow-control settings or alternative instructions for setting fan speed to the speed upon which the rating is based;
              (v) For models with time-adaptive defrost control, the frosting interval to be used during Frost Accumulation tests and the procedure for manually initiating the defrost at the specified time;
              (vi) For models of indoor units designed for both horizontal and vertical installation or for both up-flow and down-flow vertical installations, the orientation used for testing;
              (vii) For variable-speed models, the compressor frequency set points, and the required dip switch/control settings for step or variable components;
              (viii) For variable-speed heat pumps, whether the H1N or H12 test speed is the same as the H32 test speed; the compressor frequency that corresponds to maximum speed at which the system controls would operate the compressor in normal operation in a 17 °F ambient temperature; and when certifying compliance with January 1, 2023, energy conservation standards, whether the optional 5 °F very low temperature heating mode test was used to characterize performance at temperatures below 17 °F (except for triple-capacity northern heat pumps, for which the very low temperature test is required,) and whether the alternative test required for minimum-speed-limiting variable-speed heat pumps was used;
              (ix) For models of outdoor units with no match, the following characteristics of the indoor coil: The face area, the coil depth in the direction of airflow, the fin density (fins per inch), the fin material, the fin style, the tube diameter, the tube material, and the numbers of tubes high and deep; and
              (x) For central air conditioners and heat pumps that have two-capacity compressors that lock out low capacity operation for cooling at higher outdoor temperatures and/or heating at lower outdoor temperatures, the outdoor temperature(s) at which the unit locks out low capacity operation.
              (f) Represented values for the Federal Trade Commission. Use the following represented value determinations to meet the requirements of the Federal Trade Commission.
              (1) Annual Operating Cost—Cooling. Determine the represented value of estimated annual operating cost for cooling-only units or the cooling portion of the estimated annual operating cost for air-source heat pumps that provide both heating and cooling by calculating the product of:
              (i) The value determined in paragraph (f)(1)(i)(A) of this section if using appendix M to subpart B of part 430 or the value determined in paragraph (f)(1)(i)(B) of this section if using appendix M1 to subpart B of part 430;
              (A) the quotient of the represented value of cooling capacity, in Btu's per hour as determined in paragraph (b)(3)(iii) of this section, divided by the represented value of SEER, in Btu's per watt-hour, as determined in paragraph (b)(3)(ii) of this section;
              (B) the quotient of the represented value of cooling capacity, in Btu's per hour as determined in paragraph (b)(3)(i)(C) of this section, and multiplied by 0.93 for variable-speed heat pumps only, divided by the represented value of SEER2, in Btu's per watt-hour, as determined in paragraph (b)(3)(i)(B) of this section.
              (ii) The representative average use cycle for cooling of 1,000 hours per year;
              (iii) A conversion factor of 0.001 kilowatt per watt; and
              (iv) The representative average unit cost of electricity in dollars per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act.
              (2) Annual Operating Cost—Heating. Determine the represented value of estimated annual operating cost for air-source heat pumps that provide only heating or for the heating portion of the estimated annual operating cost for air-source heat pumps that provide both heating and cooling, as follows:
              (i) When using appendix M to subpart B of part 430, the product of:
              (A) The quotient of the mean of the standardized design heating requirement for the sample, in Btu's per hour, nearest to the Region IV minimum design heating requirement, determined for each unit in the sample in section 4.2 of appendix M to subpart B of part 430, divided by the represented value of heating seasonal performance factor (HSPF), in Btu's per watt-hour, calculated for Region IV corresponding to the above-mentioned standardized design heating requirement, as determined in paragraph (b)(3)(ii) of this section;
              (B) The representative average use cycle for heating of 2,080 hours per year;
              (C) The adjustment factor of 0.77, which serves to adjust the calculated design heating requirement and heating load hours to the actual load experienced by a heating system;
              (D) A conversion factor of 0.001 kilowatt per watt; and
              (E) The representative average unit cost of electricity in dollars per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act;
              (ii) When using appendix M1 to subpart B of part 430, the product of:

              (A) The quotient of the represented value of cooling capacity (for air-source heat pumps that provide both cooling and heating) in Btu's per hour, as determined in paragraph (b)(3)(i)(C) of this section, or the represented value of heating capacity (for air-source heat pumps that provide only heating), as determined in paragraph (b)(3)(i)(D) of this section, divided by the represented value of heating seasonal performance factor 2 (HSPF2), in Btu's per watt-hour, calculated for Region IV, as determined in paragraph (b)(3)(i)(B) of this section;
              (B) The representative average use cycle for heating of 1,572 hours per year;
              (C) The adjustment factor of 1.15 (for heat pumps that are not variable-speed) or 1.07 (for heat pumps that are variable-speed), which serves to adjust the calculated design heating requirement and heating load hours to the actual load experienced by a heating system;
              (D) A conversion factor of 0.001 kilowatt per watt; and
              (E) The representative average unit cost of electricity in dollars per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act;
              (3) Annual Operating Cost—Total. Determine the represented value of estimated annual operating cost for air-source heat pumps that provide both heating and cooling by calculating the sum of the quantity determined in paragraph (f)(1) of this section added to the quantity determined in paragraph (f)(2) of this section.
              (4) Regional Annual Operating Cost—Cooling. Determine the represented value of estimated regional annual operating cost for cooling-only units or the cooling portion of the estimated regional annual operating cost for air-source heat pumps that provide both heating and cooling by calculating the product of:
              (i) The value determined in paragraph (f)(4)(i)(A) of this section if using appendix M to subpart B of part 430 or the value determined in paragraph (f)(4)(i)(B) of this section if using appendix M1 to subpart B of part 430;
              (A) the quotient of the represented value of cooling capacity, in Btu's per hour as determined in paragraph (b)(3)(iii) of this section, divided by the represented value of SEER, in Btu's per watt-hour, as determined in paragraph (b)(3)(ii) of this section;
              (B) the quotient of the represented value of cooling capacity, in Btu's per hour as determined in paragraph (b)(3)(i)(C) of this section, and multiplied by 0.93 for variable-speed heat pumps only, divided by the represented value of SEER2, in Btu's per watt-hour, as determined in paragraph (b)(3)(i)(B) of this section;
              (ii) The value determined in paragraph (f)(4)(ii)(A) of this section if using appendix M to subpart B of part 430 or the value determined in paragraph (f)(4)(ii)(B) of this section if using appendix M1 to subpart B of part 430;
              (A) the estimated number of regional cooling load hours per year determined from Table 22 in section 4.4 of appendix M to subpart B of part 430;
              (B) the estimated number of regional cooling load hours per year determined from Table 21 in section 4.4 of appendix M1 to subpart B of part 430;
              (iii) A conversion factor of 0.001 kilowatts per watt; and
              (iv) The representative average unit cost of electricity in dollars per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act.
              (5) Regional Annual Operating Cost—Heating. Determine the represented value of estimated regional annual operating cost for air-source heat pumps that provide only heating or for the heating portion of the estimated regional annual operating cost for air-source heat pumps that provide both heating and cooling as follows:
              (i) When using appendix M to subpart B of part 430, the product of:
              (A) The estimated number of regional heating load hours per year determined from Table 22 in section 4.4 of appendix M to subpart B of part 430;

              (B) The quotient of the mean of the standardized design heating requirement for the sample, in Btu's per hour, for the appropriate generalized climatic region of interest (i.e., corresponding to the regional heating load hours from “A”) and determined for each unit in the sample in section 4.2 of appendix M to subpart B of part 430, divided by the represented value of HSPF, in Btu's per watt-hour, calculated for the appropriate generalized climatic region of interest and corresponding to the above-mentioned standardized design heating requirement, and determined in paragraph (b)(3)(ii);
              (C) The adjustment factor of 0.77; which serves to adjust the calculated design heating requirement and heating load hours to the actual load experienced by a heating system;
              (D) A conversion factor of 0.001 kilowatts per watt; and
              (E) The representative average unit cost of electricity in dollars per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act.
              (ii) When using appendix M1 to subpart B of part 430, the product of:
              (A) The estimated number of regional heating load hours per year determined from Table 21 in section 4.4 of appendix M1 to subpart B of part 430;
              (B) The quotient of the represented value of cooling capacity (for air-source heat pumps that provide both cooling and heating) in Btu's per hour, as determined in paragraph (b)(3)(i)(C) of this section, or the represented value of heating capacity (for air-source heat pumps that provide only heating), as determined in paragraph (b)(3)(i)(D) of this section, divided by the represented value of HSPF2, in Btu's per watt-hour, calculated for the appropriate generalized climatic region of interest, and determined in paragraph (b)(3)(i)(B) of this section;
              (C) The adjustment factor of 1.15 (for heat pumps that are not variable-speed) or 1.07 (for heat pumps that are variable-speed), which serves to adjust the calculated design heating requirement and heating load hours to the actual load experienced by a heating system;
              (D) A conversion factor of 0.001 kilowatts per watt; and
              (E) The representative average unit cost of electricity in dollars per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act.
              (6) Regional Annual Operating Cost—Total. For air-source heat pumps that provide both heating and cooling, the estimated regional annual operating cost is the sum of the quantity determined in paragraph (f)(4) of this section added to the quantity determined in paragraph (f)(5) of this section.
              (7) Annual Operating Cost—Rounding. Round any represented values of estimated annual operating cost determined in paragraphs (f)(1) through (6) of this section to the nearest dollar per year.
              [81 FR 37049, June 8, 2016, as amended by T.D. 9782, 81 FR 55112, Aug. 18, 2016; 82 FR 1468, Jan. 5, 2017]

              § 429.17
              Water heaters.
              (a) Determination of represented value. (1) Manufacturers must determine the represented value for each water heater by applying an AEDM in accordance with 10 CFR 429.70 or by testing for the uniform energy factor, in conjunction with the applicable sampling provisions as follows:
              (i) If the represented value is determined through testing, the general requirements of 10 CFR 429.11 are applicable; and
              (ii) For each basic model selected for testing, a sample of sufficient size shall be randomly selected and tested to ensure that—
              (A) Any represented value of the estimated annual operating cost or other measure of energy consumption of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of:
              (1) The mean of the sample, where:

                ER29DE16.013

              and, x

                 is the sample mean; n is the number of samples; and xi is the ith sample;

              Or,

              (2) The upper 95-percent confidence limit (UCL) of the true mean divided by 1.10, where:

                ER29DE16.014

              And x

                 is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95-percent one-tailed confidence interval with n-1 degrees of freedom (from Appendix A).
              (B) Any represented value of the uniform energy factor, or other measure of energy consumption of a basic model for which consumers would favor higher values shall be less than or equal to the lower of:
              (1) The mean of the sample, where:

                ER29DE16.015

              and, x is the sample mean; n is the number of samples; and xi is the ith sample;

              Or,

              (2) The lower 95-percent confidence limit (LCL) of the true mean divided by 0.90, where:

                ER29DE16.016

              And x

                 is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95-percent one-tailed confidence interval with n-1 degrees of freedom (from Appendix A).
              (C) Any represented value of the rated storage volume must be equal to the mean of the measured storage volumes of all the units within the sample.
              (D) Any represented value of first-hour rating or maximum gallons per minute (GPM) must be equal to the mean of the measured first-hour ratings or measured maximum GPM ratings, respectively, of all the units within the sample.
              (b) Certification reports. (1) The requirements of 10 CFR 429.12 are applicable to water heaters; and
              (2) Pursuant to 10 CFR 429.12(b)(13), a certification report shall include the following public, product-specific information:
              (i) For storage-type water heater basic models: The uniform energy factor (UEF, rounded to the nearest 0.01), the rated storage volume in gallons (rounded to the nearest 1 gal), the first-hour rating in gallons (gal, rounded to the nearest 1 gal), and the recovery efficiency in percent (%, rounded to the nearest 1%);

              (ii) For instantaneous-type water heater basic models: The uniform energy factor (UEF, rounded to the nearest 0.01), the rated storage volume in gallons (gal, rounded to the nearest 1 gal), the maximum gallons per minute (gpm, rounded to the nearest 0.1 gpm), and the recovery efficiency in percent (%, rounded to the nearest 1%); and
              (iii) For grid-enabled water heater basic models: The uniform energy factor (UEF, rounded to the nearest 0.01), the rated storage volume in gallons (gal, rounded to the nearest 1 gal), the first-hour rating in gallons (gal, rounded to the nearest 1 gal), the recovery efficiency in percent (%, rounded to the nearest 1%), a declaration that the model is a grid-enabled water heater, whether it is equipped at the point of manufacture with an activation lock, and whether it bears a permanent label applied by the manufacturer that advises purchasers and end-users of the intended and appropriate use of the product.
              [81 FR 96235, Dec. 29, 2016]

              § 429.18
              Residential furnaces.
              (a) Sampling plan for selection of units for testing. (1) The requirements of § 429.11 are applicable to residential furnaces; and
              (2) (i) For each basic model of furnaces, other than basic models of those sectional cast-iron boilers (which may be aggregated into groups having identical intermediate sections and combustion chambers) a sample of sufficient size shall be randomly selected and tested to ensure 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 greater than or equal to the higher of:
              (1) The mean of the sample, where:

                ER07MR11.019

              Or,
              (2) The upper 971/2 percent confidence limit (UCL) of the true mean divided by 1.05, where:

                ER07MR11.020

              and

              (B) Any represented value of the annual fuel utilization efficiency or other measure of energy consumption of a basic model for which consumers would favor higher values shall be less than or equal to the lower of:
              (1) The mean of the sample, where:

                ER07MR11.021

              Or,
              (2) The lower 971/2 percent confidence limit (LCL) of the true mean divided by 0.95, where:

                ER02MY11.034

              (ii) 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 randomly selected and tested to ensure 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 greater than or equal to the higher of:
              (1) The mean of the sample, where:

                ER07MR11.023

              Or,
              (2) The upper 971/2 percent confidence limit (UCL) of the true mean divided by 1.05, where:

                ER02MY11.035

              and

              (B) 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 less than or equal to the lower of:
              (1) The mean of the sample, where:

                ER07MR11.025

              Or,
              (2) The lower 971/2 percent confidence limit (LCL) of the true mean divided by 0.95, where:

                ER02MY11.036

              (iii) 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 randomly selected and tested to ensure 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 greater than or equal to the higher of:
              (1) The mean of the sample, where:

                ER07MR11.027

              Or,
              (2) The upper 971/2 percent confidence limit (UCL) of the true mean divided by 1.05, where:

                ER02MY11.037

              and
              (B) 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 less than or equal to the lower of:
              (1) The mean of the sample, where:

                ER07MR11.029

              Or,
              (2) The lower 971/2 percent confidence limit (LCL) of the true mean divided by 0.95, where:

                ER02MY11.038

              (iv) For each 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 energy consumption shall be determined by either—
              (A) A linear interpolation of data obtained for the smallest and largest capacity units of the family, or
              (B) Testing a sample of sufficient size to ensure 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 greater than or equal to the higher of:
              (i) The mean of the sample, where:

                ER07MR11.031

              Or,
              (ii) The upper 971/2 percent confidence limit (UCL) of the true mean divided by 1.05, where:

                ER02MY11.039

              and
              (2) 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 less than or equal to the lower of:
              (i) The mean of the sample, where:

                ER07MR11.033

              Or,
              (ii) The lower 971/2 percent confidence limit (LCL) of the true mean divided by 0.95, where:

                ER02MY11.040

              (v) Whenever measures of energy consumption determined by linear interpolation do not agree with measures of energy consumption determined by actual testing, the values determined by testing must be used for certification.
              (vi) 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.
              (vii) Reported values. The represented value of annual fuel utilization efficiency must be truncated to the one-tenth of a percentage point.
              (b) Certification reports. (1) The requirements of § 429.12 are applicable to residential furnaces; and
              (2) Pursuant to § 429.12(b)(13), a certification report shall include the following public product-specific information:
              (i) Residential furnaces and boilers: The annual fuel utilization efficiency (AFUE) in percent (%) and the input capacity in British thermal units per hour (Btu/h).
              (ii) For cast-iron sectional boilers: The type of ignition system for gas-fired steam and hot water boilers.
              (3) Pursuant to § 429.12(b)(13), a certification report shall include the following additional product-specific information: For cast-iron sectional boilers: a declaration of whether certification is based on linear interpolation or testing. For hot water boilers, a declaration that the manufacturer has incorporated the applicable design requirements.
              (4) For multi-position furnaces, the annual fuel utilization efficiency (AFUE) reported for each basic model must be based on testing in the least efficient configuration. Manufacturers may also report and make representations of additional AFUE values based on testing in other configurations.
              [76 FR 12451, Mar. 7, 2011; 76 FR 24765, May 2, 2011, as amended at 76 FR 38292, June 30, 2011; 81 FR 2646, Jan. 15, 2016]

              § 429.19
              Dishwashers.
              (a) Sampling plan for selection of units for testing. (1) The requirements of § 429.11 are applicable to dishwashers; and
              (2) For each basic model of dishwashers, a sample of sufficient size shall be randomly selected and tested to ensure that—
              (i) Any represented value of estimated annual operating cost, energy or water consumption or other measure of energy or water consumption of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of:
              (A) The mean of the sample, where:

                ER07MR11.035

              Or,

              (B) The upper 971/2 percent confidence limit (UCL) of the true mean divided by 1.05, where:

                ER02MY11.041

              and
              (ii) Any represented value of the energy or water factor or other measure of energy or water consumption of a basic model for which consumers would favor higher values shall be less than or equal to the lower of:
              (A) The mean of the sample, where:

                ER07MR11.037

              Or,
              (B) The lower 971/2 percent confidence limit (LCL) of the true mean divided by 0.95, where:

                ER02MY11.042

              (b) Certification reports. (1) The requirements of § 429.12 are applicable to dishwashers; and
              (2) Pursuant to § 429.12(b)(13), a certification report shall include the following public product-specific information: The estimated annual energy use in kilowatt hours per year (kWh/yr) and the water consumption in gallons per cycle.

              (3) Pursuant to § 429.12(b)(13), a certification report shall include the following additional product-specific information the capacity in number of place settings as specified in ANSI/AHAM DW-1-2010 (incorporated by reference, see § 429.4), presence of a soil sensor (if yes, the number of cycles required to reach calibration), the water inlet temperature used for testing in degrees Fahrenheit ( °F), the cycle selected for energy testing and whether that cycle is soil-sensing, the options selected for the energy test, and presence of a built-in water softening system (if yes, the energy use in kilowatt-hours and the water use in gallons required for each regeneration of the water softening system, the number of regeneration cycles per year, and data and calculations used to derive these values).
              [76 FR 12451, Mar. 7, 2011; 76 FR 24766, May 2, 2011, as amended at 77 FR 31962, May 30, 2012; 77 FR 65977, Oct. 31, 2012; 81 FR 90118, Dec. 13, 2016]

              § 429.20
              Residential clothes washers.
              (a) Sampling plan for selection of units for testing. (1) The requirements of § 429.11 are applicable to residential clothes washers; and
              (2) For each basic model of residential clothes washers, a sample of sufficient size shall be randomly selected and tested to ensure that—
              (i) Any represented value of the water factor, integrated water factor, the estimated annual operating cost, the energy or water consumption, or other measure of energy or water consumption of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of:
              (A) The mean of the sample, where:

                ER07MR11.039

              Or,
              (B) The upper 971/2 percent confidence limit (UCL) of the true mean divided by 1.05, where:

                ER02MY11.043

              and
              (ii) Any represented value of the modified energy factor, integrated modified energy factor, or other measure of energy or water consumption of a basic model for which consumers would favor higher values shall be less than or equal to the lower of:
              (A) The mean of the sample, where:

                ER07MR11.041

              Or,
              (B) The lower 971/2 percent confidence limit (LCL) of the true mean divided by 0.95, where:

                ER02MY11.044

              (3) The capacity of a basic model reported in accordance with paragraph (b)(2) of this section shall be the mean of the measured clothes container capacity, C, of all tested units of the basic model.
              (4) The remaining moisture content (RMC) of a basic model reported in accordance with paragraph (b)(2) of this section shall be the mean of the final RMC value measured for all tested units of the basic model.
              (b) Certification reports. (1) The requirements of § 429.12 are applicable to residential clothes washers; and
              (2) Pursuant to § 429.12(b)(13), a certification report shall include the following public product-specific information:
              (i) For residential clothes washers tested in accordance with Appendix J1: The modified energy factor (MEF) in cubic feet per kilowatt hour per cycle (cu ft/kWh/cycle), the capacity in cubic feet (cu ft), the corrected remaining moisture content (RMC) expressed as a percentage, and, for standard-size residential clothes washers, a water factor (WF) in gallons per cycle per cubic foot (gal/cycle/cu ft).
              (ii) For residential clothes washers tested in accordance with Appendix J2: The integrated modified energy factor (IMEF) in cu ft/kWh/cycle, the integrated water factor (IWF) in gal/cycle/cu ft, the capacity in cu ft, the corrected remaining moisture content (RMC) expressed as a percentage, and the type of loading (top-loading or front-loading).
              (3) Pursuant to § 429.12(b)(13), a certification report must include the following additional product-specific information: A list of all cycle selections comprising the complete energy test cycle for each basic model.
              (c) Reported values. Values reported pursuant to this subsection must be rounded as follows: MEF and IMEF to the nearest 0.01 cu ft/kWh/cycle, WF and IWF to the nearest 0.1 gal/cycle/cu ft, RMC to the nearest 0.1 percentage point, and clothes container capacity to the nearest 0.1 cu ft.
              [76 FR 12451, Mar. 7, 2011; 76 FR 24767, May 2, 2011, as amended at 77 FR 13936, Mar. 7, 2012; 77 FR 32379, May 31, 2012; 80 FR 46760, Aug. 5, 2015]

              § 429.21
              Residential clothes dryers.
              (a) Sampling plan for selection of units for testing. (1) The requirements of § 429.11 are applicable to clothes dryers; and
              (2) For each basic model of clothes dryers a sample of sufficient size shall be randomly selected and tested to ensure that—
              (i) Any represented value of estimated annual operating cost, energy consumption or other measure of energy consumption of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of:
              (A) The mean of the sample, where:

                ER07MR11.043

              Or,
              (B) The upper 971/2 percent confidence limit (UCL) of the true mean divided by 1.05, where:

                ER02MY11.045

              and
              (ii) Any represented value of the energy factor, combined energy factor, or other measure of energy consumption of a basic model for which consumers would favor higher values shall be less than or equal to the lower of:
              (A) The mean of the sample, where:

                ER07MR11.045

              Or,
              (B) The lower 971/2 percent confidence limit (LCL) of the true mean divided by 0.95, where:

                ER02MY11.046

              (3) The capacity of a basic model reported in accordance with paragraph (b)(2) of this section shall be the mean of the capacities measured for each tested unit of the basic model.
              (b) Certification reports. (1) The requirements of § 429.12 are applicable to clothes dryers; and

              (2) Pursuant to § 429.12(b)(13), a certification report shall include the following public product-specific information: When using appendix D, the energy factor in pounds per kilowatt hours (lb/kWh), the capacity in cubic feet (cu ft), the voltage in volts (V) (for electric dryers only), an indication if the dryer has automatic termination controls, and the hourly British thermal unit (Btu) rating of the burner (for gas dryers only); when using appendix D1, the combined energy factor in pounds per kilowatt hours (lb/kWh), the capacity in cubic feet (cu ft), the voltage in volts (V) (for electric dryers only), an indication if the dryer has automatic termination controls, and the hourly Btu rating of the burner (for gas dryers only); when using appendix D2, the combined energy factor in pounds per kilowatt hours (lb/kWh), the capacity in cubic feet (cu ft), the voltage in volts (V) (for electric dryers only), an indication if the dryer has automatic termination controls, the hourly Btu rating of the burner (for gas dryers only), and a list of the cycle setting selections for the energy test cycle as recorded in section 3.4.7 of appendix D2 to Subpart B of Part 430.
              [76 FR 12451, Mar. 7, 2011; 76 FR 24767, May 2, 2011, as amended at 78 FR 49644, Aug. 14, 2013]

              § 429.22
              Direct heating equipment.
              (a) Sampling plan for selection of units for testing. (1) The requirements of § 429.11 are applicable to direct heating equipment; and
              (2) (i) For each basic model of direct heating equipment (not including furnaces) a sample of sufficient size shall be randomly selected and tested to ensure 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 greater than or equal to the higher of:
              (1) The mean of the sample, where:

                ER07MR11.047

              Or,
              (2) The upper 971/2 percent confidence limit (UCL) of the true mean divided by 1.05, where:

                ER02MY11.047

              and
              (B) 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 less than or equal to the lower of:
              (1) The mean of the sample, where:

                ER07MR11.049

              Or,
              (2) The lower 971/2 percent confidence limit (LCL) of the true mean divided by 0.95, where:

                ER02MY11.048

              (ii) 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.
              (b) Certification reports. (1) The requirements of § 429.12 are applicable to direct heating equipment; and
              (2) Pursuant to § 429.12(b)(13), a certification report shall include the following public product-specific information: Direct heating equipment, the annual fuel utilization efficiency (AFUE) in percent (%), the mean input capacity in British thermal units per hour (Btu/h), and the mean output capacity in British thermal units per hour (Btu/h).
              [76 FR 12451, Mar. 7, 2011; 76 FR 24768, May 2, 2011, as amended at 76 FR 38292, June 30, 2011]

              § 429.23
              Cooking products.
              (a) Sampling plan for selection of units for testing. (1) The requirements of § 429.11 are applicable to cooking products; and
              (2) For each basic model of cooking products a sample of sufficient size shall be randomly selected and tested to ensure that any represented value of estimated annual operating cost, standby mode power consumption, off mode power consumption, annual energy consumption, integrated annual energy consumption, or other measure of energy consumption of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of:
              (i) The mean of the sample, where:

                ER16DE16.028

              and x

                 is the sample mean; n is the number of samples; and xi is the ith sample;
              Or,
              (ii) The upper 971/2 percent confidence limit (UCL) of the true mean divided by 1.05, where:

                ER16DE16.041

              And x

                 is the sample mean; s is the sample standard deviation; n is the number of samples; and t
                0.975 is the t statistic for a 97.5% one-tailed confidence interval with n-1 degrees of freedom (from appendix A).
              (b) Certification reports. (1) The requirements of § 429.12 are applicable to conventional cooking tops, conventional ovens and microwave ovens; and
              (2) Pursuant to § 429.12(b)(13), a certification report shall include the following public product-specific information: For conventional cooking tops and conventional ovens: the type of pilot light and a declaration that the manufacturer has incorporated the applicable design requirements. For microwave ovens, the average standby power in watts.
              [76 FR 12451, Mar. 7, 2011; 76 FR 24769, May 2, 2011, as amended at 77 FR 65977, Oct. 31, 2012; 78 FR 4025, Jan. 18, 2013; 78 FR 36368, June 17, 2013; 81 FR 91445, Dec. 16, 2016]

              § 429.24
              Pool heaters.
              (a) Sampling plan for selection of units for testing. (1) The requirements of § 429.11 are applicable to pool heaters; and
              (2) For each basic model of pool heater a sample of sufficient size shall be randomly selected and tested to ensure that any represented value of the thermal efficiency or other measure of energy consumption of a basic model for which consumers would favor higher values shall be less than or equal to the lower of:

                ER07MR11.055

              (i) The mean of the sample, where:
              Or,
              (ii) The lower 971/2 percent confidence limit (LCL) of the true mean divided by 0.95, where:

                ER02MY11.051

              (b) Certification reports. (1) The requirements of § 429.12 are applicable to pool heaters; and

              (2) Pursuant to § 429.12(b)(13), a certification report shall include the following public product-specific information: The thermal efficiency in percent (%) and the input capacity in British thermal units per hour (Btu/h).
              [76 FR 12451, Mar. 7, 2011; 76 FR 24769, May 2, 2011]

              § 429.25
              Television sets.
              (a) Sampling plan for selection of units for testing. (1) The requirements of § 429.11 are applicable to televisions; and
              (2) For each basic model of television, samples shall be randomly selected and tested to ensure that—
              (i) Any represented value of power consumption of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of:
              (A) The mean of the sample, where:

                er25oc13.007

              and x is the sample mean; n is the number of samples; and x
                i is the i
                th sample;
              Or,

              (B) For on mode power consumption, the upper 95 percent confidence limit (UCL) of the true mean divided by 1.05, where:

                er25oc13.008

              and x is the sample mean; s is the sample standard deviation; n is the number of samples; and t
                0.95 is the t-statistic for a 95% one-tailed confidence interval with n−1 degrees of freedom (from appendix A of this subpart).
              And

              (C) For standby mode power consumption and power consumption measurements in modes other than on mode, the upper 90 percent confidence limit (UCL) of the true mean divided by 1.10, where:

                er25oc13.009

              and x is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.90 is the t-statistic for a 90% one-tailed confidence interval with n−1 degrees of freedom (from appendix A of this subpart).

              (ii) Any represented annual energy consumption of a basic model shall be determined by applying the AEC calculation in section 8.2 of Appendix H to subpart B of 10 CFR Part 430 to the represented values of power consumption as calculated pursuant to paragraph (a)(2)(i) of this section.
              (iii) Rounding requirements. The represented value of power consumption and the represented annual energy consumption shall be rounded as follows:
              (A) For power consumption in the on, standby, and off modes, the represented value shall be rounded according to the accuracy requirements specified in section 3.3.3 of Appendix H to subpart B of 10 CFR Part 430.
              (B) For annual energy consumption, the represented value shall be rounded according to the rounding requirements specified in section 8.3 of Appendix H to subpart B of 10 CFR Part 430.
              (b) [Reserved]
              [78 FR 63840, Oct. 25, 2013]

              § 429.26
              Fluorescent lamp ballasts.
              (a) Sampling plan for selection of units for testing. (1) The requirements of § 429.11 are applicable to fluorescent lamp ballasts; and
              (2) For each basic model of fluorescent lamp ballasts, a sample of sufficient size, not less than four, shall be randomly selected and tested to ensure that—
              (i) Any represented value of estimated annual energy operating costs, energy consumption, or other measure of energy consumption of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of:
              (A) The mean of the sample, where:

                ER07MR11.057

              Or,
              (B) The upper 99 percent confidence limit (UCL) of the true mean divided by 1.01, where:

                ER02MY11.052

              and
              (ii) Any represented value of the ballast luminous efficiency, power factor, or other measure of the energy efficiency or energy consumption of a basic model for which consumers would favor a higher value must be less than or equal to the lower of:
              (A) The mean of the sample, where:

                ER07MR11.059

              Or,

              (B) The lower 99 percent confidence limit (LCL) of the true mean divided by 0.99, where:

                ER02MY11.053

              (b) Certification reports. (1) The requirements of § 429.12 are applicable to fluorescent lamp ballasts; and

              (2) Pursuant to § 429.12(b)(13), a certification report must include the following public product-specific information: The ballast luminous efficiency, the power factor, the number of lamps operated by the ballast, and the type of lamps operated by the ballast.

              (c) Rounding requirements. (1) Round ballast luminous efficiency to the nearest thousandths place.
              (2) Round power factor to the nearest hundredths place.
              [76 FR 12451, Mar. 7, 2011; 76 FR 24769, May 2, 2011, as amended at 81 FR 25600, Apr. 29, 2016]

              § 429.27
              General service fluorescent lamps, general service incandescent lamps, and incandescent reflector lamps.
              (a) Sampling plan for selection of units for testing. (1) The requirements of § 429.11 are applicable to general service fluorescent lamps, general service incandescent lamps and incandescent reflector lamps; and
              (2)(i) For each basic model of general service fluorescent lamp and incandescent reflector lamp, samples of production lamps shall be obtained from a 12-month period, tested, and the results averaged. A minimum sample of 21 lamps shall be tested. The manufacturer shall randomly select a minimum of three lamps from each month of production for a minimum of 7 out of the 12-month period. In the instance where production occurs during fewer than 7 of such 12 months, the manufacturer shall randomly select 3 or more lamps from each month of production, where the number of lamps selected for each month shall be distributed as evenly as practicable among the months of production to attain a minimum sample of 21 lamps. Any represented value of lamp efficacy of a basic model shall be based on the sample and shall be less than or equal to the lower of:
              (A) The mean of the sample, where:

                ER07MR11.061

              Or,
              (B) The lower 95 percent confidence limit (LCL) of the true mean divided by .97, where:

                ER02MY11.054

              (ii) For each basic model of general service fluorescent lamp and general service incandescent lamp, the color rendering index (CRI) shall be measured from the same lamps selected for the lumen output and watts input measurements in paragraphs (a)(2)(i) and (a)(2)(iii) of this section, i.e., the manufacturer shall measure all lamps for lumens, watts input, and CRI. The CRI shall be represented as the average of a minimum sample of 21 lamps and shall be less than or equal to the lower of:
              (A) The mean of the sample, where:

                ER07MR11.063

              Or,
              (B) The lower 95 percent confidence limit (LCL) of the true mean divided by .97, where:

                ER02MY11.055

              (iii) For each basic model of general service incandescent lamp, for measurements of rated wattage and rated lumen output, samples of production lamps shall be obtained from a 12-month period, tested, and the results averaged. A minimum sample of 21 lamps shall be tested. The manufacturer shall randomly select a minimum of three lamps from each month of production for a minimum of 7 out of the 12-month period. In the instance where production occurs during fewer than 7 of such 12 months, the manufacturer shall randomly select 3 or more lamps from each month of production, where the number of lamps selected for each month shall be distributed as evenly as practicable among the months of production to attain a minimum sample of 21 lamps. Any represented value of rated wattage of a basic model shall be based on the sample and shall be greater than or equal to the higher of:
              (A) The mean of the sample, where:

                ER27JA12.003

              and, x

                 is the sample mean; n is the number of samples; and xi is the ith sample; Or,
              (B) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.03, where:

                ER27JA12.004

              and x

                 is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95% two-tailed confidence interval with n-1 degrees of freedom (from Appendix A to this subpart).

              (iv) For each basic model of general service incandescent lamp, for measurements of rated lifetime, a minimum sample of 21 lamps shall be tested. The manufacturer shall randomly select a minimum of three lamps from each month of production for a minimum of 7 out of the 12-month period. In the instance where production occurs during fewer than 7 of such 12 months, the manufacturer shall randomly select three or more lamps from each month of production, where the number of lamps selected for each month shall be distributed as evenly as practicable among the months of production to attain a minimum sample of 21 lamps. The lifetime shall be represented as the length of operating time between first use and failure of 50 percent of the sample size, in accordance with test procedures described in section 4.2 of Appendix R to subpart B of part 430 of this chapter. Compliance will be determined by the percentage of sample size that meets the minimum rated lifetime.
              (b) Certification reports. (1) The requirements of § 429.12 are applicable to general service fluorescent lamps, general service incandescent lamps and incandescent reflector lamps; and
              (2) Pursuant to § 429.12(b)(13), a certification report shall include the following public product-specific information:
              (i) General service fluorescent lamps: The testing laboratory's ILAC accreditation body's identification number or other approved identification assigned by the ILAC accreditation body, production dates of the units tested, the 12-month average lamp efficacy in lumens per watt (lm/W), lamp wattage (W), correlated color temperature in Kelvin (K), and the 12-month average Color Rendering Index (CRI).
              (ii) Incandescent reflector lamps: The testing laboratory's ILAC accreditation body's identification number or other approved identification assigned by the ILAC accreditation body, production dates of the units tested, the 12-month average lamp efficacy in lumens per watt (lm/W), and lamp wattage (W).
              (iii) General service incandescent lamps: The testing laboratory's ILAC accreditation body's identification number or other approved identification assigned by the ILAC accreditation body, production dates of the units tested, the 12-month average maximum rate wattage in watts (W), the 12-month average minimum rated lifetime (hours), and the 12-month average Color Rendering Index (CRI).
              (c) Test data. Manufacturers must include the production date codes and the accompanying decoding scheme corresponding to all of the units tested for a given basic model in the detailed test records maintained under § 429.71.
              [76 FR 12451, Mar. 7, 2011; 76 FR 24770, May 2, 2011, as amended at 76 FR 38292, June 30, 2011; 77 FR 4215, Jan. 27, 2012; 81 FR 72503, Oct. 20, 2016]

              § 429.28
              Faucets.
              (a) Sampling plan for selection of units for testing. (1) The requirements of § 429.11 are applicable to faucets; and
              (2) For each basic model of faucet, a sample of sufficient size shall be randomly selected and tested to ensure that any represented value of water consumption of a basic model for which consumers favor lower values shall be no less than the higher of the higher of:
              (i) The mean of the sample, where:

                ER07MR11.065

              Or,
              (ii) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.05, where:

                ER02MY11.056

              (b) Certification reports. (1) The requirements of § 429.12 are applicable to faucets; and
              (2) Pursuant to § 429.12(b)(13), a certification report shall include the following public product-specific information: For non-metering faucets, the maximum water use in gallons per minute (gpm) rounded to the nearest 0.1 gallon; for metering faucets, the maximum water use in gallons per cycle (gal/cycle) rounded to the nearest 0.01 gallon; and for all faucet types, the flow water pressure in pounds per square inch (psi).
              [76 FR 12451, Mar. 7, 2011; 76 FR 24771, May 2, 2011, as amended at 78 FR 62985, Oct. 23, 2013]

              § 429.29
              Showerheads.
              (a) Sampling plan for selection of units for testing. (1) The requirements of § 429.11 are applicable to showerheads; and
              (2) For each basic model of a showerhead, a sample of sufficient size shall be randomly selected and tested to ensure that any represented value of water consumption of a basic model for which consumers favor lower values shall be greater than or equal to the higher of:
              (i) The mean of the sample, where:

                ER07MR11.067

              Or,
              (ii) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.05, where:

                ER02MY11.057

              (b) Certification reports. (1) The requirements of § 429.12 are applicable to showerheads; and
              (2) Pursuant to § 429.12(b)(13), a certification report shall include the following public product-specific information: The maximum water use in gallons per minute (gpm) rounded to the nearest 0.1 gallon, the maximum flow water pressure in pounds per square inch (psi), and a declaration that the showerhead meets the requirements of § 430.32(p) pertaining to mechanical retention of the flow-restricting insert, if applicable.
              [76 FR 12451, Mar. 7, 2011; 76 FR 24771, May 2, 2011, as amended at 78 FR 62985, Oct. 23, 2013]

              § 429.30
              Water closets.
              (a) Sampling plan for selection of units for testing. (1) The requirements of § 429.11 are applicable to water closets; and
              (2) For each basic model of water closet, a sample of sufficient size shall be randomly selected and tested to ensure that any represented value of water consumption of a basic model for which consumers favor lower values shall be greater than or equal to the higher of:
              (i) The mean of the sample, where:

                ER07MR11.069

              Or,
              (ii) The upper 90 percent confidence limit (UCL) of the true mean divided by 1.1, where:

                ER02MY11.058

              (b) Certification reports. (1) The requirements of § 429.12 are applicable to water closets; and
              (2) Pursuant to § 429.12(b)(13), a certification report shall include the following public product-specific information: The maximum water use in gallons per flush (gpf), rounded to the nearest 0.01 gallon. For dual-flush water closets, the maximum water use to be reported is the flush volume observed when tested in the full-flush mode.
              [76 FR 12451, Mar. 7, 2011; 76 FR 24771, May 2, 2011, as amended at 78 FR 62986, Oct. 23, 2013]

              § 429.31
              Urinals.
              (a) Sampling plan for selection of units for testing. (1) The requirements of § 429.11 are applicable to urinals; and
              (2) For each basic model of urinal, a sample of sufficient size shall be randomly selected and tested to ensure that any represented value of water consumption of a basic model for which consumers favor lower values shall be greater than or equal to the higher of:
              (i) The mean of the sample, where:

                ER07MR11.071

              Or,
              (ii) The upper 90 percent confidence limit (UCL) of the true mean divided by 1.1, where:

                ER02MY11.059

              (b) Certification reports. (1) The requirements of § 429.12 are applicable to urinals; and
              (2) Pursuant to § 429.12(b)(13), a certification report shall include the following public product-specific information: The maximum water use in gallons per flush (gpf), rounded to the nearest 0.01 gallon, and for trough-type urinals, the maximum flow rate in gallons per minute (gpm), rounded to the nearest 0.01 gallon, and the length of the trough in inches (in).
              [76 FR 12451, Mar. 7, 2011; 76 FR 24771, May 2, 2011, as amended at 78 FR 62986, Oct. 23, 2013]

              § 429.32
              Ceiling fans.
              (a) Determination of represented value. Manufacturers must determine the represented value, which includes the certified rating, for each basic model of ceiling fan by testing, in conjunction with the following sampling provisions:
              (1) The requirements of § 429.11 are applicable to ceiling fans; and
              (2) For each basic model of ceiling fan selected for testing, a sample of sufficient size must be randomly selected and tested to ensure that—
              (i) Any represented value of the efficiency or airflow is less than or equal to the lower of:
              (A) The mean of the sample, where:

                ER25JY16.001

              And x

                 is the sample mean; n is the number of samples; and xi is the ith sample; or
              (B) The lower 90 percent confidence limit (LCL) of the true mean divided by 0.9, where:

                ER25JY16.002

              And x

                 is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.90 is the t statistic for a 90% one-tailed confidence interval with n−1 degrees of freedom (from appendix A to subpart B); and
              (ii) Any represented value of the wattage is greater than or equal to the higher of:
              (A) The mean of the sample, where:

                ER25JY16.003

              And x

                 is the sample mean; n is the number of samples; and xi is the ith sample; or
              (B) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.1, where:

                ER25JY16.004

              And x

                 is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95% one-tailed confidence interval with n−1 degrees of freedom (from appendix A to this subpart).
              (b) Certification reports. (1) The requirements of § 429.12 are applicable to ceiling fans; and
              (2) Pursuant to § 429.12(b)(13), a certification report shall include the following public product-specific information: The number of speeds within the ceiling fan controls and a declaration that the manufacturer has incorporated the applicable design requirements.
              [76 FR 12451, Mar. 7, 2011, as amended at 81 FR 48639, July 25, 2016]

              § 429.33
              Ceiling fan light kits.
              (a) Determination of represented value. Manufacturers must determine represented values, which includes certified ratings, for each basic model of ceiling fan light kit in accordance with following sampling provisions.
              (1) The requirements of § 429.11 are applicable to ceiling fan light kits, and
              (2) For each basic model of ceiling fan light kit, the following sample size requirements are applicable to demonstrate compliance with the January 1, 2007 energy conservation standards:
              (i) For ceiling fan light kits with medium screw base sockets that are packaged with compact fluorescent lamps, determine the represented values of each basic model of lamp packaged with the ceiling fan light kit in accordance with § 429.35.
              (ii) For ceiling fan light kits with medium screw base sockets that are packaged with integrated light-emitting diode lamps, determine the represented values of each basic model of lamp packaged with the ceiling fan light kit in accordance with § 429.56.
              (iii) For ceiling fan light kits with pin-based sockets that are packaged with fluorescent lamps, determine the represented values of each basic model of lamp packaged with the ceiling fan light kit in accordance with the sampling requirements in § 429.35.
              (iv) For ceiling fan light kits with medium screw base sockets that are packaged with incandescent lamps, determine the represented values of each basic model of lamp packaged with the ceiling fan light kit in accordance with § 429.27.

              (v) For ceiling fan light kits with sockets or packaged with lamps other than those described in paragraphs (a)(2)(i), (ii), (iii), or (iv) of this section, each unit must comply with the applicable design standard in § 430.32(s)(5) of this chapter.
              (3) For ceiling fan light kits that require compliance with the January 21, 2020 energy conservation standards:
              (i) Determine the represented values of each basic model of lamp packaged with each basic model of ceiling fan light kit, in accordance with the specified section:
              (A) For compact fluorescent lamps, § 429.35;
              (B) For general service fluorescent lamps, § 429.27;
              (C) For incandescent lamps, § 429.27;
              (D) For integrated LED lamps, § 429.56.
              (E) For other fluorescent lamps (not compact fluorescent lamps or general service fluorescent lamps), § 429.35; and
              (F) For other SSL lamps (not integrated LED lamps), § 429.56.
              (ii) Determine the represented value of each basic model of integrated SSL circuitry that is incorporated into each basic model of ceiling fan light kit by randomly selecting a sample of sufficient size and testing to ensure that any represented value of the energy efficiency of the integrated SSL circuitry basic model is less than or equal to the lower of:
              (A) The mean of the sample, where:

                ER24DE15.000

              and, x is the sample mean; n is the number of samples; and xi is the ith sample; Or,
              (B) The lower 95 percent confidence limit (LCL) of the true mean divided by 0.90, where:

                ER24DE15.001

              And x is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95% one-tailed confidence interval with n-1 degrees of freedom (from appendix A to subpart B).
              (b) Certification reports. (1) The requirements of § 429.12 are applicable to ceiling fan light kits; and
              (2) Pursuant to § 429.12(b)(13), a certification report shall include the following public product-specific information:
              (i) Ceiling fan light kits with sockets for medium screw base lamps: the rated wattage in watts (W) and the system's efficacy in lumens per watt (lm/W).
              (ii) Ceiling fan light kits with pin-based sockets for fluorescent lamps: the rated wattage in watts (W), the system's efficacy in lumens per watt (lm/W), and the length of the lamp in inches (in).
              (iii) Ceiling fan light kits with any other socket type: the rated wattage in watts (W) and the number of individual sockets.

              (3) Pursuant to § 429.12(b)(13), a certification report shall include the following additional product-specific information: Ceiling fan light kits with any other socket type: a declaration that the basic model meets the applicable design requirement and the features that have been incorporated into the ceiling fan light kit to meet the applicable design requirement (e.g., circuit breaker, fuse, ballast).
              (c) Rounding requirements. Any represented value of initial lamp efficacy of CFLKs as described in paragraph (a)(3)(i)(E); system efficacy of CFLKs as described in paragraph (a)(2)(iii); luminaire efficacy of CFLKs as described in paragraph (a)(3)(ii) of this section must be expressed in lumens per watt and rounded to the nearest tenth of a lumen per watt.
              [76 FR 12451, Mar. 7, 2011; 76 FR 24772, May 2, 2011, as amended at 80 FR 80225, Dec. 24, 2015; 81 FR 632, Jan. 6, 2016; 81 FR 43425, July 1, 2016; 84 FR 8413, Mar. 8, 2019]

              § 429.34
              Torchieres.
              (a) Sampling plan for selection of units for testing. (1) The requirements of § 429.11 are applicable to torchieres; and
              (2) Reserved
              (b) Certification reports. (1) The requirements of § 429.12 are applicable to torchieres; and

              (2) Pursuant to § 429.12(b)(13), a certification report shall include the following additional product-specific information: A declaration that the basic model meets the applicable design requirement and the features that have been incorporated into the torchiere to meet the applicable design requirement (e.g., circuit breaker, fuse, ballast).

              § 429.35
              Compact fluorescent lamps.
              (a) Determination of Represented Value. Manufacturers must determine represented values, which include the certified ratings, for each basic model of compact fluorescent lamp by testing, in conjunction with the following sampling provisions:
              (1) Units to be tested. (i) The requirements of § 429.11(a) are applicable except that the sample must be comprised of production units; and

              (ii)(A) For each basic model of integrated compact fluorescent lamp, the minimum number of units tested shall be no less than 10 units when testing for the initial lumen output, input power, initial lamp efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40 percent of lifetime, lifetime, CCT, CRI, power factor, and standby mode power. If more than 10 units are tested as part of the sample, the total number of units must be a multiple of 2. The same sample of units must be used as the basis for representations for initial lumen output, input power, initial lamp efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40 percent of lifetime, lifetime, CCT, CRI, power factor, and standby mode power. No less than three units from the same sample of units must be used when testing for the start time. Exactly six unique units (i.e., units that have not previously been tested under this paragraph (a)(1)(ii) but are representative of the same basic model tested under this paragraph (a)(1)(ii)) must be used for rapid cycle stress testing.
              (B) For each basic model of non-integrated compact fluorescent lamp, the minimum number of units tested shall be no less than 10 units when testing for the initial lumen output, input power, initial lamp efficacy, lumen maintenance at 40 percent of lifetime, lifetime, CCT, and CRI. If more than 10 units are tested as part of the sample, the total number of units must be a multiple of 2. The same sample of units must be used as the basis for representations for initial lumen output, input power, initial lamp efficacy, lumen maintenance at 40 percent of lifetime, lifetime, CCT, and CRI.
              (iii) For each basic model, a sample of sufficient size shall be randomly selected and tested to ensure that:
              (A) Represented values of initial lumen output, initial lamp efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40 percent of lifetime, CRI, power factor, or other measure of energy consumption of a basic model for which consumers would favor higher values must be less than or equal to the lower of:
              (1) The mean of the sample,

                ER29AU16.014

                Where:

                  x is the sample mean,

                  n is the number of units in the sample, and

                  x
                  i is the ith unit;

              Or,
              (2) The lower 97.5-percent confidence limit (LCL) of the true mean divided by 0.95,

                ER29AU16.015

                Where:

                  x is the sample mean of the characteristic value;

                  s is the sample standard deviation;

                  n is the number of units in the sample, and

                  t

                  0.975 is the t statistic for a 97.5% one-tailed confidence interval with n-1 degrees of freedom (from appendix A of this subpart).

              (B) Represented values of input power, standby mode power, start time or other measure of energy consumption of a basic model for which consumers would favor lower values must be greater than or equal to the higher of:
              (1) The mean of the sample,

                ER29AU16.016

                Where:

                  x
                   is the sample mean,
                n is the number of units in the sample, and
                x
                  i is the ith unit;

              Or,
              (2) The upper 97.5-percent confidence limit (UCL) of the true mean divided by 1.05,

                ER29AU16.017

                Where:

                  x
                   is the sample mean of the characteristic value;
                s is the sample standard deviation;
                n is the number of units in the sample, and
                t
                  0.975 is the t statistic for a 97.5% one-tailed confidence interval with n-1 degrees of freedom (from appendix A of this subpart).

              (C) The represented value of CCT must be equal to the mean of the sample,

                ER29AU16.018

                Where:

                  x
                   is the sample mean,
                n is the number of units in the sample, and
                x
                  i is the ith unit.

              (D) The represented value of lifetime must be equal to or less than the median time to failure of the sample (calculated as the arithmetic mean of the time to failure of the two middle sample units when the numbers are sorted in value order).
              (E) The represented value of the results of rapid cycle stress testing must be
              (1) Expressed in the number of surviving units and
              (2) Based on a lifetime value that is equal to or greater than the represented value of lifetime.
              (2) The represented value of life (in years) of a compact fluorescent lamp must be calculated by dividing the represented lifetime of a compact fluorescent lamp as determined in (a)(1) of this section by the estimated annual operating hours as specified in 16 CFR 305.15(b)(3)(iii).
              (3) The represented value of the estimated annual energy cost for a compact fluorescent lamp, expressed in dollars per year, must be the product of the input power in kilowatts, an electricity cost rate as specified in 16 CFR 305.15(b)(1)(ii), and an estimated average annual use as specified in 16 CFR 305.15(b)(1)(ii).
              (4) For compliance with standards specified in § 430.32(u) as it appeared in 10 CFR parts 200-499 edition revised as of January 1, 2016, initial lamp efficacy may include a 3 percent tolerance added to the value determined in accordance with paragraph (a)(1)(iii)(A) of this section.
              (5) The represented value of lumen maintenance at 40 percent of lifetime must be based on a lifetime value that is equal to or greater than the represented value of lifetime.
              (6) Estimated values may be used for representations when initially testing a new basic model or when new/additional testing is required.
              (b) Certification reports. (1) The requirements of § 429.12 are applicable to compact fluorescent lamps; and
              (2) Values reported in certification reports are represented values. Pursuant to § 429.12(b)(13), a certification report shall include the following public product-specific information:
              (i) For each basic model of medium base CFL when certifying compliance to the standards in § 430.32(u) as it appeared in 10 CFR parts 200-499 edition revised as of January 1, 2016, the testing laboratory's ILAC accreditation body's identification number or other approved identification assigned by the ILAC accreditation body, the date of first manufacture, the seasoning time in hours (h), the initial lumen output in lumens (lm), the input power in watts (W), the initial lamp efficacy in lumens per watt (lm/W), the number of sample units replaced during the seasoning period within each unique sample set used in determining the represented value, the lumen maintenance at 40 percent of lifetime in percent (%) (and whether value is estimated), the lifetime in hours (h) (and whether value is estimated), life in years (and whether value is estimated), the lumen maintenance at 1,000 hours in percent (%), and the results of rapid cycle stress testing in number of units passed. or the initial certification of new basic models or any subsequent certification based on new testing, estimates of lifetime, life, lumen maintenance at 40 percent of lifetime, and rapid cycle stress test surviving units may be reported (if indicated in the certification report) until testing is complete. When reporting estimated values, the certification report must specifically describe the prediction method, which must be generally representative of the methods specified in appendix W. Manufacturers are required to maintain records in accordance with § 429.71 of the development of all estimated values and any associated initial test data.

              (ii) For each basic model of integrated CFL when certifying compliance with general service lamp energy conservation standards, the testing laboratory's ILAC accreditation body's identification number or other identification assigned by the ILAC accreditation body, the date of first manufacture, a statement that the compact fluorescent lamp is integrated, the seasoning time in hours (h), the initial lumen output in lumens (lm), the input power in watts (W), the initial lamp efficacy in lumens per watt (lm/W), the CCT in kelvin (K), CRI, the lumen maintenance at 1,000 hours in percent (%), the lumen maintenance at 40 percent of lifetime in percent (%) (and whether value is estimated), start time in milliseconds, power factor, standby mode energy consumption in watts (W), the results of rapid cycle stress testing in number of units passed, the lifetime in hours (h) (and whether value is estimated), life in years (and whether value is estimated), and the number of sample units replaced during the seasoning period within the sample set used in determining the represented value. Estimates of lifetime, life, lumen maintenance at 40 percent of lifetime, and rapid cycle stress test surviving units may be reported (if indicated in the certification report) until testing is complete. When reporting estimated values, the certification report must specifically describe the prediction method, which must be generally representative of the methods specified in appendix W. Manufacturers are required to maintain records in accordance with § 429.71 of the development of all estimated values and any associated initial test data.
              (iii) For each basic model of non-integrated CFL when certifying compliance with general service lamp energy conservation standards, the testing laboratory's ILAC accreditation body's identification number or other identification assigned by the ILAC accreditation body, the date of first manufacture, a statement that the compact fluorescent lamp is non-integrated, the initial lumen output in lumens (lm), the input power in watts (W), the initial lamp efficacy in lumens per watt (lm/W), the CCT in kelvin (K), CRI, the lumen maintenance at 40 percent of lifetime in percent (%) (and whether value is estimated), the lifetime in hours (h) (and whether value is estimated), and the number of sample units replaced during the seasoning period within each unique sample set used in determining the represented value. Estimates of lifetime and lumen maintenance at 40 percent of lifetime may be reported (if indicated in the certification report) until testing is complete. When reporting estimated values, the certification report must specifically describe the prediction method, which must be generally representative of the methods specified in appendix W. Manufacturers are required to maintain records in accordance with § 429.71 of the development of all estimated values and any associated initial test data.
              (c) Rounding requirements. For represented values,
              (1) Round input power to the nearest tenth of a watt.
              (2) Round lumen output to three significant digits.
              (3) Round initial lamp efficacy to the nearest tenth of a lumen per watt.
              (4) Round lumen maintenance at 1,000 hours to the nearest tenth of a percent.
              (5) Round lumen maintenance at 40 percent of lifetime to the nearest tenth of a percent.
              (6) Round CRI to the nearest whole number.
              (7) Round power factor to the nearest hundredths place.
              (8) Round lifetime to the nearest whole hour.
              (9) Round CCT to the nearest 100 kelvin (K).
              (10) Round standby mode power to the nearest tenth of a watt; and
              (11) Round start time to the nearest whole millisecond.
              [81 FR 59415, Aug. 29, 2016]

              § 429.36
              Dehumidifiers.
              (a) Sampling plan for selection of units for testing. (1) The requirements of § 429.11 are applicable to dehumidifiers; and
              (2) For each basic model of dehumidifier selected for testing, a sample of sufficient size shall be randomly selected and tested to ensure that—
              (i) Any represented value of energy consumption or other measure of energy consumption of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of:
              (A) The mean of the sample, where:

                ER07MR11.079

              Or,

              (B) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.10, where:

                ER02MY11.063

              and

              (ii) Any represented value of the energy factor, integrated energy factor, or other measure of energy consumption of a basic model for which consumers would favor higher values shall be less than or equal to the lower of:
              (A) The mean of the sample, where:

                ER07MR11.081

              Or,

              (B) The lower 95 percent confidence limit (LCL) of the true mean divided by 0.90, where:

                ER02MY11.064

              (3) The capacity of a basic model is the mean of the measured capacities for each tested unit of the basic model. Round the mean capacity value to two decimal places.

              (4) For whole-home dehumidifiers, the case volume of a basic model is the mean of the measured case volumes for each tested unit of the basic model. Round the mean case volume value to one decimal place.

              (5) Round the value of energy factor or integrated energy factor for a basic model to two decimal places.
              (6) Dehumidifiers distributed in commerce by the manufacturer with the ability to operate as both a portable and whole-home dehumidifier by means of installation or removal of an optional ducting kit, must be rated and certified under both configurations.
              (b) Certification reports. (1) The requirements of § 429.12 are applicable to dehumidifiers; and
              (2) Pursuant to § 429.12(b)(13), a certification report must include the following public product-specific information:
              (i) For dehumidifiers tested in accordance with appendix X: The energy factor in liters per kilowatt hour (liters/kWh) and capacity in pints per day.
              (ii) For dehumidifiers tested in accordance with appendix X1: The integrated energy factor in liters per kilowatt hour (liters/kWh), capacity in pints per day, and for whole-home dehumidifiers, case volume in cubic feet.
              [76 FR 12451, Mar. 7, 2011; 76 FR 24773, May 2, 2011, as amended at 77 FR 65977, Oct. 31, 2012; 80 FR 45824, July 31, 2015; 81 FR 38395, June 13, 2016]

              § 429.37
              External power supplies.
              (a) Sampling plan for selection of units for testing. (1) The requirements of § 429.11 are applicable to external power supplies; and
              (2) For each basic model of external power supply selected for testing, a sample of sufficient size shall be randomly selected and tested to ensure that—
              (i) Any represented value of the estimated energy consumption of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of:
              (A) The mean of the sample, where:

                ER07MR11.083

              Or,

              (B) The upper 97.5 percent confidence limit (UCL) of the true mean divided by 1.05, where:

                ER02MY11.065

              and

              (ii) Any represented value of the estimated energy consumption of a basic model for which consumers would favor higher values shall be less than or equal to the lower of:
              (A) The mean of the sample, where:

                ER07MR11.085

              Or,

              (B) The lower 97.5 percent confidence limit (LCL) of the true mean divided by 0.95, where:

                ER02MY11.066

              (b) Certification reports. (1) The requirements of § 429.12 are applicable to external power supplies except that required information may be reported on the basis of a basic model or a design family. If certifying using a design family, for § 429.12(b)(6), report the individual manufacturer's model numbers covered by the design family.
              (2) Pursuant to § 429.12(b)(13), a certification report shall include the following public product-specific information:
              (i) External power supplies: The average active mode efficiency as a percentage (%), no-load mode power consumption in watts (W), nameplate output power in watts (W), and, if missing from the nameplate, the output current in amperes (A) of the basic model or the output current in amperes (A) of the highest- and lowest-voltage models within the external power supply design family.
              (ii) Switch-selectable single-voltage external power supplies: The average active mode efficiency as a percentage (%) value, no-load mode power consumption in watts (W) using the lowest and highest selectable output voltages, nameplate output power in watts (W), and, if missing from the nameplate, the output current in amperes (A).
              (iii) Adaptive single-voltage external power supplies: The average active-mode efficiency as a percentage (%) at the highest and lowest nameplate output voltages, no-load mode power consumption in watts (W), nameplate output power in watts (W) at the highest and lowest nameplate output voltages, and, if missing from the nameplate, the output current in amperes (A) at the highest and lowest nameplate output voltages.
              (iv) External power supplies that are exempt from no-load mode requirements under § 430.32(w)(5) of this chapter: A statement that the product is designed to be connected to a security or life safety alarm or surveillance system component, the average active-mode efficiency as a percentage (%), the nameplate output power in watts (W), and if missing from the nameplate, the certification report must also include the output current in amperes (A) of the basic model or the output current in amperes (A) of the highest- and lowest-voltage models within the external power supply design family.

              (3) Pursuant to § 429.12(b)(13), a certification report for external power supplies that are exempt from the energy conservation standards at § 430.32(w)(1)(ii) pursuant to § 430.32(w)(2) of this chapter must include the following additional information if, in aggregate, the total number of exempt EPSs sold as spare and service parts by the certifier exceeds 1,000 units across all models: The total number of units of exempt external power supplies sold during the most recent 12-calendar-month period ending on July 31, starting with the annual report due on September 1, 2017.
              (c) Exempt external power supplies. (1) For external power supplies that are exempt from energy conservation standards pursuant to § 430.32(w)(2) of this chapter and are not required to be certified pursuant to § 429.12(a) as compliant with an applicable standard, the importer or domestic manufacturer must, no later than September 1, 2017, and annually by each September 1st thereafter, submit a report providing the following information if, in aggregate, the total number of exempt EPSs sold as spare and service parts by the importer or manufacturer exceeds 1,000 units across all models:
              (i) The importer or domestic manufacturer's name and address;
              (ii) The brand name; and
              (iii) The number of units sold during the most recent 12-calendar-month period ending on July 31.
              (2) The report must be submitted to DOE in accordance with the submission procedures set forth in § 429.12(h).
              [76 FR 12451, Mar. 7, 2011; 76 FR 24773, May 2, 2011, as amended at 76 FR 57899, Sept. 19, 2011; 80 FR 51440, Aug. 25, 2015; 81 FR 30163, May 16, 2016; 84 FR 442, Jan. 29, 2019]

              § 429.38
              Non-class A external power supplies. [Reserved]

              § 429.39
              Battery chargers.
              (a) Determination of represented value. Manufacturers must determine represented values, which include certified ratings, for each basic model of battery charger in accordance with the following sampling provisions.
              (1) Represented values include: The unit energy consumption (UEC) in kilowatt-hours per year (kWh/yr), battery discharge energy (Ebatt) in watt hours (Wh), 24-hour energy consumption (E24) in watt hours (Wh), maintenance mode power (Pm) in watts (W), standby mode power (Psb) in watts (W), off mode power (Poff) in watts (W), and duration of the charge and maintenance mode test (tcd) in hours (hrs) for all battery chargers other than uninterruptible power supplies (UPSs); and average load adjusted efficiency (Effavg) for UPSs.
              (2) Units to be tested. (i) The general requirements of § 429.11 are applicable to all battery chargers; and
              (ii) For each basic model of battery chargers other than UPSs, a sample of sufficient size must be randomly selected and tested to ensure that the represented value of UEC is greater than or equal to the higher of:
              (A) The mean of the sample, where:

                ER12DE16.015

              and, x
                 is the sample mean; n is the number of samples; and x
                i is the UEC of the ith sample; or,
              (B) The upper 97.5-percent confidence limit (UCL) of the true mean divided by 1.05, where:

                ER12DE16.016

              and x
                 is the sample mean; s is the sample standard deviation; n is the number of samples; and t
                0.975 is the t-statistic for a 97.5-percent one-tailed confidence interval with n-1 degrees of freedom (from appendix A of this subpart).

              (iii) For each basic model of battery chargers other than UPSs, using the sample from paragraph (a)(2)(ii) of this section, calculate the represented values of each metric (i.e., maintenance mode power (Pm), standby power (Psb), off mode power (Poff), battery discharge energy (EBatt), 24-hour energy consumption (E24), and duration of the charge and maintenance mode test (tcd)), where the represented value of the metric is:

                ER12DE16.017

              and, x
                 is the sample mean, n is the number of samples, and x
                i is the measured value of the ith sample for the metric.

              (iv) For each basic model of UPSs, the represented value of Effavg must be calculated using one of the following two methods:

              (A) A sample of sufficient size must be randomly selected and tested to ensure that the represented value of Effavg is less than or equal to the lower of:
              (1) The mean of the sample, where:

                ER12DE16.018

              and, x
                 is the sample mean; n is the number of samples; and x
                i is the Effavg of the ith sample; or,
              (2) The lower 97.5-percent confidence limit (LCL) of the true mean divided by 0.95, where:

                ER12DE16.019

              and x
                 is the sample mean; s is the sample standard deviation; n is the number of samples; and t
                0.975 is the t-statistic for a 97.5-percent one-tailed confidence interval with n-1 degrees of freedom (from appendix A of this subpart).
              (B) The represented value of Effavg is equal to the Effavg of the single unit tested.
              (b) Certification reports. (1) The requirements of § 429.12 are applicable to all battery chargers.

              (2) Pursuant to § 429.12(b)(13), a certification report must include the following product-specific information for all battery chargers other than UPSs: The nameplate battery voltage of the test battery in volts (V), the nameplate battery charge capacity of the test battery in ampere-hours (Ah), and the nameplate battery energy capacity of the test battery in watt-hours (Wh). A certification report must also include the represented values, as determined in paragraph (a) of this section for the maintenance mode power (Pm), standby mode power (Psb), off mode power (Poff), battery discharge energy (Ebatt), 24-hour energy consumption (E24), duration of the charge and maintenance mode test (tcd), and unit energy consumption (UEC).

              (3) Pursuant to § 429.12(b)(13), a certification report must include the following product-specific information for all battery chargers other than UPSs: The manufacturer and model of the test battery, and the manufacturer and model, when applicable, of the external power supply.
              (4) Pursuant to § 429.12(b)(13), a certification report must include the following product-specific information for all UPSs: Supported input dependency mode(s); active power in watts (W); apparent power in volt-amperes (VA); rated input and output voltages in volts (V); efficiencies at 25 percent, 50 percent, 75 percent and 100 percent of the reference test load; and average load adjusted efficiency of the lowest and highest input dependency modes.
              [81 FR 89821, Dec. 12, 2016]

              § 429.40
              Candelabra base incandescent lamps and intermediate base incandescent lamps.
              (a) Sampling plan for selection of units for testing. (1) The requirements of § 429.11 are applicable to candelabra base incandescent lamps; and
              (2) For each basic model of candelabra base incandescent lamp and intermediate base incandescent lamp, a minimum sample of 21 lamps shall be randomly selected and tested. Any represented value of lamp wattage of a basic model shall be based on the sample and shall be less than or equal to the lower of:
              (i) The mean of the sample, where:

                ER07MR11.091

              Or,

              (ii) The lower 97.5 percent confidence limit (LCL) of the true mean divided by 0.95, where:

                ER02MY11.069

              (b) Certification reports. (1) The requirements of § 429.12 are applicable to candelabra base and intermediate base incandescent lamps; and
              (2) Pursuant to § 429.12(b)(13), a certification report shall include the following public product-specific information:
              (i) Candelabra base incandescent lamp: The rated wattage in watts (W).
              (ii) Intermediate base incandescent lamp: The rated wattage in watts (W).
              [76 FR 12451, Mar. 7, 2011; 76 FR 24774, May 2, 2011]

              § 429.41
              Commercial warm air furnaces.
              (a) Determination of represented value. Manufacturers must determine the represented value, which includes the certified rating, for each basic model of commercial warm air furnace either by testing, in conjunction with the applicable sampling provisions, or by applying an AEDM.
              (1) Units to be tested. (i) If the represented value is determined through testing, the general requirements of § 429.11 are applicable; and

              (ii) For each basic model selected for testing, a sample of sufficient size shall be randomly selected and tested to ensure that—
              (A) Any represented value of energy consumption or other measure of energy use of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of:
              (1) The mean of the sample, where:

                ER05MY14.000

              and, x

                 is the sample mean; n is the number of samples; and xi is the ith sample; Or,
              (2) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.05, where:

                ER05MY14.001

              And x

                 is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95% one-tailed confidence interval with n−1 degrees of freedom (from Appendix A to subpart B of part 429). And,
              (B) Any represented value of energy efficiency or other measure of energy consumption of a basic model for which consumers would favor higher values shall be less than or equal to the lower of:
              (1) The mean of the sample, where:

                ER05MY14.002

              and, x

                 is the sample mean; n is the number of samples; and xi is the ith sample; Or,
              (2) The lower 95 percent confidence limit (LCL) of the true mean divided by 0.95, where:

                ER05MY14.003

              And x

                 is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95% one-tailed confidence interval with n−1 degrees of freedom (from Appendix A to subpart B of part 429).
              (2) Alternative efficiency determination methods. In lieu of testing, a represented value of efficiency or consumption for a basic model of commercial warm air furnace must be determined through the application of an AEDM pursuant to the requirements of § 429.70 and the provisions of this section, where:

              (i) Any represented value of energy consumption or other measure of energy use of a basic model for which consumers would favor lower values shall be greater than or equal to the output of the AEDM and less than or equal to the Federal standard for that basic model; and
              (ii) Any represented value of energy efficiency or other measure of energy consumption of a basic model for which consumers would favor higher values shall be less than or equal to the output of the AEDM and greater than or equal to the Federal standard for that basic model.
              (b) Certification reports. (1) The requirements of § 429.12 are applicable to commercial warm air furnaces; and
              (2) Pursuant to § 429.12(b)(13), a certification report must include the following public, equipment-specific information: The thermal efficiency in percent (%), and the maximum rated input capacity in British thermal units per hour (Btu/h).
              (3) Pursuant to § 429.12(b)(13), a certification report must include the following additional equipment-specific information:
              (i) Whether the basic model is engineered-to-order; and
              (ii) For any basic model rated with an AEDM, whether the manufacturer elects the witness test option for verification testing. (See § 429.70(c)(5)(iii) for options). However, the manufacturer may not select more than 10% of AEDM-rated basic models.

              (4) Pursuant to § 429.12(b)(13), a certification report may include supplemental testing instructions in PDF format. If necessary to run a valid test, the equipment-specific, supplemental information must include any additional testing and testing set up instructions (e.g., specific operational or control codes or settings), which would be necessary to operate the basic model under the required conditions specified by the relevant test procedure. A manufacturer may also include with a certification report other supplementary items in PDF format (e.g., manuals) for DOE consideration in performing testing under subpart C of this part.
              [79 FR 25500, May 5, 2014, as amended at 80 FR 151, Jan. 5, 2015]

              § 429.42
              Commercial refrigerators, freezers, and refrigerator-freezers.
              (a) Determination of represented value. Manufacturers must determine the represented value, which includes the certified rating, for each basic model of commercial refrigerator, freezer, or refrigerator-freezer either by testing, in conjunction with the applicable sampling provisions, or by applying an AEDM.
              (1) Units to be tested. (i) If the represented value for a given basic model is determined through testing, the general requirements of § 429.11 are applicable; and
              (ii) For each basic model selected for testing, a sample of sufficient size shall be randomly selected and tested to ensure that—
              (A) Any represented value of energy consumption or other measure of energy use of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of:
              (1) The mean of the sample, where:

                ER31DE13.157

              And x

                 is the sample mean; n is the number of samples; and xi is the ith sample; or,

              (2) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.10, where:

                ER31DE13.158

              And x

                 is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95% one-tailed confidence interval with n-1 degrees of freedom (from Appendix A to subpart B of part 429); And,

              (B) Any represented value of the energy efficiency or other measure of energy consumption of a basic model for which consumers would favor higher values shall be less than or equal to the lower of:
              (1) The mean of the sample, where:

                ER31DE13.159

              And, x

                 is the sample mean; n is the number of samples; and xi is the ith sample; or,
              (2) The lower 95 percent confidence limit (LCL) of the true mean divided by 0.90, where:

                ER31DE13.160

              And x

                 is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95% one-tailed confidence interval with n-1 degrees of freedom (from Appendix A to subpart B of part 429).
              (2) Alternative efficiency determination methods. In lieu of testing, a represented value of efficiency or consumption for a basic model of commercial refrigerator, freezer or refrigerator-freezer must be determined through the application of an AEDM pursuant to the requirements of § 429.70 and the provisions of this section, where:
              (i) Any represented value of energy consumption or other measure of energy use of a basic model for which consumers would favor lower values shall be greater than or equal to the output of the AEDM and less than or equal to the Federal standard for that basic model; and
              (ii) Any represented value of energy efficiency or other measure of energy consumption of a basic model for which consumers would favor higher values shall be less than or equal to the output of the AEDM and greater than or equal to the Federal standard for that basic model.
              (b) Certification reports. (1) The requirements of § 429.12 are applicable to commercial refrigerators, freezers, and refrigerator-freezers; and
              (2) Pursuant to § 429.12(b)(13), a certification report must include the following public, equipment-specific information:
              (i) The daily energy consumption in kilowatt hours per day (kWh/day);
              (ii) The rating temperature (e.g. lowest product application temperature, if applicable) in degrees Fahrenheit ( °F); and
              (iii) The chilled or frozen compartment volume in cubic feet (ft3), the adjusted volume in cubic feet (ft3), or the total display area (TDA) in feet squared (ft2) (as appropriate for the equipment class).

              (3) Pursuant to § 429.12(b)(13), a certification report must include the following additional, equipment-specific information:

              (i) Whether the basic model is engineered-to-order; and
              (ii) For any basic model rated with an AEDM, whether the manufacturer elects the witness test option for verification testing. (See § 429.70(c)(5)(iii) for options). However, the manufacturer may not select more than 10% of AEDM-rated basic models.

              (4) Pursuant to § 429.12(b)(13), a certification report must include supplemental information submitted in PDF format. The equipment-specific, supplemental information must include any additional testing and testing set up instructions (e.g., charging instructions) for the basic model; identification of all special features that were included in rating the basic model; and all other information (e.g., any specific settings or controls) necessary to operate the basic model under the required conditions specified by the relevant test procedure. A manufacturer may also include with a certification report other supplementary items in PDF format (e.g., manuals) for DOE to consider when performing testing under subpart C of this part.
              [76 FR 12451, Mar. 7, 2011; 76 FR 24775, May 2, 2011, as amended at 76 FR 38292, June 30, 2011; 78 FR 79593, Dec. 31, 2013; 79 FR 22307, Apr. 21, 2014; 79 FR 25501, May 5, 2014; 80 FR 151, Jan. 5, 2015]

              § 429.43
              Commercial heating, ventilating, air conditioning (HVAC) equipment.
              (a) Determination of represented value. Manufacturers must determine the represented value, which includes the certified rating, for each basic model of commercial HVAC equipment either by testing, in conjunction with the applicable sampling provisions, or by applying an AEDM.
              (1) Units to be tested. (i) If the represented value is determined through testing, the general requirements of § 429.11 are applicable; and
              (ii) For each basic model selected for testing, a sample of sufficient size shall be randomly selected and tested to ensure that—
              (A) Any represented value of energy consumption or other measure of energy use of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of:
              (1) The mean of the sample, where:

                ER31DE13.161

              And, x

                 is the sample mean; n is the number of samples; and xi is the ith sample; or,
              (2) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.05, where:

                ER31DE13.162

              And x

                 is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95% one-tailed confidence interval with n-1 degrees of freedom (from Appendix A to subpart B of part 429). And,
              (B) Any represented value of energy efficiency or other measure of energy consumption of a basic model for which consumers would favor higher values shall be less than or equal to the lower of:
              (1) The mean of the sample, where:

                ER31DE13.163

              And, x

                 is the sample mean; n is the number of samples; and xi is the ith sample; or,

              (2) The lower 95 percent confidence limit (LCL) of the true mean divided by 0.95, where:

                ER31DE13.164

              And x

                 is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95% one-tailed confidence interval with n-1 degrees of freedom (from Appendix A to subpart B of part 429).

              (iii) For packaged terminal air conditioners and packaged terminal heat pumps, the represented value of cooling capacity shall be the average of the capacities measured for the sample selected as described in (a)(1)(ii) of this section, rounded to the nearest 100 Btu/h.
              (iv) For air-cooled commercial package air-conditioning and heating equipment, the represented value of cooling capacity must be a self-declared value corresponding to the nearest appropriate Btu/h multiple according to Table 4 of ANSI/AHRI 340/360-2007 (incorporated by reference; see § 429.4) that is no less than 95 percent of the mean of the capacities measured for the units in the sample selected as described in paragraph (a)(1)(ii) of this section.
              (2) Alternative efficiency determination methods. (i) In lieu of testing, a represented value of efficiency or consumption for a basic model of commercial HVAC equipment must be determined through the application of an AEDM pursuant to the requirements of § 429.70 and the provisions of this section, where:
              (A) Any represented value of energy consumption or other measure of energy use of a basic model for which consumers would favor lower values shall be greater than or equal to the output of the AEDM and less than or equal to the Federal standard for that basic model; and
              (B) Any represented value of energy efficiency or other measure of energy consumption of a basic model for which consumers would favor higher values shall be less than or equal to the output of the AEDM and greater than or equal to the Federal standard for that basic model.
              (ii) For air-cooled commercial package air-conditioning and heating equipment, the represented value of cooling capacity must be the cooling capacity output simulated by the AEDM as described in paragraph (a)(2) of this section.
              (b) Certification reports. (1) The requirements of § 429.12 are applicable to commercial HVAC equipment; and
              (2) Pursuant to § 429.12(b)(13), a certification report must include the following public equipment-specific information:
              (i) Commercial package air-conditioning equipment (except commercial package air conditioning equipment that is air-cooled with a cooling capacity less than 65,000 Btu/h):

              (A) When certifying compliance with an EER standard: the energy efficiency ratio (EER in British thermal units per Watt-hour (Btu/Wh)), the rated cooling capacity in British thermal units per hour (Btu/h), and the type(s) of heating used by the basic model (e.g., electric, gas, hydronic, none).

              (B) When certifying compliance with an IEER standard: the integrated energy efficiency ratio (IEER in British thermal units per Watt-hour (Btu/Wh)), the rated cooling capacity in British thermal units per hour (Btu/h), and the type(s) of heating used by the basic model (e.g., electric, gas, hydronic, none).
              (ii) Commercial package heating equipment (except commercial package heating equipment that is air-cooled with a cooling capacity less than 65,000 Btu/h):

              (A) When certifying compliance with an EER standard: the energy efficiency ratio (EER in British thermal units per Watt-hour (Btu/Wh)), the coefficient of performance (COP), the rated cooling capacity in British thermal units per hour (Btu/h), and the type(s) of heating used by the basic model (e.g., electric, gas, hydronic, none).

              (B) When certifying compliance an IEER standard: the integrated energy efficiency ratio (IEER in British thermal units per Watt-hour (Btu/Wh)), the coefficient of performance (COP), the rated cooling capacity in British thermal units per hour (Btu/h), and the type(s) of heating used by the basic model (e.g., electric, gas, hydronic, none).
              (iii) Commercial package air conditioning equipment that is air-cooled with a cooling capacity less than 65,000 Btu/h (3-Phase): The seasonal energy efficiency ratio (SEER in British thermal units per Watt-hour (Btu/Wh)), and the rated cooling capacity in British thermal units per hour (Btu/h).
              (iv) Commercial package heating equipment that is air-cooled with a cooling capacity less than 65,000 Btu/h (3-Phase): The seasonal energy efficiency ratio (SEER in British thermal units per Watt-hour (Btu/Wh)), the heating seasonal performance factor (HSPF in British thermal units per Watt-hour (Btu/Wh)), and the rated cooling capacity in British thermal units per hour (Btu/h).
              (v) Packaged terminal air conditioners: The energy efficiency ratio (EER in British thermal units per Watt-hour (Btu/Wh)), the rated cooling capacity in British thermal units per hour (Btu/h), the wall sleeve dimensions in inches (in), and the duration of the break-in period (hours).
              (vi) Packaged terminal heat pumps: The energy efficiency ratio (EER in British thermal units per Watt-hour (Btu/W-h)), the coefficient of performance (COP), the rated cooling capacity in British thermal units per hour (Btu/h), the wall sleeve dimensions in inches (in), and the duration of the break-in period (hours).
              (vii) Single package vertical air conditioners: The energy efficiency ratio (EER in British thermal units per Watt-hour (Btu/Wh)) and the rated cooling capacity in British thermal units per hour (Btu/h).
              (viii) Single package vertical heat pumps: The energy efficiency ratio (EER in British thermal units per Watt-hour (Btu/Wh)), the coefficient of performance (COP), and the rated cooling capacity in British thermal units per hour (Btu/h).
              (ix) Variable refrigerant flow multi-split air conditioners with rated cooling capacity less than 65,000 Btu/h (3-Phase): The seasonal energy efficiency ratio (SEER in British thermal units per Watt-hour (Btu/Wh)) and rated cooling capacity in British thermal units per hour (Btu/h).
              (x) Variable refrigerant flow multi-split heat pumps with rated cooling capacity less than 65,000 Btu/h (3-Phase): The seasonal energy efficiency ratio (SEER in British thermal units per Watt-hour (Btu/Wh)), the heating seasonal performance factor (HSPF in British thermal units per Watt-hour (Btu/Wh)), and rated cooling capacity in British thermal units per hour (Btu/h).
              (xi) Variable refrigerant flow multi-split air conditioners with rated cooling capacity greater than or equal to 65,000 Btu/h: The energy efficiency ratio (EER in British thermal units per Watt-hour (Btu/Wh)), rated cooling capacity in British thermal units per hour (Btu/h), and the type(s) of heating used by the basic model (e.g., electric, gas, hydronic, none).

              (xii) Variable refrigerant flow multi-split heat pumps with rated cooling capacity greater than or equal to 65,000 Btu/h: The energy efficiency ratio (EER in British thermal units per Watt-hour (Btu/Wh)), the coefficient of performance (COP), rated cooling capacity in British thermal units per hour (Btu/h), and the type(s) of heating used by the basic model (e.g., electric, gas, hydronic, none).

              (xiii) Water source variable refrigerant flow heat pumps (all rated cooling capacities): The energy efficiency ratio (EER in British thermal units per Watt-hour (Btu/Wh)), the coefficient of performance (COP), rated cooling capacity in British thermal units per hour (Btu/h), and the type(s) of heating used by the basic model (e.g., electric, gas, hydronic, none).
              (xiv) Computer room air-conditioners: The net sensible cooling capacity in British thermal units per hour (Btu/h), the net cooling capacity in British thermal units per hour (Btu/h), the configuration (upflow/downflow), economizer presence (yes or no), condenser medium (air, water, or glycol-cooled), sensible coefficient of performance (SCOP), and rated airflow in standard cubic feet per minute (SCFM).
              (xv) Water source heat pumps (other than variable refrigerant flow): The energy efficiency ratio (EER in British thermal units per Watt-hour (Btu/Wh)), the coefficient of performance (COP), the rated cooling capacity in British thermal units per hour (Btu/h), and the type(s) of heating used by the basic model (e.g., electric, gas, hydronic, none).
              (3) Pursuant to § 429.12(b)(13), a certification report must include the following additional equipment-specific information:
              (i) Whether the basic model is engineered-to-order; and
              (ii) For any basic model rated with an AEDM, whether the manufacturer elects the witness test option for verification testing. (See § 429.70(c)(5)(iii) for options). However, the manufacturer may not select more than 10% of AEDM-rated basic models.

              (4) Pursuant to § 429.12(b)(13), a certification report must include supplemental information submitted in PDF format. The equipment-specific, supplemental information must include any additional testing and testing set up instructions (e.g., charging instructions) for the basic model; identification of all special features that were included in rating the basic model; and all other information (e.g., operational codes or component settings) necessary to operate the basic model under the required conditions specified by the relevant test procedure. A manufacturer may also include with a certification report other supplementary items in PDF format (e.g., manuals) for DOE consideration in performing testing under subpart C of this part. The equipment-specific, supplemental information must include at least the following:

              (i) Commercial package air-conditioning equipment (except commercial package air conditioning equipment that is air-cooled with a cooling capacity less than 65,000 Btu/h): rated indoor airflow in standard cubic feet per minute (SCFM) for each fan coil; water flow rate in gallons per minute (gpm) for water-cooled units only; rated external static pressure in inches of water; frequency or control set points for variable speed components (e.g., compressors, VFDs); required dip switch/control settings for step or variable components; a statement whether the model will operate at test conditions without manufacturer programming; any additional testing instructions, if applicable; and if a variety of motors/drive kits are offered for sale as options in the basic model to account for varying installation requirements, the model number and specifications of the motor (to include efficiency, horsepower, open/closed, and number of poles) and the drive kit, including settings, associated with that specific motor that were used to determine the certified rating. When certifying compliance with an IEER standard, rated indoor airflow in SCFM for each part-load point used in the IEER calculation and any special instructions required to obtain operation at each part-load point, such as frequency or control set points for variable speed components (e.g., compressors, VFDs), dip switch/control settings for step or variable components, or any additional applicable testing instructions, are also required.

              (ii) Commercial package heating equipment (except commercial package heating equipment that is air-cooled with a cooling capacity less than 65,000 Btu/h): The rated heating capacity in British thermal units per hour (Btu/h); rated indoor airflow in standard cubic feet per minute (SCFM) for each fan coil (in cooling mode); rated airflow in SCFM for each fan coil in heating mode if the unit is designed to operate with different airflow rates for cooling and heating mode; water flow rate in gallons per minute (gpm) for water cooled units only; rated external static pressure in inches of water; frequency or control set points for variable speed components (e.g., compressors, VFDs); required dip switch/control settings for step or variable components; a statement whether the model will operate at test conditions without manufacturer programming; any additional testing instructions, if applicable; and if a variety of motors/drive kits are offered for sale as options in the basic model to account for varying installation requirements, the model number and specifications of the motor (to include efficiency, horsepower, open/closed, and number of poles) and the drive kit, including settings, associated with that specific motor that were used to determine the certified rating. When certifying compliance with an IEER standard, rated indoor airflow in SCFM for each part-load point used in the IEER calculation and any special instructions required to obtain operation at each part-load point, such as frequency or control set points for variable speed components (e.g., compressors, VFDs), dip switch/control settings for step or variable components, or any additional applicable testing instructions, are also required.
              (iii) Commercial package air conditioning equipment that is air-cooled with a cooling capacity less than 65,000 Btu/h (3-phase): The nominal cooling capacity in British thermal units per hour (Btu/h); rated airflow in standard cubic feet per minute (SCFM) for each fan coil; rated static pressure in inches of water; refrigeration charging instructions (e.g., refrigerant charge, superheat and/or subcooling temperatures); frequency or control set points for variable speed components (e.g., compressors, VFDs); required dip switch/control settings for step or variable components; a statement whether the model will operate at test conditions without manufacturer programming; any additional testing instructions, if applicable; if a variety of motors/drive kits are offered for sale as options in the basic model to account for varying installation requirements, the model number and specifications of the motor (to include efficiency, horsepower, open/closed, and number of poles) and the drive kit, including settings, associated with that specific motor that were used to determine the certified rating; and which, if any, special features were included in rating the basic model.
              (iv) Commercial package heating equipment that is air-cooled with a cooling capacity less than 65,000 Btu/h (3-phase): The nominal cooling capacity in British thermal units per hour (Btu/h); rated heating capacity in British thermal units per hour (Btu/h); rated airflow in standard cubic feet per minute (SCFM) for each fan coil; rated static pressure in inches of water; refrigeration charging instructions (e.g., refrigerant charge, superheat and/or subcooling temperatures); frequency or control set points for variable speed components (e.g., compressors, VFDs); required dip switch/control settings for step or variable components; a statement whether the model will operate at test conditions without manufacturer programming; any additional testing instructions, if applicable; if a variety of motors/drive kits are offered for sale as options in the basic model to account for varying installation requirements, the model number and specifications of the motor (to include efficiency, horsepower, open/closed, and number of poles) and the drive kit, including settings, associated with that specific motor that were used to determine the certified rating; and which, if any, special features were included in rating the basic model.

              (v) Variable refrigerant flow multi-split air conditioners with cooling capacity less than 65,000 Btu/h (3-phase): The nominal cooling capacity in British thermal units per hour (Btu/h); outdoor unit(s) and indoor units identified in the tested combination; components needed for heat recovery, if applicable; rated airflow in standard cubic feet per minute (SCFM) for each indoor unit; water flow rate in gallons per minute (gpm) for water-cooled units only; rated static pressure in inches of water; compressor frequency set points; required dip switch/control settings for step or variable components; a statement whether the model will operate at test conditions without manufacturer programming; any additional testing instructions, if applicable; if a variety of motors/drive kits are offered for sale as options in the basic model to account for varying installation requirements, the model number and specifications of the motor (to include efficiency, horsepower, open/closed, and number of poles) and the drive kit, including settings, associated with that specific motor that were used to determine the certified rating; and which, if any, special features were included in rating the basic model. Additionally, upon DOE request, the manufacturer must provide a layout of the system set-up for testing including charging instructions consistent with the installation manual.
              (vi) Variable refrigerant flow multi-split heat pumps with cooling capacity less than 65,000 Btu/h (3-phase): The nominal cooling capacity in British thermal units per hour (Btu/h); rated heating capacity in British thermal units per hour (Btu/h); outdoor unit(s) and indoor units identified in the tested combination; components needed for heat recovery, if applicable; rated airflow in standard cubic feet per minute (SCFM) for each indoor unit; water flow rate in gallons per minute (gpm) for water-cooled units only; rated static pressure in inches of water; compressor frequency set points; required dip switch/control settings for step or variable components; a statement whether the model will operate at test conditions without manufacturer programming; any additional testing instructions, if applicable; if a variety of motors/drive kits are offered for sale as options in the basic model to account for varying installation requirements, the model number and specifications of the motor (to include efficiency, horsepower, open/closed, and number of poles) and the drive kit, including settings, associated with that specific motor that were used to determine the certified rating; and which, if any, special features were included in rating the basic model. Additionally, upon DOE request, the manufacturer must provide a layout of the system set-up for testing including charging instructions consistent with the installation manual.
              (vii) Variable refrigerant flow multi-split air conditioners with cooling capacity greater than or equal to 65,000 Btu/h: The nominal cooling capacity in British thermal units per hour (Btu/h); outdoor unit(s) and indoor units identified in the tested combination; components needed for heat recovery, if applicable; rated airflow in standard cubic feet per minute (SCFM) for each indoor unit; water flow rate in gallons per minute (gpm) for water-cooled units only; rated static pressure in inches of water; compressor frequency set points; required dip switch/control settings for step or variable components; a statement whether the model will operate at test conditions without manufacturer programming; any additional testing instructions if applicable; if a variety of motors/drive kits are offered for sale as options in the basic model to account for varying installation requirements, the model number and specifications of the motor (to include efficiency, horsepower, open/closed, and number of poles) and the drive kit, including settings, associated with that specific motor that were used to determine the certified rating; and which, if any, special features were included in rating the basic model. Additionally, upon DOE request, the manufacturer must provide a layout of the system set-up for testing including charging instructions consistent with the installation manual.

              (viii) Variable refrigerant flow multi-split heat pumps with cooling capacity greater than or equal to 65,000 Btu/h: The nominal cooling capacity in British thermal units per hour (Btu/h); rated heating capacity in British thermal units per hour (Btu/h); outdoor unit(s) and indoor units identified in the tested combination; components needed for heat recovery, if applicable; rated airflow in standard cubic feet per minute (SCFM) for each indoor unit; water flow rate in gallons per minute (gpm) for water-cooled units only; rated static pressure in inches of water; compressor frequency set points; required dip switch/control settings for step or variable components; a statement whether the model will operate at test conditions without manufacturer programming; any additional testing instructions if applicable; if a variety of motors/drive kits are offered for sale as options in the basic model to account for varying installation requirements, the model number and specifications of the motor (to include efficiency, horsepower, open/closed, and number of poles) and the drive kit, including settings, associated with that specific motor that were used to determine the certified rating; and which, if any, special features were included in rating the basic model. Additionally, upon DOE request, the manufacturer must provide a layout of the system set-up for testing including charging instructions consistent with the installation manual.
              (ix) Water source variable refrigerant flow heat pumps: The nominal cooling capacity in British thermal units per hour (Btu/h); rated heating capacity in British thermal units per hour (Btu/h); rated airflow in standard cubic feet per minute (SCFM) for each indoor unit; water flow rate in gallons per minute (gpm); rated static pressure in inches of water; refrigeration charging instructions (e.g., refrigerant charge, superheat and/or subcooling temperatures); frequency set points for variable speed components (e.g., compressors, VFDs), including the required dip switch/control settings for step or variable components; a statement whether the model will operate at test conditions without manufacturer programming; any additional testing instructions if applicable; if a variety of motors/drive kits are offered for sale as options in the basic model to account for varying installation requirements, the model number and specifications of the motor (to include efficiency, horsepower, open/closed, and number of poles) and the drive kit, including settings, associated with that specific motor that were used to determine the certified rating; and which, if any, special features were included in rating the basic model. Additionally, upon DOE request, the manufacturer must provide a layout of the system set-up for testing including charging instructions consistent with the installation manual.
              (x) Water source heat pumps: The nominal cooling capacity in British thermal units per hour (Btu/h); rated heating capacity in British thermal units per hour (Btu/h); rated airflow in standard cubic feet per minute (SCFM) for each indoor unit; water flow rate in gallons per minute (gpm); rated static pressure in inches of water; refrigerant charging instructions, (e.g., refrigerant charge, superheat and/or subcooling temperatures); frequency set points for variable speed components (e.g., compressors, VFDs), including the required dip switch/control settings for step or variable components; a statement whether the model will operate at test conditions without manufacturer programming; any additional testing instructions if applicable; if a variety of motors/drive kits are offered for sale as options in the basic model to account for varying installation requirements, the model number and specifications of the motor (to include efficiency, horsepower, open/closed, and number of poles) and the drive kit, including settings, associated with that specific motor that were used to determine the certified rating; and which, if any, special features were included in rating the basic model.
              (xi) Single package vertical air conditioners: Any additional testing instructions, if applicable; if a variety of motors/drive kits are offered for sale as options in the basic model to account for varying installation requirements, the model number and specifications of the motor (to include efficiency, horsepower, open/closed, and number of poles) and the drive kit, including settings, associated with that specific motor that were used to determine the certified rating; and which, if any, special features were included in rating the basic model.

              (xii) Single package vertical heat pumps: Any additional testing instructions, if applicable; if a variety of motors/drive kits are offered for sale as options in the basic model to account for varying installation requirements, the model number and specifications of the motor (to include efficiency, horsepower, open/closed, and number of poles) and the drive kit, including settings, associated with that specific motor that were used to determine the certified rating; and which, if any, special features were included in rating the basic model.
              (xiii) Computer room air-conditioners: Any additional testing instructions, if applicable; and which, if any, special features were included in rating the basic model.
              (xiv) Package terminal air conditioners and package terminal heat pumps: Any additional testing instructions, if applicable.
              (c) Alternative methods for determining efficiency or energy use for commercial HVAC equipment can be found in § 429.70 of this subpart.
              [76 FR 12451, Mar. 7, 2011; 76 FR 24775, May 2, 2011, as amended at 78 FR 79594, Dec. 31, 2013; 79 FR 25501, May 5, 2014; 80 FR 151, Jan. 5, 2015; 80 FR 37147, June 30, 2015; 80 FR 79668, Dec. 23, 2015]

              § 429.44
              Commercial water heating equipment.
              (a) For residential-duty commercial water heaters, all represented values must be determined in accordance with § 429.17.
              (b) Determination of represented values for all types of commercial water heaters except residential-duty commercial water heaters. Manufacturers must determine the represented values, which includes the certified ratings, for each basic model of commercial water heating equipment except residential-duty commercial water heaters, either by testing, in conjunction with the applicable sampling provisions, or by applying an AEDM as set forth in § 429.70.
              (1) Units to be tested. If the represented value for a given basic model is determined through testing:
              (i) The general requirements of § 429.11 apply; and
              (ii) A sample of sufficient size must be randomly selected and tested to ensure that:
              (A) Any represented value of energy consumption or other measure of energy use of a basic model for which consumers would favor lower values must be greater than or equal to the higher of:
              (1) The mean of the sample, where:

                ER10NO16.008

              And, x is the sample mean; n is the number of samples; and xi is the ith sample; or,
              (2) The upper 95-percent confidence limit (UCL) of the true mean divided by 1.05, where:

                ER10NO16.009

              And x is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95-percent one-tailed confidence interval with n-1 degrees of freedom (from appendix A to subpart B of this part). And,
              (B) Any represented value of energy efficiency or other measure of energy consumption of a basic model for which consumers would favor higher values must be less than or equal to the lower of:
              (1) The mean of the sample, where:

                ER10NO16.010

              And, x is the sample mean; n is the number of samples; and xi is the ith sample; or,
              (2) The lower 95-percent confidence limit (LCL) of the true mean divided by 0.95, where:

                ER10NO16.011

              And x is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95-percent one-tailed confidence interval with n-1 degrees of freedom (from appendix A to subpart B of this part).
              (2) Alternative efficiency determination methods. In lieu of testing, a represented value of efficiency or consumption for a basic model must be determined through the application of an AEDM pursuant to the requirements of § 429.70 and the provisions of this section, where:
              (i) Any represented value of energy consumption or other measure of energy use of a basic model for which consumers would favor lower values must be greater than or equal to the output of the AEDM and less than or equal to the Federal standard for that basic model; and
              (ii) Any represented value of energy efficiency or other measure of energy consumption of a basic model for which consumers would favor higher values must be less than or equal to the output of the AEDM and greater than or equal to the Federal standard for that basic model.
              (3) Rated input. The rated input for a basic model reported in accordance with paragraph (c)(2) of this section must be the maximum rated input listed on the nameplate for that basic model.
              (c) Certification reports. For commercial water heating equipment other than residential-duty commercial water heaters:
              (1) The requirements of § 429.12 apply; and
              (2) Pursuant to § 429.12(b)(13), a certification report must include the following public equipment-specific information:
              (i) Commercial electric storage water heaters with storage capacity less than or equal to 140 gallons: The standby loss in percent per hour (%/h) and the measured storage volume in gallons (gal).
              (ii) Commercial gas-fired and oil-fired storage water heaters with storage capacity less than or equal to 140 gallons: The thermal efficiency in percent (%), the standby loss in British thermal units per hour (Btu/h), the rated storage volume in gallons (gal), and the rated input in British thermal units per hour (Btu/h).
              (iii) Commercial water heaters and hot water supply boilers with storage capacity greater than 140 gallons: The thermal efficiency in percent (%); whether the storage volume is greater than 140 gallons (Yes/No); whether the tank surface area is insulated with at least R-12.5 (Yes/No); whether a standing pilot light is used (Yes/No); for gas or oil-fired water heaters, whether the basic model has a fire damper or fan-assisted combustion (Yes/No); and, if applicable, pursuant to § 431.110 of this chapter, the standby loss in British thermal units per hour (Btu/h); the measured storage volume in gallons (gal); and the rated input in British thermal units per hour (Btu/h).

              (iv) Commercial gas-fired and oil-fired instantaneous water heaters with storage capacity greater than or equal to 10 gallons and gas-fired and oil-fired hot water supply boilers with storage capacity greater than or equal to 10 gallons: The thermal efficiency in percent (%); the standby loss in British thermal units per hour (Btu/h); the rated storage volume in gallons (gal); the rated input in British thermal units per hour (Btu/h); whether the water heater includes a storage tank with a storage volume greater than or equal to 10 gallons (Yes/No). For equipment that does not meet the definition of storage-type instantaneous water heaters (as set forth in 10 CFR 431.102), in addition to the requirements discussed previously in this paragraph (c)(2)(iv), the following must also be included in the certification report: whether the measured storage volume is determined using weight-based test in accordance with § 431.106 of this chapter or the calculation-based method in accordance with § 429.72; whether the water heater will initiate main burner operation based on a temperature-controlled call for heating that is internal to the water heater (Yes/No); whether the water heater is equipped with an integral pump purge functionality (Yes/No); if the water heater is equipped with integral pump purge, the default duration of the pump off delay (minutes).
              (v) Commercial gas-fired and oil-fired instantaneous water heaters with storage capacity less than 10 gallons and gas-fired and oil-fired hot water supply boilers with storage capacity less than 10 gallons: The thermal efficiency in percent (%); the rated storage volume in gallons (gal), the rated input in British thermal units per hour (Btu/h); and whether the measured storage volume is determined using weight-based test in accordance with § 431.106 of this chapter or the calculation-based method in accordance with § 429.72.

              (vi) Commercial unfired hot water storage tanks: The thermal insulation (i.e., R-value) and stored volume in gallons (gal).
              (3) Pursuant to § 429.12(b)(13), a certification report must include the following additional, equipment-specific information:
              (i) Whether the basic model is engineered-to-order; and
              (ii) For any basic model rated with an AEDM, whether the manufacturer elects the witness test option for verification testing. (See § 429.70(c)(5)(iii) for options.) However, the manufacturer may not select more than 10 percent of AEDM-rated basic models to be eligible for witness testing.

              (4) Pursuant to § 429.12(b)(13), a certification report may include supplemental testing instructions in PDF format. If necessary to run a valid test, the equipment-specific, supplemental information must include any additional testing and testing set-up instructions (e.g., whether a bypass loop was used for testing) for the basic model and all other information (e.g., operational codes or overrides for the control settings) necessary to operate the basic model under the required conditions specified by the relevant test procedure. A manufacturer may also include with a certification report other supplementary items in PDF format for DOE's consideration in performing testing under subpart C of this part. For example, for oil-fired commercial water heating equipment (other than residential-duty commercial water heaters): The allowable range for CO2 reading in percent (%) and the fuel pump pressure in pounds per square inch gauge (psig).
              (d) Certification reports for residential-duty commercial water heaters. (1) The requirements of § 429.12 apply; and
              (2) Pursuant to § 429.12(b)(13), a certification report for equipment must include the following public, equipment-specific information:
              (i) Residential-duty commercial gas-fired and oil-fired storage water heaters: The uniform energy factor (UEF, rounded to the nearest 0.01), the rated storage volume in gallons (gal, rounded to the nearest 1 gal), the first-hour rating in gallons (gal, rounded to the nearest 1 gal), and the recovery efficiency in percent (%, rounded to the nearest 1%).

              (ii) Residential-duty commercial electric instantaneous water heaters: The uniform energy factor (UEF, rounded to the nearest 0.01), the rated storage volume in gallons (gal, rounded to the nearest 1 gal), the maximum gallons per minute (gpm, rounded to the nearest 0.1 gpm), and the recovery efficiency in percent (%, rounded to the nearest 1%).
              (e) Alternative methods for determining efficiency or energy use for commercial water heating equipment can be found in § 429.70 of this subpart.
              [76 FR 12451, Mar. 7, 2011; 76 FR 24776, May 2, 2011, as amended at 78 FR 79594, Dec. 31, 2013; 79 FR 25504, May 5, 2014; 80 FR 151, Jan. 5, 2015; 79 FR 40565, July 11, 2014; 81 FR 79318, Nov. 10, 2016; 81 FR 96236, Dec. 29, 2016; 81 FR 96236, Dec. 29, 2016]

              § 429.45
              Automatic commercial ice makers.
              (a) Sampling plan for selection of units for testing. (1) The requirements of § 429.11 are applicable to automatic commercial ice makers; and
              (2) For each basic model of automatic commercial ice maker selected for testing, a sample of sufficient size shall be randomly selected and tested to ensure that—
              (i) Any represented value of maximum energy use or other measure of energy consumption of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of:
              (A) The mean of the sample, where:

                ER07MR11.105

              Or,
              (B) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.10, where:

                ER02MY11.076

              and
              (ii) Any represented value of the energy efficiency or other measure of energy consumption of a basic model for which consumers would favor higher values shall be less than or equal to the lower of:
              (A) The mean of the sample, where:

                ER07MR11.107

              Or,
              (B) The lower 95 percent confidence limit (LCL) of the true mean divided by 0.90, where:

                ER02MY11.077

              (b) Certification reports. (1) The requirements of § 429.12 are applicable to automatic commercial ice makers; and
              (2) Pursuant to § 429.12(b)(13), a certification report shall include the following public product-specific information: The maximum energy use in kilowatt hours per 100 pounds of ice (kWh/100 lbs ice), the maximum condenser water use in gallons per 100 pounds of ice (gal/100 lbs ice), the harvest rate in pounds of ice per 24 hours (lbs ice/24 hours), the type of cooling, and the equipment type.
              [76 FR 12451, Mar. 7, 2011; 76 FR 24776, May 2, 2011]

              § 429.46
              Commercial clothes washers.
              (a) Sampling plan for selection of units for testing. (1) The requirements of § 429.11 are applicable to commercial clothes washers; and
              (2) For each basic model of commercial clothes washers, a sample of sufficient size shall be randomly selected and tested to ensure that—
              (i) Any represented value of the water factor or other measure of energy or water consumption of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of:
              (A) The mean of the sample, where:

                ER07MR11.109

              Or,
              (B) The upper 971/2 percent confidence limit (UCL) of the true mean divided by 1.05, where:

                ER02MY11.078

              and
              (ii) Any represented value of the modified energy factor or other measure of energy or water consumption of a basic model for which consumers would favor higher values shall be greater than or equal to the higher of:
              (A) The mean of the sample, where:

                ER07MR11.111

              Or,
              (B) The lower 971/2 percent confidence limit (LCL) of the true mean divided by 0.95, where:

                ER02MY11.079

              (b) Certification reports. (1) The requirements of § 429.12 are applicable to commercial clothes washers; and
              (2) Pursuant to § 429.12(b)(13), a certification report shall include the following public product-specific information:
              (i) If testing was conducted using Appendix J1 to subpart B of part 430 of this chapter: The modified energy factor (MEF) in cubic feet per kilowatt hour per cycle (cu ft/kWh/cycle); and the water factor (WF) in gallons per cubic feet per cycle (gal/cu ft/cycle);

              (ii) If testing was conducted using Appendix J2 to subpart B of part 430 of this chapter: The modified energy factor (MEFJ2) in cu ft/kWh/cycle and the integrated water factor (IWF) in gal/cu ft/cycle.
              [76 FR 12451, Mar. 7, 2011; 76 FR 24777, May 2, 2011, as amended at 79 FR 71630, Dec. 3, 2014]

              § 429.47
              Distribution transformers.
              (a) Sampling plan for selection of units for testing. (1) The requirements of § 429.11 are applicable to distribution transformers; and
              (2) For each basic model of distribution transformer, efficiency must be determined either by testing, in accordance with § 431.193 and the provisions of this section, or by application of an AEDM that meets the requirements of § 429.70 and the provisions of this section.
              (i) For each basic model selected for testing:
              (A) If the manufacturer produces five or fewer units of a basic model over 6 months, each unit must be tested. A manufacturer may not use a basic model with a sample size of fewer than five units to substantiate an AEDM pursuant to § 429.70.
              (B) If the manufacturer produces more than five units over 6 months, a sample of at least five units must be selected and tested.
              (ii) Any represented value of efficiency of a basic model must satisfy the condition:

                ER07MR11.113

              (b) Certification reports. (1) The requirements of § 429.12 are applicable to distribution transformers except that required information in paragraph (b) of this section may be reported by kVA grouping instead of by basic model and paragraph (b)(6) of this section does not apply; and

              (2) Pursuant to § 429.12(b)(13), a certification report shall include the following public product-specific information: For the most and least efficient basic models within each “kVA grouping” for which part 431 prescribes an efficiency standard, the kVA rating, the insulation type (i.e., low-voltage dry-type, medium-voltage dry-type or liquid-immersed), the number of phases (i.e., single-phase or three-phase), and the basic impulse insulation level (BIL) group rating (for medium-voltage dry-types).
              (c) Alternative methods for determining efficiency or energy use for distribution transformers can be found in § 429.70 of this subpart.
              (d) Kilovolt ampere (kVA) grouping. As used in this section, a “kVA grouping” is a group of basic models which all have the same kVA rating, have the same insulation type (i.e., low-voltage dry-type, medium-voltage dry-type or liquid-immersed), have the same number of phases (i.e., single-phase or three-phase), and, for medium-voltage dry-types, have the same BIL group rating (i.e., 20-45 kV BIL, 46-95 kV BIL or greater than or equal to96 kV BIL).

              § 429.48
              Illuminated exit signs.
              (a) Sampling plan for selection of units for testing. (1) The requirements of § 429.11 are applicable to illuminated exit signs; and
              (2) For each basic model of illuminated exit sign selected for testing, a sample of sufficient size shall be randomly selected and tested to ensure that—
              (i) Any represented value of input power demand or other measure of energy consumption of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of:
              (A) The mean of the sample, where:

                ER07MR11.114

              Or,

              (B) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.10, where:

                ER02MY11.080

              and

              (ii) Any represented value of the energy efficiency or other measure of energy consumption of a basic model for which consumers would favor higher values shall be less than or equal to the lower of:
              (A) The mean of the sample, where:

                ER07MR11.116

              Or,

              (B) The lower 95 percent confidence limit (LCL) of the true mean divided by 0.90, where:

                ER02MY11.081

              (b) Certification reports. (1) The requirements of § 429.12 are applicable to illuminated exit signs; and
              (2) Pursuant to § 429.12(b)(13), a certification report shall include the following public product-specific information: The input power demand in watts (W) and the number of faces.
              [76 FR 12451, Mar. 7, 2011; 76 FR 24778, May 2, 2011]

              § 429.49
              Traffic signal modules and pedestrian modules.
              (a) Sampling plan for selection of units for testing. (1) The requirements of § 429.11 are applicable to traffic signal modules and pedestrian modules; and
              (2) For each basic model of traffic signal module or pedestrian module selected for testing, a sample of sufficient size shall be randomly selected and tested to ensure that—
              (i) Any represented value of estimated maximum and nominal wattage or other measure of energy consumption of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of:
              (A) The mean of the sample, where:

                ER07MR11.118

              Or,

              (B) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.10, where:

                ER02MY11.082

              and

              (ii) Any represented value of the energy efficiency or other measure of energy consumption of a basic model for which consumers would favor higher values shall be less than or equal to the lower of:
              (A) The mean of the sample, where:

                ER07MR11.120

              Or,

              (B) The lower 95 percent confidence limit (LCL) of the true mean divided by 0.90, where:

                ER02MY11.083

              (b) Certification reports. (1) The requirements of § 429.12 are applicable to traffic signal modules and pedestrian modules; and

              (2) Pursuant to § 429.12(b)(13), a certification report shall include the following public product-specific information: The maximum wattage at 74 degrees Celsius (°C) in watts (W), the nominal wattage at 25 degrees Celsius (°C) in watts (W), and the signal type.
              [76 FR 12451, Mar. 7, 2011; 76 FR 24778, May 2, 2011]

              § 429.50
              Commercial unit heaters.
              (a) Sampling plan for selection of units for testing. (1) The requirements of § 429.11 are applicable to commercial unit heaters; and
              (2) [Reserved]
              (b) Certification reports. (1) The requirements of § 429.12 are applicable to commercial unit heaters; and
              (2) Pursuant to § 429.12(b)(13), a certification report shall include the following public product-specific information: The type of ignition system and a declaration that the manufacturer has incorporated the applicable design requirements.

              § 429.51
              Commercial pre-rinse spray valves.
              (a) Sampling plan for selection of units for testing. (1) The requirements of § 429.11 apply to commercial prerinse spray valves; and
              (2) For each basic model of commercial prerinse spray valve, a sample of sufficient size must be randomly selected and tested to ensure that any represented value of flow rate must be greater than or equal to the higher of:
              (i) The mean of the sample, where:

                ER30DE15.002

                and, x is the sample mean;
                n is the number of samples; and
                xi is the ith sample; Or,

              (ii) The upper 95-percent confidence limit (UCL) of the true mean divided by 1.10, where:

                ER30DE15.003

                and, x is the sample mean;
                s is the sample standard deviation;
                n is the number of samples; and
                t0.95 is the t statistic for a 95-percent two-tailed confidence interval with n-1 degrees of freedom (from Appendix A of this subpart).

              (b) Certification reports. (1) The requirements of § 429.12 are applicable to commercial prerinse spray valves; and
              (2) Pursuant to § 429.12(b)(13), a certification report must include the following public product-specific information: The flow rate, in gallons per minute (gpm), rounded to the nearest 0.01 gpm, and the corresponding spray force, in ounce-force (ozf), rounded to the nearest 0.1 ozf.
              [76 FR 12451, Mar. 7, 2011; 76 FR 24779, May 2, 2011, as amended at 78 FR 62986, Oct. 23, 2013; 80 FR 81453, Dec. 30, 2015; 81 FR 4801, Jan. 27, 2016]

              § 429.52
              Refrigerated bottled or canned beverage vending machines.
              (a) Sampling plan for selection of units for testing. (1) The requirements of § 429.11 are applicable to refrigerated bottled or canned beverage vending machine; and
              (2) For each basic model of refrigerated bottled or canned beverage vending machine selected for testing, a sample of sufficient size shall be randomly selected and tested to ensure that—
              (i) Any represented value of energy consumption or other measure of energy consumption of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of:
              (A) The mean of the sample, where:

                ER07MR11.126

              Or,

              (B) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.10, where:

                ER02MY11.086

              and

              (ii) Any represented value of the energy efficiency or other measure of energy consumption of a basic model for which consumers would favor higher values shall be less than or equal to the lower of:
              (A) The mean of the sample, where:

                ER07MR11.128

              Or,

              (B) The lower 95 percent confidence limit (LCL) of the true mean divided by 0.90, where:

                ER02MY11.087

              (3) The representative value of refrigerated volume of a basic model reported in accordance with paragraph (b)(2) of this section shall be the mean of the refrigerated volumes measured for each tested unit of the basic model and determined in accordance with the test procedure in § 431.296.
              (b) Certification reports. (1) The requirements of § 429.12 are applicable to refrigerated bottled or canned beverage vending machine; and
              (2) Pursuant to § 429.12(b)(13), a certification report must include the following additional public, equipment-specific information:
              (i) When using appendix A of subpart Q of part 431of this chapter, the daily energy consumption in kilowatt hours per day (kWh/day), the refrigerated volume (V) in cubic feet (ft3), whether testing was conducted with payment mechanism in place and operational, and, if applicable, the lowest application product temperature in degrees Fahrenheit ( °F), if applicable.
              (ii) When using appendix B of subpart Q of part 431of this chapter, the daily energy consumption in kilowatt hours per day (kWh/day), the refrigerated volume (V) in cubic feet (ft3), whether testing was conducted with payment mechanism in place and operational, whether testing was conducted using an accessory low power mode, whether rating was based on the presence of a refrigeration low power mode, and, if applicable, the lowest application product temperature in degrees Fahrenheit ( °F).
              [76 FR 12451, Mar. 7, 2011; 76 FR 24779, May 2, 2011, as amended at 76 FR 38292, June 30, 2011; 80 FR 45792, July 31, 2015; 81 FR 1112, Jan. 8, 2016]

              § 429.53
              Walk-in coolers and walk-in freezers.
              (a) Determination of represented value. (1) The requirements of § 429.11 apply to walk-in coolers and walk-in freezers; and
              (2) For each basic model of walk-in cooler and walk-in freezer refrigeration system, the annual walk-in energy factor (AWEF) must be determined either by testing, in accordance with § 431.304 of this chapter and the provisions of this section, or by application of an AEDM that meets the requirements of § 429.70 and the provisions of this section.
              (i) Applicable test procedure. If the AWEF is determined by testing, refer to the following for the appropriate test procedure to use:
              (A) Unit cooler test procedure. For unit coolers tested alone, use the test procedure in 10 CFR part 431, subpart R, appendix C. Follow the general testing provisions in appendix C, sections 3.1 and 3.2, and the equipment-specific provisions in appendix C, section 3.3.
              (B) Dedicated condensing unit test procedure. For dedicated condensing units tested alone, use the test procedure in 10 CFR part 431, subpart R, appendix C. Follow the general testing provisions in appendix C, sections 3.1 and 3.2, and the product-specific provisions in appendix C, section 3.4. Outdoor dedicated condensing refrigeration systems that are also designated for use in indoor applications must be tested and certified as both an outdoor dedicated condensing refrigeration system and indoor dedicated condensing refrigeration system.
              (C) Single-Package dedicated system test procedure. For single-package dedicated systems, use the test procedure in 10 CFR part 431, subpart R, appendix C. Follow the general testing provisions in appendix C, sections 3.1 and 3.2, and the product-specific provisions in appendix C, section 3.3.
              (D) Matched refrigeration system test procedure. For matched refrigeration systems, use the test procedure in 10 CFR part 431, subpart R, appendix C. Follow the general testing provisions in appendix C, sections 3.1 and 3.2, and the product-specific provisions in appendix C, section 3.3. It is not necessary to rate a matched refrigeration system if the constituent unit cooler(s) and dedicated condensing unit have been tested and rated as specified paragraphs (a)(2)(i)(A) and (B) of this section, respectively. However, if a manufacturer wishes to represent the efficiency of the matched refrigeration system as distinct from the efficiency of either constituent component, or if the manufacturer cannot rate one or both of the constituent components using the specified method, the manufacturer must test and certify the matched refrigeration system as specified in this paragraph (a)(2)(i)(D).
              (ii) Units to be tested. (A) If the represented value for a given refrigeration system basic model is determined through testing, the general requirements of § 429.11 apply; and

              (B) For each basic model, a sample of sufficient size shall be randomly selected and tested to ensure that any represented value of AWEF or other measure of energy efficiency of a basic model for which consumers would favor higher values shall be less than or equal to the lower of:
              (1) The mean of the sample, where:

                ER28DE16.000

              And x

                 is the sample mean; n is the number of samples; and xi is the ith sample, or,
              (2) The lower 95 percent confidence limit (LCL) of the true mean divided by 0.95, where:

                ER28DE16.001

              And x

                 is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95% one-tailed confidence interval with n-1 degrees of freedom (from appendix A to subpart B).
              (C) The represented value of net capacity shall be the average of the capacities measured for the sample selected.
              (iii) Alternative efficiency determination methods. In lieu of testing, pursuant to the requirements of § 429.70 and the provisions of this section, a represented value of AWEF for a basic model of a walk-in cooler or walk-in freezer refrigeration system may be determined through the application of an AEDM, where:
              (A) Any represented value of AWEF or other measure of energy efficiency of a basic model for which consumers would favor higher values shall be less than or equal to the output of the AEDM and greater than or equal to the Federal standard for that basic model.
              (B) The represented value of net capacity must be the net capacity simulated by the AEDM.
              (3) For each basic model of walk-in cooler and walk-in freezer panel, display door, and non-display door, the R-value and/or energy consumption must be determined by testing, in accordance with § 431.304 of this chapter and the provisions of this section.
              (i) Applicable test procedure. Refer to the following for the appropriate test procedure:
              (A) Display door test procedure. For determining the energy consumption and rated surface area in square feet, use the test procedure in 10 CFR part 431, subpart R, appendix A.
              (B) Non-display door test procedure. For determining the energy consumption and rated surface area in square feet, use the test procedure in 10 CFR part 431, subpart R, appendix A. For determining the R-value, use the test procedure in 10 CFR part 431, subpart R, appendix B.
              (C) Panel test procedure. For determining the R-value, use the test procedure in 10 CFR part 431, subpart R, appendix B.
              (ii) Units to be tested. (A) The general requirements of § 429.11 apply; and
              (B) For each basic model, a sample of sufficient size shall be randomly selected and tested to ensure that—
              (1) Any represented value of door energy consumption or other measure of energy use of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of:
              (i) The mean of the sample, where:

                ER28DE16.002

              And x

                 is the sample mean; n is the number of samples; and xi is the ith sample, or,
              (ii) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.05, where:

                ER28DE16.003

              And x

                 is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95% one-tailed confidence interval with n-1 degrees of freedom (from appendix A to subpart B).
              (2) Any represented R-value or other measure of energy efficiency of a basic model for which consumers would favor higher values shall be less than or equal to the lower of:
              (i) The mean of the sample, where:

                ER28DE16.004

              And x~ is the sample mean; n is the number of samples; and xi is the ith sample, or,
              (ii) The lower 95 percent confidence limit (LCL) of the true mean divided by 0.95, where:

                ER28DE16.005

              And x~ is the sample mean; s is the sample standard deviation; n is the number of samples; and t 0.95 is the statistic for a 95% one-tailed confidence interval with n-1 degree of freedom (from appendix A to subpart B).
              (b) Certification reports. (1) The requirements of § 429.12 apply to manufacturers of walk-in cooler and walk-in freezer panels, doors, and refrigeration systems, and;
              (2) Pursuant to § 429.12(b)(13), a certification report must include the following public product-specific information:

              (i) For doors: The door type, R-value of the door insulation, and a declaration that the manufacturer has incorporated the applicable design requirements. In addition, for those walk-in coolers and walk-in freezers with transparent reach-in doors and windows, the glass type of the doors and windows (e.g., double-pane with heat reflective treatment, triple-pane glass with gas fill), and the power draw of the antisweat heater in watts per square foot of door opening must also be included.

              (ii) For walk-in cooler and walk-in freezer panels: The R-value of the insulation.

              (iii) For walk-in cooler and walk-in freezer refrigeration systems: The installed motor's functional purpose (i.e., evaporator fan motor or condenser fan motor), its rated horsepower, and a declaration that the manufacturer has incorporated the applicable walk-in-specific design requirements into the motor.
              (3) Pursuant to § 429.12(b)(13), starting on June 5, 2017, a certification report must include the following public product-specific information in addition to the information listed in paragraph (b)(2) of this section:
              (i) For walk-in cooler and walk-in freezer doors: The door energy consumption and rated surface area in square feet.

              (ii) For refrigeration systems that are medium-temperature dedicated condensing units, medium-temperature single-package dedicated systems, or medium-temperature matched systems: The refrigeration system AWEF, net capacity, the configuration tested for certification (e.g., condensing unit only, unit cooler only, single-package dedicated system, or matched-pair), and if an indoor dedicated condensing unit is also certified as an outdoor dedicated condensing unit and, if so, the basic model number for the outdoor dedicated condensing unit.
              (4) Pursuant to § 429.12(b)(13), starting on June 5, 2017, a certification report must include the following product-specific information in addition to the information listed in paragraphs (b)(2) and (3) of this section:
              (i) For walk-in cooler and walk-in freezer doors: the rated power of each light, heater wire, and/or other electricity consuming device associated with each basic model of display and non-display door; and whether such device(s) has a timer, control system, or other demand-based control reducing the device's power consumption.

              (5) When certifying compliance to the AWEF refrigeration standards for WICF refrigeration systems except those specified in (b)(3)(ii) of this section, a certification report must include the following public product-specific information in addition to the information listed in paragraph (b)(2) of this section: For refrigeration systems that are low-temperature dedicated condensing units, low-temperature matched systems, low-temperature single-package dedicated systems, or medium and low-temperature unit coolers: The refrigeration system AWEF, net capacity, the configuration tested for certification (e.g., condensing unit only, unit cooler only, single-package dedicated system, or matched-pair), and if an indoor dedicated condensing unit is also certified as an outdoor dedicated condensing unit and, if so, the basic model number for the outdoor dedicated condensing unit.
              [81 FR 95799, Dec. 28, 2016]

              § 429.54
              Metal halide lamp ballasts and fixtures.
              (a) Sampling plan for selection of units for testing. (1) The requirements of § 429.11 are applicable to metal halide lamp ballasts; and
              (2) For each basic model of metal halide lamp ballast selected for testing, a sample of sufficient size, not less than four, shall be selected at random and tested to ensure that:

              (i) Any represented value of estimated energy efficiency calculated as the measured output power to the lamp divided by the measured input power to the ballast (Pout/Pin), of a basic model is less than or equal to the lower of:
              (A) The mean of the sample, where:

                ER07MR11.130

              Or,

              (B) The lower 99-percent confidence limit (LCL) of the true mean divided by 0.99.

                ER02AU11.090

              And x is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.99 is the t statistic for a 99% two-tailed confidence interval with n-1 degrees of freedom (from appendix A).
              (b) Certification reports. (1) The requirements of § 429.12 are applicable to metal halide lamp ballasts; and

              (2) Pursuant to § 429.12(b)(13), a certification report shall include the following public product-specific information: The minimum ballast efficiency in percent (%), the lamp wattage in watts (W), and the type of ballast (e.g., pulse-start, magnetic probe-start, and non-pulse start electronic).
              [76 FR 12451, Mar. 7, 2011; 76 FR 24780, May 2, 2011; 76 FR 46202, Aug. 2, 2011]

              § 429.56
              Integrated light-emitting diode lamps.
              (a) Determination of Represented Value. Manufacturers must determine the represented value, which includes the certified rating, for each basic model of integrated light-emitting diode lamps by testing, in conjunction with the sampling provisions in this section.
              (1) Units to be tested.

              (i) The general requirements of § 429.11 (a) are applicable except that the sample must be comprised of production units; and
              (ii) For each basic model of integrated light-emitting diode lamp, the minimum number of units tested must be no less than 10 and the same sample comprised of the same units must be used for testing all metrics. If more than 10 units are tested as part of the sample, the total number of units must be a multiple of two. For each basic model, a sample of sufficient size must be randomly selected and tested to ensure that:
              (A) Represented values of initial lumen output, lamp efficacy, color rendering index (CRI), power factor, or other measure of energy consumption of a basic model for which consumers would favor higher values are less than or equal to the lower of:
              (1) The mean of the sample, where:

                ER01JY16.009

              and, x

                 is the sample mean; n is the number of units; and xi is the measured value for the ith unit; Or,
              (2) The lower 99 percent confidence limit (LCL) of the true mean divided by 0.96; or the lower 99 percent confidence limit (LCL) of the true mean divided by 0.98 for CRI and power factor, where:

                ER01JY16.010

              and, x

                 is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.99 is the t statistic for a 99 percent one-tailed confidence interval with n-1 degrees of freedom (from appendix A to this subpart).

              (B) Represented values of input power, standby mode power or other measure of energy consumption of a basic model for which consumers would favor lower values are greater than or equal to the higher of:
              (1) The mean of the sample, where:

                ER01JY16.011

              and, x

                 is the sample mean; n is the number of units; and xi is the measured value for the ith unit;
              Or,
              (2) The upper 99 percent confidence limit (UCL) of the true mean divided by 1.02, where:

                ER01JY16.012

              and, x

                 is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.99 is the t statistic for a 99 percent one-tailed confidence interval with n-1 degrees of freedom (from appendix A to this subpart);

              (C) Represented values of correlated color temperature (CCT) of a basic model must be equal to the mean of the sample, where:

                ER01JY16.013

              and, x

                 is the sample mean; n is the number of units in the sample; and xi is the measured CCT for the ith unit.

              (D) The represented value of lifetime of an integrated light-emitting diode lamp must be equal to or less than the median time to failure of the sample (calculated as the arithmetic mean of the time to failure of the two middle sample units when the numbers are sorted in value order) rounded to the nearest hour.
              (2) The represented value of life (in years) of an integrated light-emitting diode lamp must be calculated by dividing the lifetime of an integrated light-emitting diode lamp by the estimated annual operating hours as specified in 16 CFR 305.15(b)(3)(iii).
              (3) The represented value of estimated annual energy cost for an integrated light-emitting diode lamp, expressed in dollars per year, must be the product of the input power in kilowatts, an electricity cost rate as specified in 16 CFR 305.15(b)(1)(ii), and an estimated average annual use as specified in 16 CFR 305.15(b)(1)(ii).
              (b) Certification reports. (1) The requirements of § 429.12 are applicable to integrated light-emitting diode lamps;

              (2) Values reported in certification reports are represented values. Pursuant to § 429.12(b)(13), a certification report must include the following public product-specific information: The testing laboratory's NVLAP identification number or other NVLAP-approved accreditation identification, the date of manufacture, initial lumen output in lumens (lm), input power in watts (W), lamp efficacy in lumens per watt (lm/W), CCT in kelvin (K), power factor, lifetime in years (and whether value is estimated), and life (and whether value is estimated). For lamps with multiple modes of operation (such as variable CCT or CRI), the certification report must also list which mode was selected for testing and include detail such that another laboratory could operate the lamp in the same mode. Lifetime and life are estimated values until testing is complete. When reporting estimated values, the certification report must specifically describe the prediction method, which must be generally representative of the methods specified in appendix BB. Manufacturers are required to maintain records per § 429.71 of the development of all estimated values and any associated initial test data.
              (c) Rounding requirements. (1) Round input power to the nearest tenth of a watt.
              (2) Round lumen output to three significant digits.
              (3) Round lamp efficacy to the nearest tenth of a lumen per watt.
              (4) Round correlated color temperature to the nearest 100 Kelvin.
              (5) Round color rendering index to the nearest whole number.
              (6) Round power factor to the nearest hundredths place.
              (7) Round lifetime to the nearest whole hour.
              (8) Round standby mode power to the nearest tenth of a watt.
              [81 FR 43425, July 1, 2016]

              § 429.57
              General service lamps.
              (a) Determination of represented value. Manufacturers must determine represented values, which includes certified ratings, for each basic model of general service lamp in accordance with following sampling provisions.
              (1) The requirements of § 429.11 are applicable to general service lamps, and
              (2) For general service incandescent lamps, use § 429.27(a);
              (3) For compact fluorescent lamps, use § 429.35(a);
              (4) For integrated LED lamps, use § 429.56(a);
              (5) For other incandescent lamps, use § 429.27(a);
              (6) For other fluorescent lamps, use § 429.35(a); and
              (7) For OLED lamps and non-integrated LED lamps, use § 429.56(a).
              (b) Certification reports. (1) The requirements of § 429.12 are applicable to general service lamps;
              (2) Values reported in certification reports are represented values;
              (3) For general service incandescent lamps, use § 429.27(b);
              (4) For compact fluorescent lamps, use § 429.35(b);
              (5) For integrated LED lamps, use § 429.56(b); and
              (6) For other incandescent lamps, for other fluorescent lamps, for OLED lamps and non-integrated LED lamps, pursuant to § 429.12(b)(13), a certification report must include the following public product-specific information: The testing laboratory's ILAC accreditation body's identification number or other approved identification assigned by the ILAC accreditation body, initial lumen output, input power, lamp efficacy, and power factor. For non-integrated LED lamps, the certification report must also include the input voltage and current used for testing.
              (c) Rounding requirements. (1) Round input power to the nearest tenth of a watt.
              (2) Round initial lumen output to three significant digits.
              (3) Round lamp efficacy to the nearest tenth of a lumen per watt.
              (4) Round power factor to the nearest hundredths place.
              (5) Round standby mode power to the nearest tenth of a watt.
              [81 FR 72503, Oct. 20, 2016]

              § 429.58
              Furnace fans.
              (a) Sampling plan for selection of units for testing. (1) The requirements of § 429.11 are applicable to furnace fans; and

              (2) For each basic model of furnace fan within the scope of appendix AA of subpart B of part 430, a sample of sufficient size shall be randomly selected and tested to ensure that any represented value of fan energy rating (FER), rounded to the nearest integer, shall be greater than or equal to the higher of:
              (i) The mean of the sample, where:

                ER03JA14.005

              And, x
                 is the sample mean; n is the number of samples; and x
                i is the measured value for the ith sample; Or,
              (ii) The upper 90 percent confidence limit (UCL) of the true mean divided by 1.05, where:

                ER03JA14.006

              And x
                 is the sample mean; s is the sample standard deviation; n is the number of samples; and t
                0.90 is the t statistic for a 90% one-tailed confidence interval with n-1 degrees of freedom (from Appendix A).
              (b) Certification reports. (1) The requirements of § 429.12 are applicable to residential furnace fans; and

              (2) Pursuant to § 429.12(b)(13), a certification report shall include the following public product-specific information: The fan energy rating (FER) in watts per thousand cubic feet per minute (W/1000 cfm); the calculated maximum airflow at the reference system external static pressure (ESP) in cubic feet per minute (cfm); the control system configuration for achieving the heating and constant-circulation airflow-control settings required for determining FER as specified in the furnace fan test procedure (10 CFR part 430, subpart B, appendix AA); the measured steady-state gas, oil, or electric heat input rate (QIN) in the heating setting required for determining FER; and for modular blowers, the manufacturer and model number of the electric heat resistance kit with which it is equipped for certification testing.
              [79 FR 520, Jan. 3, 2014, as amended at 79 FR 38208, July 3, 2014]

              § 429.59
              Pumps.
              (a) Determination of represented value. Manufacturers must determine the represented value, which includes the certified rating, for each basic model by testing (which includes the calculation-based methods in the test procedure), in conjunction with the following sampling provisions. Manufacturers must update represented values to account for any change in the applicable motor standards in § 431.25 of this chapter and certify amended values as of the next annual certification.
              (1) Units to be tested. The requirements of § 429.11 are applicable to pumps; and for each basic model, a sample of sufficient size shall be randomly selected and tested to ensure that—
              (i) Any value of the constant or variable load pump energy index or other measure of energy consumption must be greater than or equal to the higher of:
              (A) The mean of the sample, where:

                ER25JA16.025

              and x

                 is the sample mean; n is the number of samples; and xi is the maximum of the ith sample;
              Or,
              (B) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.05, where:

                ER25JA16.026

              and x

                 is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95 percent one-tailed confidence interval with n-1 degrees of freedom (from appendix A to subpart B of part 429);
              and
              (ii) Any representation of weighted energy factor of a basic model must be less than or equal to the lower of:
              (A) The mean of the sample, where:

                ER07AU17.008

              And x is the sample mean; n is the number of samples; and xi is the maximum of the ith sample; or,
              (B) The lower 95 percent confidence limit (LCL) of the true mean divided by 0.95, where:

                ER07AU17.009

              And x is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95 percent one-tailed confidence interval with n-1 degrees of freedom (from appendix A of this subpart).
              (2) Other representations—(i) Rated hydraulic horsepower. The representative value of rated hydraulic horsepower of a basic model of dedicated-purpose pool pump must be the mean of the rated hydraulic horsepower for each tested unit.
              (ii) Dedicated-purpose pool pump motor total horsepower. The representative value of dedicated-purpose pool pump motor total horsepower of a basic model of dedicated-purpose pool pump must be the mean of the dedicated-purpose pool pump motor total horsepower for each tested unit.
              (iii) True power factor (PF
                i
                ). The representative value of true power factor at each load point i of a basic model of dedicated-purpose pool pump must be the mean of the true power factors at that load point for each tested unit of dedicated-purpose pool pump.
              (b) Certification reports. (1) The requirements of § 429.12 are applicable to pumps; and
              (2) Pursuant to § 429.12(b)(13), a certification report must include the following public product-specific information:

              (i) For a pump subject to the test methods prescribed in section III of appendix A to subpart Y of part 431 of this chapter: PEICL; pump total head in feet (ft.) at BEP and nominal speed; volume per unit time (flow rate) in gallons per minute (gpm) at BEP and nominal speed; the nominal speed of rotation in revolutions per minute (rpm); calculated driver power input at each load point i (P
                in
                i), corrected to nominal speed, in horsepower (hp); full impeller diameter in inches (in.); and for RSV and ST pumps, the number of stages tested.

              (ii) For a pump subject to the test methods prescribed in section IV or V of appendix A to subpart Y of part 431 of this chapter: PEICL; pump total head in feet (ft.) at BEP and nominal speed; volume per unit time (flow rate) in gallons per minute (gpm) at BEP and nominal speed; the nominal speed of rotation in revolutions per minute (rpm); driver power input at each load point i (P
                in
                i), corrected to nominal speed, in horsepower (hp); full impeller diameter in inches (in.); whether the PEICL is calculated or tested; and for RSV and ST pumps, number of stages tested.

              (iii) For a pump subject to the test methods prescribed in section VI or VII of appendix A to subpart Y of part 431 of this chapter: PEIVL; pump total head in feet (ft.) at BEP and nominal speed; volume per unit time (flow rate) in gallons per minute (gpm) at BEP and nominal speed; the nominal speed of rotation in revolutions per minute (rpm); driver power input (measured as the input power to the driver and controls) at each load point i (P
                in
                i), corrected to nominal speed, in horsepower (hp); full impeller diameter in inches (in.); whether the PEIVL is calculated or tested; and for RSV and ST pumps, the number of stages tested.

              (iv) For a dedicated-purpose pool pump subject to the test methods prescribed in § 431.464(b) of this chapter: weighted energy factor (WEF) in kilogallons per kilowatt-hour (kgal/kWh); rated hydraulic horsepower in horsepower (hp); the speed configuration for which the pump is being rated (i.e., single-speed, two-speed, multi-speed, or variable-speed); true power factor at all applicable test procedure load points i (dimensionless), as specified in Table 1 of appendix B or C to subpart Y of part 431 of this chapter, as applicable; dedicated-purpose pool pump nominal motor horsepower in horsepower (hp); dedicated-purpose pool pump motor total horsepower in horsepower (hp); dedicated-purpose pool pump service factor (dimensionless); for self-priming pool filter pumps, non-self-priming pool filter pumps, and waterfall pumps: The maximum head (in feet) which is based on the mean of the units in the tested sample; a statement regarding whether freeze protection is shipped enabled or disabled; for dedicated-purpose pool pumps distributed in commerce with freeze protection controls enabled: The default dry-bulb air temperature setting (in °F), default run time setting (in minutes), and default motor speed (in rpm); for self-priming pool filter pumps a statement regarding whether the pump is certified with NSF/ANSI 50-2015 (incorporated by reference, see § 429.4) as self-priming; and, for self-priming pool filter pumps that are not certified with NSF/ANSI 50-2015 as self-priming: The vertical lift (in feet) and true priming time (in minutes) for the DPPP model.
              (v) For integral cartridge-filter and sand-filter pool pumps, the maximum run-time (in hours) of the pool pump control with which the integral cartridge-filter or sand-filter pump is distributed in commerce.
              (3) Pursuant to § 429.12(b)(13), a certification report may include the following public product-specific information:

              (i) For a pump subject to the test methods prescribed in section III of appendix A to subpart Y of part 431 of this chapter: Pump efficiency at BEP in percent (%) and PERCL.

              (ii) For a pump subject to the test methods prescribed in section IV or V of appendix A to subpart Y of part 431 of this chapter: Pump efficiency at BEP in percent (%) and PERCL.

              (iii) For a pump subject to the test methods prescribed in section VI or VII of appendix A to subpart Y of part 431 of this chapter: Pump efficiency at BEP in percent (%) and PERVL.

              (iv) For a dedicated-purpose pool pump subject to the test methods prescribed in § 431.464(b) of this chapter: Calculated driver power input and flow rate at each load point i (Pi and Qi), in horsepower (hp) and gallons per minute (gpm), respectively.

              (4) Pursuant to § 429.12(b)(13), a certification report will include the following product-specific information:

              (i) For a pump subject to the test methods prescribed in section III of appendix A to subpart Y of part 431 of this chapter: The pump configuration (i.e., bare pump); and for ST pumps, the bowl diameter in inches (in.).

              (ii) For a pump subject to the test methods prescribed in section IV or V of appendix A to subpart Y of part 431 of this chapter: The pump configuration (i.e., pump sold with an electric motor); for pumps sold with electric motors regulated by DOE's energy conservation standards for electric motors at § 431.25, the nominal motor efficiency in percent (%) and the motor horsepower (hp) for the motor with which the pump is being rated; and for ST pumps, the bowl diameter in inches (in.).

              (iii) For a pump subject to the test methods prescribed in section VI or VII of appendix A to subpart Y of part 431 of this chapter: The pump configuration (i.e., pump sold with a motor and continuous or non-continuous controls); for pumps sold with electric motors regulated by DOE's energy conservation standards for electric motors at § 431.25, the nominal motor efficiency in percent (%) and the motor horsepower (hp) for the motor with which the pump is being rated; and for ST pumps, the bowl diameter in inches (in.).
              (c) Individual model numbers. (1) For a pump subject to the test methods prescribed in appendix A to subpart Y of part 431 of this chapter, each individual model number required to be reported pursuant to § 429.12(b)(6) must consist of the following:

                  Equipment configuration(as distributed in commerce)

                  Basic model number
                  Individual model number(s)
                  1
                  2
                  3

                  Bare pump
                  Number unique to the basic model
                  Bare pump
                  N/A
                  N/A.

                  Bare pump with driver
                  Number unique to the basic model
                  Bare pump
                  Driver
                  N/A.

                  Bare pump with driver and controls
                  Number unique to the basic model
                  Bare pump
                  Driver
                  Controls.

              (2) Or must otherwise provide sufficient information to identify the specific driver model and/or controls model(s) with which a bare pump is distributed.
              [81 FR 4144, Jan. 25, 2016, as amended at 81 FR 4430, Jan. 26, 2016; 82 FR 36918, Aug. 7, 2017]

              § 429.60
              Commercial packaged boilers.
              (a) Determination of represented value. Manufacturers must determine the represented value, which includes the certified rating, for each basic model of commercial packaged boilers either by testing in accordance with § 431.86 of this chapter, in conjunction with the applicable sampling provisions, or by applying an AEDM.
              (1) Units to be tested. (i) If the represented value is determined through testing, the general requirements of § 429.11 are applicable, except that, if the represented value is determined through testing pursuant to § 431.86(c) of this chapter, the number of units selected for testing may be one; and
              (ii) For each basic model selected for testing, a sample of sufficient size shall be randomly selected and tested to ensure that—
              (A) Any represented value of energy consumption or other measure of energy use of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of:
              (1) The mean of the sample, where:

                ER05MY14.004

              and, x

                 is the sample mean; n is the number of samples; and xi is the ith sample; Or,
              (2) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.05, where:

                ER05MY14.005

              And x

                 is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95% one-tailed confidence interval with n−1 degrees of freedom (from Appendix A to subpart B of part 429). And,
              (B) Any represented value of energy efficiency or other measure of energy consumption of a basic model for which consumers would favor higher values shall be less than or equal to the lower of:
              (1) The mean of the sample, where:

                ER05MY14.006

              and, x

                 is the sample mean; n is the number of samples; and xi is the ith sample; Or,
              (2) The lower 95 percent confidence limit (LCL) of the true mean divided by 0.95, where:

                ER05MY14.007

              And x

                 is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95% one-tailed confidence interval with n−1 degrees of freedom (from Appendix A to subpart B of part 429).
              (2) Alternative efficiency determination methods. In lieu of testing, a represented value of efficiency or consumption for a basic model of commercial packaged boiler must be determined through the application of an AEDM pursuant to the requirements of § 429.70 and the provisions of this section, where:
              (i) Any represented value of energy consumption or other measure of energy use of a basic model for which consumers would favor lower values shall be greater than or equal to the output of the AEDM and less than or equal to the Federal standard for that basic model; and
              (ii) Any represented value of energy efficiency or other measure of energy consumption of a basic model for which consumers would favor higher values shall be less than or equal to the output of the AEDM and greater than or equal to the Federal standard for that basic model.

              (3) The rated input for a basic model reported in accordance with paragraph (b)(2) of this section must be the maximum rated input listed on the nameplate and in manufacturer literature for the commercial packaged boiler basic model. In the case where the nameplate and the manufacturer literature are not identical, DOE will use the nameplate on the unit for determining the rated input.

              (4) For a model of commercial packaged boiler capable of supplying either steam or hot water, representative values for steam mode must be based on efficiency in steam mode and representative values for hot water mode must be based on either the efficiency in hot water mode or steam mode in accordance with the test procedure in § 431.86 of this chapter and the provisions of this section.
              (b) Certification reports. (1) The requirements of § 429.12 are applicable to commercial packaged boilers; and
              (2) Pursuant to § 429.12(b)(13), a certification report must include the following public, equipment-specific information:
              (i) If oil-fired, the manufacturer (including brand, if applicable) and model number of the burner;
              (ii) The rated input in British thermal units per hour (Btu/h);
              (iii) The combustion efficiency in percent (%) to the nearest tenth of one percent or thermal efficiency in percent (%) to the nearest one tenth of one percent, as specified in § 431.87 of this chapter; and
              (iv) For a basic model of commercial packaged boiler that cannot be tested using the standard inlet temperatures required in appendix A to subpart E of part 431, the average inlet water temperature measured at Point B in Figure C9 of ANSI/AHRI Standard 1500-2015 (incorporated by reference, see § 429.4) at which the model was tested.
              (3) Pursuant to § 429.12(b)(13), a certification report must include the following additional equipment-specific information:
              (i) Whether the basic model is engineered-to-order; and
              (ii) For any basic model rated with an AEDM, whether the manufacturer elects the witness test option for verification testing. (See § 429.70(c)(5)(iii) for options). However, the manufacturer may not select more than 10% of AEDM-rated basic models to be eligible for witness testing.
              (iii) For basic models of commercial packaged boilers that have a rated input greater than 5,000,000 Btu/h, a declaration about whether the certified efficiency rating is based on testing conducted pursuant to § 431.86(c) of this chapter.

              (4) Pursuant to § 429.12(b)(13), a certification report may include supplemental testing instructions in PDF format. If necessary to run a valid test, the equipment-specific, supplemental information must include any additional testing and testing set up instructions (e.g., specific operational or control codes or settings), which would be necessary to operate the basic model under the required conditions specified by the relevant test procedure. A manufacturer may also include with a certification report other supplementary items in PDF format (e.g., manuals) for DOE consideration in performing testing under subpart C of this part.
              (5) Any field tested pursuant to § 431.86(c) of this chapter basic model of a commercial packaged boiler that has not been previously certified through testing or an AEDM must be certified within 15 days of commissioning.
              (c) Alternative methods for determining efficiency or energy use for commercial packaged boilers can be found in § 429.70.
              [79 FR 25504, May 5, 2014, as amended at 80 FR 151, Jan. 5, 2015; 81 FR 89303, Dec. 9, 2016]

              § 429.61
              Consumer miscellaneous refrigeration products.
              (a) Sampling plan for selection of units for testing. (1) The requirements of § 429.11 are applicable to miscellaneous refrigeration products; and
              (2) For each basic model of miscellaneous refrigeration product, a sample of sufficient size shall be randomly selected and tested to ensure that—
              (i) Any represented value of estimated annual operating cost, energy consumption, or other measure of energy consumption of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of:
              (A) The mean of the sample, where:

                ER18JY16.000

              And, x is the sample mean; n is the number of samples; and xi is the ith sample; or
              (B) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.10, where:

                ER18JY16.001

              And x is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95% one-tailed confidence interval with n-1 degrees of freedom (from appendix A of this subpart).
              and
              (ii) Any represented value of the energy factor or other measure of energy consumption of a basic model for which consumers would favor higher values shall be less than or equal to the lower of:
              (A) The mean of the sample, where:

                ER18JY16.002

              And, x is the sample mean; n is the number of samples; and xi is the ith sample; or
              (B) The lower 95 percent confidence limit (LCL) of the true mean divided by 0.90, where:

                ER18JY16.003

              And x is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95% one-tailed confidence interval with n-1 degrees of freedom (from appendix A of this subpart).
              (3) The value of total refrigerated volume of a basic model reported in accordance with paragraph (b)(2) of this section shall be the mean of the total refrigerated volumes measured for each tested unit of the basic model or the total refrigerated volume of the basic model as calculated in accordance with § 429.72(d). The value of adjusted total volume of a basic model reported in accordance with paragraph (b)(2) of this section shall be the mean of the adjusted total volumes measured for each tested unit of the basic model or the adjusted total volume of the basic model as calculated in accordance with § 429.72(d).
              (b) Certification reports. (1) The requirements of § 429.12 are applicable to miscellaneous refrigeration products; and

              (2) Pursuant to § 429.12(b)(13), a certification report must include the following public product-specific information: The annual energy use in kilowatt hours per year (kWh/yr); the total refrigerated volume in cubic feet (cu ft) and the total adjusted volume in cubic feet (cu ft).

              (3) Pursuant to § 429.12(b)(13), a certification report coolers or combination cooler refrigeration products shall include the following additional product-specific information: Whether the basic model has variable defrost control (in which case, manufacturers must also report the values, if any, of CTL and CTM (for an example, see section 5.2.1.3 in appendix A to subpart B of part 430 of this chapter) used in the calculation of energy consumption), whether the basic model has variable anti-sweat heater control (in which case, manufacturers must also report the values of heater Watts at the ten humidity levels 5%, 15%, through 95% used to calculate the variable anti-sweat heater “Correction Factor”), and whether testing has been conducted with modifications to the standard temperature sensor locations specified by the figures referenced in section 5.1 of appendix A to subpart B of part 430 of this chapter.
              (c) Rounding requirements for representative values, including certified and rated values. (1) The represented value of annual energy use must be rounded to the nearest kilowatt hour per year.
              (2) The represented value of total refrigerated volume must be rounded to the nearest 0.1 cubic foot.
              (3) The represented value of adjusted total volume must be rounded to the nearest 0.1 cubic foot.
              (d) Product category determination. Each basic model of miscellaneous refrigeration product must be certified according to the appropriate product category as defined in § 430.2 based on compartment volumes and compartment temperatures.
              (1) Compartment volumes used to determine product category shall be the mean of the measured compartment volumes for each tested unit of the basic model according to the provisions in section 5.3 of appendix A to subpart B of part 430 of this chapter, or the compartment volumes of the basic model as calculated in accordance with § 429.72(d); and
              (2) Compartment temperatures used to determine product category shall be the mean of the measured compartment temperatures at the coldest setting for each tested unit of the basic model according to the provisions section 5.1 of appendix A to subpart B of part 430 of this chapter. For cooler compartments with temperatures below 39 °F (3.9 °C) but no lower than 37 °F (2.8 °C), the compartment temperatures used to determine product category shall also include the mean of the measured compartment temperatures at the warmest setting for each tested unit of the basic model according to the provisions section 5.1 of appendix A to subpart B of part 430 of this chapter.
              [81 FR 46790, July 18, 2016]

              § 429.62
              Portable air conditioners.
              (a) Sampling plan for selection of units for testing. (1) The requirements of § 429.11 are applicable to portable air conditioners; and
              (2) For each basic model of portable air conditioner, a sample of sufficient size must be randomly selected and tested to ensure that—
              (i) Any represented value of energy consumption or other measure of energy consumption of a basic model for which consumers would favor lower values is greater than or equal to the higher of:
              (A) The mean of the sample:

                ER01JN16.001

                Where:

                  x
                   is the sample mean;

                xi is the ith sample; and
                n is the number of units in the test sample.

              Or,
              (B) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.10:

                ER01JN16.002

                Where:

                  x
                   is the sample mean;
                s is the sample standard deviation;
                n is the number of units in the test sample; and
                t0.95 is the t statistic for a 95% one-tailed confidence interval with n-1 degrees of freedom.

              And,
              (ii) Any represented value of the combined energy efficiency ratio or other measure of energy consumption of a basic model for which consumers would favor higher values is less than or equal to the lower of:
              (A) The mean of the sample:

                ER01JN16.003

                Where:

                  x
                   is the sample mean;
                xi is the ith sample; and
                n is the number of units in the test sample.

              Or,
              (B) The lower 95 percent confidence limit (LCL) of the true mean divided by 0.90:

                ER01JN16.004

                Where:

                  x
                   is the sample mean;
                s is the sample standard deviation;
                n is the number of units in the test sample; and
                t0.95 is the t statistic for a 95% one-tailed confidence interval with n-1 degrees of freedom.

              And,
              (3) The value of seasonally adjusted cooling capacity of a basic model must be the mean of the seasonally adjusted cooling capacities for each tested unit of the basic model. Round the mean seasonally adjusted cooling capacity value to the nearest 50, 100, 200, or 500 Btu/h, depending on the magnitude of the calculated seasonally adjusted cooling capacity, in accordance with Table 1 of ANSI/AHAM PAC-1-2015, (incorporated by reference, see § 429.4), “Multiples for reporting Dual Duct Cooling Capacity, Single Duct Cooling Capacity, Spot Cooling Capacity, Water Cooled Condenser Capacity and Power Input Ratings.”
              (4) Round the value of combined energy efficiency ratio of a basic model to the nearest 0.1 Btu/Wh.
              (5) Single-duct and dual-duct portable air conditioners distributed in commerce by the manufacturer with multiple duct configuration options that meet DOE's definitions for single-duct portable AC and dual-duct portable AC, must be rated and certified under both applicable duct configurations.
              (b) Certification reports. [Reserved]
              [81 FR 35264, June 1, 2016]

              § 429.63
              Compressors.
              (a) Determination of represented value. Manufacturers must determine the represented value, which includes the certified rating, for each basic model of compressor either by testing in conjunction with the applicable sampling provisions or by applying an AEDM.
              (1) Units to be tested. (i) If the represented value is determined through testing, the general requirements of § 429.11 apply; and
              (ii) For each basic model selected for testing, a sample of sufficient size must be randomly selected and tested to ensure that—
              (A) Measures of energy efficiency. Any represented value of the full- or part-load package isentropic efficiency or other measure of energy efficiency of a basic model for which customers would favor higher values is less than or equal to the lower of:
              (1) The mean of the sample, where:

                ER04JA17.007

              And x is the sample mean; n is the number of samples; and xi is the measured value for the ith sample; or,
              (2) The lower 95 percent confidence limit (LCL) of the true mean divided by 0.95, where:

                ER04JA17.008

              And x is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95 percent one-tailed confidence interval with n−1 degrees of freedom (from appendix A of this subpart); and
              (B) Package specific power. The representative value(s) of package specific power of a basic model must be the mean of the package specific power measurement(s) for each tested unit of the basic model.
              (2) Alternative efficiency determination methods. In lieu of testing, any represented value of efficiency, consumption, or other non-energy metrics listed in paragraph (a)(3) of this section for a basic model may be determined through the application of an AEDM pursuant to the requirements of § 429.70 and the provisions of this section, where:
              (i) Any represented values of package isentropic efficiency or other measure of energy consumption of a basic model for which customers would favor higher values must be less than or equal to the output of the AEDM; and
              (ii) Any represented values of package specific power, pressure ratio at full-load operating pressure, full-load actual volume flow rate, or full-load operating pressure must be the output of the AEDM corresponding to the represented value of package isentropic efficiency determined in paragraph (a)(2)(i) of this section.
              (3) Representations of non-energy metrics—(i) Full-load actual volume flow rate. The representative value of full-load actual volume flow rate of a basic model must be either—
              (A) The mean of the full-load actual volume flow rate for the units in the sample; or
              (B) As determined through the application of an AEDM pursuant to the requirements of § 429.70.
              (ii) Full-load operating pressure. The representative value of full-load operating pressure of a basic model must be less than or equal to the maximum full-flow operating pressure and greater than or equal to the lesser of—
              (A) 90 percent of the maximum full-flow operating pressure; or
              (B) 10 psig less than the maximum full-flow operating pressure, where the maximum full-flow operating pressure must either be determined as the mean of the maximum full-flow operating pressure values for the units in the sample or through the application of an AEDM pursuant to the requirements of § 429.70.
              (iii) Pressure ratio at full-load operating pressure. The representative value of pressure ratio at full-load operating pressure of a basic model must be either be determined as the mean of the pressure ratio at full-load operating pressure for the units in the sample or through the application of an AEDM pursuant to the requirements of § 429.70.
              (b) [Reserved]
              [82 FR 1099, Jan. 4, 2017]

              § 429.70
              Alternative methods for determining energy efficiency and energy use.
              (a) General applicability of an AEDM. A manufacturer of covered products or covered equipment explicitly authorized to use an AEDM in §§ 429.14 through 429.62 may not distribute any basic model of such equipment in commerce unless the manufacturer has determined the energy efficiency of the basic model, either from testing the basic model in conjunction with DOE's certification sampling plans and statistics or from applying an alternative method for determining energy efficiency or energy use (AEDM) to the basic model, in accordance with the requirements of this section. In instances where a manufacturer has tested a basic model, the manufacturer may not knowingly use an AEDM to overrate the efficiency (or underrate the consumption) of the model.
              (b) Testing. Testing for each covered product or covered equipment must be done in accordance with the sampling plan provisions established in § 429.11 and the testing procedures in parts 430 and 431 of this chapter.
              (c) Alternative efficiency determination method (AEDM) for commercial HVAC (includes commercial warm air furnaces and commercial packaged boilers), WH, and refrigeration equipment—(1) Criteria an AEDM must satisfy. A manufacturer may not apply an AEDM to a basic model to determine its efficiency pursuant to this section unless:
              (i) The AEDM is derived from a mathematical model that estimates the energy efficiency or energy consumption characteristics of the basic model as measured by the applicable DOE test procedure;
              (ii) The AEDM is based on engineering or statistical analysis, computer simulation or modeling, or other analytic evaluation of performance data; and
              (iii) The manufacturer has validated the AEDM, in accordance with paragraph (c)(2) of this section with basic models that meet the current Federal energy conservation standards.
              (2) Validation of an AEDM. Before using an AEDM, the manufacturer must validate the AEDM's accuracy and reliability as follows:
              (i) The manufacturer must select at least the minimum number of basic models for each validation class specified in paragraph (c)(2)(iv) of this section to which the particular AEDM applies. Using the AEDM, calculate the energy use or efficiency for each of the selected basic models. Test a single unit of each selected basic model in accordance with paragraph (c)(2)(iii) of this section. Compare the results from the single unit test and the AEDM energy use or efficiency output according to paragraph (c)(2)(ii) of this section. The manufacturer is responsible for ensuring the accuracy and reliability of the AEDM.
              (ii) Individual model tolerances. (A) For those covered products with an energy-efficiency metric, the predicted efficiency for each model calculated by applying the AEDM may not be more than five percent greater than the efficiency determined from the corresponding test of the model.

              (B) For those covered products with an energy-consumption metric, the predicted energy consumption for each model, calculated by applying the AEDM, may not be more than five percent less than the energy consumption determined from the corresponding test of the model.

              (C) For all covered products, the predicted energy efficiency or consumption for each model calculated by applying the AEDM must meet or exceed the applicable federal energy conservation performance standard.
              (D) An AEDM that is validated based on test results obtained from one or more field tests (pursuant to § 431.86(c)) can only be used to certify the performance of basic models of commercial packaged boilers with a certified rated input greater than 5,000,000 Btu/h.
              (iii) Additional test unit requirements. (A) Each AEDM must be supported by test data obtained from physical tests of current models; and
              (B) Test results used to validate the AEDM must meet or exceed current, applicable Federal standards as specified in part 431 of this chapter; and
              (C) Each test must have been performed in accordance with the DOE test procedure specified in parts 430 or 431 of this chapter or test procedure waiver for which compliance is required at the time the basic model is distributed in commerce.
              (iv) Validation classes.

                  Validation class
                  Minimum number of distinct models that must be tested per AEDM

                  Air-Cooled, Split and Packaged Air Conditioners (ACs) and Heat Pumps (HPs) less than 65,000 Btu/h Cooling Capacity (3-Phase)
                  2 Basic Models.

                  (A) Commercial HVAC validation classes

                  Air-Cooled, Split and Packaged ACs and HPs greater than or equal to 65,000 Btu/h Cooling Capacity and Less than 760,000 Btu/h Cooling Capacity
                  2 Basic Models.

                  Water-Cooled, Split and Packaged ACs and HPs, All Cooling Capacities
                  2 Basic Models.

                  Evaporatively-Cooled, Split and Packaged ACs and HPs, All Capacities
                  2 Basic Models.

                  Water-Source HPs, All Capacities
                  2 Basic Models.

                  Single Package Vertical ACs and HPs
                  2 Basic Models.

                  Packaged Terminal ACs and HPs
                  2 Basic Models.

                  Air-Cooled, Variable Refrigerant Flow ACs and HPs
                  2 Basic Models.

                  Water-Cooled, Variable Refrigerant Flow ACs and HPs
                  2 Basic Models.

                  Computer Room Air Conditioners, Air Cooled
                  2 Basic Models.

                  Computer Room Air Conditioners, Water-Cooled
                  2 Basic Models.

                  (B) Commercial water heater validation classes

                  Gas-fired Water Heaters and Hot Water Supply Boilers Less than 10 Gallons
                  2 Basic Models.

                  Gas-fired Water Heaters and Hot Water Supply Boilers Greater than or Equal to 10 Gallons
                  2 Basic Models.

                  Oil-fired Water Heaters and Hot Water Supply Boilers Less than 10 Gallons
                  2 Basic Models.

                  Oil-fired Water Heaters and Hot Water Supply Boilers Greater than or Equal to 10 Gallons
                  2 Basic Models.

                  Electric Water Heaters
                  2 Basic Models.

                  Heat Pump Water Heaters
                  2 Basic Models.

                  Unfired Hot Water Storage Tanks
                  2 Basic Models.

                  (C) Commercial packaged boilers validation classes

                  Gas-fired, Hot Water Only Commercial Packaged Boilers
                  2 Basic Models.

                  Gas-fired, Steam Only Commercial Packaged Boilers
                  2 Basic Models.

                  Gas-fired Hot Water/Steam Commercial Packaged Boilers
                  2 Basic Models.

                  Oil-fired, Hot Water Only Commercial Packaged Boilers
                  2 Basic Models.

                  Oil-fired, Steam Only Commercial Packaged Boilers
                  2 Basic Models.

                  Oil-fired Hot Water/Steam Commercial Packaged Boilers
                  2 Basic Models.

                  (D) Commercial furnace validation classes

                  Gas-fired Furnaces
                  2 Basic Models.

                  Oil-fired Furnaces
                  2 Basic Models.

                  (E) Commercial refrigeration equipment validation classes

                  Self-Contained Open Refrigerators
                  2 Basic Models.

                  Self-Contained Open Freezers
                  2 Basic Models.

                  Remote Condensing Open Refrigerators
                  2 Basic Models.

                  Remote Condensing Open Freezers
                  2 Basic Models.

                  Self-Contained Closed Refrigerators
                  2 Basic Models.

                  Self-Contained Closed Freezers
                  2 Basic Models.

                  Remote Condensing Closed Refrigerators
                  2 Basic Models.

                  Remote Condensing Closed Freezers
                  2 Basic Models.

                  1 The minimum number of tests indicated above must be comprised of a transparent model, a solid model, a vertical model, a semi-vertical model, a horizontal model, and a service-over-the counter model, as applicable based on the equipment offering. However, manufacturers do not need to include all types of these models if it will increase the minimum number of tests that need to be conducted.

              (3) AEDM records retention requirements. If a manufacturer has used an AEDM to determine representative values pursuant to this section, the manufacturer must have available upon request for inspection by the Department records showing:
              (i) The AEDM, including the mathematical model, the engineering or statistical analysis, and/or computer simulation or modeling that is the basis of the AEDM;
              (ii) Product information, complete test data, AEDM calculations, and the statistical comparisons from the units tested that were used to validate the AEDM pursuant to paragraph (c)(2) of this section; and
              (iii) Product information and AEDM calculations for each basic model to which the AEDM has been applied.
              (4) Additional AEDM requirements. If requested by the Department and at DOE's discretion, the manufacturer must perform at least one of the following:
              (i) Conduct simulations before representatives of the Department to predict the performance of particular basic models of the product to which the AEDM was applied;
              (ii) Provide analyses of previous simulations conducted by the manufacturer; or
              (iii) Conduct certification testing of basic models selected by the Department.
              (5) AEDM verification testing. DOE may use the test data for a given individual model generated pursuant to § 429.104 to verify the certified rating determined by an AEDM as long as the following process is followed:
              (i) Selection of units. DOE will obtain units for test from retail, where available. If units cannot be obtained from retail, DOE will request that a unit be provided by the manufacturer;
              (ii) Lab requirements. DOE will conduct testing at an independent, third-party testing facility of its choosing. In cases where no third-party laboratory is capable of testing the equipment, it may be tested at a manufacturer's facility upon DOE's request.
              (iii) Manufacturer participation. (A) Except when testing variable refrigerant flow systems (which are governed by the rules found at § 431.96(f)), testing will be completed without a manufacturer representative on-site. In limited instances further described in paragraph (c)(5)(iii)(B) of this section, a manufacturer and DOE representative may be present to witness the test set-up.
              (B) A manufacturer's representative may request to be on-site to witness the test set-up if:
              (1) The installation manual for the basic model specifically requires it to be started only by a factory-trained installer; or
              (2) The manufacturer has elected, as part of the certification of that basic model, to have the opportunity to witness the test set-up. A manufacturer may elect to witness the test set-up for the initial verification test for no more than 10 percent of the manufacturer's basic models submitted for certification and rated with an AEDM per validation class specified in section (c)(2)(iv) of this paragraph. The 10-percent limit applies to all of the eligible basic models submitted for certification by a given manufacturer no matter how many AEDMs a manufacturer has used to develop its ratings. The 10-percent limit is determined by first calculating 10 percent of the total number of basic models rated with an AEDM per validation class, and then truncating the resulting product. Manufacturers who have submitted fewer than 10 basic models rated with an AEDM for certification may elect to have the opportunity to witness the test set-up of one basic model. A manufacturer must identify the basic models it wishes to witness as part of its certification report(s) prior to the basic model being selected for verification testing.
              (3) In those instances in which a manufacturer has not provided the required information as specified in § 429.12(b)(13) for a given basic model that has been rated and certified as compliant with the applicable standards, a manufacturer is precluded from witnessing the testing set up for that basic model.
              (C) A DOE representative will be present for the test set-up in all cases where a manufacturer representative requests to be on-site for the test set-up. The manufacturer's representative cannot communicate with a lab representative outside of the DOE representative's presence.
              (D) If DOE has obtained through retail channels a unit for test that meets either of the conditions in paragraph (c)(5)(iii)(B) of this section, DOE will notify the manufacturer that the basic model was selected for testing and that the manufacturer may have a representative present for the test set-up. If the manufacturer does not respond within five calendar days of receipt of that notification, the manufacturer waives the option to be present for test set-up, and DOE will proceed with the test set-up without a manufacturer's representative present.
              (E) If DOE has obtained directly from the manufacturer a unit for test that meets either of the conditions in paragraph (c)(5)(iii)(B) of this section, DOE will notify the manufacturer of the option to be present for the test set-up at the time the unit is purchased. DOE will specify the date (not less than five calendar days) by which the manufacturer must notify DOE whether a manufacturer's representative will be present. If the manufacturer does not notify DOE by the date specified, the manufacturer waives the option to be present for the test set-up, and DOE will proceed with the test set-up without a manufacturer's representative present.

              (F) DOE will review the certification submissions from the manufacturer that were on file as of the date DOE purchased a basic model (under paragraph (c)(5)(iii)(D) of this section) or the date DOE notifies the manufacturer that the basic model has been selected for testing (under paragraph (c)(5)(iii)(E) of this section) to determine if the manufacturer has indicated that it intends to witness the test set-up of the selected basic model. DOE will also verify that the manufacturer has not exceeded the allowable limit of witness testing selections as specified in paragraph (c)(5)(iii)(B)(2) of this section. If DOE discovers that the manufacturer exceeded the limits specified in paragraph (c)(5)(iii)(B)(2), DOE will notify the manufacturer of this fact and deny its request to be present for the test set-up of the selected basic model. The manufacturer must update its certification submission to ensure it has not exceeded the allowable limit of witness testing selections as specified in paragraph (c)(5)(iii)(B)(2) to be present at set-up for future selections. At this time DOE will also review the supplemental PDF submission(s) for the selected basic model to determine that all necessary information has been provided to the Department.
              (G) If DOE determines, pursuant to paragraph (c)(5)(ii) of this section, that the model should be tested at the manufacturer's facility, a DOE representative will be present on site to observe the test set-up and testing with the manufacturer's representative. All testing will be conducted at DOE's direction, which may include DOE-contracted personnel from a third-party lab, as well as the manufacturer's technicians.
              (H) As further explained in paragraph (c)(5)(v)(B) of this section, if a manufacturer's representative is present for the initial test set-up for any reason, the manufacturer forfeits any opportunity to request a retest of the basic model. Furthermore, if the manufacturer requests to be on-site for test set-up pursuant to paragraph (c)(5)(iii)(B) of this section but is not present on site, the manufacturer forfeits any opportunity to request a retest of the basic model.
              (iv) Testing. At no time during verification testing may the lab and the manufacturer communicate without DOE authorization. All verification testing will be conducted in accordance with the applicable DOE test procedure, as well as each of the following to the extent that they apply:
              (A) Any active test procedure waivers that have been granted for the basic model;
              (B) Any test procedure guidance that has been issued by DOE;
              (C) The installation and operations manual that is shipped with the unit;
              (D) Any additional information that was provided by the manufacturer at the time of certification (prior to DOE obtaining the unit for test); and
              (E) If during test set-up or testing, the lab indicates to DOE that it needs additional information regarding a given basic model in order to test in accordance with the applicable DOE test procedure, DOE may organize a meeting between DOE, the manufacturer and the lab to provide such information.
              (v) Failure to meet certified rating. If a model tests worse than its certified rating by an amount exceeding the tolerance prescribed in paragraph (c)(5)(vi) of this section, DOE will notify the manufacturer. DOE will provide the manufacturer with all documentation related to the test set up, test conditions, and test results for the unit. Within the timeframe allotted by DOE, the manufacturer may then:
              (A) Present all claims regarding testing validity; and
              (B) If the manufacturer was not on site for the initial test set-up, request a retest of the previously tested unit with manufacturer and DOE representatives on-site for the test set-up. DOE will not conduct the retest using a different unit of the same basic model unless DOE and the manufacturer determine it is necessary based on the test results, claims presented, and DOE regulations.
              (vi) Tolerances. (A) For consumption metrics, the result from a DOE verification test must be less than or equal to the certified rating × (1 + the applicable tolerance).
              (B) For efficiency metrics, the result from a DOE verification test must be greater than or equal to the certified rating × (1 − the applicable tolerance).

                  Equipment
                  Metric
                  Applicabletolerance

                  Commercial Packaged Boilers
                  Combustion EfficiencyThermal Efficiency

                  5% (0.05)5% (0.05)

                  Commercial Water Heaters or Hot Water Supply Boilers
                  Thermal EfficiencyStandby Loss

                  5% (0.05)10% (0.1)

                  Unfired Storage Tanks
                  R-Value
                  10% (0.1)

                  Air-Cooled, Split and Packaged ACs and HPs less than 65,000 Btu/h
                  Seasonal Energy-Efficiency Ratio
                  5% (0.05)

                  Cooling Capacity (3-Phase)
                  Heating Season Performance FactorEnergy Efficiency Ratio

                  5% (0.05)10% (0.1)

                  Air-Cooled, Split and Packaged ACs and HPs greater than or equal to 65,000 Btu/h Cooling Capacity and Less than 760,000 Btu/h Cooling Capacity
                  Energy Efficiency RatioCoefficient of Performance
                    Integrated Energy Efficiency Ratio

                  5% (0.05)5% (0.05)
                    10% (0.1)

                  Water-Cooled, Split and Packaged ACs and HPs, All Cooling Capacities
                  Energy Efficiency RatioCoefficient of Performance
                    Integrated Energy Efficiency Ratio

                  5% (0.05)5% (0.05)
                    10% (0.1)

                  Evaporatively-Cooled, Split and Packaged ACs and HPs, All Capacities
                  Energy Efficiency RatioCoefficient of Performance
                    Integrated Energy Efficiency Ratio

                  5% (0.05)5% (0.05)
                    10% (0.1)

                  Water-Source HPs, All Capacities
                  Energy Efficiency RatioCoefficient of Performance
                    Integrated Energy Efficiency Ratio

                  5% (0.05)5% (0.05)
                    10% (0.1)

                  Single Package Vertical ACs and HPs
                  Energy Efficiency RatioCoefficient of Performance

                  5% (0.05)5% (0.05)

                  Packaged Terminal ACs and HPs
                  Energy Efficiency RatioCoefficient of Performance

                  5% (0.05)5% (0.05)

                  Variable Refrigerant Flow ACs and HPs
                  Energy Efficiency RatioCoefficient of Performance
                    Integrated Energy Efficiency Ratio

                  5% (0.05)5% (0.05)
                    10% (0.1)

                  Computer Room Air Conditioners
                  Sensible Coefficient of Performance
                  5% (0.05)

                  Commercial Warm-Air Furnaces
                  Thermal Efficiency
                  5% (0.05)

                  Commercial Refrigeration Equipment
                  Daily Energy Consumption
                  5% (0.05)

              (vii) Invalid rating. If, following discussions with the manufacturer and a retest where applicable, DOE determines that the verification testing was conducted appropriately in accordance with the DOE test procedure, DOE will issue a determination that the rating for the model is invalid. The manufacturer must elect, within 15 days, one of the following to be completed in a time frame specified by DOE, which is never to exceed 180 days:
              (A) Re-rate and re-certify the model based on DOE's test data alone; or
              (B) Discontinue the model through the certification process; or
              (C) Conduct additional testing and re-rate and re-certify the basic model based on all test data collected, including DOE's test data.
              (viii) AEDM use. (A) If DOE has determined that a manufacturer made invalid ratings on two or more models rated using the same AEDM within a 24 month period, the manufacturer must take the action listed in the table corresponding to the number of invalid certified ratings. The twenty-four month period begins with a DOE determination that a rating is invalid through the process outlined above. Additional invalid ratings apply for the purposes of determining the appropriate consequences if the subsequent determination(s) is based on selection of a unit for testing within the twenty-four month period (i.e., subsequent determinations need not be made within 24 months).

                  Number of invalid certified ratings from the same AEDM 2 within a rolling 24 month period 3

                  Required manufacturer actions

                  2
                  Submit different test data and reports from testing to validate that AEDM within the validation classes to which it is applied.1 Adjust the ratings as appropriate.

                  4
                  Conduct double the minimum number of validation tests for the validation classes to which the AEDM is applied. Note, the tests required under this paragraph (c)(5)(viii) must be performed on different models than the original tests required under paragraph (c)(2) of this section.

                  6
                  Conduct the minimum number of validation tests for the validation classes to which the AEDM is applied at a third-part test facility; AndConduct addition testing, which is equal to 1/2 the minimum number of validation tests for the validation classes to which the AEDM is applied , at either the manufacturer's facility or a third-party test facility, at the manufacturer's discretion.

                  Note, the tests required under this paragraph (c)(5)(viii) must be performed on different models than the original tests performed under paragraph (c)(2) of this section.

                  > = 8
                  Manufacturer has lost privilege to use AEDM. All ratings for models within the validation classes to which the AEDM applied should be rated via testing. Distribution cannot continue until certification(s) are corrected to reflect actual test data.

                  1 A manufacturer may discuss with DOE's Office of Enforcement whether existing test data on different basic models within the validation classes to which that specific AEDM was applied may be used to meet this requirement.

                  2 The “same AEDM” means a computer simulation or mathematical model that is identified by the manufacturer at the time of certification as having been used to rate a model or group of models.

                  3 The twenty-four month period begins with a DOE determination that a rating is invalid through the process outlined above. Additional invalid ratings apply for the purposes of determining the appropriate consequences if the subsequent determination(s) is based on testing of a unit that was selected for testing within the twenty-four month period (i.e., subsequent determinations need not be made within 24 months).

              (B) If, as a result of eight or more invalid ratings, a manufacturer has lost the privilege of using an AEDM for rating, the manufacturer may regain the ability to use an AEDM by:
              (1) Investigating and identifying cause(s) for failures;
              (2) Taking corrective action to address cause(s);
              (3) Performing six new tests per validation class, a minimum of two of which must be performed by an independent, third-party laboratory to validate the AEDM; and
              (4) Obtaining DOE authorization to resume use of the AEDM.
              (d) Alternative efficiency determination method for distribution transformers—A manufacturer may use an AEDM to determine the efficiency of one or more of its untested basic models only if it determines the efficiency of at least five of its other basic models (selected in accordance with paragraph (d)(3) of this section) through actual testing.
              (1) Criteria an AEDM must satisfy.

              (i) The AEDM has been derived from a mathematical model that represents the electrical characteristics of that basic model;

              (ii) The AEDM is based on engineering and statistical analysis, computer simulation or modeling, or other analytic evaluation of performance data; and

              (iii) The manufacturer has substantiated the AEDM, in accordance with paragraph (d)(2) of this section, by applying it to, and testing, at least five other basic models of the same type, i.e., low-voltage dry-type distribution transformers, medium-voltage dry-type distribution transformers, or liquid-immersed distribution transformers.
              (2) Substantiation of an AEDM. Before using an AEDM, the manufacturer must substantiate the AEDM's accuracy and reliability as follows:
              (i) Apply the AEDM to at least five of the manufacturer's basic models that have been selected for testing in accordance with paragraph (d)(3) of this section, and calculate the power loss for each of these basic models;
              (ii) Test at least five units of each of these basic models in accordance with the applicable test procedure and § 429.47, and determine the power loss for each of these basic models;
              (iii) The predicted total power loss for each of these basic models, calculated by applying the AEDM pursuant to paragraph (d)(2)(i) of this section, must be within plus or minus five percent of the mean total power loss determined from the testing of that basic model pursuant to paragraph (d)(2)(ii) of this section; and
              (iv) Calculate for each of these basic models the percentage that its power loss calculated pursuant to paragraph (d)(2)(i) of this section is of its power loss determined from testing pursuant to paragraph (d)(2)(ii) of this section, compute the average of these percentages, and that calculated average power loss, expressed as a percentage of the average power loss determined from testing, must be no less than 97 percent and no greater than 103 percent.
              (3) Additional testing requirements. (i) A manufacturer must select basic models for testing in accordance with the following criteria:
              (A) Two of the basic models must be among the five basic models with the highest unit volumes of production by the manufacturer in the prior year, or during the prior 12-calendar-month period beginning in 2003,1
                 whichever is later;

                  1 When identifying these five basic models, any basic model that does not comply with Federal energy conservation standards for distribution transformers that may be in effect shall be excluded from consideration.

              (B) No two basic models should have the same combination of power and voltage ratings; and
              (C) At least one basic model should be single-phase and at least one should be three-phase.
              (ii) In any instance where it is impossible for a manufacturer to select basic models for testing in accordance with all of these criteria, the criteria shall be given priority in the order in which they are listed. Within the limits imposed by the criteria, basic models shall be selected randomly.
              (4) Subsequent verification of an AEDM. (i) Each manufacturer that has used an AEDM under this section shall have available for inspection by the Department of Energy records showing:
              (A) The method or methods used;
              (B) The mathematical model, the engineering or statistical analysis, computer simulation or modeling, and other analytic evaluation of performance data on which the AEDM is based;
              (C) Complete test data, product information, and related information that the manufacturer has generated or acquired pursuant to paragraph (d)(4) of this section; and
              (D) The calculations used to determine the efficiency and total power losses of each basic model to which the AEDM was applied.
              (ii) If requested by the Department, the manufacturer must perform at least one of the following:
              (A) Conduct simulations to predict the performance of particular basic models of distribution transformers specified by the Department;
              (B) Provide analyses of previous simulations conducted by the manufacturer;
              (C) Conduct sample testing of basic models selected by the Department; or
              (D) Conduct a combination of these.
              (e) Alternate Efficiency Determination Method (AEDM) for central air conditioners and heat pumps. This paragraph (e) sets forth the requirements for a manufacturer to use an AEDM to rate central air conditioners and heat pumps.
              (1) Criteria an AEDM must satisfy. A manufacturer may not apply an AEDM to an individual model/combination to determine its represented values (SEER, EER, HSPF, SEER2, EER2, HSPF2, and/or PW,OFF) pursuant to this section unless authorized pursuant to § 429.16(d) and:

              (i) The AEDM is derived from a mathematical model that estimates the energy efficiency or energy consumption characteristics of the individual model or combination (SEER, EER, HSPF, SEER2, EER2, HSPF2, and/or PW,OFF) as measured by the applicable DOE test procedure; and
              (ii) The manufacturer has validated the AEDM in accordance with paragraph (e)(2) of this section.
              (2) Validation of an AEDM. Before using an AEDM, the manufacturer must validate the AEDM's accuracy and reliability as follows:
              (i) Follow paragraph (e)(2)(i)(A) of this section for requirements on minimum testing. Follow paragraph (e)(2)(i)(B) of this section for requirements on ensuring the accuracy and reliability of the AEDM.
              (A) Minimum testing. (1) For non-space-constrained single-split system air conditioners and heat pumps rated based on testing in accordance with appendix M to subpart B of part 430, the manufacturer must test each basic model as required under § 429.16(b)(2). Until July 1, 2024, for non-space-constrained single-split-system air conditioners and heat pumps rated based on testing in accordance with appendix M1 to subpart B of part 430, the manufacturer must test a single-unit sample from 20 percent of the basic models distributed in commerce to validate the AEDM. On or after July 1, 2024, for non-space-constrained single-split-system air conditioners and heat pumps rated based on testing in accordance with appendix M1 to subpart B of part 430, the manufacturer must complete testing of each basic model as required under § 429.16(b)(2).
              (2) For other than non-space-constrained single-split-system air conditioners and heat pumps, the manufacturer must test each basic model as required under § 429.16(b)(2).
              (B) Using the AEDM, calculate the energy use or efficiency for each of the tested individual models/combinations within each basic model. Compare the represented value based on testing and the AEDM energy use or efficiency output according to paragraph (e)(2)(ii) of this section. The manufacturer is responsible for ensuring the accuracy and reliability of the AEDM and that their representations are appropriate and the models being distributed in commerce meet the applicable standards, regardless of the amount of testing required in paragraphs (e)(2)(i)(A) and (e)(2)(i)(B) of this section.
              (ii) Individual model/combination tolerances. This paragraph (e)(2)(ii) provides the tolerances applicable to individual models/combinations rated using an AEDM.
              (A) The predicted represented values for each individual model/combination calculated by applying the AEDM may not be more than four percent greater (for measures of efficiency) or less (for measures of consumption) than the values determined from the corresponding test of the individual model/combination.
              (B) The predicted energy efficiency or consumption for each individual model/combination calculated by applying the AEDM must meet or exceed the applicable federal energy conservation standard.
              (iii) Additional test unit requirements. (A) Each AEDM must be supported by test data obtained from physical tests of current individual models/combinations; and
              (B) Test results used to validate the AEDM must meet or exceed current, applicable Federal standards as specified in part 430 of this chapter; and
              (C) Each test must have been performed in accordance with the applicable DOE test procedure with which compliance is required at the time the individual models/combinations used for validation are distributed in commerce.
              (3) AEDM records retention requirements. If a manufacturer has used an AEDM to determine representative values pursuant to this section, the manufacturer must have available upon request for inspection by the Department records showing:

              (i) The AEDM, including the mathematical model, the engineering or statistical analysis, and/or computer simulation or modeling that is the basis of the AEDM;
              (ii) Product information, complete test data, AEDM calculations, and the statistical comparisons from the units tested that were used to validate the AEDM pursuant to paragraph (e)(2) of this section; and
              (iii) Product information and AEDM calculations for each individual model/combination to which the AEDM has been applied.
              (4) Additional AEDM requirements. If requested by the Department, the manufacturer must:
              (i) Conduct simulations before representatives of the Department to predict the performance of particular individual models/combinations;
              (ii) Provide analyses of previous simulations conducted by the manufacturer; and/or
              (iii) Conduct certification testing of individual models or combinations selected by the Department.
              (5) AEDM verification testing. DOE may use the test data for a given individual model/combination generated pursuant to § 429.104 to verify the represented value determined by an AEDM as long as the following process is followed:
              (i) Selection of units. DOE will obtain one or more units for test from retail, if available. If units cannot be obtained from retail, DOE will request that a unit be provided by the manufacturer;
              (ii) Lab requirements. DOE will conduct testing at an independent, third-party testing facility of its choosing. In cases where no third-party laboratory is capable of testing the equipment, testing may be conducted at a manufacturer's facility upon DOE's request.
              (iii) Testing. At no time during verification testing may the lab and the manufacturer communicate without DOE authorization. If during test set-up or testing, the lab indicates to DOE that it needs additional information regarding a given individual model or combination in order to test in accordance with the applicable DOE test procedure, DOE may organize a meeting between DOE, the manufacturer and the lab to provide such information.
              (iv) Failure to meet certified value. If an individual model/combination tests worse than its certified value (i.e., lower than the certified efficiency value or higher than the certified consumption value) by more than 5 percent, or the test results in cooling capacity that is lower than its certified cooling capacity, DOE will notify the manufacturer. DOE will provide the manufacturer with all documentation related to the test set up, test conditions, and test results for the unit. Within the timeframe allotted by DOE, the manufacturer may present any and all claims regarding testing validity.
              (v) Tolerances. This paragraph specifies the tolerances DOE will permit when conducting verification testing.
              (A) For consumption metrics, the result from a DOE verification test must be less than or equal to 1.05 multiplied by the certified represented value.
              (B) For efficiency metrics, the result from a DOE verification test must be greater than or equal to 0.95 multiplied by the certified represented value.
              (vi) Invalid represented value. If, following discussions with the manufacturer and a retest where applicable, DOE determines that the verification testing was conducted appropriately in accordance with the DOE test procedure, DOE will issue a determination that the represented values for the basic model are invalid. The manufacturer must conduct additional testing and re-rate and re-certify the individual models/combinations within the basic model that were rated using the AEDM based on all test data collected, including DOE's test data.
              (vii) AEDM use. This paragraph (e)(5)(vii) specifies when a manufacturer's use of an AEDM may be restricted due to prior invalid represented values.

              (A) If DOE has determined that a manufacturer made invalid represented values on individual models/combinations within two or more basic models rated using the manufacturer's AEDM within a 24 month period, the manufacturer must test the least efficient and most efficient individual model/combination within each basic model in addition to the individual model/combination specified in § 429.16(b)(2). The twenty-four month period begins with a DOE determination that a represented value is invalid through the process outlined above.
              (B) If DOE has determined that a manufacturer made invalid represented values on more than four basic models rated using the manufacturer's AEDM within a 24-month period, the manufacturer may no longer use an AEDM.
              (C) If a manufacturer has lost the privilege of using an AEDM, the manufacturer may regain the ability to use an AEDM by:
              (1) Investigating and identifying cause(s) for failures;
              (2) Taking corrective action to address cause(s);
              (3) Performing six new tests per basic model, a minimum of two of which must be performed by an independent, third-party laboratory from units obtained from retail to validate the AEDM; and
              (4) Obtaining DOE authorization to resume use of an AEDM.
              (f) Alternative efficiency determination method (AEDM) for walk-in refrigeration equipment—
              (1) Criteria an AEDM must satisfy. A manufacturer may not apply an AEDM to a basic model to determine its efficiency pursuant to this section unless:
              (i) The AEDM is derived from a mathematical model that estimates the energy efficiency or energy consumption characteristics of the basic model as measured by the applicable DOE test procedure;
              (ii) The AEDM is based on engineering or statistical analysis, computer simulation or modeling, or other analytical evaluation of performance data; and
              (iii) The manufacturer has validated the AEDM, in accordance with paragraph (f)(2) of this section.
              (2) Validation of an AEDM. Before using an AEDM, the manufacturer must validate the AEDM's accuracy and reliability as follows:
              (i) The manufacturer must select at least the minimum number of basic models for each validation class specified in paragraph (f)(2)(iv) of this section to which the particular AEDM applies. Test a single unit of each basic model in accordance with paragraph (f)(2)(iii) of this section. Using the AEDM, calculate the energy use or energy efficiency for each of the selected basic models. Compare the results from the single unit test and the AEDM output according to paragraph (f)(2)(ii) of this section. The manufacturer is responsible for ensuring the accuracy and repeatability of the AEDM.
              (ii) Individual model tolerances. (A) The predicted efficiency for each model calculated by applying the AEDM may not be more than five percent greater than the efficiency determined from the corresponding test of the model.
              (B) The predicted energy efficiency for each model calculated by applying the AEDM must meet or exceed the applicable federal energy conservation standard.
              (iii) Additional test unit requirements. (A) Each AEDM must be supported by test data obtained from physical tests of current models; and
              (B) Test results used to validate the AEDM must meet or exceed current, applicable Federal standards as specified in part 431 of this chapter;
              (C) Each test must have been performed in accordance with the applicable DOE test procedure with which compliance is required at the time the basic model is distributed in commerce; and
              (D) For rating WICF refrigeration system components, an AEDM may not simulate or model portions of the system that are not required to be tested by the DOE test procedure. That is, if the test results used to validate the AEDM are for either a unit cooler only or a condensing unit only, the AEDM must estimate the system rating using the nominal values specified in the DOE test procedure for the other part of the refrigeration system.
              (iv) WICF refrigeration validation classes.

                  Validation class
                  Minimum number of distinct models that must be tested

                  Dedicated Condensing, Medium Temperature, Indoor System
                  2 Basic Models.

                  Dedicated Condensing, Medium Temperature, Outdoor System 1

                  2 Basic Models.

                  Dedicated Condensing, Low Temperature, Indoor System
                  2 Basic Models.

                  Dedicated Condensing, Low Temperature, Outdoor System 2

                  2 Basic Models.

                  Unit Cooler connected to a Multiplex Condensing Unit, Medium Temperature
                  2 Basic Models.

                  Unit Cooler connected to a Multiplex Condensing Unit, Low Temperature
                  2 Basic Models.

                  Medium Temperature, Indoor Condensing Unit
                  2 Basic Models.

                  Medium Temperature, Outdoor Condensing Unit 3

                  2 Basic Models.

                  Low Temperature, Indoor Condensing Unit
                  2 Basic Models.

                  Low Temperature, Outdoor Condensing Unit 4

                  2 Basic Models.

                  1 AEDMs validated for dedicated condensing, medium temperature, outdoor systems may be used to determine representative values for dedicated condensing, medium temperature, indoor systems, and additional validation testing is not required. AEDMs validated for only dedicated condensing, medium temperature, indoor systems may not be used to determine representative values for dedicated condensing, medium temperature, outdoor systems.

                  2 AEDMs validated for dedicated condensing, low temperature, outdoor systems may be used to determine representative values for dedicated condensing, low temperature, indoor systems, and additional validation testing is not required. AEDMs validated for only dedicated condensing, low temperature, indoor systems may not be used to determine representative values for dedicated condensing, low temperature, outdoor systems.

                  3 AEDMs validated for medium temperature, outdoor condensing units may be used to determine representative values for medium temperature, indoor condensing units, and additional validation testing is not required. AEDMs validated for only medium temperature, indoor condensing units may not be used to determine representative values for medium temperature, outdoor condensing units.

                  4 AEDMs validated for low temperature, outdoor condensing units may be used to determine representative values for low temperature, indoor condensing units, and additional validation testing is not required. AEDMs validated for only low temperature, indoor condensing units may not be used to determine representative values for low temperature, outdoor condensing units.

              (3) AEDM records retention requirements. If a manufacturer has used an AEDM to determine representative values pursuant to this section, the manufacturer must have available upon request for inspection by the Department records showing:
              (i) The AEDM, including the mathematical model, the engineering or statistical analysis, and/or computer simulation or modeling that is the basis of the AEDM;
              (ii) Equipment information, complete test data, AEDM calculations, and the statistical comparisons from the units tested that were used to validate the AEDM pursuant to paragraph (f)(2) of this section; and
              (iii) Equipment information and AEDM calculations for each basic model to which the AEDM has been applied.
              (4) Additional AEDM requirements. If requested by the Department the manufacturer must perform at least one of the following:
              (i) Conduct simulations before representatives of the Department to predict the performance of particular basic models of the product to which the AEDM was applied;
              (ii) Provide analyses of previous simulations conducted by the manufacturer; or
              (iii) Conduct certification testing of basic models selected by the Department.
              (5) AEDM verification testing. DOE may use the test data for a given individual model generated pursuant to § 429.104 to verify the certified rating determined by an AEDM as long as the following process is followed:
              (i) Selection of units. DOE will obtain units for test from retail, where available. If units cannot be obtained from retail, DOE will request that a unit be provided by the manufacturer.
              (ii) Lab requirements. DOE will conduct testing at an independent, third-party testing facility of its choosing. In cases where no third-party laboratory is capable of testing the equipment, it may be tested at a manufacturer's facility upon DOE's request.
              (iii) Manufacturer participation. Testing will be performed without manufacturer representatives on-site.
              (iv) Testing. All verification testing will be conducted in accordance with the applicable DOE test procedure, as well as each of the following to the extent that they apply:
              (A) Any active test procedure waivers that have been granted for the basic model;
              (B) Any test procedure guidance that has been issued by DOE;

              (C) If during test set-up or testing, the lab indicates to DOE that it needs additional information regarding a given basic model in order to test in accordance with the applicable DOE test procedure, DOE may organize a meeting between DOE, the manufacturer and the lab to provide such information.
              (D) At no time during the process may the lab communicate directly with the manufacturer without DOE present.
              (v) Failure to meet certified rating. If a model tests worse than its certified rating by an amount exceeding the tolerance prescribed in paragraph (f)(5)(vi) of this section, DOE will notify the manufacturer. DOE will provide the manufacturer with all documentation related to the test set up, test conditions, and test results for the unit. Within the timeframe allotted by DOE, the manufacturer may then present all claims regarding testing validity.
              (vi) Tolerances. for efficiency metrics, the result from a DOE verification test must be greater than or equal to the certified rating × (1 − the applicable tolerance).

                  Equipment
                  Metric
                  Applicabletolerance

                  Refrigeration systems (including components)
                  AWEF
                  5%

              (vii) Invalid rating. If, following discussions with the manufacturer and a retest where applicable, DOE determines that the testing was conducted appropriately in accordance with the DOE test procedure, the rating for the model will be considered invalid. Pursuant to 10 CFR 429.13(b), DOE may require a manufacturer to conduct additional testing as a remedial measure.
              (g) Alternative determination of ratings for untested basic models of residential water heaters and residential-duty commercial water heaters. For models of water heaters that differ only in fuel type or power input, ratings for untested basic models may be established in accordance with the following procedures in lieu of testing. This method allows only for the use of ratings identical to those of a tested basic model as provided below; simulations or other modeling predictions for ratings of the uniform energy factor, volume, first-hour rating, or maximum gallons per minute (GPM) are not permitted.
              (1) Gas Water Heaters. For untested basic models of gas-fired water heaters that differ from tested basic models only in whether the basic models use natural gas or propane gas, the represented value of uniform energy factor, first-hour rating, and maximum gallons per minute for an untested basic model is the same as that for a tested basic model, as long as the input ratings of the tested and untested basic models are within ±10%, that is:

                ER11JY14.066

              (2) Electric Storage Water Heaters. Rate an untested basic model of an electric storage type water heater using the first-hour rating and the uniform energy factor obtained from a tested basic model as a basis for ratings of basic models with other input ratings, provided that certain conditions are met:
              (i) For an untested basic model, the represented value of the first-hour rating and the uniform energy factor is the same as that of a tested basic model, provided that each heating element of the untested basic model is rated at or above the input rating for the corresponding heating element of the tested basic model.

              (ii) For an untested basic model having any heating element with an input rating that is lower than that of the corresponding heating element in the tested basic model, the represented value of the first-hour rating and the uniform energy factor is the same as that of a tested basic model, provided that the first-hour rating for the untested basic model results in the same draw pattern specified in Table I of appendix E for the simulated-use test as was applied to the tested basic model. To establish whether this condition is met, determine the first-hour ratings for the tested and the untested basic models in accordance with the procedure described in section 5.3.3 of 10 CFR part 430, subpart B, appendix E, then compare the appropriate draw pattern specified in Table I of appendix E for the first-hour rating of the tested basic model with that for the untested basic model. If this condition is not met, then the untested basic model must be tested and the appropriate sampling provisions applied to determine its uniform energy factor in accordance with appendix E and this part.
              (h) Alternative efficiency determination method (AEDM) for compressors—(1) Criteria an AEDM must satisfy. A manufacturer may not apply an AEDM to a basic model to determine its efficiency pursuant to this section, unless:
              (i) The AEDM is derived from a mathematical model that estimates the energy efficiency or energy consumption characteristics of the basic model as measured by the applicable DOE test procedure;
              (ii) The AEDM is based on engineering or statistical analysis, computer simulation or modeling, or other analytic evaluation of performance data; and
              (iii) The manufacturer has validated the AEDM, in accordance with paragraph (h)(2) of this section.
              (2) Validation of an AEDM. Before using an AEDM, the manufacturer must validate the AEDM's accuracy and reliability as follows:
              (i) AEDM overview. The manufacturer must select at least the minimum number of basic models for each validation class specified in paragraph (h)(2)(iv) of this section to which the particular AEDM applies. Using the AEDM, calculate the energy use or energy efficiency for each of the selected basic models. Test each basic model and determine the represented value(s) in accordance with § 429.63(a). Compare the results from the testing and the AEDM output according to paragraph (h)(2)(ii) of this section. The manufacturer is responsible for ensuring the accuracy and repeatability of the AEDM.
              (ii) AEDM basic model tolerances. (A) The predicted representative values for each basic model calculated by applying the AEDM may not be more than five percent greater (for measures of efficiency) or less (for measures of consumption) than the represented values determined from the corresponding test of the model.
              (B) The predicted package isentropic efficiency for each basic model calculated by applying the AEDM must meet or exceed the applicable federal energy conservation standard.
              (iii) Additional test unit requirements. (A) Each AEDM must be supported by test data obtained from physical tests of current models; and
              (B) Test results used to validate the AEDM must meet or exceed current, applicable Federal standards as specified in part 431 of this chapter; and
              (C) Each test must have been performed in accordance with the applicable DOE test procedure with which compliance is required at the time the basic models used for validation are distributed in commerce.
              (iv) Compressor validation classes.

                  Validation class
                  Minimum number of distinct basic models that must be tested

                  Rotary, Fixed-speed
                  2 Basic Models.

                  Rotary, Variable-speed
                  2 Basic Models.

              (3) AEDM Records Retention Requirements. If a manufacturer has used an AEDM to determine representative values pursuant to this section, the manufacturer must have available upon request for inspection by the Department records showing:
              (i) The AEDM, including the mathematical model, the engineering or statistical analysis, and/or computer simulation or modeling that is the basis of the AEDM;
              (ii) Equipment information, complete test data, AEDM calculations, and the statistical comparisons from the units tested that were used to validate the AEDM pursuant to paragraph (h)(2) of this section; and
              (iii) Equipment information and AEDM calculations for each basic model to which the AEDM was applied.
              (4) Additional AEDM requirements. If requested by the Department, the manufacturer must:

              (i) Conduct simulations before representatives of the Department to predict the performance of particular basic models of the equipment to which the AEDM was applied;

              (ii) Provide analyses of previous simulations conducted by the manufacturer; and/or
              (iii) Conduct certification testing of basic models selected by the Department.
              [76 FR 12451, Mar. 7, 2011; 76 FR 24780, May 2, 2011, as amended at 78 FR 79595, Dec. 31, 2013; 79 FR 25505, May 5, 2014; 79 FR 27410, May 13, 2014; 80 FR 152, Jan. 5, 2015; 79 FR 40565, July 11, 2014; 81 FR 4145, Jan. 25, 2016; 81 FR 37054, June 8, 2016; 81 FR 89304, Dec. 9, 2016; 82 FR 1100, Jan. 4, 2017; 82 FR 1475, Jan. 5, 2017]

              § 429.71
              Maintenance of records.
              (a) The manufacturer of any covered product or covered equipment shall establish, maintain, and retain the records of certification reports, of the underlying test data for all certification testing, and of any other testing conducted to satisfy the requirements of this part, part 430, and part 431. Any manufacturer who chooses to use an alternative method for determining energy efficiency or energy use in accordance with § 429.70 must retain the records required by that section, any other records of any testing performed to support the use of the alternative method, and any certifications required by that section, on file for review by DOE for two years following the discontinuance of all models or combinations whose ratings were based on the alternative method.
              (b) Such records shall be organized and indexed in a fashion that makes them readily accessible for review by DOE upon request.
              (c) The records shall be retained by the manufacturer for a period of two years from the date that the manufacturer or third party submitter has notified DOE that the model has been discontinued in commerce.

              (d) When considering if a pump is subject to energy conservation standards under part 431 of this chapter, DOE may need to determine if a pump was designed and constructed to the requirements set forth in Military Specifications: MIL-P-17639F, MIL-P-17881D, MIL-P-17840C, MIL-P-18682D, or MIL-P-18472G. In this case, a manufacturer must provide DOE with copies of the original design and test data that were submitted to appropriate design review agencies, as required by MIL-P-17639F, MIL-P-17881D, MIL-P-17840C, MIL-P-18682D, or MIL-P-18472G. Military specifications and standards are available for review at http://everyspec.com/MIL-SPECS.
              [76 FR 12451, Mar. 7, 2011, as amended at 81 FR 4145, Jan. 25, 2016]

              § 429.72
              Alternative methods for determining non-energy ratings.
              (a) General. Where § 429.14 through § 429.562 authorize the use of an alternative method for determining a physical or operating characteristic other than the energy consumption or efficiency, such characteristics must be determined either by testing in accordance with the applicable test procedure and applying the specified sampling plan provisions established in those sections or as described in the appropriate product-specific paragraph below. In all cases, the computer-aided design (CAD) models, measurements, and calculations used to determine the rating for the physical or operating characteristic shall be retained as part of the test records underlying the certification of the basic model in accordance with § 429.71.
              (b) Testing. [Reserved]
              (c) Residential refrigerators, refrigerator-freezers, and freezers. The total refrigerated volume of a basic model of refrigerator, refrigerator-freezer, or freezer may be determined by performing a calculation of the volume based upon computer-aided design (CAD) models of the basic model in lieu of physical measurements of a production unit of the basic model. Any value of total refrigerated volume of a basic model reported to DOE in a certification of compliance in accordance with § 429.14(b)(2) must be calculated using the CAD-derived volume(s) and the applicable provisions in the test procedures in 10 CFR part 430 for measuring volume, and must be within two percent, or 0.5 cubic feet (0.2 cubic feet for compact products), whichever is greater, of the volume of a production unit of the basic model measured in accordance with the applicable test procedure in 10 CFR part 430.
              (d) Miscellaneous refrigeration products. The total refrigerated volume of a miscellaneous refrigeration product basic model may be determined by performing a calculation of the volume based upon computer-aided design (CAD) models of the basic model in lieu of physical measurements of a production unit of the basic model. Any value of total adjusted volume and value of total refrigerated volume of a basic model reported to DOE in a certification of compliance in accordance with § 429.61(b)(2) must be calculated using the CAD-derived volume(s) and the applicable provisions in the test procedures in part 430 of this chapter for measuring volume. The calculated value must be within two percent, or 0.5 cubic feet (0.2 cubic feet for products with total refrigerated volume less than 7.75 cubic feet (220 liters)), whichever is greater, of the volume of a production unit of the basic model measured in accordance with the applicable test procedure in part 430 of this chapter.
              (e) Commercial gas-fired and oil-fired instantaneous water heaters and hot water supply boilers. The storage volume of a commercial gas-fired or oil-fired instantaneous water heater or a commercial gas-fired or oil-fired hot water supply boiler basic model may be determined by performing a calculation of the stored water volume based upon design drawings (including computer-aided design (CAD) models) or physical dimensions of the basic model. Any value of storage volume of a basic model reported to DOE in a certification of compliance in accordance with § 429.44(c)(2)(iv) and (v) must be calculated using the design drawings or physical dimensions, or measured as per the applicable provisions in the test procedures in 10 CFR 431.106. The storage volume determination must include all water contained within the water heater from the inlet connection to the outlet connection(s). The storage volume of water contained in the water heater must then be computed in gallons.
              [79 FR 22348, Apr. 21, 2014, as amended at 81 FR 4145, Jan. 25, 2016; 81 FR 46790, July 18, 2016; 81 FR 79320, Nov. 10, 2016]

              Pt. 429, Subpt. B, App. A
              Appendix A to Subpart B of Part 429—Student's t-Distribution Values for Certification Testing

                Figure 1—t-Distribution Values for Certification Testing
                [One-Sided]

                  Degrees of freedom(from Appendix A)

                  Confidence Interval
                  90%
                  95%
                  97.5%
                  99%

                  1
                  3.078
                  6.314
                  12.71
                  31.82

                  2
                  1.886
                  2.920
                  4.303
                  6.965

                  3
                  1.638
                  2.353
                  3.182
                  4.541

                  4
                  1.533
                  2.132
                  2.776
                  3.747

                  5
                  1.476
                  2.015
                  2.571
                  3.365

                  6
                  1.440
                  1.943
                  2.447
                  3.143

                  7
                  1.415
                  1.895
                  2.365
                  2.998

                  8
                  1.397
                  1.860
                  2.306
                  2.896

                  9
                  1.383
                  1.833
                  2.262
                  2.821

                  10
                  1.372
                  1.812
                  2.228
                  2.764

                  11
                  1.363
                  1.796
                  2.201
                  2.718

                  12
                  1.356
                  1.782
                  2.179
                  2.681

                  13
                  1.350
                  1.771
                  2.160
                  2.650

                  14
                  1.345
                  1.761
                  2.145
                  2.624

                  15
                  1.341
                  1.753
                  2.131
                  2.602

                  16
                  1.337
                  1.746
                  2.120
                  2.583

                  17
                  1.333
                  1.740
                  2.110
                  2.567

                  18
                  1.330
                  1.734
                  2.101
                  2.552

                  19
                  1.328
                  1.729
                  2.093
                  2.539

                  20
                  1.325
                  1.725
                  2.086
                  2.528

              [76 FR 12451, Mar. 7, 2011; 76 FR 24780, May 2, 2011]

            Subpart C—Enforcement

              § 429.100
              Purpose and scope.
              This subpart describes the enforcement authority of DOE to ensure compliance with the conservation standards and regulations.

              § 429.102
              Prohibited acts subjecting persons to enforcement action.
              (a) Each of the following actions is prohibited:
              (1) Failure of a manufacturer to provide, maintain, permit access to, or copying of records required to be supplied under the Act and this part or failure to make reports or provide other information required to be supplied under the Act and this part, including but not limited to failure to properly certify covered products and covered equipment in accordance with § 429.12 and §§ 429.14 through 429.62;

              (2) Failure to test any covered product or covered equipment subject to an applicable energy conservation standard in conformance with the applicable test requirements prescribed in 10 CFR parts 430 or 431;
              (3) Deliberate use of controls or features in a covered product or covered equipment to circumvent the requirements of a test procedure and produce test results that are unrepresentative of a product's energy or water consumption if measured pursuant to DOE's required test procedure;
              (4) Failure of a manufacturer to supply at the manufacturer's expense a requested number of covered products or covered equipment to a designated test laboratory in accordance with a test notice issued by DOE;
              (5) Failure of a manufacturer to permit a DOE representative to observe any testing required by the Act and this part and inspect the results of such testing;
              (6) Distribution in commerce by a manufacturer or private labeler of any new covered product or covered equipment that is not in compliance with an applicable energy conservation standard prescribed under the Act;
              (7) Distribution in commerce by a manufacturer or private labeler of a basic model of covered product or covered equipment after a notice of noncompliance determination has been issued to the manufacturer or private labeler;
              (8) Knowing misrepresentation by a manufacturer or private labeler by certifying an energy use or efficiency rating of any covered product or covered equipment distributed in commerce in a manner that is not supported by test data;
              (9) For any manufacturer, distributor, retailer, or private labeler to distribute in commerce an adapter that—
              (i) Is designed to allow an incandescent lamp that does not have a medium screw base to be installed into a fixture or lamp holder with a medium screw base socket; and
              (ii) Is capable of being operated at a voltage range at least partially within 110 and 130 volts; or
              (10) For any manufacturer or private labeler to knowingly sell a product to a distributor, contractor, or dealer with knowledge that the entity routinely violates any regional standard applicable to the product.
              (b) When DOE has reason to believe that a manufacturer or private labeler has undertaken a prohibited act listed in paragraph (a) of this section, DOE may:
              (1) Issue a notice of noncompliance determination;
              (2) Impose additional certification testing requirements;
              (3) Seek injunctive relief;
              (4) Assess a civil penalty for knowing violations; or
              (5) Undertake any combination of the above.
              (c) Violations of regional standards. (1) It is a violation for a distributor to knowingly sell a product to a contractor or dealer with knowledge that the entity will sell and/or install the product in violation of any regional standard applicable to the product.
              (2) It is a violation for a distributor to knowingly sell a product to a contractor or dealer with knowledge that the entity routinely violates any regional standard applicable to the product.
              (3) It is a violation for a contractor or dealer to knowingly sell to and/or install for an end user a central air conditioner subject to regional standards with the knowledge that such product will be installed in violation of any regional standard applicable to the product.
              (4) A “product installed in violation” includes:
              (i) A complete central air conditioning system that is not certified as a complete system that meets the applicable standard. Combinations that were previously validly certified may be installed after the manufacturer has discontinued the combination, provided the combination meets the currently applicable standard.
              (ii) An outdoor unit with no match (i.e., that is not offered for sale with an indoor unit) that is not certified as part of a combination that meets the applicable standard.
              (iii) An outdoor unit that is part of a certified combination rated less than the standard applicable in the region in which it is installed.
              [76 FR 12451, Mar. 7, 2011, as amended at 81 FR 4145, Jan. 25, 2016; 81 FR 45402, July 14, 2016]

              § 429.104
              Assessment testing.
              DOE may, at any time, test a basic model to assess whether the basic model is in compliance with the applicable energy conservation standard(s).

              § 429.106
              Investigation of compliance.
              (a) DOE may initiate an investigation that a basic model may not be compliant with an applicable conservation standard, certification requirement or other regulation at any time.
              (b) DOE may, at any time, request any information relevant to determining compliance with any requirement under parts 429, 430 and 431, including the data underlying certification of a basic model. Such data may be used by DOE to make a determination of compliance or noncompliance with an applicable standard.

              § 429.110
              Enforcement testing.
              (a) General provisions. (1) If DOE has reason to believe that a basic model is not in compliance it may test for enforcement.
              (2) DOE will select and test units pursuant to paragraphs (c) and (e) of this section.
              (3) Testing will be conducted at a laboratory accredited to the International Organization for Standardization (ISO)/International Electrotechnical Commission (IEC), “General requirements for the competence of testing and calibration laboratories,” ISO/IEC 17025:2005(E) (incorporated by reference; see § 429.4). If testing cannot be completed at an independent laboratory, DOE, at its discretion, may allow enforcement testing at a manufacturer's laboratory, so long as the lab is accredited to ISO/IEC 17025:2005(E) and DOE representatives witness the testing. In addition, for commercial packaged boilers with rated input greater than 5,000,000 Btu/h, DOE, at its discretion, may allow enforcement testing of a commissioned commercial packaged boiler in the location in which it was commissioned for use, pursuant to the test provisions at § 431.86(c) of this chapter, for which accreditation to ISO/IEC 17025:2005(E) would not be required.
              (b) Test notice. (1) To obtain units for enforcement testing to determine compliance with an applicable standard, DOE will issue a test notice addressed to the manufacturer in accordance with the following requirements:
              (i) DOE will send the test notice to the manufacturer's certifying official or other company official.
              (ii) The test notice will specify the basic model that will be selected for testing, the method of selecting the test sample, the maximum size of the sample and the size of the initial test sample, the dates at which testing is scheduled to be started and completed, and the facility at which testing will be conducted. The test notice may also provide for situations in which the selected basic model is unavailable for testing and may include alternative models or basic models.
              (iii) DOE will state in the test notice that it will select the units of a basic model to be tested from the manufacturer, from one or more distributors, and/or from one or more retailers. If any unit is selected from a distributor or retailer, the manufacturer shall make arrangements with the distributor or retailer for compensation for or replacement of any such units.
              (iv) DOE may require in the test notice that the manufacturer of a basic model ship or cause to be shipped from a retailer or distributor at its expense the requested number of units of a basic model specified in such test notice to the testing laboratory specified in the test notice. The manufacturer shall ship the specified initial test unit(s) of the basic model to the testing laboratory within 5 working days from the time units are selected.
              (v) If DOE determines that the units identified are low-volume or built-to-order products, DOE will contact the manufacturer to develop a plan for enforcement testing in lieu of paragraphs (ii)-(iv) of this section.
              (2) [Reserved]
              (c) Test unit selection. (1) To select units for testing from a:

              (i) Manufacturer's warehouse, distributor, or other facility affiliated with the manufacturer. DOE will select a batch sample at random in accordance with the provisions in paragraph (e) of this section and the conditions specified in the test notice. DOE will randomly select an initial test sample of units from the batch sample for testing in accordance with appendices A through C of this subpart. DOE will make a determination whether an alternative sample size will be used in accordance with the provisions in paragraph (e)(1)(iv) of this section.
              (ii) Retailer or other facility not affiliated with the manufacturer. DOE will select an initial test sample of units at random that satisfies the minimum units necessary for testing in accordance with the provisions in appendices A through C of this subpart and the conditions specified in the test notice. Depending on the results of the testing, DOE may select additional units for testing from a retailer in accordance with appendices A through C of this subpart. If the full sample is not available from a retailer, DOE will make a determination whether an alternative sample size will be used in accordance with the provisions in paragraph (e)(1)(iv) of this section.
              (iii) Previously commissioned commercial packaged boilers with a rated input greater than 5,000,000 Btu/h. DOE may test a sample of at least one unit in the location in which it was commissioned for use.
              (2) Units tested in accordance with the applicable test procedure under this part by DOE or another Federal agency, pursuant to other provisions or programs, may count toward units in the test sample.
              (3) The resulting test data shall constitute official test data for the basic model. Such test data will be used by DOE to make a determination of compliance or noncompliance if a sufficient number of tests have been conducted to satisfy the requirements of paragraph (e) of this section and appendices A through C of this subpart.
              (d) Test unit preparation. (1) Prior to and during testing, a test unit selected for enforcement testing shall not be prepared, modified, or adjusted in any manner unless such preparation, modification, or adjustment is allowed by the applicable DOE test procedure. One test shall be conducted for each test unit in accordance with the applicable test procedures prescribed in parts 430 and 431.
              (2) No quality control, testing or assembly procedures shall be performed on a test unit, or any parts and subassemblies thereof, that is not performed during the production and assembly of all other units included in the basic model.
              (3) A test unit shall be considered defective if such unit is inoperative or is found to be in noncompliance due to failure of the unit to operate according to the manufacturer's design and operating instructions. Defective units, including those damaged due to shipping or handling, shall be reported immediately to DOE. DOE may authorize testing of an additional unit on a case-by-case basis.
              (e) Basic model compliance. DOE will evaluate whether a basic model complies with the applicable energy conservation standard(s) based on testing conducted in accordance with the applicable test procedures specified in parts 430 and 431 of this chapter, and with the following statistical sampling procedures:
              (1) For products with applicable energy conservation standard(s) in § 430.32 of this chapter, and commercial prerinse spray valves, illuminated exit signs, traffic signal modules and pedestrian modules, commercial clothes washers, dedicated-purpose pool pumps, and metal halide lamp ballasts, DOE will use a sample size of not more than 21 units and follow the sampling plans in appendix A of this subpart (Sampling for Enforcement Testing of Covered Consumer Products and Certain High-Volume Commercial Equipment).
              (2) For automatic commercial ice makers; commercial refrigerators, freezers, and refrigerator-freezers; refrigerated bottled or canned vending machines; commercial air conditioners and heat pumps; commercial packaged boilers; commercial warm air furnaces; commercial water heating equipment; and walk-in cooler and walk-in freezer refrigeration systems, DOE will use an initial sample size of not more than four units and follow the sampling plans in appendix B of this subpart (Sampling Plan for Enforcement Testing of Covered Equipment and Certain Low-Volume Covered Products).

              (3) If fewer than four units of a basic model are available for testing (under paragraphs (e)(1) or (2) of this section) when the manufacturer receives the notice, then:
              (i) DOE will test the available unit(s); or
              (ii) If one or more other units of the basic model are expected to become available within 30 calendar days, DOE may instead, at its discretion, test either:
              (A) The available unit(s) and one or more of the other units that subsequently become available (up to a maximum of four); or
              (B) Up to four of the other units that subsequently become available.
              (4) For distribution transformers, DOE will use an initial sample size of not more than five units and follow the sampling plans in appendix C of this subpart (Sampling Plan for Enforcement Testing of Distribution Transformers). If fewer than five units of a basic model are available for testing when the manufacturer receives the test notice, then:
              (i) DOE will test the available unit(s); or
              (ii) If one or more other units of the basic model are expected to become available within 30 calendar days, DOE may instead, at its discretion, test either:
              (A) The available unit(s) and one or more of the other units that subsequently become available (up to a maximum of five); or
              (B) Up to five of the other units that subsequently become available.
              (5) For pumps subject to the standards specified in § 431.465(a) of this chapter, DOE will use an initial sample size of not more than four units and will determine compliance based on the arithmetic mean of the sample.
              (6) For uninterruptible power supplies, if a basic model is certified for compliance to the applicable energy conservation standard(s) in § 430.32 of this chapter according to the sampling plan in § 429.39(a)(2)(iv)(A) of this chapter, DOE will use a sample size of not more than 21 units and follow the sampling plan in appendix A of this subpart (Sampling for Enforcement Testing of Covered Consumer Products and Certain High-Volume Commercial Equipment). If a basic model is certified for compliance to the applicable energy conservation standard(s) in § 430.32 of this chapter according to the sampling plan in § 429.39(a)(2)(iv)(B) of this chapter, DOE will use a sample size of at least one unit and follow the sampling plan in appendix D of this subpart (Sampling for Enforcement Testing of Uninterruptible Power Supplies).
              (7) Notwithstanding paragraphs (e)(1) through (6) of this section, if testing of the available or subsequently available units of a basic model would be impractical, as for example when a basic model has unusual testing requirements or has limited production, DOE may in its discretion decide to base the determination of compliance on the testing of fewer than the otherwise required number of units.

              (8) When DOE makes a determination in accordance with paragraph (e)(7) of this section to test less than the number of units specified in paragraphs (e)(1) through (6) of this section, DOE will base the compliance determination on the results of such testing in accordance with appendix B of this subpart (Sampling Plan for Enforcement Testing of Covered Equipment and Certain Low-Volume Covered Products) using a sample size (n1) equal to the number of units tested.
              (9) For the purposes of this section, available units are those that are available for distribution in commerce within the United States.
              [76 FR 12451, Mar. 7, 2011, as amended at 81 FR 4145, Jan. 25, 2016; 81 FR 31841, May 20, 2016; 81 FR 89304, Dec. 9, 2016; 81 FR 89822, Dec. 12, 2016; 81 FR 95800, Dec. 28, 2016; 82 FR 36918, Aug. 7, 2017]

              § 429.114
              Notice of noncompliance and notice to cease distribution of a basic model.
              (a) In the event that DOE determines a basic model is noncompliant with an applicable energy conservation standard, or if a manufacturer or private labeler determines a basic model to be in noncompliance, DOE may issue a notice of noncompliance determination to the manufacturer or private labeler. This notice of noncompliance determination will notify the manufacturer or private labeler of its obligation to:

              (1) Immediately cease distribution in commerce of the basic model;

              (2) Give immediate written notification of the determination of noncompliance to all persons to whom the manufacturer has distributed units of the basic model manufactured since the date of the last determination of compliance; and
              (3) Provide DOE, within 30 calendar days of the request, records, reports and other documentation pertaining to the acquisition, ordering, storage, shipment, or sale of a basic model determined to be in noncompliance.
              (b) In the event that DOE determines a manufacturer has failed to comply with an applicable certification requirement with respect to a particular basic model, DOE may issue a notice of noncompliance determination to the manufacturer or private labeler. This notice of noncompliance determination will notify the manufacturer or private labeler of its obligation to:
              (1) Immediately cease distribution in commerce of the basic model;
              (2) Immediately comply with the applicable certification requirement; and/or
              (3) Provide DOE within 30 days of the request, records, reports and other documentation pertaining to the acquisition, ordering, storage, shipment, or sale of the basic model.
              (c) If a manufacturer or private labeler fails to comply with the required actions in the notice of noncompliance determination as set forth in paragraphs (a) or (b) of this section, the General Counsel (or delegee) may seek, among other remedies, injunctive action and civil penalties, where appropriate.
              (d) The manufacturer may modify a basic model determined to be noncompliant with an applicable energy conservation standard in such manner as to make it comply with the applicable standard. Such modified basic model shall then be treated as a new basic model and must be certified in accordance with the provisions of this part; except that in addition to satisfying all requirements of this part, any models within the basic model must be assigned new model numbers and the manufacturer shall also maintain, and provide upon request to DOE, records that demonstrate that modifications have been made to all units of the new basic model prior to distribution in commerce.

              § 429.116
              Additional certification testing requirements.
              Pursuant to § 429.102(b)(2), if DOE determines that independent, third-party testing is necessary to ensure a manufacturer's compliance with the rules of this part, part 430, or part 431, a manufacturer must base its certification of a basic model under subpart B of this part on independent, third-party laboratory testing.

              § 429.118
              Injunctions.
              If DOE has reason to seek an injunction under the Act:
              (a) DOE will notify the manufacturer, private labeler or any other person as required, of the prohibited act at issue and DOE's intent to seek a judicial order enjoining the prohibited act unless the manufacturer, private labeler or other person, delivers to DOE within 15 calendar days a corrective action and compliance plan, satisfactory to DOE, of the steps it will take to ensure that the prohibited act ceases. DOE will monitor the implementation of such plan.
              (b) If the manufacturer, private labeler or any other person as required, fails to cease engaging in the prohibited act or fails to provide a satisfactory corrective action and compliance plan, DOE may seek an injunction.

              § 429.120
              Maximum civil penalty.
              Any person who knowingly violates any provision of § 429.102(a) may be subject to assessment of a civil penalty of no more than $460 for each violation. As to § 429.102(a)(1) with respect to failure to certify, and as to § 429.102(a)(2), (5) through (9), each unit of a covered product or covered equipment distributed in violation of such paragraph shall constitute a separate violation. For violations of § 429.102(a)(1), (3), and (4), each day of noncompliance shall constitute a separate violation for each basic model at issue.
              [76 FR 12451, Mar. 7, 2011, as amended at 81 FR 41794, June 28, 2016; 81 FR 96351, Dec. 30, 2016; 83 FR 1291, Jan. 11, 2018; 83 FR 66083, Dec. 26, 2018]

              § 429.122
              Notice of proposed civil penalty.
              (a) The General Counsel (or delegee) shall provide notice of any proposed civil penalty.
              (b) The notice of proposed penalty shall:
              (1) Include the amount of the proposed penalty;
              (2) Include a statement of the material facts constituting the alleged violation; and
              (3) Inform the person of the opportunity to elect in writing within 30 calendar days of receipt of the notice to have the procedures of § 429.128 (in lieu of those of § 429.126) apply with respect to the penalty.

              § 429.124
              Election of procedures.
              (a) In responding to a notice of proposed civil penalty, the respondent may request:
              (1) An administrative hearing before an Administrative Law Judge (ALJ) under § 429.126 of this part; or
              (2) Elect to have the procedures of § 429.128 apply.
              (b) Any election to have the procedures of § 429.128 apply may not be revoked except with the consent of the General Counsel (or delegee).
              (c) If the respondent fails to respond to a notice issued under § 429.120 or otherwise fails to indicate its election of procedures, DOE shall refer the civil penalty action to an ALJ for a hearing under § 429.126.

              § 429.126
              Administrative law judge hearing and appeal.
              (a) When elected pursuant to § 429.124, DOE shall refer a civil penalty action brought under § 429.122 of this part to an ALJ, who shall afford the respondent an opportunity for an agency hearing on the record.
              (b) After consideration of all matters of record in the proceeding, the ALJ will issue a recommended decision, if appropriate, recommending a civil penalty. The decision will include a statement of the findings and conclusions, and the reasons therefore, on all material issues of fact, law, and discretion.
              (c)(1) The General Counsel (or delegee) shall adopt, modify, or set aside the conclusions of law or discretion contained in the ALJ's recommended decision and shall set forth a final order assessing a civil penalty. The General Counsel (or delegee) shall include in the final order the ALJ's findings of fact and the reasons for the final agency actions.
              (2) Any person against whom a penalty is assessed under this section may, within 60 calendar days after the date of the final order 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 final order, or the court may remand the proceeding to the Department for such further action as the court may direct.

              § 429.128
              Immediate issuance of order assessing civil penalty.
              (a) If the respondent elects to forgo an agency hearing pursuant to § 429.124, the General Counsel (or delegee) shall issue an order assessing the civil penalty proposed in the notice of proposed penalty under § 429.122, 30 calendar days after the respondent's receipt of the notice of proposed penalty.
              (b) If within 60 calendar days of receiving the assessment order in paragraph (a) of this section the respondent does not pay the civil penalty amount, DOE shall institute an action in the appropriate United States District Court for an order affirming the assessment of the civil penalty. The court shall have authority to review de novo the law and the facts involved and shall have jurisdiction to enter a judgment enforcing, modifying, and enforcing as so modified, or setting aside in whole or in part, such assessment.

              § 429.130
              Collection of civil penalties.

              If any person fails to pay an assessment of a civil penalty after it has become a final and unappealable order under § 429.126 or after the appropriate District Court has entered final judgment in favor of the Department under § 429.128, the General Counsel (or delegee) shall institute an action to recover the amount of such penalty in any appropriate District Court of the United States. In such action, the validity and appropriateness of such final assessment order or judgment shall not be subject to review.

              § 429.132
              Compromise and settlement.
              (a) DOE may compromise, modify, or remit, with or without conditions, any civil penalty (with leave of court if necessary).
              (b) In exercising its authority under paragraph (a) of this section, DOE may consider the nature and seriousness of the violation, the efforts of the respondent to remedy the violation in a timely manner, and other factors as justice may require.
              (c) DOE's authority to compromise, modify or remit a civil penalty may be exercised at any time prior to a final decision by the United States Court of Appeals if § 429.126 procedures are utilized, or prior to a final decision by the United States District Court, if § 429.128 procedures are utilized.
              (d) Notwithstanding paragraph (a) of this section, DOE or the respondent may propose to settle the case. If a settlement is agreed to by the parties, the respondent is notified and the case is closed in accordance with the terms of the settlement.

              § 429.134
              Product-specific enforcement provisions.
              (a) General. The following provisions apply to assessment and enforcement testing of the relevant products and equipment.
              (b) Refrigerators, refrigerator-freezers, and freezers— (1) Verification of total refrigerated volume. The total refrigerated volume of the basic model will be measured pursuant to the test requirements of 10 CFR part 430 for each unit tested. The results of the measurement(s) will be averaged and compared to the value of total refrigerated volume certified by the manufacturer. The certified total refrigerated volume will be considered valid only if:
              (i) The measurement is within two percent, or 0.5 cubic feet (0.2 cubic feet for compact products), whichever is greater, of the certified total refrigerated volume, or
              (ii) The measurement is greater than the certified total refrigerated volume.
              (A) If the certified total refrigerated volume is found to be valid, the certified adjusted total volume will be used as the basis for calculation of maximum allowed energy use for the basic model.
              (B) If the certified total refrigerated volume is found to be invalid, the average measured adjusted total volume, rounded to the nearest 0.1 cubic foot, will serve as the basis for calculation of maximum allowed energy use for the tested basic model.
              (2) Test for models with two compartments, each having its own user-operable temperature control. The test described in section 3.3 of the applicable test procedure for refrigerators or refrigerator-freezers in appendix A to subpart B of 10 CFR part 430 shall be used for all units of a tested basic model before DOE makes a determination of noncompliance with respect to the basic model.
              (c) Clothes washers. (1) Determination of Remaining Moisture Content. The procedure for determining remaining moisture content (RMC) will be performed once in its entirety, pursuant to the test requirements of section 3.8 of appendix J1 and appendix J2 to subpart B of part 430, for each unit tested.
              (i) The measured RMC value of a tested unit will be considered the tested unit's final RMC value if the measured RMC value is within two RMC percentage points of the certified RMC value of the basic model (expressed as a percentage), or is lower than the certified RMC value.
              (ii) If the measured RMC value of a tested unit is more than two RMC percentage points higher than the certified RMC value of the basic model, DOE will perform two additional replications of the RMC measurement procedure, each pursuant to the provisions of section 3.8.5 of appendix J1 and appendix J2 to subpart B of part 430, for a total of three independent RMC measurements of the tested unit. The average of the three RMC measurements will be the tested unit's final RMC value and will be used as the basis for the calculation of per-cycle energy consumption for removal of moisture from the test load for that unit.
              (2) [Reserved]

              (d) Residential Water Heaters and Residential-Duty Commercial Water Heaters—(1) Verification of first-hour rating and maximum GPM rating. The first-hour rating or maximum gallons per minute (GPM) rating of the basic model will be measured pursuant to the test requirements of 10 CFR part 430 for each unit tested. The mean of the measured values will be compared to the rated values of first-hour rating or maximum GPM rating as certified by the manufacturer. The certified rating will be considered valid only if the measurement is within five percent of the certified rating.
              (i) If the rated value of first-hour rating or maximum GPM rating is found to be within 5 percent of the mean of the measured values, then the rated value will be used as the basis for determining the applicable draw pattern pursuant to the test requirements of 10 CFR part 430 for each unit tested.
              (ii) If the rated value of first-hour rating or maximum GPM rating is found to vary more than 5 percent from the measured values, then the mean of the measured values will serve as the basis for determining the applicable draw pattern pursuant to the test requirements of 10 CFR part 430 for each unit tested.
              (2) Verification of rated storage volume. The storage volume of the basic model will be measured pursuant to the test requirements of appendix E to subpart B of 10 CFR part 430 for each unit tested. The mean of the measured values will be compared to the rated storage volume as certified by the manufacturer. The rated value will be considered valid only if the measurement is within 3 percent of the certified rating.
              (i) If the rated storage volume is found to be within 3 percent of the mean of the measured value of storage volume, then the rated value will be used as the basis for calculation of the required uniform energy factor for the basic model.
              (ii) If the rated storage volume is found to vary more than 3 percent from the mean of the measured values, then the mean of the measured values will be used as the basis for calculation of the required uniform energy factor for the basic model.
              (e) Packaged terminal air conditioners and packaged terminal heat pumps—(1) Verification of cooling capacity. The total cooling capacity of the basic model will be measured pursuant to the test requirements of 10 CFR part 431 for each unit tested. The results of the measurement(s) will be averaged and compared to the value of cooling capacity certified by the manufacturer. The certified cooling capacity will be considered valid only if the average measured cooling capacity is within five percent of the certified cooling capacity.
              (i) If the certified cooling capacity is found to be valid, that cooling capacity will be used as the basis for calculation of minimum allowed EER (and minimum allowed COP for PTHP models) for the basic model.
              (ii) If the certified cooling capacity is found to be invalid, the average measured cooling capacity will serve as the basis for calculation of minimum allowed EER (and minimum allowed COP for PTHP models) for the tested basic model.
              (2) [Reserved]
              (f) Dehumidifiers—(1) Verification of capacity. The capacity will be measured pursuant to the test requirements of part 430 for each unit tested. The results of the measurement(s) will be averaged and compared to the value of capacity certified by the manufacturer for the basic model. The certified capacity will be considered valid only if the measurement is within five percent, or 1.00 pint per day, whichever is greater, of the certified capacity.
              (i) If the certified capacity is found to be valid, the certified capacity will be used as the basis for determining the minimum energy factor or integrated energy factor allowed for the basic model.
              (ii) If the certified capacity is found to be invalid, the average measured capacity of the units in the sample will be used as the basis for determining the minimum energy factor or integrated energy factor allowed for the basic model.

              (2) Verification of whole-home dehumidifier case volume. The case volume will be measured pursuant to the test requirements of part 430 for each unit tested. The results of the measurement(s) will be averaged and compared to the value of case volume certified by the manufacturer for the basic model. The certified case volume will be considered valid only if the measurement is within two percent, or 0.2 cubic feet, whichever is greater, of the certified case volume.
              (i) If the certified case volume is found to be valid, the certified case volume will be used as the basis for determining the minimum integrated energy factor allowed for the basic model.
              (ii) If the certified case volume is found to be invalid, the average measured case volume of the units in the sample will be used as the basis for determining the minimum integrated energy factor allowed for the basic model.
              (g) Air-cooled small (≥65,000 Btu/h and <135,000 Btu/h), large (≥135,000 Btu/h and <240,000 Btu/h), and very large (≥240,000 Btu/h and <760,000 Btu/h) commercial package air conditioning and heating equipment—verification of cooling capacity. The cooling capacity of each tested unit of the basic model will be measured pursuant to the test requirements of part 431 of this chapter. The mean of the measurement(s) will be used to determine the applicable standards for purposes of compliance.
              (h) Residential boilers—test protocols for functional verification of automatic means for adjusting water temperature. These tests are intended to verify the functionality of the design requirement that a boiler has an automatic means for adjusting water temperature for single-stage, two-stage, and modulating boilers. These test methods are intended to permit the functional testing of a range of control strategies used to fulfill this design requirement. Section 2, Definitions, and paragraph 6.1.a of appendix N to subpart B of part 430 of this chapter apply for the purposes of this paragraph (h).
              (1) Test protocol for all products other than single-stage products employing burner delay. This test is intended to verify whether an automatic means for adjusting water temperature other than burner delay produces an incremental change in water supply temperature in response to an incremental change in inferred heat load.
              (i) Boiler setup—(A) Boiler installation. Boiler installation in the test room shall be in accordance with the setup and apparatus requirements of section 6 of appendix N to subpart B of 10 CFR part 430.
              (B) Establishing flow rate and temperature rise. Start the boiler without enabling the means for adjusting water temperature. Establish a water flow rate that allows for a water temperature rise of greater than or equal to 20 °F at maximum input rate.
              (C) Temperature stabilization. Temperature stabilization is deemed to be obtained when the boiler supply water temperature does not vary by more than ±3 °F over a period of five minutes.
              (D) Adjust the inferential load controller. (1) Adjust the boiler controls (in accordance with the I&O manual) to the default setting that allows for activation of the means for adjusting water temperature. For boiler controls that do not allow for control adjustment during active mode operation, terminate call for heat and adjust the inferential load controller in accordance with the I&O manual and then reinitiate call for heat.
              (2) If the means for adjusting water temperature uses outdoor temperature reset, the maximum outdoor temperature setting (if equipped) should be set to a temperature high enough that the boiler operates continuously during the duration of this test (i.e., if the conditions in paragraph (h)(1)(ii)(A) of this section equal room ambient temperature, then the maximum outdoor temperature should be set at a temperature greater than the ambient air temperature during the test).
              (ii) Establish low inferred load conditions at minimum boiler supply water temperature—(A) Establish low inferred load conditions. (1) Establish the inferred load conditions (simulated using a controlling parameter, such as outdoor temperature, thermostat patterns, or boiler cycling) so that the supply water temperature is maintained at the minimum supply water temperature prescribed by the boiler manufacturer's temperature reset control strategy found in the I&O manual.

              (2) The minimum supply water temperature of the default temperature reset curve is usually provided in the I&O manual. If there is no recommended minimum supply water temperature, set the minimum supply water temperature equal to 20 °F less than the high supply water temperature specified in paragraph (h)(1)(iii)(A) of this section.
              (B) Supply water temperature stabilization at low inferred load. (1) Maintain the call for heat until the boiler supply water temperature has stabilized. Temperature stabilization is deemed to be obtained when the boiler supply water temperature does not vary by more than ±3 °F over a period of five minutes. The duration of time required to stabilize the supply water, following the procedure in paragraph (h)(1)(ii)(A) of this section, is dependent on the reset strategy and may vary from model to model.
              (2) Record the boiler supply water temperature while the temperature is stabilized.
              (iii) Establish high inferred load conditions at maximum boiler supply water temperature—(A) Establish high inferred load conditions. Establish the inferred load conditions so that the supply water temperature is set to the maximum allowable supply water temperature as prescribed in the I&O manual, or if there is no recommendation, set to a temperature greater than 170 °F.
              (B) Supply water temperature stabilization at high inferred load. (1) Maintain the call for heat until the boiler supply water temperature has stabilized. Temperature stabilization is deemed to be obtained when the boiler supply water temperature does not vary by more than ±3 °F over a period of five minutes. The duration of time required to stabilize the supply water, following the procedure in paragraph (h)(1)(iii)(A) of this section, is dependent on the reset strategy and may vary from model to model.
              (2) Record the boiler supply water temperature while the temperature is stabilized.
              (3) Terminate the call for heat.
              (iv) [Reserved]
              (2) Test protocol for single-stage products employing burner delay. This test will be used in place of paragraph (h)(1) of this section for products manufacturers have certified to DOE under § 429.18(b)(3) as employing a burner delay automatic means strategy. This test verifies whether the automatic means in single-stage boiler products establishes a burner delay upon a call for heat until the means has determined that the inferred heat load cannot be met by the residual heat of the water in the system.
              (i) Boiler setup—(A) Boiler installation. Boiler installation in the test room shall be in accordance with the setup and apparatus requirements by section 6.0 of appendix N to subpart B of 10 CFR part 430.
              (B) Activation of controls. Adjust the boiler controls in accordance with the I&O manual at the default setting that allows for activation of the means for adjusting water temperature.
              (C) Adjustment of water flow and temperature. The flow and temperature of inlet water to the boiler shall be capable of being adjusted manually.
              (ii) Boiler heat-up—(A) Boiler start-up. Power up the boiler and initiate a call for heat.
              (B) Adjustment of firing rate. Adjust the boiler's firing rate to within ±5% of its maximum rated input.
              (C) Establishing flow rate and temperature rise. Adjust the water flow through the boiler to achieve a ΔT of 20 °F (±2 °F) or greater with an inlet water temperature equal to 140 °F (±2 °F).
              (D) Terminate the call for heating. Terminate the call for heat, stop the flow of water through the boiler, and record the time at termination.
              (iii) Verify burner delay—(A) Reinitiate call for heat. Within three (3) minutes of termination (paragraph (h)(2)(ii)(D) of this section) and without adjusting the inlet water flow rate or temperature as specified in paragraph (h)(2)(ii)(C) of this section, reinitiate the call for heat and water flow and record the time.
              (B) Verify burner ignition. At 15-second intervals, record time and supply water temperature until the main burner ignites.
              (C) Terminate the call for heat.

              (iv) [Reserved]
              (i) Pumps—(1) General purpose pumps. (i) The volume rate of flow (flow rate) at BEP and nominal speed of rotation of each tested unit of the basic model will be measured pursuant to the test requirements of § 431.464 of this chapter, where the value of volume rate of flow (flow rate) at BEP and nominal speed of rotation certified by the manufacturer will be treated as the expected BEP flow rate. The results of the measurement(s) will be compared to the value of volume rate of flow (flow rate) at BEP and nominal speed of rotation certified by the manufacturer. The certified volume rate of flow (flow rate) at BEP and nominal speed of rotation will be considered valid only if the measurement(s) (either the measured volume rate of flow (flow rate) at BEP and nominal speed of rotation for a single unit sample or the average of the measured flow rates for a multiple unit sample) is within five percent of the certified volume rate of flow (flow rate) at BEP and nominal speed of rotation.

              (A) If the representative value of volume rate of flow (flow rate) at BEP and nominal speed of rotation is found to be valid, the measured volume rate of flow (flow rate) at BEP and nominal speed of rotation will be used in subsequent calculations of constant load pump energy rating (PERCL) and constant load pump energy index (PEICL) or variable load pump energy rating (PERVL) and variable load pump energy index (PEIVL) for that basic model.
              (B) If the representative value of volume rate of flow (flow rate) at BEP and nominal speed of rotation is found to be invalid, the mean of all the measured volume rate of flow (flow rate) at BEP and nominal speed of rotation values determined from the tested unit(s) will serve as the new expected BEP flow rate and the unit(s) will be retested until such time as the measured rate of flow (flow rate) at BEP and nominal speed of rotation is within 5 percent of the expected BEP flow rate.
              (ii) DOE will test each pump unit according to the test method specified by the manufacturer in the certification report submitted pursuant to § 429.59(b).
              (2) Dedicated-purpose pool pumps. (i) The rated hydraulic horsepower of each tested unit of the basic model of dedicated-purpose pool pump will be measured pursuant to the test requirements of § 431.464(b) of this chapter and the result of the measurement(s) will be compared to the value of rated hydraulic horsepower certified by the manufacturer. The certified rated hydraulic horsepower will be considered valid only if the measurement(s) (either the measured rated hydraulic horsepower for a single unit sample or the average of the measured rated hydraulic horsepower values for a multiple unit sample) is within 5 percent of the certified rated hydraulic horsepower.
              (A) If the representative value of rated hydraulic horsepower is found to be valid, the value of rated hydraulic horsepower certified by the manufacturer will be used to determine the standard level for that basic model.
              (B) If the representative value of rated hydraulic horsepower is found to be invalid, the mean of all the measured rated hydraulic horsepower values determined from the tested unit(s) will be used to determine the standard level for that basic model.
              (ii) To verify the self-priming capability of non-self-priming pool filter pumps and of self-priming pool filter pumps that are not certified with NSF/ANSI 50-2015 (incorporated by reference, see § 429.4) as self-priming, the vertical lift and true priming time of each tested unit of the basic model of self-priming or non-self-priming pool filter pump will be measured pursuant to the test requirements of § 431.464(b) of this chapter.
              (A) For self-priming pool filter pumps that are not certified with NSF/ANSI 50-2015 as self-priming, at a vertical lift of 5.0 feet, the result of the true priming time measurement(s) will be compared to the value of true priming time certified by the manufacturer. The certified value of true priming time will be considered valid only if the measurement(s) (either the measured true priming time for a single unit sample or the average of true priming time values for a multiple unit sample) is within 5 percent of the certified value of true priming time.
              (1) If the representative value of true priming time is found to be valid, the value of true priming time certified by the manufacturer will be used to determine the appropriate equipment class and standard level for that basic model.
              (2) If the representative value of true priming time is found to be invalid, the mean of the values of true priming time determined from the tested unit(s) will be used to determine the appropriate equipment class and standard level for that basic model.
              (B) For non-self-priming pool filter pumps, at a vertical lift of 5.0 feet, the result of the true priming time measurement(s) (either the measured true priming time for a single unit sample or the average of true priming time values, for a multiple unit sample) will be compared to the value of true priming time referenced in the definition of non-self-priming pool filter pump at § 431.462 (10.0 minutes).
              (1) If the measurement(s) of true priming time are greater than 95 percent of the value of true priming time referenced in the definition of non-self-priming pool filter pump at § 431.462 with a vertical lift of 5.0 feet, the DPPP model will be considered a non-self-priming pool filter pump for the purposes of determining the appropriate equipment class and standard level for that basic model.
              (2) If the conditions specified in paragraph (i)(2)(ii)(B)(1) of this section are not satisfied, then the DPPP model will be considered a self-priming pool filter pump for the purposes of determining the appropriate equipment class and standard level for that basic model.
              (iii) To verify the maximum head of self-priming pool filter pump, non-self-priming pool filter pumps, and waterfall pumps, the maximum head of each tested unit of the basic model of self-priming pool filter pump, non-self-priming pool filter pump, or waterfall pump will be measured pursuant to the test requirements of § 431.464(b) of this chapter and the result of the measurement(s) will be compared to the value of maximum head certified by the manufacturer. The certified value of maximum head will be considered valid only if the measurement(s) (either the measured maximum head for a single unit sample or the average of the maximum head values for a multiple unit sample) is within 5 percent of the certified values of maximum head.
              (A) If the representative value of maximum head is found to be valid, the value of maximum head certified by the manufacturer will be used to determine the appropriate equipment class and standard level for that basic model.
              (B) If the representative value of maximum head is found to be invalid, the measured value(s) of maximum head determined from the tested unit(s) will be used to determine the appropriate equipment class and standard level for that basic model.
              (iv) To verify that a DPPP model complies with the applicable freeze protection control design requirements, the initiation temperature, run-time, and speed of rotation of the default control configuration of each tested unit of the basic model of dedicated-purpose pool pump will be evaluated according to the procedure specified in paragraph (i)(2)(iv)(A) of this section:
              (A)(1) Set up and configure the dedicated-purpose pool pump under test according to the manufacturer instructions, including any necessary initial priming, in a test apparatus as described in appendix A of HI 40.6-2014-B (incorporated by reference, see § 429.4), except that the ambient temperature registered by the freeze protection ambient temperature sensor will be able to be measured and controlled by, for example, exposing the freeze protection temperature sensor to a specific temperature by submerging the sensor in a water bath of known temperature, by adjusting the actual ambient air temperature of the test chamber and measuring the temperature at the freeze protection ambient temperature sensor location, or by other means that allows the ambient temperature registered by the freeze protection temperature sensor to be reliably simulated, varied, and measured. Do not adjust the default freeze protection control settings or enable the freeze protection control if it is shipped disabled.
              (2) Activate power to the pump with the flow rate set to zero (i.e., the pump is energized but not circulating water). Set the ambient temperature to 42.0 ± 0.5  °F and allow the temperature to stabilize, where stability is determined in accordance with section 40.6.3.2.2 of HI 40.6-2014-B. After 5 minutes, decrease the temperature measured by the freeze protection temperature sensor by 1.0 ± 0.5  °F and allow the temperature to stabilize. After each reduction in ambient temperature and subsequent stabilization, record the DPPP rotating speed, if any, and freeze protection ambient temperature reading, where the “freeze protection ambient temperature reading” is representative of the temperature measured by the freeze protection ambient temperature sensor, which may be recorded by a variety of means depending on how the temperature is being simulated and controlled. If no flow is initiated, record zero rpm or no flow. Continue decreasing the temperature measured by the freeze protection temperature sensor by 1.0 ± 0.5  °F after 5.0 minutes of stable operation at the previous temperature reading until the pump freeze protection initiates water circulation or until the ambient temperature of 38.0 ± 0.5  °F has been evaluated (i.e., the end of the 5.0 minute interval of 38.0  °F), whichever occurs first.
              (3) If and when the DPPP freeze protection controls initiate water circulation, increase the ambient temperature reading registered by the freeze protection temperature sensor to a temperature of 42.0 ± 0.5  °F and maintain that temperature for 60.0 minutes. Do not modify or interfere with the operation of the DPPP freeze protection operating cycle. After 60.0 minutes, record the freeze protection ambient temperature and rotating speed, if any, of the dedicated-purpose pool pump under test.
              (B) If the dedicated-purpose pool pump initiates water circulation at a temperature greater than 40.0  °F; if the dedicated-purpose pool pump was still circulating water after 60.0 minutes of operation at 42.0 ± 0.5  °F; or if rotating speed measured at any point during the DPPP freeze protection control test in paragraph (i)(2)(iii)(A) of this section was greater than one-half of the maximum rotating speed of the DPPP model certified by the manufacturer, that DPPP model is deemed to not comply with the design requirement for freeze protection controls.
              (C) If none of the conditions specified in paragraph (i)(2)(iv)(B) of this section are met, including if the DPPP freeze protection control does not initiate water circulation at all during the test, the dedicated-purpose pool pump under test is deemed compliant with the design requirement for freeze protection controls.
              (j) Refrigerated bottled or canned beverage vending machines—(1) Verification of refrigerated volume. The refrigerated volume (V) of each tested unit of the basic model will be measured pursuant to the test requirements of 10 CFR 431.296. The results of the measurement(s) will be compared to the representative value of refrigerated volume certified by the manufacturer. The certified refrigerated volume will be considered valid only if the measurement(s) (either the measured refrigerated volume for a single unit sample or the average of the measured refrigerated volumes for a multiple unit sample) is within five percent of the certified refrigerated volume.
              (i) If the representative value of refrigerated volume is found to be valid, the certified refrigerated volume will be used as the basis for calculation of maximum daily energy consumption for the basic model.
              (ii) If the representative value of refrigerated volume is found to be invalid, the average measured refrigerated volume determined from the tested unit(s) will serve as the basis for calculation of maximum daily energy consumption for the tested basic model.
              (2) Verification of surface area, transparent, and non-transparent areas. The percent transparent surface area on the front side of the basic model will be measured pursuant to these requirements for the purposes of determining whether a given basic model meets the definition of Class A or Combination A, as presented at 10 CFR 431.292. The transparent and non-transparent surface areas shall be determined on the front side of the beverage vending machine at the outermost surfaces of the beverage vending machine cabinet, from edge to edge, excluding any legs or other protrusions that extend beyond the dimensions of the primary cabinet. Determine the transparent and non-transparent areas on each side of a beverage vending machine as described in paragraphs (j)(2)(i) and (ii) of this section. For combination vending machines, disregard the surface area surrounding any refrigerated compartments that are not designed to be refrigerated (as demonstrated by the presence of temperature controls), whether or not it is transparent. Determine the percent transparent surface area on the front side of the beverage vending machine as a ratio of the measured transparent area on that side divided by the sum of the measured transparent and non-transparent areas, multiplying the result by 100.
              (i) Determination of transparent area. Determine the total surface area that is transparent as the sum of all surface areas on the front side of a beverage vending machine that meet the definition of transparent at 10 CFR 431.292. When determining whether or not a particular wall segment is transparent, transparency should be determined for the aggregate performance of all the materials between the refrigerated volume and the ambient environment; the composite performance of all those materials in a particular wall segment must meet the definition of transparent for that area be treated as transparent.
              (ii) Determination of non-transparent area. Determine the total surface area that is not transparent as the sum of all surface areas on the front side of a beverage vending machine that are not considered part of the transparent area, as determined in accordance with paragraph (j)(2)(i) of this section.
              (k) Central air conditioners and heat pumps—(1) Verification of cooling capacity. The cooling capacity of each tested unit of the individual model (for single-package systems) or individual combination (for split systems) will be measured pursuant to the test requirements of § 430.23(m) of this chapter. The mean of the measurement(s) (either the measured cooling capacity for a single unit sample or the average of the measured cooling capacities for a multiple unit sample) will be used to determine the applicable standards for purposes of compliance.
              (2) Verification of C
                D value. (i) For central air conditioners and heat pumps other than models of outdoor units with no match, if manufacturers certify that they did not conduct the optional tests to determine the Cc and/or Ch value for an individual model (for single-package systems) or individual combination (for split systems), as applicable, the default Cc and/or Ch value will be used as the basis for calculation of SEER or HSPF for each unit tested. If manufacturers certify that they conducted the optional tests to determine the Cc and/or Ch value for an individual model (for single-package systems) or individual combination (for split systems), as applicable, the Cc and/or Ch value will be measured pursuant to the test requirements of § 430.23(m) of this chapter for each unit tested and the result for each unit tested (either the tested value or the default value, as selected according to the criteria for the cyclic test in 10 CFR part 430, subpart B, appendix M, section 3.5e) used as the basis for calculation of SEER or HSPF for that unit.

              (ii) For models of outdoor units with no match, DOE will use the default Cc and/or Ch value pursuant to 10 CFR part 430.
              (l) Miscellaneous refrigeration products—(1) Verification of total refrigerated volume. For all miscellaneous refrigeration products, the total refrigerated volume of the basic model will be measured pursuant to the test requirements of part 430 of this chapter for each unit tested. The results of the measurement(s) will be averaged and compared to the value of total refrigerated volume certified by the manufacturer. The certified total refrigerated volume will be considered valid only if:
              (i) The measurement is within two percent, or 0.5 cubic feet (0.2 cubic feet for products with total refrigerated volume less than 7.75 cubic feet (220 liters)), whichever is greater, of the certified total refrigerated volume; or
              (ii) The measurement is greater than the certified total refrigerated volume.

              (A) If the certified total refrigerated volume is found to be valid, the certified adjusted total volume will be used as the basis for calculating the maximum allowed energy use for the tested basic model.

              (B) If the certified total refrigerated volume is found to be invalid, the average measured adjusted total volume, rounded to the nearest 0.1 cubic foot, will serve as the basis for calculating the maximum allowed energy use for the tested basic model.
              (2) Test for models with two compartments, each having its own user-operable temperature control. The test described in section 3.3 of the applicable test procedure in appendix A to subpart B part 430 of this chapter shall be used for all units of a tested basic model before DOE makes a determination of noncompliance with respect to the basic model.
              (m) Commercial packaged boilers—(1) Verification of fuel input rate. The fuel input rate of each tested unit will be measured pursuant to the test requirements of § 431.86 of this chapter. The results of the measurement(s) will be compared to the value of rated input certified by the manufacturer. The certified rated input will be considered valid only if the measurement(s) (either the measured fuel input rate for a single unit sample or the average of the measured fuel input rates for a multiple unit sample) is within two percent of the certified rated input.
              (i) If the measured fuel input rate is within two-percent of the certified rated input, the certified rated input will serve as the basis for determination of the appropriate equipment class(es) and the mean measured fuel input rate will be used as the basis for calculation of combustion and/or thermal efficiency for the basic model.
              (ii) If the measured fuel input rate for a gas-fired commercial packaged boiler is not within two-percent of the certified rated input, DOE will first attempt to increase or decrease the gas manifold pressure within the range specified in manufacturer's installation and operation manual shipped with the commercial packaged boiler being tested (or, if not provided in the manual, in supplemental instructions provided by the manufacturer pursuant to § 429.60(b)(4) of this chapter) to achieve the certified rated input (within two-percent). If the fuel input rate is still not within two-percent of the certified rated input, DOE will attempt to increase or decrease the gas inlet pressure within the range specified in manufacturer's installation and operation manual shipped with the commercial packaged boiler being tested (or, if not provided in the manual, in supplemental instructions provided by the manufacturer pursuant to § 429.60(b)(4)) to achieve the certified rated input (within two-percent). If the fuel input rate is still not within two-percent of the certified rated input, DOE will attempt to modify the gas inlet orifice if the unit is equipped with one. If the fuel input rate still is not within two percent of the certified rated input, the mean measured fuel input rate (either for a single unit sample or the average of the measured fuel input rates for a multiple unit sample) will serve as the basis for determination of the appropriate equipment class(es) and calculation of combustion and/or thermal efficiency for the basic model.
              (iii) If the measured fuel input rate for an oil-fired commercial packaged boiler is not within two-percent of the certified rated input, the mean measured fuel input rate (either for a single unit sample or the average of the measured fuel input rates for a multiple unit sample) will serve as the basis for determination of the appropriate equipment class(es) and calculation of combustion and/or thermal efficiency for the basic model.
              (2) Models capable of producing both hot water and steam. For a model of commercial packaged boiler that is capable of producing both hot water and steam, DOE may measure the thermal or combustion efficiency as applicable (see § 431.87 of this chapter) for steam and/or hot water modes. DOE will evaluate compliance based on the measured thermal or combustion efficiency in steam and hot water modes, independently.
              (n) Commercial water heating equipment other than residential-duty commercial water heaters—(1) Verification of fuel input rate. The fuel input rate of each tested unit of the basic model will be measured pursuant to the test requirements of § 431.106 of this chapter. The measured fuel input rate (either the measured fuel input rate for a single unit sample or the average of the measured fuel input rates for a multiple unit sample) will be compared to the rated input certified by the manufacturer. The certified rated input will be considered valid only if the measured fuel input rate is within two percent of the certified rated input.
              (i) If the certified rated input is found to be valid, then the certified rated input will serve as the basis for determination of the appropriate equipment class and calculation of the standby loss standard (as applicable).
              (ii) If the measured fuel input rate for gas-fired commercial water heating equipment is not within two percent of the certified rated input, DOE will first attempt to increase or decrease the gas outlet pressure within 10 percent of the value specified on the nameplate of the model of commercial water heating equipment being tested to achieve the certified rated input (within 2 percent). If the fuel input rate is still not within two percent of the certified rated input, DOE will attempt to increase or decrease the gas supply pressure within the range specified on the nameplate of the model of commercial water heating equipment being tested. If the measured fuel input rate is still not within two percent of the certified rated input, DOE will attempt to modify the gas inlet orifice, if the unit is equipped with one. If the measured fuel input rate still is not within two percent of the certified rated input, the measured fuel input rate will serve as the basis for determination of the appropriate equipment class and calculation of the standby loss standard (as applicable).
              (iii) If the measured fuel input rate for oil-fired commercial water heating equipment is not within two percent of the certified rated input, the measured fuel input rate will serve as the basis for determination of the appropriate equipment class and calculation of the standby loss standard (as applicable).
              (2) [Reserved]
              (o) Uninterruptible power supplies. (1) Determine the UPS architecture by performing the tests specified in the definitions of VI, VFD, and VFI in sections 2.28.1 through 2.28.3 of appendix Y to subpart B of 10 CFR part 430.
              (2) [Reserved]
              (p) Compressors—(1) Verification of full-load operating pressure. (i) The maximum full-flow operating pressure of each tested unit of the basic model will be measured pursuant to the test requirements of appendix A to subpart T of part 431 of this chapter, where 90 percent of the value of full-load operating pressure certified by the manufacturer will be the starting point of the test method prior to increasing discharge pressure. The measured maximum full-flow operating pressure (either the single measured value for a single unit sample or the mean of the measured maximum full-flow operating pressures for a multiple unit sample) will be compared to the certified rating for full-load operating pressure to determine if the certified rating is valid or not. The certified rating for full-load operating pressure will be considered valid only if the certified rating for full-load operating pressure is less than or equal to the measured maximum full-flow operating pressure and greater than or equal to the lesser of—
              (A) 90 percent of the measured maximum full-flow operating pressure; or
              (B) 10 psig less than the measured maximum full-flow operating pressure.
              (ii) If the certified full-load operating pressure is found to be valid, then the certified value will be used as the full-load operating pressure and will be the basis for determination of full-load actual volume flow rate, pressure ratio at full-load operating pressure, specific power, and package isentropic efficiency.
              (iii) If the certified full-load operating pressure is found to be invalid, then the measured maximum full-flow operating pressure will be used as the full-load operating pressure and will be the basis for determination of full-load actual volume flow rate, pressure ratio at full-load operating pressure, specific power, and package isentropic efficiency.
              (2) Verification of full-load actual volume flow rate. The measured full-load actual volume flow rate will be measured, pursuant to the test requirements of appendix A to subpart T of part 431 of this chapter, at the full-load operating pressure determined in paragraph (p)(1) of this section. The certified full-load actual volume flow rate will be considered valid only if the measurement(s) (either the measured full-load actual volume flow rate for a single unit sample or the mean of the measured values for a multiple unit sample) are within the percentage of the certified full-load actual volume flow rate specified in Table 1 of this section:

                Table 1 of § 429.134—Allowable Percentage Deviation From the Certified Full-Load Actual Volume Flow Rate

                  Manufacturer certified full-load actual volume flow rate(m3/s) × 10−3

                  Allowablepercent of the certified
                    full-load
                    actual volume
                    flow rate
                    (%)

                  0 < and ≤ 8.3
                  ±7

                  8.3 < and ≤ 25
                  ±6

                  25 < and ≤ 250
                  ±5

                  > 250
                  ±4

              (i) If the certified value of full-load actual volume flow rate is found to be valid, the full-load actual volume flow rate certified by the manufacturer will be used as the basis for determination of the applicable standard.
              (ii) If the certified value of full-load actual volume flow rate is found to be invalid, the entire sample (one or multiple units) will be considered as failing the enforcement test.
              (3) Ancillary equipment. Prior to testing each compressor, DOE will install any required ancillary equipment specified by the manufacturer in the certification report submitted pursuant to § 429.63(b).
              (q) Walk-in coolers and walk-in freezers. (1) If DOE determines that a basic model of a panel, door, or refrigeration system for walk-in coolers or walk-in freezers fails to meet an applicable energy conservation standard, then the manufacturer of that basic model is responsible for the noncompliance. If DOE determines that a complete walk-in cooler or walk-in freezer or component thereof fails to meet an applicable energy conservation standard, then the manufacturer of that walk-in cooler or walk-in freezer is responsible for the noncompliance with the applicable standard, except that the manufacturer of a complete walk-in cooler or walk-in freezer is not responsible for the use of components that were certified and labeled (in accordance with DOE labeling requirements) as compliant by another party and later found to be noncompliant with the applicable standard(s).
              (2) Verification of refrigeration system net capacity. The net capacity of the refrigeration system basic model will be measured pursuant to the test requirements of 10 CFR part 431, subpart R, appendix C for each unit tested. The results of the measurement(s) will be averaged and compared to the value of net capacity certified by the manufacturer. The certified net capacity will be considered valid only if the average measured net capacity is within plus or minus five percent of the certified net capacity.
              (i) If the certified net capacity is found to be valid, the certified net capacity will be used as the basis for calculating the AWEF of the basic model.
              (ii) If the certified net capacity is found to be invalid, the average measured net capacity will serve as the basis for calculating the annual energy consumption for the basic model.
              (3) Verification of door surface area. The surface area of a display door or non-display door basic model will be measured pursuant to the requirements of 10 CFR part 431, subpart R, appendix A for each unit tested. The results of the measurement(s) will be averaged and compared to the value of the surface area certified by the manufacturer. The certified surface area will be considered valid only if the average measured surface area is within plus or minus three percent of the certified surface area.
              (i) If the certified surface area is found to be valid, the certified surface area will be used as the basis for calculating the maximum energy consumption (kWh/day) of the basic model.
              (ii) If the certified surface area is found to be invalid, the average measured surface area will serve as the basis for calculating the maximum energy consumption (kWh/day) of the basic model.

              (4) For each basic model of walk-in cooler and walk-in freezer door, DOE will calculate the door's energy consumption using the power listed on the nameplate of each electricity consuming device shipped with the door. If an electricity consuming device shipped with a walk-in door does not have a nameplate or such nameplate does not list the device's power, then DOE will use the device's “rated power” included in the door's certification report.
              [79 FR 22348, Apr. 21, 2014, as amended at 79 FR 40566, July 11, 2014; 80 FR 37148, June 30, 2015; 80 FR 45824, July 31, 2015; 80 FR 46760, Aug. 5, 2015; 80 FR 79669, Dec. 23, 2015; 81 FR 2646, Jan. 15, 2016; 81 FR 15426, Mar. 23, 2016; 81 FR 24009, Apr. 25, 2016; 81 FR 37055, June 8, 2016; 81 FR 38395, June 13, 2016; 81 FR 46791, July 18, 2016; 81 FR 79320, Nov. 10, 2016; 81 FR 96236, Dec. 29, 2016; 81 FR 89304, Dec. 9, 2016; 81 FR 89822, Dec. 12, 2016; 81 FR 95800, Dec. 28, 2016; 82 FR 1100, Jan. 4, 2017; 82 FR 36919, Aug. 7, 2017]

              Regional Standards Enforcement Procedures

                § 429.140
                Regional standards enforcement procedures.
                Sections 429.140 through 429.158 provide enforcement procedures specific to the violations enumerated in § 429.102(c). These provisions explain the responsibilities of manufacturers, private labelers, distributors, contractors and dealers with respect to central air conditioners subject to regional standards; however, these provisions do not limit the responsibilities of parties otherwise subject to 10 CFR parts 429 and 430.
                [81 FR 45402, July 14, 2016]

                § 429.142
                Records retention.
                (a) Record retention. The following entities must maintain the specified records—(1) Contractors and dealers. (i) Contractors and dealers must retain the following records for at least 48 months from the date of installation of a central air conditioner in the states of Alabama, Arizona, Arkansas, California, Delaware, Florida, Georgia, Hawaii, Kentucky, Louisiana, Maryland, Mississippi, Nevada, New Mexico, North Carolina, Oklahoma, South Carolina, Tennessee, Texas, or Virginia or in the District of Columbia:
                (A) For split-system central air conditioner outdoor units: The manufacturer name, model number, serial number, location of installation (including street address, city, state, and zip code), date of installation, and party from whom the unit was purchased (including person's name, full address, and phone number); and
                (B) For split-system central air conditioner indoor units: The manufacturer name, model number, location of installation (including street address, city, state, and zip code), date of installation, and party from whom the unit was purchased (including person's name, full address, and phone number).
                (ii) Contractors and dealers must retain the following, additional records for at least 48 months from the date of installation of a central air conditioner in the states of Arizona, California, Nevada, and New Mexico:
                (A) For single-package central air conditioners: The manufacturer name, model number, serial number, location of installation (including street address, city, state, and zip code), date of installation, and party from whom the unit was purchased (including person's name, full address, and phone number).
                (B) [Reserved]
                (2) Distributors. Beginning July 1, 2016, all distributors must retain the following records for no less than 54 months from the date of sale:
                (i) For split-system central air conditioner outdoor units: The outdoor unit manufacturer, outdoor unit model number, outdoor unit serial number, date unit was purchased from manufacturer, party from whom the unit was purchased (including company or individual's name, full address, and phone number), date unit was sold to contractor or dealer, party to whom the unit was sold (including company or individual's name, full address, and phone number), and, if delivered, delivery address.
                (ii) For single-package air conditioners: The manufacturer, model number, serial number, date unit was purchased from manufacturer, party from whom the unit was purchased (including company or individual's name, full address, and phone number), date unit was sold to a contractor or dealer, party to whom the unit was sold (including company or individual's name, full address, and phone number), and, if delivered, delivery address.
                (3) Manufacturers and private labelers. All manufacturers and private labelers must retain the following records for no less than 60 months from the date of sale:
                (i) For split system air conditioner outdoor units: The model number, serial number, date of manufacture, date of sale, and party to whom the unit was sold (including person's name, full address, and phone number);
                (ii) For split system central air conditioner indoor units: The model number, date of manufacture, date of sale, and party to whom the unit was sold (including person's name, full address, and phone number); and
                (iii) For single-package central air conditioners: The model number, serial number, date of manufacture, date of sale, and party to whom the unit was sold (including person's name, full address, and phone number).
                (b) [Reserved]
                [81 FR 45402, July 14, 2016]

                § 429.144
                Records request.
                (a) DOE must have reasonable belief a violation has occurred to request records specific to an on-going investigation of a violation of central air conditioner regional standards.
                (b) Upon request, the manufacturer, private labeler, distributor, dealer, or contractor must provide to DOE the relevant records within 30 calendar days of the request.
                (1) DOE, at its discretion, may grant additional time for records production if the party from whom records have been requested has made a good faith effort to produce records.
                (2) To request additional time, the party from whom records have been requested must produce all records gathered in 30 days and provide to DOE a written explanation of the need for additional time with the requested date for completing the production of records.
                [81 FR 45402, July 14, 2016]

                § 429.146
                Notice of violation.
                (a) If DOE determines a party has committed a violation of regional standards, DOE will issue a Notice of Violation advising that party of DOE's determination.
                (b) If, however, DOE determines a noncompliant installation occurred in only one instance, the noncompliant installation is remediated prior to DOE issuing a Notice of Violation, and the party has no history of prior violations, DOE will not issue such notice.
                (c) If DOE does not find a violation of regional standards, DOE will notify the party under investigation.
                [81 FR 45403, July 14, 2016]

                § 429.148
                Routine violator.
                (a) DOE will consider, inter alia, the following factors in determining if a person is a routine violator: Number of violations in current and past cases, length of time over which violations occurred, ratio of compliant to noncompliant installations or sales, percentage of employees committing violations, evidence of intent, evidence of training or education provided, and subsequent remedial actions.
                (b) In the event that DOE determines a person to be a routine violator, DOE will issue a Notice of Finding of Routine Violation.
                (c) In making a finding of Routine Violation, DOE will consider whether the Routine Violation was limited to a specific location. If DOE finds that the routine violation was so limited, DOE may, in its discretion, in the Notice of Finding of Routine Violation limit the prohibition on manufacturer and/or private labeler sales to a particular contractor or distribution location.
                [81 FR 45403, July 14, 2016]

                § 429.150
                Appealing a finding of routine violation.
                (a) Any person found to be a routine violator may, within 30 calendar days after the date of Notice of Finding of Routine Violation, request an administrative appeal to the Office of Hearings and Appeals.
                (b) The appeal must present information rebutting the finding of violation(s).
                (c) The Office of Hearings and Appeals will issue a decision on the appeal within 45 days of receipt of the appeal.
                (d) A routine violator must file a Notice of Intent to Appeal with the Office of Hearings and Appeals within three business days of the date of the Notice of Finding of Routine Violation, serving a copy on the Office of the Assistant General Counsel for Enforcement to retain the ability to buy central air conditioners during the pendency of the appeal.
                [81 FR 45403, July 14, 2016]

                § 429.152
                Removal of finding of “routine violator”.
                (a) A routine violator may be removed from DOE's list of routine violators through completion of remediation in accordance with the requirements in § 429.154.
                (b) A routine violator that wants to remediate must contact the Office of the Assistant General Counsel for Enforcement via the point of contact listed in the Notice of Finding of Routine Violation and identify the distributor(s), manufacturer(s), or private labeler(s) from whom it wishes to buy compliant replacement product.
                (c) DOE will contact the distributor(s), manufacturer(s), or private labeler(s) and authorize sale of central air conditioner units to the routine violator for purposes of remediation within 3 business days of receipt of the request for remediation. DOE will provide the manufacturer(s), distributor(s), and/or private labeler(s) with an official letter authorizing the sale of units for purposes of remediation.
                (d) DOE will contact routine violators that requested units for remediation within 30 days of sending the official letter to the manufacturer(s), distributor(s), and/or private labeler(s) to determine the status of the remediation.
                (e) If remediation is successfully completed, DOE will issue a Notice indicating a person is no longer considered to be a routine violator. The Notice will be issued no more than 30 days after DOE has received documentation demonstrating that remediation is complete.
                [81 FR 45403, July 14, 2016]

                § 429.154
                Remediation.
                (a) Any party found to be in violation of the regional standards may remediate by replacing the noncompliant unit at cost to the violator; the end user cannot be charged for any costs of remediation.
                (1) If a violator is unable to replace all noncompliant installations, then the Department may, in its discretion, consider the remediation complete if the violator satisfactorily demonstrates to the Department that it attempted to replace all noncompliant installations.
                (2) The Department will scrutinize any “failed” attempts at replacement to ensure that there was indeed a good faith effort to complete remediation of the noncompliant unit.
                (b) The violator must provide to DOE the serial number of any outdoor unit and/or indoor unit installed not in compliance with the applicable regional standard as well as the serial number(s) of the replacement unit(s) to be checked by the Department against warranty and other replacement claims.
                (c) If the remediation is approved by the Department, then DOE will issue a Notice of Remediation and the violation will not count towards a finding of “routine violator”.
                [81 FR 45403, July 14, 2016]

                § 429.156
                Manufacturer and private labeler liability.
                (a) In accordance with § 429.102, paragraphs (a)(10) and (c), manufacturers and private labelers are prohibited from selling central air conditioners and heat pumps to a routine violator.
                (1) To avoid financial penalties, manufacturers and/or private labelers must cease sales to a routine violator within 3 business days from the date of issuance of a Notice of Finding of Routine Violation.
                (2) If a Routine Violator files a Notice of Intent to Appeal pursuant to § 429.150, then a manufacturer and/or private labeler may assume the risk of selling central air conditioners to the Routine Violator during the pendency of the appeal.
                (3) If the appeal of the Finding of Routine Violator is denied, then the manufacturer and/or private labeler may be fined in accordance with § 429.120, for sale of any units to a routine violator during the pendency of the appeal that do not meet the applicable regional standard.

                (b) If a manufacturer and/or private labeler has knowledge of routine violation, then the manufacturer can be held liable for all sales that occurred after the date the manufacturer had knowledge of the routine violation. However, if the manufacturer and/or private labeler reports its suspicion of a routine violation to DOE within 15 days of receipt of such knowledge, then it will not be liable for product sold to the suspected routine violator prior to reporting the routine violation to DOE.
                [81 FR 45403, July 14, 2016]

                § 429.158
                Product determined noncompliant with regional standards.
                (a) If DOE determines a model of outdoor unit fails to meet the applicable regional standard(s) when tested in a combination certified by the same manufacturer, then the outdoor unit basic model will be deemed noncompliant with the regional standard(s). In accordance with § 429.102(c), the outdoor unit manufacturer and/or private labeler is liable for distribution of noncompliant units in commerce.
                (b) If DOE determines a combination fails to meet the applicable regional standard(s) when tested in a combination certified by a manufacturer other than the outdoor unit manufacturer (e.g., ICM), then that combination is deemed noncompliant with the regional standard(s). In accordance with § 429.102(c), the certifying manufacturer is liable for distribution of noncompliant units in commerce.
                (c) All such units manufactured and distributed in commerce are presumed to have been installed in a region where they would not comply with the applicable energy conservation standard; however, a manufacturer and/or private labeler may demonstrate through installer records that individual units were installed in a region where the unit is compliant with the applicable standards.
                [81 FR 45404, July 14, 2016]

              Pt. 429, Subpt. C, App. A
              Appendix A to Subpart C of Part 429—Sampling Plan for Enforcement Testing of Covered Consumer Products and Certain High-Volume Commercial Equipment
              (a) The first sample size (n
                1) for enforcement testing must be four or more units, except as provided by § 429.57(e)(1)(i).

              (b) Compute the mean of the measured energy performance (x1) for all tests as follows:

                ER07MR11.132

              where xi is the measured energy or water efficiency or consumption from test i, and n1 is the total number of tests.

              (c) Compute the standard deviation (s1) of the measured energy performance from the n1 tests as follows:

                ER07MR11.133

              (d) Compute the standard error (sx1) of the measured energy performance from the n1 tests as follows:

                ER07MR11.134

              (e)(1) Compute the upper control limit (UCL1) and lower control limit (LCL1) for the mean of the first sample using the applicable DOE energy efficiency standard (EES) as the desired mean and a probability level of 95 percent (two-tailed test) as follows:

              LCL1 EES — ts X
                1
                X

                ER07MR11.135

              where t is the statistic based on a 95 percent two-tailed probability level with degrees of freedom (n1−1).

              (2) For an energy efficiency or water efficiency standard, compare the mean of the first sample (x1) with the upper and lower control limits (UCL1 and LCL1) to determine one of the following:
              (i) If the mean of the first sample is below the lower control limit, then the basic model is in noncompliance and testing is at an end. (Do not go on to any of the steps below.)
              (ii) If the mean of the first sample is equal to or greater than the upper control limit, then the basic model is in compliance and testing is at an end. (Do not go on to any of the steps below.)
              (iii) If the sample mean is equal to or greater than the lower control limit but less than the upper control limit, then no determination of compliance or noncompliance can be made and a second sample size is determined by Step (e)(3).

              (3) For an energy efficiency or water efficiency standard, determine the second sample size (n2) as follows:

                ER07MR11.136

              where s1 and t have the values used in equations 2 and 4, respectively. The term “0.05 EES” is the difference between the applicable energy efficiency or water efficiency standard and 95 percent of the standard, where 95 percent of the standard is taken as the lower control limit. This procedure yields a sufficient combined sample size (n1 + n2) to give an estimated 97.5 percent probability of obtaining a determination of compliance when the true mean efficiency is equal to the applicable standard. Given the solution value of n2, determine one of the following:

              (i) If the value of n2 is less than or equal to zero and if the mean energy or water efficiency of the first sample (x1) is either equal to or greater than the lower control limit (LCL1) or equal to or greater than 95 percent of the applicable energy efficiency or water efficiency standard (EES), whichever is greater, i.e., if n2≤0 and x1≥max (LCL1, 0.95 EES), the basic model is in compliance and testing is at an end.
              (ii) If the value of n2 is less than or equal to zero and the mean energy efficiency of the first sample (x1) is less than the lower control limit (LCL1) or less than 95 percent of the applicable energy or water efficiency standard (EES), whichever is greater, i.e., if n2≤0 and x1≤max (LCL1, 0.95 EES), the basic model is not in compliance and testing is at an end.
              (iii) If the value of n2 is greater than zero, then, the value of the second sample size is determined to be the smallest integer equal to or greater than the solution value of n2 for equation (6). If the value of n2 so calculated is greater than 21− n1, set n2 equal to 21− n1.
              (4) Compute the combined mean (x2) of the measured energy or water efficiency of the n1 and n2 units of the combined first and second samples as follows:

                ER07MR11.137

              (5) Compute the standard error (Sx2) of the measured energy or water performance of the n1 and n2 units in the combined first and second samples as follows:

                ER07MR11.138

                Note:
                s1 is the value obtained in Step (c).

              (6) For an energy efficiency standard (EES), compute the lower control limit (LCL2) for the mean of the combined first and second samples using the DOE EES as the desired mean and a one-tailed probability level of 97.5 percent (equivalent to the two-tailed probability level of 95 percent used in Step (e)(1)) as follows:

                ER07MR11.139

              where the t-statistic has the value obtained in Step (e)(1) and sx2 is the value obtained in Step (e)(5).

              (7) For an energy efficiency standard (EES), compare the combined sample mean (x2) to the lower control limit (LCL2) to determine one of the following:
              (i) If the mean of the combined sample (x2) is less than the lower control limit (LCL2) or 95 percent of the applicable energy efficiency standard (EES), whichever is greater, i.e., if x2<max (LCL2, 0.95 EES), the basic model is not compliant and testing is at an end.
              (iii) If the mean of the combined sample (x2) is equal to or greater than the lower control limit (LCL2) or 95 percent of the applicable energy efficiency standard (EES), whichever is greater, i.e., if x2≥max (LCL2, 0.95 EES), the basic model is in compliance and testing is at an end.
              (f)(1) Compute the upper control limit (UCL1) and lower control limit (LCL1) for the mean of the first sample using the applicable DOE energy consumption standard (ECS) as the desired mean and a probability level of 95 percent (two-tailed test) as follows:

                ER07MR11.140

              where t is the statistic based on a 95 percent two-tailed probability level with degrees of freedom (n1 − 1).

              (2) For an energy or water consumption standard, compare the mean of the first sample (x1) with the upper and lower control limits (UCL1 and LCL1) to determine one of the following:
              (i) If the mean of the first sample is above the upper control limit, then the basic model is in noncompliance and testing is at an end. (Do not go on to any of the steps below.)
              (ii) If the mean of the first sample is equal to or less than the lower control limit, then the basic model is in compliance and testing is at an end. (Do not go on to any of the steps below.)
              (iii) If the sample mean is equal to or less than the upper control limit but greater than the lower control limit, then no determination of compliance or noncompliance can be made and a second sample size is determined by Step (f)(3).

              (3) For an Energy or Water Consumption Standard, determine the second sample size (n2) as follows:

                ER07MR11.141

              where s1and t have the values used in equations (2) and (10), respectively. The term “0.05 ECS” is the difference between the applicable energy or water consumption standard and 105 percent of the standard, where 105 percent of the standard is taken as the upper control limit. This procedure yields a sufficient combined sample size (n1 + n2) to give an estimated 97.5 percent probability of obtaining a determination of compliance when the true mean consumption is equal to the applicable standard. Given the solution value of n2, determine one of the following:

              (i) If the value of n2 is less than or equal to zero and if the mean energy or water consumption of the first sample (x1) is either equal to or less than the upper control limit (UCL1) or equal to or less than 105 percent of the applicable energy or water consumption standard (ECS), whichever is less, i.e., if n2 ≤0 and x1 ≤min (UCL1, 1.05 ECS), the basic model is in compliance and testing is at an end.
              (ii) If the value of n2 is less than or equal to zero and the mean energy or water consumption of the first sample (x1) is greater than the upper control limit (UCL1) or more than 105 percent of the applicable energy or water consumption standard (ECS), whichever is less, i.e., if n2 ≤0 and x1 >min (UCL1, 1.05 EPS), the basic model is not compliant and testing is at an end.
              (iii) If the value of n2 is greater than zero, then the value of the second sample size is determined to be the smallest integer equal to or greater than the solution value of n2 for equation (11). If the value of n2 so calculated is greater than 21−n1, set n2 equal to 21−n1.
              (4) Compute the combined mean (x2) of the measured energy or water consumption of the n1 and n2 units of the combined first and second samples as follows:

                ER07MR11.142

              (5) Compute the standard error (Sx2) of the measured energy or water consumption of the n1 and n2 units in the combined first and second samples as follows:

                ER07MR11.143

                Note:
                s1 is the value obtained in Step (c).

              (6) For an energy or water consumption standard (ECS), compute the upper control limit (UCL2) for the mean of the combined first and second samples using the DOE ECS as the desired mean and a one-tailed probability level of 97.5 percent (equivalent to the two-tailed probability level of 95 percent used in Step (f)(1)) as follows:

                ER07MR11.144

              where the t-statistic has the value obtained in (f)(1).

              (7) For an energy or water consumption standard (ECS), compare the combined sample mean (x2) to the upper control limit (UCL2) to determine one of the following:
              (i) If the mean of the combined sample (x2) is greater than the upper control limit (UCL2) or 105 percent of the ECS whichever is less, i.e., if x2 >min (UCL2, 1.05 ECS), the basic model is not compliant and testing is at an end.

              (ii) If the mean of the combined sample (x2) is equal to or less than the upper control limit (UCL2) or 105 percent of the applicable energy or water performance standard (ECS), whichever is less, i.e., if x 2≤min (UCL2, 1.05 ECS), the basic model is in compliance and testing is at an end.

              Pt. 429, Subpt. C, App. B
              Appendix B to Subpart C of Part 429—Sampling Plan for Enforcement Testing of Covered Equipment and Certain Low-Volume Covered Products
              The Department will determine compliance as follows:
              (a) The first sample size (n1) must be four or more units, except as provided by § 429.57(e)(1)(ii).

              (b) Compute the mean of the measured energy performance (x1) for all tests as follows:

                ER07MR11.145

              where xi is the measured energy efficiency or consumption from test i, and n1 is the total number of tests.

              (c) Compute the standard deviation (s1) of the measured energy performance from the n1 tests as follows:

                ER07MR11.146

              (d) Compute the standard error (sx1) of the measured energy performance from the n1 tests as follows:

                ER07MR11.147

              (e)(1) For an energy efficiency standard (EES), determine the appropriate lower control limit (LCL1) according to:

                ER07MR11.148

              And use whichever is greater. Where EES is the energy efficiency standard and t is a statistic based on a 97.5 percent, one-sided confidence limit and a sample size of n1.

              (2) For an energy consumption standard (ECS), determine the appropriate upper control limit (UCL1) according to:

                ER07MR11.149

              And use whichever is less, where ECS is the energy consumption standard and t is a statistic based on a 97.5 percent, one-sided confidence limit and a sample size of n1.
              (f)(1) Compare the sample mean to the control limit.
              (i) The basic model is in compliance and testing is at an end if:
              (A) For an energy or water efficiency standard, the sample mean is equal to or greater than the lower control limit, or
              (B) For an energy or water consumption standard, the sample mean is equal to or less than the upper control limit.

              Pt. 429, Subpt. C, App. C
              Appendix C to Subpart C of Part 429—Sampling Plan for Enforcement Testing of Distribution Transformers

              (a) When testing distribution transformers, the number of units in the sample (m1) shall be in accordance with § 429.47(a) and DOE shall perform the following number of tests:
              (1) If DOE tests four or more units, it will test each unit once;
              (2) If DOE tests two or three units, it will test each unit twice; or
              (3) If DOE tests one unit, it will test that unit four times.
              (b) DOE shall determine compliance as follows:
              (1) Compute the mean (X1) of the measured energy performance of the n1 tests in the first sample as follows:

                ER07MR11.150

              where Xi is the measured efficiency of test i.
              (2) Compute the sample standard deviation (S1) of the measured efficiency of the n1 tests in the first sample as follows:

                ER07MR11.151

              (3) Compute the standard error (SE(X1)) of the mean efficiency of the first sample as follows:

                ER07MR11.152

              (4) Compute the sample size discount (SSD(m1)) as follows:

                ER07MR11.153

              where m1 is the number of units in the sample, and RE is the applicable DOE efficiency when the test is to determine compliance with the applicable energy conservation standard, or is the labeled efficiency when the test is to determine compliance with the labeled efficiency value.

              (5) Compute the lower control limit (LCL1) for the mean of

                ER02MY11.089

              (6) Compare the mean of the first sample (X1) with the lower control limit (LCL1) to determine one of the following:
              (i) If the mean of the first sample is below the lower control limit, then the basic model is not compliant and testing is at an end.
              (ii) If the mean is equal to or greater than the lower control limit, no final determination of compliance or noncompliance can be made; proceed to Step (7).
              (7) Determine the recommended sample size (n) as follows:

                ER07MR11.155

              Given the value of n, determine one of the following:
              (i) If the value of n is less than or equal to n1 and if the mean energy efficiency of the first sample (X1) is equal to or greater than the lower control limit (LCL1), the basic model is in compliance and testing is at an end.
              (ii) If the value of n is greater than n1, the basic model is not compliant. The size of a second sample n2 is determined to be the smallest integer equal to or greater than the difference n−n1. If the value of n2 so calculated is greater than 21−n1, set n2 equal to 21−n1.
              (8) Compute the combined (X2) mean of the measured energy performance of the n1 and n2 units of the combined first and second samples as follows:

                ER07MR11.156

              (9) Compute the standard error (SE(X2)) of the mean full-load efficiency of the n1 and n2 units in the combined first and second samples as follows:

                ER07MR11.157

              (Note that S1 is the value obtained above in (2).)
              (10) Set the lower control limit (LCL2) to,

                ER07MR11.158

              where t has the value obtained in (5) and SSD(m1) is sample size discount determined in (4), and compare the combined sample mean (X2) to the lower control limit (LCL2) to determine one of the following:

              (i) If the mean of the combined sample (X2) is less than the lower control limit (LCL2), the basic model is not compliant and testing is at an end.
              (ii) If the mean of the combined sample (X2) is equal to or greater than the lower control limit (LCL2), the basic model is in compliance and testing is at an end.
              [76 FR 12451, Mar. 7, 2011; 76 FR 24781, May 2, 2011]

              Pt. 429, Subpt. C, App. D
              Appendix D to Subpart C of Part 429—Sampling Plan for Enforcement Testing of Uninterruptible Power Supplies
              (a) The minimum sample size for enforcement testing will be one unit.
              (b) Compute the average load adjusted efficiency (Eff
                avg) of the unit in the sample.
              (c) Determine the applicable DOE energy efficiency standard (EES).
              (d) If all Eff
                avg are equal to or greater than EES, then the basic model is in compliance and testing is at an end.
              (e) If any Eff
                avg is less than EES, then the basic model is in noncompliance and testing is at an end.
              [81 FR 89822, Dec. 12, 2016]

          Pt. 430
          PART 430—ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS

              Subpart A—General Provisions
              Sec.
              430.1
              Purpose and scope.
              430.2
              Definitions.
              430.3
              Materials incorporated by reference.
              430.4
              Sources for information and guidance.
              430.5
              Error correction procedures for energy conservation standards rules.

              Subpart B—Test Procedures
              430.21
              Purpose and scope.
              430.23
              Test procedures for the measurement of energy and water consumption.
              430.24
              [Reserved]
              430.25
              Laboratory Accreditation Program.
              430.27
              Petitions for waiver and interim waiver.
              Appendix A to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Refrigerators, Refrigerator-Freezers, and Miscellaneous Refrigeration Products
              Appendix B to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Freezers
              Appendix C1 to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Dishwashers
              Appendix D to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Clothes Dryers
              Appendix D1 to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Clothes Dryers
              Appendix D2 to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Clothes Dryers
              Appendix E to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Water Heaters
              Appendix F to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Room Air Conditioners

              Appendix G to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Unvented Home Heating Equipment
              Appendix H to Subpart B of Part 430—Uniform Test Method for Measuring the Power Consumption of Television Sets
              Appendix I to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Cooking Products
              Appendix J1 to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Automatic and Semi-Automatic Clothes Washers
              Appendix J2 to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Automatic and Semi-automatic Clothes Washers
              Appendix J3 to Subpart B of Part 430—Uniform Test Method for Measuring the Moisture Absorption and Retention Characteristics of New Energy Test Cloth Lots
              Appendixes K-L to Subpart B of Part 430 [Reserved]
              Appendix M to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Central Air Conditioners and Heat Pumps
              Appendix M1 to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Central Air Conditioners and Heat Pumps
              Appendix N to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Furnaces and Boilers
              Appendix O to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Vented Home Heating Equipment
              Appendix P to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Pool Heaters
              Appendix Q to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Fluorescent Lamp Ballasts
              Appendix R to Subpart B of Part 430—Uniform Test Method for Measuring Average Lamp Efficacy (LE), Color Rendering Index (CRI), and Correlated Color Temperature (CCT) of Electric Lamps
              Appendix S to Subpart B of Part 430—Uniform Test Method for Measuring the Water Consumption of Faucets and Showerheads
              Appendix T to Subpart B of Part 430—Uniform Test Method for Measuring the Water Consumption of Water Closets and Urinals
              Appendix U to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Ceiling Fans
              Appendix V to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Ceiling Fan Light Kits With Pin-Based Sockets for Fluorescent Lamps
              Appendix V1 to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Ceiling Fan Light Kits Packaged With Other Fluorescent Lamps (not Compact Fluorescent Lamps or General Service Fluorescent Lamps), Packaged With Other SSL Lamps (not Integrated LED Lamps), or With Integrated SSL Circuitry
              Appendix W to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Compact Fluorescent Lamps
              Appendix X to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Dehumidifiers
              Appendix X1 to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Dehumidifiers
              Appendix Y to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Battery Chargers
              Appendix Z to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of External Power Supplies
              Appendix AA to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Furnace Fans
              Appendix BB to Subpart B of Part 430—Uniform Test Method for Measuring the Input Power, Lumen Output, Lamp Efficacy, Correlated Color Temperature (CCT), Color Rendering Index (CRI), Power Factor, Time to Failure, and Standby Mode Power of Integrated Light-Emitting Diode (LED) Lamps
              Appendix CC to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Portable Air Conditioners
              Appendix DD to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption and Energy Efficiency of General Service Lamps That Are Not General Service Incandescent Lamps, Compact Fluorescent Lamps, or Integrated LED Lamps

              Subpart C—Energy and Water Conservation Standards
              430.31
              Purpose and scope.
              430.32
              Energy and water conservation standards and their compliance dates.
              430.33
              Preemption of State regulations.
              430.34
              Energy and water conservation standards amendments.
              430.35

              Petitions with respect to general service lamps.

              Appendix A to Subpart C of Part 430—Procedures, Interpretations and Policies for Consideration of New or Revised Energy Conservation Standards for Consumer Products

              Subpart D—Petitions To Exempt State Regulation From Preemption; Petitions To Withdraw Exemption of State Regulation
              430.40
              Purpose and scope.
              430.41
              Prescriptions of a rule.
              430.42
              Filing requirements.
              430.43
              Notice of petition.
              430.44
              Consolidation.
              430.45
              Hearing.
              430.46
              Disposition of petitions.
              430.47
              Effective dates of final rules.
              430.48
              Request for reconsideration.
              430.49
              Finality of decision.

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

              Subpart F [Reserved]

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

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

            Subpart A—General Provisions

              § 430.1
              Purpose and scope.
              This part establishes the regulations for the implementation of part B of title III (42 U.S.C. 6291-6309) of the Energy Policy and Conservation Act (Pub. L. 94-163), as amended by Pub. L. 95-619, Pub. L. 100-12, Pub. L. 100-357, and Pub. L. 102-486 which establishes an energy conservation program for consumer products other than automobiles.
              [62 FR 29237, May 29, 1997]

              § 430.2
              Definitions.
              For purposes of this part, words shall be defined as provided for in section 321 of the Act and as follows—

                3-Way incandescent lamp means an incandescent lamp that—
              (1) Employs two filaments, operated separately and in combination, to provide three light levels; and
              (2) Is designated on the lamp packaging and marketing materials as being a 3-way incandescent lamp.

                700 series fluorescent lamp means a fluorescent lamp with a color rendering index (measured according to the test procedures outlined in Appendix R to subpart B of this part) that is in the range (inclusive) of 70 to 79.

                Act means the Energy Policy and Conservation Act of 1975, as amended, 42 U.S.C. 6291-6316.

                Activation lock means a control mechanism (either by a physical device directly on the water heater or a control system integrated into the water heater) that is locked by default and contains a physical, software, or digital communication that must be activated with an activation key to enable to the product to operate at its designed specifications and capabilities and without which the activation of the product will provide not greater than 50 percent of the rated first hour delivery of hot water certified by the manufacturer.

                Active mode means the condition in which an energy-using product—
              (1) Is connected to a main power source;
              (2) Has been activated; and
              (3) Provides one or more main functions.

                Adaptive external power supply (EPS) means an external power supply that can alter its output voltage during active-mode based on an established digital communication protocol with the end-use application without any user-generated action.

                All-refrigerator means a refrigerator that does not include a compartment capable of maintaining compartment temperatures below 32 °F (0 °C) as determined according to the provisions in § 429.14(d)(2) of this chapter. It may include a compartment of 0.50 cubic-foot capacity (14.2 liters) or less for the freezing and storage of ice.

                Annual fuel utilization efficiency means the efficiency descriptor for furnaces and boilers, determined using test procedures prescribed under section 323 and based on the assumption that all—

              (1) Weatherized warm air furnaces or boilers are located out-of-doors;
              (2) Warm air furnaces which are not weatherized are located indoors and all combustion and ventilation air is admitted through grill or ducts from the outdoors and does not communicate with air in the conditioned space;
              (3) Boilers which are not weatherized are located within the heated space.

                ANSI means the American National Standards Institute.

                Appliance lamp means any lamp that—
              (1) Is specifically designed to operate in a household appliance and has a maximum wattage of 40 watts (including an oven lamp, refrigerator lamp, and vacuum cleaner lamp); and
              (2) When sold at retail, is designated and marketed for the intended application, with
              (i) The designation on the lamp packaging; and
              (ii) Marketing materials that identify the lamp as being for appliance use.

                ASME means the American Society of Mechanical Engineers.

                Automatic clothes washer means a class of clothes washer which has a control system which is capable of scheduling a preselected combination of operations, such as regulation of water temperature, regulation of the water fill level, and performance of wash, rinse, drain, and spin functions without the need for user intervention subsequent to the initiation of machine operation. Some models may require user intervention to initiate these different segments of the cycle after the machine has begun operation, but they do not require the user to intervene to regulate the water temperature by adjusting the external water faucet valves.

                Back-up battery charger means a battery charger excluding UPSs:
              (1) That is embedded in a separate end-use product that is designed to continuously operate using mains power (including end-use products that use external power supplies); and
              (2) Whose sole purpose is to recharge a battery used to maintain continuity of power in order to provide normal or partial operation of a product in case of input power failure.

                Ballast means a device used with an electric discharge lamp to obtain necessary circuit conditions (voltage, current, and waveform) for starting and operating.

                Ballast efficacy factor means the relative light output divided by the power input of a fluorescent lamp ballast, as measured under test conditions specified in ANSI Standard C82.2-1984.

                Ballast luminous efficiency means the total fluorescent lamp arc power divided by the fluorescent lamp ballast input power multiplied by the appropriate frequency adjustment factor, as defined in appendix Q of subpart B of this part.

                Baseboard electric heater means an electric heater which is intended to be recessed in or surface mounted on walls at floor level, which is characterized by long, low physical dimensions, and which transfers heat by natural convection and/or radiation.

                Basic model means all units of a given type of covered product (or class thereof) manufactured by one manufacturer; having the same primary energy source; and, which have essentially identical electrical, physical, and functional (or hydraulic) characteristics that affect energy consumption, energy efficiency, water consumption, or water efficiency; and
              (1) With respect to general service fluorescent lamps, general service incandescent lamps, and incandescent reflector lamps: Lamps that have essentially identical light output and electrical characteristics—including lumens per watt (lm/W) and color rendering index (CRI).
              (2) With respect to faucets and showerheads: Have the identical flow control mechanism attached to or installed within the fixture fittings, or the identical water-passage design features that use the same path of water in the highest flow mode.
              (3) With respect to furnace fans: Are marketed and/or designed to be installed in the same type of installation; and

              (4) With respect to central air conditioners and central air conditioning heat pumps essentially identical electrical, physical, and functional (or hydraulic) characteristics means:

              (i) For split systems manufactured by outdoor unit manufacturers (OUMs): all individual combinations having the same model of outdoor unit, which means comparably performing compressor(s) [a variation of no more than five percent in displacement rate (volume per time) as rated by the compressor manufacturer, and no more than five percent in capacity and power input for the same operating conditions as rated by the compressor manufacturer], outdoor coil(s) [no more than five percent variation in face area and total fin surface area; same fin material; same tube material], and outdoor fan(s) [no more than ten percent variation in air flow and no more than twenty percent variation in power input];
              (ii) For split systems having indoor units manufactured by independent coil manufacturers (ICMs): all individual combinations having comparably performing indoor coil(s) [plus or minus one square foot face area, plus or minus one fin per inch fin density, and the same fin material, tube material, number of tube rows, tube pattern, and tube size]; and
              (iii) For single-package systems: all individual models having comparably performing compressor(s) [no more than five percent variation in displacement rate (volume per time) rated by the compressor manufacturer, and no more than five percent variations in capacity and power input rated by the compressor manufacturer corresponding to the same compressor rating conditions], outdoor coil(s) and indoor coil(s) [no more than five percent variation in face area and total fin surface area; same fin material; same tube material], outdoor fan(s) [no more than ten percent variation in outdoor air flow], and indoor blower(s) [no more than ten percent variation in indoor air flow, with no more than twenty percent variation in fan motor power input];
              (iv) Except that,
              (A) for single-package systems and single-split systems, manufacturers may instead choose to make each individual model/combination its own basic model provided the testing and represented value requirements in 10 CFR 429.16 of this chapter are met; and
              (B) For multi-split, multi-circuit, and multi-head mini-split combinations, a basic model may not include both individual small-duct, high velocity (SDHV) combinations and non-SDHV combinations even when they include the same model of outdoor unit. The manufacturer may choose to identify specific individual combinations as additional basic models.

                Basic-voltage external power supply means an external power supply that is not a low-voltage external power supply.

                Batch means a collection of production units of a basic model from which a batch sample is selected.

                Batch sample means the collection of units of the same basic model from which test units are selected.

                Batch sample size means the number of units in a batch sample.

                Batch size means the number of units in a batch.

                Battery charger means a device that charges batteries for consumer products, including battery chargers embedded in other consumer products.

                Blowout toilet means a water closet that uses a non-siphonic bowl with an integral flushing rim, a trap at the rear of the bowl, and a visible or concealed jet that operates with a blowout action.

                BPAR incandescent reflector lamp means a reflector lamp as shown in figure C78.21-278 on page 32 of ANSI C78.21-2003 (incorporated by reference; see § 430.3).

                BR30 means a BR incandescent reflector lamp with a diameter of 30/8ths of an inch.

                BR40 means a BR incandescent reflector lamp with a diameter of 40/8ths of an inch.

                BR incandescent reflector lamp means a reflector lamp that has—
              (1) A bulged section below the major diameter of the bulb and above the approximate baseline of the bulb, as shown in figure 1 (RB) on page 7 of ANSI C79.1-1994, (incorporated by reference, see § 430.3); and

              (2) A finished size and shape shown in ANSI C78.21-1989 (incorporated by reference; see § 430.3), including the referenced reflective characteristics in part 7 of ANSI C78.21-1989.

                BR incandescent reflector lamp means a reflector lamp that has a bulged section below the bulb's major diameter and above its approximate base line as shown in Figure 1 (RB) on page 7 of ANSI C79.1-1994. A BR30 lamp has a lamp wattage of 85 or less than 66 and a BR40 lamp has a lamp wattage of 120 or less.

                Btu means British thermal unit, which is the quantity of heat required to raise the temperature of one pound of water one degree Fahrenheit.

                Built-in compact cooler means any cooler with a total refrigerated volume less than 7.75 cubic feet and no more than 24 inches in depth, excluding doors, handles, and custom front panels, that is designed, intended, and marketed exclusively to be:
              (1) Installed totally encased by cabinetry or panels that are attached during installation;
              (2) Securely fastened to adjacent cabinetry, walls or floor;
              (3) Equipped with unfinished sides that are not visible after installation; and
              (4) Equipped with an integral factory-finished face or built to accept a custom front panel.

                Built-in cooler means any cooler with a total refrigerated volume of 7.75 cubic feet or greater and no more than 24 inches in depth, excluding doors, handles, and custom front panels; that is designed, intended, and marketed exclusively to be:
              (1) Installed totally encased by cabinetry or panels that are attached during installation;
              (2) Securely fastened to adjacent cabinetry, walls or floor;
              (3) Equipped with unfinished sides that are not visible after installation; and
              (4) Equipped with an integral factory-finished face or built to accept a custom front panel.

                Built-in refrigerator/refrigerator-freezer/freezer means any refrigerator, refrigerator-freezer or freezer with 7.75 cubic feet or greater total volume and 24 inches or less depth not including doors, handles, and custom front panels; with sides which are not finished and not designed to be visible after installation; and that is designed, intended, and marketed exclusively (1) To be installed totally encased by cabinetry or panels that are attached during installation, (2) to be securely fastened to adjacent cabinetry, walls or floor, and (3) to either be equipped with an integral factory-finished face or accept a custom front panel.

                Candelabra base incandescent lamp means a lamp that uses a candelabra screw base as described in ANSI C81.61, Specifications for Electric Bases, common designations E11 and E12 (incorporated by reference; see § 430.3).

                Casement-only means a room air conditioner designed for mounting in a casement window with an encased assembly with a width of 14.8 inches or less and a height of 11.2 inches or less.

                Casement-slider means a room air conditioner with an encased assembly designed for mounting in a sliding or casement window with a width of 15.5 inches or less.

                Ceiling electric heater means an electric heater which is intended to be recessed in, surface mounted on, or hung from a ceiling, and which transfers heat by radiation and/or convection (either natural or forced).

                Ceiling fan means a nonportable device that is suspended from a ceiling for circulating air via the rotation of fan blades. For all other ceiling fan-related definitions, see appendix U to this subpart.

                Ceiling fan light kit means equipment designed to provide light from a ceiling fan that can be—
              (1) Integral, such that the equipment is attached to the ceiling fan prior to the time of retail sale; or
              (2) Attachable, such that at the time of retail sale the equipment is not physically attached to the ceiling fan, but may be included inside the ceiling fan at the time of sale or sold separately for subsequent attachment to the fan.

                Central air conditioner or central air conditioning heat pump means a product, other than a packaged terminal air conditioner or packaged terminal heat pump, which is powered by single phase electric current, air cooled, rated below 65,000 Btu per hour, not contained within the same cabinet as a furnace, the rated capacity of which is above 225,000 Btu per hour, and is a heat pump or a cooling unit only. A central air conditioner or central air conditioning heat pump may consist of: A single-package unit; an outdoor unit and one or more indoor units; an indoor unit only; or an outdoor unit with no match. In the case of an indoor unit only or an outdoor unit with no match, the unit must be tested and rated as a system (combination of both an indoor and an outdoor unit). For all central air conditioner and central air conditioning heat pump-related definitions, see appendix M or M1 of subpart B of this part.

                Central system humidifier means a class of humidifier designed to add moisture into the air stream of a heating system.

                Class A external power supply—
              (1) Means a device that—
              (i) Is designed to convert line voltage AC input into lower voltage AC or DC output;
              (ii) Is able to convert to only one AC or DC output voltage at a time;
              (iii) Is sold with, or intended to be used with, a separate end-use product that constitutes the primary load;
              (iv) Is contained in a separate physical enclosure from the end-use product;
              (v) Is connected to the end-use product via a removable or hard-wired male/female electrical connection, cable, cord, or other wiring; and
              (vi) Has nameplate output power that is less than or equal to 250 watts;
              (2) But, does not include any device that—
              (i) Requires Federal Food and Drug Administration listing and approval as a medical device in accordance with section 513 of the Federal Food, Drug, and Cosmetic Act (21 U.S.C. 360(c)); or
              (ii) Powers the charger of a detachable battery pack or charges the battery of a product that is fully or primarily motor operated.

                Clothes washer means a consumer product designed to clean clothes, utilizing a water solution of soap and/or detergent and mechanical agitation or other movement, and must be one of the following classes: automatic clothes washers, semi-automatic clothes washers, and other clothes washers.

                Cold temperature fluorescent lamp means a fluorescent lamp specifically designed to start at −20 °F when used with a ballast conforming to the requirements of ANSI C78.81 (incorporated by reference; see § 430.3) and ANSI C78.901 (incorporated by reference; see § 430.3), and is expressly designated as a cold temperature lamp both in markings on the lamp and in marketing materials, including catalogs, sales literature, and promotional material.

                Colored fluorescent lamp means a fluorescent lamp designated and marketed as a colored lamp and not designed or marketed for general illumination applications with either of the following characteristics:

              (1) A CRI less than 40, as determined according to the method set forth in CIE Publication 13.3 (incorporated by reference; see § 430.3); or

              (2) A correlated color temperature less than 2,500K or greater than 7,000K as determined according to the method set forth in IES LM-9 (incorporated by reference; see § 430.3).

                Colored incandescent lamp means an incandescent lamp designated and marketed as a colored lamp that has—
              (1) A color rendering index of less than 50, as determined according to the test method given in CIE 13.3 (incorporated by reference; see § 430.3); or
              (2) A correlated color temperature of less than 2,500K, or greater than 4,600K, where correlated temperature is computed according to the “Computation of Correlated Color Temperature and Distribution Temperature,” Journal of the Optical Society of America, (incorporated by reference; see § 430.3).

                Color Rendering Index or CRI means the measured degree of color shift objects undergo when illuminated by a light source as compared with the color of those same objects when illuminated by a reference source of comparable color temperature.

                Combination cooler refrigeration product means any cooler-refrigerator, cooler-refrigerator-freezer, or cooler-freezer.

                Compact fluorescent lamp (CFL) means an integrated or non-integrated single-base, low-pressure mercury, electric-discharge source in which a fluorescing coating transforms some of the ultraviolet energy generated by the mercury discharge into light; the term does not include circline or U-shaped lamps.

                Compact refrigerator/refrigerator-freezer/freezer means any refrigerator, refrigerator-freezer or freezer with a total refrigerated volume of less than 7.75 cubic feet (220 liters). (Total refrigerated volume shall be determined using the applicable test procedure appendix prescribed in subpart B of this part.)

                Component video means a video display interface as defined in the Consumer Electronics Association's (CEA) standard, CEA-770.3-D (incorporated by reference; see § 430.3).

                Composite video means a video display interface that uses Radio Corporation of America (RCA) connections carrying a signal defined by the Society of Motion Picture and Television Engineers' (SMPTE) standard, SMPTE 170M-2004 (incorporated by reference; see § 430.3) for regions that support a power frequency of 59.94 Hz or International Telecommunication Union's (ITU) standard, ITU-R BT 470-6 (incorporated by reference; see § 430.3) for regions that support a power frequency of 50 Hz.

                Consumer product means any article (other than an automobile, as defined in Section 501(1) of the Motor Vehicle Information and Cost Savings Act):
              (1) Of a type—
              (i) Which in operation consumes, or is designed to consume, energy or, with respect to showerheads, faucets, water closets, and urinals, water; and
              (ii) Which, to any significant extent, is distributed in commerce for personal use or consumption by individuals;
              (2) Without regard to whether such article of such type is in fact distributed in commerce for personal use or consumption by an individual, except that such term includes fluorescent lamp ballasts, general service fluorescent lamps, incandescent reflector lamps, showerheads, faucets, water closets, and urinals distributed in commerce for personal or commercial use or consumption.

                Consumer refrigeration product means a refrigerator, refrigerator-freezer, freezer, or miscellaneous refrigeration product.

                Contractor means a person (other than the manufacturer or distributor) who sells to and/or installs for an end user a central air conditioner subject to regional standards. The term “end user” means the entity that purchases or selects for purchase the central air conditioner. Some examples of typical “end users” are homeowners, building owners, building managers, and property developers.

                Controlling parameter means a measurable quantity or an algorithm (such as temperature or usage pattern) used for inferring heating load to a residential boiler, which would then result in incremental changes in boiler supply water temperature.

                Convection microwave oven means a microwave oven that incorporates convection features and any other means of cooking in a single compartment.

                Conventional cooking top means a category of cooking products which is a household cooking appliance consisting of a horizontal surface containing one or more surface units that utilize a gas flame, electric resistance heating, or electric inductive heating. This includes any conventional cooking top component of a combined cooking product.

                Conventional oven means a category of cooking products which is a household cooking appliance consisting of one or more compartments intended for the cooking or heating of food by means of either a gas flame or electric resistance heating. It does not include portable or countertop ovens which use electric resistance heating for the cooking or heating of food and are designed for an electrical supply of approximately 120 volts. This includes any conventional oven(s) component of a combined cooking product.

                Convertible cooking appliance means any kitchen range and oven which is a household cooking appliance designed by the manufacturer to be changed in service from use with natural gas to use with LP-gas, and vice versa, by incorporating in the appliance convertible orifices for the main gas burners and a convertible gas pressure regulator.

                Cooking products means consumer products that are used as the major household cooking appliances. They are designed to cook or heat different types of food by one or more of the following sources of heat: Gas, electricity, or microwave energy. Each product may consist of a horizontal cooking top containing one or more surface units and/or one or more heating compartments.

                Cooler means a cabinet, used with one or more doors, that has a source of refrigeration capable of operating on single-phase, alternating current and is capable of maintaining compartment temperatures either:
              (1) No lower than 39 °F (3.9 °C); or
              (2) In a range that extends no lower than 37 °F (2.8 °C) but at least as high as 60 °F (15.6 °C) as determined according to the applicable provisions in § 429.61(d)(2) of this chapter.

                Cooler-all-refrigerator means a cooler-refrigerator that does not include a compartment capable of maintaining compartment temperatures below 32 °F (0 °C) as determined according to the provisions in § 429.61(d)(2) of this chapter. It may include a compartment of 0.50 cubic-foot capacity (14.2 liters) or less for the freezing and storage of ice.

                Cooler-freezer means a cabinet, used with one or more doors, that has a source of refrigeration that requires single-phase, alternating current electric energy input only, and consists of two or more compartments, including at least one cooler compartment as defined in appendix A of subpart B of this part, where the remaining compartment(s) are capable of maintaining compartment temperatures at 0 °F (−17.8 °C) or below as determined according to the provisions in § 429.61(d)(2) of this chapter.

                Cooler-refrigerator means a cabinet, used with one or more doors, that has a source of refrigeration that requires single-phase, alternating current electric energy input only, and consists of two or more compartments, including at least one cooler compartment as defined in appendix A of subpart B of this part, where:
              (1) At least one of the remaining compartments is not a cooler compartment as defined in appendix A of subpart B of this part and is capable of maintaining compartment temperatures above 32 °F (0 °C) and below 39 °F (3.9 °C) as determined according to § 429.61(d)(2) of this chapter;
              (2) The cabinet may also include a compartment capable of maintaining compartment temperatures below 32 °F (0 °C) as determined according to § 429.61(d)(2) of this chapter; but
              (3) The cabinet does not provide a separate low temperature compartment capable of maintaining compartment temperatures below 8 °F (−13.3 °C) as determined according to § 429.61(d)(2) of this chapter.

                Cooler-refrigerator-freezer means a cabinet, used with one or more doors, that has a source of refrigeration that requires single-phase, alternating current electric energy input only, and consists of three or more compartments, including at least one cooler compartment as defined in appendix A of subpart B of this part, where:
              (1) At least one of the remaining compartments is not a cooler compartment as defined in appendix A of subpart B of this part and is capable of maintaining compartment temperatures above 32 °F (0 °C) and below 39 °F (3.9 °C) as determined according to § 429.61(d)(2) of this chapter; and
              (2) At least one other compartment is capable of maintaining compartment temperatures below 8 °F (−13.3 °C) and may be adjusted by the user to a temperature of 0 °F (−17.8 °C) or below as determined according to § 429.61(d)(2) of this chapter.

                Correlated color temperature (CCT) means the absolute temperature of a blackbody whose chromaticity most nearly resembles that of the light source.

                Covered product means a consumer product—
              (1) Of a type specified in section 322 of the Act; or
              (2) That is a ceiling fan, ceiling fan light kit, medium base compact fluorescent lamp, dehumidifier, battery charger, external power supply, torchiere, portable air conditioner, or miscellaneous refrigeration product.

                Dealer means a type of contractor, generally with a relationship with one or more specific manufacturers.

                Dehumidifier means a product, other than a portable air conditioner, room air conditioner, or packaged terminal air conditioner, that is a self-contained, electrically operated, and mechanically encased assembly consisting of—
              (1) A refrigerated surface (evaporator) that condenses moisture from the atmosphere;
              (2) A refrigerating system, including an electric motor;
              (3) An air-circulating fan; and
              (4) A means for collecting or disposing of the condensate.

                Design voltage with respect to an incandescent lamp means:
              (1) The voltage marked as the intended operating voltage;
              (2) The mid-point of the voltage range if the lamp is marked with a voltage range; or
              (3) 120 V if the lamp is not marked with a voltage or voltage range.

                Designed and marketed means that the intended application of the lamp is clearly stated in all publicly available documents (e.g., product literature, catalogs, and packaging labels). This definition is applicable to terms related to the following covered lighting products: Fluorescent lamp ballasts; fluorescent lamps; general service fluorescent lamps; general service incandescent lamps; general service lamps; incandescent lamps; incandescent reflector lamps; medium base compact fluorescent lamps; and specialty application mercury vapor lamp ballasts.

                Detachable battery means a battery that is—
              (1) Contained in a separate enclosure from the product; and
              (2) Intended to be removed or disconnected from the product for recharging.

                Direct heating equipment means vented home heating equipment and unvented home heating equipment.

                Direct operation external power supply means an external power supply that can operate a consumer product that is not a battery charger without the assistance of a battery.

                Direct vent system means a system supplied by a manufacturer which provides outdoor air or air from an unheated space (such as an attic or crawl space) directly to a furnace or vented heater for combustion and for draft relief if the unit is equipped with a draft control device.

                Dishwasher means a cabinet-like appliance which with the aid of water and detergent, washes, rinses, and dries (when a drying process is included) dishware, glassware, eating utensils, and most cooking utensils by chemical, mechanical and/or electrical means and discharges to the plumbing drainage system.

                Distributor means a person (other than a manufacturer or retailer) to whom a consumer appliance product is delivered or sold for purposes of distribution in commerce.

                DOE means the Department of Energy.

                Dual-duct portable air conditioner means a portable air conditioner that draws some or all of the condenser inlet air from outside the conditioned space through a duct attached to an adjustable window bracket, may draw additional condenser inlet air from the conditioned space, and discharges the condenser outlet air outside the conditioned space by means of a separate duct attached to an adjustable window bracket.

                Dual-flush water closet means a water closet incorporating a feature that allows the user to flush the water closet with either a reduced or a full volume of water.

                Electric boiler means an electrically powered furnace designed to supply low pressure steam or hot water for space heating application. A low pressure steam boiler operates at or below 15 pounds per square inch gauge (psig) steam pressure; a hot water boiler operates at or below 160 psig water pressure and 250 °F. water temperature.

                Electric central furnace means a furnace designed to supply heat through a system of ducts with air as the heating medium, in which heat is generated by one or more electric resistance heating elements and the heated air is circulated by means of a fan or blower.

                Electric clothes dryer means a cabinet-like appliance designed to dry fabrics in a tumble-type drum with forced air circulation. The heat source is electricity and the drum and blower(s) are driven by an electric motor(s).

                Electric heater means an electric appliance in which heat is generated from electrical energy and dissipated by convection and radiation and includes baseboard electric heaters, ceiling electric heaters, floor electric heaters, portable electric heaters, and wall electric heaters.

                Electric instantaneous water heater means a water heater that uses electricity as the energy source, has a nameplate input rating of 12 kW or less, and contains no more than one gallon of water per 4,000 Btu per hour of input.

                Electric storage water heater means a water heater that uses electricity as the energy source, has a nameplate input rating of 12 kW or less, and contains more than one gallon of water per 4,000 Btu per hour of input.

                Electromechanical hydraulic toilet means any water closet that utilizes electrically operated devices, such as, but not limited to, air compressors, pumps, solenoids, motors, or macerators in place of or to aid gravity in evacuating waste from the toilet bowl.

                Electronic ballast means a device that uses semiconductors as the primary means to control lamp starting and operation.

                Energy conservation standard means any standards meeting the definitions of that term in 42 U.S.C. 6291(6) and 42 U.S.C. 6311(18) as well as any other water conservation standards and design requirements found in this part or parts 430 or 431.

                Energy use of a type of consumer product which is used by households means the energy consumed by such product within housing units occupied by households (such as energy for space heating and cooling, water heating, the operation of appliances, or other activities of the households), and includes energy consumed on any property that is contiguous with a housing unit and that is used primarily by the household occupying the housing unit (such as energy for exterior lights or heating a pool).

                ER incandescent reflector lamp means a reflector lamp that has—
              (1) An elliptical section below the major diameter of the bulb and above the approximate baseline of the bulb, as shown in figure 1 (RE) on page 7 of ANSI C79.1-1994, (incorporated by reference; see § 430.3); and
              (2) A finished size and shape shown in ANSI C78.21-1989, (incorporated by reference; see § 430.3).

                ER30 means an ER incandescent reflector lamp with a diameter of 30/8ths of an inch.

                ER40 means an ER incandescent reflector lamp with a diameter of 40/8ths of an inch.

                Estimated annual operating cost means the aggregate retail cost of the energy which is likely to be consumed annually, and in the case of showerheads, faucets, water closets, and urinals, the aggregate retail cost of water and wastewater treatment services likely to be incurred annually, in representative use of a consumer product, determined in accordance with Section 323 of EPCA (42 U.S.C. 6293).

                External power supply means an external power supply circuit that is used to convert household electric current into DC current or lower-voltage AC current to operate a consumer product. However, the term does not include a power supply circuit, driver, or device that is designed exclusively to be connected to, and power—
              (1) Light-emitting diodes providing illumination;
              (2) Organic light-emitting diodes providing illumination; or
              (3) Ceiling fans using direct current motors.

                External power supply design family means a set of external power supply basic models, produced by the same manufacturer, which share the same circuit layout, output power, and output cord resistance, but differ in output voltage.

                Faucet means a lavatory faucet, kitchen faucet, metering faucet, or replacement aerator for a lavatory or kitchen faucet.

                Fitting means a device that controls and guides the flow of water.

                Floor electric heater means an electric heater which is intended to be recessed in a floor, and which transfers by radiation and/or convection (either natural or forced).

                Fluorescent lamp means a low pressure mercury electric-discharge source in which a fluorescing coating transforms some of the ultraviolet energy generated by the mercury discharge into light, including only the following:
              (1) Any straight-shaped lamp (commonly referred to as 4-foot medium bipin lamps) with medium bipin bases of nominal overall length of 48 inches and rated wattage of 25 or more;
              (2) Any U-shaped lamp (commonly referred to as 2-foot U-shaped lamps) with medium bipin bases of nominal overall length between 22 and 25 inches and rated wattage of 25 or more;
              (3) Any rapid start lamp (commonly referred to as 8-foot high output lamps) with recessed double contact bases of nominal overall length of 96 inches;
              (4) Any instant start lamp (commonly referred to as 8-foot slimline lamps) with single pin bases of nominal overall length of 96 inches and rated wattage of 49 or more;
              (5) Any straight-shaped lamp (commonly referred to as 4-foot miniature bipin standard output lamps) with miniature bipin bases of nominal overall length between 45 and 48 inches and rated wattage of 25 or more; and
              (6) Any straight-shaped lamp (commonly referred to 4-foot miniature bipin high output lamps) with miniature bipin bases of nominal overall length between 45 and 48 inches and rated wattage of 44 or more.

                Fluorescent lamp ballast means a device which is used to start and operate fluorescent lamps by providing a starting voltage and current and limiting the current during normal operation.

                Fluorescent lamp designed for use in reprographic equipment means a fluorescent lamp intended for use in equipment used to reproduce, reprint, or copy graphic material.

                Flushometer tank means a device whose function is defined in flushometer valve, but integrated within an accumulator vessel affixed and adjacent to the fixture inlet so as to cause an effective enlargement of the supply line immediately before the unit.

                Flushometer valve means a valve attached to a pressurized water supply pipe and so designed that when actuated, it opens the line for direct flow into the fixture at a rate and quantity to properly operate the fixture, and then gradually closes to provide trap reseal in the fixture in order to avoid water hammer. The pipe to which this device is connected is in itself of sufficient size, that when open, will allow the device to deliver water at a sufficient rate of flow for flushing purposes.

                Forced air central furnace means a gas or oil burning furnace designed to supply heat through a system of ducts with air as the heating medium. The heat generated by combustion of gas or oil is transferred to the air within a casing by conduction through heat exchange surfaces and is circulated through the duct system by means of a fan or blower.

                Freestanding compact cooler means any cooler, excluding built-in compact coolers, with a total refrigerated volume less than 7.75 cubic feet.

                Freestanding cooler means any cooler, excluding built-in coolers, with a total refrigerated volume of 7.75 cubic feet or greater.

                Freezer means a cabinet, used with one or more doors, that has a source of refrigeration that requires single-phase, alternating current electric energy input only and is capable of maintaining compartment temperatures of 0 °F (−17.8 °C) or below as determined according to the provisions in § 429.14(d)(2) of this chapter. It does not include any refrigerated cabinet that consists solely of an automatic ice maker and an ice storage bin arranged so that operation of the automatic icemaker fills the bin to its capacity. However, the term does not include:
              (1) Any product that does not include a compressor and condenser unit as an integral part of the cabinet assembly; or
              (2) Any miscellaneous refrigeration product that must comply with an applicable miscellaneous refrigeration product energy conservation standard.

                Furnace means a product which utilizes only single-phase electric current, or single-phase electric current or DC current in conjunction with natural gas, propane, or home heating oil, and which—
              (1) Is designed to be the principal heating source for the living space of a residence;

              (2) Is not contained within the same cabinet with a central air conditioner whose rated cooling capacity is above 65,000 Btu per hour;

              (3) Is an electric central furnace, electric boiler, forced-air central furnace, gravity central furnace, or low-pressure steam or hot water boiler; and
              (4) Has a heat input rate of less than 300,000 Btu per hour for electric boilers and low-pressure steam or hot water boilers and less than 225,000 Btu per hour for forced-air central furnaces, gravity central furnaces, and electric central furnaces.

                Furnace fan means an electrically-powered device used in a consumer product for the purpose of circulating air through ductwork.

                Gas means either natural gas or propane.

                Gas clothes dryer means a cabinet-like appliance designed to dry fabrics in a tumble-type drum with forced air circulation. The heat source is gas and the drum and blower(s) are driven by an electric motor(s).

                Gas-fired instantaneous water heater means a water heater that uses gas as the main energy source, has a nameplate input rating less than 200,000 Btu/h, and contains no more than one gallon of water per 4,000 Btu per hour of input.

                Gas-fired storage water heater means a water heater that uses gas as the main energy source, has a nameplate input rating of 75,000 Btu/h or less, and contains more than one gallon of water per 4,000 Btu per hour of input.

                General lighting application means lighting that provides an interior or exterior area with overall illumination.

                General service fluorescent lamp means any fluorescent lamp which can be used to satisfy the majority of fluorescent lighting applications, but does not include any lamp designed and marketed for the following nongeneral application:
              (1) Fluorescent lamps designed to promote plant growth;
              (2) Fluorescent lamps specifically designed for cold temperature applications;
              (3) Colored fluorescent lamps;
              (4) Impact-resistant fluorescent lamps;
              (5) Reflectorized or aperture lamps;
              (6) Fluorescent lamps designed for use in reprographic equipment;
              (7) Lamps primarily designed to produce radiation in the ultra-violet region of the spectrum; and
              (8) Lamps with a Color Rendering Index of 87 or greater.

                General service incandescent lamp means a standard incandescent or halogen type lamp that is intended for general service applications; has a medium screw base; has a lumen range of not less than 310 lumens and not more than 2,600 lumens or, in the case of a modified spectrum lamp, not less than 232 lumens and not more than 1,950 lumens; and is capable of being operated at a voltage range at least partially within 110 and 130 volts; however this definition does not apply to the following incandescent lamps—
              (1) An appliance lamp;
              (2) A black light lamp;
              (3) A bug lamp;
              (4) A colored lamp;
              (5) An infrared lamp;
              (6) A left-hand thread lamp;
              (7) A marine lamp;
              (8) A marine signal service lamp;
              (9) A mine service lamp;
              (10) A plant light lamp;
              (11) A reflector lamp;
              (12) A rough service lamp;
              (13) A shatter-resistant lamp (including a shatter-proof lamp and a shatter-protected lamp);
              (14) A sign service lamp;
              (15) A silver bowl lamp;
              (16) A showcase lamp;
              (17) A 3-way incandescent lamp;
              (18) A traffic signal lamp;
              (19) A vibration service lamp;

              (20) A G shape lamp (as defined in ANSI C78.20) (incorporated by reference; see § 430.3) and ANSI C79.1-2002 (incorporated by reference; see § 430.3) with a diameter of 5 inches or more;

              (21) A T shape lamp (as defined in ANSI C78.20) (incorporated by reference; see § 430.3) and ANSI C79.1-2002 (incorporated by reference; see § 430.3) and that uses not more than 40 watts or has a length of more than 10 inches; and

              (22) A B, BA, CA, F, G16-1/2, G-25, G30, S, or M-14 lamp (as defined in ANSI C79.1-2002) (incorporated by reference; see § 430.3) and ANSI C78.20 (incorporated by reference; see § 430.3) of 40 watts or less.

                General service lamp includes general service incandescent lamps, compact fluorescent lamps, general service light-emitting diode lamps, organic light-emitting diode lamps, and any other lamps that the Secretary determines are used to satisfy lighting applications traditionally served by general service incandescent lamps; however, this definition does not apply to any lighting application or bulb shape excluded from the “general service incandescent lamp” definition, or any general service fluorescent lamp or incandescent reflector lamp.

                Gravity central furnace means a gas fueled furnace which depends primarily on natural convection for circulation of heated air and which is designed to be used in conjunction with a system of ducts.

                Grid-enabled water heater means an electric resistance water heater that—
              (1) Has a rated storage tank volume of more than 75 gallons;
              (2) Is manufactured on or after April 16, 2015;
              (3) Is equipped at the point of manufacture with an activation lock and;
              (4) Bears a permanent label applied by the manufacturer that—
              (i) Is made of material not adversely affected by water;
              (ii) Is attached by means of non-water-soluble adhesive; and
              (iii) Advises purchasers and end-users of the intended and appropriate use of the product with the following notice printed in 16.5 point Arial Narrow Bold font: “IMPORTANT INFORMATION: This water heater is intended only for use as part of an electric thermal storage or demand response program. It will not provide adequate hot water unless enrolled in such a program and activated by your utility company or another program operator. Confirm the availability of a program in your local area before purchasing or installing this product.”

                Hand-held showerhead means a showerhead that can be held or fixed in place for the purpose of spraying water onto a bather and that is connected to a flexible hose.

                High-definition multimedia interface or HDMI® means an audio and video interface as defined by HDMI® Specification Informational Version 1.0 or greater (incorporated by reference; see § 430.3).

                Home heating equipment, not including furnaces means vented home heating equipment and unvented home heating equipment.

                Household means an entity consisting of either an individual, a family, or a group of unrelated individuals, who reside in a particular housing unit. For the purpose of this definition:
              (1) Group quarters means living quarters that are occupied by an institutional group of 10 or more unrelated persons, such as a nursing home, military barracks, halfway house, college dormitory, fraternity or sorority house, convent, shelter, jail or correctional institution.
              (2) Housing unit means a house, an apartment, a group of rooms, or a single room occupied as separate living quarters, but does not include group quarters.
              (3) Separate living quarters means living quarters:
              (i) To which the occupants have access either:
              (A) Directly from outside of the building, or
              (B) Through a common hall that is accessible to other living quarters and that does not go through someone else's living quarters, and
              (ii) Occupied by one or more persons who live and eat separately from occupant(s) of other living quarters, if any, in the same building.

                Immersed heating element means an electrically powered heating device which is designed to operate while totally immersed in water in such a manner that the heat generated by the device is imparted directly to the water.

                Impact-resistant fluorescent lamp means a lamp that:
              (1) Has a coating or equivalent technology that is compliant with NSF/ANSI 51 (incorporated by reference; see § 430.3) and is designed to contain the glass if the glass envelope of the lamp is broken; and
              (2) Is designated and marketed for the intended application, with:
              (i) The designation on the lamp packaging; and

              (ii) Marketing materials that identify the lamp as being impact-resistant, shatter-resistant, shatter-proof, or shatter-protected.

                Import means to import into the customs territory of the United States.

                Incandescent lamp means a lamp in which light is produced by a filament heated to incandescence by an electric current, including only the following:
              (1) Any lamp (commonly referred to as lower wattage non-reflector general service lamps, including any tungsten halogen lamp) that has a rated wattage between 30 and 199, has an E26 medium screw base, has a rated voltage or voltage range that lies at least partially in the range of 115 and 130 volts, and is not a reflector lamp.
              (2) Any incandescent reflector lamp.
              (3) Any general service incandescent lamp (commonly referred to as a high-or higher-wattage lamp) that has a rated wattage above 199 (above 205 for a high wattage reflector lamp).

                Incandescent reflector lamp (commonly referred to as a reflector lamp) means any lamp in which light is produced by a filament heated to incandescence by an electric current, which: contains an inner reflective coating on the outer bulb to direct the light; is not colored; is not designed for rough or vibration service applications; is not an R20 short lamp; has an R, PAR, ER, BR, BPAR, or similar bulb shapes with an E26 medium screw base; has a rated voltage or voltage range that lies at least partially in the range of 115 and 130 volts; has a diameter that exceeds 2.25 inches; and has a rated wattage that is 40 watts or higher.

                Indirect operation external power supply means an external power supply that cannot operate a consumer product that is not a battery charger without the assistance of a battery as determined by the steps in paragraphs (1)(i) through (v) of this definition:
              (1) If the external power supply (EPS) can be connected to an end-use consumer product and that consumer product can be operated using battery power, the method for determining whether that EPS is incapable of operating that consumer product directly is as follows:
              (i) If the end-use product has a removable battery, remove it for the remainder of the test and proceed to the step in paragraph (1)(v) of this definition. If not, proceed to the step in paragraph (1)(ii).
              (ii) Charge the battery in the application via the EPS such that the application can operate as intended before taking any additional steps.
              (iii) Disconnect the EPS from the application. From an off mode state, turn on the application and record the time necessary for it to become operational to the nearest five second increment (5 sec, 10 sec, etc.).
              (iv) Operate the application using power only from the battery until the application stops functioning due to the battery discharging.
              (v) Connect the EPS first to mains and then to the application. Immediately attempt to operate the application. If the battery was removed for testing and the end-use product operates as intended, the EPS is not an indirect operation EPS and paragraph 2 of this definition does not apply. If the battery could not be removed for testing, record the time for the application to become operational to the nearest five second increment (5 seconds, 10 seconds, etc.).
              (2) If the time recorded in paragraph (1)(v) of this definition is greater than the summation of the time recorded in paragraph (1)(iii) of this definition and five seconds, the EPS cannot operate the application directly and is an indirect operation EPS.

                Installation of a central air conditioner means the connection of the refrigerant lines and/or electrical systems to make the central air conditioner operational.

                Integrated light-emitting diode lamp means an integrated LED lamp as defined in ANSI/IES RP-16 (incorporated by reference; see § 430.3).

                Intermediate base incandescent lamp means a lamp that uses an intermediate screw base as described in ANSI C81.61, Specifications for Electric Bases, common designation E17 (incorporated by reference; see § 430.3).

                Kerosene means No. 1 fuel oil with a viscosity meeting the specifications as specified in UL-730-1974, section 36.9 and in tables 2 and 3 of ANSI Standard Z91.1-1972.

                Lamp Efficacy (LE) means the measured lumen output of a lamp in lumens divided by the measured lamp electrical power input in watts expressed in units of lumens per watt (LPW).

                Lamps primarily designed to produce radiation in the ultraviolet region of the spectrum means fluorescent lamps that primarily emit light in the portion of the electromagnetic spectrum where light has a wavelength between 10 and 400 nanometers.

                Lifetime of a compact fluorescent lamp means the length of operating time between first use and failure of 50 percent of the sample units (as specified in § 429.35(a)(1) of this chapter), determined in accordance with the test procedures described in section 3.3 of appendix W to subpart B of this part.

                Lifetime of an integrated light-emitting diode lamp means the length of operating time between first use and failure of 50 percent of the sample units (as required by § 429.56(a)(1) of this chapter), when measured in accordance with the test procedures described in section 4 of appendix BB to subpart B of this part.

                Light-emitting diode or LED means a p-n junction solid state device of which the radiated output, either in the infrared region, the visible region, or the ultraviolet region, is a function of the physical construction, material used, and exciting current of the device.

                Low consumption has the meaning given such a term in ASME A112.19.2-2008. (see § 430.3)

                Low pressure steam or hot water boiler means an electric, gas or oil burning furnace designed to supply low pressure steam or hot water for space heating application. A low pressure steam boiler operates at or below 15 pounds psig steam pressure; a hot water boiler operates at or below 160 psig water pressure and 250 °F. water temperature.

                Low-voltage external power supply means an external power supply with a nameplate output voltage less than 6 volts and nameplate output current greater than or equal to 550 milliamps.

                LP-gas means liquified petroleum gas, and includes propane, butane, and propane/butane mixtures.

                Major cooking component means either a conventional cooking top, a conventional oven or a microwave oven.

                Manufacture means to manufacture, produce, assemble, or import.

                Manufacturer means any person who manufactures a consumer product.

                Medium base compact fluorescent lamp means an integrally ballasted fluorescent lamp with a medium screw base, a rated input voltage range of 115 to 130 volts and which is designed as a direct replacement for a general service incandescent lamp; however, the term does not include—
              (1) Any lamp that is—
              (i) Specifically designed to be used for special purpose applications; and
              (ii) Unlikely to be used in general purpose applications, such as the applications described in the definition of “General Service Incandescent Lamp” in this section; or
              (2) Any lamp not described in the definition of “General Service Incandescent Lamp” in this section that is excluded by the Secretary, by rule, because the lamp is—
              (i) Designed for special applications; and
              (ii) Unlikely to be used in general purpose applications.

                Medium screw base means an Edison screw base identified with the prefix E-26 in the “American National Standard for Electric Lamp Bases”, ANSI_IEC C81.61-2003, published by the American National Standards Institute.

                Microwave oven means a category of cooking products which is a household cooking appliance consisting of a compartment designed to cook or heat food by means of microwave energy, including microwave ovens with or without thermal elements designed for surface browning of food and convection microwave ovens. This includes any microwave oven(s) component of a combined cooking product.

                Miscellaneous refrigeration product means a consumer refrigeration product other than a refrigerator, refrigerator-freezer, or freezer, which includes coolers and combination cooler refrigeration products.

                Mobile home furnace means a direct vent furnace that is designed for use only in mobile homes.

                Modified spectrum means, with respect to an incandescent lamp, an incandescent lamp that—

              (1) Is not a colored incandescent lamp; and
              (2) When operated at the rated voltage and wattage of the incandescent lamp—

              (A) Has a color point with (x,y) chromaticity coordinates on the C.I.E. 1931 chromaticity diagram, figure 2, page 3 of IESNA LM-16 (incorporated by reference; see § 430.3) that lies below the black-body locus; and

              (B) Has a color point with (x,y) chromaticity coordinates on the C.I.E. 1931 chromaticity diagram, figure 2, page 3 of IESNA LM-16 (incorporated by reference; see § 430.3) that lies at least 4 MacAdam steps, as referenced in IESNA LM-16, distant from the color point of a clear lamp with the same filament and bulb shape, operated at the same rated voltage and wattage.

                Natural gas means natural gas as defined by the Federal Power Commission.

                Off mode means the condition in which an energy using product—
              (1) Is connected to a main power source; and
              (2) Is not providing any stand-by or active mode function.

                Oil means heating oil grade No. 2 as defined in American Society for Testing and Materials (ASTM) D396-71.

                Oil-fired instantaneous water heater means a water heater that uses oil as the main energy source, has a nameplate input rating of 210,000 Btu/h or less, and contains no more than one gallon of water per 4,000 Btu per hour of input.

                Oil-fired storage water heater means a water heater that uses oil as the main energy source, has a nameplate input rating of 105,000 Btu/h or less, and contains more than one gallon of water per 4,000 Btu per hour of input.

                Organic light-emitting diode or OLED means a thin-film light-emitting device that typically consists of a series of organic layers between 2 electrical contacts (electrodes).

                Other clothes washer means a class of clothes washer which is not an automatic or semi-automatic clothes washer.

                Other cooking products means any category of cooking products other than conventional cooking tops, conventional ovens, and microwave ovens.

                Outdoor furnace or boiler is a furnace or boiler normally intended for installation out-of-doors or in an unheated space (such as an attic or a crawl space).

                Packaged terminal air conditioner means a wall sleeve and a separate unencased combination of heating and cooling assemblies specified by the builder and intended for mounting through the wall. It includes a prime source of refrigeration, separable outdoor louvers, forced ventilation, and heating availability energy.

                Packaged terminal heat pump means a packaged terminal air conditioner that utilizes reverse cycle refrigeration as its prime heat source and should have supplementary heating availability by builder's choice of energy.

                Person includes any individual, corporation, company, association, firm, partnership, society, trust, joint venture or joint stock company, the government, and any agency of the United States or any State or political subdivision thereof.

                Pin-based means (1) the base of a fluorescent lamp, that is not integrally ballasted and that has a plug-in lamp base, including multi-tube, multibend, spiral, and circline types, or (2) a socket that holds such a lamp.

                Pool heater means an appliance designed for heating nonpotable water contained at atmospheric pressure, including heating water in swimming pools, spas, hot tubs and similar applications.

                Portable air conditioner means a portable encased assembly, other than a “packaged terminal air conditioner,” “room air conditioner,” or “dehumidifier,” that delivers cooled, conditioned air to an enclosed space, and is powered by single-phase electric current. It includes a source of refrigeration and may include additional means for air circulation and heating.

                Portable dehumidifier means a dehumidifier designed to operate within the dehumidified space without the attachment of additional ducting, although means may be provided for optional duct attachment.

                Portable electric heater means an electric heater which is intended to stand unsupported, and can be moved from place to place within a structure. It is connected to electric supply by means of a cord and plug, and transfers heat by radiation and/or convention (either natural or forced).

                Primary heater means a heating device that is the principal source of heat for a structure and includes baseboard electric heaters, ceiling electric heaters, and wall electric heaters.

                Private labeler means an owner of a brand or trademark on the label of a consumer product which bears a private label. A consumer product bears a private label if:
              (1) Such product (or its container) is labeled with the brand or trademark of a person other than a manufacturer of such product;
              (2) The person with whose brand or trademark such product (or container) is labeled has authorized or caused such product to be so labeled; and
              (3) The brand or trademark of a manufacturer of such product does not appear on such label.

                Propane means a hydrocarbon whose chemical composition is predominantly C3H8, whether recovered from natural gas or crude oil.

                R20 incandescent reflector lamp means a reflector lamp that has a face diameter of approximately 2.5 inches, as shown in figure 1(R) on page 7 of ANSI C79.1-1994 (incorporated by reference; see § 430.3).

                R20 short lamp means a lamp that is an R20 incandescent reflector lamp that has a rated wattage of 100 watts; has a maximum overall length of 3 and 5/8, or 3.625, inches; and is designed, labeled, and marketed specifically for pool and spa applications.

                Rated lifetime for general service incandescent lamps means the length of operating time of a sample of lamps (as defined in § 429.27(a)(2)(iv) of this chapter) between first use and failure of 50 percent of the sample size in accordance with test procedures described in IESNA LM-49 (incorporated by reference; see § 430.3), as determined in section 4.2 of Appendix R of this subpart. The operating time is based on the middle lamp operating time for an odd number of samples and the average operating time of the two middle lamps for an even number of samples.

                Rated voltage with respect to incandescent lamps means:
              (1) The design voltage if the design voltage is 115 V, 130 V or between 115V and 130 V:
              (2) 115 V if the design voltage is less than 115 V and greater than or equal to 100 V and the lamp can operate at 115 V; and
              (3) 130 V if the design voltage is greater than 130 V and less than or equal to 150 V and the lamp can operate at 130 V.

                Rated wattage means:
              (1) With respect to fluorescent lamps and general service fluorescent lamps:

              (i) If the lamp is listed in ANSI C78.81 (incorporated by reference; see § 430.3) or ANSI C78.901 (incorporated by reference; see § 430.3), the rated wattage of a lamp determined by the lamp designation of Clause 11.1 of ANSI C78.81 or ANSI C78.901;

              (ii) If the lamp is a residential straight-shaped lamp, and not listed in ANSI C78.81 (incorporated by reference; see § 430.3), the wattage of a lamp when operated on a reference ballast for which the lamp is designed; or
              (iii) If the lamp is neither listed in one of the ANSI standards referenced in (1)(i) of this definition, nor a residential straight-shaped lamp, the electrical power of a lamp when measured according to the test procedures outlined in appendix R to subpart B of this part.
              (2) With respect to general service incandescent lamps and incandescent reflector lamps, the electrical power measured according to the test procedures outlined in appendix R to subpart B of this part.

                Reflectorized or aperture lamp means a fluorescent lamp that contains an inner reflective coating on the bulb to direct light.

                Refrigerant-desiccant dehumidifier means a whole-home dehumidifier that removes moisture from the process air by means of a desiccant material in addition to a refrigeration system.

                Refrigerator means a cabinet, used with one or more doors, that has a source of refrigeration that requires single-phase, alternating current electric energy input only and is capable of maintaining compartment temperatures above 32 °F (0 °C) and below 39 °F (3.9 °C) as determined according to § 429.14(d)(2) of this chapter. A refrigerator may include a compartment capable of maintaining compartment temperatures below 32 °F (0 °C), but does not provide a separate low temperature compartment capable of maintaining compartment temperatures below8 °F (−13.3 °C) as determined according to § 429.14(d)(2). However, the term does not include:
              (1) Any product that does not include a compressor and condenser unit as an integral part of the cabinet assembly;
              (2) A cooler; or
              (3) Any miscellaneous refrigeration product that must comply with an applicable miscellaneous refrigeration product energy conservation standard.

                Refrigerator-freezer means a cabinet, used with one or more doors, that has a source of refrigeration that requires single-phase, alternating current electric energy input only and consists of two or more compartments where at least one of the compartments is capable of maintaining compartment temperatures above 32 °F (0 °C) and below 39 °F (3.9 °C) as determined according to § 429.14(d)(2) of this chapter, and at least one other compartment is capable of maintaining compartment temperatures of 8 °F (−13.3 °C) and may be adjusted by the user to a temperature of 0 °F (−17.8 °C) or below as determined according to § 429.14(d)(2). However, the term does not include:
              (1) Any product that does not include a compressor and condenser unit as an integral part of the cabinet assembly; or
              (2) Any miscellaneous refrigeration product that must comply with an applicable miscellaneous refrigeration product energy conservation standard.

                Replacement ballast means a ballast that—
              (1) Is designed for use to replace an existing fluorescent lamp ballast in a previously installed luminaire;
              (2) Is marked “FOR REPLACEMENT USE ONLY”;
              (3) Is shipped by the manufacturer in packages containing not more than 10 fluorescent lamp ballasts; and
              (4) Has output leads that when fully extended are a total length that is less than the length of the lamp with which the ballast is intended to be operated.

                Residential straight-shaped lamp means a low pressure mercury electric-discharge source in which a fluorescing coating transforms some of the ultraviolet energy generated by the mercury discharge into light, including a straight-shaped fluorescent lamp with medium bi-pin bases of nominal overall length of 48 inches and is either designed exclusively for residential applications; or designed primarily and marketed exclusively for residential applications.
              (1) A lamp is designed exclusively for residential applications if it will not function for more than 100 hours with a commercial high-power-factor ballast.
              (2) A lamp is designed primarily and marketed exclusively for residential applications if it:
              (i) Is permanently and clearly marked as being for residential use only;
              (ii) Has a life of 6,000 hours or less when used with a commercial high-power-factor ballast;
              (iii) Is not labeled or represented as a replacement for a fluorescent lamp that is a covered product; and
              (iv) Is marketed and distributed in a manner designed to minimize use of the lamp with commercial high-power-factor ballasts.
              (3) A manufacturer may market and distribute a lamp in a manner designed to minimize use of the lamp with commercial high-power-factor ballasts by:
              (i) Packaging and labeling the lamp in a manner that clearly indicates the lamp is for residential use only and includes appropriate instructions concerning proper and improper use; if the lamp is included in a catalog or price list that also includes commercial/industrial lamps, listing the lamp in a separate residential section accompanied by notes about proper use on the same page; and providing as part of any express warranty accompanying the lamp that improper use voids such warranty; or
              (ii) Using other comparably effective measures to minimize use with commercial high-power-factor ballasts.

                Room air conditioner means a consumer product, other than a “packaged terminal air conditioner,” which is powered by a single phase electric current and which is an encased assembly designed as a unit for mounting in a window or through the wall for the purpose of providing delivery of conditioned air to an enclosed space. It includes a prime source of refrigeration and may include a means for ventilating and heating.

                Rough or vibration service incandescent reflector lamp means a reflector lamp: in which a C-11 (5 support), C-17 (8 support), or C-22 (16 support) filament is mounted (the number of support excludes lead wires); in which the filament configuration is as shown in Chapter 6 of the 1993 Illuminating Engineering Society of North America Lighting Handbook, 8th Edition (see 10 CFR 430.22); and that is designated and marketed specifically for rough or vibration service applications.

                Rough service lamp means a lamp that—

              (1) Has a minimum of 5 supports with filament configurations that are C-7A, C-11, C-17, and C-22 as listed in Figure 6-12 of the IESNA Lighting Handbook (incorporated by reference; see § 430.3), or similar configurations where lead wires are not counted as supports; and
              (2) Is designated and marketed specifically for ‘rough service’ applications, with
              (i) The designation appearing on the lamp packaging; and
              (ii) Marketing materials that identify the lamp as being for rough service.

                S-video means a video display interface that transmits analog video over two channels: luma and chroma as defined by IEC 60933-5 Ed. 1.0 (incorporated by reference; see § 430.3).

                Secretary means the Secretary of the Department of Energy.

                Security or life safety alarm or surveillance system means:
              (1) Equipment designed and marketed to perform any of the following functions (on a continuous basis):
              (i) Monitor, detect, record, or provide notification of intrusion or access to real property or physical assets or notification of threats to life safety.
              (ii) Deter or control access to real property or physical assets, or prevent the unauthorized removal of physical assets.
              (iii) Monitor, detect, record, or provide notification of fire, gas, smoke, flooding, or other physical threats to real property, physical assets, or life safety.
              (2) This term does not include any product with a principal function other than life safety, security, or surveillance that:
              (i) Is designed and marketed with a built-in alarm or theft-deterrent feature; or
              (ii) Does not operate necessarily and continuously in active mode.

                Semi-automatic clothes washer means a class of clothes washer that is the same as an automatic clothes washer except that user intervention is required to regulate the water temperature by adjusting the external water faucet valves.

                Shatter-resistant lamp, shatter-proof lamp, or shatter-protected lamp means a lamp that—

              (1) Has a coating or equivalent technology that is compliant with NSF/ANSI 51 (incorporated by reference; see § 430.3) and is designed to contain the glass if the glass envelope of the lamp is broken; and
              (2) Is designated and marketed for the intended application, with
              (i) The designation on the lamp packaging; and
              (ii) Marketing materials that identify the lamp as being shatter-resistant, shatter-proof, or shatter-protected.

                Showerhead means a component or set of components distributed in commerce for attachment to a single supply fitting, for spraying water onto a bather, typically from an overhead position, excluding safety shower showerheads.

                Single-duct portable air conditioner means a portable air conditioner that draws all of the condenser inlet air from the conditioned space without the means of a duct, and discharges the condenser outlet air outside the conditioned space through a single duct attached to an adjustable window bracket.

                Small-duct high-velocity (SDHV) electric furnace means an electric furnace that:

              (1) Is designed for, and produces, at least 1.2 inches of external static pressure when operated at the certified air volume rate of 220-350 CFM per rated ton of cooling in the highest default cooling airflow-control setting; and
              (2) When applied in the field, uses high velocity room outlets generally greater than 1,000 fpm that have less than 6.0 square inches of free area.

                Small-duct high-velocity (SDHV) modular blower means a modular blower that:
              (1) Is designed for, and produces, at least 1.2 inches of external static pressure when operated at the certified air volume rate of 220-350 CFM per rated ton of cooling in the highest default cooling airflow-controls setting; and
              (2) When applied in the field, uses high velocity room outlets generally greater than 1,000 fpm that have less than 6.0 square inches of free area.

                Space constrained product means a central air conditioner or heat pump:
              (1) That has rated cooling capacities no greater than 30,000 BTU/hr;
              (2) That has an outdoor or indoor unit having at least two overall exterior dimensions or an overall displacement that:
              (i) Is substantially smaller than those of other units that are:
              (A) Currently usually installed in site-built single family homes; and
              (B) Of a similar cooling, and, if a heat pump, heating capacity; and
              (ii) If increased, would certainly result in a considerable increase in the usual cost of installation or would certainly result in a significant loss in the utility of the product to the consumer; and
              (3) Of a product type that was available for purchase in the United States as of December 1, 2000.

                Specialty application mercury vapor lamp ballast means a mercury vapor lamp ballast that—
              (1) Is designed and marketed for operation of mercury vapor lamps used in quality inspection, industrial processing, or scientific use, including fluorescent microscopy and ultraviolet curing; and
              (2) In the case of a specialty application mercury vapor lamp ballast, the label of which—
              (i) Provides that the specialty application mercury vapor lamp ballast is ‘For specialty applications only, not for general illumination’; and
              (ii) Specifies the specific applications for which the ballast is designed.

                Standby mode means the condition in which an energy-using product—
              (1) Is connected to a main power source; and
              (2) Offers one or more of the following user-oriented or protective functions:
              (i) To facilitate the activation or deactivation of other functions (including active mode) by remote switch (including remote control), internal sensor, or timer; or
              (ii) Continuous functions, including information or status displays (including clocks) or sensor-based functions.

                State means a State, the District of Columbia, Puerto Rico, or any territory or possession of the United States.

                State regulation means a law or regulation of a State or political subdivision thereof.

                Supplementary heater means a heating device that provides heat to a space in addition to that which is supplied by a primary heater. Supplementary heaters include portable electric heaters.

                Surface unit means either a heating unit mounted in a cooking top, or a heating source and its associated heated area of the cooking top, on which vessels are placed for the cooking or heating of food.

                Television set or TV means a product designed to produce dynamic video, contains an internal TV tuner encased within the product housing, and that is capable of receiving dynamic visual content from wired or wireless sources including but not limited to:
              (1) Broadcast and similar services for terrestrial, cable, satellite, and/or broadband transmission of analog and/or digital signals; and/or
              (2) Display-specific data connections, such as HDMI, Component video, S-video, Composite video; and/or
              (3) Media storage devices such as a USB flash drive, memory card, or a DVD; and/or
              (4) Network connections, usually using Internet Protocol, typically carried over Ethernet or Wi-Fi.

                Through-the-wall central air conditioner means a central air conditioner that is designed to be installed totally or partially within a fixed-size opening in an exterior wall, and:

              (1) Is not weatherized;
              (2) Is clearly and permanently marked for installation only through an exterior wall;
              (3) Has a rated cooling capacity no greater than 30,000 Btu/hr;
              (4) Exchanges all of its outdoor air across a single surface of the equipment cabinet; and
              (5) Has a combined outdoor air exchange area of less than 800 square inches (split systems) or less than 1,210 square inches (single packaged systems) as measured on the surface described in paragraph (4) of this definition.

                Through-the-wall central air conditioning heat pump means a heat pump that is designed to be installed totally or partially within a fixed-size opening in an exterior wall, and:
              (1) Is not weatherized;
              (2) Is clearly and permanently marked for installation only through an exterior wall;
              (3) Has a rated cooling capacity no greater than 30,000 Btu/hr;
              (4) Exchanges all of its outdoor air across a single surface of the equipment cabinet; and
              (5) Has a combined outdoor air exchange area of less than 800 square inches (split systems) or less than 1,210 square inches (single packaged systems) as measured on the surface described in paragraph (4) of this definition.

                Torchiere means a portable electric lamp with a reflector bowl that directs light upward to give indirect illumination.

                Unvented gas heater means an unvented, self-contained, free-standing, nonrecessed gas-burning appliance which furnishes warm air by gravity or fan circulation.

                Unvented home heating equipment means a class of home heating equipment, not including furnaces, used for the purpose of furnishing heat to a space proximate to such heater directly from the heater and without duct connections and includes electric heaters and unvented gas and oil heaters.

                Unvented oil heater means an unvented, self-contained, free-standing, nonrecessed oil-burning appliance which furnishes warm air by gravity or fan circulation.

                Urinal means a plumbing fixture which receives only liquid body waste and, on demand, conveys the waste through a trap seal into a gravity drainage system, except such term does not include fixtures designed for installations in prisons.

                Vented floor furnace means a self-contained vented heater suspended from the floor of the space being heated, taking air for combustion from outside this space. The vented floor furnace supplies heated air circulated by gravity or by a fan directly into the space to be heated through openings in the casing.

                Vented home heating equipment or vented heater means a class of home heating equipment, not including furnaces, designed to furnish warmed air to the living space of a residence, directly from the device, without duct connections (except that boots not to exceed 10 inches beyond the casing may be permitted) and includes: vented wall furnace, vented floor furnace, and vented room heater.

                Vented room heater means a self-contained, free standing, nonrecessed, vented heater for furnishing warmed air to the space in which it is installed. The vented room heater supplies heated air circulated by gravity or by a fan directly into the space to be heated through openings in the casing.

                Vented wall furnace means a self-contained vented heater complete with grilles or the equivalent, designed for incorporation in, or permanent attachment to, a wall of a residence and furnishing heated air circulated by gravity or by a fan directly into the space to be heated through openings in the casing.

                Vibration service lamp means a lamp that—

              (1) Has filament configurations that are C-5, C-7A, or C-9, as listed in Figure 6-12 of the IESNA Lighting Handbook (incorporated by reference; see § 430.3) or similar configurations;
              (2) Has a maximum wattage of 60 watts;

              (3) Is sold at retail in packages of 2 lamps or less; and

              (4) Is designated and marketed specifically for vibration service or vibration-resistant applications, with—
              (i) The designation appearing on the lamp packaging; and
              (ii) Marketing materials that identify the lamp as being vibration service only.

                Voltage range means a band of operating voltages as marked on an incandescent lamp, indicating that the lamp is designed to operate at any voltage within the band.

                Wall electric heater means an electric heater (excluding baseboard electric heaters) which is intended to be recessed in or surface mounted on walls, which transfers heat by radiation and/or convection (either natural or forced) and which includes forced convectors, natural convectors, radiant heaters, high wall or valance heaters.

                Water closet means a plumbing fixture that has a water-containing receptor which receives liquid and solid body waste, and upon actuation, conveys the waste through an exposed integral trap seal into a gravity drainage system, except such term does not include fixtures designed for installation in prisons.

                Water heater means a product which utilizes oil, gas, or electricity to heat potable water for use outside the heater upon demand, including—
              (1) Storage type units which heat and store water at a thermostatically controlled temperature, including gas storage water heaters with an input of 75,000 Btu per hour or less, oil storage water heaters with an input of 105,000 Btu per hour or less, and electric storage water heaters with an input of 12 kilowatts or less;
              (2) Instantaneous type units which heat water but contain no more than one gallon of water per 4,000 Btu per hour of input, including gas instantaneous water heaters with an input of 200,000 Btu per hour or less, oil instantaneous water heaters with an input of 210,000 Btu per hour or less, and electric instantaneous water heaters with an input of 12 kilowatts or less; and
              (3) Heat pump type units, with a maximum current rating of 24 amperes at a voltage no greater than 250 volts, which are products designed to transfer thermal energy from one temperature level to a higher temperature level for the purpose of heating water, including all ancillary equipment such as fans, storage tanks, pumps, or controls necessary for the device to perform its function.

                Water use means the quantity of water flowing through a showerhead, faucet, water closet, or urinal at point of use, determined in accordance with test procedures under appendices S and T of subpart B of this part.

                Weatherized warm air furnace or boiler means a furnace or boiler designed for installation outdoors, approved for resistance to wind, rain, and snow, and supplied with its own venting system.

                Whole-home dehumidifier means a dehumidifier designed to be installed with ducting to deliver return process air to its inlet and to supply dehumidified process air from its outlet to one or more locations in the dehumidified space.
              [42 FR 27898, June 1, 1977]

                Editorial Note:
                For Federal Register citations affecting § 430.2, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.

              § 430.3
              Materials incorporated by reference.
              (a) General. We incorporate by reference the following standards into part 430. The material listed has been approved for incorporation by reference by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Any subsequent amendment to a standard by the standard-setting organization will not affect the DOE regulations unless and until amended by DOE. Material is incorporated as it exists on the date of the approval and a notice of any change in the material will be published in the Federal Register. All approved material is available for inspection at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202-741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html. Also, this material is available for inspection at U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Program, 6th Floor, 950 L'Enfant Plaza, SW., Washington, DC 20024, (202) 586-2945, or go to: http://www1.eere.energy.gov/buildings/appliance_standards/. Standards can be obtained from the sources below.

              (b) Air Movement and Control Association International, Inc. (AMCA), 30 West University Drive, Arlington Heights, IL 60004, (847) 394-0150, or by going to http://www.amca.org/store/item.aspx?ItemId=81.

              (1) ANSI/ASHRAE 51-07/ANSI/AMCA 210-07 (“ANSI/AMCA 210”), Laboratory Methods of Testing Fans for Certified Aerodynamic Performance Rating, AMCA approved July 28, 2006; IBR approved for appendix X1 to subpart B.
              (2) ANSI/AMCA 210-07, ANSI/ASHRAE 51-07 (“AMCA 210-2007”), Laboratory Methods of Testing Fans for Certified Aerodynamic Performance Rating, ANSI approved August 17, 2007, Section 8—Report and Results of Test, Section 8.2—Performance graphical representation of test results, IBR approved for appendices M and M1 to subpart B, as follows:
              (i) Figure 2A—Static Pressure Tap, and
              (ii) Figure 12—Outlet Chamber Setup—Multiple Nozzles in Chamber.
              (3) ANSI/AMCA Standard 230-15 (“AMCA 230-15”), “Laboratory Methods of Testing Air Circulating Fans for Rating and Certification,” ANSI approved October 16, 2015, IBR approved for appendix U to this subpart, as follows:
              (i) Section 3—Units of Measurement;
              (ii) Section 4—Symbols and Subscripts; (including Table 1—Symbols and Subscripts);
              (iii) Section 5—Definitions (except 5.1);
              (iv) Section 6—Instruments and Section Methods of Measurement;
              (v) Section 7—Equipment and Setups (except the last 2 bulleted items in 7.1—Allowable test setups);
              (vi) Section 8—Observations and Conduct of Test;
              (vii) Section 9—Calculations (except 9.5); and
              (viii) Test Figure 1—Vertical Airflow Setup with Load Cell (Ceiling Fans).
              (c) AHRI. Air-Conditioning, Heating, and Refrigeration Institute, 2111 Wilson Blvd, Suite 500, Arlington, VA 22201, 703-524-8800, or go to http://www.ahrinet.org.

              (1) ANSI/AHRI 210/240-2008 with Addenda 1 and 2 (”AHRI 210/240-2008”), 2008 Standard for Performance Rating of Unitary Air-Conditioning & Air-Source Heat Pump Equipment, ANSI approved October 27, 2011 (Addendum 1 dated June 2011 and Addendum 2 dated March 2012), IBR approved for appendices M and M1 to subpart B, as follows:
              (i) Section 6—Rating Requirements, Section 6.1—Standard Ratings, 6.1.3—Standard Rating Tests, 6.1.3.2—Electrical Conditions;
              (ii) Section 6—Rating Requirements, Section 6.1—Standard Ratings, 6.1.3—Standard Rating Tests, 6.1.3.4—Outdoor-Coil Airflow Rate;
              (iii) Section 6—Rating Requirements, Section 6.1—Standard Ratings, 6.1.3—Standard Rating Tests, 6.1.3.5—Requirements for Separated Assemblies;
              (iv) Figure D1—Tunnel Air Enthalpy Test Method Arrangement;
              (v) Figure D2—Loop Air Enthalpy Test Method Arrangement; and
              (vi) Figure D4—Room Air Enthalpy Test Method Arrangement.
              (2) AHRI Standard 1160-2009 (“AHRI 1160”), Performance Rating of Heat Pump Pool Heaters, 2009, IBR approved for appendix P to subpart B.
              (3) ANSI/AHRI 1230-2010 with Addendum 2 (“AHRI 1230-2010”), 2010 Standard for Performance Rating of Variable Refrigerant Flow (VRF) Multi-Split Air-Conditioning and Heat Pump Equipment (including Addendum 1 dated March 2011), ANSI approved August 2, 2010 (Addendum 2 dated June 2014), IBR approved for appendices M and M1 to subpart B, as follows:
              (i) Section 3—Definitions (except 3.8, 3.9, 3.13, 3.14, 3.15, 3.16, 3.23, 3.24, 3.26, 3.27, 3.28, 3.29, 3.30, and 3.31);
              (ii) Section 5—Test Requirements, Section 5.1 (untitled), 5.1.3-5.1.4;
              (ii) Section 6—Rating Requirements, Section 6.1—Standard Ratings, 6.1.5—Airflow Requirements for Systems with Capacities <65,000 Btu/h [19,000 W];

              (iii) Section 6—Rating Requirements, Section 6.1—Standard Ratings, 6.1.6—Outdoor-Coil Airflow Rate (Applies to all Air-to-Air Systems);

              (iv) Section 6—Rating Requirements, Section 6.2—Conditions for Standard Rating Test for Air-cooled Systems < 65,000 Btu/h [19,000W] (except Table 8); and
              (v) Table 4—Refrigerant Line Length Correction Factors.
              (d) AATCC. American Association of Textile Chemists and Colorists, P.O. Box 12215, Research Triangle Park, NC 27709, (919) 549-3526, or go to www.aatcc.org.

              (1) AATCC Test Method 79-2010, Absorbency of Textiles, Revised 2010, IBR approved for Appendix J2 to Subpart B.
              (2) AATCC Test Method 118-2007, Oil Repellency: Hydrocarbon Resistance Test, Revised 2007, IBR approved for Appendix J2 to Subpart B.
              (3) AATCC Test Method 135-2010, Dimensional Changes of Fabrics after Home Laundering, Revised 2010, IBR approved for Appendix J2 to Subpart B.
              (e) ANSI. American National Standards Institute, 25 W. 43rd Street, 4th Floor, New York, NY 10036, 212-642-4900, or go to http://www.ansi.org.

              (1) ANSI C78.3-1991 (“ANSI C78.3”), American National Standard for Fluorescent Lamps-Instant-start and Cold-Cathode Types-Dimensional and Electrical Characteristics, approved July 15, 1991; IBR approved for § 430.32.
              (2) ANSI C78.20-2003, Revision of ANSI C78.20-1995 (“ANSI C78.20”), American National Standard for electric lamps—A, G, PS, and Similar Shapes with E26 Medium Screw Bases, approved October 30, 2003; IBR approved for § 430.2.
              (3) ANSI C78.21-1989, American National Standard for Electric Lamps—PAR and R Shapes, approved March 3, 1989, IBR approved for § 430.2.
              (4) ANSI C78.21-2003, Revision of ANSI C78.21-1995 with all supplements, American National Standard for Electric Lamps—PAR and R Shapes, approved October 30, 2003, IBR approved for § 430.2.
              (5) ANSI_ANSLG C78.81-2010, (“ANSI C78.81”), American National Standard for Electric Lamps—Double-Capped Fluorescent Lamps— Dimensional and Electrical Characteristics, approved January 14, 2010, IBR approved for § 430.2, § 430.32, appendix Q, and appendix R to subpart B.
              (6) ANSI C78.375-1997, Revision of ANSI C78.375-1991 (“ANSI C78.375”), American National Standard for Fluorescent Lamps—Guide for Electrical Measurements, first edition, approved September 25, 1997; IBR approved for appendix Q and appendix R to subpart B.
              (7) ANSI_IEC C78.901-2005, Revision of ANSI C78.901-2001 (“ANSI C78.901”), American National Standard for Electric Lamps—Single-Based Fluorescent Lamps—Dimensional and Electrical Characteristics, approved March 23, 2005; IBR approved for § 430.2, appendix Q, and appendix R to subpart B.
              (8) ANSI C78.901-2014, American National Standard for Electric Lamps—Single-Based Fluorescent Lamps—Dimensional and Electrical Characteristics, ANSI approved July 2, 2014; IBR approved for appendix W to subpart B.
              (9) ANSI C79.1-1994, American National Standard for Nomenclature for Glass Bulbs—Intended for Use with Electric Lamps, approved March 24, 1994, IBR approved for § 430.2.
              (10) ANSI C79.1-2002, American National Standard for Electric Lamps—Nomenclature for Glass Bulbs Intended for Use with Electric Lamps, approved September 16, 2002, IBR approved for § 430.2.
              (11) ANSI_ANSLG_ C81.61-2006, Revision of ANSI C81.61-2005, (“ANSI C81.61”), American National Standard for electrical lamp bases—Specifications for Bases (Caps) for Electric Lamps, approved August 25, 2006, IBR approved for § 430.2.
              (12) ANSI C82.1-2004, (“ANSI C82.1”), American National Standard for Lamp Ballast—Line Frequency Fluorescent Lamp Ballast, approved November 19, 2004; IBR approved for appendix Q to subpart B.
              (13) ANSI C82.2-2002, (“ANSI C82.2”), American National Standard for Lamp Ballasts—Method of Measurement of Fluorescent Ballasts, Approved June 6, 2002, IBR approved for appendix Q to subpart B.

              (14) ANSI C82.3-2002, Revision of ANSI C82.3-1983 (R 1995) (“ANSI C82.3”), American National Standard for Reference Ballasts for Fluorescent Lamps, approved September 4, 2002; IBR approved for appendix Q and appendix R to subpart B.

              (15) ANSI C82.11 Consolidated-2002, (“ANSI C82.11”), American National Standard for Lamp Ballasts—High-frequency Fluorescent Lamp Ballasts—Supplements, approved March 11, 1999, August 5, 1999 and January 17, 2002; IBR approved for appendix Q to subpart B.
              (16) ANSI C82.13-2002 (“ANSI C82.13”), American National Standard for Lamp Ballasts—Definitions for Fluorescent Lamps and Ballasts, approved July 23, 2002; IBR approved for appendix Q to subpart B.
              (17) ANSI/NEMA WD 6-2016, Wiring Devices—Dimensional Specifications, ANSI approved February 11, 2016, IBR approved for Appendix Y to subpart B; as follows:
              (i) Figure 1-15—Plug and Receptacle; and
              (ii) Figure 5-15—Plug and Receptacle.
              (18) ANSI Z21.56-2006, section 2.10 (“ANSI Z21.56”), Standard for Gas-Fired Pool Heaters, approved December 13, 2005, IBR approved for appendix P to subpart B.
              (19) ANSI Z21.50-2007 (CSA 2.22-2007), (“ANSI Z21.50”), Vented Gas Fireplaces, Fifth Edition, Approved February 22, 2007, IBR approved for § 430.2.
              (20) ANSI Z21.86-2008, (“ANSI Z21.86”), Vented Gas-Fired Space Heating Appliances, Fifth Edition, approved March 28, 2008, IBR approved for appendix O to subpart B.
              (21) ANSI Z21.88-2009 (CSA 2.33-2009), (“ANSI Z21.88”), Vented Gas Fireplace Heaters, Fifth Edition, Approved March 26, 2009, IBR approved for § 430.2.
              (f) AS/NZS. Australian/New Zealand Standard, GPO Box 476, Sydney NSW 2001, (02) 9237-6000 or (12) 0065-4646, or go to www.standards.org.au/Standards New Zealand, Level 10 Radio New Zealand House 144 The Terrace Wellington 6001 (Private Bag 2439 Wellington 6020), (04) 498-5990 or (04) 498-5991, or go to www.standards.co.nz.

              (1) AS/NZS 4474.1:2007, Performance of Household Electrical Appliances—Refrigerating Appliances; Part 1: Energy Consumption and Performance, Second edition, published August 15, 2007, IBR approved for Appendix A to Subpart B.
              (2) [Reserved]
              (g) ASHRAE. American Society of Heating, Refrigerating and Air-Conditioning Engineers, Inc., Publication Sales, 1791 Tullie Circle, NE., Atlanta, GA 30329, 800-527-4723 or 404-636-8400, or go to http://www.ashrae.org.

              (1) ANSI/ASHRAE Standard 16-1983 (“ANSI/ASHRAE 16”) (RA 2009), (Reaffirmation of ANSI/ASHRAE Standard 16-1983 [RA 1999]), Method of Testing for Rating Room Air Conditioners and Packaged Terminal Air Conditioners, ASHRAE approved October 18, 1988, and reaffirmed June 20, 2009. ANSI approved October 20, 1998 and reaffirmed June 25, 2009. IBR approved for appendix F to subpart B.
              (2) ANSI/ASHRAE 23.1-2010, (“ASHRAE 23.1-2010”), Methods of Testing for Rating the Performance of Positive Displacement Refrigerant Compressors and Condensing Units that Operate at Subcritical Temperatures of the Refrigerant, ANSI approved January 28, 2010, IBR approved for appendices M and M1 to subpart B, as follows:
              (i) Section 5—Requirements;
              (ii) Section 6—Instruments;
              (iii) Section 7—Methods of Testing; and
              (iv) Section 8—Compressor Testing.
              (3) ANSI/ASHRAE Standard 37-2009, (“ASHRAE 37-2009”), Methods of Testing for Rating Electrically Driven Unitary Air-Conditioning and Heat Pump Equipment, ANSI approved June 25, 2009, IBR approved for appendices AA and CC to subpart B.
              (4) ANSI/ASHRAE Standard 37-2009, (“ANSI/ASHRAE 37-2009”), Methods of Testing for Rating Electrically Driven Unitary Air-Conditioning and Heat Pump Equipment, ANSI approved June 25, 2009, IBR approved for appendices M and M1 to subpart B, as follows:
              (i) Section 5—Instruments, Section 5.1—Temperature Measuring Instruments: 5.1.1;
              (ii) Section 5—Instruments, Section 5.2—Refrigerant, Liquid, and Barometric Pressure Measuring Instruments;
              (iii) Section 5—Instruments, Section 5.5—Volatile Refrigerant Flow Measurement;

              (iv) Section 6—Airflow and Air Differential Pressure Measurement Apparatus, Section 6.1—Enthalpy Apparatus (Excluding Figure 3): 6.1.1-6.1.2 and 6.1.4;

              (v) Section 6—Airflow and Air Differential Pressure Measurement Apparatus, Section 6.2—Nozzle Airflow Measuring Apparatus (Excluding Figure 5);
              (vi) Section 6—Airflow and Air Differential Pressure Measurement Apparatus, Section 6.3—Nozzles (Excluding Figure 6);
              (vii) Section 6—Airflow and Air Differential Pressure Measurement Apparatus, Section 6.4—External Static Pressure Measurements;
              (viii) Section 6—Airflow and Air Differential Pressure Measurement Apparatus, Section 6.5—Recommended Practices for Static Pressure Measurements;
              (ix) Section 7—Methods of Testing and Calculation, Section 7.3—Indoor and Outdoor Air Enthalpy Methods (Excluding Table 1);
              (x) Section 7—Methods of Testing and Calculation, Section 7.4—Compressor Calibration Method;
              (xi) Section 7—Methods of Testing and Calculation, Section 7.5—Refrigerant Enthalpy Method;
              (xii) Section 7—Methods of Testing and Calculation, Section 7.7—Airflow Rate Measurement, Section 7.7.2—Calculations—Nozzle Airflow Measuring Apparatus (Excluding Figure 10), 7.7.2.1-7.7.2.2;
              (xiii) Section 8—Test Procedures, Section 8.1—Test Room Requirements: 8.1.2-8.1.3;
              (xiv) Section 8—Test Procedures, Section 8.2—Equipment Installation;
              (xv) Section 8—Test Procedures, Section 8.6—Additional Requirements for the Outdoor Air Enthalpy Method, Section 8.6.2;
              (xvii) Section 8—Test Procedures, Section 8.6—Additional Requirements for the Outdoor Air Enthalpy Method, Table 2a—Test Tolerances (SI Units), and
              (xviii) Section 8—Test Procedures, Section 8.6—Additional Requirements for the Outdoor Air Enthalpy Method, Table 2b—Test Tolerances (I-P Units);
              (xix) Section 9—Data to be Recorded, Section 9.2—Test Tolerances; and
              (xx) Section 9—Data to be Recorded, Table 3—Data to be Recorded.
              (5) ASHRAE 41.1-1986 (Reaffirmed 2006), Standard Method for Temperature Measurement, approved February 18, 1987, IBR approved for appendices E and AA to subpart B.
              (6) ANSI/ASHRAE 41.1-2013 (“ANSI/ASHRAE 41.1”), Standard Method for Temperature Measurement, ANSI approved January 30, 2013; IBR approved for appendix X1 to subpart B.
              (7) ANSI/ASHRAE Standard 41.1-2013, (“ANSI/ASHRAE 41.1-2013”), Standard Method for Temperature Measurement, ANSI approved January 30, 2013, IBR approved for appendix M to subpart B, as follows:
              (i) Section 4—Classifications;
              (ii) Section 5—Requirements, Section 5.3—Airstream Temperature Measurements;
              (iii) Section 6—Instruments; and
              (iv) Section 7—Temperature Test Methods (Informative).
              (8) ANSI/ASHRAE Standard 41.2-1987 (RA 1992), (“ASHRAE 41.2-1987 (RA 1992)”), Standard Methods for Laboratory Airflow Measurement, ANSI reaffirmed April 20, 1992, Section 5—Section of Airflow-Measuring Equipment and Systems, IBR approved for appendix M to subpart B, as follows:
              (i) Section 5.2—Test Ducts,, Section 5.2.2—Mixers, 5.2.2.1—Performance of Mixers (excluding Figures 11 and 12 and Table 1); and
              (ii) Figure 14—Outlet Chamber Setup for Multiple Nozzles in Chamber.
              (9) ANSI/ASHRAE Standard 41.6-2014, (“ASHRAE 41.6-2014”), Standard Method for Humidity Measurement, ANSI approved July 3, 2014, IBR approved for appendix M to subpart B, as follows:
              (i) Section 4—Classifications;
              (ii) Section 5—Requirements;
              (iii) Section 6—Instruments and Calibration; and
              (iv) Section 7—Humidity Measurement Methods.
              (10) ANSI/ASHRAE 41.9-2011, (“ASHRAE 41.9-2011”), Standard Methods for Volatile-Refrigerant Mass Flow Measurements Using Calorimeters, ANSI approved February 3, 2011, IBR approved for appendix M to subpart B, as follows:
              (i) Section 5—Requirements;
              (ii) Section 6—Instruments;
              (iii) Section 7—Secondary Refrigerant Calorimeter Method;

              (iv) Section 8—Secondary Fluid Calorimeter Method;

              (v) Section 9—Primary Refrigerant Calorimeter Method; and
              (vi) Section 11—Lubrication Circulation Measurements.
              (11) ANSI/ASHRAE Standard 103-1993, (“ASHRAE 103-1993”), Methods of Testing for Annual Fuel Utilization Efficiency of Residential Central Furnaces and Boilers, (with Errata of October 24, 1996), except for sections 7.1, 7.2.2.2, 7.2.2.5, 7.2.3.1, 7.8, 8.2.1.3, 8.3.3.1, 8.4.1.1, 8.4.1.1.2, 8.4.1.2, 8.4.2.1.4, 8.4.2.1.6, 8.6.1.1, 8.7.2, 8.8.3, 9.1.2.2.1, 9.1.2.2.2, 9.5.1.1, 9.5.1.2.1, 9.5.1.2.2, 9.5.2.1, 9.7.1, 9.7.4, 9.7.6, 9.10, 11.5.11.1, 11.5.11.2 and appendices B and C, approved October 4, 1993, IBR approved for § 430.23 and appendix N to subpart B.
              (12) ANSI/ASHRAE Standard 103-2007, (“ASHRAE 103-2007”), Method of Testing for Annual Fuel Utilization Efficiency of Residential Central Furnaces and Boilers, ANSI approved March 25, 2008, IBR approved for appendices O and AA to subpart B.
              (13) ANSI/ASHRAE Standard 116-2010, (“ASHRAE 116-2010”), Methods of Testing for Rating Seasonal Efficiency of Unitary Air Conditioners and Heat Pumps, ANSI approved February 24, 2010, Section 7—Methods of Test, Section 7.4—Air Enthalpy Method—Indoor Side (Primary Method), Section 7.4.3—Measurements, Section 7.4.3.4—Temperature, Section 7.4.3.4.5, IBR approved for appendices M and M1 to subpart B.
              (14) ANSI/ASHRAE Standard 146-2011 (“ASHRAE 146”), Method of Testing and Rating Pool Heaters, ASHRAE approved February 2, 2011, IBR approved for appendix P to subpart B.
              (h) ASME. American Society of Mechanical Engineers, Service Center, 22 Law Drive, P.O. Box 2900, Fairfield, NJ 07007, 973-882-1170, or go to http://www.asme.org.

              (1) ASME A112.18.1-2012, (“ASME A112.18.1-2012”), “Plumbing supply fittings,” section 5.4, approved December, 2012, IBR approved for appendix S to subpart B.
              (2) ASME A112.19.2-2008, (“ASME A112.19.2-2008”), “Ceramic plumbing fixtures,” sections 7.1, 7.1.1, 7.1.2, 7.1.3, 7.1.4, 7.1.5, 7.4, 8.2, 8.2.1, 8.2.2, 8.2.3, 8.6, Table 5, and Table 6 approved August 2008, including Update No. 1, dated August 2009, and Update No. 2, dated March 2011, IBR approved for § 430.2 and appendix T to subpart B.
              (i) AHAM. Association of Home Appliance Manufacturers, 1111 19th Street NW, Suite 402, Washington, DC 20036, 202-872-5955, or go to http://www.aham.org.

              (1) ANSI/AHAM DH-1-2008 (“ANSI/AHAM DH-1”), Dehumidifiers, ANSI approved May 9, 2008, IBR approved for appendices X and X1 to subpart B of this part.
              (2) ANSI/AHAM DW-1-2010, Household Electric Dishwashers, (ANSI approved September 18, 2010), IBR approved for appendix C1 to subpart B of this part.
              (3) AHAM HLD-1-2009 (“AHAM HLD-1”), Household Tumble Type Clothes Dryers, (2009), IBR approved for appendices D1 and D2 to subpart B of this part.
              (4) AHAM HRF-1-2008, (“HRF-1-2008”), Association of Home Appliance Manufacturers, Energy and Internal Volume of Refrigerating Appliances (2008), including Errata to Energy and Internal Volume of Refrigerating Appliances, Correction Sheet issued November 17, 2009, IBR approved for appendices A and B to subpart B of this part.
              (5) ANSI/AHAM PAC-1-2015, (“ANSI/AHAM PAC-1-2015”), Portable Air Conditioners, June 19, 2015, IBR approved for appendix CC to subpart B of this part.
              (6) ANSI/AHAM RAC-1-2008 (“ANSI/AHAM RAC-1”), Room Air Conditioners, (2008; ANSI approved July 7, 2008), IBR approved for appendix F to subpart B of this part.
              (j) ASTM. American Society for Testing and Materials International, 100 Barr Harbor Drive, P.O. Box C700, West Conshohocken, PA 19428-2959 (www.astm.org)
              (1) ASTM D2156-09, (“ASTM D2156”), Standard Test Method for Smoke Density in Flue Gases from Burning Distillate Fuels, ASTM approved December 1, 2009, IBR approved for appendices E and O to subpart B.

              (2) ASTM D2156-09 (Reapproved 2013) (“ASTM D2156R13”), Standard Test Method for Smoke Density in Flue Gases from Burning Distillate Fuels, approved October 1, 2013, IBR approved for appendix N to subpart B.

              (k) CEA. Consumer Electronics Association, Technology & Standards Department, 1919 S. Eads Street, Arlington, VA 22202, 703-907-7600, or go to www.CE.org.

              (1) CEA Standard, CEA-770.3-D, High Definition TV Analog Component Video Interface, published February 2008; IBR approved for § 430.2.
              (2) [Reserved]
              (l) CENELEC. European Committee for Electrotechnical Standardization, 17, Avenue Marnix, B-1000 Brussels, phone: +32 2 519 68 71, available from the HIS Standards Store, https://www.ihs.com/products/cenelec-standards.html

              (1) EN 60350-2:2013, (“EN 60350-2:2013”), Household electric cooking appliances Part 2: Hobs—Methods for measuring performance, (June 3, 2013), IBR approved for appendix I to subpart B, as follows:
              (i) Section 5—General conditions for the measurements, (excluding 5.4);
              (ii) Section 6—Dimensions and mass, Section 6.2—Cooking zones per hob;
              (iii) Section 7—Cooking zones and cooking areas, Section 7.1—Energy consumption and heating up time, (excluding 7.1.Z1, 7.1.Z5, 7.1.Z7);
              (iv) Annex ZA—Further requirements for measuring the energy consumption and heating up time for cooking areas;
              (v) Annex ZB—Aids for measuring the energy consumption;
              (vi) Annex ZC—Examples how to select and position a cookware set for measuring the heating up time (7.1.Z5) and energy consumption (7.1.Z6);
              (vii) Annex ZD—Example—Multiple zones; and
              (viii) Annex ZF—Normative references to international publications with their corresponding European publications.
              (2) [Reserved]
              (m) CIE. Commission Internationale de l'Eclairage (CIE), Central Bureau, Kegelgasse 27, A-1030, Vienna, Austria, 011 + 43 1 714 31 87 0, or go to http://www.cie.co.at.

              (1) CIE 13.3-1995 (“CIE 13.3”), Technical Report: Method of Measuring and Specifying Colour Rendering Properties of Light Sources, 1995, ISBN 3 900 734 57 7; IBR approved for § 430.2 and appendices R and W to subpart B.
              (2) CIE 15:2004 (“CIE 15”), Technical Report: Colorimetry, 3rd edition, 2004, ISBN 978 3 901906 33 6; IBR approved for appendices R and W to subpart B.
              (n) Environmental Protection Agency (EPA), ENERGY STAR documents published by the Environmental Protection Agency are available online at http://www.energystar.gov or by contacting the Energy Star hotline at 1-888-782-7937.
              (1) ENERGY STAR Testing Facility Guidance Manual: Building a Testing Facility and Performing the Solid State Test Method for ENERGY STAR Qualified Ceiling Fans, Version 1.1, approved December 9, 2002, IBR approved for appendix U to subpart B.
              (2) ENERGY STAR Program Requirements for Dehumidifiers, approved January 1, 2001, IBR approved for appendix X to subpart B.
              (3) Energy Star Program Requirements for Single Voltage External Ac-Dc and Ac-Ac Power Supplies, Eligibility Criteria (Version 2.0), effective date for EPS Manufacturers November 1, 2008, IBR approved for subpart C, § 430.32.
              (4) Test Methodology for Determining the Energy Performance of Battery Charging Systems, approved December 2005, IBR approved for appendix Y to subpart B.
              (o) HDMI®. High-Definition Multimedia Interface Licensing, LLC, 1140 East Arques Avenue, Suite 100, Sunnyvale, CA 94085, 408-616-1542, or go to www.hdmi.org.

              (1) HDMI Specification Informational Version 1.0, High-Definition Multimedia Interface Specification, published September 4, 2003; IBR approved for § 430.2.
              (2) [Reserved]
              (p) IEC. International Electrotechnical Commission, available from the American National Standards Institute, 25 W. 43rd Street, 4th Floor, New York, NY 10036, (212) 642-4900, or go to http://webstore.ansi.org.

              (1) IEC Standard 933-5:1992, (“IEC 60933-5 Ed. 1.0”), Audio, video and audiovisual systems—Interconnections and matching values—Part 5: Y/C connector for video systems—Electrical matching values and description of the connector, First Edition, 1992-12; IBR approved for § 430.2. (Note: IEC 933-5 is also known as IEC 60933-5.)

              (2) IEC Standard 60081, (“IEC 60081”), Double-capped fluorescent lamps—Performance specifications, (Amendment 4, Edition 5.0, 2010-02); IBR approved for appendix Q to subpart B.

              (3) IEC Standard 62040-3 Ed. 2.0, (“IEC 62040-3 Ed. 2.0”), Uninterruptible power systems (UPS)—Part 3: Method of specifying the performance and test requirements, Edition 2.0, 2011-03, IBR approved for appendix Y to subpart B, as follows:
              (i) Section 5, Electrical conditions, performance and declared values, Section 5.2, UPS input specification, Section 5.2.1—Conditions for normal mode of operation;
              (ii) Clause 5.2.2.k;
              (iii) Section 5.3, UPS output specification, Section 5.3.2, Characteristics to be declared by the manufacturer, Clause 5.3.2.d;
              (iv) Clause 5.3.2.e;
              (v) Section 5.3.4—Performance classification;
              (vi) Section 6.2, Routine test procedure, Section 6.2.2.7—AC input failure;
              (vii) Section 6.4, Type test procedure (electrical), Section 6.4.1—Input—a.c. supply compatibility (excluding 6.4.1.3, 6.4.1.4, 6.4.1.5, 6.4.1.6, 6.4.1.7, 6.4.1.8, 6.4.1.9 and 6.4.1.10);
              (viii) Annex G—Input mains failure—Test method
              (ix) Annex J—UPS Efficiency—Methods of measurement.
              (4) IEC Standard 62087:2011, (“IEC 62087 Ed. 3.0”), Methods of measurement for the power consumption of audio, video, and related equipment, Edition 3.0, 2011-04, Sections 3.1.1, 3.1.18, 11.4.1, 11.4.2, 11.4.5, 11.4.6, 11.4.8, 11.4.9, 11.4.10, 11.4.11, 11.5.5, and annexc.3; IBR approved for Appendix H to subpart B of this part.

              (5) International Electrotechnical Commission (IEC) Standard 62301 (“IEC 62301”), Household electrical appliances—Measurement of standby power (first edition, June 2005), IBR approved for appendix F, and appendix I to subpart B.
              (6) IEC 62301 (“IEC 62301”), Household electrical appliances—Measurement of standby power, (Edition 2.0, 2011-01), IBR approved for appendices C1, D1, D2, G, H, I, J2, N, O, P, X, X1, Y, Z, BB, and CC to subpart B.
              (7) IEC 62301, (“IEC 62301-DD”), Household electrical appliances—Measurement of standby power, (Edition 2.0, 2011-01); Section 5—Measurements, IBR approved for appendix DD to subpart B.
              (8) IEC 62301 (“IEC 62301-U”), Household electrical appliances—Measurement of standby power, (Edition 2.0, 2011-01), IBR approved for appendix U to this subpart, as follows:
              (i) Section 4.3—General conditions for measurements: Power supply: Section 4.3.1—Supply voltage and frequency (first paragraph only),
              (ii) Section 4.3—General conditions for measurements: Power supply: Section 4.3.2—Supply voltage waveform;
              (iii) Section 4.4—General conditions for measurements: Power measuring instruments;
              (iv) Section 5.3—Measurements: Procedure: Section 5.3.1—General (except the last bulleted item), and
              (v) Section 5.3—Measurements: Procedure: Section 5.3.2—Sampling method (first two paragraphs and Note 1).
              (9) IEC 62301, (“IEC 62301-W”), Household electrical appliances—Measurement of standby power, (Edition 2.0, 2011-01), Section 5—Measurements, IBR approved for appendix W to subpart B.
              (q) IESNA. Illuminating Engineering Society of North America, 120 Wall Street, Floor 17, New York, NY 10005-4001, 212-248-5000, or go to http://www.iesna.org.

              (1) The IESNA Lighting Handbook, Reference & Application, (“The IESNA Lighting Handbook”), 9th ed., Chapter 6, “Light Sources,” July 2000, IBR approved for § 430.2.
              (2) IES LM-9-09, (“IES LM-9”), IES Approved Method for the Electrical and Photometric Measurement of Fluorescent Lamps, approved January 31, 2009; IBR approved for § 430.2 and appendices R, V, and V1 to subpart B.
              (3) IES LM-9-09 (“IES LM-9-09-DD”), IES Approved Method for the Electrical and Photometric Measurement of Fluorescent Lamps, approved January 31, 2009; IBR approved for appendix DD to subpart B, as follows:
              (i) Section 4.0—Ambient and Physical Conditions;
              (ii) Section 5.0—Electrical Conditions;
              (iii) Section 6.0—Lamp Test Procedures; and

              (iv) Section 7.0—Photometric Test Procedures: Section 7.5—Integrating Sphere Measurement.
              (4) IESNA LM-16-1993 (“IESNA LM-16”), IESNA Practical Guide to Colorimetry of Light Sources, December 1993, IBR approved for § 430.2.
              (5) IES LM-20-1994, IESNA Approved Method for Photometric Testing of Reflector-Type Lamps, approved December 3, 1994, IBR approved for appendix R to subpart B.
              (6) IES LM-20-13, IES Approved Method for Photometry of Reflector Type Lamps, approved February 4, 2013; IBR approved for appendix DD to subpart B, as follows:
              (i) Section 4.0—Ambient and Physical Conditions;
              (ii) Section 5.0—Electrical and Photometric Test Conditions;
              (iii) Section 6.0—Lamp Test Procedures; and
              (iv) Section 8.0—Total Flux Measurements by Integrating Sphere Method.
              (7) IES LM-45-09, (“IES LM-45”), IES Approved Method for the Electrical and Photometric Measurement of General Service Incandescent Filament Lamps, approved December 14, 2009; IBR approved for appendix R to subpart B.
              (8) IES LM-45-15, IES Approved Method for the Electrical and Photometric Measurement of General Service Incandescent Filament Lamps, approved August 8, 2015; IBR approved for appendix DD to subpart B as follows:
              (i) Section 4.0—Ambient and Physical Conditions;
              (ii) Section 5.0—Electrical Conditions;
              (iii) Section 6.0—Lamp Test Procedures; and
              (iv) Section 7.0—Photometric Test Procedures: Section 7.1—Total Luminous Flux Measurements with an Integrating Sphere.
              (9) IESNA LM-49-01 (“IESNA LM-49”), IESNA Approved Method for Life Testing of Incandescent Filament Lamps, approved December 1, 2001, IBR approved for § 430.2 and appendix R to subpart B.
              (10) IES LM-54-12, IES Guide to Lamp Seasoning, approved October 22, 2012; IBR approved for appendix W to subpart B, as follows:
              (i) Section 4—Physical/Environmental Test Conditions;
              (ii) Section 5—Electrical Test Conditions;
              (iii) Section 6—Test Procedure Requirements: Section 6.1—Test Preparation; and
              (iv) Section 6—Test Procedure Requirements, Section 6.2—Seasoning Test Procedures: Section 6.2.2.1—Discharge Lamps: Discharge Lamps except T5 fluorescent.
              (11) IES LM-58-1994, IESNA Guide to Spectroradiometric Measurements, approved December 3, 1994, IBR approved for appendix R to subpart B.
              (12) IES LM-65-14, IES Approved Method for Life Testing of Single-Based Fluorescent Lamps, approved December 30, 2014; IBR approved for appendix W to subpart B, as follows:
              (i) Section 4.0—Ambient and Physical Conditions;
              (ii) Section 5.0—Electrical Conditions; and
              (iii) Section 6.0—Lamp Test Procedures
              (13) IES LM-66-14, (“IES LM-66-14”), IES Approved Method for the Electrical and Photometric Measurements of Single-Based Fluorescent Lamps, approved December 30, 2014; IBR approved for appendix V to subpart B.
              (14) IES LM-66-14, (“IES LM-66”), IES Approved Method for the Electrical and Photometric Measurements of Single-Based Fluorescent Lamps, approved December 30, 2014; IBR approved for appendix W to subpart B, as follows:
              (i) Section 4.0—Ambient and Physical Conditions;
              (ii) Section 5.0—Power Source Characteristics; and
              (iii) Section 6.0—Testing Procedures Requirements.
              (15) IESNA LM-78-07, IESNA Approved Method for Total Luminous Flux Measurement of Lamps Using an Integrating Sphere Photometer, approved January 28, 2007; IBR approved for appendix W to subpart B.
              (16) IES LM-79-08, (“IES LM-79-08”), IES Approved Method for the Electrical and Photometric Measurements of Solid-State Lighting Products, approved December 31, 2007; IBR approved for appendices V1 and BB to subpart B.

              (17) IES LM-79-08 (“IES LM-79-08-DD”), Approved Method: Electrical and Photometric Measurements of Solid-State Lighting Products, approved December 31, 2007; IBR approved for appendix DD to subpart B as follows:
              (i) Section 1.0 Introduction: Section 1.3—Nomenclature and Definitions (except section 1.3f);
              (ii) Section 2.0—Ambient Conditions;
              (iii) Section 3.0—Power Supply Characteristics;
              (iv) Section 5.0—Stabilization of SSL Product;
              (v) Section 7.0—Electrical Settings;
              (vi) Section 8.0—Electrical Instrumentation;
              (vii) Section 9.0—Test Methods for Total Luminous Flux measurement: Section 9.1 Integrating sphere with a spectroradiometer (Sphere-spectroradiometer system); and Section 9.2—Integrating sphere with a photometer head (Sphere-photometer system).
              (18) IES LM-84-14, (“IES LM-84”), Approved Method: Measuring Luminous Flux and Color Maintenance of LED Lamps, Light Engines, and Luminaires, approved March 31, 2014; IBR approved for appendix BB to subpart B.
              (19) ANSI/IES RP-16-10 (“ANSI/IES RP-16”), Nomenclature and Definitions for Illuminating Engineering, approved October 15, 2005; IBR approved for § 430.2.
              (20) IES TM-28-14, (“IES TM-28”), Projecting Long-Term Luminous Flux Maintenance of LED Lamps and Luminaires, approved May 20, 2014; IBR approved for appendix BB to subpart B.
              (r) U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy. Resource Room of the Building Technologies Program, 950 L'Enfant Plaza SW., 6th Floor, Washington, DC 20024, 202-586-2945, (Energy Star materials are also found at http://www.energystar.gov.)
              (1) ITU-R BT.470-6, Conventional Television Systems, published November 1998; IBR approved for § 430.2.
              (2) [Reserved]
              (3) International Efficiency Marking Protocol for External Power Supplies, Version 3.0, September 2013, IBR approved for § 430.32.
              (s) NSF International. NSF International, P.O. Box 130140, 789 North Dixboro Road, Ann Arbor, MI 48113-0140, 1-800-673-6275, or go to http://www.nsf.org.

              (1) NSF/ANSI 51-2007 (“NSF/ANSI 51”), Food equipment materials, revised and adopted April 2007, IBR approved for §§ 430.2 and 430.32.
              (2) [Reserved]
              (t) Optical Society of America. Optical Society of America, 2010 Massachusetts Ave., NW., Washington, DC 20036-1012, 202-223-8130, or go to http://www.opticsinfobase.org;

              (1) “Computation of Correlated Color Temperature and Distribution Temperature,” A.R. Robertson, Journal of the Optical Society of America, Volume 58, Number 11, November 1968, pages 1528-1535, IBR approved for § 430.2.
              (2) [Reserved]
              (u) SMPTE. Society of Motion Picture and Television Engineers, 3 Barker Ave., 5th Floor, White Plains, NY 10601, 914-761-1100, or go to http://standards.smpte.org.

              (1) SMPTE 170M-2004, (“SMPTE 170M-2004”), SMPTE Standard for Television—Composite Analog Video Signal—NTSC for Studio Applications, approved November 30, 2004; IBR approved for § 430.2.
              (2) [Reserved]
              (v) UL. Underwriters Laboratories, Inc., 2600 NW. Lake Rd., Camas, WA 98607-8542 (www.UL.com)
              (1) UL 729-2003 (“UL 729”), Standard for Safety for Oil-Fired Floor Furnaces, Sixth Edition, dated August 29, 2003, including revisions through April 22, 2010, IBR approved for appendix O to subpart B.
              (2) UL 730-2003 (“UL 730”), Standard for Safety for Oil-Fired Wall Furnaces, Fifth Edition, dated August 29, 2003, including revisions through April 22, 2010, IBR approved for appendix O to subpart B.
              (3) UL 896-1993 (“UL 896”), Standard for Safety for Oil-Burning Stoves, Fifth Edition, dated July 29, 1993, including revisions through May 7, 2010, IBR approved for appendix O to subpart B.
              [74 FR 12066, Mar. 23, 2009]

                Editorial Note:
                For Federal Register citations affecting § 430.3, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.

              § 430.4
              Sources for information and guidance.
              (a) General. The standards listed in this paragraph are referred to in the DOE test procedures and elsewhere in this part but are not incorporated by reference. These sources are given here for information and guidance.
              (b) IESNA. Illuminating Engineering Society of North America, 120 Wall Street, Floor 17, New York, NY 10005-4001, 212-248-5000, or go to http://www.iesna.org.

              (1) Illuminating Engineering Society of North America Lighting Handbook, 8th Edition, 1993.
              (2) [Reserved]
              (c) IEEE. Institute of Electrical and Electronics Engineers, Inc., 3 Park Avenue, 17th Floor, New York, NY, 10016-5997, 212-419-7900, or go to http://www.ieee.org.

              (1) IEEE 1515-2000, IEEE Recommended Practice for Electronic Power Subsystems: Parameter Definitions, Test Conditions, and Test Methods, March 30, 2000.
              (2) IEEE 100, Authoritative Dictionary of IEEE Standards Terms, 7th Edition, January 1, 2006.
              (d) IEC. International Electrotechnical Commission, available from the American National Standards Institute, 11 W. 42nd Street, New York, NY 10036, 212-642-4936, or go to http://www.iec.ch.

              (1) IEC 62301, Household electrical appliances—Measurement of standby power, First Edition, June 13, 2005.
              (2) IEC 60050, International Electrotechnical Vocabulary.

              (e) National Voluntary Laboratory Accreditation Program, Standards Services Division, NIST, 100 Bureau Drive, Stop 2140, Gaithersburg, MD 20899-2140, 301-975-4016, or go to http://ts.nist.gov/standards/accreditation.

              (1) National Voluntary Laboratory Accreditation Program Handbook 150-01, Energy Efficient Lighting Products, Lamps and Luminaires, August 1993.
              (2) [Reserved]
              [74 FR 12066, Mar. 23, 2009]

              § 430.5
              Error correction procedures for energy conservation standards rules.
              (a) Scope and purpose. The regulations in this section describe procedures through which the Department of Energy accepts and considers submissions regarding possible Errors in its rules under the Energy Policy and Conservation Act, as amended (42 U.S.C. 6291-6317). This section applies to rules establishing or amending energy conservation standards under the Act, except that this section does not apply to direct final rules issued pursuant to section 325(p)(4) of the Act (42 U.S.C. 6295(p)(4)).
              (b) Definitions.

                Act means the Energy Policy and Conservation Act of 1975, as amended (42 U.S.C. 6291-6317).

                Error means an aspect of the regulatory text of a rule that is inconsistent with what the Secretary intended regarding the rule at the time of posting. Examples of possible mistakes that might give rise to Errors include:
              (i) A typographical mistake that causes the regulatory text to differ from how the preamble to the rule describes the rule;
              (ii) A calculation mistake that causes the numerical value of an energy conservation standard to differ from what technical support documents would justify; or
              (iii) A numbering mistake that causes a cross-reference to lead to the wrong text.

                Rule means a rule establishing or amending an energy conservation standard under the Act.

                Secretary means the Secretary of Energy or an official with delegated authority to perform a function of the Secretary of Energy under this section.
              (c) Posting of rules. (1) The Secretary will cause a rule under the Act to be posted on a publicly-accessible Web site.

              (2) The Secretary will not submit a rule for publication in the Federal Register during 45 calendar days after posting the rule pursuant to paragraph (c)(1) of this section.

              (3) Each rule posted pursuant to paragraph (c)(1) of this section shall bear the following disclaimer:

                  NOTICE: The text of this rule is subject to correction based on the identification of errors as defined in 10 CFR 430.5 before publication in the Federal Register. Readers are requested to notify the United States Department of Energy, by email at [EMAIL ADDRESS PROVIDED IN POSTED NOTICE], of any typographical or other errors, as described in such regulations, by no later than midnight on [DATE 45 CALENDAR DAYS AFTER DATE OF POSTING OF THE DOCUMENT ON THE DEPARTMENT'S WEBSITE], in order that DOE may make any necessary corrections in the regulatory text submitted to the Office of the Federal Register for publication.

              (d) Request for correction. (1) A person identifying an Error in a rule subject to this section may request that the Secretary correct the Error. Such a request must be submitted within 45 calendar days of the posting of the rule pursuant to paragraph (c)(1) of this section.
              (2)(i) A request under this section must identify an Error with particularity. The request must state what text is claimed to be erroneous. The request must also provide text that the requester argues would be a correct substitute. If a requester is unable to identify a correct substitute, the requester may submit a request that states that the requester is unable to determine what text would be correct and explains why the requester is unable to do so. The request must also substantiate the claimed Error by citing evidence from the existing record of the rulemaking that the text of the rule as issued is inconsistent with what the Secretary intended the text to be.
              (ii) A person's disagreement with a policy choice that the Secretary has made will not, on its own, constitute a valid basis for a request under this section.
              (3) The evidence to substantiate a request (or evidence of the Error itself) must be in the record of the rulemaking at the time of the rule's posting, which may include the preamble accompanying the rule. The Secretary will not consider new evidence submitted in connection with a request.
              (4) A request under this section must be filed in electronic format by email to the address that the rule designates for correction requests. Should filing by email not be feasible, the requester should contact the program point of contact designated in the rule regarding an appropriate alternative means of filing a request.
              (5) A request that does not comply with the requirements of this section will not be considered.
              (e) Correction of rules. The Secretary may respond to a request for correction under paragraph (d) of this section or address an Error discovered on the Secretary's own initiative by submitting to the Office of the Federal Register either a corrected rule or the rule as previously posted.
              (f) Publication in the
                Federal Register. (1) If, after receiving one or more properly filed requests for correction, the Secretary decides not to undertake any corrections, the Secretary will submit the rule for publication to the Office of the Federal Register as it was posted pursuant to paragraph (c)(1) of this section.
              (2) If the Secretary receives no properly filed requests after posting a rule and identifies no Errors on the Secretary's own initiative, the Secretary will in due course submit the rule, as it was posted pursuant to paragraph (c)(1) of this section, to the Office of the Federal Register for publication. This will occur after the period prescribed by paragraph (c)(2) of this section has elapsed.

              (3) If the Secretary receives a properly filed request after posting a rule pursuant to (c)(1) and determines that a correction is necessary, the Secretary will, absent extenuating circumstances, submit a corrected rule for publication in the Federal Register within 30 days after the period prescribed by paragraph (c)(2) of this section has elapsed.

              (4) Consistent with the Act, compliance with an energy conservation standard will be required upon the specified compliance date as published in the relevant rule in the Federal Register.

              (5) Consistent with the Administrative Procedure Act, and other applicable law, the Secretary will ordinarily designate an effective date for a rule under this section that is no less than 30 days after the publication of the rule in the Federal Register.

              (6) When the Secretary submits a rule for publication, the Secretary will make publicly available a written statement indicating how any properly filed requests for correction were handled.
              (g) Alteration of standards. Until an energy conservation standard has been published in the Federal Register, the Secretary may correct such standard, consistent with the Administrative Procedure Act.
              (h) Judicial review. For determining the prematurity, timeliness, or lateness of a petition for judicial review pursuant to section 336(b) of the Act (42 U.S.C. 6306), a rule is considered “prescribed” on the date when the rule is published in the Federal Register.
              [81 FR 57757, Aug. 24, 2016]

            Subpart B—Test Procedures

              § 430.21
              Purpose and scope.
              This subpart contains test procedures required to be prescribed by DOE pursuant to section 323 of the Act.

              § 430.23
              Test procedures for the measurement of energy and water consumption.
              When the test procedures of this section call for rounding off of test results, and the results fall equally between two values of the nearest dollar, kilowatt-hour, or other specified nearest value, the result shall be rounded up to the nearest higher value.
              (a) Refrigerators and refrigerator-freezers. (1) The estimated annual operating cost for models without an anti-sweat heater switch shall be the product of the following three factors, with the resulting product then being rounded to the nearest dollar per year:
              (i) The representative average-use cycle of 365 cycles per year;
              (ii) The average per-cycle energy consumption for the standard cycle in kilowatt-hours per cycle, determined according to section 6.2 of appendix A of this subpart; and
              (iii) The representative average unit cost of electricity in dollars per kilowatt-hour as provided by the Secretary.
              (2) The estimated annual operating cost for models with an anti-sweat heater switch shall be the product of the following three factors, with the resulting product then being rounded to the nearest dollar per year:
              (i) The representative average-use cycle of 365 cycles per year;
              (ii) Half the sum of the average per-cycle energy consumption for the standard cycle and the average per-cycle energy consumption for a test cycle type with the anti-sweat heater switch in the position set at the factory just before shipping, each in kilowatt-hours per cycle, determined according to section 6.2 of appendix A of this subpart; and
              (iii) The representative average unit cost of electricity in dollars per kilowatt-hour as provided by the Secretary.
              (3) The estimated annual operating cost for any other specified cycle type shall be the product of the following three factors, the resulting product then being rounded to the nearest dollar per year:
              (i) The representative average-use cycle of 365 cycles per year;
              (ii) The average per-cycle energy consumption for the specified cycle type, determined according to section 6.2 of appendix A of this subpart; and
              (iii) The representative average unit cost of electricity in dollars per kilowatt-hour as provided by the Secretary.
              (4) The energy factor, expressed in cubic feet per kilowatt-hour per cycle, shall be:
              (i) For models without an anti-sweat heater switch, the quotient of:
              (A) The adjusted total volume in cubic feet, determined according to section 6.1 of appendix A of this subpart, divided by—
              (B) The average per-cycle energy consumption for the standard cycle in kilowatt-hours per cycle, determined according to section 6.2 of appendix A of this subpart, the resulting quotient then being rounded to the second decimal place; and
              (ii) For models having an anti-sweat heater switch, the quotient of:
              (A) The adjusted total volume in cubic feet, determined according to 6.1 of appendix A of this subpart, divided by—

              (B) Half the sum of the average per-cycle energy consumption for the standard cycle and the average per-cycle energy consumption for a test cycle type with the anti-sweat heater switch in the position set at the factory just before shipping, each in kilowatt-hours per cycle, determined according to section 6.2 of appendix A of this subpart, the resulting quotient then being rounded to the second decimal place.
              (5) The annual energy use, expressed in kilowatt-hours per year, shall be the following, rounded to the nearest kilowatt-hour per year:
              (i) For models without an anti-sweat heater switch, the representative average use cycle of 365 cycles per year multiplied by the average per-cycle energy consumption for the standard cycle in kilowatt-hours per cycle, determined according to section 6.2 of appendix A of this subpart; and
              (ii) For models having an anti-sweat heater switch, the representative average use cycle of 365 cycles per year multiplied by half the sum of the average per-cycle energy consumption for the standard cycle and the average per-cycle energy consumption for a test cycle type with the anti-sweat heater switch in the position set at the factory just before shipping, each in kilowatt-hours per cycle, determined according to section 6.2 of appendix A of this subpart.
              (6) Other useful measures of energy consumption shall be those measures of energy consumption that the Secretary determines are likely to assist consumers in making purchasing decisions which are derived from the application of appendix A of this subpart.
              (7) The following principles of interpretation shall be applied to the test procedure. The intent of the energy test procedure is to simulate typical room conditions (72 °F (22.2 °C)) with door openings, by testing at 90 °F (32.2 °C) without door openings. Except for operating characteristics that are affected by ambient temperature (for example, compressor percent run time), the unit, when tested under this test procedure, shall operate in a manner equivalent to the unit's operation while in typical room conditions.
              (i) The energy used by the unit shall be calculated when a calculation is provided by the test procedure. Energy consuming components that operate in typical room conditions (including as a result of door openings, or a function of humidity), and that are not excluded by this test procedure, shall operate in an equivalent manner during energy testing under this test procedure, or be accounted for by all calculations as provided for in the test procedure. Examples:
              (A) Energy saving features that are designed to operate when there are no door openings for long periods of time shall not be functional during the energy test.
              (B) The defrost heater shall neither function nor turn off differently during the energy test than it would when in typical room conditions. Also, the product shall not recover differently during the defrost recovery period than it would in typical room conditions.
              (C) Electric heaters that would normally operate at typical room conditions with door openings shall also operate during the energy test.
              (D) Energy used during adaptive defrost shall continue to be measured and adjusted per the calculation provided in this test procedure.
              (ii) DOE recognizes that there may be situations that the test procedures do not completely address. In such cases, a manufacturer must obtain a waiver in accordance with the relevant provisions of 10 CFR part 430 if:
              (A) A product contains energy consuming components that operate differently during the prescribed testing than they would during representative average consumer use; and
              (B) Applying the prescribed test to that product would evaluate it in a manner that is unrepresentative of its true energy consumption (thereby providing materially inaccurate comparative data).
              (b) Freezers. (1) The estimated annual operating cost for freezers without an anti-sweat heater switch shall be the product of the following three factors, with the resulting product then being rounded to the nearest dollar per year:
              (i) The representative average-use cycle of 365 cycles per year;

              (ii) The average per-cycle energy consumption for the standard cycle in kilowatt-hours per cycle, determined according to section 6.2 of appendix B of this subpart; and

              (iii) The representative average unit cost of electricity in dollars per kilowatt-hour as provided by the Secretary.
              (2) The estimated annual operating cost for freezers with an anti-sweat heater switch shall be the product of the following three factors, with the resulting product then being rounded to the nearest dollar per year:
              (i) The representative average-use cycle of 365 cycles per year;
              (ii) Half the sum of the average per-cycle energy consumption for the standard cycle and the average per-cycle energy consumption for a test cycle type with the anti-sweat heater switch in the position set at the factory just before shipping, each in kilowatt-hours per cycle, determined according to section 6.2 of appendix B of this subpart; and
              (iii) The representative average unit cost of electricity in dollars per kilowatt-hour as provided by the Secretary.
              (3) The estimated annual operating cost for any other specified cycle type for freezers shall be the product of the following three factors, with the resulting product then being rounded to the nearest dollar per year:
              (i) The representative average-use cycle of 365 cycles per year;
              (ii) The average per-cycle energy consumption for the specified cycle type, determined according to section 6.2 of appendix B of this subpart; and
              (iii) The representative average unit cost of electricity in dollars per kilowatt-hour as provided by the Secretary.
              (4) The energy factor for freezers, expressed in cubic feet per kilowatt-hour per cycle, shall be:
              (i) For freezers not having an anti-sweat heater switch, the quotient of:
              (A) The adjusted net refrigerated volume in cubic feet, determined according to section 6.1 of appendix B of this subpart, divided by—
              (B) The average per-cycle energy consumption for the standard cycle in kilowatt-hours per cycle, determined according to 6.2 of appendix B of this subpart, with the resulting quotient then being rounded to the second decimal place; and
              (ii) For freezers having an anti-sweat heater switch, the quotient of:
              (A) The adjusted net refrigerated volume in cubic feet, determined according to section 6.1 of appendix B of this subpart, divided by—
              (B) Half the sum of the average per-cycle energy consumption for the standard cycle and the average per-cycle energy consumption for a test cycle type with the anti-sweat heater switch in the position set at the factory just before shipping, each in kilowatt-hours per cycle, determined according to section 6.2 of appendix B of this subpart, with the resulting quotient then being rounded to the second decimal place.
              (5) The annual energy use of all freezers, expressed in kilowatt-hours per year, shall be the following, rounded to the nearest kilowatt-hour per year:
              (i) For freezers not having an anti-sweat heater switch, the representative average use cycle of 365 cycles per year multiplied by the average per-cycle energy consumption for the standard cycle in kilowatt-hours per cycle, determined according to section 6.2 of appendix B of this subpart; and
              (ii) For freezers having an anti-sweat heater switch, the representative average use cycle of 365 cycles per year multiplied by half the sum of the average per-cycle energy consumption for the standard cycle and the average per-cycle energy consumption for a test cycle type with the anti-sweat heater switch in the position set at the factory just before shipping, each in kilowatt-hours per cycle, determined according to section 6.2 of appendix B of this subpart.
              (6) Other useful measures of energy consumption for freezers shall be those measures the Secretary determines are likely to assist consumers in making purchasing decisions and are derived from the application of appendix B of this subpart.

              (7) The following principles of interpretation shall be applied to the test procedure. The intent of the energy test procedure is to simulate typical room conditions (72 °F (22.2 °C)) with door openings by testing at 90 °F (32.2 °C) without door openings. Except for operating characteristics that are affected by ambient temperature (for example, compressor percent run time), the unit, when tested under this test procedure, shall operate in a manner equivalent to the unit's operation while in typical room conditions.
              (i) The energy used by the unit shall be calculated when a calculation is provided by the test procedure. Energy consuming components that operate in typical room conditions (including as a result of door openings, or a function of humidity), and that are not excluded by this test procedure, shall operate in an equivalent manner during energy testing under this test procedure, or be accounted for by all calculations as provided for in the test procedure. Examples:
              (A) Energy saving features that are designed to operate when there are no door openings for long periods of time shall not be functional during the energy test.
              (B) The defrost heater shall neither function nor turn off differently during the energy test than it would when in typical room conditions. Also, the product shall not recover differently during the defrost recovery period than it would in typical room conditions.
              (C) Electric heaters that would normally operate at typical room conditions with door openings shall also operate during the energy test.
              (D) Energy used during adaptive defrost shall continue to be measured and adjusted per the calculation provided for in this test procedure.
              (ii) DOE recognizes that there may be situations that the test procedures do not completely address. In such cases, a manufacturer must obtain a waiver in accordance with the relevant provisions of this part if:
              (A) A product contains energy consuming components that operate differently during the prescribed testing than they would during representative average consumer use; and
              (B) Applying the prescribed test to that product would evaluate it in a manner that is unrepresentative of its true energy consumption (thereby providing materially inaccurate comparative data).
              (c) Dishwashers. (1) The Estimated Annual Operating Cost (EAOC) for dishwashers must be rounded to the nearest dollar per year and is defined as follows:
              (i) When cold water (50 °F) is used,

              (A) For dishwashers having a truncated normal cycle as defined in section 1.22 of appendix C1 to this subpart, EAOC = (De × ETLP) + (De × N × (M + MWS + EF−(ED/2))).

              (B) For dishwashers not having a truncated normal cycle, EAOC = (De × ETLP) + (De × N × (M + MWS + EF)).

                Where,

                De = the representative average unit cost of electrical energy, in dollars per kilowatt-hour, as provided by the Secretary,
                ETLP = the annual combined low-power mode energy consumption in kilowatt-hours per year and determined according to section 5.7 of appendix C1 to this subpart,
                N = the representative average dishwasher use of 215 cycles per year,
                M = the machine energy consumption per cycle for the normal cycle, as defined in section 1.12 of appendix C1 to this subpart, in kilowatt-hours and determined according to section 5.1.1 of appendix C1 to this subpart for non-soil-sensing dishwashers and section 5.1.2 of appendix C1 to this subpart for soil-sensing dishwashers,
                MWS = the machine energy consumption per cycle for water softener regeneration, in kilowatt-hours and determined according to section 5.1.3 of appendix C1 to this subpart,
                EF = the fan-only mode energy consumption per cycle, in kilowatt-hours and determined according to section 5.2 of appendix C1 to this subpart, and
                ED = the drying energy consumption, in kilowatt-hours and defined as energy consumed using the power-dry feature after the termination of the last rinse option of the normal cycle; determined according to section 5.3 of appendix C1 to this subpart.

              (ii) When electrically-heated water (120 °F or 140 °F) is used,

              (A) For dishwashers having a truncated normal cycle as defined in section 1.22 of appendix C1 to this subpart, EAOC = (De × ETLP) + (De × N × (M + MWS + EF−(ED/2))) + (De × N × (W + WWS)).

              (B) For dishwashers not having a truncated normal cycle, EAOC = (De × ETLP) + (De × N × (M + MWS + EF)) + (De × N × (W + WWS)).

                Where,

                De, ETLP, N, M, MWS, EF, and ED, are defined in paragraph (c)(1)(i) of this section,

                W = the water energy consumption per cycle for the normal cycle, as defined in section 1.12 of appendix C1 to this subpart, in kilowatt-hours and determined according to section 5.5.1.1 of appendix C1 to this subpart for dishwashers that operate with a nominal 140 °F inlet water temperature and section 5.5.2.1 of appendix C1 to this subpart for dishwashers that operate with a nominal inlet water temperature of 120 °F, and
                WWS = the water softener regeneration water energy consumption per cycle in kilowatt-hours and determined according to section 5.5.1.2 of appendix C1 to this subpart for dishwashers that operate with a nominal 140 °F inlet water temperature and section 5.5.2.2 of appendix C1 to this subpart for dishwashers that operate with a nominal inlet water temperature of 120 °F.

              (iii) When gas-heated or oil-heated water is used,

              (A) For dishwashers having a truncated normal cycle as defined in section 1.22 of appendix C1 to this subpart, EAOCg = (De × ETLP) + (De × N × (M + MWS + EF−(ED/2))) + (Dg × N × (Wg + WWSg)).

              (B) For dishwashers not having a truncated normal cycle, EAOCg = (De × ETLP) + (De × N × (M + MWS + EF)) + (Dg × N × (Wg + WWSg)).

                Where,

                De, ETLP, N, M, MWS, EF, and ED are defined in paragraph (c)(1)(i) of this section,
                Dg = the representative average unit cost of gas or oil, as appropriate, in dollars per Btu, as provided by the Secretary,
                Wg = the water energy consumption per cycle for the normal cycle, as defined in section 1.12 of appendix C1 to this subpart, in Btus and determined according to section 5.6.1.1 of appendix C1 to this subpart for dishwashers that operate with a nominal 140 °F inlet water temperature and section 5.6.2.1 of appendix C1 to this subpart for dishwashers that operate with a nominal inlet water temperature of 120 °F, and
                WWSg = the water softener regeneration energy consumption per cycle in Btu per cycle and determined according to section 5.6.1.2 of appendix C1 to this subpart for dishwashers that operate with a nominal 140 °F inlet water temperature and section 5.6.2.2 of appendix C1 to this subpart for dishwashers that operate with a nominal inlet water temperature of 120 °F.

              (2) The estimated annual energy use, EAEU, expressed in kilowatt-hours per year must be rounded to the nearest kilowatt-hour per year and is defined as follows:

              (i) For dishwashers having a truncated normal cycle as defined in section 1.22 of appendix C1 to this subpart:

              EAEU = (M + MWS + EF−(ED/2) + W + WWS) × N + (ETLP)

                Where,

                M, MWS, ED, N, EF, and ETLP are defined in paragraph (c)(1)(i) of this section, and W and WWS are defined in paragraph (c)(1)(ii) of this section.

              (ii) For dishwashers not having a truncated normal cycle:
              EAEU = (M + MWS + EF + W + WWS) × N + ETLP

                Where,

                M, MWS, N, EF, and ETLP are defined in paragraph (c)(1)(i) of this section, and W and WWS are defined in paragraph (c)(1)(ii) of this section.

              (3) The sum of the water consumption, V, and the water consumption during water softener regeneration, VWS, expressed in gallons per cycle and defined in section 5.4 of appendix C1 to this subpart, must be rounded to one decimal place.
              (4) Other useful measures of energy consumption for dishwashers are those which the Secretary determines are likely to assist consumers in making purchasing decisions and which are derived from the application of appendix C1 to this subpart.
              (d) Clothes dryers. (1) The estimated annual operating cost for clothes dryers shall be—
              (i) For an electric clothes dryer, the product of the following three factors:
              (A) The representative average-use cycle of 283 cycles per year,
              (B) The per-cycle combined total energy consumption in kilowatt-hours per-cycle, determined according to 4.6 of appendix D1 to this subpart, and
              (C) The representative average unit cost of electrical energy in dollars per kilowatt-hour as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year, and
              (ii) For a gas clothes dryer, the product of the representative average-use cycle of 283 cycles per year times the sum of:

              (A) The product of the per-cycle gas dryer electric energy consumption in kilowatt-hours per cycle, determined according to 4.2 of appendix D1 to this subpart, times the representative average unit cost of electrical energy in dollars per kilowatt-hour as provided by the Secretary plus,
              (B) The product of the per-cycle gas dryer gas energy consumption, in Btus per cycle, determined according to 4.3 of appendix D1 to this subpart, times the representative average unit cost for natural gas or propane, as appropriate, in dollars per Btu as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year plus,
              (C) The product of the per-cycle standby mode and off mode energy consumption in kilowatt-hours per cycle, determined according to 4.5 of appendix D1 to this subpart, times the representative average unit cost of electrical energy in dollars per kilowatt-hour as provided by the Secretary.
              (2) The energy factor, expressed in pounds of clothes per kilowatt-hour, for clothes dryers shall be either the quotient of a 3-pound bone-dry test load for compact dryers, as defined by 2.7.1 of appendix D to this subpart before the date that appendix D1 becomes mandatory, or the quotient of a 7-pound bone-dry test load for standard dryers, as defined by 2.7.2 of appendix D to this subpart before the date that appendix D1 becomes mandatory, as applicable, divided by the clothes dryer energy consumption per cycle, as determined according to 4.1 for electric clothes dryers and 4.6 for gas clothes dryers of appendix D to this subpart before the date that appendix D1 becomes mandatory, the resulting quotient then being rounded off to the nearest hundredth (.01). Upon the date that appendix D1 to this subpart becomes mandatory, the energy factor is determined in accordance with 4.7 of appendix D1, the result then being rounded off to the nearest hundredth (.01).
              (3) Upon the date that appendix D1 to this subpart becomes mandatory, the combined energy factor is determined in accordance with 4.8 of appendix D1, the result then being rounded off to the nearest hundredth (.01).
              (4) Other useful measures of energy consumption for clothes dryers shall be those measures of energy consumption for clothes dryers which the Secretary determines are likely to assist consumers in making purchasing decisions and which are derived from the application of appendix D to this subpart before the date that appendix D1 becomes mandatory and appendix D1 upon the date that appendix D1 to this subpart becomes mandatory.
              (e) Water heaters. (1) The estimated annual operating cost is calculated as:
              (i) For a gas-fired or oil-fired water heater, the sum of: The product of the annual gas or oil energy consumption, determined according to section 6.3.9 or 6.4.6 of appendix E of this subpart, times the representative average unit cost of gas or oil, as appropriate, in dollars per Btu as provided by the Secretary; plus the product of the annual electric energy consumption, determined according to section 6.3.8 or 6.4.5 of appendix E of this subpart, times the representative average unit cost of electricity in dollars per kilowatt-hour as provided by the Secretary. Round the resulting sum to the nearest dollar per year.
              (ii) For an electric water heater, the product of the annual energy consumption, determined according to section 6.3.7 or 6.4.4 of appendix E of this subpart, times the representative average unit cost of electricity in dollars per kilowatt-hour as provided by the Secretary. Round the resulting product to the nearest dollar per year.
              (2) For an individual unit, determine the tested uniform energy factor in accordance with section 6.3.6 or 6.4.3 of appendix E of this subpart, and round the value to the nearest 0.01.
              (f) Room air conditioners. (1) The estimated annual operating cost for room air conditioners, expressed in dollars per year, shall be determined by multiplying the following three factors:
              (i) The combined annual energy consumption for room air conditioners, expressed in kilowatt-hours per year, as determined in accordance with paragraph (f)(4) of this section, and

              (ii) A representative average unit cost of electrical energy in dollars per kilowatt-hour as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year.

              (2) The energy efficiency ratio for room air conditioners, expressed in Btus per watt-hour, shall be the quotient of:
              (i) The cooling capacity in Btus per hour as determined in accordance with 5.1 of appendix F to this subpart divided by:
              (ii) The electrical input power in watts as determined in accordance with 5.2 of appendix F to this subpart, the resulting quotient then being rounded off to the nearest 0.1 Btu per watt-hour.
              (3) The average annual energy consumption for room air conditioners, expressed in kilowatt-hours per year, shall be determined by multiplying together the following two factors:
              (i) Electrical input power in kilowatts as determined in accordance with 5.2 of appendix F to this subpart, and
              (ii) The representative average-use cycle of 750 hours of compressor operation per year, the resulting product then being rounded off to the nearest kilowatt-hour per year.
              (4) The combined annual energy consumption for room air conditioners, expressed in kilowatt-hours per year, shall be the sum of:
              (i) The average annual energy consumption as determined in accordance with paragraph (f)(4) of this section, and
              (ii) The standby mode and off mode energy consumption, as determined in accordance with 5.3 of appendix F to this subpart, the resulting sum then being rounded off to the nearest kilowatt-hour per year.
              (5) The combined energy efficiency ratio for room air conditioners, expressed in Btu's per watt-hour, shall be the quotient of:
              (i) The cooling capacity in Btus per hour as determined in accordance with 5.1 of appendix F to this subpart multiplied by the representative average-use cycle of 750 hours of compressor operation per year, divided by
              (ii) The combined annual energy consumption as determined in accordance with paragraph (f)(4) of this section multiplied by a conversion factor of 1,000 to convert kilowatt-hours to watt-hours, the resulting quotient then being rounded off to the nearest 0.1 Btu per watt-hour.
              (g) Unvented home heating equipment. (1) The estimated annual operating cost for primary electric heaters, shall be the product of: (i) The average annual electric energy consumption in kilowatt-hours per year, determined according to section 3.1 of appendix G of this subpart and (ii) the representative average unit cost in dollars per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act, the resulting product then being rounded off to the nearest dollar per year.
              (2) The estimated regional annual operating cost for primary electric heaters, shall be the product of: (i) The regional annual electric energy consumption in kilowatt-hours per year for primary heaters determined according to section 3.2 of appendix G of this subpart and (ii) the representative average unit cost in dollars per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act, the resulting product then being rounded off to the nearest dollar per year.
              (3) The estimated operating cost per million Btu output shall be—
              (i) For primary and supplementary electric heaters and unvented gas and oil heaters without an auxiliary electric system, the product of: (A) One million; and (B) the representative unit cost in dollars per Btu for natural gas, propane, or oil, as provided pursuant to section 323(b)(2) of the Act as appropriate, or the quotient of the representative unit cost in dollars per kilowatt-hour, as provided pursuant to section 323(b)(2) of the Act, divided by 3,412 Btu per kilowatt hour, the resulting product then being rounded off to the nearest 0.01 dollar per million Btu output; and

              (ii) For unvented gas and oil heaters with an auxiliary electric system, the product of: (A) The quotient of one million divided by the rated output in Btu's per hour as determined in 3.4 of appendix G of this subpart; and (B) the sum of: (1) The product of the maximum fuel input in Btu's per hour as determined in 2.2. of this appendix times the representative unit cost in dollars per Btu for natural gas, propane, or oil, as appropriate, as provided pursuant to section 323(b)(2) of the Act, plus (2) the product of the maximum auxiliary electric power in kilowatts as determined in 2.1 of appendix G of this subpart times the representative unit cost in dollars per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act, the resulting quantity shall be rounded off to the nearest 0.01 dollar per million Btu output.
              (4) The rated output for unvented heaters is the rated output as determined according to either sections 3.3 or 3.4 of appendix G of this subpart, as appropriate, with the result being rounded to the nearest 100 Btu per hour.
              (5) Other useful measures of energy consumption for unvented home heating equipment shall be those measures of energy consumption for unvented home heating equipment which the Secretary determines are likely to assist consumers in making purchasing decisions and which are derived from the application of appendix G of this subpart.
              (h) Television sets. The power consumption of a television set, expressed in watts, including on mode, standby mode, and off mode power consumption values, shall be measured in accordance with sections 7.1, 7.3, and 7.4 of appendix H of this subpart respectively. The annual energy consumption, expressed in kilowatt-hours per year, shall be measured in accordance with section 8 of appendix H of this subpart.
              (i) Cooking products. (1) Determine the integrated annual electrical energy consumption for conventional electric cooking tops, including any integrated annual electrical energy consumption for combined cooking products according to sections 4.1.2.1.2 and 4.2.2.1 of appendix I to this subpart. For conventional gas cooking tops, the integrated annual electrical energy consumption shall be equal to the sum of the conventional cooking top annual electrical energy consumption, ECCE, as defined in section 4.1.2.2.2 or 4.2.2.2 of appendix I to this subpart, and the conventional cooking top annual combined low-power mode energy consumption, ECTSO, as defined in section 4.1.2.2.3 appendix I to this subpart, or the annual combined low-power mode energy consumption for the conventional cooking top component of a combined cooking product, ECCTLP, as defined in section 4.2.2.2 of appendix I to this subpart.
              (2) Determine the annual gas energy consumption for conventional gas cooking tops according to section 4.1.2.2.1 of appendix I to this subpart.
              (3) Determine the integrated annual energy consumption for conventional cooking tops according to sections 4.1.2.1.2, 4.1.2.2.2, 4.2.2.1, and 4.2.2.2, respectively, of appendix I to this subpart. Round the integrated annual energy consumption to one significant digit.
              (4) The estimated annual operating cost corresponding to the energy consumption of a conventional cooking top, shall be the sum of the following products:
              (i) The integrated annual electrical energy consumption for any electric energy usage, in kilowatt-hours (kWh) per year, as determined in accordance with paragraph (i)(1) of this section, times the representative average unit cost for electricity, in dollars per kWh, as provided pursuant to section 323(b)(2) of the Act; plus
              (ii) The total annual gas energy consumption for any natural gas usage, in British thermal units (Btu) per year, as determined in accordance with paragraph (i)(2) of this section, times the representative average unit cost for natural gas, in dollars per Btu, as provided pursuant to section 323(b)(2) of the Act; plus
              (iii) The total annual gas energy consumption for any propane usage, in Btu per year, as determined in accordance with paragraph (i)(2) of this section, times the representative average unit cost for propane, in dollars per Btu, as provided pursuant to section 323(b)(2) of the Act.
              (5) Determine the standby power for microwave ovens, excluding any microwave oven component of a combined cooking product, according to section 3.2.3 of appendix I to this subpart. Round standby power to the nearest 0.1 watt.
              (6) For convertible cooking appliances, there shall be—

              (i) An estimated annual operating cost and an integrated annual energy consumption which represent values for the operation of the appliance with natural gas; and

              (ii) An estimated annual operating cost and an integrated annual energy consumption which represent values for the operation of the appliance with LP-gas.
              (7) Determine the estimated annual operating cost for convertible cooking appliances that represents natural gas usage, as described in paragraph (i)(6)(i) of this section, according to paragraph (i)(4) of this section, using the total annual gas energy consumption for natural gas times the representative average unit cost for natural gas.
              (8) Determine the estimated annual operating cost for convertible cooking appliances that represents LP-gas usage, as described in paragraph (i)(6)(ii) of this section, according to paragraph (i)(4) of this section, using the representative average unit cost for propane times the total annual energy consumption of the test gas, either propane or natural gas.
              (9) Determine the integrated annual energy consumption for convertible cooking appliances that represents natural gas usage, as described in paragraph (i)(6)(i) of this section, according to paragraph (i)(3) of this section, when the appliance is tested with natural gas.
              (10) Determine the integrated annual energy consumption for convertible cooking appliances that represents LP-gas usage, as described in paragraph (i)(6)(ii) of this section, according to paragraph (i)(3) of this section, when the appliance is tested with either natural gas or propane.
              (11) Other useful measures of energy consumption for conventional cooking tops shall be the measures of energy consumption that the Secretary determines are likely to assist consumers in making purchasing decisions and that are derived from the application of appendix I to this subpart.
              (j) Clothes washers. (1) The estimated annual operating cost for automatic and semi-automatic clothes washers must be rounded off to the nearest dollar per year and is defined as follows:
              (i) When using appendix J1 (see the note at the beginning of appendix J1),
              (A) When electrically heated water is used,

              (N1 × ETE1 × CKWH)

                Where:

                N1 = the representative average residential clothes washer use of 392 cycles per year according to appendix J1,
                ETE1 = the total per-cycle energy consumption when electrically heated water is used, in kilowatt-hours per cycle, determined according to section 4.1.7 of appendix J1, and
                CKWH = the representative average unit cost, in dollars per kilowatt-hour, as provided by the Secretary.

              (B) When gas-heated or oil-heated water is used,

              (N1 × ((MET1 × CKWH) + (HETG1 × CBTU)))

                Where:

                N1 and CKWH are defined in paragraph (j)(1)(i)(A) of this section,
                MET1 = the total weighted per-cycle machine electrical energy consumption, in kilowatt-hours per cycle, determined according to section 4.1.6 of appendix J1,
                HETG1 = the total per-cycle hot water energy consumption using gas-heated or oil-heated water, in Btu per cycle, determined according to section 4.1.4 of appendix J1, and
                CBTU = the representative average unit cost, in dollars per Btu for oil or gas, as appropriate, as provided by the Secretary.

              (ii) When using appendix J2 (see the note at the beginning of appendix J2),
              (A) When electrically heated water is used,

              (N2 × (ETE2 + ETSO) × CKWH)

                Where:

                N2 = the representative average residential clothes washer use of 295 cycles per year according to appendix J2,
                ETE2 = the total per-cycle energy consumption when electrically heated water is used, in kilowatt-hours per cycle, determined according to section 4.1.7 of appendix J2,
                ETSO = the per-cycle combined low-power mode energy consumption, in kilowatt-hours per cycle, determined according to section 4.4 of appendix J2, and
                CKWH = the representative average unit cost, in dollars per kilowatt-hour, as provided by the Secretary.

              (B) When gas-heated or oil-heated water is used,

              (N2 × ((MET2 + ETSO) × CKWH) + (HETG2 × CBTU))

                Where:

                N2 and ETSO are defined in (j)(1)(ii)(A) of this section,

                MET2 = the total weighted per-cycle machine electrical energy consumption, in kilowatt-hours per cycle, determined according to section 4.1.6 of appendix J2,
                CKWH = the representative average unit cost, in dollars per kilowatt-hour, as provided by the Secretary,
                HETG2 = the total per-cycle hot water energy consumption using gas-heated or oil-heated water, in Btu per cycle, determined according to section 4.1.4 of appendix J2,
                CBTU = the representative average unit cost, in dollars per Btu for oil or gas, as appropriate, as provided by the Secretary.

              (2)(i) The modified energy factor for automatic and semi-automatic clothes washers is determined according to section 4.4 of appendix J1 (when using appendix J1) and section 4.5 of appendix J2 (when using appendix J2). The result shall be rounded off to the nearest 0.01 cubic foot per kilowatt-hour per cycle.
              (ii) The integrated modified energy factor for automatic and semi-automatic clothes washers is determined according to section 4.6 of appendix J2 (when using appendix J2). The result shall be rounded off to the nearest 0.01 cubic foot per kilowatt-hour per cycle.
              (3) The annual water consumption of a clothes washer must be determined as:
              (i) When using appendix J1, the product of the representative average-use of 392 cycles per year and the total weighted per-cycle water consumption in gallons per cycle determined according to section 4.2.2 of appendix J1.
              (ii) When using appendix J2, the product of the representative average-use of 295 cycles per year and the total weighted per-cycle water consumption for all wash cycles, in gallons per cycle, determined according to section 4.2.11 of appendix J2.
              (4)(i) The water factor must be determined according to section 4.2.3 of appendix J1 (when using appendix J1) or section 4.2.12 of appendix J2 (when using appendix J2), with the result rounded to the nearest 0.1 gallons per cycle per cubic foot.
              (ii) The integrated water factor must be determined according to section 4.2.13 of appendix J2, with the result rounded to the nearest 0.1 gallons per cycle per cubic foot.
              (5) Other useful measures of energy consumption for automatic or semi-automatic clothes washers shall be those measures of energy consumption that the Secretary determines are likely to assist consumers in making purchasing decisions and that are derived from the application of appendix J1 or appendix J2, as appropriate.
              (k)-(l) [Reserved]
              (m) Central air conditioners and heat pumps. See the note at the beginning of appendix M and M1 to determine the appropriate test method. Determine all values discussed in this section using a single appendix.

              (1) Determine cooling capacity from the steady-state wet-coil test (A or A2 Test), as described in section 3.2 of appendix M or M1 to this subpart, and rounded off to the nearest
              (i) To the nearest 50 Btu/h if cooling capacity is less than 20,000 Btu/h;
              (ii) To the nearest 100 Btu/h if cooling capacity is greater than or equal to 20,000 Btu/h but less than 38,000 Btu/h; and
              (iii) To the nearest 250 Btu/h if cooling capacity is greater than or equal to 38,000 Btu/h and less than 65,000 Btu/h.
              (2) Determine seasonal energy efficiency ratio (SEER) as described in section 4.1 of appendix M to this subpart or seasonal energy efficiency ratio 2 (SEER2) as described in section 4.1 of appendix M1 to this subpart, and round off to the nearest 0.025 Btu/W-h.

              (3) Determine energy efficiency ratio (EER) as described in section 4.6 of appendix M or M1 to this subpart, and round off to the nearest 0.025 Btu/W-h. The EER from the A or A2 test, whichever applies, when tested in accordance with appendix M1 to this subpart, is referred to as EER2.
              (4) Determine heating seasonal performance factors (HSPF) as described in section 4.2 of appendix M to this subpart or heating seasonal performance factors 2 (HSPF2) as described in section 4.2 of appendix M1 to this subpart, and round off to the nearest 0.025 Btu/W-h.
              (5) Determine average off mode power consumption as described in section 4.3 of appendix M or M1 to this subpart, and round off to the nearest 0.5 W.

              (6) Determine all other measures of energy efficiency or consumption or other useful measures of performance using appendix M or M1 of this subpart.

              (n) Furnaces. (1) The estimated annual operating cost for furnaces is the sum of: (i) The product of the average annual fuel energy consumption, in Btu's per year for gas or oil furnaces or in kilowatt-hours per year for electric furnaces, determined according to section 10.2.2 or 10.3 of appendix N of this subpart, respectively, and the representative average unit cost in dollars per Btu for gas or oil, or dollars per kilowatt-hour for electric, as appropriate, as provided pursuant to section 323(b)(2) of the Act, plus (ii) the product of the average annual auxiliary electric energy consumption in kilowatt-hours per year determined according to section 10.2.3 of appendix N of this subpart, and the representative average unit cost in dollars per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act, the resulting sum then being rounded off to the nearest dollar per year. (For furnaces which operate with variable inputs, an estimated annual operating cost is to be calculated for each degree of oversizing specified in section 10 of appendix N of this subpart.)
              (2) The annual fuel utilization efficiency for furnaces, expressed in percent, is the ratio of the annual fuel output of useful energy delivered to the heated space to the annual fuel energy input to the furnace determined according to section 10.1 of appendix N of this subpart for gas and oil furnaces and determined in accordance with section 11.1 of the American National Standards Institute/American Society of Heating, Refrigerating, and Air-Conditioning Engineers (ANSI/ASHRAE) Standard 103-1993 (incorporated by reference, see § 430.3) for electric furnaces. Truncate the annual fuel utilization efficiency to one-tenth of a percentage point.
              (3) The estimated regional annual operating cost for furnaces is the sum of: (i) The product of the regional annual fuel energy consumption in Btu's per year for gas or oil furnaces or in kilowatt-hours per year for electric furnaces, determined according to section 10.5.1 or 10.5.3 of appendix N of this subpart, respectively, and the representative average unit cost in dollars per Btu for gas or oil, or dollars per kilowatt-hour for electric, as appropriate, as provided pursuant to section 323(b)(2) of the Act, plus (ii) the product of the regional annual auxiliary electrical energy consumption in kilowatt-hours per year, determined according to section 10.5.2 of appendix N of this subpart, and the representative average unit cost in dollars per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act, the resulting sum then being rounded off to the nearest dollar per year.
              (4) The energy factor for furnaces, expressed in percent, is the ratio of annual fuel output of useful energy delivered to the heated space to the total annual energy input to the furnace determined according to section 10.4 of appendix N of this subpart.
              (5) The average standby mode and off mode electrical power consumption for furnaces shall be determined according to section 8.6 of appendix N of this subpart. Round the average standby mode and off mode electrical power consumption to the nearest watt.
              (6) Other useful measures of energy consumption for furnaces shall be those measures of energy consumption which the Secretary determines are likely to assist consumers in making purchasing decisions and which are derived from the application of appendix N of this subpart.
              (o) Vented home heating equipment. (1) When determining the annual fuel utilization efficiency (AFUE) of vented home heating equipment (see the note at the beginning of appendix O), expressed in percent (%), calculate AFUE in accordance with section 4.1.17 of appendix O of this subpart for vented heaters without either manual controls or thermal stack dampers; in accordance with section 4.2.6 of appendix O of this subpart for vented heaters equipped with manual controls; or in accordance with section 4.3.7 of appendix O of this subpart for vented heaters equipped with thermal stack dampers.
              (2) When estimating the annual operating cost for vented home heating equipment, calculate the sum of:

              (i) The product of the average annual fuel energy consumption, in Btus per year for natural gas, propane, or oil fueled vented home heating equipment, determined according to section 4.6.2 of appendix O of this subpart, and the representative average unit cost in dollars per Btu for natural gas, propane, or oil, as appropriate, as provided pursuant to section 323(b)(2) of the Act; plus
              (ii) The product of the average annual auxiliary electric energy consumption in kilowatt-hours per year determined according to section 4.6.3 of appendix O of this subpart, and the representative average unit cost in dollars per kilowatt-hours as provided pursuant to section 323(b)(2) of the Act. Round the resulting sum to the nearest dollar per year.
              (3) When estimating the operating cost per million Btu output for gas or oil vented home heating equipment with an auxiliary electric system, calculate the product of:
              (i) The quotient of one million Btu divided by the sum of:
              (A) The product of the maximum fuel input in Btus per hour as determined in sections 3.1.1 or 3.1.2 of appendix O of this subpart times the annual fuel utilization efficiency in percent as determined in sections 4.1.17, 4.2.6, or 4.3.7 of this appendix (as appropriate) divided by 100, plus
              (B) The product of the maximum electric power in watts as determined in section 3.1.3 of appendix O of this subpart times the quantity 3.412; and
              (ii) The sum of:
              (A) the product of the maximum fuel input in Btus per hour as determined in sections 3.1.1 or 3.1.2 of this appendix times the representative unit cost in dollars per Btu for natural gas, propane, or oil, as appropriate, as provided pursuant to section 323(b)(2) of the Act; plus
              (B) the product of the maximum auxiliary electric power in kilowatts as determined in section 3.1.3 of appendix O of this subpart times the representative unit cost in dollars per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act. Round the resulting quantity to the nearest 0.01 dollar per million Btu output.
              (p) Pool heaters. (1) Determine the thermal efficiency (Et) of a pool heater expressed as a percent (%) in accordance with section 5.1 of appendix P to this subpart.
              (2) Determine the integrated thermal efficiency (TEI) of a pool heater expressed as a percent (%) in accordance with section 5.4 of appendix P to this subpart.
              (3) When estimating the annual operating cost of pool heaters, calculate the sum of:
              (i) The product of the average annual fossil fuel energy consumption, in Btus per year, determined according to section 5.2 of appendix P to this subpart, and the representative average unit cost in dollars per Btu for natural gas or oil, as appropriate, as provided pursuant to section 323(b)(2) of the Act; plus
              (ii) The product of the average annual electrical energy consumption in kilowatt-hours per year determined according to section 5.3 of appendix P to this subpart and converted to kilowatt-hours using a conversion factor of 3412 Btus = 1 kilowatt-hour, and the representative average unit cost in dollars per kilowatt-hours as provided pursuant to section 323(b)(2) of the Act. Round the resulting sum to the nearest dollar per year.
              (q) Fluorescent Lamp Ballasts. (1) Calculate the estimated annual energy consumption (EAEC) for fluorescent lamp ballasts, expressed in kilowatt-hours per year, by multiplying together the following values:
              (i) The input power in kilowatts measured in accordance with section 2.5.1.6 of appendix Q to this part; and
              (ii) The representative average use cycle of 1,000 hours per year. Round the resulting product to the nearest kilowatt-hour per year.
              (2) Calculate ballast luminous efficiency (BLE) using section 2.6.1 of appendix Q to this subpart.
              (3) Calculate the estimated annual operating cost (EAOC) for fluorescent lamp ballasts, expressed in dollars per year, by multiplying together the following values:
              (i) The representative average unit energy cost of electricity in dollars per kilowatt-hour as provided by the Secretary,
              (ii) The representative average use cycle of 1,000 hours per year, and

              (iii) The input power in kilowatts measured in accordance with section 2.5.1.6 of appendix Q to this part. Round the resulting product to the nearest dollar per year.

              (r) General service fluorescent lamps, general service incandescent lamps, and incandescent reflector lamps. (1) The estimated annual energy consumption for general service fluorescent lamps, general service incandescent lamps, and incandescent reflector lamps, expressed in kilowatt-hours per year, shall be the product of the input power in kilowatts as determined in accordance with section 4 of appendix R to this subpart and an average annual use specified by the manufacturer, with the resulting product rounded off to the nearest kilowatt-hour per year. Manufacturers must provide a clear and accurate description of the assumptions used for the estimated annual energy consumption.
              (2) The lamp efficacy for general service fluorescent lamps shall be equal to the average lumen output divided by the average lamp wattage as determined in section 4 of appendix R of this subpart, with the resulting quotient rounded off to the nearest tenth of a lumen per watt.
              (3) The lamp efficacy for general service incandescent lamps shall be equal to the average lumen output divided by the average lamp wattage as determined in section 4 of appendix R of this subpart, with the resulting quotient rounded off to the nearest tenth of a lumen per watt.
              (4) The lamp efficacy for incandescent reflector lamps shall be equal to the average lumen output divided by the average lamp wattage as determined in section 4 of appendix R of this subpart, with the resulting quotient rounded off to the nearest tenth of a lumen per watt.
              (5) The color rendering index of a general service fluorescent lamp shall be tested and determined in accordance with section 4.4 of appendix R of this subpart and rounded off to the nearest unit.
              (6) The rated lifetime for general service incandescent lamps shall be measured in accordance with test procedures described in section 4.2 of Appendix R of this chapter. A lamp shall be compliant with standards if greater than 50 percent of the sample size specified in § 429.27 meets the minimum rated lifetime as specified by energy conservations standards for general service incandescent lamps.
              (s) Faucets. The maximum permissible water use allowed for lavatory faucets, lavatory replacement aerators, kitchen faucets, and kitchen replacement aerators, expressed in gallons and liters per minute (gpm and L/min), shall be measured in accordance to section 2(a) of appendix S of this subpart. The maximum permissible water use allowed for metering faucets, expressed in gallons and liters per cycle (gal/cycle and L/cycle), shall be measured in accordance to section 2(a) of appendix S of this subpart.
              (t) Showerheads. The maximum permissible water use allowed for showerheads, expressed in gallons and liters per minute (gpm and L/min), shall be measured in accordance to section 2(b) of appendix S of this subpart.
              (u) Water closets. The maximum permissible water use allowed for water closets, expressed in gallons and liters per flush (gpf and Lpf), shall be measured in accordance to section 3(a) of appendix T of this subpart.
              (v) Urinals. The maximum permissible water use allowed for urinals, expressed in gallons and liters per flush (gpf and Lpf), shall be measured in accordance to section 3(b) of appendix T of this subpart.
              (w) Ceiling fans. Measure the efficiency of a ceiling fan, expressed in cubic feet per minute per watt (CFM/W), in accordance with appendix U to this subpart.
              (x) Ceiling fan light kits. (1) For each ceiling fan light kit that is required to comply with the energy conservation standards as of January 1, 2007:
              (i) For a ceiling fan light kit with medium screw base sockets that is packaged with compact fluorescent lamps, measure lamp efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40 percent of lifetime, rapid cycle stress test, and time to failure in accordance with paragraph (y) of this section.
              (ii) For a ceiling fan light kit with medium screw base sockets that is packaged with integrated LED lamps, measure lamp efficacy in accordance with paragraph (ee) of this section.

              (iii) For a ceiling fan light kit with pin-based sockets that is packaged with fluorescent lamps, measure system efficacy in accordance with section 4 of appendix V of this subpart.
              (iv) For a ceiling fan light kit with medium screw base sockets that is packaged with incandescent lamps, measure lamp efficacy in accordance with paragraph (r) of this section.
              (2) For each ceiling fan light kit that requires compliance with the January 21, 2020 energy conservation standards:
              (i) For a ceiling fan light kit packaged with compact fluorescent lamps, measure lamp efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40 percent of lifetime, rapid cycle stress test, and time to failure in accordance with paragraph (y) of this section for each lamp basic model.
              (ii) For a ceiling fan light kit packaged with general service fluorescent lamps, measure lamp efficacy in accordance with paragraph (r) of this section for each lamp basic model.
              (iii) For a ceiling fan light kit packaged with incandescent lamps, measure lamp efficacy in accordance with paragraph (r) of this section for each lamp basic model.
              (iv) For a ceiling fan light kit packaged with integrated LED lamps, measure lamp efficacy in accordance with paragraph (ee) of this section for each lamp basic model.
              (v) For a ceiling fan light kit packaged with other fluorescent lamps (not compact fluorescent lamps or general service fluorescent lamps), packaged with other SSL products (not integrated LED lamps) or with integrated SSL circuitry, measure efficacy in accordance with section 3 of appendix V1 of this subpart for each lamp basic model or integrated SSL basic model.
              (y) Compact fluorescent lamps. (1) Measure initial lumen output, input power, initial lamp efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40 percent of lifetime of a compact fluorescent lamp (as defined in 10 CFR 430.2), color rendering index (CRI), correlated color temperature (CCT), power factor, start time, standby mode energy consumption, and time to failure in accordance with appendix W of this subpart. Express time to failure in hours.
              (2) Conduct the rapid cycle stress test in accordance with section 3.3 of appendix W of this subpart.
              (z) Dehumidifiers. When using appendix X, determine the capacity, expressed in pints per day (pints/day), and the energy factor, expressed in liters per kilowatt hour (L/kWh), in accordance with section 4.1 of appendix X of this subpart. When using appendix X1, determine the capacity, expressed in pints/day, according to section 5.2 of appendix X1 to this subpart; determine the integrated energy factor, expressed in L/kWh, according to section 5.4 of appendix X1 to this subpart; and determine the case volume, expressed in cubic feet, for whole-home dehumidifiers in accordance with section 5.7 of appendix X1 of this subpart.
              (aa) Battery Chargers. (1) Measure the maintenance mode power, standby power, off mode power, battery discharge energy, 24-hour energy consumption and measured duration of the charge and maintenance mode test for a battery charger other than uninterruptible power supplies in accordance with appendix Y to this subpart.
              (2) Calculate the unit energy consumption of a battery charger other than uninterruptible power supplies in accordance with appendix Y to this subpart.
              (3) Calculate the average load adjusted efficiency of an uninterruptible power supply in accordance with appendix Y to this subpart.
              (bb) External Power Supplies. The energy consumption of an external power supply, including active-mode efficiency expressed as a percentage and the no-load, off, and standby mode energy consumption levels expressed in watts, shall be measured in accordance with section 4 of appendix Z of this subpart.
              (cc) Furnace Fans. The energy consumption of a single unit of a furnace fan basic model expressed in watts per 1000 cubic feet per minute (cfm) to the nearest integer shall be calculated in accordance with Appendix AA of this subpart.
              (dd) Portable air conditioners. (1) For single-duct and dual-duct portable air conditioners, measure the seasonally adjusted cooling capacity, expressed in British thermal units per hour (Btu/h), and the combined energy efficiency ratio, expressed in British thermal units per watt-hour (Btu/Wh) in accordance with appendix CC of this subpart.
              (2) Determine the estimated annual operating cost for portable air conditioners, expressed in dollars per year, by multiplying the following two factors:

              (i) For dual-duct portable air conditioners, the sum of AEC95 multiplied by 0.2, AEC83 multiplied by 0.8, and AECT as measured in accordance with section 5.3 of appendix CC of this subpart; or for single-duct portable air conditioners, the sum of AECSD and AECT as measured in accordance with section 5.3 of appendix CC of this subpart; and
              (ii) A representative average unit cost of electrical energy in dollars per kilowatt-hour as provided by the Secretary.
              (iii) Round the resulting product to the nearest dollar per year.
              (ee) Integrated light-emitting diode lamp. (1) The input power of an integrated light-emitting diode lamp must be measured in accordance with section 3 of appendix BB of this subpart.
              (2) The lumen output of an integrated light-emitting diode lamp must be measured in accordance with section 3 of appendix BB of this subpart.
              (3) The lamp efficacy of an integrated light-emitting diode lamp must be calculated in accordance with section 3 of appendix BB of this subpart.
              (4) The correlated color temperature of an integrated light-emitting diode lamp must be measured in accordance with section 3 of appendix BB of this subpart.
              (5) The color rendering index of an integrated light-emitting diode lamp must be measured in accordance with section 3 of appendix BB of this subpart.
              (6) The power factor of an integrated light-emitting diode lamp must be measured in accordance with section 3 of appendix BB of this subpart.
              (7) The time to failure of an integrated light-emitting diode lamp must be measured in accordance with section 4 of appendix BB of this subpart.
              (8) The standby mode power must be measured in accordance with section 5 of appendix BB of this subpart.
              (ff) Coolers and combination cooler refrigeration products. (1) The estimated annual operating cost for models without an anti-sweat heater switch shall be the product of the following three factors, with the resulting product then being rounded to the nearest dollar per year:
              (i) The representative average-use cycle of 365 cycles per year;
              (ii) The average per-cycle energy consumption for the standard cycle in kilowatt-hours per cycle, determined according to section 6.2 of appendix A of this subpart; and
              (iii) The representative average unit cost of electricity in dollars per kilowatt-hour as provided by the Secretary.
              (2) The estimated annual operating cost for models with an anti-sweat heater switch shall be the product of the following three factors, with the resulting product then being rounded to the nearest dollar per year:
              (i) The representative average-use cycle of 365 cycles per year;
              (ii) Half the sum of the average per-cycle energy consumption for the standard cycle and the average per-cycle energy consumption for a test cycle type with the anti-sweat heater switch in the position set at the factory just before shipping, each in kilowatt-hours per cycle, determined according to section 6.2 of appendix A of this subpart; and
              (iii) The representative average unit cost of electricity in dollars per kilowatt-hour as provided by the Secretary.
              (3) The estimated annual operating cost for any other specified cycle type shall be the product of the following three factors, with the resulting product then being rounded to the nearest dollar per year:
              (i) The representative average-use cycle of 365 cycles per year;
              (ii) The average per-cycle energy consumption for the specified cycle type, determined according to section 6.2 of appendix A to this subpart; and

              (iii) The representative average unit cost of electricity in dollars per kilowatt-hour as provided by the Secretary.

              (4) The energy factor, expressed in cubic feet per kilowatt-hour per cycle, shall be:
              (i) For models without an anti-sweat heater switch, the quotient of:
              (A) The adjusted total volume in cubic feet, determined according to section 6.1 of appendix A of this subpart, divided by—
              (B) The average per-cycle energy consumption for the standard cycle in kilowatt-hours per cycle, determined according to section 6.2 of appendix A of this subpart, with the resulting quotient then being rounded to the second decimal place; and
              (ii) For models having an anti-sweat heater switch, the quotient of:
              (A) The adjusted total volume in cubic feet, determined according to section 6.1 of appendix A of this subpart, divided by—
              (B) Half the sum of the average per-cycle energy consumption for the standard cycle and the average per-cycle energy consumption for a test cycle type with the anti-sweat heater switch in the position set at the factory just before shipping, each in kilowatt-hours per cycle, determined according to section 6.2 of appendix A of this subpart, with the resulting quotient then being rounded to the second decimal place.
              (5) The annual energy use, expressed in kilowatt-hours per year, shall be the following, rounded to the nearest kilowatt-hour per year:
              (i) For models without an anti-sweat heater switch, the representative average use cycle of 365 cycles per year multiplied by the average per-cycle energy consumption for the standard cycle in kilowatt-hours per cycle, determined according to section 6.2 of appendix A of this subpart; and
              (ii) For models having an anti-sweat heater switch, the representative average use cycle of 365 cycles per year multiplied by half the sum of the average per-cycle energy consumption for the standard cycle and the average per-cycle energy consumption for a test cycle type with the anti-sweat heater switch in the position set at the factory just before shipping, each in kilowatt-hours per cycle, determined according to section 6.2 of appendix A of this subpart.
              (6) Other useful measures of energy consumption shall be those measures of energy consumption that the Secretary determines are likely to assist consumers in making purchasing decisions which are derived from the application of appendix A of this subpart.
              (7) The following principles of interpretation shall be applied to the test procedure. The intent of the energy test procedure is to simulate operation in typical room conditions (72 °F (22.2 °C)) with door openings by testing at 90 °F (32.2 °C) ambient temperature without door openings. Except for operating characteristics that are affected by ambient temperature (for example, compressor percent run time), the unit, when tested under this test procedure, shall operate in a manner equivalent to the unit's operation while in typical room conditions.
              (i) The energy used by the unit shall be calculated when a calculation is provided by the test procedure. Energy consuming components that operate in typical room conditions (including as a result of door openings, or a function of humidity), and that are not excluded by this test procedure, shall operate in an equivalent manner during energy testing under this test procedure, or be accounted for by all calculations as provided for in the test procedure. Examples:
              (A) Energy saving features that are designed to operate when there are no door openings for long periods of time shall not be functional during the energy test.
              (B) The defrost heater shall neither function nor turn off differently during the energy test than it would when in typical room conditions. Also, the product shall not recover differently during the defrost recovery period than it would in typical room conditions.
              (C) Electric heaters that would normally operate at typical room conditions with door openings shall also operate during the energy test.
              (D) Energy used during adaptive defrost shall continue to be measured and adjusted per the calculation provided for in this test procedure.

              (ii) DOE recognizes that there may be situations that the test procedures do not completely address. In such cases, a manufacturer must obtain a waiver in accordance with the relevant provisions of this part if:
              (A) A product contains energy consuming components that operate differently during the prescribed testing than they would during representative average consumer use; and
              (B) Applying the prescribed test to that product would evaluate it in a manner that is unrepresentative of its true energy consumption (thereby providing materially inaccurate comparative data).
              (8) For non-compressor models, “compressor” and “compressor cycles” as used in appendix A of this subpart shall be interpreted to mean “refrigeration system” and “refrigeration system cycles,” respectively.
              (gg) General Service Lamps. (1) For general service incandescent lamps, use paragraph (r) of this section.
              (2) For compact fluorescent lamps, use paragraph (y) of this section.
              (3) For integrated LED lamps, use paragraph (ee) of this section.
              (4) For other incandescent lamps, measure initial light output, input power, lamp efficacy, power factor, and standby mode power in accordance with appendix DD of this subpart.
              (5) For other fluorescent lamps, measure initial light output, input power, lamp efficacy, power factor, and standby mode power in accordance with appendix DD of this subpart.
              (6) For OLED and non-integrated LED lamps, measure initial light output, input power, lamp efficacy, power factor, and standby mode power in accordance with appendix DD of this subpart.
              [42 FR 27898, June 1, 1977]

                Editorial Note:
                For Federal Register citations affecting § 430.23, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.

              § 430.24
              [Reserved]

              § 430.25
              Laboratory Accreditation Program.
              The testing for general service fluorescent lamps, general service incandescent lamps (with the exception of lifetime testing), general service lamps (with the exception of applicable lifetime testing), incandescent reflector lamps, compact fluorescent lamps, and fluorescent lamp ballasts, and integrated light-emitting diode lamps must be conducted by test laboratories accredited by an Accreditation Body that is a signatory member to the International Laboratory Accreditation Cooperation (ILAC) Mutual Recognition Arrangement (MRA). A manufacturer's or importer's own laboratory, if accredited, may conduct the applicable testing.
              [81 FR 72504, Oct. 20, 2016]

              § 430.27
              Petitions for waiver and interim waiver.
              (a) General information. This section provides a means for seeking waivers of the test procedure requirements of this subpart for basic models that meet the requirements of paragraph (a)(1) of this section. In granting a waiver or interim waiver, DOE will not change the energy use or efficiency metric that the manufacturer must use to certify compliance with the applicable energy conservation standard and to make representations about the energy use or efficiency of the covered product. The granting of a waiver or interim waiver by DOE does not exempt such basic models from any other regulatory requirement contained in this part or the certification and compliance requirements of 10 CFR part 429 and specifies an alternative method for testing the basic models addressed in the waiver.
              (1) Any interested person may submit a petition to waive for a particular basic model any requirements of § 430.23 or of any appendix to this subpart, upon the grounds that the basic model contains one or more design characteristics which either prevent testing of the basic model according to the prescribed test procedures or cause the prescribed test procedures to evaluate the basic model in a manner so unrepresentative of its true energy and/or water consumption characteristics as to provide materially inaccurate comparative data.

              (2) Manufacturers of basic model(s) subject to a waiver or interim waiver are responsible for complying with the other requirements of this subpart and with the requirements of 10 CFR part 429 regardless of the person that originally submitted the petition for waiver and/or interim waiver. The filing of a petition for waiver and/or interim waiver shall not constitute grounds for noncompliance with any requirements of this subpart.

              (3) All correspondence regarding waivers and interim waivers must be submitted to DOE either electronically to AS_Waiver_Requests@ee.doe.gov (preferred method of transmittal) or by mail to U.S. Department of Energy, Building Technologies Program, Test Procedure Waiver, 1000 Independence Avenue SW., Mailstop EE-5B, Washington, DC 20585-0121.
              (b) Petition content and publication. (1) Each petition for waiver must:
              (i) Identify the particular basic model(s) for which a waiver is requested, each brand name under which the identified basic model(s) will be distributed in commerce, the design characteristic(s) constituting the grounds for the petition, and the specific requirements sought to be waived, and must discuss in detail the need for the requested waiver;
              (ii) Identify manufacturers of all other basic models distributed in commerce in the United States and known to the petitioner to incorporate design characteristic(s) similar to those found in the basic model that is the subject of the petition;
              (iii) Include any alternate test procedures known to the petitioner to evaluate the performance of the product type in a manner representative of the energy and/or water consumption characteristics of the basic model; and

              (iv) Be signed by the petitioner or an authorized representative. In accordance with the provisions set forth in 10 CFR 1004.11, any request for confidential treatment of any information contained in a petition for waiver or in supporting documentation must be accompanied by a copy of the petition, application or supporting documentation from which the information claimed to be confidential has been deleted. DOE will publish in the Federal Register the petition and supporting documents from which confidential information, as determined by DOE, has been deleted in accordance with 10 CFR 1004.11 and will solicit comments, data and information with respect to the determination of the petition.
              (2) Each petition for interim waiver must reference the related petition for waiver by identifying the particular basic model(s) for which a waiver is being sought. Each petition for interim waiver must demonstrate likely success of the petition for waiver and address what economic hardship and/or competitive disadvantage is likely to result absent a favorable determination on the petition for interim waiver. Each petition for interim waiver must be signed by the petitioner or an authorized representative.
              (c) Notification to other manufacturers. (1) Each petitioner for interim waiver must, upon publication of a grant of an interim waiver in the Federal Register, notify in writing all known manufacturers of domestically marketed basic models of the same product class (as specified in 10 CFR 430.32) and of other product classes known to the petitioner to use the technology or have the characteristic at issue in the waiver. The notice must include a statement that DOE has published the interim waiver and petition for waiver in the Federal Register and the date the petition for waiver was published. The notice must also include a statement that DOE will receive and consider timely written comments on the petition for waiver. Within five working days, each petitioner must file with DOE a statement certifying the names and addresses of each person to whom a notice of the petition for waiver has been sent.

              (2) If a petitioner does not request an interim waiver and notification has not been provided pursuant to paragraph (c)(1) of this section, each petitioner, after filing a petition for waiver with DOE, and after the petition for waiver has been published in the Federal Register, must, within five working days of such publication, notify in writing all known manufacturers of domestically marketed units of the same product class (as listed in 10 CFR 430.32) and of other product classes known to the petitioner to use the technology or have the characteristic at issue in the waiver. The notice must include a statement that DOE has published the petition in the Federal Register and the date the petition for waiver was published. Within five working days of the publication of the petition in the Federal Register, each petitioner must file with DOE a statement certifying the names and addresses of each person to whom a notice of the petition for waiver has been sent.
              (d) Public comment and rebuttal. (1) Any person submitting written comments to DOE with respect to an interim waiver must also send a copy of the comments to the petitioner by the deadline specified in the notice.
              (2) Any person submitting written comments to DOE with respect to a petition for waiver must also send a copy of such comments to the petitioner.

              (3) A petitioner may, within 10 working days of the close of the comment period specified in the Federal Register, submit a rebuttal statement to DOE. A petitioner may rebut more than one comment in a single rebuttal statement.
              (e) Provisions specific to interim waivers—(1) Disposition of application. If administratively feasible, DOE will notify the applicant in writing of the disposition of the petition for interim waiver within 30 business days of receipt of the application. Notice of DOE's determination on the petition for interim waiver will be published in the Federal Register.

              (2) Criteria for granting. DOE will grant an interim waiver from the test procedure requirements if it appears likely that the petition for waiver will be granted and/or if DOE determines that it would be desirable for public policy reasons to grant immediate relief pending a determination on the petition for waiver.
              (f) Provisions specific to waivers—(1) Disposition of application. The petitioner shall be notified in writing as soon as practicable of the disposition of each petition for waiver. DOE shall issue a decision on the petition as soon as is practicable following receipt and review of the Petition for Waiver and other applicable documents, including, but not limited to, comments and rebuttal statements.

              (2) Criteria for granting. DOE will grant a waiver from the test procedure requirements if DOE determines either that the basic model(s) for which the waiver was requested contains a design characteristic that prevents testing of the basic model according to the prescribed test procedures, or that the prescribed test procedures evaluate the basic model in a manner so unrepresentative of its true energy or water consumption characteristics as to provide materially inaccurate comparative data. Waivers may be granted subject to conditions, which may include adherence to alternate test procedures specified by DOE. DOE will consult with the Federal Trade Commission prior to granting any waiver, and will promptly publish in the Federal Register notice of each waiver granted or denied, and any limiting conditions of each waiver granted.
              (g) Extension to additional basic models. A petitioner may request that DOE extend the scope of a waiver or an interim waiver to include additional basic models employing the same technology as the basic model(s) set forth in the original petition. DOE will publish any such extension in the Federal Register.

              (h) Duration. (1) Within one year of issuance of an interim waiver, DOE will either:
              (i) Publish in the Federal Register a determination on the petition for waiver; or
              (ii) Publish in the Federal Register a new or amended test procedure that addresses the issues presented in the waiver.
              (2) When DOE amends the test procedure to address the issues presented in a waiver, the waiver will automatically terminate on the date on which use of that test procedure is required to demonstrate compliance.
              (i) Compliance certification. (1) If the alternate test procedure specified in the interim waiver differs from the alternate test procedure specified by DOE in a subsequent decision and order granting the petition for waiver, a manufacturer who has already certified basic models using the procedure permitted in DOE's grant of an interim test procedure waiver is not required to re-test and re-rate those basic models so long as: The manufacturer used that alternative procedure to certify the compliance of the basic model after DOE granted the company's interim waiver request; changes have not been made to those basic models that would cause them to use more energy or otherwise be less energy efficient; and the manufacturer does not modify the certified rating. However, if the alternate test procedure specified in the interim waiver differs from the alternate test procedure specified by DOE in a subsequent decision and order granting the petition for waiver and if specified by DOE in the decision and order, the manufacturer must re-test and re-certify compliance using the procedure specified by DOE in the decision and order by the time of the next annual certification.
              (2) After DOE publishes a decision and order in the Federal Register, a manufacturer must use the test procedure contained in that notice to rate any basic models covered by the waiver that have not yet been certified to DOE and for any future testing in support of the certification for the basic model(s) while the waiver is valid.
              (j) Petition for waiver required of other manufacturers. Within 60 days after DOE issues a waiver to a manufacturer for a product employing a particular technology or having a particular characteristic, any manufacturer currently distributing in commerce in the United States a product employing a technology or characteristic that results in the same need for a waiver (as specified by DOE in the published decision and order on the petition in the Federal Register) must submit a petition for waiver pursuant to the requirements of this section. Manufacturers not currently distributing such products in commerce in the United States must petition for and be granted a waiver prior to distribution in commerce in the United States. Manufacturers may also submit a request for interim waiver pursuant to the requirements of this section.
              (k) Rescission or modification. (1) DOE may rescind or modify a waiver or interim waiver at any time upon DOE's determination that the factual basis underlying the petition for waiver or interim waiver is incorrect, or upon a determination that the results from the alternate test procedure are unrepresentative of the basic model(s)' true energy consumption characteristics. Waivers and interim waivers are conditioned upon the validity of statements, representations, and documents provided by the requestor; any evidence that the original grant of a waiver or interim waiver was based upon inaccurate information will weigh against continuation of the waiver. DOE's decision will specify the basis for its determination and, in the case of a modification, will also specify the change to the authorized test procedure.
              (2) A person may request that DOE rescind or modify a waiver or interim waiver issued to that person if the person discovers an error in the information provided to DOE as part of its petition, determines that the waiver is no longer needed, or for other appropriate reasons. In a request for rescission, the requestor must provide a statement explaining why it is requesting rescission. In a request for modification, the requestor must explain the need for modification to the authorized test procedure and detail the modifications needed and the corresponding impact on measured energy consumption.

              (3) DOE will publish a proposed rescission or modification (DOE-initiated or at the request of the original requestor) in the Federal Register for public comment. A requestor may, within 10 working days of the close of the comment period specified in the proposed rescission or modification published in the Federal Register, submit a rebuttal statement to DOE. A requestor may rebut more than one comment in a single rebuttal statement.
              (4) DOE will publish its decision in the Federal Register. DOE's determination will be based on relevant information contained in the record and any comments received.
              (5) After the effective date of a rescission, any basic model(s) previously subject to a waiver must be tested and certified using the applicable DOE test procedure in 10 CFR part 430.
              (l) Revision of regulation. As soon as practicable after the granting of any waiver, DOE will publish in the Federal Register a notice of proposed rulemaking to amend its regulations so as to eliminate any need for the continuation of such waiver. As soon thereafter as practicable, DOE will publish in the Federal Register a final rule.
              (m) To exhaust administrative remedies, any person aggrieved by an action under this section must file an appeal with the DOE's Office of Hearings and Appeals as provided in 10 CFR part 1003, subpart C.
              [79 FR 26599, May 9, 2014]

              Pt. 430, Subpt. B, App. A
              Appendix A to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Refrigerators, Refrigerator-Freezers, and Miscellaneous Refrigeration Products

                Note:

                For refrigerators and refrigerator-freezers, the rounding requirements specified in sections 5.3.e and 6.1 of this appendix are not required for use until the compliance date of any amended energy conservation standards for these products. For combination cooler refrigeration products, manufacturers must use the test procedures in this appendix for all representations of energy use starting on the compliance date of any energy conservation standards for these products. For all other miscellaneous refrigeration products (e.g. coolers), manufacturers must use the test procedures in this appendix for all representations of energy use on or after January 17, 2017.

              1. Definitions
              Section 3, Definitions, of HRF-1-2008 (incorporated by reference; see § 430.3) applies to this test procedure, except that the term “wine chiller” means “cooler” as defined in § 430.2 and the term “wine chiller compartment” means “cooler compartment” as defined in this appendix.

                Anti-sweat heater means a device incorporated into the design of a product to prevent the accumulation of moisture on the exterior or interior surfaces of the cabinet.

                Anti-sweat heater switch means a user-controllable switch or user interface which modifies the activation or control of anti-sweat heaters.

                AS/NZS 4474.1:2007 means Australian/New Zealand Standard 4474.1:2007, Performance of household electrical appliances—Refrigerating appliances, Part 1: Energy consumption and performance. Only sections of AS/NZS 4474.1:2007 (incorporated by reference; see § 430.3) specifically referenced in this test procedure are part of this test procedure. In cases where there is a conflict, the language of the test procedure in this appendix takes precedence over AS/NZS 4474.1:2007.

                Automatic defrost means a system in which the defrost cycle is automatically initiated and terminated, with resumption of normal refrigeration at the conclusion of the defrost operation. The system automatically prevents the permanent formation of frost on all refrigerated surfaces.

                Automatic icemaker means a device that can be supplied with water without user intervention, either from a pressurized water supply system or by transfer from a water reservoir located inside the cabinet, that automatically produces, harvests, and stores ice in a storage bin, with means to automatically interrupt the harvesting operation when the ice storage bin is filled to a pre-determined level.

                Cooler compartment means a refrigerated compartment designed exclusively for wine or other beverages within a consumer refrigeration product that is capable of maintaining compartment temperatures either (a) no lower than 39 °F (3.9 °C), or (b) in a range that extends no lower than 37 °F (2.8 °C) but at least as high as 60 °F (15.6 °C) as determined according to § 429.14(d)(2) or § 429.61(d)(2) of this chapter.

                Complete temperature cycle means a time period defined based upon the cycling of compartment temperature that starts when the compartment temperature is at a maximum and ends when the compartment temperature returns to an equivalent maximum (within 0.5 °F of the starting temperature), having in the interim fallen to a minimum and subsequently risen again to reach the second maximum. Alternatively, a complete temperature cycle can be defined to start when the compartment temperature is at a minimum and ends when the compartment temperature returns to an equivalent minimum (within 0.5 °F of the starting temperature), having in the interim risen to a maximum and subsequently fallen again to reach the second minimum.

                Cycle means a 24-hour period for which the energy use of a product is calculated based on the consumer-activated compartment temperature controls being set to maintain the standardized temperatures (see section 3.2 of this appendix).

                Cycle type means the set of test conditions having the calculated effect of operating a product for a period of 24 hours, with the consumer-activated controls, other than those that control compartment temperatures, set to establish various operating characteristics.

                Defrost cycle type means a distinct sequence of control whose function is to remove frost and/or ice from a refrigerated surface. There may be variations in the defrost control sequence, such as the number of defrost heaters energized. Each such variation establishes a separate, distinct defrost cycle type. However, defrost achieved regularly during the compressor off-cycles by warming of the evaporator without active heat addition, although a form of automatic defrost, does not constitute a unique defrost cycle type for the purposes of identifying the test period in accordance with section 4 of this appendix.

                HRF-1-2008 means AHAM Standard HRF-1-2008, Association of Home Appliance Manufacturers, Energy and Internal Volume of Refrigerating Appliances (2008), including Errata to Energy and Internal Volume of Refrigerating Appliances, Correction Sheet issued November 17, 2009. Only sections of HRF-1-2008 (incorporated by reference; see § 430.3) specifically referenced in this test procedure are part of this test procedure. In cases where there is a conflict, the language of the test procedure in this appendix takes precedence over HRF-1-2008.

                Ice storage bin means a container in which ice can be stored.

                Long-time automatic defrost means an automatic defrost system whose successive defrost cycles are separated by 14 hours or more of compressor operating time.

                Multiple-compressor product means a consumer refrigeration product with more than one compressor.

                Multiple refrigeration system product means a multiple-compressor product or a miscellaneous refrigeration product with more than one refrigeration system for which the operation of the systems is not coordinated. For non-compressor multiple refrigeration system products, “multiple-compressor product” as used in this appendix shall be interpreted to mean “multiple refrigeration system product.”

                Precooling means operating a refrigeration system before initiation of a defrost cycle to reduce one or more compartment temperatures significantly (more than 0.5 °F) below its minimum during stable operation between defrosts.

                Recovery means operating a refrigeration system after the conclusion of a defrost cycle to reduce the temperature of one or more compartments to the temperature range that the compartment(s) exhibited during stable operation between defrosts.

                Separate auxiliary compartment means a separate freezer, fresh food, or cooler compartment that is not the primary freezer, primary fresh food, or primary cooler compartment. Separate auxiliary compartments may also be convertible (e.g., from fresh food to freezer). Separate auxiliary compartments may not be larger than the primary compartment of their type, but such size restrictions do not apply to separate auxiliary convertible compartments.

                Special compartment means any compartment other than a butter conditioner or a cooler compartment, without doors directly accessible from the exterior, and with separate temperature control (such as crispers convertible to meat keepers) that is not convertible from the fresh food temperature range to the freezer temperature range.

                Stable operation means operation after steady-state conditions have been achieved but excluding any events associated with defrost cycles. During stable operation the average rate of change of compartment temperatures must not exceed 0.042 °F (0.023 °C) per hour for all compartment temperatures. Such a calculation performed for compartment temperatures at any two times, or for any two periods of time comprising complete cycles, during stable operation must meet this requirement.
              (a) If compartment temperatures do not cycle, the relevant calculation shall be the difference between the temperatures at two points in time divided by the difference, in hours, between those points in time.

              (b) If compartment temperatures cycle as a result of compressor cycling or other cycling operation of any system component (e.g., a damper, fan, heater, etc.), the relevant calculation shall be the difference between compartment temperature averages evaluated for the whole compressor cycles or complete temperature cycles divided by the difference, in hours, between either the starts, ends, or mid-times of the two cycles.

                Stabilization period means the total period of time during which steady-state conditions are being attained or evaluated.

                Standard cycle means the cycle type in which the anti-sweat heater control, when provided, is set in the highest energy-consuming position.

                Through-the-door ice/water dispenser means a device incorporated within the cabinet, but outside the boundary of the refrigerated space, that delivers to the user on demand ice and may also deliver water from within the refrigerated space without opening an exterior door. This definition includes dispensers that are capable of dispensing ice and water or ice only.

                Variable anti-sweat heater control means an anti-sweat heater control that varies the average power input of the anti-sweat heater(s) based on operating condition variable(s) and/or ambient condition variable(s).

                Variable defrost control means an automatic defrost system in which successive defrost cycles are determined by an operating condition variable (or variables) other than solely compressor operating time. This includes any electrical or mechanical device performing this function. A control scheme that changes the defrost interval from a fixed length to an extended length (without any intermediate steps) is not considered a variable defrost control. A variable defrost control feature predicts the accumulation of frost on the evaporator and reacts accordingly. Therefore, the times between defrost must vary with different usage patterns and include a continuum of periods between defrosts as inputs vary.

              2. Test Conditions
              2.1 Ambient Temperature Measurement. Temperature measuring devices shall be shielded so that indicated temperatures are not affected by the operation of the condensing unit or adjacent units.
              2.1.1 Ambient Temperature. Measure and record the ambient temperature at points located 3 feet (91.5 cm) above the floor and 10 inches (25.4 cm) from the center of the two sides of the unit under test. The ambient temperature shall be 90.0 ± 1 °F (32.2 ± 0.6 °C) during the stabilization period and the test period.
              2.1.2 Ambient Temperature Gradient. The test room vertical ambient temperature gradient in any foot of vertical distance from 2 inches (5.1 cm) above the floor or supporting platform to a height of 1 foot (30.5 cm) above the top of the unit under test is not to exceed 0.5 °F per foot (0.9 °C per meter). The vertical ambient temperature gradient at locations 10 inches (25.4 cm) out from the centers of the two sides of the unit being tested is to be maintained during the test. To demonstrate that this requirement has been met, test data must include measurements taken using temperature sensors at locations 10 inches (25.4 cm) from the center of the two sides of the unit under test at heights of 2 inches (5.1 cm) and 36 inches (91.4 cm) above the floor or supporting platform and at a height of 1 foot (30.5 cm) above the unit under test.
              2.1.3 Platform. A platform must be used if the floor temperature is not within 3 °F (1.7 °C) of the measured ambient temperature. If a platform is used, it is to have a solid top with all sides open for air circulation underneath, and its top shall extend at least 1 foot (30.5 cm) beyond each side and the front of the unit under test and extend to the wall in the rear.
              2.2 Operational Conditions. The unit under test shall be installed and its operating conditions maintained in accordance with HRF-1-2008 (incorporated by reference; see § 430.3), sections 5.3.2 through 5.5.5.5 (excluding section 5.5.5.4). Exceptions and clarifications to the cited sections of HRF-1-2008 are noted in sections 2.3 through 2.8 and 5.1 of this appendix.
              2.3 Anti-Sweat Heaters. The anti-sweat heater switch is to be on during one test and off during a second test. In the case of a unit equipped with variable anti-sweat heater control, the standard cycle energy use shall be the result of the calculation described in section 6.2.5 of this appendix.
              2.4 Conditions for Automatic Defrost Refrigerator-Freezers, Cooler-Refrigerator-Freezers and Cooler-Freezers. For these products, the freezer compartments shall not be loaded with any frozen food packages during testing. Cylindrical metallic masses of dimensions 1.12 ± 0.25 inches (2.9 ± 0.6 cm) in diameter and height shall be attached in good thermal contact with each temperature sensor within the refrigerated compartments. All temperature measuring sensor masses shall be supported by low-thermal-conductivity supports in such a manner to ensure that there will be at least 1 inch (2.5 cm) of air space separating the thermal mass from contact with any interior surface or hardware inside the cabinet. In case of interference with hardware at the sensor locations specified in section 5.1 of this appendix, the sensors shall be placed at the nearest adjacent location such that there will be a 1-inch air space separating the sensor mass from the hardware.
              2.5 Conditions for All-Refrigerators and Cooler-All-Refrigerators. There shall be no load in the freezer compartment during the test.
              2.6 The cabinet and its refrigerating mechanism shall be assembled and set up in accordance with the printed consumer instructions supplied with the cabinet. Set-up of the test unit shall not deviate from these instructions, unless explicitly required or allowed by this test procedure. Specific required or allowed deviations from such set-up include the following:
              (a) Connection of water lines and installation of water filters are not required;
              (b) Clearance requirements from surfaces of the product shall be as described in section 2.8 of this appendix;
              (c) The electric power supply shall be as described in HRF-1-2008 (incorporated by reference; see § 430.3), section 5.5.1;
              (d) Temperature control settings for testing shall be as described in section 3 of this appendix. Settings for convertible compartments and other temperature-controllable or special compartments shall be as described in section 2.7 of this appendix;
              (e) The product does not need to be anchored or otherwise secured to prevent tipping during energy testing;
              (f) All the product's chutes and throats required for the delivery of ice shall be free of packing, covers, or other blockages that may be fitted for shipping or when the icemaker is not in use; and
              (g) Ice storage bins shall be emptied of ice.
              For cases in which set-up is not clearly defined by this test procedure, manufacturers must submit a petition for a waiver (see section 7 of this appendix).
              2.7 Compartments that are convertible (e.g., from fresh food to freezer or cooler) shall be operated in the highest energy use position. A compartment may be considered to be convertible to a cooler compartment if it is capable of maintaining compartment temperatures at least as high as 55 °F (12.8 °C) and also capable of operating at storage temperatures less than 37 °F. For the special case of convertible separate auxiliary compartments, this means that the compartment shall be treated as a freezer compartment, a fresh food compartment, or a cooler compartment, depending on which of these represents the highest energy use.
              Special compartments shall be tested with controls set to provide the coldest temperature. However, for special compartments in which temperature control is achieved using the addition of heat (including resistive electric heating, refrigeration system waste heat, or heat from any other source, but excluding the transfer of air from another part of the interior of the product) for any part of the controllable temperature range of that compartment, the product energy use shall be determined by averaging two sets of tests. The first set of tests shall be conducted with such special compartments at their coldest settings, and the second set of tests shall be conducted with such special compartments at their warmest settings. The requirements for the warmest or coldest temperature settings of this section do not apply to features or functions associated with temperature controls (such as fast chill compartments) that are initiated manually and terminated automatically within 168 hours.
              Movable subdividing barriers that separate compartments shall be placed in the median position. If such a subdividing barrier has an even number of positions, the near-median position representing the smallest volume of the warmer compartment(s) shall be used.
              2.8 Rear Clearance.
              (a) General. The space between the lowest edge of the rear plane of the cabinet and a vertical surface (the test room wall or simulated wall) shall be the minimum distance in accordance with the manufacturer's instructions, unless other provisions of this section apply. The rear plane shall be considered to be the largest flat surface at the rear of the cabinet, excluding features that protrude beyond this surface, such as brackets or compressors.
              (b) Maximum clearance. The clearance shall not be greater than 2 inches (51 mm) from the lowest edge of the rear plane to the vertical surface, unless the provisions of paragraph (c) of this section apply.
              (c) If permanent rear spacers or other components that protrude beyond the rear plane extend further than the 2-inch (51 mm) distance, or if the highest edge of the rear plane is in contact with the vertical surface when the unit is positioned with the lowest edge of the rear plane at or further than the 2-inch (51 mm) distance from the vertical surface, the appliance shall be located with the spacers or other components protruding beyond the rear plane, or the highest edge of the rear plane, in contact with the vertical surface.

              (d) Rear-mounted condensers. If the product has a flat rear-wall-mounted condenser (i.e., a rear-wall-mounted condenser with all refrigerant tube centerlines within 0.25 inches (6.4 mm) of the condenser plane), and the area of the condenser plane represents at least 25% of the total area of the rear wall of the cabinet, then the spacing to the vertical surface may be measured from the lowest edge of the condenser plane.
              2.9 Steady-State Condition. Steady-state conditions exist if the temperature measurements in all measured compartments taken at 4-minute intervals or less during a stabilization period are not changing at a rate greater than 0.042 °F (0.023 °C) per hour as determined by the applicable condition of paragraph (a) or (b) of this section.
              (a) The average of the measurements during a 2-hour period if no cycling occurs or during a number of complete repetitive compressor cycles occurring through a period of no less than 2 hours is compared to the average over an equivalent time period with 3 hours elapsing between the two measurement periods.
              (b) If paragraph (a) of this section cannot be used, the average of the measurements during a number of complete repetitive compressor cycles occurring through a period of no less than 2 hours and including the last complete cycle before a defrost period (or if no cycling occurs, the average of the measurements during the last 2 hours before a defrost period) are compared to the same averaging period before the following defrost period.
              2.10 Products with Demand-Response Capability. Products that have a communication module for demand-response functions that is located within the cabinet shall be tested with the communication module in the configuration set at the factory just before shipping.
              3. Test Control Settings
              3.1 Model with No User-Operable Temperature Control. A test shall be performed to measure the compartment temperatures and energy use. A second test shall be performed with the temperature control electrically short circuited to cause the compressor to run continuously (or to cause the non-compressor refrigeration system to run continuously at maximum capacity).
              3.2 Models with User-Operable Temperature Control. Testing shall be performed in accordance with the procedure in this section using the following standardized temperatures:
              39 °F (3.9 °C) fresh food compartment temperature;
              0 °F (−17.8 °C) freezer compartment temperature, except for freezer compartments in refrigerators and cooler-refrigerators, in which case testing would use a 15 °F (−9.4 °C) freezer compartment temperature; and
              55 °F (12.8 °C) cooler compartment temperature.

              For the purposes of comparing compartment temperatures with standardized temperatures, as described in sections 3.2.1 and 3.2.2 of this appendix, the freezer compartment temperature shall be as specified in section 5.1.4 of this appendix, the fresh food compartment temperature shall be as specified in section 5.1.3 of this appendix, and the cooler compartment temperature shall be as specified in section 5.1.5 of this appendix.
              3.2.1 Temperature Control Settings and Tests to Use for Energy Use Calculations.
              3.2.1.1 Setting Temperature Controls. For mechanical control systems, (a) knob detents shall be mechanically defeated if necessary to attain a median setting, and (b) the warmest and coldest settings shall correspond to the positions in which the indicator is aligned with control symbols indicating the warmest and coldest settings. For electronic control systems, the test shall be performed with all compartment temperature controls set at the average of the coldest and warmest settings; if there is no setting equal to this average, the setting closest to the average shall be used. If there are two such settings equally close to the average, the higher of these temperature control settings shall be used.

              3.2.1.2 Test Sequence. A first test shall be performed with all compartment temperature controls set at their median position midway between their warmest and coldest settings. A second test shall be performed with all controls set at their warmest setting or all controls set at their coldest setting (not electrically or mechanically bypassed). For units with a single standardized temperature (e.g., all-refrigerator or cooler), this setting shall be the appropriate setting that attempts to achieve compartment temperatures measured during the two tests that bound (i.e., one is above and one is below) the standardized temperature. For other units, the second test shall be conducted with all controls at their coldest setting, unless all compartment temperatures measured during the first test are lower than the standardized temperatures, in which case the second test shall be conducted with all controls at their warmest setting. If any compartment is warmer than its standardized temperature for a test with all controls at their coldest position, the product receives no energy use rating and the manufacturer must submit a petition for a waiver (see section 7 of this appendix).
              3.2.1.3 Temperature Setting Table. See Table 1 of this section for a general description of which settings to use and which test results to use in the energy consumption calculation for products with one, two, or three standardized temperatures.

                Table 1—Temperature Settings: General Chart for All Products

                  First test
                  Setting
                  Results
                  Second test
                  Setting
                  Results
                  Energy calculation based on:

                  Mid for all compartments
                  All compartments low
                  Warm for all compartments
                  All compartments low
                  Second Test Only.

                  One or more compartments high
                  First and Second Test.

                  One or more compartments high
                  Cold for all compartments
                  All compartments low
                  First and Second Test.

                  One or more compartments high
                  No Energy Use Rating.

              3.2.2 Alternatively, a first test may be performed with all temperature controls set at their warmest setting. If all compartment temperatures are below the appropriate standardized temperatures, then the result of this test alone will be used to determine energy consumption. If this condition is not met, then the unit shall be tested in accordance with section 3.2.1 of this appendix.
              3.2.3 Temperature Settings for Separate Auxiliary Convertible Compartments. For separate auxiliary convertible compartments tested as freezer compartments, the median setting shall be within 2 °F (1.1 °C) of the standardized freezer compartment temperature, and the warmest setting shall be at least 5 °F (2.8 °C) warmer than the standardized temperature. For separate auxiliary convertible compartments tested as fresh food compartments, the median setting shall be within 2 °F (1.1 °C) of 39 °F (3.9 °C), the coldest setting shall be below 34 °F (1.1 °C), and the warmest setting shall be above 43 °F (6.1 °C). For separate auxiliary convertible compartments tested as cooler compartments, the median setting shall be within 2 °F (1.1 °C) of 55 °F (12.8 °C), and the coldest setting shall be below 50 °F (10.0 °C). For compartments where control settings are not expressed as particular temperatures, the measured temperature of the convertible compartment rather than the settings shall meet the specified criteria.

              3.3 Optional Test for Models with Two Compartments and User-Operable Controls. As an alternative to section 3.2 of this appendix, perform three tests such that the set of tests meets the “minimum requirements for interpolation” of AS/NZS 4474.1:2007 (incorporated by reference; see § 430.3) appendix M, section M3, paragraphs (a) through (c) and as illustrated in Figure M1. The target temperatures txA and txB defined in section M4(a)(i) of AS/NZ 4474.1:2007 shall be the standardized temperatures defined in section 3.2 of this appendix.
              4. Test Period
              Tests shall be performed by establishing the conditions set forth in section 2, and using the control settings set forth in section 3.
              4.1 Non-automatic Defrost. If the model being tested has no automatic defrost system, the test period shall start after steady-state conditions (see section 2.9 of this appendix) have been achieved and be no less than three hours in duration. During the test period, the compressor motor shall complete two or more whole compressor cycles. (A compressor cycle is a complete “on” and a complete “off” period of the motor.) If no “off” cycling occurs, the test period shall be three hours. If fewer than two compressor cycles occur during a 24-hour period, then a single complete compressor cycle may be used.
              4.2 Automatic Defrost. If the model being tested has an automatic defrost system, the test period shall start after steady-state conditions have been achieved and be from one point during a defrost period to the same point during the next defrost period. If the model being tested has a long-time automatic defrost system, the alternative provisions of section 4.2.1 may be used. If the model being tested has a variable defrost control, the provisions of section 4.2.2 shall apply. If the model is a multiple-compressor product with automatic defrost, the provisions of section 4.2.3 shall apply. If the model being tested has long-time automatic or variable defrost control involving multiple defrost cycle types, such as for a product with a single compressor and two or more evaporators in which the evaporators are defrosted at different frequencies, the provisions of section 4.2.4 shall apply. If the model being tested has multiple defrost cycle types for which compressor run time between defrosts is a fixed time of less than 14 hours for all such cycle types, and for which the compressor run times between defrosts for different defrost cycle types are equal to or multiples of each other, the test period shall be from one point of the defrost cycle type with the longest compressor run time between defrosts to the same point during the next occurrence of this defrost cycle type. For such products not using the procedures of section 4.2.4, energy consumption shall be calculated as described in section 5.2.1.1 of this appendix.
              4.2.1 Long-time Automatic Defrost. If the model being tested has a long-time automatic defrost system, the two-part test described in this section may be used. The first part is a stable period of compressor operation that includes no portions of the defrost cycle, such as precooling or recovery, that is otherwise the same as the test for a unit having no defrost provisions (section 4.1). The second part is designed to capture the energy consumed during all of the events occurring with the defrost control sequence that are outside of stable operation.
              4.2.1.1 Cycling Compressor System. For a system with a cycling compressor, the second part of the test starts at the termination of the last regular compressor “on” cycle. The average compartment temperatures measured from the termination of the previous compressor “on” cycle to the termination of the last regular compressor “on” cycle must both be within 0.5 °F (0.3 °C) of their average temperatures measured for the first part of the test. If any compressor cycles occur prior to the defrost heater being energized that cause the average temperature in any compartment to deviate from its average temperature for the first part of the test by more than 0.5 °F (0.3 °C), these compressor cycles are not considered regular compressor cycles and must be included in the second part of the test. As an example, a “precooling” cycle, which is an extended compressor cycle that lowers the temperature(s) of one or more compartments prior to energizing the defrost heater, must be included in the second part of the test. The test period for the second part of the test ends at the termination of the first regular compressor “on” cycle after compartment temperatures have fully recovered to their stable conditions. The average temperatures of the compartments measured from this termination of the first regular compressor “on” cycle until the termination of the next regular compressor “on” cycle must both be within 0.5 °F (0.3 °C) of their average temperatures measured for the first part of the test. See Figure 1 of this section. Note that Figure 1 illustrates the concepts of precooling and recovery but does not represent all possible defrost cycles.

                ER18JY16.004

              4.2.1.2 Non-cycling Compressor System. For a system with a non-cycling compressor, the second part of the test starts at a time before defrost during stable operation when compartment temperatures are within 0.5 °F (0.3 °C) of their average temperatures measured for the first part of the test. The second part stops at a time after defrost during stable operation when the compartment temperatures are within 0.5 °F (0.3 °C) of their average temperatures measured for the first part of the test. See Figure 2 of this section.

                ER18JY16.005

              4.2.2 Variable Defrost Control. If the model being tested has a variable defrost control system, the test shall consist of the same two parts as the test for long-time automatic defrost (section 4.2.1).
              4.2.3 Multiple-compressor Products with Automatic Defrost.
              4.2.3.1 Measurement Frequency. Measurements of power input, cumulative electric energy consumption (watt-hours or kilowatt-hours), and compartment temperature shall be taken at regular intervals not exceeding one minute.
              4.2.3.2 Steady-state Condition. Steady state shall be considered to have been attained after 24 hours of operation after the last adjustment of the temperature controls.
              4.2.3.3 Primary Compressor. If at least one compressor cycles, test periods shall be based on compressor cycles associated with the primary compressor system (these are referred to as “primary compressor cycles”). If the freezer compressor cycles, it shall be the primary compressor system.
              4.2.3.4 Test Periods. The two-part test described in this section shall be used. The first part is a stable continuous period of compressor operation that includes no defrost cycles or events associated with a defrost cycle, such as precooling or recovery, for any compressor system. The second part is a continuous test period designed to capture the energy consumed during all of the events occurring with the defrost control sequence that are outside of stable operation. The second part of the test shall be conducted separately for each automatic defrost system present.

              4.2.3.4.1 First Part of Test. If at least one compressor cycles, the test period for the first part of the test shall include a whole number of complete primary compressor cycles comprising at least 24 hours of stable operation, unless a defrost occurs prior to completion of 24 hours of stable operation, in which case the first part of the test shall include a whole number of complete primary compressor cycles comprising at least 18 hours of stable operation. If no compressor cycles, the first part of the test shall comprise at least 24 hours of stable operation, unless a defrost occurs prior to completion of 24 hours of stable operation, in which case the first part of the test shall comprise at least 18 hours of stable operation.
              4.2.3.4.2 Second Part of Test. (a) If at least one compressor cycles, the test period for the second part of the test starts during stable operation before all portions of the defrost cycle, at the beginning of a complete primary compressor cycle. The test period for the second part of the test ends during stable operation after all portions of the defrost cycle, including recovery, at the termination of a complete primary compressor cycle. The start and stop for the test period shall both occur either when the primary compressor starts or when the primary compressor stops. For each compressor system, the compartment temperature averages for the first and last complete compressor cycles that lie completely within the second part of the test must be within 0.5 °F (0.3 °C) of the average compartment temperature measured for the first part of the test. If any one of the compressor systems is non-cycling, its compartment temperature averages during the first and last complete primary compressor cycles of the second part of the test must be within 0.5 °F (0.3 °C) of the average compartment temperature measured for the first part of the test.
              (b) If no compressor cycles, the test period for the second part of the test starts during stable operation before all portions of the defrost cycle, when the compartment temperatures of all compressor systems are within 0.5 °F (0.3 °C) of their average temperatures measured for the first part of the test. The test period for the second part ends during stable operation after all portions of the defrost cycle, including recovery, when the compartment temperatures of all compressor systems are within 0.5 °F (0.3 °C) of their average temperatures measured for the first part of the test.
              4.2.4 Systems with Multiple Defrost Frequencies. This section applies to models with long-time automatic or variable defrost control with multiple defrost cycle types, such as models with single compressors and multiple evaporators in which the evaporators have different defrost frequencies. The two-part method in 4.2.1 shall be used. The second part of the method will be conducted separately for each distinct defrost cycle type.
              5. Test Measurements
              5.1 Temperature Measurements. (a) Temperature measurements shall be made at the locations prescribed in HRF-1-2008 (incorporated by reference; see § 430.3) Figure 5.1 for cooler and fresh food compartments and Figure 5.2 for freezer compartments and shall be accurate to within ±0.5 °F (0.3 °C). No freezer temperature measurements need be taken in an all-refrigerator or cooler-all-refrigerator.

              (b) If the interior arrangements of the unit under test do not conform with those shown in Figures 5.1 or 5.2 of HRF-1-2008, as appropriate, the unit must be tested by relocating the temperature sensors from the locations specified in the figures to avoid interference with hardware or components within the unit, in which case the specific locations used for the temperature sensors shall be noted in the test data records maintained by the manufacturer in accordance with 10 CFR 429.71, and the certification report shall indicate that non-standard sensor locations were used. If any temperature sensor is relocated by any amount from the location prescribed in Figure 5.1 or 5.2 of HRF-1- 2008 in order to maintain a minimum 1-inch air space from adjustable shelves or other components that could be relocated by the consumer, except in cases in which the Figures prescribe a temperature sensor location within 1 inch of a shelf or similar feature (e.g., sensor T3 in Figure 5.1), this constitutes a relocation of temperature sensors that must be recorded in the test data and reported in the certification report as described in this paragraph (b).
              5.1.1 Measured Temperature. The measured temperature of a compartment is the average of all sensor temperature readings taken in that compartment at a particular point in time. Measurements shall be taken at regular intervals not to exceed 4 minutes. Measurements for multiple refrigeration system products shall be taken at regular intervals not to exceed one minute.
              5.1.2 Compartment Temperature. The compartment temperature for each test period shall be an average of the measured temperatures taken in a compartment during the test period as defined in section 4 of this appendix. For long-time automatic defrost models, compartment temperatures shall be those measured in the first part of the test period specified in section 4.2.1 of this appendix. For models with variable defrost controls, compartment temperatures shall be those measured in the first part of the test period specified in section 4.2.2 of this appendix. For models with automatic defrost that is neither long-time nor variable defrost, the compartment temperature shall be an average of the measured temperatures taken in a compartment during a stable period of compressor operation that:
              (a) Includes no defrost cycles or events associated with a defrost cycle, such as precooling or recovery;

              (b) Is no less than three hours in duration; and

              (c) Includes two or more whole compressor cycles. If the compressor does not cycle, the stable period used for the temperature average shall be three hours in duration.
              5.1.3 Fresh Food Compartment Temperature. The fresh food compartment temperature shall be calculated as:

                ER18JY16.006

              Where:

              R is the total number of applicable fresh food compartments, including the primary fresh food compartment and any separate auxiliary fresh food compartments (including separate auxiliary convertible compartments tested as fresh food compartments in accordance with section 2.7 of this appendix);
              TRi is the compartment temperature of fresh food compartment “i” determined in accordance with section 5.1.2 of this appendix; and
              VRi is the volume of fresh food compartment “i.”

              5.1.4 Freezer Compartment Temperature. The freezer compartment temperature shall be calculated as:

                ER18JY16.007

              Where:

              F is the total number of applicable freezer compartments, which include the primary freezer compartment and any number of separate auxiliary freezer compartments (including separate auxiliary convertible compartments tested as freezer compartments in accordance with section 2.7 of this appendix);
              TFi is the compartment temperature of freezer compartment “i” determined in accordance with section 5.1.2 of this appendix; and
              VFi is the volume of freezer compartment “i”.

              5.1.5 Cooler Compartment Temperature. The cooler compartment temperature shall be calculated as:

                ER18JY16.008

              Where:

              C is the total number of applicable cooler compartments (including separate auxiliary convertible compartments tested as cooler compartments in accordance with section 2.7 of this appendix);
              TCi is the compartment temperature of cooler compartment “i” determined in accordance with section 5.1.2 of this appendix; and
              VCi is the volume of cooler compartment “i.”

              5.2 Energy Measurements.
              5.2.1 Per-Day Energy Consumption. The energy consumption in kilowatt-hours per day, ET, for each test period shall be the energy expended during the test period as specified in section 4 of this appendix adjusted to a 24-hour period. The adjustment shall be determined as follows.

              5.2.1.1 Non-Automatic Defrost and Automatic Defrost. The energy consumption in kilowatt-hours per day shall be calculated equivalent to:

              ET = (EP × 1440 × K)/T

              Where:

              ET = test cycle energy expended in kilowatt-hours per day;
              EP = energy expended in kilowatt-hours during the test period;

              T = length of time of the test period in minutes; and

              1440 = conversion factor to adjust to a 24-hour period in minutes per day.
              K = dimensionless correction factor of 1.0 for refrigerators and refrigerator-freezers; and 0.55 for coolers and combination cooler refrigeration products to adjust for average household usage.

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

              ET = (1440 × K × EP1/T1) + (EP2 − (EP1 × T2/T1)) × K × (12/CT)
              Where:

              ET, 1440, and K are defined in section 5.2.1.1 of this appendix;
              EP1 = energy expended in kilowatt-hours during the first part of the test;
              EP2 = energy expended in kilowatt-hours during the second part of the test;
              T1 and T2 = length of time in minutes of the first and second test parts respectively;
              CT = defrost timer run time or compressor run time between defrosts in hours required to cause it to go through a complete cycle, rounded to the nearest tenth of an hour; and
              12 = factor to adjust for a 50-percent run time of the compressor in hours per day.

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

              ET = (1440 × K × EP1/T1) + (EP2 − (EP1 × T2/T1)) × K × (12/CT),

              Where:

              1440 and K are defined in section 5.2.1.1 of this appendix and EP1, EP2, T1, T2, and 12 are defined in section 5.2.1.2 of this appendix;
              CT = (CTL × CTM)/(F × (CTM − CTL) + CTL);
              CTL = the shortest compressor run time between defrosts used in the variable defrost control algorithm (greater than or equal to 6 but less than or equal to 12 hours), or the shortest compressor run time between defrosts observed for the test (if it is shorter than the shortest run time used in the control algorithm and is greater than 6 hours), or 6 hours (if the shortest observed run time is less than 6 hours), in hours rounded to the nearest tenth of an hour;
              CTM = maximum compressor run time between defrosts in hours rounded to the nearest tenth of an hour (greater than CTL but not more than 96 hours);
              F = ratio of per day energy consumption in excess of the least energy and the maximum difference in per-day energy consumption and is equal to 0.20.

              For variable defrost models with no values for CTL and CTM in the algorithm, the default values of 6 and 96 shall be used, respectively.
              5.2.1.4 Multiple Compressor Products with Automatic Defrost. For multiple compressor products, the two-part test method in section 4.2.3.4 of this appendix must be used. The energy consumption in kilowatt-hours per day shall be calculated equivalent to:

                ER18JY16.009

              Where:

              1440 and K are defined in section 5.2.1.1 of this appendix and EP1, T1, and 12 are defined in section 5.2.1.2 of this appendix;
              i = a variable that can equal 1, 2, or more that identifies each individual compressor system that has automatic defrost;
              D = the total number of compressor systems with automatic defrost.
              EP2i = energy expended in kilowatt-hours during the second part of the test for compressor system i;
              T2i = length of time in minutes of the second part of the test for compressor system i;
              CTi = the compressor run time between defrosts for compressor system i in hours rounded to the nearest tenth of an hour, for long-time automatic defrost control equal to a fixed time in hours, and for variable defrost control equal to:

              (CTLi × CTMi)/(F × (CTMi− CTLi) + CTLi);

              Where:

              CTLi = for compressor system i, the shortest compressor run time between defrosts used in the variable defrost control algorithm (greater than or equal to 6 but less than or equal to 12 hours), or the shortest compressor run time between defrosts observed for the test (if it is shorter than the shortest run time used in the control algorithm and is greater than 6 hours), or 6 hours (if the shortest observed run time is less than 6 hours), in hours rounded to the nearest tenth of an hour;
              CTMi = for compressor system i, the maximum compressor run time between defrosts in hours rounded to the nearest tenth of an hour (greater than CTLi but not more than 96 hours);
              F = default defrost energy consumption factor, equal to 0.20.

              For variable defrost models with no values for CTLi and CTMi in the algorithm, the default values of 6 and 96 shall be used, respectively.
              5.2.1.5 Long-time or Variable Defrost Control for Systems with Multiple Defrost Cycle Types. The energy consumption in kilowatt-hours per day shall be calculated equivalent to:

                ER18JY16.010

              Where:

              1440 and K are defined in section 5.2.1.1 of this appendix and EP1, T1, and 12 are defined in section 5.2.1.2 of this appendix;
              i is a variable that can equal 1, 2, or more that identifies the distinct defrost cycle types applicable for the product;
              EP2i = energy expended in kilowatt-hours during the second part of the test for defrost cycle type i;
              T2i = length of time in minutes of the second part of the test for defrost cycle type i;
              CTi is the compressor run time between instances of defrost cycle type i, for long-time automatic defrost control equal to a fixed time in hours rounded to the nearest tenth of an hour, and for variable defrost control equal to:
              (CTLi × CTMi)/(F × (CTMi − CTLi) + CTLi);
              CTLi = least or shortest compressor run time between instances of defrost cycle type i in hours rounded to the nearest tenth of an hour (CTL for the defrost cycle type with the longest compressor run time between defrosts must be greater than or equal to 6 but less than or equal to 12 hours);
              CTMi = maximum compressor run time between instances of defrost cycle type i in hours rounded to the nearest tenth of an hour (greater than CTLi but not more than 96 hours);

              For cases in which there are more than one fixed CT value (for long-time defrost models) or more than one CTM and/or CTL value (for variable defrost models) for a given defrost cycle type, an average fixed CT value or average CTM and CTL values shall be selected for this cycle type so that 12 divided by this value or values is the frequency of occurrence of the defrost cycle type in a 24 hour period, assuming 50% compressor run time.

              F = default defrost energy consumption factor, equal to 0.20.

              For variable defrost models with no values for CTLi and CTMi in the algorithm, the default values of 6 and 96 shall be used, respectively.
              D is the total number of distinct defrost cycle types.

              5.3 Volume Measurements. (a) The unit's total refrigerated volume, VT, shall be measured in accordance with HRF-1-2008, (incorporated by reference; see § 430.3), section 3.30 and sections 4.2 through 4.3. The measured volume shall include all spaces within the insulated volume of each compartment except for the volumes that must be deducted in accordance with section 4.2.2 of HRF-1-2008, as provided in paragraph (b) of this section, and be calculated equivalent to:

              VT = VF + VFF + VC

              Where:

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

              (b) The following component volumes shall not be included in the compartment volume measurements: Icemaker compartment insulation (e.g., insulation isolating the icemaker compartment from the fresh food compartment of a product with a bottom-mounted freezer with through-the-door ice service), fountain recess, dispenser insulation, and ice chute (if there is a plug, cover, or cap over the chute per Figure 4-2 of HRF-1-2008). The following component volumes shall be included in the compartment volume measurements: Icemaker auger motor (if housed inside the insulated space of the cabinet), icemaker kit, ice storage bin, and ice chute (up to the dispenser flap, if there is no plug, cover, or cap over the ice chute per Figure 4-3 of HRF-1-2008).
              (c) Total refrigerated volume is determined by physical measurement of the test unit. Measurements and calculations used to determine the total refrigerated volume shall be retained as part of the test records underlying the certification of the basic model in accordance with 10 CFR 429.71.

              (d) Compartment classification shall be based on subdivision of the refrigerated volume into zones separated from each other by subdividing barriers: No evaluated compartment shall be a zone of a larger compartment unless the zone is separated from the remainder of the larger compartment by subdividing barriers; if there are no such subdividing barriers within the larger compartment, the larger compartment must be evaluated as a single compartment rather than as multiple compartments. If the cabinet contains a movable subdividing barrier, it must be placed as described in section 2.7 of this appendix.
              (e) Freezer, fresh food, and cooler compartment volumes shall be calculated and recorded to the nearest 0.01 cubic foot. Total refrigerated volume shall be calculated and recorded to the nearest 0.1 cubic foot.
              6. Calculation of Derived Results From Test Measurements
              6.1 Adjusted Total Volume. The adjusted total volume of each tested unit must be determined based upon the volume measured in section 5.3 of this appendix using the following calculations. Where volume measurements for the freezer, fresh food, and cooler compartment are recorded in liters, the measured volume must be converted to cubic feet and rounded to the nearest 0.01 cubic foot prior to calculating the adjusted volume. Adjusted total volume shall be calculated and recorded to the nearest 0.1 cubic foot.

              6.1.1 Refrigerators, Coolers, and Cooler-Refrigerators. The adjusted total volume, AV, for refrigerators or cooler-refrigerators under test, shall be defined as:

              AV = (VF × CR) + VFF + VC

              Where:

              AV = adjusted total volume in cubic feet;
              VF, VFF, and VC are defined in section 5.3 of this appendix;
              CR = dimensionless adjustment factor for freezer compartments of 1.00 for all-refrigerators and cooler-all-refrigerators, or 1.47 for other types of refrigerators and cooler-refrigerators; and

              6.1.2 Refrigerator-Freezers, Cooler-Refrigerator-Freezers, and Cooler-Freezers. The adjusted total volume, AV, for refrigerator-freezers, cooler-refrigerator-freezers, and cooler-freezers under test shall be calculated as follows:

              AV = (VF × CRF) + VFF + VC

              Where:

              VF, VFF, and VC are defined in section 5.3 and AV is defined in section 6.1.1 of this appendix;
              CRF = dimensionless adjustment factor for freezer compartments of 1.76; and

              6.2 Average Per-Cycle Energy Consumption. The average per-cycle energy consumption for a cycle type, E, is expressed in kilowatt-hours per cycle to the nearest one hundredth (0.01) kilowatt-hour and shall be calculated according to the sections below.
              6.2.1 All-Refrigerator Models. The average per-cycle energy consumption shall depend upon the temperature attainable in the fresh food compartment as shown in section 6.2.1.1 of this appendix.

              6.2.1.1 If the fresh food compartment temperature is always below 39.0 °F (3.9 °C), the average per-cycle energy consumption shall be equivalent to:

              E = ET1

              Where:

              ET is defined in section 5.2.1 of this appendix; and
              The number 1 indicates the test during which the highest fresh food compartment temperature is measured.

              6.2.1.2 If the conditions of section 6.2.1.1 of this appendix do not apply, the average per-cycle energy consumption shall be equivalent to:

              E = ET1 + ((ET2 − ET1) × (39.0 − TR1)/(TR2 − TR1))

              Where:

              ET is defined in section 5.2.1 of this appendix;
              TR = fresh food compartment temperature determined according to section 5.1.3 of this appendix in degrees F;
              The numbers 1 and 2 indicate measurements taken during the two tests to be used to calculate energy consumption, as specified in section 3 of this appendix; and
              39.0 = standardized fresh food compartment temperature in degrees F.

              6.2.2 Coolers. The average per-cycle energy consumption shall depend upon the temperature attainable in the cooler compartment as shown in section 6.2.2.1 of this appendix.

              6.2.2.1 If the cooler compartment temperature is always below 55.0 °F (12.8 °C), the average per-cycle energy consumption shall be equivalent to:

              E = ET1

              Where:

              ET is defined in section 5.2.1 of this appendix; and
              The number 1 indicates the test during which the highest cooler compartment temperature is measured.

              6.2.2.2 If the conditions of section 6.2.2.1 of this appendix do not apply, the average per-cycle energy consumption shall be equivalent to:

              E = ET1 + ((ET2 − ET1) × (55.0 − TC1)/(TC2 − TC1))

              Where:

              ET is defined in section 5.2.1 of this appendix;
              TC = cooler compartment temperature determined according to section 5.1.5 of this appendix in degrees F;

              The numbers 1 and 2 are defined in section 6.2.1.2 of this appendix; and

              55.0 = standardized cooler compartment temperature in degrees F.

              6.2.3 Refrigerators and Refrigerator-Freezers. The average per-cycle energy consumption shall be defined in one of the following ways as applicable.

              6.2.3.1 If the fresh food compartment temperature is always below 39 °F (3.9 °C) and the freezer compartment temperature is always below 15 °F (−9.4 °C) in both tests of a refrigerator or always below 0 °F (−17.8 °C) in both tests of a refrigerator-freezer, the average per-cycle energy consumption shall be:

              E = ET1 + IET

              Where:

              ET is defined in section 5.2.1 of this appendix;
              IET, expressed in kilowatt-hours per cycle, equals 0.23 for a product with an automatic icemaker and otherwise equals 0 (zero); and
              The number 1 indicates the test during which the highest freezer compartment temperature was measured.

              6.2.3.2 If the conditions of section 6.2.3.1 of this appendix do not apply, the average per-cycle energy consumption shall be defined by the higher of the two values calculated by the following two formulas:

              E = ET1 + ((ET2 − ET1) × (39.0 − TR1)/(TR2 − TR1)) + IET

              and

              E = ET1 + ((ET2 − ET1) × (k − TF1)/(TF2 − TF1)) + IET

              Where:

              ET is defined in section 5.2.1 of this appendix;
              IET is defined in section 6.2.3.1 of this appendix;
              TR and the numbers 1 and 2 are defined in section 6.2.1.2 of this appendix;
              TF = freezer compartment temperature determined according to section 5.1.4 of this appendix in degrees F;
              39.0 is a specified fresh food compartment temperature in degrees F; and
              k is a constant 15.0 for refrigerators or 0.0 for refrigerator-freezers, each being a standardized freezer compartment temperature in degrees F.

              6.2.4 Combination Cooler Refrigeration Products. The average per-cycle energy consumption shall be defined in one of the following ways as applicable.

              6.2.4.1 If the compartment temperatures are always below their compartments' standardized temperatures as defined in section 3.2 of this appendix (the fresh food compartment temperature is at or below 39 °F (3.9 °C); the cooler compartment temperature is at or below 55 °F (12.8 °C); and the freezer compartment temperature is at or below 15 °F (−9.4 °C) for a cooler-refrigerator, or the freezer compartment temperature is at or below 0 °F (−17.8 °C) for a cooler-refrigerator-freezer or cooler-freezer), the average per-cycle energy consumption shall be:

              E = ET1 + IET

              Where:

              ET is defined in section 5.2.1 of this appendix;
              IET is defined in section 6.2.3.1 of this appendix;
              The number 1 indicates the test during which the highest freezer compartment temperature is measured. If the product has no freezer compartment, the number 1 indicates the test during which the highest fresh food compartment temperature is measured.

              6.2.4.2 If the conditions of section 6.2.4.1 of this appendix do not apply, the average per-cycle energy consumption shall be defined by the highest of the two or three values calculated by the following three formulas:

              E = (ET1 + ((ET2 − ET1) × (39.0 − TR1)/(TR2 − TR1)) + IET if the product has a fresh food compartment;
              E = (ET1 + ((ET2 − ET1) × (k − TF1)/(TF2 − TF1)) + IET if the product has a freezer compartment; and
              E = (ET1 + ((ET2 − ET1) × (55.0 − TC1)/(TC2 − TC1)) + IET

              Where:

              ET is defined in section 5.2.1 of this appendix;
              IET is defined in section 6.2.3.1 of this appendix;
              TR and the numbers 1 and 2 are defined in section 6.2.1.2 of this appendix;
              TF is defined in section 6.2.3.2 of this appendix;
              TC is defined in section 6.2.2.2 of this appendix;
              39.0 is a specified fresh food compartment temperature in degrees F;
              k is a constant 15.0 for cooler-refrigerators or 0.0 for cooler-refrigerator-freezers and cooler-freezers, each being a standardized freezer compartment temperature in degrees F; and
              55.0 is a specified cooler compartment temperature in degrees F.

              6.2.5 Variable Anti-Sweat Heater Models. The standard cycle energy consumption of a model with a variable anti-sweat heater control (Estd), expressed in kilowatt-hours per day, shall be calculated equivalent to:
              Estd = E + (Correction Factor) where E is determined by sections 6.2.1, 6.2.2, 6.2.3, or 6.2.4 of this appendix, whichever is appropriate, with the anti-sweat heater switch in the “off” position or, for a product without an anti-sweat heater switch, the anti-sweat heater in its lowest energy use state.

              Correction Factor = (Anti-sweat Heater Power × System-loss Factor) × (24 hrs/1 day) × (1 kW/1000 W)

              Where:

              Anti-sweat Heater Power = 0.034 * (Heater Watts at 5%RH)
              + 0.211 * (Heater Watts at 15%RH)
              + 0.204 * (Heater Watts at 25%RH)
              + 0.166 * (Heater Watts at 35%RH)
              + 0.126 * (Heater Watts at 45%RH)
              + 0.119 * (Heater Watts at 55%RH)
              + 0.069 * (Heater Watts at 65%RH)
              + 0.047 * (Heater Watts at 75%RH)
              + 0.008 * (Heater Watts at 85%RH)
              + 0.015 * (Heater Watts at 95%RH)
              Heater Watts at a specific relative humidity = the nominal watts used by all heaters at that specific relative humidity, 72 °F (22.2 °C) ambient, and DOE reference temperatures of fresh food (FF) average temperature of 39 °F (3.9 °C) and freezer (FZ) average temperature of 0 °F (−17.8 °C).
              System-loss Factor = 1.3.
              7. Test Procedure Waivers
              To the extent that the procedures contained in this appendix do not provide a means for determining the energy consumption of a basic model, a manufacturer must obtain a waiver under § 430.27 to establish an acceptable test procedure for each such basic model. Such instances could, for example, include situations where the test set-up for a particular basic model is not clearly defined by the provisions of section 2 of this appendix. For details regarding the criteria and procedures for obtaining a waiver, please refer to § 430.27.
              [75 FR 78851, Dec. 16, 2010, as amended at 76 FR 12502, Mar. 7, 2011; 76 FR 24781, May 2, 2011; 77 FR 3574, Jan. 25, 2012; 79 FR 22349, Apr. 21, 2014; 79 FR 41418, July 16, 2014; 81 FR 46795, July 18, 2016]

              Pt. 430, Subpt. B, App. B
              Appendix B to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Freezers

                Note:
                For freezers, the rounding requirements specified in sections 5.3.e and 6.1 of this appendix are not required for use until the compliance date of any amended energy conservation standards for these products.

              1. Definitions
              Section 3, Definitions, of HRF-1-2008 (incorporated by reference; see § 430.3) applies to this test procedure.

                Adjusted total volume means the product of the freezer volume as defined in HRF-1-2008 (incorporated by reference; see § 430.3) in cubic feet multiplied by an adjustment factor.

                Anti-sweat heater means a device incorporated into the design of a freezer to prevent the accumulation of moisture on exterior or interior surfaces of the cabinet.

                Anti-sweat heater switch means a user-controllable switch or user interface which modifies the activation or control of anti-sweat heaters.

                Automatic defrost means a system in which the defrost cycle is automatically initiated and terminated, with resumption of normal refrigeration at the conclusion of defrost operation. The system automatically prevents the permanent formation of frost on all refrigerated surfaces. Nominal refrigerated food temperatures are maintained during the operation of the automatic defrost system.

                Automatic icemaker means a device that can be supplied with water without user intervention, either from a pressurized water supply system or by transfer from a water reservoir that automatically produces, harvests, and stores ice in a storage bin, with means to automatically interrupt the harvesting operation when the ice storage bin is filled to a pre-determined level.

                Complete temperature cycle means a time period defined based upon the cycling of compartment temperature that starts when the compartment temperature is at a maximum and ends when the compartment temperature returns to an equivalent maximum (within 0.5 °F of the starting temperature), having in the interim fallen to a minimum and subsequently risen again to reach the second maximum. Alternatively, a complete temperature cycle can be defined to start when the compartment temperature is at a minimum and end when the compartment temperature returns to an equivalent minimum (within 0.5 °F of the starting temperature), having in the interim risen to a maximum and subsequently fallen again to reach the second minimum.

                Cycle means the period of 24 hours for which the energy use of a freezer is calculated as though the consumer-activated compartment temperature controls were set to maintain the standardized temperature (see section 3.2 of this appendix).

                Cycle type means the set of test conditions having the calculated effect of operating a freezer for a period of 24 hours with the consumer-activated controls other than the compartment temperature control set to establish various operating characteristics.

                HRF-1-2008 means AHAM Standard HRF-1-2008, Association of Home Appliance Manufacturers, Energy and Internal Volume of Refrigerating Appliances (2008), including Errata to Energy and Internal Volume of Refrigerating Appliances, Correction Sheet issued November 17, 2009. Only sections of HRF-1-2008 (incorporated by reference; see § 430.3) specifically referenced in this test procedure are part of this test procedure. In cases where there is a conflict, the language of the test procedure in this appendix takes precedence over HRF-1-2008.

                Ice storage bin means a container in which ice can be stored.

                Long-time automatic defrost means an automatic defrost system where successive defrost cycles are separated by 14 hours or more of compressor operating time.

                Precooling means operating a refrigeration system before initiation of a defrost cycle to reduce one or more compartment temperatures significantly (more than 0.5 °F) below its minimum during stable operation between defrosts.

                Quick freeze means an optional feature on freezers that is initiated manually. It bypasses the thermostat control and operates continually until the feature is terminated either manually or automatically.

                Recovery means operating a refrigeration system after the conclusion of a defrost cycle to reduce the temperature of one or more compartments to the temperature range that the compartment(s) exhibited during stable operation between defrosts.

                Separate auxiliary compartment means a freezer compartment other than the primary freezer compartment of a freezer having more than one compartment. Access to a separate auxiliary compartment is through a separate exterior door or doors rather than through the door or doors of another compartment. Separate auxiliary freezer compartments may not be larger than the primary freezer compartment.

                Special compartment means any compartment without doors directly accessible from the exterior, and with separate temperature control that is not convertible from fresh food temperature range to freezer temperature range.

                Stabilization period means the total period of time during which steady-state conditions are being attained or evaluated.

                Stable operation means operation after steady-state conditions have been achieved but excluding any events associated with defrost cycles. During stable operation the average rate of change of compartment temperature must not exceed 0.042 °F (0.023 °C) per hour. Such a calculation performed for compartment temperatures at any two times, or for any two periods of time comprising complete cycles, during stable operation must meet this requirement.
              (a) If compartment temperatures do not cycle, the relevant calculation shall be the difference between the temperatures at two points in time divided by the difference, in hours, between those points in time.

              (b) If compartment temperatures cycle as a result of compressor cycling or other cycling operation of any system component (e.g., a damper, fan, or heater), the relevant calculation shall be the difference between compartment temperature averages evaluated for whole compressor cycles or complete temperature cycles divided by the difference, in hours, between either the starts, ends, or mid-times of the two cycles.

                Standard cycle means the cycle type in which the anti-sweat heater switch, when provided, is set in the highest energy-consuming position.

                Through-the-door ice/water dispenser means a device incorporated within the cabinet, but outside the boundary of the refrigerated space, that delivers to the user on demand ice and may also deliver water from within the refrigerated space without opening an exterior door. This definition includes dispensers that are capable of dispensing ice and water or ice only.

                Variable defrost control means an automatic defrost system in which successive defrost cycles are determined by an operating condition variable (or variables) other than solely compressor operating time. This includes any electrical or mechanical device performing this function. A control scheme that changes the defrost interval from a fixed length to an extended length (without any intermediate steps) is not considered a variable defrost control. A variable defrost control feature should predict the accumulation of frost on the evaporator and react accordingly. Therefore, the times between defrost must vary with different usage patterns and include a continuum of lengths of time between defrosts as inputs vary.
              2. Test Conditions
              2.1 Ambient Temperature Measurement. Temperature measuring devices shall be shielded so that indicated temperatures are not affected by the operation of the condensing unit or adjacent units.
              2.1.1 Ambient Temperature. The ambient temperature shall be recorded at points located 3 feet (91.5 cm) above the floor and 10 inches (25.4 cm) from the center of the two sides of the unit under test. The ambient temperature shall be 90.0 ±1.0 °F (32.2 ±0.6 °C) during the stabilization period and the test period.
              2.1.2 Ambient Temperature Gradient. The test room vertical ambient temperature gradient in any foot of vertical distance from 2 inches (5.1 cm) above the floor or supporting platform to a height of 1 foot (30.5 cm) above the top of the unit under test is not to exceed 0.5 °F per foot (0.9 °C per meter). The vertical ambient temperature gradient at locations 10 inches (25.4 cm) out from the centers of the two sides of the unit being tested is to be maintained during the test. To demonstrate that this requirement has been met, test data must include measurements taken using temperature sensors at locations 10 inches (25.4 cm) from the center of the two sides of the unit under test at heights of 2 inches (5.1 cm) and 36 inches (91.4 cm) above the floor or supporting platform and at a height of 1 foot (30.5 cm) above the unit under test.

              2.1.3 Platform. A platform must be used if the floor temperature is not within 3 °F (1.7 °C) of the measured ambient temperature. If a platform is used, it is to have a solid top with all sides open for air circulation underneath, and its top shall extend at least 1 foot (30.5 cm) beyond each side and front of the unit under test and extend to the wall in the rear.
              2.2 Operational Conditions. The freezer shall be installed and its operating conditions maintained in accordance with HRF-1-2008 (incorporated by reference; see § 430.3), sections 5.3.2 through section 5.5.5.5 (but excluding sections 5.5.5.2 and 5.5.5.4). The quick freeze option shall be switched off except as specified in section 3.1 of this appendix. Additional clarifications are noted in sections 2.3 through 2.9 of this appendix.
              2.3 Anti-Sweat Heaters. The anti-sweat heater switch is to be on during one test and off during a second test. In the case of a freezer with variable anti-sweat heater control, the standard cycle energy use shall be the result of the calculation described in 6.2.3.
              2.4 The cabinet and its refrigerating mechanism shall be assembled and set up in accordance with the printed consumer instructions supplied with the cabinet. Set-up of the freezer shall not deviate from these instructions, unless explicitly required or allowed by this test procedure. Specific required or allowed deviations from such set-up include the following:
              (a) Connection of water lines and installation of water filters are not required;
              (b) Clearance requirements from surfaces of the product shall be as described in section 2.6 below;
              (c) The electric power supply shall be as described in HRF-1-2008 (incorporated by reference; see § 430.3) section 5.5.1;
              (d) Temperature control settings for testing shall be as described in section 3 of this appendix. Settings for special compartments shall be as described in section 2.5 of this appendix;
              (e) The product does not need to be anchored or otherwise secured to prevent tipping during energy testing;
              (f) All the product's chutes and throats required for the delivery of ice shall be free of packing, covers, or other blockages that may be fitted for shipping or when the icemaker is not in use; and
              (g) Ice storage bins shall be emptied of ice.
              For cases in which set-up is not clearly defined by this test procedure, manufacturers must submit a petition for a waiver (see section 7).
              2.5 Special compartments shall be tested with controls set to provide the coldest temperature. However, for special compartments in which temperature control is achieved using the addition of heat (including resistive electric heating, refrigeration system waste heat, or heat from any other source, but excluding the transfer of air from another part of the interior of the product) for any part of the controllable temperature range of that compartment, the product energy use shall be determined by averaging two sets of tests. The first set of tests shall be conducted with such special compartments at their coldest settings, and the second set of tests shall be conducted with such special compartments at their warmest settings. The requirements for the warmest or coldest temperature settings of this section do not apply to features or functions associated with temperature control (such as quick freeze) that are initiated manually and terminated automatically within 168 hours.

              Movable subdividing barriers that separate compartments of different types (e.g., fresh food on one side and cooler on the other side) shall be placed in the median position. If such a subdividing barrier has an even number of positions, the near-median position representing the smallest volume of the warmer compartment(s) shall be used.
              2.6 Rear Clearance.
              (a) General. The space between the lowest edge of the rear plane of the cabinet and a vertical surface (the test room wall or simulated wall) shall be the minimum distance in accordance with the manufacturer's instructions, unless other provisions of this section apply. The rear plane shall be considered to be the largest flat surface at the rear of the cabinet, excluding features that protrude beyond this surface, such as brackets or compressors.
              (b) Maximum clearance. The clearance shall not be greater than 2 inches (51 mm) from the lowest edge of the rear plane to the vertical surface, unless the provisions of subsection (c) of this section apply.
              (c) If permanent rear spacers or other components that protrude beyond the rear plane extend further than the 2 inch (51 mm) distance, or if the highest edge of the rear plane is in contact with the vertical surface when the unit is positioned with the lowest edge of the rear plane at or further than the 2 inch (51 mm) distance from the vertical surface, the appliance shall be located with the spacers or other components protruding beyond the rear plane, or the highest edge of the rear plane, in contact with the vertical surface.

              (d) Rear-mounted condensers. If the product has a flat rear-wall-mounted condenser (i.e., a rear-wall-mounted condenser with all refrigerant tube centerlines within 0.25 inches (6.4 mm) of the condenser plane), and the area of the condenser plane represents at least 25% of the total area of the rear wall of the cabinet, then the spacing to the vertical surface may be measured from the lowest edge of the condenser plane.

              2.7 Steady State Condition. Steady-state conditions exist if the temperature measurements taken at 4-minute intervals or less during a stabilization period are not changing at a rate greater than 0.042 °F (0.023 °C) per hour as determined by the applicable condition of A or B described below.
              A—The average of the measurements during a 2-hour period if no cycling occurs or during a number of complete repetitive compressor cycles occurring through a period of no less than 2 hours is compared to the average over an equivalent time period with 3 hours elapsing between the two measurement periods.
              B—If A above cannot be used, the average of the measurements during a number of complete repetitive compressor cycles occurring through a period of no less than 2 hours and including the last complete cycle before a defrost period (or if no cycling occurs, the average of the measurements during the last 2 hours before a defrost period) are compared to the same averaging period before the following defrost period.
              2.8 Freezers with Demand-Response Capability. Freezers that have a communication module for demand-response functions that is located within the cabinet shall be tested with the communication module in the configuration set at the factory just before shipping.
              2.9 For products that require the freezer compartment to be loaded with packages in accordance with section 5.5.5.3 of HRF-1-2008, the number of packages comprising the 75% load shall be determined by filling the compartment completely with the packages that are to be used for the test, such that the packages fill as much of the usable refrigerated space within the compartment as is physically possible, and then removing from the compartment a number of packages so that the compartment contains 75% of the packages that were placed in the compartment to completely fill it. If multiplying the total number of packages by 0.75 results in a fraction, the number of packages used shall be rounded to the nearest whole number, rounding up if the result ends in 0.5. For multi-shelf units, this method shall be applied to each shelf. For both single- and multi-shelf units, the remaining packages shall be arranged as necessary to provide the required air gap and thermocouple placement. The number of packages comprising the 100% and 75% loading conditions shall be recorded in the test data maintained in accordance with 10 CFR 429.71.
              3. Test Control Settings
              3.1 Model with No User Operable Temperature Control. A test shall be performed during which the compartment temperature and energy use shall be measured. A second test shall be performed with the temperature control electrically short circuited to cause the compressor to run continuously. If the model has the quick freeze option, this option must be used to bypass the temperature control.

              3.2 Model with User Operable Temperature Control. Testing shall be performed in accordance with one of the following sections using the standardized temperature of 0.0 °F (−17.8 °C).

              For the purposes of comparing compartment temperatures with standardized temperatures, as described in sections 3.2.1 and 3.2.2, the freezer compartment temperature shall be as specified in section 5.1.3.

              3.2.1 A first test shall be performed with all temperature controls set at their median position midway between their warmest and coldest settings. For mechanical control systems, (a) knob detents shall be mechanically defeated if necessary to attain a median setting, and (b) the warmest and coldest settings shall correspond to the positions in which the indicator is aligned with control symbols indicating the warmest and coldest settings. For electronic control systems, the test shall be performed with all compartment temperature controls set at the average of the coldest and warmest settings; if there is no setting equal to this average, the setting closest to the average shall be used. If there are two such settings equally close to the average, the higher of these temperature control settings shall be used. A second test shall be performed with all controls set at either their warmest or their coldest setting (not electrically or mechanically bypassed), whichever is appropriate, to attempt to achieve compartment temperatures measured during the two tests that bound (i.e., one is above and one is below) the standardized temperature. If the compartment temperatures measured during these two tests bound the standardized temperature, then these test results shall be used to determine energy consumption. If the compartment temperature measured with all controls set at their coldest setting is above the standardized temperature, the tested unit fails the test and cannot be rated. If the compartment temperature measured with all controls set at their warmest setting is below the standardized temperature, then the result of this test alone will be used to determine energy consumption. Also see Table 1 of this appendix, which summarizes these requirements.

                Table 1—Temperature Settings for Freezers

                  First test
                  Settings
                  Results
                  Second test
                  Settings
                  Results
                  Energy calculation based on:

                  Mid
                  Low
                  Warm
                  Low
                  Second Test Only.

                  High
                  First and Second Tests.

                  High
                  Cold
                  Low
                  First and Second Tests.

                  High
                  No Energy Use Rating.

              3.2.2 Alternatively, a first test may be performed with all temperature controls set at their warmest setting. If the compartment temperature is below the standardized temperature, then the result of this test alone will be used to determine energy consumption. If this condition is not met, then the unit shall be tested in accordance with section 3.2.1.
              4. Test Period
              Tests shall be performed by establishing the conditions set forth in section 2 and using the control settings as set forth in section 3 above.
              4.1 Non-automatic Defrost. If the model being tested has no automatic defrost system, the test period shall start after steady-state conditions (see section 2.7 of this appendix) have been achieved and be no less than three hours in duration. During the test period, the compressor motor shall complete two or more whole compressor cycles. (A whole compressor cycle is a complete “on” and a complete “off” period of the motor.) If no “off” cycling occurs, the test period shall be three hours. If less than two compressor cycles occur during a 24-hour period, then a single complete compressor cycle may be used.
              4.2 Automatic Defrost. If the model being tested has an automatic defrost system, the test time period shall start after steady-state conditions have been achieved and be from one point during a defrost period to the same point during the next defrost period. If the model being tested has a long-time automatic defrost system, the alternate provisions of 4.2.1 may be used. If the model being tested has a variable defrost control, the provisions of 4.2.2 shall apply.
              4.2.1 Long-time Automatic Defrost. If the model being tested has a long-time automatic defrost system, the two-part test described in this section may be used. The first part is a stable period of compressor operation that includes no portions of the defrost cycle, such as precooling or recovery, that is otherwise the same as the test for a unit having no defrost provisions (section 4.1). The second part is designed to capture the energy consumed during all of the events occurring with the defrost control sequence that are outside of stable operation.
              4.2.1.1 Cycling Compressor System. For a system with a cycling compressor, the second part of the test starts at the termination of the last regular compressor “on” cycle. The average temperature of the compartment measured from the termination of the previous compressor “on” cycle to the termination of the last regular compressor “on” cycle must be within 0.5 °F (0.3 °C) of the average temperature of the compartment measured for the first part of the test. If any compressor cycles occur prior to the defrost heater being energized that cause the average temperature in the compartment to deviate from the average temperature for the first part of the test by more than 0.5 °F (0.3 °C), these compressor cycles are not considered regular compressor cycles and must be included in the second part of the test. As an example, a “precooling” cycle, which is an extended compressor cycle that lowers the compartment temperature prior to energizing the defrost heater, must be included in the second part of the test. The test period for the second part of the test ends at the termination of the first regular compressor “on” cycle after the compartment temperatures have fully recovered to their stable conditions. The average temperature of the compartment measured from this termination of the first regular compressor “on” cycle until the termination of the next regular compressor “on” cycle must be within 0.5 °F (0.3 °C) of the average temperature of the compartment measured for the first part of the test. See Figure 1. Note that Figure 1 illustrates the concepts of precooling and recovery but does not represent all possible defrost cycles.

                ER25JA12.007

              4.2.1.2 Non-cycling Compressor System. For a system with a non-cycling compressor, the second part of the test starts at a time before defrost during stable operation when the compartment temperature is within 0.5 °F (0.3 °C) of the average temperature of the compartment measured for the first part of the test. The second part stops at a time after defrost during stable operation when the compartment temperature is within 0.5 °F (0.3 °C) of the average temperature of the compartment measured for the first part of the test. See Figure 2.

                ER25JA12.008

              4.2.2 Variable Defrost Control. If the model being tested has a variable defrost control system, the test shall consist of the same two parts as the test for long-time automatic defrost (section 4.2.1).
              5. Test Measurements
              5.1 Temperature Measurements. (a) Temperature measurements shall be made at the locations prescribed in Figure 5.2 of HRF-1-2008 (incorporated by reference; see § 430.3) and shall be accurate to within ±0.5 °F (0.3 °C).
              (b) If the interior arrangements of the unit under test do not conform with those shown in Figure 5.2 of HRF-1-2008, the unit must be tested by relocating the temperature sensors from the locations specified in the figures to avoid interference with hardware or components within the unit, in which case the specific locations used for the temperature sensors shall be noted in the test data records maintained by the manufacturer in accordance with 10 CFR 429.71, and the certification report shall indicate that non-standard sensor locations were used. If any temperature sensor is relocated by any amount from the location prescribed in Figure 5.2 of HRF-1-2008 in order to maintain a minimum 1-inch air space from adjustable shelves or other components that could be relocated by the consumer, except in cases in which the Figure prescribe a temperature sensor location within 1 inch of a shelf or similar feature, this constitutes a relocation of temperature sensors that must be recorded in the test data and reported in the certification report as described above.
              5.1.1 Measured Temperature. The measured temperature is to be the average of all sensor temperature readings taken at a particular point in time. Measurements shall be taken at regular intervals not to exceed 4 minutes.

              5.1.2 Compartment Temperature. The compartment temperature for each test period shall be an average of the measured temperatures taken in a compartment during the test period as defined in section 4 of this appendix. For long-time automatic defrost models, compartment temperature shall be that measured in the first part of the test period specified in section 4.2.1 of this appendix. For models with variable defrost controls, compartment temperature shall be that measured in the first part of the test period specified in section 4.2.2 of this appendix. For models with automatic defrost that is neither long-time nor variable defrost, the compartment temperature shall be an average of the measured temperatures taken in a compartment during a stable period of compressor operation that (a) includes no defrost cycles or events associated with a defrost cycle, such as precooling or recovery, (b) is no less than three hours in duration, and (c) includes two or more whole compressor cycles. If the compressor does not cycle, the stable period used for the temperature average shall be three hours in duration.
              5.1.3 Freezer Compartment Temperature. The freezer compartment temperature shall be calculated as:

                ER18JY16.011

              Where:

              F is the total number of applicable freezer compartments, which include the primary freezer compartment and any number of separate auxiliary freezer compartments;
              TFi is the compartment temperature of freezer compartment “i” determined in accordance with section 5.1.2 of this appendix; and
              VFi is the volume of freezer compartment “i”.

              5.2 Energy Measurements:
              5.2.1 Per-Day Energy Consumption. The energy consumption in kilowatt-hours per day for each test period shall be the energy expended during the test period as specified in section 4 adjusted to a 24-hour period. The adjustment shall be determined as follows:

              5.2.1.1 Nonautomatic and Automatic Defrost Models. The energy consumption in kilowatt-hours per day shall be calculated equivalent to:

              ET = (EP × 1440 × K) / T

              Where:

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

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

              ET = (1440 × K × EP1/T1) + (EP2−(EP1 × T2/T1)) × K × (12/CT)

              Where:

              ET, 1440, and K are defined in section 5.2.1.1;
              EP1 = energy expended in kilowatt-hours during the first part of the test;
              EP2 = energy expended in kilowatt-hours during the second part of the test;
              CT = defrost timer run time or compressor run time between defrosts in hours required to cause it to go through a complete cycle, rounded to the nearest tenth of an hour;
              12 = conversion factor to adjust for a 50 percent run time of the compressor in hours per day; and
              T1 and T2 = length of time in minutes of the first and second test parts respectively.

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

              ET = (1440 × K × EP1/T1) + (EP2−(EP1 × T2/T1)) × K × (12/CT),

              Where:

              ET, 1440, and K are defined in section 5.2.1.1 and EP1, EP2, T1, T2, and 12 are defined in section 5.2.1.2;
              CT = (CTL × CTM)/(F × (CTM − CTL) + CTL);
              CTL = the shortest compressor run time between defrosts used in the variable defrost control algorithm (greater than or equal to 6 but less than or equal to 12 hours), or the shortest compressor run time between defrosts observed for the test (if it is shorter than the shortest run time used in the control algorithm and is greater than 6 hours), or 6 hours (if the shortest observed run time is less than 6 hours), in hours rounded to the nearest tenth of an hour;
              CTM = maximum compressor run time between defrosts in hours rounded to the nearest tenth of an hour (greater than CTL but not more than 96 hours);
              F = ratio of per day energy consumption in excess of the least energy and the maximum difference in per-day energy consumption and is equal to 0.20.

              For variable defrost models with no values for CTL and CTM in the algorithm, the default values of 6 and 96 shall be used, respectively.
              5.3 Volume Measurements. (a) The unit's total refrigerated volume, VT, shall be measured in accordance with HRF-1-2008 (incorporated by reference; see § 430.3), section 3.30 and sections 4.2 through 4.3. The measured volume shall include all spaces within the insulated volume of each compartment except for the volumes that must be deducted in accordance with section 4.2.2 of HRF-1-2008, as provided in paragraph (b) of this section.
              (b) The following component volumes shall not be included in the compartment volume measurements: Icemaker compartment insulation, fountain recess, dispenser insulation, and ice chute (if there is a plug, cover, or cap over the chute per Figure 4-2 of HRF-1-2008). The following component volumes shall be included in the compartment volume measurements: Icemaker auger motor (if housed inside the insulated space of the cabinet), icemaker kit, ice storage bin, and ice chute (up to the dispenser flap, if there is no plug, cover, or cap over the ice chute per Figure 4-3 of HRF-1-2008).
              (c) Total refrigerated volume is determined by physical measurement of the test unit. Measurements and calculations used to determine the total refrigerated volume shall be retained as part of the test records underlying the certification of the basic model in accordance with 10 CFR 429.71.
              (d) Compartment classification shall be based on subdivision of the refrigerated volume into zones separated from each other by subdividing barriers: No evaluated compartment shall be a zone of a larger compartment unless the zone is separated from the remainder of the larger compartment by subdividing barriers; if there are no such subdividing barriers within the larger compartment, the larger compartment must be evaluated as a single compartment rather than as multiple compartments. If the cabinet contains a movable subdividing barrier, it must be placed as described in section 2.5 of this appendix.
              (e) Freezer compartment volumes shall be calculated and recorded to the nearest 0.01 cubic feet. Total refrigerated volume shall be calculated and recorded to the nearest 0.1 cubic feet.
              6. Calculation of Derived Results From Test Measurements

              6.1 Adjusted Total Volume. The adjusted total volume of each tested unit must be determined based upon the volume measured in section 5.3 of this appendix using the following calculations. Where volume measurements for the freezer are recorded in liters, the measured volume must be converted to cubic feet and rounded to the nearest 0.01 cubic foot prior to calculating the adjusted volume. Adjusted total volume shall be calculated and recorded to the nearest 0.1 cubic foot. The adjusted total volume, AV, for freezers under test shall be defined as:

              AV = VT × CF

              Where:

              VA = adjusted total volume in cubic feet;
              VT = total refrigerated volume in cubic feet; and
              CF = dimensionless correction factor of 1.76.

              6.2 Average Per-Cycle Energy Consumption. The average per-cycle energy consumption for a cycle type, E, is expressed in kilowatt-hours per cycle to the nearest one hundredth (0.01) kilowatt-hour, and shall be calculated according to the sections below.

              6.2.1 If the compartment temperature is always below 0.0 °F (−17.8 °C), the average per-cycle energy consumption shall be equivalent to:

              E = ET1 + IET

              Where:

              E = total per-cycle energy consumption in kilowatt-hours per day;
              ET is defined in section 5.2.1 of this appendix;
              The number 1 indicates the test during which the highest compartment temperature is measured; and
              IET, expressed in kilowatt-hours per cycle, equals 0.23 for a product with an automatic icemaker and otherwise equals 0 (zero).

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

              E = ET1 + ((ET2 − ET1) × (0.0 − TF1)/(TF2 − TF1)) + IET

              Where:

              E and IET are defined in section 6.2.1 of this appendix and ET is defined in section 5.2.1 of this appendix;
              TF = freezer compartment temperature determined according to section 5.1.3 of this appendix in degrees F;
              The numbers 1 and 2 indicate measurements taken during the two tests to be used to calculate energy consumption, as specified in section 3 of this appendix; and
              0.0 = standardized compartment temperature in degrees F.

              6.2.3 Variable Anti-Sweat Heater Models. The standard cycle energy consumption of a freezer with a variable anti-sweat heater control (Estd), expressed in kilowatt-hours per day, shall be calculated equivalent to:

              Estd = E + (Correction Factor) where E is determined by 6.2.1, or 6.2.2, whichever is appropriate, with the anti-sweat heater switch in the “off” position or, for a product without an anti-sweat heater switch, the anti-sweat heater in its lowest energy use state.
              Correction Factor = (Anti-sweat Heater Power × System-loss Factor) × (24 hrs/1 day) × (1 kW/1000 W)

              Where:

              Anti-sweat Heater Power = 0.034 * (Heater Watts at 5%RH)
               + 0.211 * (Heater Watts at 15%RH)
               + 0.204 * (Heater Watts at 25%RH)
               + 0.166 * (Heater Watts at 35%RH)
               + 0.126 * (Heater Watts at 45%RH)
               + 0.119 * (Heater Watts at 55%RH)
               + 0.069 * (Heater Watts at 65%RH)
               + 0.047 * (Heater Watts at 75%RH)
               + 0.008 * (Heater Watts at 85%RH)
               + 0.015 * (Heater Watts at 95%RH)
              Heater Watts at a specific relative humidity = the nominal watts used by all heaters at that specific relative humidity, 72 °F ambient (22.2 °C), and DOE reference freezer (FZ) average temperature of 0 °F (−17.8 °C).
              System-loss Factor = 1.3
              7. Test Procedure Waivers
              To the extent that the procedures contained in this appendix do not provide a means for determining the energy consumption of a basic model, a manufacturer must obtain a waiver under § 430.27 to establish an acceptable test procedure for each such basic model. Such instances could, for example, include situations where the test set-up for a particular basic model is not clearly defined by the provisions of section 2 of this appendix. For details regarding the criteria and procedures for obtaining a waiver, please refer to § 430.27.
              [75 FR 78866, Dec. 16, 2010, as amended at 76 FR 12502, Mar. 7, 2011; 76 FR 24781, May 2, 2011; 77 FR 3577, Jan. 25, 2012; 79 FR 22354, Apr. 21, 2014; 79 FR 41418, July 16, 2014; 81 FR 46803, July 18, 2016]

              Pt. 430, Subpt. B, App. C1
              Appendix C1 to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Dishwashers

                Note:
                Manufacturers must test all dishwashers using the provisions of Appendix C1 to certify compliance with energy conservation standards and to make any other representations related to energy and/or water consumption.

              After the compliance date for any amended energy conservation standards that incorporate standby mode and off mode energy consumption (May 30, 2013 unless the direct final rule published on May 30, 2012 is withdrawn), all dishwashers shall be tested using the provisions of Appendix C1 to certify compliance with amended energy conservation standards and to make any representations related to energy and/or water consumption, with the following exception. If the compliance date is before April 29, 2013, manufacturers may use Appendix C for any representations until April 29, 2013 of energy and/or water consumption of these products, consistent with the requirements of 42 U.S.C. 6293(c)(2).
              1. Definitions
              1.1 Active mode means a mode in which the dishwasher is connected to a mains power source, has been activated, and is performing one of the main functions of washing, rinsing, or drying (when a drying process is included) dishware, glassware, eating utensils, and most cooking utensils by chemical, mechanical, and/or electrical means, or is involved in functions necessary for these main functions, such as admitting water into the dishwasher, pumping water out of the dishwasher, circulating air, or regenerating an internal water softener.
              1.2 AHAM means the Association of Home Appliance Manufacturers.
              1.3 Combined low-power mode means the aggregate of available modes other than active mode.
              1.4 Compact dishwasher means a dishwasher that has a capacity of less than eight place settings plus six serving pieces as specified in ANSI/AHAM DW-1-2010 (incorporated by reference; see § 430.3), using the test load specified in section 2.7 of this appendix.
              1.5 Cycle means a sequence of operations of a dishwasher which performs a complete dishwashing function, and may include variations or combinations of washing, rinsing, and drying.
              1.6 Cycle finished mode means a standby mode which provides continuous status display following operation in active mode.
              1.7 Cycle type means any complete sequence of operations capable of being preset on the dishwasher prior to the initiation of machine operation.
              1.8 Fan-only mode means an active mode that is not user-selectable, and in which a fan circulates air for a finite period of time after the end of the cycle, where the end of the cycle is indicated to the consumer by means of a display, indicator light, or audible signal.

              1.9 IEC 62301 means the standard published by the International Electrotechnical Commission, titled “Household electrical appliances-Measurement of standby power,” Publication 62301 (Edition 2.0, 2011-01) (incorporated by reference; see § 430.3).
              1.10 Inactive mode means a standby mode that facilitates the activation of active mode by remote switch (including remote control), internal sensor, or timer, or that provides continuous status display.
              1.11 Non-soil-sensing dishwasher means a dishwasher that does not have the ability to adjust automatically any energy consuming aspect of the normal cycle based on the soil load of the dishes.
              1.12 Normal cycle means the cycle type, including washing and drying temperature options, recommended in the manufacturer's instructions for daily, regular, or typical use to completely wash a full load of normally soiled dishes including the power-dry feature. If no cycle or more than one cycle is recommended in the manufacturer's instructions for daily, regular, or typical use to completely wash a full load of normally soiled dishes, the most energy intensive of these cycles shall be considered the normal cycle. In the absence of a manufacturer recommendation on washing and drying temperature options, the highest energy consumption options must be selected.
              1.13 Off mode means a mode in which the dishwasher is connected to a mains power source and is not providing any active mode or standby mode function, and where the mode may persist for an indefinite time. An indicator that only shows the user that the product is in the off position is included within the classification of an off mode.
              1.14 Power-dry feature means the introduction of electrically-generated heat into the washing chamber for the purpose of improving the drying performance of the dishwasher.
              1.15 Preconditioning cycle means a normal cycle run with no test load to ensure that the water lines and sump area of the pump are primed.
              1.16 Sensor heavy response means, for standard dishwashers, the set of operations in a soil-sensing dishwasher for completely washing a load of dishes, four place settings of which are soiled according to ANSI/AHAM DW-1-2010 (incorporated by reference; see § 430.3) and as additionally specified in section 2.7 of this appendix. For compact dishwashers, this definition is the same, except that two soiled place settings are used instead of four.
              1.17 Sensor light response means, for both standard and compact dishwashers, the set of operations in a soil-sensing dishwasher for completely washing a load of dishes, one place setting of which is soiled with half of the gram weight of soils for each item specified in a single place setting according to ANSI/AHAM DW-1-2010 (incorporated by reference; see § 430.3) and as additionally specified in section 2.7 of this appendix.
              1.18 Sensor medium response means, for standard dishwashers, the set of operations in a soil-sensing dishwasher for completely washing a load of dishes, two place settings of which are soiled according to ANSI/AHAM DW-1-2010 (incorporated by reference; see § 430.3) and as additionally specified in section 2.7 of this appendix. For compact dishwashers, this definition is the same, except that one soiled place setting is used instead of two.
              1.19 Soil-sensing dishwasher means a dishwasher that has the ability to adjust any energy-consuming aspect of the normal cycle based on the soil load of the dishes.
              1.20 Standard dishwasher means a dishwasher that has a capacity equal to or greater than eight place settings plus six serving pieces as specified in ANSI/AHAM DW-1-2010 (incorporated by reference; see § 430.3), using the test load specified in section 2.7 of this appendix.
              1.21 Standby mode means a mode in which the dishwasher is connected to a mains power source and offers one or more of the following user-oriented or protective functions which may persist for an indefinite time: (a) To facilitate the activation of other modes (including activation or deactivation of active mode) by remote switch (including remote control), internal sensor, or timer; (b) continuous functions, including information or status displays (including clocks) or sensor-based functions. A timer is a continuous clock function (which may or may not be associated with a display) that provides regular scheduled tasks (e.g., switching) and that operates on a continuous basis.
              1.22 Truncated normal cycle means the normal cycle interrupted to eliminate the power-dry feature after the termination of the last rinse operation.
              1.23 Truncated sensor heavy response means the sensor heavy response interrupted to eliminate the power-dry feature after the termination of the last rinse operation.
              1.24 Truncated sensor light response means the sensor light response interrupted to eliminate the power-dry feature after the termination of the last rinse operation.
              1.25 Truncated sensor medium response means the sensor medium response interrupted to eliminate the power-dry feature after the termination of the last rinse operation.
              1.26 Water-heating dishwasher means a dishwasher which, as recommended by the manufacturer, is designed for heating cold inlet water (nominal 50 °F) or designed for heating water with a nominal inlet temperature of 120 °F. Any dishwasher designated as water-heating (50 °F or 120 °F inlet water) must provide internal water heating to above 120 °F in a least one wash phase of the normal cycle.
              1.27 Water-softening dishwasher means a dishwasher which incorporates a water softening system that periodically consumes additional water and energy during the cycle to regenerate.
              2. Testing Conditions
              2.1 Installation requirements. Install the dishwasher according to the manufacturer's instructions, including drain height. If the manufacture does not provide instructions for a specific drain height, the drain height shall be 20 inches. The racks shall be positioned according to the manufacturer recommendation for washing a full load of normally soiled dishes, or in the absence of a recommendation, the racks shall be maintained in the as-shipped position. The rinse aid container shall remain empty. A standard or compact under-counter or under-sink dishwasher must be tested in a rectangular enclosure constructed of nominal 0.374 inch (9.5 mm) plywood painted black. The enclosure must consist of a top, a bottom, a back, and two sides. If the dishwasher includes a counter top as part of the appliance, omit the top of the enclosure. Bring the enclosure into the closest contact with the appliance that the configuration of the dishwasher will allow. For standby mode and off mode testing, these products shall also be installed in accordance with Section 5, Paragraph 5.2 of IEC 62301 (incorporated by reference; see § 430.3), disregarding the provisions regarding batteries and the determination, classification, and testing of relevant modes.
              2.2 Electrical energy supply.

              2.2.1 Dishwashers that operate with an electrical supply of 115 volts. Maintain the electrical supply to the dishwasher at 115 volts ±2 percent and within 1 percent of the nameplate frequency as specified by the manufacturer. Maintain a continuous electrical supply to the unit throughout testing, including the preconditioning cycles, specified in section 2.9 of this appendix, and in between all test cycles.
              2.2.2 Dishwashers that operate with an electrical supply of 240 volts. Maintain the electrical supply to the dishwasher at 240 volts ±2 percent and within 1 percent of the nameplate frequency as specified by the manufacturer. Maintain a continuous electrical supply to the unit throughout testing, including the preconditioning cycles, specified in section 2.9 of this appendix, and in between all test cycles.
              2.2.3 Supply voltage waveform. For the standby mode and off mode testing, maintain the electrical supply voltage waveform indicated in Section 4, Paragraph 4.3.2 of IEC 62301 (incorporated by reference; see § 430.3).
              2.3 Water temperature. Measure the temperature of the water supplied to the dishwasher using a temperature measuring device as specified in section 3.1 of this appendix.
              2.3.1 Dishwashers to be tested at a nominal 140 °F inlet water temperature. Maintain the water supply temperature at 140° ±2 °F.
              2.3.2 Dishwashers to be tested at a nominal 120 °F inlet water temperature. Maintain the water supply temperature at 120° ±2 °F.
              2.3.3 Dishwashers to be tested at a nominal 50 °F inlet water temperature. Maintain the water supply temperature at 50° ±2 °F.
              2.4 Water pressure. Using a water pressure gauge as specified in section 3.4 of this appendix, maintain the pressure of the water supply at 35 ±2.5 pounds per square inch gauge (psig) when the water is flowing. The pressure shall be achieved within 2 seconds of opening the water supply valve.
              2.5 Ambient temperature.

              2.5.1 Active mode ambient and machine temperature. Using a temperature measuring device as specified in section 3.1 of this appendix, maintain the room ambient air temperature at 75° ±5 °F and ensure that the dishwasher and the test load are at room ambient temperature at the start of each test cycle.
              2.5.2 Standby mode and off mode ambient temperature. For standby mode and off mode testing, maintain room ambient air temperature conditions as specified in Section 4, Paragraph 4.2 of IEC 62301 (incorporated by reference; see § 430.3).
              2.6 Test cycle and load.

              2.6.1 Non-soil-sensing dishwashers to be tested at a nominal inlet temperature of 140 °F. All non-soil-sensing dishwashers to be tested according to section 4.1 of this appendix at a nominal inlet temperature of 140 °F must be tested on the normal cycle and truncated normal cycle without a test load if the dishwasher does not heat water in the normal cycle.
              2.6.2 Non-soil-sensing dishwashers to be tested at a nominal inlet temperature of 50 °F or 120 °F. All non-soil-sensing dishwashers to be tested according to section 4.1 of this appendix at a nominal inlet temperature of 50 °F or 120 °F must be tested on the normal cycle with a clean load of eight place settings plus six serving pieces, as specified in section 2.7 of this appendix. If the capacity of the dishwasher, as stated by the manufacturer, is less than eight place settings, then the test load must be the stated capacity.
              2.6.3 Soil-sensing dishwashers to be tested at a nominal inlet temperature of 50 °F, 120 °F, or 140 °F. All soil-sensing dishwashers shall be tested according to section 4.1 of this appendix on the normal cycle. The dishwasher shall be tested first for the sensor heavy response, then tested for the sensor medium response, and finally for the sensor light response with the following combinations of soiled and clean test loads.

              2.6.3.1 For tests of the sensor heavy response, as defined in section 1.16 of this appendix:
              (A) For standard dishwashers, the test unit is to be loaded with a total of eight place settings plus six serving pieces as specified in section 2.7 of this appendix. Four of the eight place settings, except for the flatware, must be soiled according to sections 5.3 through 5.7 of ANSI/AHAM DW-1-2010 (incorporated by reference, see § 430.3) and as additionally specified in sections 2.7.4 and 2.7.5 of this appendix, while the remaining place settings, serving pieces, and all flatware are not soiled. The test load is to be loaded in the dishwasher according to section 5.8 of ANSI/AHAM DW-1-2010.
              (B) For compact dishwashers, the test unit is to be loaded with four place settings plus six serving pieces as specified in section 2.7 of this appendix. Two of the four place settings, except for the flatware, must be soiled according to sections 5.3 through 5.7 of ANSI/AHAM DW-1-2010 and as additionally specified in sections 2.7.4 and 2.7.5 of this appendix, while the remaining place settings, serving pieces, and all flatware are not soiled. The test load is to be loaded in the dishwasher according to section 5.8 of ANSI/AHAM DW-1-2010.
              2.6.3.2 For tests of the sensor medium response, as defined in section 1.18 of this appendix:
              (A) For standard dishwashers, the test unit is to be loaded with a total of eight place settings plus six serving pieces as specified in section 2.7 of this appendix. Two of the eight place settings, except for the flatware, must be soiled according to sections 5.3 through 5.7 of ANSI/AHAM DW-1-2010 (incorporated by reference, see § 430.3) and as additionally specified in sections 2.7.4 and 2.7.5 of this appendix, while the remaining place settings, serving pieces, and all flatware are not soiled. The test load is to be loaded in the dishwasher according to section 5.8 of ANSI/AHAM DW-1-2010.
              (B) For compact dishwashers, the test unit is to be loaded with four place settings plus six serving pieces as specified in section 2.7 of this appendix. One of the four place settings, except for the flatware, must be soiled according to sections 5.3 through 5.7 of ANSI/AHAM DW-1-2010 and as additionally specified in sections 2.7.4 and 2.7.5 of this appendix, while the remaining place settings, serving pieces, and all flatware are not soiled. The test load is to be loaded in the dishwasher according to section 5.8 of ANSI/AHAM DW-1-2010.
              2.6.3.3 For tests of the sensor light response, as defined in section 1.17 of this appendix:
              (A) For standard dishwashers, the test unit is to be loaded with a total of eight place settings plus six serving pieces as specified in section 2.7 of this appendix. One of the eight place settings, except for the flatware, must be soiled with half of the soil load specified for a single place setting according to sections 5.3 through 5.7 of ANSI/AHAM DW-1-2010 (incorporated by reference, see § 430.3) and as additionally specified in sections 2.7.4 and 2.7.5 of this appendix, while the remaining place settings, serving pieces, and all flatware are not soiled. The test load is to be loaded in the dishwasher according to section 5.8 of ANSI/AHAM DW-1-2010.
              (B) For compact dishwashers, the test unit is to be loaded with four place settings plus six serving pieces as specified in section 2.7 of this appendix. One of the four place settings, except for the flatware, must be soiled with half of the soil load specified for a single place setting according to sections 5.3 through 5.7 of ANSI/AHAM DW-1-2010 and as additionally specified in sections 2.7.4 and 2.7.5 of this appendix, while the remaining place settings, serving pieces, and all flatware are not soiled. The test load is to be loaded in the dishwasher according to section 5.8 of ANSI/AHAM DW-1-2010.
              2.7 Test load.

              2.7.1 Test load items.

                  Dishware/glassware/flatware item
                  Primary source
                  Description
                  Primary No.
                  Alternate source
                  Alternate source No.

                  Dinner Plate
                  Corning Comcor®/Corelle®
                  10 inch Dinner Plate
                  6003893

                  Bread and Butter Plate
                  Corning Comcor®/Corelle®
                  6.75 inch Bread & Butter
                  6003887
                  Arzberg
                  8500217100 or 2000-00001-0217-1

                  Fruit Bowl
                  Corning Comcor®/Corelle®
                  10 oz. Dessert Bowl
                  6003899
                  Arzberg
                  3820513100

                  Cup
                  Corning Comcor®/Corelle®
                  8 oz. Ceramic Cup
                  6014162
                  Arzberg
                  1382-00001-4732

                  Saucer
                  Corning Comcor®/Corelle®
                  6 inch Saucer
                  6010972
                  Arzberg
                  1382-00001-4731

                  Serving Bowl
                  Corning Comcor®/Corelle®
                  1 qt. Serving Bowl
                  6003911

                  Platter
                  Corning Comcor®/Corelle®
                  9.5 inch Oval Platter
                  6011655

                  Glass—Iced Tea
                  Libbey

                  551 HT

                  Flatware—Knife
                  Oneida®—Accent

                  2619KPVF
                  WMF—Gastro 0800
                  12.0803.6047

                  Flatware—Dinner Fork
                  Oneida®—Accent

                  2619FRSF
                  WMF—Signum 1900
                  12.1905.6040

                  Flatware—Salad Fork
                  Oneida®—Accent

                  2619FSLF
                  WMF—Signum 1900
                  12.1964.6040

                  Flatware—Teaspoon
                  Oneida®—Accent

                  2619STSF
                  WMF—Signum 1900
                  12.1910.6040

                  Flatware—Serving Fork
                  Oneida®—Flight

                  2865FCM
                  WMF—Signum 1900
                  12.1902.6040

                  Flatware—Serving Spoon
                  Oneida®—Accent

                  2619STBF
                  WMF—Signum 1900
                  12.1904.6040

              2.7.2 Place setting. A place setting shall consist of one cup, one saucer, one dinner plate, one bread and butter plate, one fruit bowl, one iced tea glass, one dinner fork, one salad fork, one knife, and two teaspoons.
              2.7.3 Serving pieces. Serving pieces shall consist of two serving bowls, one platter, one serving fork, and two serving spoons.
              2.7.4 Soils. The soils shall be as specified in section 5.4 of ANSI/AHAM DW-1-2010 (incorporated by reference, see § 430.3), except for the following substitutions.
              2.7.4.1 Margarine. The margarine shall be Fleischmann's Original stick margarine.
              2.7.4.2 Coffee. The coffee shall be Folgers Classic Decaf.
              2.7.5 Soil Preparation. Soils shall be prepared according to section 5.5 of ANSI/AHAM DW-1-2010 (incorporated by reference, see § 430.3), with the following additional specifications.
              2.7.5.1 Milk. The nonfat dry milk shall be reconstituted before mixing with the oatmeal and potatoes. It shall be reconstituted with water by mixing 2/3 cup of nonfat dry milk with 2 cups of water until well mixed. The reconstituted milk may be stored for use over the course of 1 day.
              2.7.5.2 Instant mashed potatoes. The potato mixture shall be applied within 30 minutes of preparation.
              2.7.5.3 Ground beef. The 1-pound packages of ground beef shall be stored frozen for no more than 6 months.
              2.8 Testing requirements. Provisions in this appendix pertaining to dishwashers that operate with a nominal inlet temperature of 50 °F or 120 °F apply only to water-heating dishwashers as defined in section 1.26 of this appendix.
              2.9 Preconditioning requirements. Precondition the dishwasher twice by establishing the testing conditions set forth in sections 2.1 through 2.5 of this appendix. For each preconditioning, set the dishwasher to the preconditioning cycle as defined in section 1.15 of this appendix, without using a test load, and initiate the cycle. During the second preconditioning, measure the prewash fill water volume, Vpw, if any, and the main wash fill water volume, Vmw.
              2.10 Detergent. Use half the quantity of detergent specified according to section 4.1 of ANSI/AHAM DW-1-2010 (incorporated by reference, see § 430.3), using Cascade with the Grease Fighting Power of Dawn powder as the detergent formulation. Determine the amount of detergent (in grams) to be added to the prewash compartment (if provided) or elsewhere in the dishwasher (if recommended by the manufacturer) and the main wash compartment according to sections 2.10.1 and 2.10.2 of this appendix.
              2.10.1 Prewash Detergent Dosing. If the cycle setting for the test cycle includes prewash, determine the quantity of dry prewash detergent, Dpw, in grams (g) that results in 0.25 percent concentration by mass in the prewash fill water as:

              Dpw = Vpw × ρ × k × 0.25/100

              where,

              Vpw = the prewash fill volume of water in gallons,
              ρ = water density = 8.343 pounds (lb)/gallon for dishwashers to be tested at a nominal inlet water temperature of 50 °F (10 °C), 8.250 lb/gallon for dishwashers to be tested at a nominal inlet water temperature of 120 °F (49 °C), and 8.205 lb/gallon for dishwashers to be tested at a nominal inlet water temperature of 140 °F (60 °C), and
              k = conversion factor from lb to g = 453.6 g/lb.

              2.10.2 Main Wash Detergent Dosing. Determine the quantity of dry main wash detergent, Dmw, in grams (g) that results in 0.25 percent concentration by mass in the main wash fill water as:

              Dmw = Vmw × ρ × k × 0.25/100

              where,

              Vmw = the main wash fill volume of water in gallons, and
              ρ, and k are defined in section 2.10.1 of this appendix.
              3. Instrumentation
              Test instruments must be calibrated annually.
              3.1 Temperature measuring device. The device must have an error no greater than ±1 °F over the range being measured.

              3.2 Timer. Time measurements for each monitoring period shall be accurate to within 2 seconds.
              3.3 Water meter. The water meter must have a resolution of no larger than 0.1 gallons and a maximum error no greater than ±1.5 percent of the measured flow rate for all water temperatures encountered in the test cycle.
              3.4 Water pressure gauge. The water pressure gauge must have a resolution of one pound per square inch (psi) and must have an error no greater than 5 percent of any measured value over the range of 35 ±2.5 psig.
              3.5 Watt-hour meter. The watt-hour meter must have a resolution of .1 watt-hour or less and a maximum error of no more than 1 percent of the measured value for any demand greater than 5 watts.
              3.6 Standby mode and off mode watt meter. The watt meter used to measure standby mode and off mode power consumption shall meet the requirements specified in Section 4, Paragraph 4.4 of IEC 62301 (incorporated by reference, see § 430.3).
              4. Test Cycle and Measurements
              4.1 Active mode cycle. Perform a test cycle by establishing the testing conditions set forth in section 2 of this appendix, setting the dishwasher to the cycle type to be tested according to section 2.6.1, 2.6.2, or 2.6.3 of this appendix, initiating the cycle, and allowing the cycle to proceed to completion.
              4.1.1 Machine electrical energy consumption. Measure the machine electrical energy consumption, M, expressed as the number of kilowatt-hours of electricity consumed by the machine during the entire test cycle, using a water supply temperature as set forth in section 2.3 of this appendix and using a watt-hour meter as specified in section 3.5 of this appendix.
              4.1.2 Fan electrical energy consumption. If the dishwasher is capable of operation in fan-only mode, measure the fan electrical energy consumption, MF, expressed as the number of kilowatt-hours of electricity consumed by the machine for the duration of fan-only mode, using a watt-hour meter as specified in section 3.5 of this appendix. Alternatively, if the duration of fan-only mode is known, the watt-hours consumed may be measured for a period of 10 minutes in fan-only mode, using a watt-hour meter as specified in section 3.5 of this appendix. Multiply this value by the time in minutes that the dishwasher remains in fan-only mode, LF, and divide by 10,000 to obtain MF. The alternative approach may be used only if the resulting MF is representative of energy use during the entire fan-only mode.
              4.1.3 Water consumption. Measure the water consumption, V, expressed as the number of gallons of water delivered to the machine during the entire test cycle, using a water meter specified in section 3.3 of this appendix.
              4.2 Standby mode and off mode power. Connect the dishwasher to a standby mode and off mode watt meter as specified in section 3.6 of this appendix. Establish the testing conditions set forth in sections 2.1, 2.2, and 2.5.2 of this appendix. For dishwashers that take some time to enter a stable state from a higher power state as discussed in Section 5, Paragraph 5.1, note 1 of IEC 62301 (incorporated by reference; see § 430.3), allow sufficient time for the dishwasher to reach the lower power state before proceeding with the test measurement. Follow the test procedure specified in Section 5, Paragraph 5.3.2 of IEC 62301 for testing in each possible mode as described in sections 4.2.1 and 4.2.2 of this appendix.

              4.2.1 If the dishwasher has an inactive mode, as defined in section 1.10 of this appendix, measure and record the average inactive mode power of the dishwasher, PIA, in watts.

              4.2.2 If the dishwasher has an off mode, as defined in section 1.13 of this appendix, measure and record the average off mode power, POM, in watts.
              5. Calculation of Derived Results From Test Measurements
              5.1 Machine energy consumption.

              5.1.1 Machine energy consumption for non-soil-sensing electric dishwashers. Take the value recorded in section 4.1.1 of this appendix as the per-cycle machine electrical energy consumption. Express the value, M, in kilowatt-hours per cycle.
              5.1.2 Machine energy consumption for soil-sensing electric dishwashers. The machine energy consumption for the sensor normal cycle, M, is defined as:

              M = (Mhr × Fhr) + (Mmr × Fmr) + (Mlr × Flr)

              where,

              Mhr = the value recorded in section 4.1.1 of this appendix for the test of the sensor heavy response, expressed in kilowatt-hours per cycle,
              Mmr = the value recorded in section 4.1.1 of this appendix for the test of the sensor medium response, expressed in kilowatt-hours per cycle,
              Mlr = the value recorded in section 4.1.1 of this appendix for the test of the sensor light response, expressed in kilowatt-hours per cycle,
              Fhr = the weighting factor based on consumer use of heavy response = 0.05,
              Fmr = the weighting factor based on consumer use of medium response = 0.33, and
              Flr = the weighting factor based on consumer use of light response = 0.62.

              5.1.3 Machine energy consumption during water softener regeneration for water-softening dishwashers. The machine energy consumption for water softener regeneration, MWS, is defined as:

              MWS = MWScycle × NWS/N

              where,

              MWScycle = the reported value of the additional machine electrical energy consumption required for water softener regeneration during a cycle including water softener regeneration, expressed in kilowatt-hours,
              NWS = the reported representative average number of water softener regeneration cycles per year, and
              N = the representative average dishwasher use of 215 cycles per year.

              5.2 Fan-only mode energy consumption.

              5.2.1 Electrical energy consumption for fan-only mode for non-soil-sensing electric dishwashers. Take the value recorded in section 4.1.2 of this appendix as the per-cycle electrical energy consumption for fan-only mode. Express the value, EF, in kilowatt-hours per cycle. If the dishwasher is not capable of operation in fan-only mode, EF = 0.
              5.2.2 Electrical energy consumption for fan-only mode for soil-sensing electric dishwashers. The fan-only mode electrical energy consumption, EF, for the sensor normal cycle is defined as:

              EF = (EFhr + EFmr + EFlr) / 3

              where,

              EFhr = the value recorded in section 4.1.2 of this appendix for the test of the sensor heavy response, expressed in kilowatt-hours per cycle,
              EFmr = the value recorded in section 4.1.2 of this appendix for the test of the sensor medium response, expressed in kilowatt-hours per cycle,
              EFlr = the value recorded in section 4.1.2 of this appendix for the test of the sensor light response, expressed in kilowatt-hours per cycle,

              If the dishwasher is not capable of operation in fan-only mode, EF = 0.
              5.3 Drying energy.

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

              ED = (EDhr + EDmr + EDlr) / 3

              where,

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

              5.4 Water consumption.

              5.4.1 Water consumption for non-soil-sensing electric dishwashers using electrically heated, gas-heated, or oil-heated water. Take the value recorded in section 4.1.3 of this appendix as the per-cycle water consumption. Express the value, V, in gallons per cycle.
              5.4.2 Water consumption for soil-sensing electric dishwashers using electrically heated, gas-heated, or oil-heated water. The water consumption for the sensor normal cycle, V, is defined as:

              V = (Vhr × Fhr) + (Vmr × Fmr) + (Vlr × Flr)

              where,

              Vhr = the value recorded in section 4.1.3 of this appendix for the test of the sensor heavy response, expressed in gallons per cycle,
              Vmr = the value recorded in section 4.1.3 of this appendix for the test of the sensor medium response, expressed in gallons per cycle,
              Vlr = the value recorded in section 4.1.3 of this appendix for the test of the sensor light response, expressed in gallons per cycle,
              Fhr = the weighting factor based on consumer use of heavy response = 0.05,
              Fmr = the weighting factor based on consumer use of medium response = 0.33, and
              Flr = the weighting factor based on consumer use of light response = 0.62.

              5.4.3 Water consumption during water softener regeneration for water-softening dishwashers using electrically heated, gas-heated, or oil-heated water. The water consumption for water softener regeneration, VWS, is defined as:

              VWS = VWScycle × NWS/N

              where,

              VWScycle = the reported value of the additional water consumption required for water softener regeneration during a cycle including water softener regeneration, expressed in gallons per cycle,
              NWS = the reported representative average number of water softener regeneration cycles per year, and
              N = the representative average dishwasher use of 215 cycles per year.

              5.5 Water energy consumption for non-soil-sensing or soil-sensing dishwashers using electrically heated water.

              5.5.1 Dishwashers that operate with a nominal 140 °F inlet water temperature, only.

              5.5.1.1 Calculate the water energy consumption, W, expressed in kilowatt-hours per cycle and defined as:

              W = V × T × K

              where,

              V = water consumption in gallons per cycle, as determined in section 5.4.1 of this appendix for non-soil-sensing dishwashers and section 5.4.2 of this appendix for soil-sensing dishwashers,
              T = nominal water heater temperature rise = 90 °F, and
              K = specific heat of water in kilowatt-hours per gallon per degree Fahrenheit = 0.0024.

              5.5.1.2 For water-softening dishwashers, calculate the water softener regeneration water energy consumption, WWS, expressed in kilowatt-hours per cycle and defined as:

              WWS = VWS × T × K

              where,

              VWS = water consumption during water softener regeneration in gallons per cycle which includes regeneration, as determined in section 5.4.3 of this appendix,
              T = nominal water heater temperature rise = 90 °F, and
              K = specific heat of water in kilowatt-hours per gallon per degree Fahrenheit = 0.0024.

              5.5.2 Dishwashers that operate with a nominal inlet water temperature of 120 °F.

              5.5.2.1 Calculate the water energy consumption, W, expressed in kilowatt-hours per cycle and defined as:

              W = V × T × K

              where,

              V = water consumption in gallons per cycle, as determined in section 5.4.1 of this appendix for non-soil-sensing dishwashers and section 5.4.2 of this appendix for soil-sensing dishwashers,
              T = nominal water heater temperature rise = 70 °F, and
              K = specific heat of water in kilowatt-hours per gallon per degree Fahrenheit = 0.0024,

              5.5.2.2 For water-softening dishwashers, calculate the water softener regeneration water energy consumption, WWS, expressed in kilowatt-hours per cycle and defined as:

              WWS = VWS × T × K

              where,

              VWS = water consumption during water softener regeneration in gallons per cycle which includes regeneration, as determined in section 5.4.3 of this appendix,
              T = nominal water heater temperature rise = 70 °F, and
              K = specific heat of water in kilowatt-hours per gallon per degree Fahrenheit = 0.0024.

              5.6 Water energy consumption per cycle using gas-heated or oil-heated water.

              5.6.1 Dishwashers that operate with a nominal 140 °F inlet water temperature, only.

              5.6.1.1 Calculate the water energy consumption using gas-heated or oil-heated water, Wg, expressed in Btu's per cycle and defined as:

              Wg = V × T × C/e

              where,

              V = water consumption in gallons per cycle, as determined in section 5.4.1 of this appendix for non-soil-sensing dishwashers and section 5.4.2 of this appendix for soil-sensing dishwashers,
              T = nominal water heater temperature rise = 90 °F,
              C = specific heat of water in Btu's per gallon per degree Fahrenheit = 8.2, and
              e = nominal gas or oil water heater recovery efficiency = 0.75,

              5.6.1.2 For water-softening dishwashers, calculate the water softener regeneration water energy consumption, WWSg, expressed in kilowatt-hours per cycle and defined as:

              WWSg = VWS × T × C/e

              where,

              VWS = water consumption during water softener regeneration in gallons per cycle which includes regeneration, as determined in section 5.4.3 of this appendix,
              T = nominal water heater temperature rise = 90 °F,
              C = specific heat of water in Btu's per gallon per degree Fahrenheit = 8.2, and
              e = nominal gas or oil water heater recovery efficiency = 0.75.

              5.6.2 Dishwashers that operate with a nominal 120 °F inlet water temperature, only.

              5.6.2.1 Calculate the water energy consumption using gas-heated or oil-heated water, Wg, expressed in Btu's per cycle and defined as:
              Wg = V × T × C/e

              where,

              V = water consumption in gallons per cycle, as determined in section 5.4.1 of this appendix for non-soil-sensing dishwashers and section 5.4.2 of this appendix for soil-sensing dishwashers,
              T = nominal water heater temperature rise = 70 °F,
              C = specific heat of water in Btu's per gallon per degree Fahrenheit = 8.2, and
              e = nominal gas or oil water heater recovery efficiency = 0.75.

              5.6.2.2 For water-softening dishwashers, calculate the water softener regeneration water energy consumption, WWSg, expressed in kilowatt-hours per cycle and defined as:

              WWSg = VWS × T × C/e

              where,

              VWS = water consumption during water softener regeneration in gallons per cycle which includes regeneration, as determined in section 5.4.3 of this appendix,
              T = nominal water heater temperature rise = 70 °F,
              C = specific heat of water in Btu's per gallon per degree Fahrenheit = 8.2, and
              e = nominal gas or oil water heater recovery efficiency = 0.75.

              5.7 Annual combined low-power mode energy consumption. Calculate the annual combined low-power mode energy consumption for dishwashers, ETLP, expressed in kilowatt-hours per year, according to the following:

              ETLP = [(PIA × SIA) + (POM × SOM)] × K

              where:

              PIA = dishwasher inactive mode power, in watts, as measured in section 4.2.1 of this appendix for dishwashers capable of operating in inactive mode; otherwise, PIA = 0,
              POM = dishwasher off mode power, in watts, as measured in section 4.2.2 of this appendix for dishwashers capable of operating in off mode; otherwise, POM = 0,
              SIA = annual hours in inactive mode as defined as SLP if no off mode is possible, [SLP/2] if both inactive mode and off mode are possible, and 0 if no inactive mode is possible,
              SOM = annual hours in off mode as defined as SLP if no inactive mode is possible, [SLP/2] if both inactive mode and off mode are possible, and 0 if no off mode is possible,
              SLP = combined low-power annual hours for all available modes other than active mode as defined as [H − (N × (L + LF))] for dishwashers capable of operating in fan-only mode; otherwise, SLP = 8,465,
              H = the total number of hours per year = 8766 hours per year,
              N = the representative average dishwasher use of 215 cycles per year,
              L = the average of the duration of the normal cycle and truncated normal cycle, for non-soil-sensing dishwashers with a truncated normal cycle; the duration of the normal cycle, for non-soil-sensing dishwashers without a truncated normal cycle; the average duration of the sensor light response, truncated sensor light response, sensor medium response, truncated sensor medium response, sensor heavy response, and truncated sensor heavy response, for soil-sensing dishwashers with a truncated cycle option; the average duration of the sensor light response, sensor medium response, and sensor heavy response, for soil-sensing dishwashers without a truncated cycle option,
              LF = the duration of the fan-only mode for the normal cycle for non-soil-sensing dishwashers; the average duration of the fan-only mode for sensor light response, sensor medium response, and sensor heavy response for soil-sensing dishwashers, and
              K = 0.001 kWh/Wh conversion factor for watt-hours to kilowatt-hours.
              [77 FR 65982, Oct. 31, 2012, as amended at 81 FR 90120, Dec. 13, 2016]

              Pt. 430, Subpt. B, App. D
              Appendix D to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Clothes Dryers

                Note:
                Effective February 10, 2014, manufacturers must make representations of energy efficiency, including certifications of compliance, using appendix D. Compliance with DOE's amended standards for clothes dryers, and corresponding use of the test procedures at appendix D1 for all representations, including certifications of compliance, is required as of January 1, 2015. Manufacturers must use a single appendix for all representations, including certifications of compliance, and may not use appendix D for certain representations and appendix D1 for other representations. The procedures in appendix D2 need not be performed to determine compliance with energy conservation standards for clothes dryers at this time. However, manufacturers may elect to use the amended appendix D, D1 or D2 early.

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

              1.10 “Moisture content” means the ratio of the weight of water contained by the test load to the bone-dry weight of the test load, expressed as a percent.

              1.11 “Automatic termination control” means a dryer control system with a sensor which monitors either the dryer load temperature or its moisture content and with a controller which automatically terminates the drying process. A mark or detent which indicates a preferred automatic termination control setting must be present if the dryer is to be classified as having an “automatic termination control.” A mark is a visible single control setting on one or more dryer controls.
              1.12 “Temperature sensing control” means a system which monitors dryer exhaust air temperature and automatically terminates the dryer cycle.
              1.13 “Moisture sensing control” means a system which utilizes a moisture sensing element within the dryer drum that monitors the amount of moisture in the clothes and automatically terminates the dryer cycle.
              2. Testing Conditions
              2.1 Installation. Install the clothes dryer in accordance with manufacturer's instructions as shipped with the unit. If the manufacturer's instructions do not specify the installation requirements for a certain component, it shall be tested in the as-shipped condition. The dryer exhaust shall be restricted by adding the AHAM exhaust simulator described in 3.3.5 of HLD-1. All external joints should be taped to avoid air leakage. Disconnect all lights, such as task lights, that do not provide any information related to the drying process on the clothes dryer and that do not consume more than 10 watts during the clothes dryer test cycle. Control setting indicator lights showing the cycle progression, temperature or dryness settings, or other cycle functions that cannot be turned off during the test cycle shall not be disconnected during the active mode test cycle.
              2.2 Ambient temperature and humidity. Maintain the room ambient air temperature at 75 ±3 °F and the room relative humidity at 50±10 percent relative humidity.
              2.3 Energy supply.
              2.3.1 Electrical supply. Maintain the electrical supply at the clothes dryer terminal block within 1 percent of 120/240 or 120/208Y or 120 volts as applicable to the particular terminal block wiring system and within 1 percent of the nameplate frequency as specified by the manufacturer. If the dryer has a dual voltage conversion capability, conduct test at the highest voltage specified by the manufacturer.
              2.3.2 Gas supply.

              2.3.2.1 Natural gas. Maintain the gas supply to the clothes dryer at a normal inlet test pressure immediately ahead of all controls at 7 to 10 inches of water column. If the clothes dryer is equipped with a gas appliance pressure regulator, the regulator outlet pressure at the normal test pressure shall be within ±10 percent of the value recommended by the manufacturer in the installation manual, on the nameplate sticker, or wherever the manufacturer makes such a recommendation for the basic model. The hourly Btu rating of the burner shall be maintained within ±5 percent of the rating specified by the manufacturer. If the requirement to maintain the hourly Btu rating of the burner within ±5 percent of the rating specified by the manufacturer cannot be achieved under the allowable range in gas inlet test pressure, the orifice of the gas burner should be modified as necessary to achieve the required Btu rating. The natural gas supplied should have a heating value of approximately 1,025 Btus per standard cubic foot. The actual heating value, Hn2, in Btus per standard cubic foot, for the natural gas to be used in the test shall be obtained either from measurements made by the manufacturer conducting the test using a standard continuous flow calorimeter as described in section 2.4.6 or by the purchase of bottled natural gas whose Btu rating is certified to be at least as accurate a rating as could be obtained from measurements with a standard continuous flow calorimeter as described in section 2.4.6.
              2.3.2.2 Propane gas. Maintain the gas supply to the clothes dryer at a normal inlet test pressure immediately ahead of all controls at 11 to 13 inches of water column. If the clothes dryer is equipped with a gas appliance pressure regulator, the regulator outlet pressure at the normal test pressure shall be within ±10 percent of the value recommended by the manufacturer in the installation manual, on the nameplate sticker, or wherever the manufacturer makes such a recommendation for the basic model. The hourly Btu rating of the burner shall be maintained within ±5 percent of the rating specified by the manufacturer. If the requirement to maintain the hourly Btu rating of the burner within ±5 percent of the rating specified by the manufacturer cannot be achieved under the allowable range in gas inlet test pressure, the orifice of the gas burner should be modified as necessary to achieve the required Btu rating. The propane gas supplied should have a heating value of approximately 2,500 Btus per standard cubic foot. The actual heating value, Hp, in Btus per standard cubic foot, for the propane gas to be used in the test shall be obtained either from measurements made by the manufacturer conducting the test using a standard continuous flow calorimeter as described in section 2.4.6 or by the purchase of bottled gas whose Btu rating is certified to be at least as accurate a rating as could be obtained from measurement with a standard continuous calorimeter as described in section 2.4.6.
              2.4 Instrumentation. Perform all test measurements using the following instruments as appropriate.

              2.4.1 Weighing scale for test cloth. The scale shall have a range of 0 to a maximum of 60 pounds with a resolution of at least 0.2 ounces and a maximum error no greater than 0.3 percent of any measured value within the range of 3 to 15 pounds.
              2.4.1.2 Weighing scale for drum capacity measurements. The scale should have a range of 0 to a maximum of 600 pounds with resolution of 0.50 pounds and a maximum error no greater than 0.5 percent of the measured value.
              2.4.2 Kilowatt-hour meter. The kilowatt-hour meter shall have a resolution of 0.001 kilowatt-hours and a maximum error no greater than 0.5 percent of the measured value.
              2.4.3 Gas meter. The gas meter shall have a resolution of 0.001 cubic feet and a maximum error no greater than 0.5 percent of the measured value.
              2.4.4 Dry and wet bulb psychrometer. The dry and wet bulb psychrometer shall have an error no greater than ±1 °F. A relative humidity meter with a maximum error tolerance expressed in °F equivalent to the requirements for the dry and wet bulb psychrometer or with a maximum error tolerance of ±2 percent relative humidity would be acceptable for measuring the ambient humidity.
              2.4.5 Temperature. The temperature sensor shall have an error no greater than ±1 °F.
              2.4.6 Standard Continuous Flow Calorimeter. The Calorimeter shall have an operating range of 750 to 3,500 Btu per cubic feet. The maximum error of the basic calorimeter shall be no greater than 0.2 percent of the actual heating value of the gas used in the test. The indicator readout shall have a maximum error no greater than 0.5 percent of the measured value within the operating range and a resolution of 0.2 percent of the full scale reading of the indicator instrument.
              2.5 Lint trap. Clean the lint trap thoroughly before each test run.
              2.6 Test cloths.

              2.6.1 Energy test cloth. The energy test cloth shall be clean and consist of the following:
              (a) Pure finished bleached cloth, made with a momie or granite weave, which is a blended fabric of 50 percent cotton and 50 percent polyester and weighs within + 10 percent of 5.75 ounces per square yard after test cloth preconditioning and has 65 ends on the warp and 57 picks on the fill. The individual warp and fill yarns are a blend of 50 percent cotton and 50 percent polyester fibers.
              (b) Cloth material that is 24 inches by 36 inches and has been hemmed to 22 inches by 34 inches before washing. The maximum shrinkage after five washes shall not be more than four percent on the length and width.
              (c) The number of test runs on the same energy test cloth shall not exceed 25 runs.
              2.6.2 Energy stuffer cloths. The energy stuffer cloths shall be made from energy test cloth material and shall consist of pieces of material that are 12 inches by 12 inches and have been hemmed to 10 inches by 10 inches before washing. The maximum shrinkage after five washes shall not be more than four percent on the length and width. The number of test runs on the same energy stuffer cloth shall not exceed 25 runs after test cloth preconditioning.
              2.6.3 Test Cloth Preconditioning.

              A new test cloth load and energy stuffer cloths shall be treated as follows:
              (1) Bone dry the load to a weight change of ±1 percent, or less, as prescribed in Section 1.2.
              (2) Place test cloth load in a standard clothes washer set at the maximum water fill level. Wash the load for 10 minutes in soft water (17 parts per million hardness or less), using 6.0 grams of AHAM Standard Test Detergent, IIA, per gallon of water. Wash water temperature is to controlled at 140°±5 °F (60° ±2.7 °C). Rinse water temperature is to be controlled at 100° ±5 °F (37.7 ±2.7 °C).
              (3) Rinse the load again at the same water temperature.
              (4) Bone dry the load as prescribed in Section 1.2 and weigh the load.
              (5) This procedure is repeated until there is a weight change of one percent or less.
              (6) A final cycle is to be a hot water wash with no detergent, followed by two warm water rinses.
              2.7 Test loads.

              2.7.1 Compact size dryer load. Prepare a bone-dry test load of energy cloths which weighs 3.00 pounds ±.03 pounds. Adjustments to the test load to achieve the proper weight can be made by the use of energy stuffer cloths, with no more than five stuffer cloths per load. Dampen the load by agitating it in water whose temperature is 100° ±5 °F and consists of 0 to 17 parts per million hardness for approximately two minutes in order to saturate the fabric. Then, extract water from the wet test load by spinning the load until the moisture content of the load is between 66.5 percent to 73.5 percent of the bone-dry weight of the test load.
              2.7.2 Standard size dryer load. Prepare a bone-dry test load of energy cloths which weighs 7.00 pounds ±.07 pounds. Adjustments to the test load to achieve the proper weight can be made by the use of energy stuffer cloths, with no more than five stuffer cloths per load. Dampen the load by agitating it in water whose temperature is 100° ±5 °F and consists of 0 to 17 parts per million hardness for approximately two minutes in order to saturate the fabric. Then, extract water from the wet test load by spinning the load until the moisture content of the load is between 66.5 percent to 73.5 percent of the bone-dry weight of the test load.
              2.7.3 Method of loading. Load the energy test cloths by grasping them in the center, shaking them to hang loosely and then dropping them in the dryer at random.
              2.8 Clothes dryer preconditioning. Before any test cycle, operate the dryer without a test load in the non-heat mode for 15 minutes or until the discharge air temperature is varying less than 1 °F for 10 minutes, which ever is longer, in the test installation location with the ambient conditions within the specified rest condition tolerances of 2.2.
              3. Test Procedures and Measurements
              3.1 Drum Capacity. Measure the drum capacity by sealing all openings in the drum except the loading port with a plastic bag, and ensure that all corners and depressions are filled and that there are no extrusions of the plastic bag through any openings in the interior of the drum. Support the dryer's rear drum surface on a platform scale to prevent deflection of the dryer, and record the weight of the empty dryer. Fill the drum with water to a level determined by the intersection of the door plane and the loading port (i.e., the uppermost edge of the drum that is in contact with the door seal). Record the temperature of the water and then the weight of the dryer with the added water and then determine the mass of the water in pounds. Add the appropriate volume to account for any space in the drum interior not measured by water fill (e.g., the space above the uppermost edge of the drum within a curved door) and subtract the appropriate volume to account for space that is measured by water fill but cannot be used when the door is closed (e.g., space occupied by the door when closed). The drum capacity is calculated as follows:

                C = w/d ±volume adjustment

                C = capacity in cubic feet.

                w = mass of water in pounds.

                d = density of water at the measured temperature in pounds per cubic foot.
              3.2 Dryer loading. Load the dryer as specified in 2.7.
              3.3 Test cycle. Operate the clothes dryer at the maximum temperature setting and, if equipped with a timer, at the maximum time setting. Any other optional cycle settings that do not affect the temperature or time settings shall be tested in the as-shipped position. If the clothes dryer does not have a separate temperature setting selection on the control panel, the maximum time setting should be used for the drying test cycle. Dry the test load until the moisture content of the test load is between 2.5 percent and 5.0 percent of the bone-dry weight of the test load, but do not permit the dryer to advance into cool down. If required, reset the timer or automatic dry control.
              3.4 Data recording. Record for each test cycle:
              3.4.1 Bone-dry weight of the test load described in 2.7.
              3.4.2 Moisture content of the wet test load before the test, as described in 2.7.
              3.4.3 Moisture content of the dry test load obtained after the test described in 3.3.
              3.4.4 Test room conditions, temperature and percent relative humidity described in 2.2.

              3.4.5 For electric dryers—the total kilowatt-hours of electric energy, Et, consumed during the test described in 3.3.
              3.4.6 For gas dryers:
              3.4.6.1 Total kilowatt-hours of electrical energy, Ete, consumed during the test described in 3.3.
              3.4.6.2 Cubic feet of gas per cycle, Etg, consumed during the test described in 3.3.

              3.4.6.3 On gas dryers using a continuously burning pilot light—the cubic feet of gas, Epg, consumed by the gas pilot light in one hour.
              3.4.6.4 Correct the gas heating value, GEF, as measured in 2.3.2.1 and 2.3.2.2, to standard pressure and temperature conditions in accordance with U.S. Bureau of Standards, circular C417, 1938. A sample calculation is illustrated in appendix E of HLD-1.
              3.5 Test for automatic termination field use factor credits. Credit for automatic termination can be claimed for those dryers which meet the requirements for either temperature-sensing control, 1.12, or moisture sensing control, 1.13, and having present the appropriate mark or detent feed defined in 1.11.
              4. Calculation of Derived Results From Test Measurements
              4.1 Total per-cycle electric dryer energy consumption. Calculate the total electric dryer energy consumption per cycle, Ece expressed in kilowatt-hours per cycle and defined as:

                E
                ce = [66/W
                w−W
                d)] × E
                tt × FU

                E
                t = the energy recorded in 3.4.5.
              66 = an experimentally established value for the percent reduction in the moisture content of the test load during a laboratory test cycle expressed as a percent.
              FU = Field use factor.
               = 1.18 for time termination control systems.
              = 1.04 for automatic control systems which meet the requirements of the definitions for automatic termination controls in 1.11.1, 1.12 and 1.13.
              Ww = the moisture content of the wet test load as recorded in 3.4.2.
              Wd = the moisture content of the dry test load as recorded in 3.4.3.
              4.2 Per-cycle gas dryer electrical energy consumption. Calculate the gas dryer electrical energy consumption per cycle, E
                ge, expressed in kilowatt-hours per cycle and defined as:

                E
                ge = [66/(W
                w
                −W
                d)] × E
                te
                 × FU

                E
                te = the energy recorded in 3.4.6.1

                FU, 66, W
                w, W
                d as defined in 4.1

              4.3 Per-cycle gas dryer gas energy consumption. Calculate the gas dryer gas energy consumption per cycle, E
                ge, expressed in Btu's per cycle as defined as:

                E
                gg = [66/(W
                w
                −W
                d)] × E
                tg
                 × FU × GEF

                E
                tg = the energy recorded in 3.4.6.2

                GEF = corrected gas heat value (Btu per cubic feet) as defined in 3.4.6.4

                FU, 66, W
                w
                W
                d as defined in 4.1
              4.4 Per-cycle gas dryer continuously burning pilot light gas energy consumption. Calculate the gas dryer continuously burning pilot light gas energy consumption per cycle, E
                up expressed in Btu's per cycle and defined as:

                E
                up = E
                pg × (8760 − 140 / 416) × GEF

                E
                pg = the energy recorded in 3.4.6.3
              8760 = number of hours in a year
              416 = representative average number of clothes dryer cycles in a year
              140 = estimated number of hours that the continuously burning pilot light is on during the operation of the clothes dryer for the representative average use cycle for clothes dryers (416 cycles per year)

                GEF as defined in 4.3
              4.5 Total per-cycle gas dryer gas energy consumption expressed in Btu's. Calculate the total gas dryer energy consumption per cycle, E
                g, expressed in Btu's per cycle and defined as:

                E
                g = E
                gg + E
                up

                E
                gg as defined in 4.3

                E
                up as defined in 4.4
              4.6 Total per-cycle gas dryer energy consumption expressed in kilowatt-hours. Calculate the total gas dryer energy consumption per cycle, E
                cg, expressed in kilowatt-hours per cycle and defined as:

                E
                cg + E
                ge + (E
                g
                /3412 Btu/k Wh)

                E
                ge as defined in 4.2

                E
                g as defined in 4.5
              [46 FR 27326, May 19, 1981, as amended at 76 FR 1032, Jan. 6, 2011; 78 FR 49644, Aug. 14, 2013]

              Pt. 430, Subpt. B, App. D1
              Appendix D1 to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Clothes Dryers

                Note:
                Effective February 10, 2014, manufacturers must make representations of energy efficiency, including certifications of compliance, using appendix D. Compliance with DOE's amended standards for clothes dryers, and corresponding use of the test procedures at appendix D1 for all representations, including certifications of compliance, is required as of January 1, 2015. Manufacturers must use a single appendix for all representations, including certifications of compliance, and may not use appendix D for certain representations and appendix D1 for other representations. The procedures in appendix D2 need not be performed to determine compliance with energy conservation standards for clothes dryers at this time. However, manufacturers may elect to use the amended appendix D, D1, or D2 early.

              1. Definitions
              1.1 “Active mode” means a mode in which the clothes dryer is connected to a main power source, has been activated and is performing the main function of tumbling the clothing with or without heated or unheated forced air circulation to remove moisture from the clothing, remove wrinkles or prevent wrinkling of the clothing, or both.
              1.2 “AHAM” means the Association of Home Appliance Manufacturers.
              1.3 “AHAM HLD-1” means the test standard published by the Association of Home Appliance Manufacturers, titled “Household Tumble Type Clothes Dryers” (2009), AHAM HLD-1-2009 (incorporated by reference; see § 430.3).
              1.4 “Automatic termination control” means a dryer control system with a sensor which monitors either the dryer load temperature or its moisture content and with a controller which automatically terminates the drying process. A mark, detent, or other visual indicator or detent which indicates a preferred automatic termination control setting must be present if the dryer is to be classified as having an “automatic termination control.” A mark is a visible single control setting on one or more dryer controls.
              1.5 “Bone dry” means a condition of a load of test clothes which has been dried in a dryer at maximum temperature for a minimum of 10 minutes, removed, and weighed before cool down, and then dried again for 10-minute periods until the final weight change of the load is 1 percent or less.
              1.6 “Compact” or “compact size” means a clothes dryer with a drum capacity of less than 4.4 cubic feet.
              1.7 “Conventional clothes dryer” means a clothes dryer that exhausts the evaporated moisture from the cabinet.
              1.8 “Cool down” means that portion of the clothes drying cycle when the added gas or electric heat is terminated and the clothes continue to tumble and dry within the drum.
              1.9 “Cycle” means a sequence of operation of a clothes dryer which performs a clothes drying operation, and may include variations or combinations of the functions of heating, tumbling, and drying.
              1.10 “Drum capacity” means the volume of the drying drum in cubic feet.

              1.11 “IEC 62301” (Second Edition) means the test standard published by the International Electrotechnical Commission (“IEC”) titled “Household electrical appliances—Measurement of standby power,” Publication 62301 (Edition 2.0 2011-01) (incorporated by reference; see § 430.3).

              1.12 “Inactive mode” means a standby mode that facilitates the activation of active mode by remote switch (including remote control), internal sensor, or timer, or that provides continuous status display.
              1.13 “Moisture content” means the ratio of the weight of water contained by the test load to the bone-dry weight of the test load, expressed as a percent.
              1.14 “Moisture sensing control” means a system which utilizes a moisture sensing element within the dryer drum that monitors the amount of moisture in the clothes and automatically terminates the dryer cycle.
              1.15 “Off mode” means a mode in which the clothes dryer is connected to a main power source and is not providing any active or standby mode function, and where the mode may persist for an indefinite time. An indicator that only shows the user that the product is in the off position is included within the classification of an off mode.
              1.16 “Standard size” means a clothes dryer with a drum capacity of 4.4 cubic feet or greater.
              1.17 “Standby mode” means any product modes where the energy using product is connected to a main power source and offers one or more of the following user-oriented or protective functions which may persist for an indefinite time:
              (a) To facilitate the activation of other modes (including activation or deactivation of active mode) by remote switch (including remote control), internal sensor, or timer.
              (b) Continuous functions, including information or status displays (including clocks) or sensor-based functions. A timer is a continuous clock function (which may or may not be associated with a display) that provides regular scheduled tasks (e.g., switching) and that operates on a continuous basis.
              1.18 “Temperature sensing control” means a system which monitors dryer exhaust air temperature and automatically terminates the dryer cycle.
              1.19 “Ventless clothes dryer” means a clothes dryer that uses a closed-loop system with an internal condenser to remove the evaporated moisture from the heated air. The moist air is not discharged from the cabinet.
              2. Testing Conditions
              2.1 Installation.

              2.1.1 All clothes dryers. For both conventional clothes dryers and ventless clothes dryers, as defined in sections 1.7 and 1.19 of this appendix, install the clothes dryer in accordance with manufacturer's instructions as shipped with the unit. If the manufacturer's instructions do not specify the installation requirements for a certain component, it shall be tested in the as-shipped condition. Where the manufacturer gives the option to use the dryer both with and without a duct, the dryer shall be tested without the exhaust simulator described in section 3.3.5.1 of AHAM HLD-1 (incorporated by reference; see § 430.3). All external joints should be taped to avoid air leakage. For drying testing, disconnect all lights, such as task lights, that do not provide any information related to the drying process on the clothes dryer and that do not consume more than 10 watts during the clothes dryer test cycle. Control setting indicator lights showing the cycle progression, temperature or dryness settings, or other cycle functions that cannot be turned off during the test cycle shall not be disconnected during the active mode test cycle. For standby and off mode testing, the clothes dryer shall also be installed in accordance with section 5, paragraph 5.2 of IEC 62301 (Second Edition) (incorporated by reference; see § 430.3), disregarding the provisions regarding batteries and the determination, classification, and testing of relevant modes. For standby and off mode testing, all lighting systems shall remain connected.
              2.1.2 Conventional clothes dryers. For conventional clothes dryers, as defined in section 1.7 of this appendix, the dryer exhaust shall be restricted by adding the AHAM exhaust simulator described in section 3.3.5.1 of AHAM HLD-1 (incorporated by reference; see § 430.3).
              2.1.3 Ventless clothes dryers. For ventless clothes dryers, as defined in section 1.19, the dryer shall be tested without the AHAM exhaust simulator. If the manufacturer gives the option to use a ventless clothes dryer, with or without a condensation box, the dryer shall be tested with the condensation box installed. For ventless clothes dryers, the condenser unit of the dryer must remain in place and not be taken out of the dryer for any reason between tests.
              2.2 Ambient temperature and humidity.

              2.2.1 For drying testing, maintain the room ambient air temperature at 75 ±3 °F and the room relative humidity at 50 ±10 percent relative humidity.
              2.2.2 For standby and off mode testing, maintain room ambient air temperature conditions as specified in section 4, paragraph 4.2 of IEC 62301 (Second Edition) (incorporated by reference; see § 430.3)
              2.3 Energy supply.

              2.3.1 Electrical supply. Maintain the electrical supply at the clothes dryer terminal block within 1 percent of 120/240 or 120/208Y or 120 volts as applicable to the particular terminal block wiring system and within 1 percent of the nameplate frequency as specified by the manufacturer. If the dryer has a dual voltage conversion capability, conduct the test at the highest voltage specified by the manufacturer.
              2.3.1.1 Supply voltage waveform. For the clothes dryer standby mode and off mode testing, maintain the electrical supply voltage waveform indicated in section 4, paragraph 4.3.2 of IEC 62301 (Second Edition) (incorporated by reference; see § 430.3). If the power measuring instrument used for testing is unable to measure and record the total harmonic content during the test measurement period, it is acceptable to measure and record the total harmonic content immediately before and after the test measurement period.
              2.3.2 Gas supply.

              2.3.2.1 Natural gas. Maintain the gas supply to the clothes dryer immediately ahead of all controls at a pressure of 7 to 10 inches of water column. If the clothes dryer is equipped with a gas appliance pressure regulator for which the manufacturer specifies an outlet pressure, the regulator outlet pressure shall be within ±10 percent of the value recommended by the manufacturer in the installation manual, on the nameplate sticker, or wherever the manufacturer makes such a recommendation for the basic model. The hourly Btu rating of the burner shall be maintained within ±5 percent of the rating specified by the manufacturer. If the requirement to maintain the hourly Btu rating of the burner within ±5 percent of the rating specified by the manufacturer cannot be achieved under the allowable range in gas inlet test pressure, the orifice of the gas burner should be modified as necessary to achieve the required Btu rating. The natural gas supplied should have a heating value of approximately 1,025 Btus per standard cubic foot. The actual heating value, Hn2, in Btus per standard cubic foot, for the natural gas to be used in the test shall be obtained either from measurements made by the manufacturer conducting the test using a standard continuous flow calorimeter as described in section 2.4.6 or by the purchase of bottled natural gas whose Btu rating is certified to be at least as accurate a rating as could be obtained from measurements with a standard continuous flow calorimeter as described in section 2.4.6.
              2.3.2.2 Propane gas. Maintain the gas supply to the clothes dryer immediately ahead of all controls at a pressure of 11 to 13 inches of water column. If the clothes dryer is equipped with a gas appliance pressure regulator for which the manufacturer specifies an outlet pressure, the regulator outlet pressure shall be within ±10 percent of the value recommended by the manufacturer in the installation manual, on the nameplate sticker, or wherever the manufacturer makes such a recommendation for the basic model. The hourly Btu rating of the burner shall be maintained within ±5 percent of the rating specified by the manufacturer. If the requirement to maintain the hourly Btu rating of the burner within ±5 percent of the rating specified by the manufacturer cannot be achieved under the allowable range in gas inlet test pressure, the orifice of the gas burner should be modified as necessary to achieve the required Btu rating. The propane gas supplied should have a heating value of approximately 2,500 Btus per standard cubic foot. The actual heating value, Hp, in Btus per standard cubic foot, for the propane gas to be used in the test shall be obtained either from measurements made by the manufacturer conducting the test using a standard continuous flow calorimeter as described in section 2.4.6 or by the purchase of bottled gas whose Btu rating is certified to be at least as accurate a rating as could be obtained from measurement with a standard continuous calorimeter as described in section 2.4.6.
              2.4 Instrumentation. Perform all test measurements using the following instruments as appropriate.
              2.4.1 Weighing scale for test cloth. The scale shall have a range of 0 to a maximum of 60 pounds with a resolution of at least 0.2 ounces and a maximum error no greater than 0.3 percent of any measured value within the range of 3 to 15 pounds.
              2.4.1.2 Weighing scale for drum capacity measurements. The scale should have a range of 0 to a maximum of 600 pounds with resolution of 0.50 pounds and a maximum error no greater than 0.5 percent of the measured value.
              2.4.2 Kilowatt-hour meter. The kilowatt-hour meter shall have a resolution of 0.001 kilowatt-hours and a maximum error no greater than 0.5 percent of the measured value.
              2.4.3 Gas meter. The gas meter shall have a resolution of 0.001 cubic feet and a maximum error no greater than 0.5 percent of the measured value.
              2.4.4 Dry and wet bulb psychrometer. The dry and wet bulb psychrometer shall have an error no greater than ±1 °F. A relative humidity meter with a maximum error tolerance expressed in °F equivalent to the requirements for the dry and wet bulb psychrometer or with a maximum error tolerance of ±2 percent relative humidity would be acceptable for measuring the ambient humidity.
              2.4.5 Temperature. The temperature sensor shall have an error no greater than ±1 °F.
              2.4.6 Standard Continuous Flow Calorimeter. The calorimeter shall have an operating range of 750 to 3,500 Btu per cubic feet. The maximum error of the basic calorimeter shall be no greater than 0.2 percent of the actual heating value of the gas used in the test. The indicator readout shall have a maximum error no greater than 0.5 percent of the measured value within the operating range and a resolution of 0.2 percent of the full-scale reading of the indicator instrument.
              2.4.7 Standby mode and off mode watt meter. The watt meter used to measure standby mode and off mode power consumption shall meet the requirements specified in section 4, paragraph 4.4 of IEC 62301 (Second Edition) (incorporated by reference; see § 430.3). If the power measuring instrument used for testing is unable to measure and record the crest factor, power factor, or maximum current ratio during the test measurement period, it is acceptable to measure the crest factor, power factor, and maximum current ratio immediately before and after the test measurement period.
              2.5 Lint trap. Clean the lint trap thoroughly before each test run.
              2.6 Test Clothes.

              2.6.1 Energy test cloth. The energy test cloth shall be clean and consist of the following:
              (a) Pure finished bleached cloth, made with a momie or granite weave, which is a blended fabric of 50-percent cotton and 50-percent polyester and weighs within + 10 percent of 5.75 ounces per square yard after test cloth preconditioning, and has 65 ends on the warp and 57 picks on the fill. The individual warp and fill yarns are a blend of 50-percent cotton and 50-percent polyester fibers.
              (b) Cloth material that is 24 inches by 36 inches and has been hemmed to 22 inches by 34 inches before washing. The maximum shrinkage after five washes shall not be more than 4 percent on the length and width.
              (c) The number of test runs on the same energy test cloth shall not exceed 25 runs.
              2.6.2 Energy stuffer cloths. The energy stuffer cloths shall be made from energy test cloth material, and shall consist of pieces of material that are 12 inches by 12 inches and have been hemmed to 10 inches by 10 inches before washing. The maximum shrinkage after five washes shall not be more than 4 percent on the length and width. The number of test runs on the same energy stuffer cloth shall not exceed 25 runs after test cloth preconditioning.
              2.6.3 Test Cloth Preconditioning.

              A new test cloth load and energy stuffer cloths shall be treated as follows:
              (1) Bone dry the load to a weight change of ±1 percent, or less, as prescribed in section 1.5.
              (2) Place the test cloth load in a standard clothes washer set at the maximum water fill level. Wash the load for 10 minutes in soft water (17 parts per million hardness or less), using 60.8 grams of AHAM standard test detergent Formula 3. Wash water temperature is to be controlled at 140 ° ±5 °F (60 ° ±2.7 °C). Rinse water temperature is to be controlled at 100 ° ±5 °F (37.7 ±2.7 °C).
              (3) Rinse the load again at the same water temperature.
              (4) Bone dry the load as prescribed in section 1.5 and weigh the load.
              (5) This procedure is repeated until there is a weight change of 1 percent or less.
              (6) A final cycle is to be a hot water wash with no detergent, followed by two warm water rinses.
              2.7 Test loads.

              2.7.1 Compact size dryer load. Prepare a bone-dry test load of energy cloths which weighs 3.00 pounds ±.03 pounds. Adjustments to the test load to achieve the proper weight can be made by the use of energy stuffer cloths, with no more than five stuffer cloths per load. Dampen the load by agitating it in water whose temperature is 60 °F ±5 °F and consists of 0 to 17 parts per million hardness for approximately 2 minutes in order to saturate the fabric. Then, extract water from the wet test load by spinning the load until the moisture content of the load is between 54.0-61.0 percent of the bone-dry weight of the test load.
              2.7.2 Standard size dryer load. Prepare a bone-dry test load of energy cloths which weighs 8.45 pounds ±.085 pounds. Adjustments to the test load to achieve the proper weight can be made by the use of energy stuffer cloths, with no more than five stuffer cloths per load. Dampen the load by agitating it in water whose temperature is 60 °F ±5 °F and consists of 0 to 17 parts per million hardness for approximately 2 minutes in order to saturate the fabric. Then, extract water from the wet test load by spinning the load until the moisture content of the load is between 54.0-61.0 percent of the bone-dry weight of the test load.
              2.7.3 Method of loading. Load the energy test cloths by grasping them in the center, shaking them to hang loosely, and then dropping them in the dryer at random.
              2.8 Clothes dryer preconditioning.

              2.8.1 Conventional clothes dryers. For conventional clothes dryers, before any test cycle, operate the dryer without a test load in the non-heat mode for 15 minutes or until the discharge air temperature is varying less than 1 °F for 10 minutes—whichever is longer—in the test installation location with the ambient conditions within the specified test condition tolerances of 2.2.
              2.8.2 Ventless clothes dryers. For ventless clothes dryers, before any test cycle, the steady-state machine temperature must be equal to ambient room temperature described in 2.2.1. This may be done by leaving the machine at ambient room conditions for at least 12 hours between tests.
              3. Test Procedures and Measurements
              3.1 Drum Capacity. Measure the drum capacity by sealing all openings in the drum except the loading port with a plastic bag, and ensuring that all corners and depressions are filled and that there are no extrusions of the plastic bag through any openings in the interior of the drum. Support the dryer's rear drum surface on a platform scale to prevent deflection of the drum surface, and record the weight of the empty dryer. Fill the drum with water to a level determined by the intersection of the door plane and the loading port (i.e., the uppermost edge of the drum that is in contact with the door seal). Record the temperature of the water and then the weight of the dryer with the added water and then determine the mass of the water in pounds. Add the appropriate volume to account for any space in the drum interior not measured by water fill (e.g., the space above the uppermost edge of the drum within a curved door) and subtract the appropriate volume to account for space that is measured by water fill but cannot be used when the door is closed (e.g., space occupied by the door when closed). The drum capacity is calculated as follows:

                C = w/d ±volume adjustment

                C = capacity in cubic feet.

                w = mass of water in pounds.

                d = density of water at the measured temperature in pounds per cubic foot.

              3.2 Dryer Loading. Load the dryer as specified in 2.7.
              3.3 Test cycle. Operate the clothes dryer at the maximum temperature setting and, if equipped with a timer, at the maximum time setting. Any other optional cycle settings that do not affect the temperature or time settings shall be tested in the as-shipped position. If the clothes dryer does not have a separate temperature setting selection on the control panel, the maximum time setting should be used for the drying test cycle. Dry the load until the moisture content of the test load is between 2.5 and 5.0 percent of the bone-dry weight of the test load, at which point the test cycle is stopped, but do not permit the dryer to advance into cool down. If required, reset the timer to increase the length of the drying cycle. After stopping the test cycle, remove and weigh the test load. The clothes dryer shall not be stopped intermittently in the middle of the test cycle for any reason. Record the data specified by section 3.4 of this appendix. If the dryer automatically stops during a cycle because the condensation box is full of water, the test is stopped, and the test run is invalid, in which case the condensation box shall be emptied and the test re-run from the beginning. For ventless dryers, as defined in section 1.19 of this appendix, during the time between two cycles, the door of the dryer shall be closed except for loading (and unloading).
              3.4 Data recording. Record for each test cycle:
              3.4.1 Bone-dry weight of the test load described in 2.7.
              3.4.2 Moisture content of the wet test load before the test, as described in 2.7.
              3.4.3 Moisture content of the dry test load obtained after the test described in 3.3.
              3.4.4 Test room conditions, temperature, and percent relative humidity described in 2.2.1.

              3.4.5 For electric dryers—the total kilowatt-hours of electric energy, Et, consumed during the test described in 3.3.
              3.4.6 For gas dryers:
              3.4.6.1 Total kilowatt-hours of electrical energy, Ete, consumed during the test described in 3.3.
              3.4.6.2 Cubic feet of gas per cycle, Etg, consumed during the test described in 3.3.
              3.4.6.3 Correct the gas heating value, GEF, as measured in 2.3.2.1 and 2.3.2.2, to standard pressure and temperature conditions in accordance with U.S. Bureau of Standards, circular C417, 1938.
              3.5 Test for automatic termination field use factor. The field use factor for automatic termination can be claimed for those dryers which meet the requirements for automatic termination control, defined in 1.4.
              3.6 Standby mode and off mode power. Establish the testing conditions set forth in Section 2 “Testing Conditions” of this appendix. For clothes dryers that take some time to enter a stable state from a higher power state as discussed in Section 5, Paragraph 5.1, Note 1 of IEC 62301 (Second Edition) (incorporated by reference; see § 430.3), allow sufficient time for the clothes dryer to reach the lower power state before proceeding with the test measurement. Follow the test procedure specified in section 5, paragraph 5.3.2 of IEC 62301 (Second Edition) for testing in each possible mode as described in sections 3.6.1 and 3.6.2 of this appendix.

              3.6.1 If a clothes dryer has an inactive mode, as defined in 1.12, measure and record the average inactive mode power of the clothes dryer, PIA, in watts.

              3.6.2 If a clothes dryer has an off mode, as defined in 1.15, measure and record the average off mode power of the clothes dryer, POFF, in watts.
              4. Calculation of Derived Results From Test Measurements
              4.1 Total Per-cycle electric dryer energy consumption. Calculate the total electric dryer energy consumption per cycle, Ece, expressed in kilowatt-hours per cycle and defined as:

              Ece = [53.5/(Ww−Wd)] × Ett × field use,

              Where:

              53.5 = an experimentally established value for the percent reduction in the moisture content of the test load during a laboratory test cycle expressed as a percent.
              field use = field use factor.

               = 1.18 for clothes dryers with time termination control systems only without any automatic termination control functions.
               = 1.04 clothes dryers with automatic control systems that meet the requirements of the definition for automatic control systems in 1.4, 1.14 and 1.18, including those that also have a supplementary timer control, or that may also be manually controlled.

              Ww = the moisture content of the wet test load as recorded in 3.4.2.

              Wd = the moisture content of the dry test load as recorded in 3.4.3.

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

              Ege = [53.5/(Ww−Wd)] × Ete × field use,

              Where:

              Ete = the energy recorded in 3.4.6.1 field use, 53.5, Ww, Wd as defined in 4.1.

              4.3 Per-cycle gas dryer gas energy consumption. Calculate the gas dryer gas energy consumption per cycle, Ege, expressed in Btus per cycle as defined as:

              Egg = [53.5/(Ww − Wd)] × Etg × field use × GEF

              Where:

              Etg = the energy recorded in 3.4.6.2

              GEF = corrected gas heat value (Btu per cubic feet) as defined in 3.4.6.3, field use, 53.5, Ww, Wd as defined in 4.1.

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

              Ecg = Ege + (Egg/3412 Btu/kWh)

              Where:

              Ege as defined in 4.2
              Egg as defined in 4.3

              4.5 Per-cycle standby mode and off mode energy consumption. Calculate the dryer inactive mode and off mode energy consumption per cycle, ETSO, expressed in kWh per cycle and defined as:

              ETSO = [(PIA × SIA) + (POFF × SOFF)] × K/283

              Where:

              PIA = dryer inactive mode power, in watts, as measured in section 3.6.1;
              POFF = dryer off mode power, in watts, as measured in section 3.6.2.

              If the clothes dryer has both inactive mode and off mode, SIA and SOFF both equal 8,620 ÷ 2 = 4,310, where 8,620 is the total inactive and off mode annual hours;

              If the clothes dryer has an inactive mode but no off mode, the inactive mode annual hours, SIA, is equal to 8,620 and the off mode annual hours, SOFF, is equal to 0;

              If the clothes dryer has an off mode but no inactive mode, SIA is equal to 0 and SOFF is equal to 8,620

              Where:

              K = 0.001 kWh/Wh conversion factor for watt-hours to kilowatt-hours; and
              283 = representative average number of clothes dryer cycles in a year.

              4.6 Per-cycle combined total energy consumption expressed in kilowatt-hours. Calculate the per-cycle combined total energy consumption, ECC, expressed in kilowatt-hours per cycle and defined for an electric clothes dryer as:

              ECC = Ece + ETSO

              Where:

              Ece = the energy recorded in section 4.1 of this appendix, and
              ETSO = the energy recorded in section 4.5 of this appendix, and defined for a gas clothes dryer as:
              ECC = Ecg + ETSO

              Where:

              Ecg = the energy recorded in section 4.4 of this appendix, and
              ETSO = the energy recorded in section 4.5 of this appendix.

              4.7 Energy Factor in pounds per kilowatt-hour. Calculate the energy factor, EF, expressed in pounds per kilowatt-hour and defined for an electric clothes dryer as:

              EF = Wbonedry/Ece

              Where:

              Wbonedry = the bone dry test load weight recorded in 3.4.1, and
              Ece = the energy recorded in 4.1, and

              and defined for a gas clothes dryer as:

              EF = Wbonedry/Ecg

              Where:

              Wbonedry = the bone dry test load weight recorded in 3.4.1, and
              Ecg = the energy recorded in 4.4,

              4.8 Combined Energy Factor in pounds per kilowatt-hour. Calculate the combined energy factor, CEF, expressed in pounds per kilowatt-hour and defined as:

              CEF = Wbonedry/ECC

              Where:

              Wbonedry = the bone dry test load weight 3.4.1, and
              ECC = the energy recorded in 4.6
              [76 FR 1032, Jan. 6, 2011, as amended at 78 FR 49645, Aug. 14, 2013]

              Pt. 430, Subpt. B, App. D2
              Appendix D2 to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Clothes Dryers

                Note:

                The procedures in appendix D2 need not be performed to determine compliance with energy conservation standards for clothes dryers at this time. Manufacturers may elect to use the amended appendix D2 early to show compliance with the January 1, 2015 energy conservation standards. Manufacturers must use a single appendix for all representations, including certifications of compliance, and may not use appendix D1 for certain representations and appendix D2 for other representations.

              1. Definitions
              1.1 “Active mode” means a mode in which the clothes dryer is connected to a main power source, has been activated and is performing the main function of tumbling the clothing with or without heated or unheated forced air circulation to remove moisture from the clothing, remove wrinkles or prevent wrinkling of the clothing, or both.
              1.2 “AHAM” means the Association of Home Appliance Manufacturers.
              1.3 “AHAM HLD-1” means the test standard published by the Association of Home Appliance Manufacturers, titled “Household Tumble Type Clothes Dryers,” (2009), AHAM HLD-1-2009 (incorporated by reference; see § 430.3).
              1.4 “Automatic termination control” means a dryer control system with a sensor which monitors either the dryer load temperature or its moisture content and with a controller which automatically terminates the drying process. A mark, detent, or other visual indicator or detent which indicates a preferred automatic termination control setting must be present if the dryer is to be classified as having an “automatic termination control.” A mark is a visible single control setting on one or more dryer controls.
              1.5 “Automatic termination control dryer” means a clothes dryer which can be preset to carry out at least one sequence of operations to be terminated by means of a system assessing, directly or indirectly, the moisture content of the load. An automatic termination control dryer with supplementary timer or that may also be manually controlled shall be tested as an automatic termination control dryer.
              1.6 “Bone dry” means a condition of a load of test clothes which has been dried in a dryer at maximum temperature for a minimum of 10 minutes, removed, and weighed before cool down, and then dried again for 10-minute periods until the final weight change of the load is 1 percent or less.
              1.7 “Compact” or “compact size” means a clothes dryer with a drum capacity of less than 4.4 cubic feet.
              1.8 “Conventional clothes dryer” means a clothes dryer that exhausts the evaporated moisture from the cabinet.
              1.9 “Cool down” means that portion of the clothes drying cycle when the added gas or electric heat is terminated and the clothes continue to tumble and dry within the drum.
              1.10 “Cycle” means a sequence of operation of a clothes dryer which performs a clothes drying operation, and may include variations or combinations of the functions of heating, tumbling, and drying.
              1.11 “Drum capacity” means the volume of the drying drum in cubic feet.
              1.12 “IEC 62301” (Second Edition) means the test standard published by the International Electrotechnical Commission (“IEC”) titled “Household electrical appliances—Measurement of standby power,” Publication 62301 (Edition 2.0 2011-01) (incorporated by reference; see § 430.3).
              1.13 “Inactive mode” means a standby mode that facilitates the activation of active mode by remote switch (including remote control), internal sensor, or timer, or that provides continuous status display.
              1.14 “Moisture content” means the ratio of the weight of water contained by the test load to the bone-dry weight of the test load, expressed as a percent.
              1.15 “Moisture sensing control” means a system which utilizes a moisture sensing element within the dryer drum that monitors the amount of moisture in the clothes and automatically terminates the dryer cycle.
              1.16 “Off mode” means a mode in which the clothes dryer is connected to a main power source and is not providing any active or standby mode function, and where the mode may persist for an indefinite time. An indicator that only shows the user that the product is in the off position is included within the clasification of an off mode.
              1.17 “Standard size” means a clothes dryer with a drum capacity of 4.4 cubic feet or greater.
              1.18 “Standby mode” means any product modes where the energy using product is connected to a mains power source and offers one or more of the following user-oriented or protective functions which may persist for an indefinite time:
              (a) To facilitate the activation of other modes (including activation or deactivation of active mode) by remote switch (including remote control), internal sensor, or timer.

              (b) Continuous functions, including information or status displays (including clocks) or sensor-based functions. A timer is a continuous clock function (which may or may not be associated with a display) that provides regular scheduled tasks (e.g., switching) and that operates on a continuous basis.
              1.19 “Temperature sensing control” means a system which monitors dryer exhaust air temperature and automatically terminates the dryer cycle.
              1.20 “Timer dryer” means a clothes dryer that can be preset to carry out at least one operation to be terminated by a timer, but may also be manually controlled, and does not include any automatic termination function.

              1.21 “Ventless clothes dryer” means a clothes dryer that uses a closed-loop system with an internal condenser to remove the evaporated moisture from the heated air. The moist air is not discharged from the cabinet.

              2. Testing Conditions
              2.1 Installation.

              2.1.1 All clothes dryers. For both conventional clothes dryers and ventless clothes dryers, as defined in sections 1.8 and 1.21 of this appendix, install the clothes dryer in accordance with manufacturer's instructions as shipped with the unit. If the manufacturer's instructions do not specify the installation requirements for a certain component, it shall be tested in the as-shipped condition. Where the manufacturer gives the option to use the dryer both with and without a duct, the dryer shall be tested without the exhaust simulator described in section 3.3.5.1 of AHAM HLD-1 (incorporated by reference; see § 430.3). All external joints should be taped to avoid air leakage. For drying testing, disconnect all lights, such as task lights, that do not provide any information related to the drying process on the clothes dryer and that do not consume more than 10 watts during the clothes dryer test cycle. Control setting indicator lights showing the cycle progression, temperature or dryness settings, or other cycle functions that cannot be turned off during the test cycle shall not be disconnected during the active mode test cycle. For standby and off mode testing, the clothes dryer shall also be installed in accordance with section 5, paragraph 5.2 of IEC 62301 (Second Edition) (incorporated by reference; see § 430.3), disregarding the provisions regarding batteries and the determination, classification, and testing of relevant modes. For standby and off mode testing, all lighting systems shall remain connected.
              2.1.2 Conventional clothes dryers. For conventional clothes dryers, as defined in section 1.8 of this appendix, the dryer exhaust shall be restricted by adding the AHAM exhaust simulator described in section 3.3.5.1 of AHAM HLD-1 (incorporated by reference; see § 430.3).
              2.1.3 Ventless clothes dryers. For ventless clothes dryers, as defined in section 1.21, the dryer shall be tested without the AHAM exhaust simulator. If the manufacturer gives the option to use a ventless clothes dryer, with or without a condensation box, the dryer shall be tested with the condensation box installed. For ventless clothes dryers, the condenser unit of the dryer must remain in place and not be taken out of the dryer for any reason between tests.
              2.2 Ambient temperature and humidity.

              2.2.1 For drying testing, maintain the room ambient air temperature at 75 ±3 F and the room relative humidity at 50 ±10 percent relative humidity.
              2.2.2 For standby and off mode testing, maintain room ambient air temperature conditions as specified in section 4, paragraph 4.2 of IEC 62301 (Second Edition) (incorporated by reference; see § 430.3).
              2.3 Energy supply.

              2.3.1 Electrical supply. Maintain the electrical supply at the clothes dryer terminal block within 1 percent of 120/240 or 120/208Y or 120 volts as applicable to the particular terminal block wiring system and within 1 percent of the nameplate frequency as specified by the manufacturer. If the dryer has a dual voltage conversion capability, conduct the test at the highest voltage specified by the manufacturer.
              2.3.1.1 Supply voltage waveform. For the clothes dryer standby mode and off mode testing, maintain the electrical supply voltage waveform indicated in section 4, paragraph 4.3.2 of IEC 62301 (Second Edition) (incorporated by reference; see § 430.3). If the power measuring instrument used for testing is unable to measure and record the total harmonic content during the test measurement period, it is acceptable to measure and record the total harmonic content immediately before and after the test measurement period.
              2.3.2 Gas supply.

              2.3.2.1 Natural gas. Maintain the gas supply to the clothes dryer immediately ahead of all controls at a pressure of 7 to 10 inches of water column. If the clothes dryer is equipped with a gas appliance pressure regulator for which the manufacturer specifies an outlet pressure, the regulator outlet pressure shall be within ±10 percent of the value recommended by the manufacturer in the installation manual, on the nameplate sticker, or wherever the manufacturer makes such a recommendation for the basic model. The hourly Btu rating of the burner shall be maintained within ±5 percent of the rating specified by the manufacturer. If the requirement to maintain the hourly Btu rating of the burner within ±5 percent of the rating specified by the manufacturer cannot be achieved under the allowable range in gas inlet test pressure, the orifice of the gas burner should be modified as necessary to achieve the required Btu rating. The natural gas supplied should have a heating value of approximately 1,025 Btus per standard cubic foot. The actual heating value, Hn2, in Btus per standard cubic foot, for the natural gas to be used in the test shall be obtained either from measurements made by the manufacturer conducting the test using a standard continuous flow calorimeter as described in section 2.4.6 or by the purchase of bottled natural gas whose Btu rating is certified to be at least as accurate a rating as could be obtained from measurements with a standard continuous flow calorimeter as described in section 2.4.6.
              2.3.2.2 Propane gas. Maintain the gas supply to the clothes dryer immediately ahead of all controls at a pressure of 11 to 13 inches of water column. If the clothes dryer is equipped with a gas appliance pressure regulator for which the manufacturer specifies an outlet pressure, the regulator outlet pressure shall be within ±10 percent of the value recommended by the manufacturer in the installation manual, on the nameplate sticker, or wherever the manufacturer makes such a recommendation for the basic model. The hourly Btu rating of the burner shall be maintained within ±5 percent of the rating specified by the manufacturer. If the requirement to maintain the hourly Btu rating of the burner within ±5 percent of the rating specified by the manufacturer cannot be achieved under the allowable range in gas inlet test pressure, the orifice of the gas burner should be modified as necessary to achieve the required Btu rating. The propane gas supplied should have a heating value of approximately 2,500 Btus per standard cubic foot. The actual heating value, Hp, in Btus per standard cubic foot, for the propane gas to be used in the test shall be obtained either from measurements made by the manufacturer conducting the test using a standard continuous flow calorimeter as described in section 2.4.6 or by the purchase of bottled gas whose Btu rating is certified to be at least as accurate a rating as could be obtained from measurement with a standard continuous calorimeter as described in section 2.4.6.
              2.4 Instrumentation. Perform all test measurements using the following instruments as appropriate.
              2.4.1 Weighing scale for test cloth. The scale shall have a range of 0 to a maximum of 60 pounds with a resolution of at least 0.2 ounces and a maximum error no greater than 0.3 percent of any measured value within the range of 3 to 15 pounds.
              2.4.1.2 Weighing scale for drum capacity measurements. The scale should have a range of 0 to a maximum of 600 pounds with resolution of 0.50 pounds and a maximum error no greater than 0.5 percent of the measured value.
              2.4.2 Kilowatt-hour meter. The kilowatt-hour meter shall have a resolution of 0.001 kilowatt-hours and a maximum error no greater than 0.5 percent of the measured value.
              2.4.3 Gas meter. The gas meter shall have a resolution of 0.001 cubic feet and a maximum error no greater than 0.5 percent of the measured value.
              2.4.4 Dry and wet bulb psychrometer. The dry and wet bulb psychrometer shall have an error no greater than ±1 °F. A relative humidity meter with a maximum error tolerance expressed in °F equivalent to the requirements for the dry and wet bulb psychrometer or with a maximum error tolerance of ±2 percent relative humidity would be acceptable for measuring the ambient humidity.
              2.4.5 Temperature. The temperature sensor shall have an error no greater than ±1 °F.
              2.4.6 Standard Continuous Flow Calorimeter. The calorimeter shall have an operating range of 750 to 3,500 Btu per cubic foot. The maximum error of the basic calorimeter shall be no greater than 0.2 percent of the actual heating value of the gas used in the test. The indicator readout shall have a maximum error no greater than 0.5 percent of the measured value within the operating range and a resolution of 0.2 percent of the full-scale reading of the indicator instrument.
              2.4.7 Standby mode and off mode watt meter. The watt meter used to measure standby mode and off mode power consumption shall meet the requirements specified in section 4, paragraph 4.4 of IEC 62301 (Second Edition) (incorporated by reference; see § 430.3). If the power measuring instrument used for testing is unable to measure and record the crest factor, power factor, or maximum current ratio during the test measurement period, it is acceptable to measure the crest factor, power factor, and maximum current ratio immediately before and after the test measurement period.
              2.5 Lint trap. Clean the lint trap thoroughly before each test run.
              2.6 Test Cloths.

              2.6.1 Energy test cloth. The energy test cloth shall be clean and consist of the following:
              (a) Pure finished bleached cloth, made with a momie or granite weave, which is a blended fabric of 50-percent cotton and 50-percent polyester and weighs within + 10 percent of 5.75 ounces per square yard after test cloth preconditioning, and has 65 ends on the warp and 57 picks on the fill. The individual warp and fill yarns are a blend of 50-percent cotton and 50-percent polyester fibers.
              (b) Cloth material that is 24 inches by 36 inches and has been hemmed to 22 inches by 34 inches before washing. The maximum shrinkage after five washes shall not be more than 4 percent on the length and width.
              (c) The number of test runs on the same energy test cloth shall not exceed 25 runs.
              2.6.2 Energy stuffer cloths. The energy stuffer cloths shall be made from energy test cloth material, and shall consist of pieces of material that are 12 inches by 12 inches and have been hemmed to 10 inches by 10 inches before washing. The maximum shrinkage after five washes shall not be more than 4 percent on the length and width. The number of test runs on the same energy stuffer cloth shall not exceed 25 runs after test cloth preconditioning.
              2.6.3 Test Cloth Preconditioning.

              A new test cloth load and energy stuffer cloths shall be treated as follows:
              (1) Bone dry the load to a weight change of ±1 percent, or less, as prescribed in section 1.6 of this appendix.

              (2) Place the test cloth load in a standard clothes washer set at the maximum water fill level. Wash the load for 10 minutes in soft water (17 parts per million hardness or less), using 60.8 grams of AHAM standard test detergent Formula 3. Wash water temperature should be maintained at 140 °F ±5 °F (60 °C ±2.7 °C). Rinse water temperature is to be controlled at 100 °F ±5 °F (37.7 °C ±2.7 °C).
              (3) Rinse the load again at the same water temperature.
              (4) Bone dry the load as prescribed in section 1.6 of this appendix and weigh the load.
              (5) This procedure is repeated until there is a weight change of 1 percent or less.
              (6) A final cycle is to be a hot water wash with no detergent, followed by two warm water rinses.
              2.7 Test loads.

              2.7.1 Compact size dryer load. Prepare a bone-dry test load of energy cloths that weighs 3.00 pounds ±.03 pounds. The test load can be adjusted to achieve proper weight by adding energy stuffer cloths, but no more than five stuffer cloths may be added per load. Dampen the load by agitating it in water whose temperature is 60 °F ±5 °F and consists of 0 to 17 parts per million hardness for approximately 2 minutes to saturate the fabric. Then, extract water from the wet test load by spinning the load until the moisture content of the load is between 52.5 and 57.5 percent of the bone-dry weight of the test load. Make a final mass adjustment, such that the moisture content is 57.5 percent ±0.33 percent by adding water uniformly distributed among all of the test clothes in a very fine spray using a spray bottle.
              2.7.2 Standard size dryer load. Prepare a bone-dry test load of energy cloths that weighs 8.45 pounds ±.085 pounds. The test load can be adjusted to achieve proper weight by adding stuffer cloths, but no more than five stuffer cloths may be added per load. Dampen the load by agitating it in water whose temperature is 60 °F ±5 °F and consists of 0 to 17 parts per million hardness for approximately 2 minutes to saturate the fabric. Then, extract water from the wet test load by spinning the load until the moisture content of the load is between 52.5 and 57.5 percent of the bone-dry weight of the test load. Make a final mass adjustment, such that the moisture content is 57.5 percent ±0.33 percent by adding water uniformly distributed among all of the test clothes in a very fine spray using a spray bottle.
              2.7.3 Method of loading. Load the energy test cloths by grasping them in the center, shaking them to hang loosely, and then dropping them in the dryer at random.
              2.8 Clothes dryer preconditioning.

              2.8.1 Conventional clothes dryers. For conventional clothes dryers, before any test cycle, operate the dryer without a test load in the non-heat mode for 15 minutes or until the discharge air temperature is varying less than 1 °F for 10 minutes—whichever is longer—in the test installation location with the ambient conditions within the specified test condition tolerances of 2.2.
              2.8.2 Ventless clothes dryers. For ventless clothes dryers, before any test cycle, the steady-state machine temperature must be equal to ambient room temperature described in 2.2.1. This may be done by leaving the machine at ambient room conditions for at least 12 hours between tests.
              3. Test Procedures and Measurements
              3.1 Drum Capacity. Measure the drum capacity by sealing all openings in the drum except the loading port with a plastic bag, and ensuring that all corners and depressions are filled and that there are no extrusions of the plastic bag through any openings in the interior of the drum. Support the dryer's rear drum surface on a platform scale to prevent deflection of the drum surface, and record the weight of the empty dryer. Fill the drum with water to a level determined by the intersection of the door plane and the loading port (i.e., the uppermost edge of the drum that is in contact with the door seal). Record the temperature of the water and then the weight of the dryer with the added water and then determine the mass of the water in pounds. Add the appropriate volume to account for any space in the drum interior not measured by water fill (e.g., the space above the uppermost edge of the drum within a curved door) and subtract the appropriate volume to account for the space that is measured by water fill but cannot be used when the door is closed (e.g., space occupied by the door when closed). The drum capacity is calculated as follows:

                C= w/d ±volume adjustment

                C = capacity in cubic feet.

                w = mass of water in pounds.

                d = density of water at the measured temperature in pounds per cubic foot.
              3.2 Dryer Loading. Load the dryer as specified in 2.7.
              3.3 Test cycle.

              3.3.1 Timer dryers. For timer dryers, as defined in section 1.20 of this appendix, operate the clothes dryer at the maximum temperature setting and, if equipped with a timer, at the maximum time setting. Any other optional cycle settings that do not affect the temperature or time settings shall be tested in the as-shipped position. If the clothes dryer does not have a separate temperature setting selection on the control panel, the maximum time setting should be used for the drying test cycle. Dry the load until the moisture content of the test load is between 1 and 2.5 percent of the bone-dry weight of the test load, at which point the test cycle is stopped, but do not permit the dryer to advance into cool down. If required, reset the timer to increase the length of the drying cycle. After stopping the test cycle, remove and weigh the test load. The clothes dryer shall not be stopped intermittently in the middle of the test cycle for any reason. Record the data specified by section 3.4 of this appendix. If the dryer automatically stops during a cycle because the condensation box is full of water, the test is stopped, and the test run is invalid, in which case the condensation box shall be emptied and the test re-run from the beginning. For ventless dryers, as defined in section 1.21 of this appendix, during the time between two cycles, the door of the dryer shall be closed except for loading (and unloading).
              3.3.2 Automatic termination control dryers. For automatic termination control dryers, as defined in section 1.5 of this appendix, a “normal” program shall be selected for the test cycle. For dryers that do not have a “normal” program, the cycle recommended by the manufacturer for drying cotton or linen clothes shall be selected. Where the drying temperature setting can be chosen independently of the program, it shall be set to the maximum. Where the dryness level setting can be chosen independently of the program, it shall be set to the “normal” or “medium” dryness level setting. If such designation is not provided, then the dryness level shall be set at the mid-point between the minimum and maximum settings. Any other optional cycle settings that do not affect the program, temperature or dryness settings shall be tested in the as-shipped position. Operate the clothes dryer until the completion of the programmed cycle, including the cool down period. The cycle shall be considered complete when the dryer indicates to the user that the cycle has finished (by means of a display, indicator light, audible signal, or other signal) and the heater and drum/fan motor shuts off for the final time. If the clothes dryer is equipped with a wrinkle prevention mode (i.e., that continuously or intermittently tumbles the clothes dryer drum after the clothes dryer indicates to the user that the cycle has finished) that is activated by default in the as-shipped position or if manufacturers' instructions specify that the feature is recommended to be activated for normal use, the cycle shall be considered complete after the end of the wrinkle prevention mode. After the completion of the test cycle, remove and weigh the test load. Record the data specified in section 3.4 of this appendix. If the final moisture content is greater than 2 percent, the test shall be invalid and a new run shall be conducted using the highest dryness level setting. If the dryer automatically stops during a cycle because the condensation box is full of water, the test is stopped, and the test run is invalid, in which case the condensation box shall be emptied and the test re-run from the beginning. For ventless dryers, during the time between two cycles, the door of the dryer shall be closed except for loading (and unloading).
              3.4 Data recording. Record for each test cycle:
              3.4.1 Bone-dry weight of the test load described in 2.7.
              3.4.2 Moisture content of the wet test load before the test, as described in 2.7.
              3.4.3 Moisture content of the dry test load obtained after the test described in 3.3.
              3.4.4 Test room conditions, temperature, and percent relative humidity described in 2.2.1.

              3.4.5 For electric dryers—the total kilowatt-hours of electric energy, Et, consumed during the test described in 3.3.
              3.4.6 For gas dryers:
              3.4.6.1 Total kilowatt-hours of electrical energy, Ete, consumed during the test described in 3.3.
              3.4.6.2 Cubic feet of gas per cycle, Etg, consumed during the test described in 3.3.
              3.4.6.3 Correct the gas heating value, GEF, as measured in 2.3.2.1 and 2.3.2.2, to standard pressure and temperature conditions in accordance with U.S. Bureau of Standards, circular C417, 1938.
              3.4.7 The cycle settings selected, in accordance with section 3.3.2 of this appendix, for the automatic termination control dryer test.
              3.5 Test for automatic termination field use factor. The field use factor for automatic termination can be claimed for those dryers which meet the requirements for automatic termination control, defined in 1.4.
              3.6 Standby mode and off mode power. Establish the testing conditions set forth in Section 2 “Testing Conditions” of this appendix. For clothes dryers that take some time to enter a stable state from a higher power state as discussed in Section 5, Paragraph 5.1, Note 1 of IEC 62301 (Second Edition) (incorporated by reference; see § 430.3), allow sufficient time for the clothes dryer to reach the lower power state before proceeding with the test measurement. Follow the test procedure specified in section 5, paragraph 5.3.2 of IEC 62301 (Second Edition) for testing in each possible mode as described in sections 3.6.1 and 3.6.2 of this appendix.

              3.6.1 If a clothes dryer has an inactive mode, as defined in section 1.13 of this appendix, measure and record the average inactive mode power of the clothes dryer, PIA, in watts.

              3.6.2 If a clothes dryer has an off mode, as defined in section 1.16 of this appendix, measure and record the average off mode power of the clothes dryer, POFF, in watts.
              4. Calculation of Derived Results From Test Measurements
              4.1 Total per-cycle electric dryer energy consumption. Calculate the total electric dryer energy consumption per cycle, Ece, expressed in kilowatt-hours per cycle and defined as:
              Ece = Et,
              for automatic termination control dryers, and,
              Ece = [55.5/(Ww− Wd)] × Et × field use,
              for timer dryers

                Where:

              55.5 = an experimentally established value for the percent reduction in the moisture content of the test load during a laboratory test cycle expressed as a percent.
              Et = the energy recorded in section 3.4.5 of this appendix
              field use = 1.18, the field use factor for clothes dryers with time termination control systems only without any automatic termination control functions.
              Ww = the moisture content of the wet test load as recorded in section 3.4.2 of this appendix.
              Wd = the moisture content of the dry test load as recorded in section 3.4.3 of this appendix.
              4.2 Per-cycle gas dryer electrical energy consumption. Calculate the gas dryer electrical energy consumption per cycle, Ege, expressed in kilowatt-hours per cycle and defined as:
              Ege = Ete,
              for automatic termination control dryers, and,
              Ege = [55.5/(Ww −Wd)] × Ete × field use,
              for timer dryers

                Where:

              Ete = the energy recorded in section 3.4.6.1 of this appendix.
              field use, 55.5, Ww, Wd as defined in section 4.1 of this appendix.
              4.3 Per-cycle gas dryer gas energy consumption. Calculate the gas dryer gas energy consumption per cycle, Ege, expressed in Btus per cycle and defined as:
              Egg = Etg × GEF
              for automatic termination control dryers, and,
              Egg = [55.5/(Ww −Wd)] × Etg × field use × GEF
              for timer dryers

                Where:

              Etg = the energy recorded in section 3.4.6.2 of this appendix.
              GEF = corrected gas heat value (Btu per cubic foot) as defined in section 3.4.6.3 of this appendix,
              field use, 55.5, Ww, Wd as defined in section 4.1 of this appendix.
              4.4 Total per-cycle gas dryer energy consumption expressed in kilowatt-hours. Calculate the total gas dryer energy consumption per cycle, Ecg, expressed in kilowatt-hours per cycle and defined as:
              Ecg = Ege + (Egg/3412 Btu/kWh)

                Where:

              Ege = the energy calculated in section 4.2 of this appendix
              Egg = the energy calculated in section 4.3 of this appendix
              4.5 Per-cycle standby mode and off mode energy consumption. Calculate the dryer inactive mode and off mode energy consumption per cycle, ETSO, expressed in kWh per cycle and defined as:
              ETSO = [(PIA × SIA) + (POFF × SOFF)] × K/283

                Where:

              PIA = dryer inactive mode power, in watts, as measured in section 3.6.1;
              POFF = dryer off mode power, in watts, as measured in section 3.6.2.

              If the clothes dryer has both inactive mode and off mode, SIA and SOFF both equal 8,620 ÷ 2 = 4,310, where 8,620 is the total inactive and off mode annual hours;

              If the clothes dryer has an inactive mode but no off mode, the inactive mode annual hours, SIA, is equal to 8,620 and the off mode annual hours, SOFF, is equal to 0;

              If the clothes dryer has an off mode but no inactive mode, SIA is equal to 0 and SOFF is equal to 8,620

                Where:

              K = 0.001 kWh/Wh conversion factor for watt-hours to kilowatt-hours; and
              283 = representative average number of clothes dryer cycles in a year.
              4.6 Per-cycle combined total energy consumption expressed in kilowatt-hours. Calculate the per-cycle combined total energy consumption, ECC, expressed in kilowatt-hours per cycle and defined for an electric clothes dryer as:
              ECC = Ece + ETSO

                Where:

              Ece = the energy calculated in section 4.1 of this appendix, and
              ETSO = the energy calculated in section 4.5 of this appendix, and defined for a gas clothes dryer as:
              ECC = Ecg + ETSO

                Where:

              Ecg = the energy calculated in section 4.4 of this appendix, and
              ETSO = the energy calculated in section 4.5 of this appendix.
              4.7 Energy Factor in pounds per kilowatt-hour. Calculate the energy factor, EF, expressed in pounds per kilowatt-hour and defined for an electric clothes dryer as:
              EF = Wbonedry/Ece

                Where:

              Wbonedry = the bone dry test load weight recorded in section 3.4.1 of this appendix, and
              Ece = the energy calculated in section 4.1 of this appendix,and defined for a gas clothes dryer as:
              EF = Wbonedry/Ecg

                Where:

              Wbonedry = the bone dry test load weight recorded in section 3.4.1 of this appendix, and
              Ecg = the energy calculated in section 4.4 of this appendix,
              4.8 Combined Energy Factor in pounds per kilowatt-hour. Calculate the combined energy factor, CEF, expressed in pounds per kilowatt-hour and defined as:
              CEF = Wbonedry/ECC

                Where:

              Wbonedry = the bone dry test load weight recorded in section 3.4.1 of this appendix, and
              ECC = the energy calculated in section 4.6 of this appendix.
              [78 FR 49647, Aug. 14, 2013]

              Pt. 430, Subpt. B, App. E
              Appendix E to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Water Heaters

                Note:
                After December 31, 2015, any representations made with respect to the energy use or efficiency of residential water heaters and commercial water heaters covered by this test method must be made in accordance with the results of testing pursuant to this appendix. (Because the statute permits use of a conversion factor until the later of December 31, 2015 or one year after publication of a conversion factor final rule, DOE may amend the mandatory compliance date for use of this amended test procedure, as necessary.)
                Manufacturers conducting tests of residential water heaters and commercial water heaters covered by this test method after July 13, 2015, and prior to December 31, 2015, must conduct such test in accordance with either this appendix or the previous test method. For residential water heaters, the previous test method is appendix E as it appeared at 10 CFR part 430, subpart B, appendix E, in the 10 CFR parts 200 to 499 edition revised as of January 1, 2014. For commercial water heaters, the previous test method is 10 CFR 431.106 in the 10 CFR parts 200 to 499 edition revised as of January 1, 2014. Any representations made with respect to the energy use or efficiency of such water heaters must be in accordance with whichever version is selected.

              1. Definitions.
              1.1. Cut-in means the time when or water temperature at which a water heater control or thermostat acts to increase the energy or fuel input to the heating elements, compressor, or burner.
              1.2. Cut-out means the time when or water temperature at which a water heater control or thermostat acts to reduce to a minimum the energy or fuel input to the heating elements, compressor, or burner.
              1.3. Design Power Rating means the nominal power rating that a water heater manufacturer assigns to a particular design of water heater, expressed in kilowatts or Btu (kJ) per hour as appropriate.
              1.4. Draw Cluster means a collection of water draws initiated during the simulated-use test during which no successive draws are separated by more than 2 hours.
              1.5. First-Hour Rating means an estimate of the maximum volume of “hot” water that a storage-type water heater can supply within an hour that begins with the water heater fully heated (i.e., with all thermostats satisfied). It is a function of both the storage volume and the recovery rate.
              1.6. Flow-activated describes an operational scheme in which a water heater initiates and terminates heating based on sensing flow.
              1.7. Heat Trap means a device that can be integrally connected or independently attached to the hot and/or cold water pipe connections of a water heater such that the device will develop a thermal or mechanical seal to minimize the recirculation of water due to thermal convection between the water heater tank and its connecting pipes.
              1.8. Maximum GPM (L/min) Rating means the maximum gallons per minute (liters per minute) of hot water that can be supplied by an instantaneous water heater while maintaining a nominal temperature rise of 67 °F (37.3 °C) during steady-state operation, as determined by testing in accordance with section 5.3.2 of this appendix.
              1.9. Rated Storage Volume means the water storage capacity of a water heater, in gallons (liters), as certified by the manufacturer pursuant to 10 CFR part 429.
              1.10. Recovery Efficiency means the ratio of energy delivered to the water to the energy content of the fuel consumed by the water heater.
              1.11. Recovery Period means the time when the main burner of a storage water heater is raising the temperature of the stored water.
              1.12. Standby means the time, in hours, during which water is not being withdrawn from the water heater. There are two standby time intervals used within this test procedure: τstby,1 represents the elapsed time between the time at which the maximum mean tank temperature is observed after the first draw cluster and the minute prior to the start of the first draw following the end of the first draw cluster of the 24-hour simulated-use test; τstby,2 represents the total time during the 24-hour simulated-use test when water is not being withdrawn from the water heater.
              1.13. Symbol Usage. The following identity relationships are provided to help clarify the symbology used throughout this procedure:

                C
                p—specific heat of water

                E
                annual—annual energy consumption of a water heater

                E
                annual,e—annual electrical energy consumption of a water heater

                E
                annual,f—annual fossil-fuel energy consumption of a water heater

                F
                hr—first-hour rating of a storage-type water heater

                F
                max—maximum GPM (L/min) rating of an instantaneous water heater rated at a temperature rise of 67 °F (37.3 °C)

                i—a subscript to indicate the draw number during a test

                M
                i—mass of water removed during the ith draw of the 24-hour simulated-use test

                M*i—for storage-type water heaters, mass of water removed during the ith draw during the first-hour rating test

                M
                10m—for instantaneous water heaters, mass of water removed continuously during a 10-minute interval in the maximum GPM (L/min) rating test

                n—for storage-type water heaters, total number of draws during the first-hour rating test

                N—total number of draws during the 24-hour simulated-use test

                Q—total fossil fuel and/or electric energy consumed during the entire 24-hour simulated-use test

                Q
                d—daily water heating energy consumption adjusted for net change in internal energy

                Q
                da—Qd with adjustment for variation of tank to ambient air temperature difference from nominal value

                Q
                dm—overall adjusted daily water heating energy consumption including Qda and QHWD

                Q
                e—total electrical energy used during the 24-hour simulated-use test

                Q
                f—total fossil fuel energy used by the water heater during the 24-hour simulated-use test

                Q
                hr—hourly standby losses

                Q
                HW—daily energy consumption to heat water at the measured average temperature rise across the water heater

                Q
                HW,67 °F—daily energy consumption to heat quantity of water removed during test over a temperature rise of 67 °F (37.3 °C)

                Q
                HWD—adjustment to daily energy consumption, QHW, due to variation of the temperature rise across the water heater not equal to the nominal value of 67 °F

                Q
                r—energy consumption of water heater from the beginning of the test to the end of the first recovery period following the first draw, which may extend beyond subsequent draws

                Q
                stby—total energy consumed by the water heater during the standby time interval τstby,1

                Q
                su,0—total fossil fuel and/or electric energy consumed from the beginning of the test to the end of the cutout following the first draw cluster

                Q
                su,f—total fossil fuel and/or electric energy consumed from the beginning of the test to the initiation of the first draw following the first draw cluster

                T

                0—mean tank temperature at the beginning of the 24-hour simulated-use test

                T

                24—mean tank temperature at the end of the 24-hour simulated-use test

                T

                a,stby—average ambient air temperature during standby periods of the 24-hour simulated-use test

                T

                del—for flow-activated water heaters, average outlet water temperature during a 10-minute continuous draw interval in the maximum GPM (L/min) rating test

                T

                del,i—average outlet water temperature during the ith draw of the 24-hour simulated-use test

                T

                in—for flow-activated water heaters, average inlet water temperature during a 10-minute continuous draw interval in the maximum GPM (L/min) rating test

                T

                in,i—average inlet water temperature during the ith draw of the 24-hour simulated-use test

                T

                max,1—maximum measured mean tank temperature after cut-out following the first draw of the 24-hour simulated-use test

                T

                su,0—maximum measured mean tank temperature at the beginning of the standby period which occurs after cut-out following the final draw of the first draw cluster

                T

                su,f—measured mean tank temperature at the end of the standby period which occurs at the minute prior to commencement of the first draw that follows the end of the first draw cluster

                T
                *del,i—for storage-type water heaters, average outlet water temperature during the ith draw (i = 1 to n) of the first-hour rating test

                T
                *max,i—for storage-type water heaters, maximum outlet water temperature observed during the ith draw (i = 1 to n) of the first-hour rating test

                T
                *min,i—for storage-type water heaters, minimum outlet water temperature to terminate the ith draw (i = 1 to n) of the first-hour rating test

                UA—standby loss coefficient of a storage-type water heater

                UEF—uniform energy factor of a water heater

                V
                i—volume of water removed during the ith draw (i = 1 to N) of the 24-hour simulated-use test

                V*
                i—volume of water removed during the ith draw (i = 1 to n) of the first-hour rating test

                V
                10m—for flow-activated water heaters, volume of water removed continuously during a 10-minute interval in the maximum GPM (L/min) rating test

                V
                st—measured storage volume of the storage tank

                W
                f—weight of storage tank when completely filled with water

                W
                t—tare weight of storage tank when completely empty of water

                η
                r—recovery efficiency

                ρ—density of water

                τ
                stby,1—elapsed time between the time the maximum mean tank temperature is observed after the first draw cluster and the minute prior to the start of the first draw following the first draw cluster

                τ
                stby,2—overall time of standby periods when no water is withdrawn during the 24-hour simulated-use test

              1.14. Temperature controller means a device that is available to the user to adjust the temperature of the water inside a storage-type water heater or the outlet water temperature.
              1.15. Uniform Energy Factor means the measure of water heater overall efficiency.
              2. Test Conditions.
              2.1 Installation Requirements. Tests shall be performed with the water heater and instrumentation installed in accordance with section 4 of this appendix.
              2.2 Ambient Air Temperature. The ambient air temperature shall be maintained between 65.0 °F and 70.0 °F (18.3 °C and 21.1 °C) on a continuous basis. For heat pump water heaters, the dry bulb temperature shall be maintained at 67.5 °F ±1 °F (19.7 °C ±0.6 °C) and the relative humidity shall be maintained at 50% ±2% throughout the test.
              2.3 Supply Water Temperature. The temperature of the water being supplied to the water heater shall be maintained at 58 °F ±2 °F (14.4 °C ±1.1 °C) throughout the test.
              2.4 Outlet Water Temperature. The temperature controllers of a storage-type water heater shall be set so that water is delivered at a temperature of 125 °F ±5 °F (51.7 °C ±2.8 °C).
              2.5 Set Point Temperature. The temperature controller of instantaneous water heaters shall be set to deliver water at a temperature of 125 °F ±5 °F (51.7 °C ±2.8 °C).
              2.6 Supply Water Pressure. During the test when water is not being withdrawn, the supply pressure shall be maintained between 40 psig (275 kPa) and the maximum allowable pressure specified by the water heater manufacturer.
              2.7 Electrical and/or Fossil Fuel Supply.

              2.7.1 Electrical. Maintain the electrical supply voltage to within ±1% of the center of the voltage range specified by the water heater and/or heat pump manufacturer.
              2.7.2 Natural Gas. Maintain the supply pressure in accordance with the manufacturer's specifications. If the supply pressure is not specified, maintain a supply pressure of 7-10 inches of water column (1.7-2.5 kPa). If the water heater is equipped with a gas appliance pressure regulator, the regulator outlet pressure shall be within ±10% of the manufacturer's specified manifold pressure. For all tests, use natural gas having a heating value of approximately 1,025 Btu per standard cubic foot (38,190 kJ per standard cubic meter).
              2.7.3 Propane Gas. Maintain the supply pressure in accordance with the manufacturer's specifications. If the supply pressure is not specified, maintain a supply pressure of 11-13 inches of water column (2.7-3.2 kPa). If the water heater is equipped with a gas appliance pressure regulator, the regulator outlet pressure shall be within ±10% of the manufacturer's specified manifold pressure. For all tests, use propane gas with a heating value of approximately 2,500 Btu per standard cubic foot (93,147 kJ per standard cubic meter).
              2.7.4 Fuel Oil Supply. Maintain an uninterrupted supply of fuel oil. Use fuel oil having a heating value of approximately 138,700 Btu per gallon (38,660 kJ per liter).
              3. Instrumentation
              3.1 Pressure Measurements. Pressure-measuring instruments shall have an error no greater than the following values:

                  Item measured
                  Instrument accuracy
                  Instrument precision

                  Gas pressure
                  ±0.1 inch of water column (±0.025 kPa)
                  ±0.05 inch of water column (±0.012 kPa).

                  Atmospheric pressure
                  ±0.1 inch of mercury column (±0.34 kPa)
                  ±0.05 inch of mercury column (±0.17 kPa).

                  Water pressure
                  ±1.0 pounds per square inch (±6.9 kPa)
                  ±0.50 pounds per square inch (±3.45 kPa).

              3.2 Temperature Measurement

              3.2.1 Measurement. Temperature measurements shall be made in accordance with the Standard Method for Temperature Measurement, ASHRAE 41.1-1986 (incorporated by reference, see § 430.3).
              3.2.2 Accuracy and Precision. The accuracy and precision of the instruments, including their associated readout devices, shall be within the following limits:

                  Item measured
                  Instrument accuracy
                  Instrument precision

                  Air dry bulb temperature
                  ±0.2 °F (±0.1 °C)
                  ±0.1 °F (±0.06 °C).

                  Air wet bulb temperature
                  ±0.2 °F (±0.1 °C)
                  ±0.1 °F (±0.06 °C).

                  Inlet and outlet water temperatures
                  ±0.2 °F (±0.1 °C)
                  ±0.1 °F (±0.06 °C).

                  Storage tank temperatures
                  ±0.5 °F (±0.3 °C)
                  ±0.25 °F (±0.14 °C).

              3.2.3 Scale Division. In no case shall the smallest scale division of the instrument or instrument system exceed 2 times the specified precision.
              3.2.4 Temperature Difference Temperature difference between the entering and leaving water may be measured with any of the following:

              a. A thermopile
              b. Calibrated resistance thermometers
              c. Precision thermometers
              d. Calibrated thermistors
              e. Calibrated thermocouples
              f. Quartz thermometers

              3.2.5 Thermopile Construction. If a thermopile is used, it shall be made from calibrated thermocouple wire taken from a single spool. Extension wires to the recording device shall also be made from that same spool.
              3.2.6 Time Constant. The time constant of the instruments used to measure the inlet and outlet water temperatures shall be no greater than 2 seconds.
              3.3 Liquid Flow Rate Measurement. The accuracy of the liquid flow rate measurement, using the calibration if furnished, shall be equal to or less than ±1% of the measured value in mass units per unit time.
              3.4 Electrical Energy. The electrical energy used shall be measured with an instrument and associated readout device that is accurate within ±0.5% of the reading.
              3.5 Fossil Fuels. The quantity of fuel used by the water heater shall be measured with an instrument and associated readout device that is accurate within ±1% of the reading.
              3.6 Mass Measurements. For mass measurements greater than or equal to 10 pounds (4.5 kg), a scale that is accurate within ±0.5% of the reading shall be used to make the measurement. For mass measurements less than 10 pounds (4.5 kg), the scale shall provide a measurement that is accurate within ±0.1 pound (0.045 kg).
              3.7 Heating Value. The higher heating value of the natural gas, propane, or fuel oil shall be measured with an instrument and associated readout device that is accurate within ±1% of the reading. The heating values of natural gas and propane must be corrected from those reported at standard temperature and pressure conditions to provide the heating value at the temperature and pressure measured at the fuel meter.
              3.8 Time. The elapsed time measurements shall be measured with an instrument that is accurate within ±0.5 seconds per hour.
              3.9 Volume. Volume measurements shall be measured with an accuracy of ±2% of the total volume.
              3.10 Relative Humidity. If a relative humidity (RH) transducer is used to measure the relative humidity of the surrounding air while testing heat pump water heaters, the relative humidity shall be measured with an accuracy of ±1.5% RH.
              4. Installation
              4.1 Water Heater Mounting. A water heater designed to be freestanding shall be placed on a 3/4 inch (2 cm) thick plywood platform supported by three 2×4 inch (5 cm×10 cm) runners. If the water heater is not approved for installation on combustible flooring, suitable non-combustible material shall be placed between the water heater and the platform. Counter-top water heaters shall be placed against a simulated wall section. Wall-mounted water heaters shall be supported on a simulated wall in accordance with the manufacturer-published installation instructions. When a simulated wall is used, the construction shall be 2×4 inch (5 cm×10 cm) studs, faced with 3/4 inch (2 cm) plywood. For heat pump water heaters not delivered as a single package, the units shall be connected in accordance with the manufacturer-published installation instructions and the overall system shall be placed on the above-described plywood platform. If installation instructions are not provided by the heat pump manufacturer, uninsulated 8 foot (2.4 m) long connecting hoses having an inside diameter of 5/8 inch (1.6 cm) shall be used to connect the storage tank and the heat pump water heater. The testing of the water heater shall occur in an area that is protected from drafts of more than 50 ft/min (0.25 m/s) from room ventilation registers, windows, or other external sources of air movement.
              4.2 Water Supply. Connect the water heater to a water supply capable of delivering water at conditions as specified in sections 2.3 and 2.6 of this appendix.
              4.3 Water Inlet and Outlet Configuration. For freestanding water heaters that are taller than 36 inches (91.4 cm), inlet and outlet piping connections shall be configured in a manner consistent with Figures 1 and 2 of section 6.4.6 of this appendix. Inlet and outlet piping connections for wall-mounted water heaters shall be consistent with Figure 3 of section 6.4.6 of this appendix. For freestanding water heaters that are 36 inches or less in height and not supplied as part of a counter-top enclosure (commonly referred to as an under-the-counter model), inlet and outlet piping shall be installed in a manner consistent with Figures 4, 5, or 6 of section 6.4.6 of this appendix. For water heaters that are supplied with a counter-top enclosure, inlet and outlet piping shall be made in a manner consistent with Figures 7a and 7b of section 6.4.6 of this appendix, respectively. The vertical piping noted in Figures 7a and 7b shall be located (whether inside the enclosure or along the outside in a recessed channel) in accordance with the manufacturer-published installation instructions.

              All dimensions noted in Figures 1 through 7 of section 6.4.6 of this appendix must be achieved. All piping between the water heater and inlet and outlet temperature sensors, noted as TIN and TOUT in the figures, shall be Type “L” hard copper having the same diameter as the connections on the water heater. Unions may be used to facilitate installation and removal of the piping arrangements. Install a pressure gauge and diaphragm expansion tank in the supply water piping at a location upstream of the inlet temperature sensor. Install an appropriately rated pressure and temperature relief valve on all water heaters at the port specified by the manufacturer. Discharge piping for the relief valve must be non-metallic. If heat traps, piping insulation, or pressure relief valve insulation are supplied with the water heater, they must be installed for testing. Except when using a simulated wall, provide sufficient clearance such that none of the piping contacts other surfaces in the test room.
              4.4 Fuel and/or Electrical Power and Energy Consumption. Install one or more instruments that measure, as appropriate, the quantity and rate of electrical energy and/or fossil fuel consumption in accordance with section 3 of this appendix.
              4.5 Internal Storage Tank Temperature Measurements. For water heaters with rated storage volumes greater than or equal to 20 gallons, install six temperature measurement sensors inside the water heater tank with a vertical distance of at least 4 inches (100 mm) between successive sensors. For water heaters with rated storage volumes between 2 and 20 gallons, install three temperature measurement sensors inside the water heater tank. Position a temperature sensor at the vertical midpoint of each of the six equal volume nodes within a tank larger than 20 gallons or the three equal volume nodes within a tank between 2 and 20 gallons. Nodes designate the equal volumes used to evenly partition the total volume of the tank. As much as is possible, the temperature sensor should be positioned away from any heating elements, anodic protective devices, tank walls, and flue pipe walls. If the tank cannot accommodate six temperature sensors and meet the installation requirements specified above, install the maximum number of sensors that comply with the installation requirements. Install the temperature sensors through: (1) The anodic device opening; (2) the relief valve opening; or (3) the hot water outlet. If installed through the relief valve opening or the hot water outlet, a tee fitting or outlet piping, as applicable, must be installed as close as possible to its original location. If the relief valve temperature sensor is relocated, and it no longer extends into the top of the tank, install a substitute relief valve that has a sensing element that can reach into the tank. If the hot water outlet includes a heat trap, install the heat trap on top of the tee fitting. Cover any added fittings with thermal insulation having an R value between 4 and 8 h·ft2· °F/Btu (0.7 and 1.4 m2· °C/W).
              4.6 Ambient Air Temperature Measurement. Install an ambient air temperature sensor at the vertical mid-point of the water heater and approximately 2 feet (610 mm) from the surface of the water heater. Shield the sensor against radiation.
              4.7 Inlet and Outlet Water Temperature Measurements. Install temperature sensors in the cold-water inlet pipe and hot-water outlet pipe as shown in Figures 1, 2, 3, 4, 5, 6, 7a, and 7b of section 6.4.6 of this appendix, as applicable.
              4.8 Flow Control. Install a valve or valves to provide flow as specified in sections 5.3 and 5.4 of this appendix.
              4.9 Flue Requirements.

              4.9.1 Gas-Fired Water Heaters. Establish a natural draft in the following manner. For gas-fired water heaters with a vertically discharging draft hood outlet, connect to the draft hood outlet a 5-foot (1.5-meter) vertical vent pipe extension with a diameter equal to the largest flue collar size of the draft hood. For gas-fired water heaters with a horizontally discharging draft hood outlet, connect to the draft hood outlet a 90-degree elbow with a diameter equal to the largest flue collar size of the draft hood, connect a 5-foot (1.5-meter) length of vent pipe to that elbow, and orient the vent pipe to discharge vertically upward. Install direct-vent gas-fired water heaters with venting equipment specified in the manufacturer's instructions using the minimum vertical and horizontal lengths of vent pipe recommended by the manufacturer.
              4.9.2 Oil-Fired Water Heaters. Establish a draft at the flue collar at the value specified in the manufacturer's instructions. Establish the draft by using a sufficient length of vent pipe connected to the water heater flue outlet, and directed vertically upward. For an oil-fired water heater with a horizontally discharging draft hood outlet, connect to the draft hood outlet a 90-degree elbow with a diameter equal to the largest flue collar size of the draft hood, connect to the elbow fitting a length of vent pipe sufficient to establish the draft, and orient the vent pipe to discharge vertically upward. Direct-vent oil-fired water heaters should be installed with venting equipment as specified in the manufacturer's instructions, using the minimum vertical and horizontal lengths of vent pipe recommended by the manufacturer.
              5. Test Procedures
              5.1 Operational Mode Selection. For water heaters that allow for multiple user-selected operational modes, all procedures specified in this appendix shall be carried out with the water heater in the same operational mode (i.e., only one mode). This operational mode shall be the default mode (or similarly-named, suggested mode for normal operation) as defined by the manufacturer in its product literature for giving selection guidance to the consumer. For heat pump water heaters, if a default mode is not defined in the product literature, each test shall be conducted under an operational mode in which both the heat pump and any electric resistance backup heating element(s) are activated by the unit's control scheme, and which can achieve the internal storage tank temperature specified in this test procedure; if multiple operational modes meet these criteria, the water heater shall be tested under the most energy-intensive mode. If no default mode is specified and the unit does not offer an operational mode that utilizes both the heat pump and the electric resistance backup heating element(s), the first-hour rating test and the simulated-use test shall be tested in heat-pump-only mode. For other types of water heaters where a default mode is not specified, test the unit in all modes and rate the unit using the results of the most energy-intensive mode.
              5.2 Water Heater Preparation.

              5.2.1 Determination of Storage Tank Volume. For water heaters with a rated storage volume greater than or equal to 2 gallons, determine the storage capacity, Vst, of the water heater under test, in gallons (liters), by subtracting the tare weight—measured while the tank is empty—from the gross weight of the storage tank when completely filled with water (with all air eliminated and line pressure applied as described in section 2.5 of this appendix) and dividing the resulting net weight by the density of water at the measured temperature.
              5.2.2 Setting the Outlet Discharge Temperature.

              5.2.2.1 Flow-Activated Water Heaters, including certain instantaneous water heaters and certain storage-type water heaters. Initiate normal operation of the water heater at the full input rating for electric water heaters and at the maximum firing rate specified by the manufacturer for gas or oil water heaters. Monitor the discharge water temperature and set to a value of 125 °F ±5 °F (51.7 °C ±2.8 °C) in accordance with the manufacturer's instructions. If the water heater is not capable of providing this discharge temperature when the flow rate is 1.7 gallons ±0.25 gallons per minute (6.4 liters ±0.95 liters per minute), then adjust the flow rate as necessary to achieve the specified discharge water temperature. Once the proper temperature control setting is achieved, the setting must remain fixed for the duration of the maximum GPM test and the simulated-use test.
              5.2.2.2 Storage-Type Water Heaters that Are Not Flow-Activated.

              5.2.2.2.1 Tanks with a Single Temperature Controller.

              5.2.2.2.1.1 Water Heaters with Rated Volumes Less than 20 Gallons. Starting with a tank at the supply water temperature, initiate normal operation of the water heater. After cut-out, initiate a draw from the water heater at a flow rate of 1.0 gallon ±0.25 gallons per minute (3.8 liters ±0.95 liters per minute) for 2 minutes. Starting 15 seconds after commencement of draw, record the outlet temperature at 15-second intervals until the end of the 2-minute period. Determine whether the maximum outlet temperature is within the range of 125 °F ±5 °F (51.7 °C ±2.8 °C). If not, turn off the water heater, adjust the temperature controller, and then drain and refill the tank with supply water. Then, once again, initiate normal operation of the water heater, and repeat the 2-minute outlet temperature test following cut-out. Repeat this sequence until the maximum outlet temperature during the 2-minute test is within 125 °F ±5 °F (51.7 °C ±2.8 °C). Once the proper temperature control setting is achieved, the setting must remain fixed for the duration of the first-hour rating test and the simulated-use test such that a second identical simulated-use test run immediately following the one specified in section 5.4 would result in average delivered water temperatures that are within the bounds specified in section 2.4 of this appendix.
              5.2.2.2.1.2 Water Heaters with Rated Volumes Greater than or Equal to 20 Gallons. Starting with a tank at the supply water temperature, initiate normal operation of the water heater. After cut-out, initiate a draw from the water heater at a flow rate of 1.7 gallons ±0.25 gallons per minute (6.4 liters ±0.95 liters per minute) for 5 minutes. Starting 15 seconds after commencement of draw, record the outlet temperature at 15-second intervals until the end of the 5-minute period. Determine whether the maximum outlet temperature is within the range of 125 °F ±5 °F (51.7 °C ±2.8 °C). If not, turn off the water heater, adjust the temperature controller, and then drain and refill the tank with supply water. Then, once again, initiate normal operation of the water heater, and repeat the 5-minute outlet temperature test following cut-out. Repeat this sequence until the maximum outlet temperature during the 5-minute test is within of 125 °F ±5 °F (51.7 °C ±2.8 °C). Once the proper temperature control setting is achieved, the setting must remain fixed for the duration of the first-hour rating test and the simulated-use test such that a second identical simulated-use test run immediately following the one specified in section 5.4 would result in average delivered water temperatures that are within the bounds specified in section 2.4 of this appendix.
              5.2.2.2.2 Tanks with Two or More Temperature Controllers. Verify the temperature controller set-point while removing water in accordance with the procedure set forth for the first-hour rating test in section 5.3.3 of this appendix. The following criteria must be met to ensure that all temperature controllers are set to deliver water at 125 °F ±5 °F (51.7 °C ±2.8 °C):
              (a) At least 50 percent of the water drawn during the first draw of the first-hour rating test procedure shall be delivered at a temperature of 125 °F ±5 °F (51.7 °C ±2.8 °C).
              (b) No water is delivered above 130 °F (54.4 °C) during first-hour rating test.
              (c) The delivery temperature measured 15 seconds after commencement of each draw begun prior to an elapsed time of 60 minutes from the start of the test shall be at 125 °F ±5 °F (51.7 °C ±2.8 °C).
              If these conditions are not met, turn off the water heater, adjust the temperature controllers, and then drain and refill the tank with supply water. Repeat the procedure described at the start of section 5.2.2.2.2 until the criteria for setting the temperature controllers is met.
              If the conditions stated above are met, the data obtained during the process of verifying the temperature control set-points may be used in determining the first-hour rating provided that all other conditions and methods required in sections 2 and 5.2.4 in preparing the water heater were followed.
              5.2.3 Power Input Determination. For all water heaters except electric types, initiate normal operation (as described in section 5.1) and determine the power input, P, to the main burners (including pilot light power, if any) after 15 minutes of operation. If the water heater is equipped with a gas appliance pressure regulator, the regulator outlet pressure shall be set within ±10% of that recommended by the manufacturer. For oil-fired water heaters, the fuel pump pressure shall be within ±10% of the manufacturer's specified pump pressure. Adjust all burners to achieve an hourly Btu (kJ) rating that is within ±2% of the value specified by the manufacturer. For an oil-fired water heater, adjust the burner to give a CO2 reading recommended by the manufacturer and an hourly Btu (kJ) rating that is within ±2% of that specified by the manufacturer. Smoke in the flue may not exceed No. 1 smoke as measured by the procedure in ASTM D2156 (incorporated by reference, see § 430.3).
              5.2.4 Soak-In Period for Water Heaters with Rated Storage Volumes Greater than or Equal to 2 Gallons. For storage-type water heaters and instantaneous water heaters having greater than 2 gallons (7.6 liters) of storage (including heat pump water heaters having greater than 2 gallons of storage), the water heater must sit filled with water and without any draws taking place for at least 12 hours after initially being energized so as to achieve the nominal temperature set-point within the tank and with the unit connected to a power source.
              5.3 Delivery Capacity Tests.

                5.3.1 General. For flow-activated water heaters, conduct the maximum GPM test, as described in section 5.3.2, Maximum GPM Rating Test for Flow-Activated Water Heaters, of this appendix. For all other water heaters, conduct the first-hour rating test as described in section 5.3.3 of this appendix.

                5.3.2 Maximum GPM Rating Test for Flow-Activated Water Heaters. Establish normal water heater operation at the full input rate for electric water heaters and at the maximum firing rate for gas or oil water heaters with the discharge water temperature set in accordance with section 5.2.2.1 of this appendix.

              For this 10-minute test, either collect the withdrawn water for later measurement of the total mass removed or use a water meter to directly measure the water volume removed. Initiate water flow through the water heater and record the inlet and outlet water temperatures beginning 15 seconds after the start of the test and at subsequent 5-second intervals throughout the duration of the test. At the end of 10 minutes, turn off the water. Determine and record the mass of water collected, M10m, in pounds (kilograms), or the volume of water, V10m, in gallons (liters).

                5.3.3 First-Hour Rating Test.

              5.3.3.1 General. During hot water draws for water heaters with rated storage volumes greater than or equal to 20 gallons, remove water at a rate of 3.0 ±0.25 gallons per minute (11.4 ±0.95 liters per minute). During hot water draws for storage-type water heaters with rated storage volumes below 20 gallons, remove water at a rate of 1.0 ±0.25 gallon per minute (3.8 ±0.95 liters per minute). Collect the water in a container that is large enough to hold the volume removed during an individual draw and is suitable for weighing at the termination of each draw to determine the total volume of water withdrawn. As an alternative to collecting the water, a water meter may be used to directly measure the water volume(s) withdrawn.
              5.3.3.2 Draw Initiation Criteria. Begin the first-hour rating test by starting a draw on the storage-type water heater. After completion of this first draw, initiate successive draws based on the following criteria. For gas-fired and oil-fired water heaters, initiate successive draws when the temperature controller acts to reduce the supply of fuel to the main burner. For electric water heaters having a single element or multiple elements that all operate simultaneously, initiate successive draws when the temperature controller acts to reduce the electrical input supplied to the element(s). For electric water heaters having two or more elements that do not operate simultaneously, initiate successive draws when the applicable temperature controller acts to reduce the electrical input to the energized element located vertically highest in the storage tank. For heat pump water heaters that do not use supplemental, resistive heating, initiate successive draws immediately after the electrical input to the compressor is reduced by the action of the water heater's temperature controller. For heat pump water heaters that use supplemental resistive heating, initiate successive draws immediately after the electrical input to the first of either the compressor or the vertically highest resistive element is reduced by the action of the applicable water heater temperature controller. This draw initiation criterion for heat pump water heaters that use supplemental resistive heating, however, shall only apply when the water located above the thermostat at cut-out is heated to 125 °F ±5 °F (51.7 °C ±2.8 °C). If this criterion is not met, then the next draw should be initiated once the heat pump compressor cuts out.
              5.3.3.3 Test Sequence. Establish normal water heater operation. If the water heater is not presently operating, initiate a draw. The draw may be terminated any time after cut-in occurs. After cut-out occurs (i.e., all temperature controllers are satisfied), record the internal storage tank temperature at each sensor described in section 4.5 of this appendix every one minute, and determine the mean tank temperature by averaging the values from these sensors.

              Initiate a draw after a maximum mean tank temperature (the maximum of the mean temperatures of the individual sensors) has been observed following a cut-out. Record the time when the draw is initiated and designate it as an elapsed time of zero (τ* = 0). (The superscript * is used to denote variables pertaining to the first-hour rating test). Record the outlet water temperature beginning 15 seconds after the draw is initiated and at 5-second intervals thereafter until the draw is terminated. Determine the maximum outlet temperature that occurs during this first draw and record it as T*max,1. For the duration of this first draw and all successive draws, in addition, monitor the inlet temperature to the water heater to ensure that the required 58 °F ±2 °F (14.4 °C ±1.1 °C) test condition is met. Terminate the hot water draw when the outlet temperature decreases to T*max,1 − 15 °F (T*max,1 − 8.3 °C). (Note, if the outlet temperature does not decrease to T*max,1 − 15 °F (T*max,1 − 8.3 °C) during the draw, then hot water would be drawn continuously for the duration of the test. In this instance, the test would end when the temperature decreases to T*max,1− 15 °F (T*max,1 − 8.3 °C) after the electrical power and/or fuel supplied to the water heater is shut off, as described in the following paragraphs.) Record this temperature as T*min,1. Following draw termination, determine the average outlet water temperature and the mass or volume removed during this first draw and record them as T
                *del,i and M*1 or V*1, respectively.

              Initiate a second and, if applicable, successive draw(s) each time the applicable draw initiation criteria described in section 5.3.3.2 are satisfied. As required for the first draw, record the outlet water temperature 15 seconds after initiating each draw and at 5-second intervals thereafter until the draw is terminated. Determine the maximum outlet temperature that occurs during each draw and record it as T*max,i, where the subscript i refers to the draw number. Terminate each hot water draw when the outlet temperature decreases to T*max,i − 15 °F (T*max,i − 8.3 °C). Record this temperature as T*min,i. Calculate and record the average outlet temperature and the mass or volume removed during each draw (T
                *del,i and M*i or V*i, respectively). Continue this sequence of draw and recovery until one hour after the start of the test, then shut off the electrical power and/or fuel supplied to the water heater.

              If a draw is occurring at one hour from the start of the test, continue this draw until the outlet temperature decreases to T*max,n − 15 °F (T*max,n − 8.3 °C), at which time the draw shall be immediately terminated. (The subscript n shall be used to denote measurements associated with the final draw.) If a draw is not occurring one hour after the start of the test, initiate a final draw at one hour, regardless of whether the criteria described in section 5.3.3.2 of this appendix are satisfied. This draw shall proceed for a minimum of 30 seconds and shall terminate when the outlet temperature first indicates a value less than or equal to the cut-off temperature used for the previous draw (T*min,n−1). If an outlet temperature greater than T*min,n−1 is not measured within 30 seconds of initiation of the draw, zero additional credit shall be given towards first-hour rating (i.e., M*n = 0 or V*n = 0) based on the final draw. After the final draw is terminated, calculate and record the average outlet temperature and the mass or volume removed during the final draw (T
                *del,n and M*n or V*n, respectively).
              5.4 24-Hour Simulated Use Test.

              5.4.1 Selection of Draw Pattern. The water heater will be tested under a draw profile that depends upon the first-hour rating obtained following the test prescribed in section 5.3.3 of this appendix, or the maximum GPM rating obtained following the test prescribed in section 5.3.2 of this appendix, whichever is applicable. For water heaters that have been tested according to the first-hour rating procedure, one of four different patterns shall be applied based on the measured first-hour rating, as shown in Table I of this section. For water heater that have been tested according to the maximum GPM rating procedure, one of four different patterns shall be applied based on the maximum GPM, as shown in Table II of this section.

                Table I—Draw Pattern To Be Used Based on First-Hour Rating

                  First-hour rating greater than or equal to:
                  ... and first-hour rating less than:
                  Draw pattern to be used in simulated-use test

                  0 gallons
                  18 gallons
                  Very-Small-Usage (Table III.1).

                  18 gallons
                  51 gallons
                  Low-Usage (Table III.2).

                  51 gallons
                  75 gallons
                  Medium-Usage (Table III.3).

                  75 gallons
                  No upper limit
                  High-Usage (Table III.4).

                Table II—Draw Pattern To Be Used Based on Maximum GPM Rating

                  Maximum GPM rating greater than or equal to:
                  and maximum GPM rating less than:
                  Draw pattern to be used in simulated-use test

                  0 gallons/minute
                  1.7 gallons/minute
                  Very-Small-Usage (Table III.1).

                  1.7 gallons/minute
                  2.8 gallons/minute
                  Low-Usage (Table III.2).

                  2.8 gallons/minute
                  4 gallons/minute
                  Medium-Usage (Table III.3).

                  4 gallons/minute
                  No upper limit
                  High-Usage (Table III.4).

              The draw patterns are provided in Tables III.1 through III.4 in section 5.5 of this appendix. Use the appropriate draw pattern when conducting the test sequence provided in section 5.4.2 of this appendix for water heaters with rated storage volumes greater than or equal to 2 gallons or section 5.4.3 of this appendix for water heaters with rated storage volumes less than 2 gallons.
              5.4.2 Test Sequence for Water Heaters with Rated Storage Volumes Greater Than or Equal to 2 Gallons. If the water heater is turned off, fill the water heater with supply water and maintain supply water pressure as described in section 2.6 of this appendix. Turn on the water heater and associated heat pump unit, if present. If turned on in this fashion, the soak-in period described in section 5.2.4 of this appendix shall be implemented. If the water heater has undergone a first-hour rating test prior to conduct of the simulated-use test, allow the water heater to fully recover after completion of that test such that the main burner, heating elements, or heat pump compressor of the water heater are no longer raising the temperature of the stored water. In all cases, the water heater shall sit idle for 1 hour prior to the start of the 24-hour test; during which time no water is drawn from the unit and there is no energy input to the main heating elements, heat pump compressor, and/or burners. At the end of this period, the 24-hour simulated-use test will begin.

              At the start of the 24-hour test, record the mean tank temperature (T

                0), and the electrical and/or fuel measurement readings, as appropriate. Begin the 24-hour simulated use test by withdrawing the volume specified in the appropriate table in section 5.5 of this appendix (i.e., Table III.1, Table III.2, Table III.3, or Table III.4, depending on the first-hour rating or maximum GPM rating) for the first draw at the flow rate specified in the applicable table. Record the time when this first draw is initiated and assign it as the test elapsed time (τ) of zero (0). Record the average storage tank and ambient temperature every minute throughout the 24-hour simulated-use test. At the elapsed times specified in the applicable draw pattern table in section 5.5 of this appendix for a particular draw pattern, initiate additional draws pursuant to the draw pattern, removing the volume of hot water at the prescribed flow rate specified by the table. The maximum allowable deviation from the specified volume of water removed for any single draw taken at a nominal flow rate of 1 GPM or 1.7 GPM is ±0.1 gallons (±0.4 liters). The maximum allowable deviation from the specified volume of water removed for any single draw taken at a nominal flow rate of 3 GPM is ±0.25 gallons (0.9 liters). The quantity of water withdrawn during the last draw shall be increased or decreased as necessary such that the total volume of water withdrawn equals the prescribed daily amount for that draw pattern ±1.0 gallon (±3.8 liters). If this adjustment to the volume drawn during the last draw results in no draw taking place, the test is considered invalid.

              All draws during the 24-hour simulated-use test shall be made at the flow rates specified in the applicable draw pattern table in section 5.5 of this appendix, within a tolerance of ±0.25 gallons per minute (±0. 9 liters per minute). Measurements of the inlet and outlet temperatures shall be made 5 seconds after the draw is initiated and at every subsequent 3-second interval throughout the duration of each draw. Calculate and record the mean of the hot water discharge temperature and the cold water inlet temperature for each draw T

                del,i and T

                in,i). Determine and record the net mass or volume removed (Mi or Vi), as appropriate, after each draw.

              At the end of the first recovery period following the first draw, which may extend beyond subsequent draws, record the maximum mean tank temperature observed after cut-out, T

                max,1, and the energy consumed by an electric resistance, gas, or oil-fired water heater (including electrical energy), from the beginning of the test, Qr. For heat pump water heaters, the total energy consumed during the first recovery by the heat pump (including compressor, fan, controls, pump, etc.) and, if applicable, by the resistive element(s) shall be recorded as Qr.

              The start of the portion of the test during which the standby loss coefficient is determined depends upon whether the unit has fully recovered from the first draw cluster. If a recovery is occurring at or within five minutes of the end of the final draw in the first draw cluster, as identified in the applicable draw pattern table in section 5.5 of this appendix, then the standby period starts when a maximum average tank temperature is observed starting five minutes after the end of the recovery period that follows that draw. If a recovery does not occur at or within five minutes of the end of the final draw in the first draw cluster, as identified in the applicable draw pattern table in section 5.5 of this appendix, then the standby period starts five minutes after the end of that draw. Determine and record the total electrical energy and/or fossil fuel consumed from the beginning of the test to the start of the standby period, Qsu,0.

              In preparation for determining the energy consumed during standby, record the reading given on the electrical energy (watt-hour) meter, the gas meter, and/or the scale used to determine oil consumption, as appropriate. Record the mean tank temperature at the start of the standby period as T

                su,0. At 1-minute intervals, record the mean tank temperature and the electric and/or fuel instrument readings until the next draw is initiated. Just prior to initiation of the next draw, record the mean tank temperature as T

                su,f. If the water heater is undergoing recovery when the next draw is initiated, record the mean tank temperature T

                su,f at the minute prior to the start of the recovery. The time at which this value occurs is the end of the standby period. Determine the total electrical energy and/or fossil fuel energy consumption from the beginning of the test to this time and record as Qsu,f. Record the time interval between the start of the standby period and the end of the standby period as τstby,1. Record the time during which water is not being withdrawn from the water heater during the entire 24-hour period as τstby,2.

              In the event that the recovery period continues from the end of the last draw of the first draw cluster until the subsequent draw, the standby period will start after the end of the first recovery period after the last draw of the simulated-use test, when the temperature reaches the maximum average tank temperature, though no sooner than five minutes after the end of this recovery period. The standby period shall last eight hours, so testing will extend beyond the 24-hour duration of the simulated-use test. Determine and record the total electrical energy and/or fossil fuel consumed from the beginning of the simulated-use test to the start of the 8-hour standby period, Qsu,0. In preparation for determining the energy consumed during standby, record the reading(s) given on the electrical energy (watt-hour) meter, the gas meter, and/or the scale used to determine oil consumption, as appropriate. Record the mean tank temperature at the start of the standby period as T

                su,0. Record the mean tank temperature, the ambient temperature, and the electric and/or fuel instrument readings until the end of the 8 hour period. Record the mean tank temperature at the end of the 8 hour standby period as T

                su,f. If the water heater is undergoing recovery at the end of the standby period, record the mean tank temperature T

                su,f at the minute prior to the start of the recovery, which will mark the end of the standby period. Determine the total electrical energy and/or fossil fuel energy consumption from the beginning of the test to the end of the standby period and record this value as Qsu,f. Record the time interval between the start of the standby period and the end of the standby period as τstby,1.

              Following the final draw of the prescribed draw pattern and subsequent recovery, allow the water heater to remain in the standby mode until exactly 24 hours have elapsed since the start of the simulated-use test (i.e., since τ = 0). During the last hour of the simulated-use test, power to the main burner, heating element, or compressor shall be disabled. At 24 hours, record the reading given by the gas meter, oil meter, and/or the electrical energy meter as appropriate. Determine the fossil fuel and/or electrical energy consumed during the entire 24-hour simulated-use test and designate the quantity as Q.
              5.4.3 Test Sequence for Water Heaters With Rated Storage Volume Less Than 2 Gallons.

              Establish normal operation with the discharge water temperature at 125 °F ±5 °F (51.7 °C ±2.8 °C) and set the flow rate as determined in section 5.2 of this appendix. Prior to commencement of the 24-hour simulated-use test, the unit shall remain in an idle state in which controls are active but no water is drawn through the unit for a period of one hour. With no draw occurring, record the reading given by the gas meter and/or the electrical energy meter as appropriate. Begin the 24-hour simulated-use test by withdrawing the volume specified in Tables III.1 through III.4 of section 5.5 of this appendix for the first draw at the flow rate specified. Record the time when this first draw is initiated and designate it as an elapsed time, τ, of 0. At the elapsed times specified in Tables III.1 through III.4 for a particular draw pattern, initiate additional draws, removing the volume of hot water at the prescribed flow rate specified in Tables III.1 through III.4. The maximum allowable deviation from the specified volume of water removed for any single draw taken at a nominal flow rate less than or equal to 1.7 GPM (6.4 L/min) is ±0.1 gallons (±0.4 liters). The maximum allowable deviation from the specified volume of water removed for any single draw taken at a nominal flow rate of 3 GPM (11.4 L/min) is ±0.25 gallons (0.9 liters). The quantity of water drawn during the final draw shall be increased or decreased as necessary such that the total volume of water withdrawn equals the prescribed daily amount for that draw pattern ±1.0 gallon (±3.8 liters). If this adjustment to the volume drawn in the last draw results in no draw taking place, the test is considered invalid.

              Measurements of the inlet and outlet water temperatures shall be made 5 seconds after the draw is initiated and at every 3-second interval thereafter throughout the duration of the draw. Calculate the mean of the hot water discharge temperature and the cold water inlet temperature for each draw. Record the mass of the withdrawn water or the water meter reading, as appropriate, after each draw. At the end of the recovery period following the first draw, determine and record the fossil fuel and/or electrical energy consumed, Qr. Following the final draw and subsequent recovery, allow the water heater to remain in the standby mode until exactly 24 hours have elapsed since the start of the test (i.e., since τ = 0). At 24 hours, record the reading given by the gas meter, oil meter, and/or the electrical energy meter, as appropriate. Determine the fossil fuel and/or electrical energy consumed during the entire 24-hour simulated-use test and designate the quantity as Q.
              5.5 Draw Patterns. The draw patterns to be imposed during 24-hour simulated-use tests are provided in Tables III.1 through III.4. Subject each water heater under test to one of these draw patterns based on its first-hour rating or maximum GPM rating, as discussed in section 5.4.1 of this appendix. Each draw pattern specifies the elapsed time in hours and minutes during the 24-hour test when a draw is to commence, the total volume of water in gallons (liters) that is to be removed during each draw, and the flow rate at which each draw is to be taken, in gallons (liters) per minute.

                Table III.1—Very-Small-Usage Draw Pattern

                  Draw No.
                  Time during test[hh:mm]

                  Volume[gallons (L)]

                  Flow Rate **[GPM (L/min)]

                  1 *
                  0:00
                  2.0 (7.6)
                  1 (3.8)

                  2 *
                  1:00
                  1.0 (3.8)
                  1 (3.8)

                  3 *
                  1:05
                  0.5 (1.9)
                  1 (3.8)

                  4 *
                  1:10
                  0.5 (1.9)
                  1 (3.8)

                  5 *
                  1:15
                  0.5 (1.9)
                  1 (3.8)

                  6
                  8:00
                  1.0 (3.8)
                  1 (3.8)

                  7
                  8:15
                  2.0 (7.6)
                  1 (3.8)

                  8
                  9:00
                  1.5 (5.7)
                  1 (3.8)

                  9
                  9:15
                  1.0 (3.8)
                  1 (3.8)

                  Total Volume Drawn Per Day: 10 gallons (38 L)

                * Denotes draws in first draw cluster.
                ** Should the water heater have a maximum GPM rating less than 1 GPM (3.8 L/min), then all draws shall be implemented at a flow rate equal to the rated maximum GPM.

                Table III.2—Low-Usage Draw Pattern

                  Draw No.
                  Time during test[hh:mm]

                  Volume[gallons (liters)]

                  Flow rate[GPM (L/min)]

                  1 *
                  0:00
                  15.0 (56.8)
                  1.7 (6.4)

                  2 *
                  0:30
                  2.0 (7.6)
                  1 (3.8)

                  3 *
                  1:00
                  1.0 (3.8)
                  1 (3.8)

                  4
                  10:30
                  6.0 (22.7)
                  1.7 (6.4)

                  5
                  11:30
                  4.0 (15.1)
                  1.7 (6.4)

                  6
                  12:00
                  1.0 (3.8)
                  1 (3.8)

                  7
                  12:45
                  1.0 (3.8)
                  1 (3.8)

                  8
                  12:50
                  1.0 (3.8)
                  1 (3.8)

                  9
                  16:15
                  2.0 (7.6)
                  1 (3.8)

                  10
                  16:45
                  2.0 (7.6)
                  1.7 (6.4)

                  11
                  17:00
                  3.0 (11.4)
                  1.7 (6.4)

                  Total Volume Drawn Per Day: 38 gallons (144 L)

                * Denotes draws in first draw cluster.

                Table III.3—Medium-Usage Draw Pattern

                  Draw No.
                  Time during test[hh:mm]

                  Volume[gallons (liters)]

                  Flow rate[GPM (L/min)]

                  1 *
                  0:00
                  15.0 (56.8)
                  1.7 (6.4)

                  2 *
                  0:30
                  2.0 (7.6)
                  1 (3.8)

                  3 *
                  1:40
                  9.0 (34.1)
                  1.7 (6.4)

                  4
                  10:30
                  9.0 (34.1)
                  1.7 (6.4)

                  5
                  11:30
                  5.0 (18.9)
                  1.7 (6.4)

                  6
                  12:00
                  1.0 (3.8)
                  1 (3.8)

                  7
                  12:45
                  1.0 (3.8)
                  1 (3.8)

                  8
                  12:50
                  1.0 (3.8)
                  1 (3.8)

                  9
                  16:00
                  1.0 (3.8)
                  1 (3.8)

                  10
                  16:15
                  2.0 (7.6)
                  1 (3.8)

                  11
                  16:45
                  2.0 (7.6)
                  1.7 (6.4)

                  12
                  17:00
                  7.0 (26.5)
                  1.7 (6.4)

                  Total Volume Drawn Per Day: 55 gallons (208 L)

                * Denotes draws in first draw cluster.

                Table III.4—High-Usage Draw Pattern

                  Draw No.
                  Time during test[hh:mm]

                  Volume[gallons (liters)]

                  Flow rate[GPM (L/min)]

                  1 *
                  0:00
                  27.0 (102)
                  3 (11.4)

                  2 *
                  0:30
                  2.0 (7.6)
                  1 (3.8)

                  3 *
                  0:40
                  1.0 (3.8)
                  1 (3.8)

                  4 *
                  1:40
                  9.0 (34.1)
                  1.7 (6.4)

                  5
                  10:30
                  15.0 (56.8)
                  3 (11.4)

                  6
                  11:30
                  5.0 (18.9)
                  1.7 (6.4)

                  7
                  12:00
                  1.0 (3.8)
                  1 (3.8)

                  8
                  12:45
                  1.0 (3.8)
                  1 (3.8)

                  9
                  12:50
                  1.0 (3.8)
                  1 (3.8)

                  10
                  16:00
                  2.0 (7.6)
                  1 (3.8)

                  11
                  16:15
                  2.0 (7.6)
                  1 (3.8)

                  12
                  16:30
                  2.0 (7.6)
                  1.7 (6.4)

                  13
                  16:45
                  2.0 (7.6)
                  1.7 (6.4)

                  14
                  17:00
                  14.0 (53.0)
                  3 (11.4)

                  Total Volume Drawn Per Day: 84 gallons (318 L)

                * Denotes draws in first draw cluster.

              6. Computations
              6.1 First-Hour Rating Computation. For the case in which the final draw is initiated at or prior to one hour from the start of the test, the first-hour rating, Fhr, shall be computed using,

                ER11JY14.067

              Where:

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

                ER11JY14.068

              Where:

              M*i = the mass of water removed during the ith draw of the first-hour rating test, lb (kg).

              ρ = the water density corresponding to the average outlet temperature measured during the ith draw, (T*

                del,i), lb/gal (kg/L).

              For the case in which a draw is not in progress at one hour from the start of the test and a final draw is imposed at the elapsed time of one hour, the first-hour rating shall be calculated using

                ER11JY14.069

              where n and V*i are the same quantities as defined above, and
              V*n = the volume of water drawn during the nth (final) draw of the first-hour rating test, gal (L).

                T
                *del,n−1 = the average water outlet temperature measured during the (n−1)th draw of the first-hour rating test, °F ( °C).

                T
                *del,n = the average water outlet temperature measured during the nth (final) draw of the first-hour rating test, °F ( °C).
              T*min,n−1 = the minimum water outlet temperature measured during the (n−1)th draw of the first-hour rating test, °F ( °C).
              6.2 Maximum GPM (L/min) Rating Computation. Compute the maximum GPM (L/min) rating, Fmax, as:

                ER11JY14.070

              Where:

              M10m = the mass of water collected during the 10-minute test, lb (kg).

                T

                del = the average delivery temperature, °F ( °C).

                T

                in = the average inlet temperature, °F ( °C).
              ρ = the density of water at the average delivery temperature, lb/gal (kg/L).
              If a water meter is used, the maximum GPM (L/min) rating is computed as:

                ER11JY14.071

              Where:

              V10m = the volume of water measured during the 10-minute test, gal (L).

                T

                del = as defined in this section.

                T

                in = as defined in this section.

              6.3 Computations for Water Heaters with a Rated Storage Volume Greater Than or Equal to 2 Gallons.

              6.3.1 Storage Tank Capacity. The storage tank capacity, Vst, is computed as follows:

                ER11JY14.072

              Where:

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

              6.3.2 Recovery Efficiency. The recovery efficiency for gas, oil, and heat pump storage-type water heaters, ηr, is computed as:

                ER11JY14.073

              Where:

              M1 = total mass removed from the start of the 24-hour simulated-use test to the end of the first recovery period, lb (kg), or, if the volume of water is being measured,
              M1 = V1ρ1

              Where:

              V1 = total volume removed from the start of the 24-hour simulated-use test to the end of the first recovery period, gal (L).
              ρ1 = density of the water at the water temperature measured at the point where the flow volume is measured, lb/gal (kg/L).
              Cp1 = specific heat of the withdrawn water evaluated at (T

                del,1 + T

                in,1)/2, Btu/(lb· °F) (kJ/(kg· °C))

                T

                del,1 = average water outlet temperature measured during the draws from the start of the 24-hour simulated-use test to the end of the first recovery period, °F ( °C).

                T

                in,1 = average water inlet temperature measured during the draws from the start of the 24-hour simulated-use test to the end of the first recovery period, °F ( °C).

              Vst = as defined in section 6.3.1.
              ρ2 = density of stored hot water evaluated at (T

                max,1 + T

                o)/2, lb/gal (kg/L).
              Cp2 = specific heat of stored hot water evaluated at (T

                max,1 + T

                o)/2, Btu/(lb· °F) (kJ/(kg· °C).

                T

                max,1 = maximum mean tank temperature recorded after cut-out following the first recovery of the 24-hour simulated use test, °F ( °C).

                T

                o = maximum mean tank temperature recorded prior to the first draw of the 24-hour simulated-use test, °F ( °C).
              Qr = the total energy used by the water heater between cut-out prior to the first draw and cut-out following the first recovery period, including auxiliary energy such as pilot lights, pumps, fans, etc., Btu (kJ). (Electrical auxiliary energy shall be converted to thermal energy using the following conversion: 1 kWh = 3412 Btu).

              The recovery efficiency for electric water heaters with immersed heating elements is assumed to be 98 percent.
              6.3.3 Hourly Standby Losses. The energy consumed as part of the standby loss test of the 24-hour simulated-use test, Qstby, is computed as:

                Q
                stby = Q
                su,f - Q
                su,o

              Where:

              Qsu,0 = cumulative energy consumption of the water heater from the start of the 24-hour simulated-use test to the time at which the maximum mean tank temperature is attained starting five minutes after the recovery following the end of the first draw cluster, Btu (kJ).
              Qsu,f = cumulative energy consumption of the water heater from the start of the 24-hour simulated-use test to the minute prior to the start of the draw following the end of the first draw cluster or the minute prior to a recovery occurring at the start of the draw following the end of the first draw cluster, Btu (kJ).

              The hourly standby energy losses are computed as:

                ER11JY14.075

              Where:

              Qhr = the hourly standby energy losses of the water heater, Btu/h (kJ/h).
              Vst = as defined in section 6.3.1 of this appendix.
              ρ = density of stored hot water, (T

                su,f + T

                su,0)/2, lb/gal (kg/L).
              Cp = specific heat of the stored water, (T

                su,f + T

                su,0)/2, Btu/(lb·F), (kJ/(kg·K))

                T

                su,f = the mean tank temperature observed at the minute prior to the start of the draw following the first draw cluster or the minute prior to a recovery occurring at the start of the draw following the end of the first draw cluster, °F ( °C).

                T

                su,0 = the maximum mean tank temperature observed starting five minutes after the first recovery following the final draw of the first draw cluster, °F ( °C).
              ηr = as defined in section 6.3.2 of this appendix.
              τstby,1 = elapsed time between the time at which the maximum mean tank temperature is observed starting five minutes after recovery from the first draw cluster and the minute prior to the start of the first draw following the end of the first draw cluster of the 24-hour simulated-use test or the minute prior to a recovery occurring at the start of the draw following the end of the first draw cluster, h.

              The standby heat loss coefficient for the tank is computed as:

                ER11JY14.076

              Where:

              UA = standby heat loss coefficient of the storage tank, Btu/(h· °F), (kJ/(h· °C).

                T

                t,stby,1 = overall average storage tank temperature between the time when the maximum mean tank temperature is observed starting five minutes after cut-out following the first draw cluster and the minute prior to commencement of the next draw following the first draw cluster of the 24-hour simulated-use test or the minute prior to a recovery occurring at the start of the draw following the end of the first draw cluster, °F ( °C).

                T

                a,stby,1 = overall average ambient temperature between the time when the maximum mean tank temperature is observed starting five minutes after cut-out following the first draw cluster and the minute prior to commencement of the next draw following the first draw cluster of the 24-hour simulated-use test or the minute prior to a recovery occurring at the start of the draw following the end of the first draw cluster, °F ( °C).
              6.3.4 Daily Water Heating Energy Consumption. The daily water heating energy consumption, Qd, is computed as:

                ER11JY14.077

              Where:

              Q = Qf + Qe = total energy used by the water heater during the 24-hour simulated-use test, including auxiliary energy such as pilot lights, pumps, fans, etc., Btu (kJ). (Electrical energy shall be converted to thermal energy using the following conversion: 1kWh = 3412 Btu.)
              Qf = total fossil fuel energy used by the water heater during the 24-hour simulated-use test, Btu (kJ).
              Qe = total electrical energy used during the 24-hour simulated-use test, Btu (kJ).
              Vst = as defined in section 6.3.1 of this appendix.

              ρ = density of the stored hot water, evaluated at (T

                24 + T

                0)/2, lb/gal (kg/L)
              Cp = specific heat of the stored water, evaluated at (T

                24 + T

                0)/2, Btu/(lb·F), (kJ/(kg·K)).

                T

                24 = mean tank temperature at the end of the 24-hour simulated-use test, °F ( °C).

                T

                0 = mean tank temperature at the beginning of the 24-hour simulated-use test, recorded one minute before the first draw is initiated, °F ( °C).
              ηr = as defined in section 6.3.2 of this appendix.

              6.3.5 Adjusted Daily Water Heating Energy Consumption. The adjusted daily water heating energy consumption, Qda, takes into account that the ambient temperature may differ from the nominal value of 67.5 °F (19.7 °C) due to the allowable variation in surrounding ambient temperature of 65 °F (18.3 °C) to 70 °C (21.1 °C). The adjusted daily water heating energy consumption is computed as:

                ER11JY14.078

              Where:

              Qda = the adjusted daily water heating energy consumption, Btu (kJ).
              Qd = as defined in section 6.3.4 of this appendix.

                T

                a,stby,2 = the average ambient temperature during the total standby portion, τstby,2, of the 24-hour simulated-use test, °F ( °C).
              UA = as defined in section 6.3.3 of this appendix.
              τstby,2 = the number of hours during the 24-hour simulated-use test when water is not being withdrawn from the water heater.

              A modification is also needed to take into account that the temperature difference between the outlet water temperature and supply water temperature may not be equivalent to the nominal value of 67 °F (125 °F-58 °F) or 37.3 °C (51.7 °C-14.4 °C). The following equations adjust the experimental data to a nominal 67 °F(37.3 °C) temperature rise.
              The energy used to heat water, Btu/day (kJ/day), may be computed as:

                ER11JY14.079

              Where:

              N = total number of draws in the draw pattern.
              Mi = the mass withdrawn for the ith draw (i = 1 to N), lb (kg)
              Cpi = the specific heat of the water of the ith draw evaluated at (T

                del,i + T

                in,i)/2, Btu/(lb· °F) (kJ/(kg· °C)).

                T

                del,i = the average water outlet temperature measured during the ith draw (i = 1 to N), °F ( °C).

                T

                in,i = the average water inlet temperature measured during the ith draw (i = 1 to N), °F ( °C).
              ηr = as defined in section 6.3.2 of this appendix.

              The energy required to heat the same quantity of water over a 67 °F (37.3 °C) temperature rise, Btu/day (kJ/day), is:

                ER11JY14.080

              The difference between these two values is:

              QHWD = QHW,67 °F − QHW

              or QHWD = QHW,37.3 °C − QHW

              This difference (QHWD) must be added to the adjusted daily water heating energy consumption value. Thus, the daily energy consumption value which takes into account that the ambient temperature may not be 67.5 °F (19.7 °C) and that the temperature rise across the storage tank may not be 67 °F (37.3 °C) is:

              Qdm = Qda + QHWD

              6.3.6 Uniform Energy Factor. The uniform energy factor, UEF, is computed as:

                ER11JY14.082

              Where:

              N = total number of draws in the draw pattern
              Qdm = the modified daily water heating energy consumption as computed in accordance with section 6.3.5 of this appendix, Btu (kJ)
              Mi = the mass withdrawn for the ith draw (i = 1 to N), lb (kg)
              Cpi = the specific heat of the water of the ith draw, evaluated at (125 °F + 58 °F)/2 = 91.5 °F ((51.7 °C + 14.4 °C)/2 = 33 °C), Btu/(lb· °F) (kJ/(kg· °C)).

              6.3.7 Annual Energy Consumption. The annual energy consumption for water heaters with rated storage volumes greater than or equal to 2 gallons is computed as:

                ER11JY14.083

              Where:

              UEF = the uniform energy factor as computed in accordance with section 6.3.6 of this appendix
              365 = the number of days in a year
              V = the volume of hot water drawn during the applicable draw pattern, gallons
              = 10 for the very-small-usage draw pattern
              = 38 for the low-usage draw pattern
              = 55 for the medium-usage draw pattern
              = 84 for high-usage draw pattern
              ρ = 8.24 lbm/gallon, the density of water at 125 °F
              CP = 1.00 Btu/lbm °F, the specific heat of water at 91.5 °F
              67 = the nominal temperature difference between inlet and outlet water

              6.3.8 Annual Electrical Energy Consumption. The annual electrical energy consumption in kilowatt-hours for water heaters with rated storage volumes greater than or equal to 2 gallons, Eannual,e, is computed as:

              Eannual,e = Eannual*(Qe/Q)/3412

              Where:

              Eannual = the annual energy consumption as determined in accordance with section 6.3.7, Btu (kJ)
              Qe = the daily electrical energy consumption as defined in section 6.3.4 of this appendix, Btu (kJ).
              Q = total energy used by the water heater during the 24-hour simulated-use test in accordance with section 6.3.4 of this appendix, Btu (kJ)
              3412 = conversion factor from Btu to kWh

              6.3.9 Annual Fossil Fuel Energy Consumption. The annual fossil fuel energy consumption for water heaters with rated storage volumes greater than or equal to 2 gallons, Eannual,f, is computed as:

              Eannual,f = Eannual − (Eannual,e × 3412)

              Where:

              Eannual = the annual energy consumption as determined in accordance with section 6.3.7 of this appendix, Btu (kJ)
              Eannual,e = the annual electrical energy consumption as determined in accordance with section 6.3.8 of this appendix, kWh
              3412 = conversion factor from kWh to Btu
              6.4 Computations for Water Heaters With Rated Storage Volume Less Than 2 Gallons.

              6.4.1 Recovery Efficiency. The recovery efficiency, ηr, is computed as:

                ER11JY14.084

              Where:

              M1 = total mass removed during the first draw of the 24-hour simulated-use test, lb (kg), or, if the volume of water is being measured, M1 = V1 · ρ
              Where:

              V1 = total volume removed during the first draw of the 24-hour simulated-use test, gal (L).
              ρ = density of the water at the water temperature measured at the point where the flow volume is measured, lb/gal(kg/L).
              Cp1 = specific heat of the withdrawn water, (T

                del,1 ∓ T

                in,1)/2, Btu/(lb · °F) (kJ/(kg · °C)).

                T

                del,1 = average water outlet temperature measured during the first draw of the 24-hour simulated-use test, °F ( °C).

                T

                in,1 = average water inlet temperature measured during the first draw of the 24-hour simulated-use test, °F ( °C).
              Qr = the total energy used by the water heater between cut-out prior to the first draw and cut-out following the first draw, including auxiliary energy such as pilot lights, pumps, fans, etc., Btu (kJ). (Electrical auxiliary energy shall be converted to thermal energy using the following conversion: 1 kWh = 3412 Btu.)

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

              Qd = Q

              Where:

              Q = Qf + Qe = the energy used by the water heater during the 24-hour simulated-use test.
              Qf = total fossil fuel energy used by the water heater during the 24-hour simulated-use test, Btu (kJ).
              Qe = total electrical energy used during the 24-hour simulated-use test, Btu (kJ).

              A modification is needed to take into account that the temperature difference between the outlet water temperature and supply water temperature may not be equivalent to the nominal value of 67 °F (125 °F-58 °F) or 37.3 °C (51.7 °C-14.4 °C). The following equations adjust the experimental data to a nominal 67 °F (37.3 °C) temperature rise.
              The energy used to heat water may be computed as:

                ER11JY14.085

              Where:

              N = total number of draws in the draw pattern
              Mi = the mass withdrawn for the ith draw(i = 1 to N), lb (kg)
              Cpi = the specific heat of the water of the ith draw evaluated at (T

                del,i + T

                in,i)/2, Btu/(lb · °F) (kJ/(kg · °C)).

                T

                del,i = the average water outlet temperature measured during the ith draw (i = 1 to N), °F ( °C).

                T

                in,i = the average water inlet temperature measured during the ith draw (i = 1 to N), °F ( °C).
              ηr = as defined in section 6.4.1 of this appendix.

              The energy required to heat the same quantity of water over a 67 °F (37.3 °C) temperature rise is:

                ER11JY14.086

              Where:

              N = total number of draws in the draw pattern
              Mi = the mass withdrawn during the ith draw, lb (kg)
              Cpi = the specific heat of water of the ith draw, Btu/(lb · °F) (kJ/(kg · °C))
              ηr = as defined in section 6.4.1 of this appendix.

              The difference between these two values is:

                ER11JY14.095

              This difference (QHWD) must be added to the daily water heating energy consumption value. Thus, the daily energy consumption value, which takes into account that the temperature rise across the water heater may not be 67 °F (37.3 °C), is:

              Qdm = Qd + QHWD

              6.4.3 Uniform Energy Factor. The uniform energy factor, UEF, is computed as:

                ER11JY14.087

              Where:

              N = total number of draws in the draw pattern
              Qdm = the modified daily water heating energy consumption as computed in accordance with section 6.4.2 of this appendix, Btu (kJ)
              Mi = the mass withdrawn for the ith draw(i = 1 to N), lb (kg)
              Cpi = the specific heat of the water at the ith draw, evaluated at (125 °F + 58 °F)/2 = 91.5 °F ((51.7 °C + 14.4 °C)/2 = 33.1 °C), Btu/(lb · °F) (kJ/(kg · °C)).
              6.4.4 Annual Energy Consumption. The annual energy consumption for water heaters with rated storage volumes less than 2 gallons, Eannual, is computed as:

                ER11JY14.088

              Where:

              UEF = the uniform energy factor as computed in accordance with section 6.4.3 of this appendix
              365 = the number of days in a year.
              V = the volume of hot water drawn during the applicable draw pattern, gallons
              = 10 for the very-small-usage draw pattern
              = 38 for the low-usage draw pattern
              = 55 for the medium-usage draw pattern
              = 84 for high-usage draw pattern
              ρ = 8.24 lbm/gallon, the density of water at 125 °F
              CP = 1.00 Btu/lbm °F, the specific heat of water at 91.5 °F
              67 = the nominal temperature difference between inlet and outlet water

              6.4.5 Annual Electrical Energy Consumption. The annual electrical energy consumption in kilowatt-hours for water heaters with rated storage volumes less than 2 gallons, Eannual, e, is computed as:

              Eannual,e = Eannual*(Qe/Q)/3412

              Where:

              Qe = the daily electrical energy consumption as defined in section 6.4.2 of this appendix, Btu (kJ)
              Eannual = the annual energy consumption as determined in accordance with section 6.4.4 of this appendix, Btu (kJ)
              Q = total energy used by the water heater during the 24-hour simulated-use test in accordance with section 6.4.2 of this appendix, Btu (kJ)
              Qdm = the modified daily water heating energy consumption as computed in accordance with section 6.4.2 of this appendix, Btu (kJ)
              3412 = conversion factor from Btu to kWh

              6.4.6 Annual Fossil Fuel Energy Consumption. The annual fossil fuel energy consumption for water heaters with rated storage volumes less than 2 gallons, Eannual,f, is computed as:

              Eannual,f = Eannual−(Eannual,e × 3412)

              Where:

              Eannual,e = the annual electrical energy consumption as defined in section 6.4.5 of this appendix, kWh.
              Eannual = the annual energy consumption as defined in section 6.4.4 of this appendix, Btu (kJ)
              3412 = conversion factor from kWh to Btu

                ER11JY14.089

                ER11JY14.090

                ER11JY14.091

                ER11JY14.092

                ER11JY14.093

                ER11JY14.094

              [79 FR 40567, July 11, 2014]

              Pt. 430, Subpt. B, App. F
              Appendix F to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Room Air Conditioners

                Note:
                Manufacturers are not required to use the test procedures and calculations that refer to standby mode and off mode energy consumption, (specifically, sections 2.2, 3.2, 4.2, and 5.3 of this appendix F) until the compliance date of any amended energy conservation standards for room air conditioners at 10 CFR 430.32(b).

              1. Definitions.

              1.1 “Active mode” means a mode in which the room air conditioner is connected to a mains power source, has been activated and is performing the main function of cooling or heating the conditioned space, or circulating air through activation of its fan or blower, with or without energizing active air-cleaning components or devices such as ultraviolet (UV) radiation, electrostatic filters, ozone generators, or other air-cleaning devices.
              1.2 “ANSI/AHAM RAC-1” means the test standard published jointly by the American National Standards Institute and the Association of Home Appliance Manufacturers, titled “Room Air Conditioners,” Standard RAC-1-2008 (incorporated by reference; see § 430.3).
              1.3 “ANSI/ASHRAE 16” means the test standard published jointly by the American National Standards Institute and the American Society of Heating, Refrigerating, and Air-Conditioning Engineers titled “Method of Testing for Rating Room Air Conditioners and Packaged Terminal Air Conditioners,” Standard 16-1983 (RA 2009) (incorporated by reference; see § 430.3).
              1.4 “IEC 62301” means the test standard published by the International Electrotechnical Commission, (“IEC”), titled “Household electrical appliances—Measurement of standby power,” Publication 62301 (first edition June 2005), (incorporated by reference; see § 430.3).
              1.5 “Inactive mode” means a standby mode that facilitates the activation of active mode by remote switch (including remote control) or internal sensor or which provides continuous status display.
              1.6 “Off mode” means a mode in which a room air conditioner is connected to a mains power source and is not providing any active or standby mode function and where the mode may persist for an indefinite time. An indicator that only shows the user that the product is in the off position is included within the clasification of an off mode.
              1.7 “Standby mode” means any product modes where the where the energy using product is connected to a mains power source and offers one or more of the following user oriented or protective functions which may persist for an indefinite time:
              (a) To facilitate the activation of other modes (including activation or deactivation of active mode) by remote switch (including remote control), internal sensor, or timer.

              (b) Continuous functions, including information or status displays (including clocks) or sensor-based functions. A timer is a continuous clock function (which may or may not be associated with a display) that provides regular scheduled tasks (e.g., switching) and that operates on a continuous basis.
              2. Test methods.

              2.1 Cooling. The test method for testing room air conditioners in cooling mode shall consist of application of the methods and conditions in ANSI/AHAM RAC-1 sections 4, 5, 6.1, and 6.5 (incorporated by reference; see § 430.3), and in ANSI/ASHRAE 16 (incorporated by reference; see § 430.3).
              2.2 Standby and off modes. The method for testing room air conditioners in standby and off modes shall consist of application of the methods and conditions in IEC 62301 (incorporated by reference; see § 430.3), as modified by the requirements of this standard. The testing may be conducted in test facilities used for testing cooling performance. If testing is not conducted in such a facility, the test facility shall comply with IEC 62301 section 4.2.
              3. Test conditions.

              3.1 Cooling mode. Establish the test conditions described in sections 4 and 5 of ANSI/AHAM RAC-1 (incorporated by reference; see § 430.3) and in accordance with ANSI/ASHRAE 16 (incorporated by reference; see § 430.3).
              3.2 Standby and off modes.

              3.2.1 Test room conditions. Maintain the indoor test conditions as required by section 4.2 of IEC 62301 (incorporated by reference; see § 430.3). If the standby and off mode testing is conducted in a facility that is also used for testing cooling performance, maintain the outdoor test conditions either as required by section 4.2 of IEC 62301 or as described in section 3.1. If the unit is equipped with an outdoor air ventilation damper, close this damper during testing.
              3.2.2 Power supply. Maintain power supply conditions specified in section 4.3 of IEC 62301 (incorporated by reference; see § 430.3). Use room air conditioner nameplate voltage and frequency as the basis for power supply conditions. Maintain power supply voltage waveform according to the requirements of section 4.4 of IEC 62301.
              3.2.3 Watt meter. The watt meter used to measure standby mode and off mode power consumption of the room air conditioner shall have the resolution specified in section 4, paragraph 4.5 of IEC 62301 (incorporated by reference; see § 430.3). The watt meter shall also be able to record a “true” average power specified in section 5, paragraph 5.3.2(a) of IEC 62301.
              4. Measurements.

              4.1 Cooling mode. Measure the quantities delineated in section 5 of ANSI/AHAM RAC-1 (incorporated by reference; see § 430.3).
              4.2 Standby and off modes. Establish the testing conditions set forth in section 3.2. Prior to the initiation of the test measurements, the room air conditioner shall also be installed in accordance with section 5, paragraph 5.2 of IEC 62301 (incorporated by reference; see § 430.3). For room air conditioners that drop from a higher power state to a lower power state as discussed in section 5, paragraph 5.1, note 1 of IEC 62301, allow sufficient time for the room air conditioner to reach the lower power state before proceeding with the test measurement. Follow the test procedure specified in section 5, paragraph 5.3 of IEC 62301 for testing in each possible mode as described in 4.2.1 and 4.2.2, except allow the product to stabilize for 5 to 10 minutes and use an energy use measurement period of 5 minutes. For units in which power varies over a cycle, as described in section 5, paragraph 5.3.2 of IEC 62301, use the average power approach in paragraph 5.3.2(a).

              4.2.1 If a room air conditioner has an inactive mode, as defined in 1.5, measure and record the average inactive mode power of the room air conditioner, PIA, in watts.

              4.2.2 If a room air conditioner has an off mode, as defined in 1.6, measure and record the average off mode power of the room air conditioner, POFF, in watts.
              5. Calculations.

              5.1 Calculate the cooling capacity (expressed in Btu/hr) as required in section 6.1 of ANSI/AHAM RAC-1 (incorporated by reference; see § 430.3) and in accordance with ANSI/ASHRAE 16 (incorporated by reference; see § 430.3).
              5.2 Determine the electrical power input (expressed in watts) as required by section 6.5 of ANSI/AHAM RAC-1 (incorporated by reference; see § 430.3) and in accordance with ANSI/ASHRAE 16 (incorporated by reference; see § 430.3).
              5.3 Standby mode and off mode annual energy consumption. Calculate the standby mode and off mode annual energy consumption for room air conditioners, ETSO, expressed in kilowatt-hours per year, according to the following:

              ETSO = [(PIA × SIA) + (POFF × SOFF)] × K

              Where:

              PIA = room air conditioner inactive mode power, in watts, as measured in section 4.2.1
              POFF = room air conditioner off mode power, in watts, as measured in section 4.2.2.

              If the room air conditioner has both inactive mode and off mode, SIA and SOFF both equal 5,115 ÷ 2 = 2,557.5, where 5,115 is the total inactive and off mode annual hours;

              If the room air conditioner has an inactive mode but no off mode, the inactive mode annual hours, SIA, is equal to 5,115 and the off mode annual hours, SOFF, is equal to 0;

              If the room air conditioner has an off mode but no inactive mode, SIA is equal to 0 and SOFF is equal to STOT;
              K = 0.001 kWh/Wh conversion factor for watt-hours to kilowatt-hours.
              [76 FR 1035, Jan. 6, 2011]

              Pt. 430, Subpt. B, App. G
              Appendix G to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Unvented Home Heating Equipment
              1. Testing conditions.
              1.1 Installation.

              1.1.1 Electric heater. Install heater according to manufacturer's instructions. Heaters shall be connected to an electrical supply circuit of nameplate voltage with a wattmeter installed in the circuit. The wattmeter shall have a maximum error not greater than one percent.
              1.1.2 Unvented gas heater. Install heater according to manufacturer's instructions. Heaters shall be connected to a gas supply line with a gas displacement meter installed between the supply line and the heater according to manufacturer's specifications. The gas displacement meter shall have a maximum error not greater than one percent. Gas heaters with electrical auxiliaries shall be connected to an electrical supply circuit of nameplate voltage with a wattmeter installed in the circuit. The wattmeter shall have a maximum error not greater than one percent.
              1.1.3 Unvented oil heater. Install heater according to manufacturer's instructions. Oil heaters with electric auxiliaries shall be connected to an electrical supply circuit of nameplate voltage with a wattmeter installed in the circuit. The wattmeter shall have a maximum error not greater than one percent.
              1.2 Temperature regulating controls. All temperature regulating controls shall be shorted out of the circuit or adjusted so that they will not operate during the test period.
              1.3 Fan controls. All fan controls shall be set at the highest fan speed setting.
              1.4 Energy supply.

              1.4.1 Electrical supply. Supply power to the heater within one percent of the nameplate voltage.
              1.4.2 Natural gas supply. For an unvented gas heater utilizing natural gas, maintain the gas supply to the heater with a normal inlet test pressure immediately ahead of all controls at 7 to 10 inches of water column. The regulator outlet pressure at normal supply test pressure shall be approximately that recommended by the manufacturer. The natural gas supplied should have a higher heating value within ±5 percent of 1,025 Btu's per standard cubic foot. Determine the higher heating value, in Btu's per standard cubic foot, for the natural gas to be used in the test, with an error no greater than one percent. Alternatively, the test can be conducted using “bottled” natural gas of a higher heating value within ±5 percent of 1,025 Btu's per standard cubic foot as long as the actual higher heating value of the bottled natural gas has been determined with an error no greater than one percent as certified by the supplier.
              1.4.3 Propane gas supply. For an unvented gas heater utilizing propane, maintain the gas supply to the heater with a normal inlet test pressure immediately ahead of all controls at 11 to 13 inches of water column. The regulator outlet pressure at normal supply test pressure shall be that recommended by the manufacturer. The propane supplied should have a higher heating value of within±5 percent of 2,500 Btu's per standard cubic foot. Determine the higher heating value in Btu's per standard foot, for the propane to be used in the test, with an error no greater than one percent. Alternatively, the test can be conducted using “bottled” propane of a higher heating value within ±5 percent of 2,500 Btu's per standard cubic foot as long as the actual higher heating value of the bottled propane has been determined with an error no greater than one percent as certified by the supplier.
              1.4.4 Oil supply. For an unvented oil heater utilizing kerosene, determine the higher heating value in Btu's per gallon with an error no greater than one percent. Alternatively, the test can be conducted using a tested fuel of a higher heating value within ±5 percent of 137,400 Btu's per gallon as long as the actual higher heating value of the tested fuel has been determined with an error no greater than one percent as certified by the supplier.
              1.5 Energy flow instrumentation. Install one or more energy flow instruments which measure, as appropriate and with an error no greater than one percent, the quantity of electrical energy, natural gas, propane gas, or oil supplied to the heater.
              2. Testing and measurements.
              2.1 Electric power measurement. Establish the test conditions set forth in section 1 of this appendix. Allow an electric heater to warm up for at least five minutes before recording the maximum electric power measurement from the wattmeter. Record the maximum electric power (PE) expressed in kilowatts.

              Allow the auxiliary electrical system of a forced air unvented gas, propane, or oil heater to operate for at least five minutes before recording the maximum auxiliary electric power measurement from the wattmeter. Record the maximum auxiliary electric power (PA) expressed in kilowatts.
              2.2 Natural gas, propane, and oil measurement. Establish the test conditions as set forth in section 1 of this appendix. A natural gas, propane, or oil heater shall be operated for one hour. Using either the nameplate rating or the energy flow instrumentation set forth in section 1.5 of this appendix and the fuel supply rating set forth in sections 1.4.2, 1.4.3, or 1.4.4 of this appendix, as appropriate, determine the maximum fuel input (PF) of the heater under test in Btu's per hour. The energy flow instrumentation shall measure the maximum fuel input with an error no greater than one percent.
              2.3 Pilot light measurement. Except as provided in section 2.3.1 of this appendix, measure the energy input rate to the pilot light (Qp), with an error no greater than 3 percent, for unvented heaters so equipped.
              2.3.1 The measurement of Qp is not required for unvented heaters where the pilot light is designed to be turned off by the user when the heater is not in use (i.e., for units where turning the control to the OFF position will shut off the gas supply to the burner(s) and the pilot light). This provision applies only if an instruction to turn off the unit is provided on the heater near the gas control value (e.g., by label) by the manufacturer.
              2.4 Electrical standby mode power measurement. Except as provided in section 2.4.1 of this appendix, for all electric heaters and unvented heaters with electrical auxiliaries, measure the standby power (PW,SB) in accordance with the procedures in IEC 62301 Second Edition (incorporated by reference; see § 430.3), with all electrical auxiliaries not activated. Voltage shall be as specified in section 1.4.1 Electrical supply of this appendix. The recorded standby power (PW,SB) shall be rounded to the second decimal place, and for loads greater than or equal to 10W, at least three significant figures shall be reported.
              2.4.1 The measurement of PW,SB is not required for heaters designed to be turned off by the user when the heater is not in use (i.e., for units where turning the control to the OFF position will shut off the electrical supply to the heater). This provision applies only if an instruction to turn off the unit is provided on the heater (e.g., by label) by the manufacturer.
              3. Calculations.
              3.1 Annual energy consumption for primary electric heaters. For primary electric heaters, calculate the annual energy consumption (EE) expressed in kilowatt-hours per year and defined as:

              EE = 2080(0.77)DHR

              where:

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

              3.2 Annual energy consumption for primary electric heaters by geographic region of the United States. For primary electric heaters, calculate the annual energy consumption by geographic region of the United States (ER) expressed in kilowatt-hours per year and defined as:

              ER = HLH(0.77) (DHR)

              where:

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

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

              Qout = PE (3,412 Btu/kWh)

              where:

              PE = as defined in 2.1 of this appendix

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

              For unvented heaters using either natural gas, propane, or oil equipped with auxiliary electrical systems, calculate the rated output (Qout), expressed in Btu's per hour, and defined as:

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

              where:

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

                EC04OC91.002

              (Energy Policy and Conservation Act, Pub. L. 94-163, as amended by Pub. L. 94-385; Federal Energy Administration Act of 1974, Pub. L. 93-275, as amended by Pub. L. 94-385; Department of Energy Organization Act, Pub. L. 95-91; E.O. 11790, 39 FR 23185)
              [43 FR 20132, May 10, 1978. Redesignated and amended at 44 FR 37938, June 29, 1979; 49 FR 12157, Mar. 28, 1984; 77 FR 74571, Dec. 17, 2012]

              Pt. 430, Subpt. B, App. H
              Appendix H to Subpart B of Part 430—Uniform Test Method for Measuring the Power Consumption of Television Sets

                Note:
                After April 23, 2014, any representations made with respect to the energy use or efficiency of televisions must be made in accordance with the results of testing pursuant to this appendix. Given that after April 23, 2014 representations with respect to the energy use or efficiency of televisions must be made in accordance with tests conducted pursuant to this appendix, manufacturers may wish to begin using this test procedure as soon as possible.

              1. Scope
              This appendix covers the test requirements used to measure the energy and power consumption of television sets that:
              (i) Have a diagonal screen size of at least fifteen inches; and
              (ii) Are powered by mains power (including TVs with auxiliary batteries but not TVs with main batteries).
              2. Definitions and Symbols
              2.1. Additional functions shall be defined using the additional functions definition in section 3.1.1 of IEC 62087 Ed. 3.0 (incorporated by reference, see § 430.3).

              2.2. Auxiliary Battery means a battery capable of powering a clock or retaining TV settings but is incapable of powering the TV to produce dynamic video.
              2.3. Brightest selectable preset picture setting means the preset picture setting in which the television produces the highest screen luminance within either the home or retail configuration.
              2.4. Default picture setting means the preset picture setting that the TV enters into immediately after making a selection from the forced menu. If the TV does not have a forced menu, this is the as-shipped preset picture setting.
              2.5. Forced menu means a series of menus which require the selection of initial settings before allowing the user to utilize primary functions. Within these menus contains an option to choose the viewing environment between retail and home configurations.
              2.6. Home configuration means the TV configuration selected from the forced menu which is designed for typical consumer viewing and is recommended by the manufacturer for home environments.
              2.7. IEC 62087 Ed. 3.0 means the test standard published by the International Electrotechnical Commission, entitled “Methods of measurement of the power consumption of audio, video, and related equipment,” IEC 62087 Ed. 3.0 (incorporated by reference, see § 430.3).
              2.8. IEC 62087 Ed. 3.0 Blu-ray Disc TM Dynamic Broadcast-Content Video Signal means the test video content published by the International Electrotechnical Commission, entitled “IEC 62087 Ed. 3.0, video content_BD, video content for IEC 62087 Ed. 3.0 on Blu-ray TM Disc,” IEC 62087 Ed. 3.0 (incorporated by reference, see § 430.3).
              2.9. IEC 62301 Ed. 2.0 means the test standard published by the International Electrotechnical Commission, entitled “Household electrical appliances—Measurement of standby power,” IEC 62301 Ed. 2.0 (incorporated by reference, see § 430.3).
              2.10. Illuminance means the luminous flux per unit area of light illuminating a given surface, expressed in units of lux (lx).
              2.11. Luminance means the photometric measure of the luminous intensity per unit area of light traveling in a given direction, expressed in units of candelas per square meter (cd/m2).
              2.12. Main battery means a battery capable of powering the TV to produce dynamic video without the support of mains power.
              2.13. Off mode means the mode of operation in which the TV is connected to mains power, produces neither sound nor picture, and cannot be switched into any other mode of operation with the remote control unit, an internal signal, or external signal.
              2.14. On mode means the mode of operation in which the TV is connected to mains power, and is capable of producing dynamic video.
              2.15. Preset picture setting means a preprogrammed factory setting obtained from the TV menu with pre-determined picture parameters such as brightness, contrast, color, sharpness, etc. Preset picture settings can be selected within the home or retail mode.
              2.16. Retail configuration means the TV configuration selected from the forced menu which is designed to highlight the TV's features in a retail environment. This configuration may display demos, disable configurable settings, or increase screen brightness in a manner which is not desirable for typical consumer viewing.
              2.17. Special functions shall be defined using the definition in section 3.1.18 of IEC 62087 Ed. 3.0 (incorporated by reference, see § 430.3).
              2.18. Standby-passive mode means the mode of operation in which the TV is connected to mains power, produces neither sound nor picture, and can be switched into another mode with only the remote control unit or an internal signal.
              2.19. Standby-active, high mode means the mode of operation in which the TV is connected to mains power, produces neither sound nor picture, is exchanging/receiving data with/from an external source, and can be switched into another mode of operation with the remote control unit, an internal signal, or an external signal.
              2.20. Standby-active, low mode means the mode of operation in which the TV is connected to mains power, produces neither sound nor picture, can be switched into another mode with the remote control unit or an internal signal, and can additionally be switched into another mode with an external signal.
              2.21. Symbol usage. The following identity relationships are provided to help clarify the symbols used throughout this test procedure.
              ABC—Automatic Brightness Control
              AEC—Annual Energy Consumption
              BD—Blu-ray Disc TM

              DVD—Digital Versatile Disc TM

              DVI—Digital Visual Interface
              HDMI®—High Definition Multimedia Interface
              Lbrightest—Screen luminance in brightest selectable preset picture setting within the home configuration
              Ldefault—Screen luminance in default picture setting within the home configuration
              Ldefault_retail—Screen luminance in default picture setting within the retail configuration
              LAN—Local Area Network
              Pon—Power consumed in on mode
              P3—Average power consumed in on mode, ABC enabled, 3 lx
              P12—Average power consumed in on mode, ABC enabled, 12 lx
              P35—Average power consumed in on mode, ABC enabled, 35 lx

              P100—Average power consumed in on mode, ABC enabled, 100 lx
              Pstandby-passive—Power consumption in standby-passive mode
              Pstandby-active, low—Power consumption in standby-active, low mode
              Poff—Power consumption in off mode
              STB—Set-top Box
              THD—Total Harmonic Distortion
              TV—Television Set
              USB—Universal Serial Bus
              W3—Percent weighting for on mode, ABC enabled, 3 lx
              W12—Percent weighting for on mode, ABC enabled, 12 lx
              W35—Percent weighting for on mode, ABC enabled, 35 lx
              W100—Percent weighting for on mode, ABC enabled, 100 lx
              WAN—Wide Area Network
              3. Accuracy and Precision of Measurement Equipment
              3.1. Voltage and Frequency. Set the test voltage and frequency to the rated electrical supply values of the region in accordance with Table 1 in section 4.3.1 of IEC 62301 Ed. 2.0
              3.2. Power Supply Requirements. The TV power use shall be measured using a power supply that meets the specifications found in section 4.3.1 of IEC 62301 Ed. 2.0 (incorporated by reference, see § 430.3). The THD of the supply voltage shall not exceed 5%, inclusive to the 13th order harmonic, when the unit is under test.
              3.3. Power Meter Requirements. The power measurement shall be carried out directly by means of a wattmeter, a wattmeter with averaging function, or a watt-hour meter by dividing the reading by the measuring time. For TVs where the input video signal varies over time, use a wattmeter with an averaging function to carry out the measurement.
              3.3.1. The sampling rate of the watt-hour meter or wattmeter with averaging function shall be one measurement per second or more frequent.
              3.3.2. The power measurement instrument shall measure and record the power factor and the real power consumed during all on mode tests at the same sampling rate.
              3.3.3. Power measurements of 0.5 W or greater shall be made with an uncertainty of less than or equal to 2 percent (at the 95 percent confidence level). Measurements of power of less than 0.5 W shall be made with an uncertainty of less than or equal to 0.01 W (at the 95 percent confidence level). The power measurement instrument shall have a resolution of:
              0.01 W or better for power measurements of 10 W or less;
              0.1 W or better for power measurements of greater than 10 W up to 100 W;
              1 W or better for power measurements of greater than 100 W.
              3.4. Luminance Meter Requirements. Contact or non-contact luminance meters shall have an accuracy of ±2 percent ±2 digits of the digitally displayed value. Non-contact meters are also required to have an acceptance angle of 3 degrees or less.
              3.5. Illuminance Meter Requirements. All illuminance meters shall have an accuracy of ±2 percent ±2 digits of the digitally displayed value.
              3.6. Video Input Device. The video input device (i.e. BD player) shall be capable of decoding a BD signal. The video input device manufacturer shall be different from the manufacturer of the TV under test to prevent device interaction.
              4. Test Room Set-Up
              4.1. Ambient Temperature Conditions. For all testing, maintain ambient temperature conditions in accordance with in section 11.4.1 of IEC 62087 Ed. 3.0 (incorporated by reference, see § 430.3).
              4.2. Ambient Relative Humidity Conditions. For all testing, maintain the ambient relative humidity between 10 and 80 percent.
              4.3. Room Illuminance Level. All luminance testing (with a non-contact meter) and on mode testing (with ABC enabled by default) shall be performed in a room which measures less than or equal to 1.0 lx measured at the ABC sensor while the TV is in off or a standby mode. If the TV does not have an ABC sensor, measure at the bottom center of the TV bezel.
              4.4. Installation. Install the TV in accordance with manufacturer's instructions.
              4.5. TV Placement. TVs which have an ABC sensor enabled by default shall be placed at least 0.5 meters away from any wall surface (i.e. wall, ceiling, and floor). This does not include the furnishings which the TV may be placed on or the wall which the back of the TV faces. All four corners of the face of the TV shall be placed equidistant from a vertical reference plane (e.g. wall).
              5. TV and Video Signal Configuration
              5.1. Additional Functions. The TV shall be set up according to the requirements in section 11.4.5 of IEC 62087 Ed. 3.0 (incorporated by reference, see § 430.3).
              5.2. Video Connection Priority. The TV and the video input device shall be connected using an HDMI input cable. If the TV does not have an HDMI input terminal, the specified input terminals shall be used in the following order: Component video, S-video, and Composite video.
              5.3. Input Terminal. If the TV has multiple input terminals of the same type (i.e. HDMI 1, HDMI 2), testing shall only be performed using any input terminal designed for viewing live TV or dynamic content from a BD player or STB, not from an input designed for an alternative purpose. Examples 1 and 2 provide visual explanations of this requirement.

                er25oc13.010

              5.4. Special Functions. The TV shall be set up according to the requirements in section 11.4.6 of IEC 62087 Ed. 3.0 (incorporated by reference, see § 430.3).
              5.5. Special Function Configuration. If at any time during on mode operation a message prompt is displayed requesting the configuration of special functions, the most power consumptive configuration shall be selected. If it is unknown which configuration yields the most power consumptive state, verify the selection by measuring the power consumption of each possible configuration.

                Note:
                The selection of the home or retail configuration within the forced menu is not considered the configuration of a special function, and is therefore exempt from this requirement.

              5.6. On Mode Picture Setting. Ensure that the TV is in the default picture setting within the home configuration for all on mode tests. This picture setting shall only be changed as instructed by the luminance test.
              5.7. Video Aspect Ratio. The input video signal shall be configured in accordance with section 11.4.9 of IEC 62087 Ed. 3.0 (incorporated by reference; see § 430.3)
              5.8. Frame Rate. The video frame rate shall be selected in accordance with section 11.4.10 of IEC 62087 Ed. 3.0 (incorporated by reference; see § 430.3)
              5.9. Sound level. The TV sound level shall be configured in accordance with section 11.4.11 of IEC 62087 Ed. 3.0 (incorporated by reference; see § 430.3)
              5.10. Network Connection Configuration.

              5.10.1. Network Connections and Capabilities. Network connections should be listed in the user manual. If no connections are specified in the user manual, verify that the TV does not have network capabilities by checking for the absence of physical connections and the absence of network settings in the menu. If the TV has the capability to be connected to a network but was not shipped with a required piece of hardware (e.g. wireless adapter), that connection type shall not be tested.
              5.10.2. Network Configuration. If the TV is network enabled, connect it to a LAN in on mode and prior to being placed into standby mode. The LAN shall allow devices to ping other devices on the network but will not allow access to a WAN. If the TV has multiple network connections (e.g., Wi-Fi and Ethernet), the TV shall be configured and connected to a single network source in accordance with the hierarchy of connections listed in Table 1 of this section.

                Table 1—Network Connection Hierarchy

                  Priority
                  Network connection type

                  1
                  Wi-Fi (Institution of Electrical and Electronics Engineers—IEEE 802.11-20072)

                  2
                  Ethernet (IEEE 802.3). If the TV supports Energy Efficient Ethernet (IEEE 802.3az-20103), then it shall be connected to a device that also supports IEEE 802.3az.

              6. Calculation of Average Power Consumption
              6.1. Average Power Calculation. For all tests in the on, standby-active, low, and standby-passive modes, the average power shall be calculated using one of the following two methods:
              6.1.1. Record the accumulated energy (Ei) in kilo-watt hours (kWh) consumed over the time period specified for each test (Ti). The average power consumption is calculated as Pi = Ei/Ti.
              6.1.2. Record the average power consumption (Pi) by sampling the power at a rate of at least 1 sample per second and computing the arithmetic mean of all samples over the time period specified for each test (Ti).
              The resulting average power consumption value for each mode of operation shall be rounded according to the accurary requirements specified in section 3.3.3 of this section.
              7. Test Measurements.
              7.1. On Mode Test.

              7.1.1. On Mode Stabilization. If the TV has an ABC sensor enabled by default, direct at least 300 lx into the ABC sensor. The TV shall be stabilized prior to testing on mode using the IEC 62087 Ed. 3.0 Blu-ray Disc TM dynamic broadcast-content video signal in accordance with section 11.4.2 of IEC 62087 Ed. 3.0 (incorporated by reference, see § 430.3).
              7.1.2. On Mode Test for TVs without ABC Enabled by Default. The following test shall be performed if the TV is shipped with ABC disabled by default or the ABC function is unavailable. Display the IEC 62087 Ed. 3.0 Blu-ray Disc TM dynamic broadcast-content video signal for one 10-minute period (incorporated by reference, see § 430.3). Measure and record the average power consumption value over the test duration as Pon.
              7.1.3. On Mode Test for TVs with ABC Enabled by Default. The following test shall be performed if the TV is shipped with ABC enabled by default:
              7.1.3.1. Illuminance Values. Display the IEC 62087 Ed. 3.0 Blu-ray Disc TM dynamic broadcast-content video signal for one 10-minute period (incorporated by reference, see § 430.3) with 100 lx (±5 lx) entering the ABC sensor. Measure and record the average power consumption value over the test duration as P100. Repeat the measurements with 35 lx (±2 lx), 12 lx (±1 lx), and 3 lux (±1 lx) entering the ABC sensor and record the values as P35, P12, and P3 respectively. Testing shall be performed from the brightest to dimmest illuminance value and the values shall be changed by varying the input voltage to the light source.

                Note:
                The 3 lx illuminance value shall be simulated using a 67 mm 2 F-stop neutral density filter. 12 lx is measured at the ABC sensor prior to the application of the neutral density filter.

              7.1.3.2. On Mode Power Calculation. All illuminance values shall be weighted equally when calculating the on mode power for a TV with ABC enabled by default and shall be determined by the following equation:

              Pon = P100 * W100 + P35 * W35 + P12 * W12 + P3 * W3

              Where:
              W100 = W35 = W12 = W3 = 0.25

              7.1.3.3. Lamp Requirements. A standard spectrum, halogen incandescent aluminized reflector lamp with a lamp diameter of 95 mm (±10 mm), a beam angle of 30 degrees (±10 degrees), and a center beam candlepower of 1500 cd (±500 cd) shall be positioned in front of the ABC sensor so that the light is directed into the sensor.

                Note:
                Lamps with spectrum modifying qualities, such as an IR coating, are not considered to meet a standard spectrum.

              7.1.3.4. Light Source Set-up. The center of the lamp shall measure 1.5 m (±0.1 m) from the center of the ABC sensor. The light source shall be aligned ensuring that the center focal point of the lamp is perpendicular to the center of the ABC sensor.
              7.1.3.5. Illuminance Measurement. The room illuminance shall be measured at the sensor in the direction of the light source while the TV is on and displaying the first menu from the IEC 62087 Ed. 3.0 Blu-ray Disc TM dynamic broadcast-content video signal.
              7.2. Luminance Test.

              7.2.1. Luminance Test Set-up.

              7.2.1.1. Picture Setting Set-up. When transitioning from the on mode power consumption test to the luminance test, the TV shall remain in the default picture setting within the home configuration for the first luminance measurement.
              7.2.1.2. ABC Configuration. The ABC sensor shall be disabled at all times during the luminance test. If the ABC sensor is incapable of being disabled through the TV settings menu, direct at least 300 lx of light into the ABC sensor.
              7.2.1.3. Stabilization. Prior to the first luminance measurement, the TV must undergo a 10-minute re-stabilization period using the IEC 62087 Ed. 3.0 Blu-ray DiscTM dynamic broadcast-content video signal.
              7.2.2. Luminance Meter Set-up. Align the luminance meter perpendicular to the center of the TV screen. If a non-contact luminance meter is used to measure the screen luminance, the luminance measurement shall be taken at a distance capable of meeting the meter specifications outlined in section 3.1.3, and in accordance with the meter's user manual.
              7.2.3. Three Vertical Bar Signal Measurement. The IEC 62087 Ed. 3.0 three vertical bar signal found in section 11.5.5 of IEC 62087 Ed. 3.0 (incorporated by reference, see § 430.3) shall be displayed for no more than 5 seconds when each luminance measurement is taken. The luminance measurement taken in the default picture setting within the home configuration shall be recorded as LDefault_Home.
              7.2.4. Luminance in the Brightest Selectable Preset Picture Setting. Using the IEC 62087 Ed. 3.0 three vertical bar signal, determine the brightest selectable preset picture setting within the home configuration. Measure and record the screen luminance in the brightest selectable preset picture setting as LBrightest_Home.
              7.2.5. Retail Configuration Luminance Measurement. If the TV has a retail configuration and the retail configuration is acceptable for making a luminance measurement, measure and record the screen luminance in the default picture setting within the retail configuration as LDefault_Retail. A retail configuration is considered acceptable for a luminance measurement if the TV does not display a demo or ticker which alters the screen content, or if such features are present, they must be capable of being disabled for the entire re-stabilization period and measurement.
              7.3. Standby Mode Test.

              7.3.1. Video Input Device. The video input device shall be disconnected from the TV for all testing in standby mode.
              7.3.2. Standby-Passive Mode. The standby-passive mode test shall be performed according to section 5.3.1 of IEC 62301 Ed. 2.0 (incorporated by reference, see § 430.3). Measure and record the average power consumption value over the test duration as Pstandby-passive.
              7.3.3. Standby-Active, Low Mode. The standby-active, low mode shall only be tested if the TV is capable of connecting to a network and is capable of entering this mode of operation. The standby-active, low mode test shall be performed according to section 5.3.1 of IEC 62301 Ed. 2.0 (incorporated by reference, see § 430.3). Measure and record the average power consumption value over the test duration as Pstandby-active,low.
              7.4. Off Mode Test.

              7.4.1. The off mode test shall be performed according to section 5.3.1 of IEC 62301 Ed. 2.0 (incorporated by reference, see § 430.3). Measure and record the average power consumption value over the test duration as Poff.
              8. Annual Energy Consumption
              8.1. Input Value. The annual energy consumption (AEC) of the TV shall be calculated using on mode, standby mode, and off mode power consumption values as measured pursuant to section 7.1, 7.3, and 7.4 respectively.
              8.2. Rounding. Calculate the AEC of the TV using the equation below. The calculated AEC value shall be rounded as follows:
              If the calculated AEC value is 100 kWh or less, the rated value shall be rounded to the nearest tenth of a kWh;
              If the calculated AEC value is greater than 100 kWh, the rated value shall be rounded to the nearest kWh.
              8.3. Calculations. Express the AEC in kWh per year, according to the following:

              AEC = 365 * (Pon * Hon + Pstandby-active, low * Hstandby-active, low + Pstandby-passive * Hstandby-passive + Poff * Hoff)/1000

              Where:

              Pm = power measured in a given mode m (in Watts)
              Hm = hours per day spent in mode m

              365 = conversion factor from daily to yearly
              1000 = conversion factor from watts to kilowatts

              Values for Hm (in hours/day) are specified in Table 2 of this section:

                Table 2—Hourly Weightings

                  Standby-active, low mode
                  Hon

                  Hstandby-active, low

                  Hstandby-passive

                  Hoff

                  Yes
                  5
                  19
                  0
                  0

                  No
                  5
                  0
                  19
                  0

              [78 FR 63841, Oct. 25, 2013]

              Pt. 430, Subpt. B, App. I
              Appendix I to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Cooking Products

                Note:
                Any representation related to energy or power consumption of cooking products made after June 14, 2017 must be based upon results generated under this test procedure. Upon the compliance date(s) of any energy conservation standard(s) for cooking products, use of the applicable provisions of this test procedure to demonstrate compliance with the energy conservation standard will also be required.

              1. Definitions

                The following definitions apply to the test procedures in this appendix, including the test procedures incorporated by reference:

              1.1 Active mode means a mode in which the product is connected to a mains power source, has been activated, and is performing the main function of producing heat by means of a gas flame, electric resistance heating, electric inductive heating, or microwave energy.

              1.2 Built-in means the product is enclosed in surrounding cabinetry, walls, or other similar structures on at least three sides, and can be supported by surrounding cabinetry or the floor.
              1.3 Combined cooking product means a household cooking appliance that combines a cooking product with other appliance functionality, which may or may not include another cooking product. Combined cooking products include the following products: Conventional range, microwave/conventional cooking top, microwave/conventional oven, and microwave/conventional range.
              1.4 Combined low-power mode means the aggregate of available modes other than active mode, but including the delay start mode portion of active mode.
              1.5 Cooking area is an area on a conventional cooking top surface heated by an inducted magnetic field where cookware is placed for heating, where more than one cookware item can be used simultaneously and controlled separately from other cookware placed on the cooking area, and that is either—
              (1) An area where no clear limitative markings for cookware are visible on the surface of the cooking top; or
              (2) An area with limitative markings.
              1.6 Cooking zone is a conventional cooking top surface that is either a single electric resistance heating element or multiple concentric sizes of electric resistance heating elements, an inductive heating element, or a gas surface unit that is defined by limitative markings on the surface of the cooking top and can be controlled independently of any other cooking area or cooking zone.
              1.7 Cooking top control is a part of the conventional cooking top used to adjust the power and the temperature of the cooking zone or cooking area for one cookware item.
              1.8 Cycle finished mode is a standby mode in which a conventional cooking top provides continuous status display following operation in active mode.
              1.9 Drop-in means the product is supported by horizontal surface cabinetry.
              1.10 EN 60350-2:2013 means the CENELEC test standard titled, “Household electric cooking appliances Part 2: Hobs—Methods for measuring performance,” Publication 60350-2 (2013) (incorporated by reference; see § 430.3).
              1.11 Freestanding means the product is supported by the floor and is not specified in the manufacturer's instructions as able to be installed such that it is enclosed by surrounding cabinetry, walls, or other similar structures.
              1.12 IEC 62301 (First Edition) means the test standard published by the International Electrotechnical Commission, titled “Household electrical appliances—Measurement of standby power,” Publication 62301 (First Edition 2005-06) (incorporated by reference; see § 430.3).
              1.13 IEC 62301 (Second Edition) means the test standard published by the International Electrotechnical Commission, titled “Household electrical appliances—Measurement of standby power,” Publication 62301 (Edition 2.0 2011-01) (incorporated by reference; see § 430.3).
              1.14 Inactive mode means a standby mode that facilitates the activation of active mode by remote switch (including remote control), internal sensor, or timer, or that provides continuous status display.
              1.15 Maximum power setting means the maximum possible power setting if only one cookware item is used on the cooking zone or cooking area of a conventional cooking top.
              1.16 Normal non-operating temperature means a temperature of all areas of an appliance to be tested that is within 5 °F (2.8 °C) of the temperature that the identical areas of the same basic model of the appliance would attain if it remained in the test room for 24 hours while not operating with all oven doors closed.
              1.17 Off mode means any mode in which a cooking product is connected to a mains power source and is not providing any active mode or standby function, and where the mode may persist for an indefinite time. An indicator that only shows the user that the product is in the off position is included within the classification of an off mode.
              1.18 Standard cubic foot (or liter (L)) of gas means that quantity of gas that occupies 1 cubic foot (or alternatively expressed in L) when saturated with water vapor at a temperature of 60 °F (15.6 °C) and a pressure of 30 inches of mercury (101.6 kPa) (density of mercury equals 13.595 grams per cubic centimeter).
              1.19 Standby mode means any mode in which a cooking product is connected to a mains power source and offers one or more of the following user-oriented or protective functions which may persist for an indefinite time:
              (1) Facilitation of the activation of other modes (including activation or deactivation of active mode) by remote switch (including remote control), internal sensor, or timer;
              (2) Provision of continuous functions, including information or status displays (including clocks) or sensor-based functions. A timer is a continuous clock function (which may or may not be associated with a display) that allows for regularly scheduled tasks and that operates on a continuous basis.
              1.20 Thermocouple means a device consisting of two dissimilar metals which are joined together and, with their associated wires, are used to measure temperature by means of electromotive force.

              1.21 Symbol usage. The following identity relationships are provided to help clarify the symbology used throughout this procedure.

              A—Number of Hours in a Year
              C—Specific Heat
              E—Energy Consumed
              H—Heating Value of Gas
              K—Conversion for Watt-hours to Kilowatt-hours or Btu to kBtu
              Ke—3.412 Btu/Wh, Conversion for Watt-hours to Btu
              M—Mass
              n—Number of Units
              P—Power
              Q—Gas Flow Rate
              T—Temperature
              t—Time
              V—Volume of Gas Consumed
              2. Test Conditions
              2.1 Installation. Install a freestanding combined cooking product with the back directly against, or as near as possible to, a vertical wall which extends at least 1 foot above the appliance and 1 foot beyond both sides of the appliance, and with no side walls. Install a drop-in or built-in cooking product in a test enclosure in accordance with manufacturer's instructions. If the manufacturer's instructions specify that the cooking product may be used in multiple installation conditions, install the appliance according to the built-in configuration and, for cooking tops, with the back directly against, or as near as possible to, a vertical wall which extends at least 1 foot above the appliance and 1 foot beyond both sides of the appliance. Completely assemble the product with all handles, knobs, guards, and similar components mounted in place. Position any electric resistance heaters, gas burners, and baffles in accordance with the manufacturer's instructions.
              2.1.1 Conventional electric cooking tops. Connect these products to an electrical supply circuit with voltage as specified in section 2.2.1 of this appendix with a watt-hour meter installed in the circuit. The watt-hour meter shall be as described in section 2.8.1.1 of this appendix. For standby mode and off mode testing, install these products in accordance with Section 5, Paragraph 5.2 of IEC 62301 (Second Edition) (incorporated by reference; see § 430.3), disregarding the provisions regarding batteries and the determination, classification, and testing of relevant modes.
              2.1.2 Conventional gas cooking tops. Connect these products to a gas supply line with a gas meter installed between the supply line and the appliance being tested, according to manufacturer's specifications. The gas meter shall be as described in section 2.8.2 of this appendix. Connect conventional gas cooking tops with electrical ignition devices or other electrical components to an electrical supply circuit of nameplate voltage with a watt-hour meter installed in the circuit. The watt-hour meter shall be as described in section 2.8.1.1 of this appendix. For standby mode and off mode testing, install these products in accordance with Section 5, Paragraph 5.2 of IEC 62301 (Second Edition) (incorporated by reference; see § 430.3), disregarding the provisions regarding batteries and the determination, classification, and testing of relevant modes.
              2.1.3 Microwave ovens, excluding any microwave oven component of a combined cooking product. Install the microwave oven in accordance with the manufacturer's instructions and connect to an electrical supply circuit with voltage as specified in section 2.2.1 of this appendix. Install the microwave oven also in accordance with Section 5, Paragraph 5.2 of IEC 62301 (Second Edition) (incorporated by reference; see § 430.3), disregarding the provisions regarding batteries and the determination, classification, and testing of relevant modes. A watt meter shall be installed in the circuit and shall be as described in section 2.8.1.2 of this appendix.
              2.1.4 Combined cooking products standby mode and off mode. For standby mode and off mode testing of combined cooking products, install these products in accordance with Section 5, Paragraph 5.2 of IEC 62301 (Second Edition) (incorporated by reference; see § 430.3), disregarding the provisions regarding batteries and the determination, classification, and testing of relevant modes.
              2.2 Energy supply.

              2.2.1 Electrical supply.

              2.2.1.1 Voltage. For the test of conventional cooking tops, maintain the electrical supply requirements specified in Section 5.2 of EN 60350-2:2013 (incorporated by reference; see § 430.3). For microwave oven testing, maintain the electrical supply to the unit at 240/120 volts ±1 percent. For combined cooking product standby mode and off mode measurements, maintain the electrical supply to the unit at 240/120 volts ±1 percent. Maintain the electrical supply frequency for all products at 60 hertz ±1 percent.
              2.2.2.1 Gas burner adjustments. Test conventional gas cooking tops with all of the gas burners adjusted in accordance with the installation or operation instructions provided by the manufacturer. In every case, adjust the burner with sufficient air flow to prevent a yellow flame or a flame with yellow tips.
              2.2.2.2 Natural gas. For testing convertible cooking appliances or appliances which are designed to operate using only natural gas, maintain the natural gas pressure immediately ahead of all controls of the unit under test at 7 to 10 inches of water column (1743.6 to 2490.8 Pa). The regulator outlet pressure shall equal the manufacturer's recommendation. The natural gas supplied should have a heating value of approximately 1,025 Btu per standard cubic foot (38.2 kJ/L). The actual gross heating value, Hn, in Btu per standard cubic foot (kJ/L), for the natural gas to be used in the test shall be obtained either from measurements made by the manufacturer conducting the test using equipment that meets the requirements described in section 2.8.4 of this appendix or by the use of bottled natural gas whose gross heating value is certified to be at least as accurate a value that meets the requirements in section 2.8.4 of this appendix.
              2.2.2.3 Propane. For testing convertible cooking appliances with propane or for testing appliances which are designed to operate using only LP-gas, maintain the propane pressure immediately ahead of all controls of the unit under test at 11 to 13 inches of water column (2740 to 3238 Pa). The regulator outlet pressure shall equal the manufacturer's recommendation. The propane supplied should have a heating value of approximately 2,500 Btu per standard cubic foot (93.2 kJ/L). Obtain the actual gross heating value, Hp, in Btu per standard cubic foot (kJ/L), for the propane to be used in the test either from measurements made by the manufacturer conducting the test using equipment that meets the requirements described in section 2.8.4 of this appendix, or by the use of bottled propane whose gross heating value is certified to be at least as accurate a value that meets the requirements described in section 2.8.4 of this appendix.
              2.2.2.4 Test gas. Test a basic model of a convertible cooking appliance with natural gas or propane. Test with natural gas any basic model of a conventional cooking top that is designed to operate using only natural gas as the energy source. Test with propane gas any basic model of a conventional cooking top which is designed to operate using only LP gas as the gas energy source.
              2.3 Air circulation. Maintain air circulation in the room sufficient to secure a reasonably uniform temperature distribution, but do not cause a direct draft on the unit under test.
              2.5 Ambient room test conditions

              2.5.1 Active mode ambient room air temperature. During the active mode test for conventional cooking tops, maintain the ambient room air temperature and pressure specified in Section 5.1 of EN 60350-2:2013 (incorporated by reference; see § 430.3).
              2.5.2 Standby mode and off mode ambient temperature. For standby mode and off mode testing, maintain room ambient air temperature conditions as specified in Section 4, Paragraph 4.2 of IEC 62301 (Second Edition) (incorporated by reference; see § 430.3).
              2.6 Normal non-operating temperature. All areas of the appliance to be tested must attain the normal non-operating temperature, as defined in section 1.16 of this appendix, before any testing begins. Measure the applicable normal non-operating temperature using the equipment specified in sections 2.8.3.1 and 2.8.3.2 of this appendix. For conventional cooking tops, forced cooling may be used to assist in reducing the temperature of the appliance, as specified in Section 5.5 of EN 60350-2:2013 (incorporated by reference; see § 430.3).
              2.7 Conventional cooking top test vessels

              2.7.1 Conventional electric cooking top test vessels. The test vessels and water amounts required for the test of conventional electric cooking tops must meet the requirements specified in Section 7.1.Z2 of EN 60350-2:2013 (incorporated by reference; see § 430.3).
              2.7.2 Conventional gas cooking top test vessels. The test vessels for conventional gas cooking tops must be constructed according to Section 7.1.Z2 of EN 60350-2:2013 (incorporated by reference; see § 430.3). Use the following test vessel diameters and water amounts to test gas cooking zones having the burner input rates as specified:

                  Nominal gas burner input rate
                  MinimumBtu/h (kW)

                  MaximumBtu/h (kW)

                  Test vesseldiameter
                    inches (mm)

                  Water loadmass
                    lbs (kg)

                  3,958 (1.16)
                  5,596 (1.64)
                  8.27 (210)
                  4.52 (2.05)

                  5,630 (1.65)
                  6,756 (1.98)
                  9.45 (240)
                  5.95 (2.70)

                  6,790 (1.99)
                  8,053 (2.36)
                  10.63 (270)
                  7.54 (3.42)

                  8,087 (2.37)
                  14,331 (4.2)
                  10.63 (270)
                  7.54 (3.42)

                  >14,331 (4.2)

                  11.81 (300)
                  9.35 (4.24)

              2.8 Instrumentation. Perform all test measurements using the following instruments, as appropriate:
              2.8.1 Electrical Measurements.

              2.8.1.1 Watt-hour meter. The watt-hour meter for measuring the electrical energy consumption of conventional cooking tops must have a resolution as specified in Table Z1 of Section 5.3 of EN 60350-2:2013 (incorporated by reference; see § 430.3). The watt-hour meter for measuring the electrical energy consumption of microwave ovens must have a resolution of 0.1 watt-hour (0.36 kJ) or less and a maximum error no greater than 1.5 percent of the measured value.
              2.8.1.2 Standby mode and off mode watt meter. The watt meter used to measure standby mode and off mode power must meet the requirements specified in Section 4, Paragraph 4.4 of IEC 62301 (Second Edition) (incorporated by reference; see § 430.3). For microwave oven standby mode and off mode testing, if the power measuring instrument used for testing is unable to measure and record the crest factor, power factor, or maximum current ratio during the test measurement period, measure the crest factor, power factor, and maximum current ratio immediately before and after the test measurement period to determine whether these characteristics meet the requirements specified in Section 4, Paragraph 4.4 of IEC 62301 (Second Edition).
              2.8.2 Gas Measurements.

              2.8.2.1 Positive displacement meters. The gas meter to be used for measuring the gas consumed by the gas burners of the conventional cooking top must have a resolution of 0.01 cubic foot (0.28 L) or less and a maximum error no greater than 1 percent of the measured valued for any demand greater than 2.2 cubic feet per hour (62.3 L/h).
              2.8.3 Temperature measurement equipment.

              2.8.3.1 Room temperature indicating system. For the test of microwave ovens, the room temperature indicating system must have an error no greater than ±1 °F (±0.6 °C) over the range 65° to 90 °F (18 °C to 32 °C). For conventional cooking tops, the room temperature indicating system must be as specified in Table Z1 of Section 5.3 of EN 60350-2:2013 (incorporated by reference; see § 430.3).
              2.8.3.2 Temperature indicator system for measuring surface temperatures. Measure the temperature of any surface of a conventional cooking top by means of a thermocouple in firm contact with the surface. The temperature indicating system must have an error no greater than ±1 °F (±0.6 °C) over the range 65° to 90 °F (18 °C to 32 °C).
              2.8.3.3 Water temperature indicating system. For the test of conventional cooking tops, measure the test vessel water temperature by means of a thermocouple as specified in Table Z1 of Section 5.3 of EN 60350-2:2013 (incorporated by reference; see § 430.3).
              2.8.3.4 Room air pressure indicating system. For the test of conventional cooking tops, the room air pressure indicating system must be as specified in Table Z1 of Section 5.3 of EN 60350-2:2013 (incorporated by reference; see § 430.3).
              2.8.4 Heating Value. Measure the heating value of the natural gas or propane with an instrument and associated readout device that has a maximum error no greater than ±0.5% of the measured value and a resolution of ±0.2% or less of the full scale reading of the indicator instrument. Correct the heating value of natural gas or propane to standard pressure and temperature conditions in accordance with U.S. Bureau of Standards, circular C417, 1938.
              2.8.5 Scale. The scale used to measure the mass of the water amount must be as specified in Table Z1 of Section 5.3 of EN 60350-2:2013 (incorporated by reference; see § 430.3).
              3. Test Methods and Measurements
              3.1. Test methods.

              3.1.1 Conventional cooking top. Establish the test conditions set forth in section 2, Test Conditions, of this appendix. Turn off the gas flow to the conventional oven(s), if so equipped. The temperature of the conventional cooking top must be its normal non-operating temperature as defined in section 1.16 and described in section 2.6 of this appendix. For conventional electric cooking tops, select the test vessel(s) and test position(s) according to Sections 6.2.Z1, 7.1.Z2, 7.1.Z3, 7.1.Z4, Annex ZA to ZD, and Annex ZF of EN 60350-2:2013 (incorporated by reference; see § 430.3). When measuring the surface unit cooking zone diameter, the outer diameter of the cooking zone printed marking shall be used for the measurement. For conventional gas cooking tops, select the appropriate test vessel(s) from the test vessels specified in section 2.7.2 of this appendix based on the burner input rate. Use the test methods set forth in Section 7.1.Z6 of EN 60350-2:2013 to measure the energy consumption of electric and gas cooking zones and electric cooking areas. The temperature overshoot, ΔT0, calculated in Section 7.1.Z6.2.2 is the difference between the highest recorded temperature value and T70 as shown in Figure Z2. During the simmering energy consumption measurement specified in Section 7.1.Z6.3, the 20-minute simmering period starts when the water temperature first reaches 90 °C and does not drop below 90 °C for more than 20 seconds after initially reaching 90 °C. Do not test specialty cooking zones that are for use only with non-circular cookware, such as bridge zones, warming plates, grills, and griddles.
              3.1.1.1 Conventional cooking top standby mode and off mode power except for any conventional cooking top component of a combined cooking product. Establish the standby mode and off mode testing conditions set forth in section 2, Test Conditions, of this appendix. For conventional cooking tops that take some time to enter a stable state from a higher power state as discussed in Section 5, Paragraph 5.1, Note 1 of IEC 62301 (Second Edition) (incorporated by reference; see § 430.3), allow sufficient time for the conventional cooking top to reach the lower power state before proceeding with the test measurement. Follow the test procedure as specified in Section 5, Paragraph 5.3.2 of IEC 62301 (Second Edition) for testing in each possible mode as described in sections 3.1.1.1.1 and 3.1.1.1.2 of this appendix. For units in which power varies as a function of displayed time in standby mode, set the clock time to 3:23 at the end of the stabilization period specified in Section 5, Paragraph 5.3 of IEC 62301 (First Edition), and use the average power approach described in Section 5, Paragraph 5.3.2(a) of IEC 62301 (First Edition), but with a single test period of 10 minutes +0/−2 sec after an additional stabilization period until the clock time reaches 3:33.

              3.1.1.1.1 If the conventional cooking top has an inactive mode, as defined in section 1.14 of this appendix, measure and record the average inactive mode power of the conventional cooking top, PIA, in watts.

              3.1.1.1.2 If the conventional cooking top has an off mode, as defined in section 1.17 of this appendix, measure and record the average off mode power of the conventional cooking top, POM, in watts.
              3.1.2 Combined cooking product standby mode and off mode power. Establish the standby mode and off mode testing conditions set forth in section 2, Test Conditions, of this appendix. For combined cooking products that take some time to enter a stable state from a higher power state as discussed in Section 5, Paragraph 5.1, Note 1 of IEC 62301 (Second Edition) (incorporated by reference; see § 430.3), allow sufficient time for the combined cooking product to reach the lower power state before proceeding with the test measurement. Follow the test procedure as specified in Section 5, Paragraph 5.3.2 of IEC 62301 (Second Edition) for testing in each possible mode as described in sections 3.1.2.1 and 3.1.2.2 of this appendix. For units in which power varies as a function of displayed time in standby mode, set the clock time to 3:23 at the end of the stabilization period specified in Section 5, Paragraph 5.3 of IEC 62301 (First Edition), and use the average power approach described in Section 5, Paragraph 5.3.2(a) of IEC 62301 (First Edition), but with a single test period of 10 minutes +0/−2 sec after an additional stabilization period until the clock time reaches 3:33.

              3.1.2.1 If the combined cooking product has an inactive mode, as defined in section 1.14 of this appendix, measure and record the average inactive mode power of the combined cooking product, PIA, in watts.

              3.1.2.2 If the combined cooking product has an off mode, as defined in section 1.17 of this appendix, measure and record the average off mode power of the combined cooking product, POM, in watts.
              3.1.3 Microwave oven.

              3.1.3.1 Microwave oven test standby mode and off mode power except for any microwave oven component of a combined cooking product. Establish the testing conditions set forth in section 2, Test Conditions, of this appendix. For microwave ovens that drop from a higher power state to a lower power state as discussed in Section 5, Paragraph 5.1, Note 1 of IEC 62301 (Second Edition) (incorporated by reference; see § 430.3), allow sufficient time for the microwave oven to reach the lower power state before proceeding with the test measurement. Follow the test procedure as specified in Section 5, Paragraph 5.3.2 of IEC 62301 (Second Edition). For units in which power varies as a function of displayed time in standby mode, set the clock time to 3:23 and use the average power approach described in Section 5, Paragraph 5.3.2(a) of IEC 62301 (First Edition), but with a single test period of 10 minutes +0/−2 sec after an additional stabilization period until the clock time reaches 3:33. If a microwave oven is capable of operation in either standby mode or off mode, as defined in sections 1.19 and 1.17 of this appendix, respectively, or both, test the microwave oven in each mode in which it can operate.
              3.2 Test measurements.

              3.2.1 Conventional cooking top test energy consumption.

              3.2.1.1 Conventional cooking area or cooking zone energy consumption. Measure the energy consumption for each electric cooking zone and cooking area, in watt-hours (kJ) of electricity according to section 7.1.Z6.3 of EN 60350-2:2013 (incorporated by reference; see § 430.3). For the gas surface unit under test, measure the volume of gas consumption, VCT, in standard cubic feet (L) of gas and any electrical energy, EIC, consumed by an ignition device of a gas heating element or other electrical components required for the operation of the conventional gas cooking top in watt-hours (kJ).
              3.2.1.2 Conventional cooking top standby mode and off mode power except for any conventional cooking top component of a combined cooking product. Make measurements as specified in section 3.1.1.1 of this appendix. If the conventional cooking top is capable of operating in inactive mode, as defined in section 1.15 of this appendix, measure the average inactive mode power of the conventional cooking top, PIA, in watts as specified in section 3.1.1.1.1 of this appendix. If the conventional cooking top is capable of operating in off mode, as defined in section 1.17 of this appendix, measure the average off mode power of the conventional cooking top, POM, in watts as specified in section 3.1.1.1.2 of this appendix.
              3.2.2 Combined cooking product standby mode and off mode power. Make measurements as specified in section 3.1.2 of this appendix. If the combined cooking product is capable of operating in inactive mode, as defined in section 1.15 of this appendix, measure the average inactive mode power of the combined cooking product, PIA, in watts as specified in section 3.1.2.1 of this appendix. If the combined cooking product is capable of operating in off mode, as defined in section 1.17 of this appendix, measure the average off mode power of the combined cooking product, POM, in watts as specified in section 3.1.2.2 of this appendix.
              3.2.3 Microwave oven standby mode and off mode power except for any microwave oven component of a combined cooking product. Make measurements as specified in Section 5, Paragraph 5.3 of IEC 62301 (Second Edition) (incorporated by reference; see § 430.3). If the microwave oven is capable of operating in standby mode, as defined in section 1.19 of this appendix, measure the average standby mode power of the microwave oven, PSB, in watts as specified in section 3.1.3.1 of this appendix. If the microwave oven is capable of operating in off mode, as defined in section 1.17 of this appendix, measure the average off mode power of the microwave oven, POM, as specified in section 3.1.3.1.

              3.3 Recorded values.

              3.3.1 Record the test room temperature, TR, at the start and end of each conventional cooking top or combined cooking product test, as determined in section 2.5 of this appendix.
              3.3.2 Record the relative air pressure at the start of the test and at the end of the test in hectopascals (hPa).

              3.3.3 For conventional cooking tops and combined cooking products, record the standby mode and off mode test measurements PIA and POM, if applicable.

              3.3.4 For each test of an electric cooking area or cooking zone, record the values listed in 7.1.Z6.3 in EN 60350-2:2013 (incorporated by reference; see § 430.3) and the total test electric energy consumption, ETV.

              3.3.5 For each test of a conventional gas surface unit, record the gas volume consumption, VCT; the time until the power setting is reduced, tc; the time when the simmering period starts, t90; the initial temperature of the water; the water temperature when the setting is reduced, Tc; the water temperature at the end of the test, Ts; and the electrical energy for ignition of the burners, EIC.
              3.3.6 Record the heating value, Hn, as determined in section 2.2.2.2 of this appendix for the natural gas supply.
              3.3.7 Record the heating value, Hp, as determined in section 2.2.2.3 of this appendix for the propane supply.
              3.3.8 Record the simmering setting selected in accordance with section 7.1.Z6.2.3.

              3.3.9 For microwave ovens except for any microwave oven component of a combined cooking product, record the average standby mode power, PSB, for the microwave oven standby mode, as determined in section 3.2.3 of this appendix for a microwave oven capable of operating in standby mode. Record the average off mode power, POM, for the microwave oven off mode power test, as determined in section 3.2.3 of this appendix for a microwave oven capable of operating in off mode.
              4. Calculation of Derived Results From Test Measurements
              4.1 Conventional cooking top.

              4.1.1 Conventional cooking top energy consumption.

              4.1.1.1 Energy consumption for electric cooking tops. Calculate the energy consumption of a conventional electric cooking top, ECTE, in Watt-hours (kJ), using the following equation:

                ER16DE16.029

              Where:

              ntv = the total number of tests conducted for the conventional electric cooking top
              Etv = the energy consumption measured for each test with a given test vessel, tv, in Wh
              mtv is the mass of water used for the test, in g
              2853 = the representative water load mass, in g

              4.1.1.2 Gas energy consumption for conventional gas cooking tops. Calculate the energy consumption of the conventional gas cooking top, ECTG, in Btus (kJ) using the following equation:

                ER16DE16.030

              Where:

              ntv = the total number of tests conducted for the conventional gas cooking top
              mtv = the mass of the water used to test a given cooking zone or area
              Etvg = (VCT × H), the gas energy consumption measured for each test with a given test vessel, tv, in Btu (kJ)

              Where:

              VCT = total gas consumption in standard cubic feet (L) for the gas surface unit test as measured in section 3.2.1.1 of this appendix.
              H = either Hn or Hp, the heating value of the gas used in the test as specified in sections 2.2.2.2 and 2.2.2.3 of this appendix, expressed in Btus per standard cubic foot (kJ/L) of gas.
              2853 = the representative water load mass, in g

              4.1.1.3 Electrical energy consumption for conventional gas cooking tops. Calculate the energy consumption of the conventional gas cooking top, ECTGE, in Watt-hours (kJ) using the following equation:

                ER16DE16.031

              Where:

              ntv = the total number of tests conducted for the conventional gas cooking top
              mtv = the mass of the water used to test a given cooking zone or area
              EIC = the electrical energy consumed in watt-hours (kJ) by a gas surface unit as measured in section 3.2.1.1 of this appendix.
              2853 = the representative water load mass, in g

              4.1.2 Conventional cooking top annual energy consumption.

              4.1.2.1 Conventional electric cooking top.

              4.1.2.1.1 Annual energy consumption of a conventional electric cooking top. Calculate the annual energy consumption of a conventional electric cooking top, ECA, in kilowatt-hours (kJ) per year, defined as:

                E
                CA = E
                CTE × K × N
                CE

              Where:

              K = 0.001 kWh/Wh conversion factor for watt-hours to kilowatt-hours.
              NCE = 207.5 cooking cycles per year, the average number of cooking cycles per year normalized for duration of a cooking event estimated for conventional electric cooking tops.
              ECTE = energy consumption of the conventional electric cooking top as defined in section 4.1.1.1 of this appendix.
              4.1.2.1.2 Integrated annual energy consumption of a conventional electric cooking top. Calculate the integrated annual electrical energy consumption, EIAEC, of a conventional electric cooking top, except for any conventional electric cooking top component of a combined cooking product, in kilowatt-hours (kJ) per year, defined as:

                E
                1AEC = E
                CA + E
                CTLP

              Where:

              ECA = the annual energy consumption of the conventional electric cooking top as defined in section 4.1.2.1.1 of this appendix.
              ECTLP = conventional cooking top annual combined low-power mode energy consumption = [(PIA × SIA) + (POM × SOM)] × K,

              Where:
              PIA = conventional cooking top inactive mode power, in watts, as measured in section 3.1.1.1.1 of this appendix.
              POM = conventional cooking top off mode power, in watts, as measured in section 3.1.1.1.2 of this appendix.

              If the conventional cooking top has both inactive mode and off mode annual hours, SIA and SOM both equal 4273.4;

              If the conventional cooking top has an inactive mode but no off mode, the inactive mode annual hours, SIA, is equal to 8546.9, and the off mode annual hours, SOM, is equal to 0;

              If the conventional cooking top has an off mode but no inactive mode, SIA is equal to 0, and SOM is equal to 8546.9;

              K = 0.001 kWh/Wh conversion factor for watt-hours to kilowatt-hours.

              4.1.2.2 Conventional gas cooking top

              4.1.2.2.1 Annual gas energy consumption of a conventional gas cooking top. Calculate the annual gas energy consumption, ECCG, in kBtus (kJ) per year for a conventional gas cooking top, defined as:

                E
                CCG = E
                CTG × K × N
                CG

              Where:

              NCG = 214.5 cooking cycles per year, the average number of cooking cycles per year normalized for duration of a cooking event estimated for conventional gas cooking tops.
              ECTG = gas energy consumption of the conventional gas cooking top as defined in section 4.1.1.2 of this appendix.
              K = 0.001 conversion factor for Btu to kBtu.

              4.1.2.2.2 Annual electrical energy consumption of a conventional gas cooking top. Calculate the annual electrical energy consumption, ECCE, in kilowatt-hours (kJ) per year for a conventional gas cooking top, defined as:

                E
                CCE = E
                CTGE × K × N
                CG

              Where:

              NCG = 214.5 cooking cycles per year, the average number of cooking cycles per year normalized for duration of a cooking event estimated for conventional gas cooking tops.

              ECTGE = secondary electrical energy consumption of the conventional gas cooking top as defined in section 4.1.1.3 of this appendix.
              K = 0.001 conversion factor for Wh to kWh.

              4.1.2.2.3 Integrated annual energy consumption of a conventional gas cooking top. Calculate the integrated annual energy consumption, EIAEC, of a conventional gas cooking top, except for any conventional gas cooking top component of a combined cooking product, in kBtus (kJ) per year, defined as:

                E
                1AEC = E
                CC + (E
                CTSO × K
                e)

              Where:

              ECC = ECCG + (ECCE × Ke) the total annual energy consumption of a conventional gas cooking top

              Where:

              ECCG = the primary annual energy consumption of a conventional gas cooking top as determined in section 4.1.2.2.1 of this appendix.
              ECCE = the secondary annual energy consumption of a conventional gas cooking top as determined in section 4.1.2.2.2 of this appendix.
              Ke = 3.412 Btu/Wh (3.6 kJ/Wh), conversion factor of watt-hours to Btus.
              ECTSO = conventional cooking top annual combined low-power mode energy consumption = [(PIA × SIA) + (POM × SOM)] × K,

              Where:

              PIA = conventional cooking top inactive mode power, in watts, as measured in section 3.1.1.1.1 of this appendix.
              POM = conventional cooking top off mode power, in watts, as measured in section 3.1.1.1.2 of this appendix.

              If the conventional cooking top has both inactive mode and off mode annual hours, SIA and SOM both equal 4273.4;

              If the conventional cooking top has an inactive mode but no off mode, the inactive mode annual hours, SIA, is equal to 8546.9, and the off mode annual hours, SOM, is equal to 0;

              If the conventional cooking top has an off mode but no inactive mode, SIA is equal to 0, and SOM is equal to 8546.9;

              K = 0.001 kWh/Wh conversion factor for watt-hours to kilowatt-hours.

              4.2 Combined cooking products.

                4.2.1 Combined cooking product annual combined low-power mode energy consumption. Calculate the combined cooking product annual combined low-power mode energy consumption, ECCLP, defined as:

                E
                CCLP = (P
                IA × S
                IA) + (P
                OM × S
                OM)] × K,

              Where:

              PIA = combined cooking product inactive mode power, in watts, as measured in section 3.1.2.1 of this appendix.
              POM = combined cooking product off mode power, in watts, as measured in section 3.1.2.2 of this appendix.
              STOT equals the total number of inactive mode and off mode hours per year, 8,329.2;

              If the combined cooking product has both inactive mode and off mode, SIA and SOM both equal STOT/2;

              If the combined cooking product has an inactive mode but no off mode, the inactive mode annual hours, SIA, is equal to STOT, and the off mode annual hours, SOM, is equal to 0;

              If the combined cooking product has an off mode but no inactive mode, SIA is equal to 0, and SOM is equal to STOT;

              K = 0.001 kWh/Wh conversion factor for watt-hours to kilowatt-hours.

              4.2.2 Integrated annual energy consumption of any conventional cooking top component of a combined cooking product.

              4.2.2.1 Integrated annual energy consumption of any conventional electric cooking top component of a combined cooking product. Calculate the integrated annual energy consumption of a conventional electric cooking top component of a combined cooking product, EIAEC, in kilowatt-hours (kJ) per year and defined as:

                E
                IAEC = E
                CA + E
                CCTLP

              Where,

                E
                CA = the annual energy consumption of the conventional electric cooking top as defined in section 4.1.2.1.1 of this appendix.

                E
                CCTLP = annual combined low-power mode energy consumption for the conventional cooking top component of a combined cooking product, in kWh (kJ) per year, calculated as:

                ER16DE16.032

              Where:

                E
                CCLP = combined cooking product annual combined low-power mode energy consumption, determined in section 4.2.1 of this appendix.

                H
                CT = 213.1 hours per year, the average number of cooking hours per year for a conventional cooking top.

              HT = HOV + HCT + HMWO

              Where:

              HOV = average number of cooking hours per year for a conventional oven, which is equal to 219.9 hours per year. If the combined cooking product does not include a conventional oven, then HOV = 0.
              HMWO = average number of cooking hours per year for a microwave oven, which is equal to 44.9 hours per year. If the combined cooking product does not include a microwave oven, then HMWO = 0.

              4.2.2.2 Integrated annual energy consumption of any conventional gas cooking top component of a combined cooking product. Calculate the integrated annual energy consumption of a conventional gas cooking top component of a combined cooking product, EIAEC, in kBtus (kJ) per year and defined as:

                E
                IAEC = E
                CC + (E
                CCTLP × K
                e)

              Where,

                E
                CC = ECCG + ECCE, the total annual energy consumption of a conventional gas cooking top,

              Where:

                E
                CCG = the annual gas energy consumption of a conventional gas cooking top as determined in section 4.1.2.2.1 of this appendix.

                E
                CCE = the annual electrical energy consumption of a conventional gas cooking top as determined in section 4.1.2.2.2 of this appendix.

                K
                e = 3.412 kBtu/kWh (3,600 kJ/kWh), conversion factor for kilowatt-hours to kBtus.

                E
                CCTLP = annual combined low-power mode energy consumption for the conventional cooking top component of a combined cooking product, in kWh (kJ) per year, calculated as:

                ER16DE16.033

              Where:

                E
                CCLP = combined cooking product annual combined low-power mode energy consumption, determined in section 4.2.1 of this appendix.

                H
                CT = 213.1 hours per year, the average number of cooking hours per year for a conventional cooking top.

                H
                T = HOV + HCT + HMWO

              Where:

              HOV = average number of cooking hours per year for a conventional oven, which is equal to 219.9 hours per year. If the combined cooking product does not include a conventional oven, then HOV = 0.
              HMWO = average number of cooking hours per year for a microwave oven, which is equal to 44.9 hours per year. If the combined cooking product does not include a microwave oven, then HMWO = 0.

              4.2.3 Annual combined low-power mode energy consumption for any microwave oven component of a combined cooking product. Calculate the annual combined low-power mode energy consumption of a microwave oven component of a combined cooking product, ECMWOLP, in kWh (kJ) per year, and defined as:

                ER16DE16.034

              Where:

                E
                CCLP = combined cooking product annual combined low-power mode energy consumption, determined in section 4.2.1 of this appendix.

                H
                MWO = 44.9 hours per year, the average number of cooking hours per year for a microwave oven.

                H
                T = HOV + HCT + HMWO

              Where:

              HOV = average number of cooking hours per year for a conventional oven, which is equal to 219.9 hours per year. If the combined cooking product does not include a conventional oven, then HOV = 0.
              HCT = average number of cooking hours per year for a conventional cooking top, which is equal to 213.1 hours per year. If the combined cooking product does not include a conventional cooking top, then HCT = 0.
              [81 FR 91447, Dec. 16, 2016]

              Pt. 430, Subpt. B, App. J1
              Appendix J1 to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Automatic and Semi-Automatic Clothes Washers

                Note:
                Any representation related to the energy or water consumption of a residential clothes washer must be based upon results generated using Appendix J2.
                Before January 1, 2018, any representation related to the energy or water consumption of commercial clothes washers must be based on results generated using Appendix J1. Specifically, before February 1, 2016, representations must be based upon results generated either under this appendix or under Appendix J1 as it appeared in the 10 CFR parts 200-499 edition revised as of January 1, 2015. Any representations made on or after February 1, 2016, but before January 1, 2018, must be made based upon results generated using this appendix. Any representations made on or after January 1, 2018, must be based upon results generated using Appendix J2.

              1. Definitions and Symbols
              1.1 Adaptive control system means a clothes washer control system, other than an adaptive water fill control system, that is capable of automatically adjusting washer operation or washing conditions based on characteristics of the clothes load placed in the clothes container, without allowing or requiring user intervention or actions. The automatic adjustments may, for example, include automatic selection, modification, or control of any of the following: Wash water temperature, agitation or tumble cycle time, number of rinse cycles, or spin speed. The characteristics of the clothes load, which could trigger such adjustments, could, for example, consist of or be indicated by the presence of either soil, soap, suds, or any other additive laundering substitute or complementary product.
              1.2 Adaptive water fill control system means a clothes washer automatic water fill control system that is capable of automatically adjusting the water fill level based on the size or weight of the clothes load placed in the clothes container.
              1.3 Automatic water fill control system means a clothes washer water fill control system that does not allow or require the user to determine or select the water fill level, and includes adaptive water fill control systems and fixed water fill control systems.
              1.4 Bone-dry means a condition of a load of test cloth which has been dried in a dryer at maximum temperature for a minimum of 10 minutes, removed and weighed before cool down, and then dried again for 10 minute periods until the final weight change of the load is 1 percent or less.
              1.5 Clothes container means the compartment within the clothes washer that holds the clothes during the operation of the machine.
              1.6 Compact means a clothes washer which has a clothes container capacity of less than 1.6 ft3 (45 L).
              1.7 Deep rinse cycle means a rinse cycle in which the clothes container is filled with water to a selected level and the clothes load is rinsed by agitating it or tumbling it through the water.
              1.8 Energy test cycle for a basic model includes:
              (A) All wash/rinse temperature selections and water levels offered in the cycle recommended by the manufacturer for washing cotton or linen clothes, and
              (B) For each other wash/rinse temperature selection or water level available on that basic model, the portion(s) of other cycle(s) with that temperature selection or water level that, when tested pursuant to these test procedures, will contribute to an accurate representation of the energy consumption of the basic model as used by end users.
              If a warm rinse temperature selection is available on the clothes washer but is not available in the cycle recommended for washing cotton or linen clothes, the energy test cycle shall include the warm rinse temperature selection in the cycle most comparable to the cycle recommended for washing cotton or linen clothes.

              If an extra-hot temperature selection is available only on a sanitization cycle, the sanitization cycle should be included in the energy test cycle if the cycle is recommended by the manufacturer for washing clothing. If the extra-hot temperature selection is available only on a sanitization cycle not recommended by the manufacturer for washing clothing (e.g., a cycle intended only for sanitizing the wash drum), such a cycle is not required for consideration as part of the energy test cycle.

              (C) For clothes washers with electronic control systems, use the manufacturer default settings for any cycle selections, except for (1) the temperature selection, (2) the wash water fill levels, or (3) if necessary, the spin speeds on wash cycles used to determine remaining moisture content. Specifically, the manufacturer default settings must be used for wash conditions such as agitation/tumble operation, soil level, spin speed on wash cycles used to determine energy and water consumption, wash times, rinse times, optional rinse settings, water heating time for water-heating clothes washers, and all other wash parameters or optional features applicable to that wash cycle. Any optional wash cycle feature or setting (other than wash/rinse temperature, water fill level selection, or spin speed on wash cycles used to determine remaining moisture content) that is activated by default on the wash cycle under test must be included for testing unless the manufacturer instructions recommend not selecting this option, or recommend selecting a different option, for washing normally soiled cotton clothing.
              For clothes washers with control panels containing mechanical switches or dials, any optional settings, except for (1) the temperature selection, (2) the wash water fill levels, or (3) if necessary, the spin speeds on wash cycles used to determine remaining moisture content, must be in the position recommended by the manufacturer for washing normally soiled cotton clothing. If the manufacturer instructions do not recommend a particular switch or dial position to be used for washing normally soiled cotton clothing, the setting switch or dial must remain in its as-shipped position.
              (D) The determination of the energy test cycle must take into consideration all cycle settings available to the end user, including any cycle selections or cycle modifications provided by the manufacturer via software or firmware updates to the product, for the basic model under test.
              1.9 Fixed water fill control system means a clothes washer automatic water fill control system that automatically terminates the fill when the water reaches an appropriate level in the clothes container.
              1.10 Load use factor means the percentage of the total number of wash loads that a user would wash a particular size (weight) load.
              1.11 Manual control system means a clothes washer control system that requires that the user make the choices that determine washer operation or washing conditions, such as, for example, wash/rinse temperature selections, and wash time before starting the cycle.
              1.12 Manual water fill control system means a clothes washer water fill control system that requires the user to determine or select the water fill level.
              1.13 Modified energy factor means the quotient of the cubic foot (or liter) capacity of the clothes container divided by the total clothes washer energy consumption per cycle, with such energy consumption expressed as the sum of the machine electrical energy consumption, the hot water energy consumption, and the energy required for removal of the remaining moisture in the wash load.
              1.14 Non-water-heating clothes washer means a clothes washer which does not have an internal water heating device to generate hot water.
              1.15 Spray rinse cycle means a rinse cycle in which water is sprayed onto the clothes for a period of time without maintaining any specific water level in the clothes container.
              1.16 Standard means a clothes washer which has a clothes container capacity of 1.6 ft3 (45 L) or greater.
              1.17 Temperature use factor means, for a particular wash/rinse temperature setting, the percentage of the total number of wash loads that an average user would wash with that setting.
              1.18 Thermostatically controlled water valves means clothes washer controls that have the ability to sense and adjust the hot and cold supply water.
              1.19 Warm wash means all wash temperature selections that are below the hottest hot, less than 135 °F (57.2 °C), and above the coldest cold temperature selection.
              1.20 Water factor means the quotient of the total weighted per-cycle water consumption divided by the cubic foot (or liter) capacity of the clothes washer.
              1.21 Water-heating clothes washer means a clothes washer where some or all of the hot water for clothes washing is generated by a water heating device internal to the clothes washer.
              1.22 Symbol usage. The following identity relationships are provided to help clarify the symbology used throughout this procedure.

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

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

              Emx = “Electrical Energy Consumption” for an “Extra Hot Wash” and “Maximum Test Load”
              Ra = “Hot Water Consumed by Warm Rinse” for the “Average Test Load”
              TUFm = “Temperature Use Factor” for an “Extra Hot Wash”
              HEmin = “Hot Water Energy Consumption” for the “Minimum Test Load”

              1.23 Cold rinse means the coldest rinse temperature available on the machine.
              1.24 Warm rinse means the hottest rinse temperature available on the machine (and should be the same rinse temperature selection tested in 3.7 of this appendix).
              2. Testing Conditions
              2.1 Installation. Install the clothes washer in accordance with manufacturer's instructions.
              2.2 Electrical energy supply. Maintain the electrical supply at the clothes washer terminal block within 2 percent of 120, 120/240, or 120/208Y volts as applicable to the particular terminal block wiring system and within 2 percent of the nameplate frequency as specified by the manufacturer. If the clothes washer has a dual voltage conversion capability, conduct test at the highest voltage specified by the manufacturer.
              2.3 Supply Water. Maintain the temperature of the hot water supply at the water inlets between 130 °F (54.4 °C) and 135 °F (57.2 °C), using 135 °F as the target temperature. Maintain the temperature of the cold water supply at the water inlets between 55 °F (12.8 °C) and 60 °F (15.6 °C), using 60 °F as the target temperature. A water meter shall be installed in both the hot and cold water lines to measure water consumption.
              2.4 Water pressure. The static water pressure at the hot and cold water inlet connection of the clothes washer shall be maintained at 35 pounds per square inch gauge (psig) ±2.5 psig (241.3 kPa±17.2 kPa) during the test. The static water pressure for a single water inlet connection shall be maintained at 35 psig±2.5 psig (241.3 kPa±17.2 kPa) during the test. A water pressure gauge shall be installed in both the hot and cold water lines to measure water pressure.
              2.5 Instrumentation. Perform all test measurements using the following instruments, as appropriate:
              2.5.1 Weighing scales.

              2.5.1.1 Weighing scale for test cloth. The scale shall have a resolution of no larger than 0.2 oz (5.7 g) and a maximum error no greater than 0.3 percent of the measured value.
              2.5.1.2 Weighing scale for clothes container capacity measurements. The scale should have a resolution no larger than 0.50 lbs (0.23 kg) and a maximum error no greater than 0.5 percent of the measured value.
              2.5.2 Watt-hour meter. The watt-hour meter shall have a resolution no larger than 1 Wh (3.6 kJ) and a maximum error no greater than 2 percent of the measured value for any demand greater than 50 Wh (180.0 kJ).
              2.5.3 Temperature measuring device. The device shall have an error no greater than ±1 °F (±0.6 °C) over the range being measured.
              2.5.4 Water meter. The water meter shall have a resolution no larger than 0.1 gallons (0.4 liters) and a maximum error no greater than 2 percent for the water flow rates being measured.
              2.5.5 Water pressure gauge. The water pressure gauge shall have a resolution of 1 pound per square inch gauge (psig) (6.9 kPa) and shall have an error no greater than 5 percent of any measured value.
              2.6 Test cloths.

              2.6.1 Energy Test Cloth. The energy test cloth shall be made from energy test cloth material, as specified in 2.6.4, that is 24 inches by 36 inches (61.0 cm by 91.4 cm) and has been hemmed to 22 inches by 34 inches (55.9 cm by 86.4 cm) before washing. The energy test cloth shall be clean and shall not be used for more than 60 test runs (after preconditioning as specified in 2.6.3 of this appendix). All energy test cloth must be permanently marked identifying the lot number of the material. Mixed lots of material shall not be used for testing the clothes washers.
              2.6.2 Energy Stuffer Cloth. The energy stuffer cloth shall be made from energy test cloth material, as specified in 2.6.4, and shall consist of pieces of material that are 12 inches by 12 inches (30.5 cm by 30.5 cm) and have been hemmed to 10 inches by 10 inches (25.4 cm by 25.4 cm) before washing. The energy stuffer cloth shall be clean and shall not be used for more than 60 test runs (after preconditioning as specified in 2.6.3 of this appendix). All energy stuffer cloth must be permanently marked identifying the lot number of the material. Mixed lots of material shall not be used for testing the clothes washers.
              2.6.3 Preconditioning of Test Cloths. The new test cloths, including energy test cloths and energy stuffer cloths, shall be pre-conditioned in a clothes washer in the following manner:
              2.6.3.1 Perform 5 complete normal wash-rinse-spin cycles, the first two with current AHAM Standard detergent Formula 3 and the last three without detergent. Place the test cloth in a clothes washer set at the maximum water level. Wash the load for ten minutes in soft water (17 ppm hardness or less) using 27.0 grams + 4.0 grams per pound of cloth load of AHAM Standard detergent Formula 3. The wash temperature is to be controlled to 135 °F ±5 °F (57.2 °C ±2.8 °C) and the rinse temperature is to be controlled to 60 °F ±5 °F (15.6 °C ±2.8 °C). Repeat the cycle with detergent and then repeat the cycle three additional times without detergent, bone drying the load between cycles (total of five wash and rinse cycles).
              2.6.4 Energy test cloth material. The energy test cloths and energy stuffer cloths shall be made from fabric meeting the following specifications. The material should come from a roll of material with a width of approximately 63 inches and approximately 500 yards per roll, however, other sizes maybe used if they fall within the specifications.

              2.6.4.1 Nominal fabric type. Pure finished bleached cloth, made with a momie or granite weave, which is nominally 50 percent cotton and 50 percent polyester.
              2.6.4.2 The fabric weight shall be 5.60 ounces per square yard (190.0 g/m2), ±5 percent.
              2.6.4.3 The thread count shall be 65 × 57 per inch (warp × fill), ±2 percent.
              2.6.4.4 The warp yarn and filling yarn shall each have fiber content of 50 percent ±4 percent cotton, with the balance being polyester, and be open end spun, 15/1 ±5 percent cotton count blended yarn.
              2.6.4.5 Water repellent finishes, such as fluoropolymer stain resistant finishes shall not be applied to the test cloth. The absence of such finishes shall be verified by:

              2.6.4.5.1 American Association of Textile Chemists and Colorists (AATCC) Test Method 118—1997, Oil Repellency: Hydrocarbon Resistance Test (reaffirmed 1997), of each new lot of test cloth (when purchased from the mill) to confirm the absence of Scotchguard TM or other water repellent finish (required scores of “D” across the board).

              2.6.4.5.2 American Association of Textile Chemists and Colorists (AATCC) Test Method 79-2000, Absorbency of Bleached Textiles (reaffirmed 2000), of each new lot of test cloth (when purchased from the mill) to confirm the absence of Scotchguard TM or other water repellent finish (time to absorb one drop should be on the order of 1 second).

              2.6.4.5.3 The standards listed in 2.6.4.5.1 and 2.6.4.5.2 of this appendix which are not otherwise set forth in this part 430 are incorporated by reference. The material listed in this paragraph has been approved for incorporation by reference by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Any subsequent amendment to a standard by the standard-setting organization will not affect the DOE test procedures unless and until amended by DOE. Material is incorporated as it exists on the date of the approval and notice of any change in the material will be published in the Federal Register. The standards incorporated by reference are the American Association of Textile Chemists and Colorists Test Method 118-1997, Oil Repellency: Hydrocarbon Resistance Test (reaffirmed 1997) and Test Method 79-2000, Absorbency of Bleached Textiles (reaffirmed 2000).
              (a) The above standards incorporated by reference are available for inspection at:

              (i) National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202-741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.

              (ii) U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Hearings and Dockets, “Energy Conservation Program for Consumer Products: Clothes Washer Energy Conservation Standards,” Docket No. EE—RM-94-403, Forrestal Building, 1000 Independence Avenue, SW, Washington, DC.

              (b) Copies of the above standards incorporated by reference can be obtained from the American Association of Textile Chemists and Colorists, P.O. Box 12215, Research Triangle Park, NC 27709, telephone (919) 549-3526, fax (919) 549-8933, or email: orders@aatcc.org.

              2.6.4.6 The moisture absorption and retention shall be evaluated for each new lot of test cloth by the standard extractor Remaining Moisture Content (RMC) test specified in appendix J3 to 10 CFR part 430 subpart B.
              2.6.5 Application of RMC correction curve.

              2.6.5.1 Using the coefficients A and B calculated in Appendix J3 to 10 CFR part 430, subpart B:

              RMCcorr = A × RMC + B

              2.6.5.2 Substitute RMCcorr values in calculations in section 3.8 of this appendix.
              2.7 Test Load Sizes. Maximum, minimum, and, when required, average test load sizes shall be determined using Table 5.1 of this appendix and the clothes container capacity as measured in sections 3.1.1 through 3.1.6 of this appendix. Test loads shall consist of energy test cloths, except that adjustments to the test loads to achieve proper weight can be made by the use of energy stuffer cloths with no more than 5 stuffer cloths per load.
              2.8 Use of Test Loads. Use the test load sizes and corresponding water fill settings defined in Table 2.8 when measuring water and energy consumptions. Automatic water fill control system and manual water fill control system are defined in section 1 of this appendix.

                Table 2.8—Required Test Load Sizes and Water Fill Settings

                  Water fill control system type
                  Test load size
                  Water fill setting

                  Manual water fill control system
                  MaxMin

                  Max.Min.

                  Automatic water fill control system
                  MaxAvg
                    Min

                  As determined by the clothes washer.

              2.8.1 The test load sizes to be used to measure RMC are specified in section 3.8.1.
              2.8.2 Test loads for energy and water consumption measurements shall be bone dry prior to the first cycle of the test, and dried to a maximum of 104 percent of bone dry weight for subsequent testing.
              2.8.3 Prepare the energy test cloths for loading by grasping them in the center, lifting, and shaking them to hang loosely, as illustrated in Figure 2.8.3 of this appendix.

                ER05AU15.000

              For all clothes washers, follow any manufacturer loading instructions provided to the user regarding the placement of clothing within the clothes container. In the absence of any manufacturer instructions regarding the placement of clothing within the clothes container, the following loading instructions apply.
              2.8.3.1 To load the energy test cloths in a top-loading clothes washer, arrange the cloths circumferentially around the axis of rotation of the clothes container, using alternating lengthwise orientations for adjacent pieces of cloth. Complete each cloth layer across its horizontal plane within the clothes container before adding a new layer. Figure 2.8.3.1 of this appendix illustrates the correct loading technique for a vertical-axis clothes washer.

                ER05AU15.001

              2.8.3.2 To load the energy test cloths in a front-loading clothes washer, grasp each test cloth in the center as indicated in section 2.8.3 of this appendix, and then place each cloth into the clothes container prior to activating the clothes washer.
              2.9 Pre-conditioning.

              2.9.1 Nonwater-heating clothes washer. If the clothes washer has not been filled with water in the preceding 96 hours, pre-condition it by running it through a cold rinse cycle and then draining it to ensure that the hose, pump, and sump are filled with water.
              2.9.2 Water-heating clothes washer. If the clothes washer has not been filled with water in the preceding 96 hours, or if it has not been in the test room at the specified ambient conditions for 8 hours, pre-condition it by running it through a cold rinse cycle and then draining it to ensure that the hose, pump, and sump are filled with water.
              2.10 Wash time setting. If one wash time is prescribed in the energy test cycle, that shall be the wash time setting; otherwise, the wash time setting shall be the higher of either the minimum or 70 percent of the maximum wash time available in the energy test cycle, regardless of the labeling of suggested dial locations. If 70% of the maximum wash time is not available on a dial with a discreet number of wash time settings, choose the next-highest setting greater than 70%. If the clothes washer is equipped with an electromechanical dial controlling wash time, reset the dial to the minimum wash time and then turn it in the direction of increasing wash time to reach the appropriate setting. If the appropriate setting is passed, return the dial to the minimum wash time and then turn in the direction of increasing wash time until the appropriate setting is reached.
              2.11 Test room temperature for water-heating clothes washers. Maintain the test room ambient air temperature at 75 °F±5 °F (23.9 °C±2.8 °C).
              3. Test Measurements
              3.1 Clothes container capacity. Measure the entire volume which a dry clothes load could occupy within the clothes container during washer operation according to the following procedures:
              3.1.1 Place the clothes washer in such a position that the uppermost edge of the clothes container opening is leveled horizontally, so that the container will hold the maximum amount of water. For front-loading clothes washers, the door seal and shipping bolts or other forms of bracing hardware to support the wash drum during shipping must remain in place during the capacity measurement.

              If the design of a front-loading clothes washer does not include shipping bolts or other forms of bracing hardware to support the wash drum during shipping, a laboratory may support the wash drum by other means, including temporary bracing or support beams. Any temporary bracing or support beams must keep the wash drum in a fixed position, relative to the geometry of the door and door seal components, that is representative of the position of the wash drum during normal operation. The method used must avoid damage to the unit that would affect the results of the energy and water testing.
              For a front-loading clothes washer that does not include shipping bolts or other forms of bracing hardware to support the wash drum during shipping, the test report must document the alternative method used to support the wash drum during capacity measurement, and, pursuant to § 429.71 of this chapter, the manufacturer must retain such documentation as part of its test records.
              3.1.2 Line the inside of the clothes container with a 2 mil thickness (0.051 mm) plastic bag. All clothes washer components that occupy space within the clothes container and that are recommended for use during a wash cycle must be in place and must be lined with a 2 mil thickness (0.051 mm) plastic bag to prevent water from entering any void space.
              3.1.3 Record the total weight of the machine before adding water.
              3.1.4 Fill the clothes container manually with either 60 °F ± 5 °F (15.6 °C ± 2.8 °C) or 100 °F ± 10 °F (37.8 °C ± 5.5 °C) water to its uppermost edge. For a top-loading, vertical-axis clothes washer, the uppermost edge of the clothes container is defined as the highest point of the innermost diameter of the tub cover. Figure 3.1.4.1 illustrates the maximum fill level for top-loading vertical-axis clothes washers. Figure 3.1.4.2 shows the location of the maximum fill level for a variety of example tub cover designs.

                ER05AU15.002

              For a front-loading horizontal-axis clothes washer, fill the clothes container to the highest point of contact between the door and the door gasket. If any portion of the door or gasket would occupy the measured volume space when the door is closed, exclude the volume that the door or gasket portion would occupy from the measurement. For a front-loading horizontal-axis clothes washer with a concave door shape, include any additional volume above the plane defined by the highest point of contact between the door and the door gasket, if that area can be occupied by clothing during washer operation. For a top-loading horizontal-axis clothes washer, include any additional volume above the plane of the door hinge that clothing could occupy during washer operation. Figure 3.1.4.3 illustrates the maximum fill volumes for all horizontal-axis clothes washer types.

                ER05AU15.003

              For all clothes washers, exclude any volume that cannot be occupied by the clothing load during operation.

              3.1.5 Measure and record the weight of water, W, in pounds. Calculate the clothes container capacity as follows:

              C = W/d

              where:
              C = Capacity in cubic feet (liters).

              W = Mass of water in pounds (kilograms).
              d = Density of water (62.0 lbs/ft3 for 100 °F (993 kg/m3 for 37.8 °C) or 62.3 lbs/ft3 for 60 °F (998 kg/m3 for 15.6 °C)).

              3.1.6 Calculate the clothes container capacity, C, to the nearest 0.01 cubic foot for the purpose of determining test load sizes per Table 5.1 of this appendix and for all subsequent calculations in this appendix that include the clothes container capacity.

              3.2 Procedure for measuring water and energy consumption values on all automatic and semi-automatic washers. All energy consumption tests shall be performed under the energy test cycle(s), unless otherwise specified. Table 3.2 indicates the sections below that govern tests of particular clothes washers, based on the number of wash/rinse temperature selections available on the model and also, in some instances, method of water heating. The procedures prescribed are applicable regardless of a clothes washer's washing capacity, loading port location, primary axis of rotation of the clothes container, and type of control system. Data from a wash cycle that provides a visual or audio indicator to alert the user that an out-of-balance condition has been detected, or that terminates prematurely if an out-of-balance condition is detected, and thus does not include the agitation/tumble operation, spin speed(s), wash times, and rinse times applicable to the wash cycle under test, shall be discarded. The test report must document the rejection of data from any wash cycle during testing and the reason for the rejection.
              3.2.1 Inlet water temperature and the wash/rinse temperature settings.

              3.2.1.1 For automatic clothes washers set the wash/rinse temperature selection control to obtain the wash water temperature desired (extra hot, hot, warm, or cold) and cold rinse, and open both the hot and cold water faucets.
              3.2.1.2 For semi-automatic washers: (1) For hot water temperature, open the hot water faucet completely and close the cold water faucet; (2) for warm inlet water temperature, open both hot and cold water faucets completely; (3) for cold water temperature, close the hot water faucet and open the cold water faucet completely.
              3.2.2 Total water consumption during the energy test cycle shall be measured, including hot and cold water consumption during wash, deep rinse, and spray rinse.
              3.2.3 Clothes washers with automatic water fill/manual water fill control systems

              3.2.3.1 Clothes washers with automatic water fill control system and alternate manual water fill control system. If a clothes washer with an automatic water fill control system allows user selection of manual controls as an alternative, then both manual and automatic modes shall be tested and, for each mode, the energy consumption (HET, MET, and DE) and water consumption (QT) values shall be calculated as set forth in section 4. Then the average of the two values (one from each mode, automatic and manual) for each variable shall be used in section 4 for the clothes washer.
              3.2.3.2 Clothes washers with automatic water fill control system.

              3.2.3.2.1. Not user adjustable. The maximum, minimum, and average water levels as defined in the following sections shall be interpreted to mean that amount of water fill which is selected by the control system when the respective test loads are used, as defined in Table 2.8. The load usage factors which shall be used when calculating energy consumption values are defined in Table 4.1.3.
              3.2.3.2.2 User-adjustable. Four tests shall be conducted on clothes washers with user-adjustable automatic water fill controls that affect the relative wash water levels. The first test shall be conducted using the maximum test load and with the automatic water fill control system set in the setting that will give the most energy intensive result. The second test shall be conducted with the minimum test load and with the automatic water fill control system set in the setting that will give the least energy intensive result. The third test shall be conducted with the average test load and with the automatic water fill control system set in the setting that will give the most energy intensive result for the given test load. The fourth test shall be conducted with the average test load and with the automatic water fill control system set in the setting that will give the least energy intensive result for the given test load. The energy and water consumption for the average test load and water level shall be the average of the third and fourth tests.
              3.2.3.3 Clothes washers with manual water fill control system. In accordance with Table 2.8, the water fill selector shall be set to the maximum water level available for the wash cycle under test for the maximum test load size and the minimum water level available for the wash cycle under test for the minimum test load size.

                Table 3.2—Test Section Reference

                  Max. wash temp. available
                  Number of wash temp. Selections in the energy test cycle
                  ≤135 °F (57.2 °C)
                  1
                  2
                  >2
                  >135 °F (57.2 °C) 2

                  3
                  >3

                  Test Sections Required to be Followed

                  3.3
                  3.3

                  3.4
                  3.4

                  3.4

                  3.5
                  3.5
                  3.5

                  3.6
                  3.6
                  3.6
                  3.6
                  3.6

                    1 3.7

                    1 3.7

                    1 3.7

                    1 3.7

                    1 3.7

                  3.8
                  3.8
                  3.8
                  3.8
                  3.8

                  1 Only applicable to machines with warm rinse in any cycle.

                  2 This only applies to water heating clothes washers on which the maximum wash temperature available exceeds 135 °F (57.2 °C).

              3.3 “Extra-Hot Wash” (Max Wash Temp >135 °F (57.2 °C)) for water heating clothes washers only. Water and electrical energy consumption shall be measured for each water fill level and/or test load size as specified in 3.3.1 through 3.3.3 for the hottest wash setting available.
              Non-reversible temperature indicator labels, adhered to the inside of the clothes container, may be used to confirm that an extra-hot wash temperature greater than 135 °F has been achieved during the wash cycle, under the following conditions. The label must remain waterproof, intact, and adhered to the wash drum throughout an entire wash cycle; provide consistent maximum temperature readings; and provide repeatable temperature indications sufficient to demonstrate that a wash temperature of greater than 135 °F has been achieved. The label must have been verified to consistently indicate temperature measurements with an accuracy of ±1 °F if the label provides a temperature indicator at 135 °F. If the label does not provide a temperature indicator at 135 °F, the label must have been verified to consistently indicate temperature measurements with an accuracy of ±1 °F if the next-highest temperature indicator is greater than 135 °F and less than 140 °F, or ±3 °F if the next-highest temperature indicator is 140 °F or greater. If the label does not provide a temperature indicator at 135 °F, failure to activate the next-highest temperature indicator does not necessarily indicate the lack of an extra-hot wash temperature. However, such a result would not be considered a valid test due to the lack of verification of the water temperature requirement, in which case an alternative method must be used to confirm that an extra-hot wash temperature greater than 135 °F has been achieved during the wash cycle.

              If using a temperature indicator label to test a front-loading clothes washer, adhere the label along the interior surface of the clothes container drum, midway between the front and the back of the drum, adjacent to one of the baffles. If using a temperature indicator label to test a top-loading clothes washer, adhere the label along the interior surface of the clothes container drum, on the vertical portion of the sidewall, as close to the bottom of the container as possible.
              3.3.1 Maximum test load and water fill. Hot water consumption (Hmx), cold water consumption (Cmx), and electrical energy consumption (Emx) shall be measured for an extra hot wash/cold rinse energy test cycle, with the controls set for the maximum water fill level. The maximum test load size is to be used and shall be determined per Table 5.1.
              3.3.2 Minimum test load and water fill. Hot water consumption (Hmn), cold water consumption (Cmn), and electrical energy consumption (Emn) shall be measured for an extra hot wash/cold rinse energy test cycle, with the controls set for the minimum water fill level. The minimum test load size is to be used and shall be determined per Table 5.1.
              3.3.3 Average test load and water fill. For clothes washers with an automatic water fill control system, measure the values for hot water consumption (Hma), cold water consumption (Cma), and electrical energy consumption (Ema) for an extra-hot wash/cold rinse energy test cycle, with an average test load size as determined per Table 5.1.
              3.4 “Hot Wash” (Max Wash Temp≤135 °F (57.2 °C)). Water and electrical energy consumption shall be measured for each water fill level or test load size as specified in 3.4.1 through 3.4.3 for a 135 °F (57.2 °C)) wash, if available, or for the hottest selection less than 135 °F (57.2 °C)).
              3.4.1 Maximum test load and water fill. Hot water consumption (Hhx), cold water consumption (Chx), and electrical energy consumption (Ehx) shall be measured for a hot wash/cold rinse energy test cycle, with the controls set for the maximum water fill level. The maximum test load size is to be used and shall be determined per Table 5.1.
              3.4.2 Minimum test load and water fill. Hot water consumption (Hhn), cold water consumption (Chn), and electrical energy consumption (Ehn) shall be measured for a hot wash/cold rinse energy test cycle, with the controls set for the minimum water fill level. The minimum test load size is to be used and shall be determined per Table 5.1.
              3.4.3  Average test load and water fill. For clothes washers with an automatic water fill control system, measure the values for hot water consumption (Hha), cold water consumption (Cha), and electrical energy consumption (Eha) for a hot wash/cold rinse energy test cycle, with an average test load size as determined per Table 5.1.
              3.5 “Warm Wash.” Water and electrical energy consumption shall be determined for each water fill level and/or test load size as specified in 3.5.1 through 3.5.3 for the applicable warm water wash temperature(s). For a clothes washer with fewer than four discrete warm wash selections, test all warm wash temperature selections. For a clothes washer that offers four or more warm wash selections, test at all discrete selections, or test at the 25 percent, 50 percent, and 75 percent positions of the temperature selection device between the hottest hot (≤135 °F (57.2 °C)) wash and the coldest cold wash. If a selection is not available at the 25, 50 or 75 percent position, in place of each such unavailable selection use the next warmer setting. Each reportable value to be used for the warm water wash setting shall be the arithmetic average of the results from all tests conducted pursuant to this section.
              3.5.1  Maximum test load and water fill. Hot water consumption (Hwx), cold water consumption (Cwx), and electrical energy consumption (Ewx) shall be measured with the controls set for the maximum water fill level. The maximum test load size is to be used and shall be determined per Table 5.1.
              3.5.2  Minimum test load and water fill. Hot water consumption (Hwn), cold water consumption (Cwn), and electrical energy consumption (Ewn) shall be measured with the controls set for the minimum water fill level. The minimum test load size is to be used and shall be determined per Table 5.1.
              3.5.3  Average test load and water fill. For clothes washers with an automatic water fill control system, measure the values for hot water consumption (Hwa), cold water consumption (Cwa), and electrical energy consumption (Ewa) with an average test load size as determined per Table 5.1.
              3.6 “Cold Wash” (Minimum Wash Temperature Selection). Water and electrical energy consumption shall be measured for each water fill level or test load size as specified in sections 3.6.1 through 3.6.3 of this appendix for the coldest wash temperature selection available. For a clothes washer that offers two or more wash temperature settings labeled as cold, such as “Cold” and “Tap Cold,” the setting with the minimum wash temperature shall be considered the cold wash. If any of the other cold wash temperature settings add hot water to raise the wash temperature above the cold water supply temperature, as defined in section 2.3 of this appendix, those setting(s) shall be considered warm wash setting(s), as defined in section 1.20 of this appendix. If none of the cold wash temperature settings add hot water for any of the water fill levels or test load sizes required for the energy test cycle, the wash temperature setting labeled as “Cold” shall be considered the cold wash, and the other wash temperature setting(s) labeled as cold shall not be required for testing.

              3.6.1 Maximum test load and water fill. Hot water consumption (HcX), cold water consumption (CcX), and electrical energy consumption (EcX) shall be measured for a cold wash/cold rinse energy test cycle, with the controls set for the maximum water fill level. The maximum test load size is to be used and shall be determined per Table 5.1 of this appendix.
              3.6.2 Minimum test load and water fill. Hot water consumption (Hcn), cold water consumption (Ccn), and electrical energy consumption (Ecn) shall be measured for a cold wash/cold rinse energy test cycle, with the controls set for the minimum water fill level. The minimum test load size is to be used and shall be determined per Table 5.1 of this appendix.
              3.6.3 Average test load and water fill. For clothes washers with an automatic water fill control system, measure the values for hot water consumption (Hca), cold water consumption (Cca), and electrical energy consumption (Eca) for a cold wash/cold rinse energy test cycle, with an average test load size as determined per Table 5.1 of this appendix.
              3.7 Warm Rinse. Tests in sections 3.7.1 and 3.7.2 shall be conducted with the hottest rinse temperature available. If multiple wash temperatures are available with the hottest rinse temperature, any “warm wash” temperature may be selected to conduct the tests.

              3.7.1 For the rinse only, measure the amount of hot water consumed by the clothes washer including all deep and spray rinses, for the maximum (RX), minimum (Rn), and, if required by section 3.5.3 of this appendix, average (Ra) test load sizes or water fill levels.

              3.7.2 Measure the amount of electrical energy consumed by the clothes washer to heat the rinse water only, including all deep and spray rinses, for the maximum (ERX), minimum (ERn), and, if required by section 3.5.3 of this appendix, average (ERa) test load sizes or water fill levels.
              3.8 Remaining Moisture Content:

              3.8.1 The wash temperature will be the same as the rinse temperature for all testing. Use the maximum test load as defined in Table 5.1 and section 3.1 for testing.
              3.8.2 For clothes washers with cold rinse only:

              3.8.2.1 Record the actual ‘bone dry’ weight of the test load (WImax), then place the test load in the clothes washer.
              3.8.2.2 Set water level selector to maximum fill.
              3.8.2.3 Run the energy test cycle.

              3.8.2.4 Record the weight of the test load immediately after completion of the energy test cycle (WCmax).

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

              RMCmax = ((WCmax−WImax)/WImax) × 100%

              3.8.3 For clothes washers with cold and warm rinse options:

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

              RMCCOLD = ((WCmax−WImax)/WImax) × 100%

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

              RMCWARM = ((WCmax − WImax)/WImax) × 100%

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

              RMCmax = RMCCOLD × (1-TUFr) + RMCWARM × (TUFr).

              where:

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

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

              RMC = 0.75 × RMCmax extraction + 0.25 × RMCmin extraction

              3.8.5 The procedure for calculating RMC as defined in section 3.8.2.5, 3.8.3.3., or 3.8.4 of this appendix may be replicated twice in its entirety, for a total of three independent RMC measurements. If three replications of the RMC measurement are performed, use the average of the three RMC measurements as the final RMC in section 4.3 of this appendix.
              4. Calculation of Derived Results From Test Measurements
              4.1 Hot water and machine electrical energy consumption of clothes washers.

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

              (a) Vhx = [Hmx × TUFm] + [Hhx × TUFh] + [Hwx × TUFw] + [Hcx × TUFc] + [Rx × TUFr]
              (b) Vha = [Hma × TUFm] + [Hha × TUFh] + [Hwa × TUFw] + [Hca × TUFc] + [Ra × TUFr]
              (c) Vhn = [Hmn × TUFm] + [Hhn × TUFh] + [Hwn × TUFw] + [Hcn × TUFc] + [Rn × TUFr]

              where:

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

                Table 4.1.1—Temperature Use Factors

                  Max Wash Temp Available
                  ≤135 °F
                  ≤135 °F
                  ≤135 °F
                  >135 °F
                  >135 °F

                  (57.2 °C)
                  (57.2 °C)
                  (57.2 °C)
                  (57.2 °C)
                  (57.2 °C)

                  No. Wash Temp Selections
                  Single
                  2 Temps
                  >2 Temps
                  3 Temps
                  >3 Temps

                  TUFm (extra hot)
                  NA
                  NA
                  NA
                  0.14
                  0.05

                  TUFh (hot)
                  NA
                  0.63
                  0.14
                  NA
                  0.09

                  TUFw (warm)
                  NA
                  NA
                  0.49
                  0.49
                  0.49

                  TUFc (cold)
                  1.00
                  0.37
                  0.37
                  0.37
                  0.37

                  TUFr (warm rinse)
                  0.27
                  0.27
                  0.27
                  0.27
                  0.27

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

              (a) HEmax = [Vhx × T × K] = Total energy when a maximum load is tested.
              (b) HEavg = [Vha × T × K] = Total energy when an average load is tested.
              (c) HEmin = [Vhn × T × K] = Total energy when a minimum load is tested.

              where:

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

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

              HET = [HEmax × Fmax] + [HEavg × Favg] + [HEmn × Fmin]

              where:

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

                Table 4.1.3—Load Usage Factors

                  Load usage factor
                  Water fill control system
                  Manual
                  Automatic

                  Fmax =
                  0.72 1

                  0.12 2

                  Favg =

                  0.74 2

                  Fmin =
                  0.28 1

                  0.14 2

                  1Reference 3.2.3.3.

                  2Reference 3.2.3.2.

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

              HETG = HET × 1/e × 3412 Btu/kWh or HETG = HET × 1/e × 3.6 MJ/kWh

              where:

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

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

              (a)MEmax = [Emx × TUFm] + [Ehx × TUFh] + [Ewx × TUFw] + [Ecx × TUFc] + [ERx × TUFr]
              (b) MEavg = [Ema × TUFm] + [Eha × TUFh] + [Ewa × TUFw] + [Eca × TUFc] + [ERa × TUFr]
              (c) MEmin = [Emn × TUFm] + [Ehn × TUFh] + [Ewn × TUFw] + [Ecn × xTUFc] + [ERn × TUFr]

              where:

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

              4.1.6 Total weighted per-cycle machine electrical energy consumption. Calculate the total per cycle load size weighted energy consumption, MET, expressed in kilowatt-hours per cycle and defined as:

              MET = [MEmax × Fmax] + [MEavg × Favg] + [MEmin × Fmin]

              where:

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

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

              ETE = HET + MET

              where:

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

              4.2 Water consumption of clothes washers.
              4.2.1 Per-cycle water consumption. Calculate the maximum, average, and minimum total water consumption, expressed in gallons per cycle (or liters per cycle), for the cold wash/cold rinse cycle and defined as:

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

              where:

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

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

              QT = [Qmax × Fmax] + [Qavg × Favg] + [Qmin × Fmin]

              where:

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

              4.2.3 Water factor. Calculate the water factor, WF, expressed in gallons per cycle per cubic foot (or liters per cycle per liter), as:

              WF = QT/C

              where:

              QT = As defined in section 4.2.2 of this appendix.
              C = As defined in section 3.1.6 of this appendix.
              4.3 Per-cycle energy consumption for removal of moisture from test load. Calculate the per-cycle energy required to remove the moisture of the test load, DE, expressed in kilowatt-hours per cycle and defined as

              DE = (LAF) × (Maximum test load weight) × (RMC—4%) × (DEF) × (DUF)

              where:

              LAF = Load adjustment factor = 0.52.
              Test load weight = As required in 3.8.1, expressed in lbs/cycle.
              RMC = As defined in 3.8.2.5, 3.8.3.3 or 3.8.4.

              DEF= nominal energy required for a clothes dryer to remove moisture from clothes = 0.5 kWh/lb (1.1 kWh/kg).

              DUF = dryer usage factor, percentage of washer loads dried in a clothes dryer = 0.84.

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

              MEF = C/(ETE + DE)

              where:

              C = As defined in section 3.1.6 of this appendix.
              ETE = As defined in section 4.1.7 of this appendix.
              DE = As defined in section 4.3 of this appendix.

              5. Test Loads

                Table 5.1—Test Load Sizes

                  Container volume
                  cu. ft.≥<

                  liter≥<

                  Minimum load
                  lb
                  kg
                  Maximum load
                  lb
                  kg
                  Average load
                  lb
                  kg

                  0-0.80
                  0-22.7
                  3.00
                  1.36
                  3.00
                  1.36
                  3.00
                  1.36

                  0.80-0.90
                  22.7-25.5
                  3.00
                  1.36
                  3.50
                  1.59
                  3.25
                  1.47

                  0.90-1.00
                  25.5-28.3
                  3.00
                  1.36
                  3.90
                  1.77
                  3.45
                  1.56

                  1.00-1.10
                  28.3-31.1
                  3.00
                  1.36
                  4.30
                  1.95
                  3.65
                  1.66

                  1.10-1.20
                  31.1-34.0
                  3.00
                  1.36
                  4.70
                  2.13
                  3.85
                  1.75

                  1.20-1.30
                  34.0-36.8
                  3.00
                  1.36
                  5.10
                  2.31
                  4.05
                  1.84

                  1.30-1.40
                  36.8-39.6
                  3.00
                  1.36
                  5.50
                  2.49
                  4.25
                  1.93

                  1.40-1.50
                  39.6-42.5
                  3.00
                  1.36
                  5.90
                  2.68
                  4.45
                  2.02

                  1.50-1.60
                  42.5-45.3
                  3.00
                  1.36
                  6.40
                  2.90
                  4.70
                  2.13

                  1.60-1.70
                  45.3-48.1
                  3.00
                  1.36
                  6.80
                  3.08
                  4.90
                  2.22

                  1.70-1.80
                  48.1-51.0
                  3.00
                  1.36
                  7.20
                  3.27
                  5.10
                  2.31

                  1.80-1.90
                  51.0-53.8
                  3.00
                  1.36
                  7.60
                  3.45
                  5.30
                  2.40

                  1.90-2.00
                  53.8-56.6
                  3.00
                  1.36
                  8.00
                  3.63
                  5.50
                  2.49

                  2.00-2.10
                  56.6-59.5
                  3.00
                  1.36
                  8.40
                  3.81
                  5.70
                  2.59

                  2.10-2.20
                  59.5-62.3
                  3.00
                  1.36
                  8.80
                  3.99
                  5.90
                  2.68

                  2.20-2.30
                  62.3-65.1
                  3.00
                  1.36
                  9.20
                  4.17
                  6.10
                  2.77

                  2.30-2.40
                  65.1-68.0
                  3.00
                  1.36
                  9.60
                  4.35
                  6.30
                  2.86

                  2.40-2.50
                  68.0-70.8
                  3.00
                  1.36
                  10.00
                  4.54
                  6.50
                  2.95

                  2.50-2.60
                  70.8-73.6
                  3.00
                  1.36
                  10.50
                  4.76
                  6.75
                  3.06

                  2.60-2.70
                  73.6-76.5
                  3.00
                  1.36
                  10.90
                  4.94
                  6.95
                  3.15

                  2.70-2.80
                  76.5-79.3
                  3.00
                  1.36
                  11.30
                  5.13
                  7.15
                  3.24

                  2.80-2.90
                  79.3-82.1
                  3.00
                  1.36
                  11.70
                  5.31
                  7.35
                  3.33

                  2.90-3.00
                  82.1-85.0
                  3.00
                  1.36
                  12.10
                  5.49
                  7.55
                  3.42

                  3.00-3.10
                  85.0-87.8
                  3.00
                  1.36
                  12.50
                  5.67
                  7.75
                  3.52

                  3.10-3.20
                  87.8-90.6
                  3.00
                  1.36
                  12.90
                  5.85
                  7.95
                  3.61

                  3.20-3.30
                  90.6-93.4
                  3.00
                  1.36
                  13.30
                  6.03
                  8.15
                  3.70

                  3.30-3.40
                  93.4-96.3
                  3.00
                  1.36
                  13.70
                  6.21
                  8.35
                  3.79

                  3.40-3.50
                  96.3-99.1
                  3.00
                  1.36
                  14.10
                  6.40
                  8.55
                  3.88

                  3.50-3.60
                  99.1-101.9
                  3.00
                  1.36
                  14.60
                  6.62
                  8.80
                  3.99

                  3.60-3.70
                  101.9-104.8
                  3.00
                  1.36
                  15.00
                  6.80
                  9.00
                  4.08

                  3.70-3.80
                  104.8-107.6
                  3.00
                  1.36
                  15.40
                  6.99
                  9.20
                  4.17

                  3.80-3.90
                  107.6-110.4
                  3.00
                  1.36
                  15.80
                  7.16
                  9.40
                  4.26

                  3.90-4.00
                  110.4-113.3
                  3.00
                  1.36
                  16.20
                  7.34
                  9.60
                  4.35

                  4.00-4.10
                  113.3-116.1
                  3.00
                  1.36
                  16.60
                  7.53
                  9.80
                  4.45

                  4.10-4.20
                  116.1-118.9
                  3.00
                  1.36
                  17.00
                  7.72
                  10.00
                  4.54

                  4.20-4.30
                  118.9-121.8
                  3.00
                  1.36
                  17.40
                  7.90
                  10.20
                  4.63

                  4.30-4.40
                  121.8-124.6
                  3.00
                  1.36
                  17.80
                  8.09
                  10.40
                  4.72

                  4.40-4.50
                  124.6-127.4
                  3.00
                  1.36
                  18.20
                  8.27
                  10.60
                  4.82

                  4.50-4.60
                  127.4-130.3
                  3.00
                  1.36
                  18.70
                  8.46
                  10.85
                  4.91

                  4.60-4.70
                  130.3-133.1
                  3.00
                  1.36
                  19.10
                  8.65
                  11.05
                  5.00

                  4.70-4.80
                  133.1-135.9
                  3.00
                  1.36
                  19.50
                  8.83
                  11.25
                  5.10

                  4.80-4.90
                  135.9-138.8
                  3.00
                  1.36
                  19.90
                  9.02
                  11.45
                  5.19

                  4.90-5.00
                  138.8-141.6
                  3.00
                  1.36
                  20.30
                  9.20
                  11.65
                  5.28

                  5.00-5.10
                  141.6-144.4
                  3.00
                  1.36
                  20.70
                  9.39
                  11.85
                  5.38

                  5.10-5.20
                  144.4-147.2
                  3.00
                  1.36
                  21.10
                  9.58
                  12.05
                  5.47

                  5.20-5.30
                  147.2-150.1
                  3.00
                  1.36
                  21.50
                  9.76
                  12.25
                  5.56

                  5.30-5.40
                  150.1-152.9
                  3.00
                  1.36
                  21.90
                  9.95
                  12.45
                  5.65

                  5.40-5.50
                  152.9-155.7
                  3.00
                  1.36
                  22.30
                  10.13
                  12.65
                  5.75

                  5.50-5.60
                  155.7-158.6
                  3.00
                  1.36
                  22.80
                  10.32
                  12.90
                  5.84

                  5.60-5.70
                  158.6-161.4
                  3.00
                  1.36
                  23.20
                  10.51
                  13.10
                  5.93

                  5.70-5.80
                  161.4-164.2
                  3.00
                  1.36
                  23.60
                  10.69
                  13.30
                  6.03

                  5.80-5.90
                  164.2-167.1
                  3.00
                  1.36
                  24.00
                  10.88
                  13.50
                  6.12

                  5.90-6.00
                  167.1-169.9
                  3.00
                  1.36
                  24.40
                  11.06
                  13.70
                  6.21

                  Notes: (1) All test load weights are bone dry weights.
                (2) Allowable tolerance on the test load weights are ±0.10 lbs (0.05 kg).

              6. Waivers and Field Testing
              6.1 Waivers and Field Testing for Non-conventional Clothes Washers. Manufacturers of nonconventional clothes washers, such as clothes washers with adaptive control systems, must submit a petition for waiver pursuant to 10 CFR 430.27 to establish an acceptable test procedure for that clothes washer. For these and other clothes washers that have controls or systems such that the DOE test procedures yield results that are so unrepresentative of the clothes washer's true energy consumption characteristics as to provide materially inaccurate comparative data, field testing may be appropriate for establishing an acceptable test procedure. The following are guidelines for field testing which may be used by manufacturers in support of petitions for waiver. These guidelines are not mandatory and the Department may determine that they do not apply to a particular model. Depending upon a manufacturer's approach for conducting field testing, additional data may be required. Manufacturers are encouraged to communicate with the Department prior to the commencement of field tests which may be used to support a petition for waiver. Section 6.3 provides an example of field testing for a clothes washer with an adaptive water fill control system. Other features, such as the use of various spin speed selections, could be the subject of field tests.
              6.2 Nonconventional Wash System Energy Consumption Test. The field test may consist of a minimum of 10 of the nonconventional clothes washers (“test clothes washers”) and 10 clothes washers already being distributed in commerce (“base clothes washers”). The tests should include a minimum of 50 energy test cycles per clothes washer. The test clothes washers and base clothes washers should be identical in construction except for the controls or systems being tested. Equal numbers of both the test clothes washer and the base clothes washer should be tested simultaneously in comparable settings to minimize seasonal or consumer laundering conditions or variations. The clothes washers should be monitored in such a way as to accurately record the average total energy and water consumption per cycle, including water heating energy when electrically heated water is used, and the energy required to remove the remaining moisture of the test load. The field test results should be used to determine the best method to correlate the rating of the test clothes washer to the rating of the base clothes washer.
              6.3 Adaptive water fill control system field test. Section 3.2.3.1 defines the test method for measuring energy consumption for clothes washers which incorporate control systems having both adaptive and alternate cycle selections. Energy consumption calculated by the method defined in section 3.2.3.1 assumes the adaptive cycle will be used 50 percent of the time. This section can be used to develop field test data in support of a petition for waiver when it is believed that the adaptive cycle will be used more than 50 percent of the time. The field test sample size should be a minimum of 10 test clothes washers. The test clothes washers should be totally representative of the design, construction, and control system that will be placed in commerce. The duration of field testing in the user's house should be a minimum of 50 energy test cycles, for each unit. No special instructions as to cycle selection or product usage should be given to the field test participants, other than inclusion of the product literature pack which would be shipped with all units, and instructions regarding filling out data collection forms, use of data collection equipment, or basic procedural methods. Prior to the test clothes washers being installed in the field test locations, baseline data should be developed for all field test units by conducting laboratory tests as defined by section 1 through section 5 of these test procedures to determine the energy consumption, water consumption, and remaining moisture content values. The following data should be measured and recorded for each wash load during the test period: wash cycle selected, the mode of the clothes washer (adaptive or manual), clothes load dry weight (measured after the clothes washer and clothes dryer cycles are completed) in pounds, and type of articles in the clothes load (e.g., cottons, linens, permanent press). The wash loads used in calculating the in-home percentage split between adaptive and manual cycle usage should be only those wash loads which conform to the definition of the energy test cycle.
              Calculate:

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

              The percentage weighting factors:

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

              Energy consumption (HET, MET, and DE) and water consumption (QT), values calculated in section 4 for the manual and adaptive modes, should be combined using Pa and Pm as the weighting factors.
              [62 FR 45508, Aug. 27, 1997; 63 FR 16669, Apr. 6, 1998, as amended at 66 FR 3330, Jan. 12, 2001; 68 FR 62204, Oct. 31, 2003; 69 FR 18803, Apr. 9, 2004; 77 FR 13937, Mar. 7, 2012; 77 FR 20292, Apr. 4, 2012; 80 FR 46760, Aug. 5, 2015; 80 FR 62442, Oct. 16, 2015]

              Pt. 430, Subpt. B, App. J2
              Appendix J2 to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Automatic and Semi-automatic Clothes Washers

                Note:
                Any representation related to the energy or water consumption of residential clothes washers must be based upon results generated using Appendix J2. Specifically, before February 1, 2016, representations must be based upon results generated either under this appendix or under Appendix J2 as it appeared in the 10 CFR parts 200-499 edition revised as of January 1, 2015. Any representations made on or after February 1, 2016 must be made based upon results generated using this appendix.
                Before January 1, 2018, any representation related to the energy or water consumption of commercial clothes washers must be based on results generated using Appendix J1. Any representations made on or after January 1, 2018, must be based upon results generated using Appendix J2.

              1. Definitions and Symbols
              1.1  Active mode means a mode in which the clothes washer is connected to a mains power source, has been activated, and is performing one or more of the main functions of washing, soaking, tumbling, agitating, rinsing, and/or removing water from the clothing, or is involved in functions necessary for these main functions, such as admitting water into the washer or pumping water out of the washer. Active mode also includes delay start and cycle finished modes.
              1.2  Active washing mode means a mode in which the clothes washer is performing any of the operations included in a complete cycle intended for washing a clothing load, including the main functions of washing, soaking, tumbling, agitating, rinsing, and/or removing water from the clothing.
              1.3  Adaptive control system means a clothes washer control system, other than an adaptive water fill control system, that is capable of automatically adjusting washer operation or washing conditions based on characteristics of the clothes load placed in the clothes container, without allowing or requiring user intervention or actions. The automatic adjustments may, for example, include automatic selection, modification, or control of any of the following: wash water temperature, agitation or tumble cycle time, number of rinse cycles, or spin speed. The characteristics of the clothes load, which could trigger such adjustments, could, for example, consist of or be indicated by the presence of either soil, soap, suds, or any other additive laundering substitute or complementary product.
              1.4  Adaptive water fill control system means a clothes washer automatic water fill control system that is capable of automatically adjusting the water fill level based on the size or weight of the clothes load placed in the clothes container.
              1.5  Automatic water fill control system means a clothes washer water fill control system that does not allow or require the user to determine or select the water fill level, and includes adaptive water fill control systems and fixed water fill control systems.
              1.6  Bone-dry means a condition of a load of test cloth that has been dried in a dryer at maximum temperature for a minimum of 10 minutes, removed and weighed before cool down, and then dried again for 10 minute periods until the final weight change of the load is 1 percent or less.
              1.7  Clothes container means the compartment within the clothes washer that holds the clothes during the operation of the machine.
              1.8  Cold rinse means the coldest rinse temperature available on the machine, as indicated to the user on the clothes washer control panel.
              1.9  Combined low-power mode means the aggregate of available modes other than active washing mode, including inactive mode, off mode, delay start mode, and cycle finished mode.
              1.10  Compact means a clothes washer that has a clothes container capacity of less than 1.6 ft3 (45 L).
              1.11  Cycle finished mode means an active mode that provides continuous status display, intermittent tumbling, or air circulation following operation in active washing mode.
              1.12 Delay start mode means an active mode in which activation of active washing mode is facilitated by a timer.
              1.13  Energy test cycle means the complete set of wash/rinse temperature selections required for testing, as determined according to section 2.12. Within the energy test cycle, the following definitions apply:
              (a) Cold Wash/Cold Rinse is the wash/rinse temperature selection determined by evaluating the flowchart in Figure 2.12.1 of this appendix.
              (b) Hot Wash/Cold Rinse is the wash/rinse temperature selection determined by evaluating the flowchart in Figure 2.12.2 of this appendix.

              (c) Warm Wash/Cold Rinse is the wash/rinse temperature selection determined by evaluating the flowchart in Figure 2.12.3 of this appendix.
              (d) Warm Wash/Warm Rinse is the wash/rinse temperature selection determined by evaluating the flowchart in Figure 2.12.4 of this appendix.
              (e) Extra-Hot Wash/Cold Rinse is the wash/rinse temperature selection determined by evaluating the flowchart in Figure 2.12.5 of this appendix.
              1.14  Fixed water fill control system means a clothes washer automatic water fill control system that automatically terminates the fill when the water reaches an appropriate level in the clothes container.
              1.15  IEC 62301 means the test standard published by the International Electrotechnical Commission, entitled “Household electrical appliances—Measurement of standby power,” Publication 62301, Edition 2.0 2011-01 (incorporated by reference; see § 430.3).
              1.16  Inactive mode means a standby mode that facilitates the activation of active mode by remote switch (including remote control), internal sensor, or timer, or that provides continuous status display.
              1.17  Integrated modified energy factor means the quotient of the cubic foot (or liter) capacity of the clothes container divided by the total clothes washer energy consumption per cycle, with such energy consumption expressed as the sum of:
              (a) The machine electrical energy consumption;
              (b) The hot water energy consumption;
              (c) The energy required for removal of the remaining moisture in the wash load; and
              (d) The combined low-power mode energy consumption.
              1.18  Integrated water factor means the quotient of the total weighted per-cycle water consumption for all wash cycles in gallons divided by the cubic foot (or liter) capacity of the clothes washer.
              1.19  Load usage factor means the percentage of the total number of wash loads that a user would wash a particular size (weight) load.
              1.20  Lot means a quantity of cloth that has been manufactured with the same batches of cotton and polyester during one continuous process.
              1.21  Manual control system means a clothes washer control system that requires that the user make the choices that determine washer operation or washing conditions, such as, for example, wash/rinse temperature selections and wash time, before starting the cycle.
              1.22  Manual water fill control system means a clothes washer water fill control system that requires the user to determine or select the water fill level.
              1.23  Modified energy factor means the quotient of the cubic foot (or liter) capacity of the clothes container divided by the total clothes washer energy consumption per cycle, with such energy consumption expressed as the sum of the machine electrical energy consumption, the hot water energy consumption, and the energy required for removal of the remaining moisture in the wash load.
              1.24  Non-water-heating clothes washer means a clothes washer that does not have an internal water heating device to generate hot water.
              1.25  Normal cycle means the cycle recommended by the manufacturer (considering manufacturer instructions, control panel labeling, and other markings on the clothes washer) for normal, regular, or typical use for washing up to a full load of normally-soiled cotton clothing. For machines where multiple cycle settings are recommended by the manufacturer for normal, regular, or typical use for washing up to a full load of normally-soiled cotton clothing, then the Normal cycle is the cycle selection that results in the lowest IMEF or MEF value.
              1.26  Off mode means a mode in which the clothes washer is connected to a mains power source and is not providing any active or standby mode function, and where the mode may persist for an indefinite time.
              1.27  Roll means a subset of a lot.
              1.28  Standard means a clothes washer that has a clothes container capacity of 1.6 ft3 (45 L) or greater.
              1.29 Standby mode means any mode in which the clothes washer is connected to a mains power source and offers one or more of the following user oriented or protective functions that may persist for an indefinite time:
              (a) Facilitating the activation of other modes (including activation or deactivation of active mode) by remote switch (including remote control), internal sensor, or timer;
              (b) Continuous functions, including information or status displays (including clocks) or sensor-based functions.

              A timer is a continuous clock function (which may or may not be associated with a display) that provides regular scheduled tasks (e.g., switching) and that operates on a continuous basis.
              1.30 Symbol usage. The following identity relationships are provided to help clarify the symbology used throughout this procedure.

              C—Capacity
              C (with subscripts)—Cold Water Consumption
              D—Energy Consumption for Removal of Moisture from Test Load
              E—Electrical Energy Consumption
              F—Load Usage Factor
              H—Hot Water Consumption
              HE—Hot Water Energy Consumption

              ME—Machine Electrical Energy Consumption
              P—Power
              Q—Water Consumption
              RMC—Remaining Moisture Content
              S—Annual Hours
              TUF—Temperature Use Factor
              V—Temperature-Weighted Hot Water Consumption
              W—Mass of Water
              WC—Weight of Test Load After Extraction
              WI—Initial Weight of Dry Test Load

              Subscripts:

              a or avg—Average Test Load
              c—Cold Wash (minimum wash temp.)
              corr—Corrected (RMC values)
              h—Hot Wash (maximum wash temp. ≤135 °F (57.2 °C))
              ia—Inactive Mode
              LP—Combined Low-Power Mode
              m—Extra-Hot Wash (maximum wash temp. >135 °F (57.2 °C))
              n—Minimum Test Load
              o—Off Mode
              oi—Combined Off and Inactive Modes
              T—Total
              w—Warm Wash
              ww—Warm Wash/Warm Rinse
              x—Maximum Test Load

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

              EmX = “Electrical Energy Consumption” for an “Extra-Hot Wash” and “Maximum Test Load”
              HEmin = “Hot Water Energy Consumption” for the “Minimum Test Load”
              Qhmin = “Water Consumption” for a “Hot Wash” and “Minimum Test Load”
              TUFm = “Temperature Use Factor” for an “Extra-Hot Wash”

              1.31 Temperature use factor means, for a particular wash/rinse temperature setting, the percentage of the total number of wash loads that an average user would wash with that setting.
              1.32 Thermostatically controlled water valves means clothes washer controls that have the ability to sense and adjust the hot and cold supply water.
              1.33 Water factor means the quotient of the total weighted per-cycle water consumption for cold wash divided by the cubic foot (or liter) capacity of the clothes washer.
              1.34 Water-heating clothes washer means a clothes washer where some or all of the hot water for clothes washing is generated by a water heating device internal to the clothes washer.
              2. Testing Conditions
              2.1 Electrical energy supply.

              2.1.1 Supply voltage and frequency. Maintain the electrical supply at the clothes washer terminal block within 2 percent of 120, 120/240, or 120/208Y volts as applicable to the particular terminal block wiring system and within 2 percent of the nameplate frequency as specified by the manufacturer. If the clothes washer has a dual voltage conversion capability, conduct test at the highest voltage specified by the manufacturer.
              2.1.2 Supply voltage waveform. For the combined low-power mode testing, maintain the electrical supply voltage waveform indicated in Section 4, Paragraph 4.3.2 of IEC 62301. If the power measuring instrument used for testing is unable to measure and record the total harmonic content during the test measurement period, total harmonic content may be measured and recorded immediately before and after the test measurement period.
              2.2 Supply water. Maintain the temperature of the hot water supply at the water inlets between 130 °F (54.4 °C) and 135 °F (57.2 °C), using 135 °F as the target temperature. Maintain the temperature of the cold water supply at the water inlets between 55 °F (12.8 °C) and 60 °F (15.6 °C), using 60 °F as the target temperature.
              2.3 Water pressure. Maintain the static water pressure at the hot and cold water inlet connection of the clothes washer at 35 pounds per square inch gauge (psig) ± 2.5 psig (241.3 kPa ± 17.2 kPa) when the water is flowing.
              2.4 Test room temperature. For all clothes washers, maintain the test room ambient air temperature at 75 ± 5 °F (23.9 ± 2.8 °C) for active mode testing and combined low-power mode testing. Do not use the test room ambient air temperature conditions specified in Section 4, Paragraph 4.2 of IEC 62301 for combined low-power mode testing.
              2.5 Instrumentation. Perform all test measurements using the following instruments, as appropriate:
              2.5.1 Weighing scales.

              2.5.1.1 Weighing scale for test cloth. The scale used for weighing test cloth must have a resolution of no larger than 0.2 oz (5.7 g) and a maximum error no greater than 0.3 percent of the measured value.
              2.5.1.2 Weighing scale for clothes container capacity measurement. The scale used for performing the clothes container capacity measurement must have a resolution no larger than 0.50 lbs (0.23 kg) and a maximum error no greater than 0.5 percent of the measured value.
              2.5.2 Watt-hour meter. The watt-hour meter used to measure electrical energy consumption must have a resolution no larger than 1 Wh (3.6 kJ) and a maximum error no greater than 2 percent of the measured value for any demand greater than 50 Wh (180.0 kJ).
              2.5.3 Watt meter. The watt meter used to measure combined low-power mode power consumption must comply with the requirements specified in Section 4, Paragraph 4.4 of IEC 62301 (incorporated by reference, see § 430.3). If the power measuring instrument used for testing is unable to measure and record the crest factor, power factor, or maximum current ratio during the test measurement period, the crest factor, power factor, and maximum current ratio may be measured and recorded immediately before and after the test measurement period.
              2.5.4 Water and air temperature measuring devices. The temperature devices used to measure water and air temperature must have an error no greater than ±1 °F (±0.6 °C) over the range being measured.
              2.5.5 Water meter. A water meter must be installed in both the hot and cold water lines to measure water flow and/or water consumption. The water meters must have a resolution no larger than 0.1 gallons (0.4 liters) and a maximum error no greater than 2 percent for the water flow rates being measured.
              2.5.6 Water pressure gauge. A water pressure gauge must be installed in both the hot and cold water lines to measure water pressure. The water pressure gauges must have a resolution of 1 pound per square inch gauge (psig) (6.9 kPa) and a maximum error no greater than 5 percent of any measured value.
              2.6 Bone dryer temperature. The dryer used for bone drying must heat the test cloth load above 210 °F (99 °C).
              2.7 Test cloths.

              2.7.1 Energy test cloth. The energy test cloth must be made from energy test cloth material, as specified in section 2.7.4 of this Appendix, that is 24 ± 1/2 inches by 36 ± 1/2 inches (61.0 ± 1.3 cm by 91.4 ± 1.3 cm) and has been hemmed to 22 ± 1/2 inches by 34 ± 1/2 inches (55.9 ± 1.3 cm by 86.4 ± 1.3 cm) before washing. The energy test cloth must be clean and must not be used for more than 60 test runs (after preconditioning as specified in 2.7.3 of this appendix). All energy test cloth must be permanently marked identifying the lot number of the material. Mixed lots of material must not be used for testing a clothes washer.
              2.7.2 Energy stuffer cloth. The energy stuffer cloth must be made from energy test cloth material, as specified in section 2.7.4 of this Appendix, that is 12 ± 1/4 inches by 12 ± 1/4inches (30.5 ± 0.6 cm by 30.5 ± 0.6 cm) and has been hemmed to 10 ± 1/4 inches by 10 ± 1/4 inches (25.4 ± 0.6 cm by 25.4 ± 0.6 cm) before washing. The energy stuffer cloth must be clean and must not be used for more than 60 test runs (after preconditioning as specified in section 2.7.3 of this Appendix). All energy stuffer cloth must be permanently marked identifying the lot number of the material. Mixed lots of material must not be used for testing a clothes washer.
              2.7.3 Preconditioning of test cloths. The new test cloths, including energy test cloths and energy stuffer cloths, must be pre-conditioned in a clothes washer in the following manner:
              Perform five complete wash-rinse-spin cycles, the first two with AHAM Standard Detergent Formula 3 and the last three without detergent. Place the test cloth in a clothes washer set at the maximum water level. Wash the load for ten minutes in soft water (17 ppm hardness or less) using 27.0 grams + 4.0 grams per pound of cloth load of AHAM Standard detergent Formula 3. The wash temperature is to be controlled to 135 °F ± 5 °F (57.2 °C ± 2.8 °C) and the rinse temperature is to be controlled to 60 °F ±5 °F (15.6 °C ± 2.8 °C). Repeat the cycle with detergent and then repeat the cycle three additional times without detergent, bone drying the load between cycles (for a total of five complete wash-rinse-spin cycles).
              2.7.4 Energy test cloth material. The energy test cloths and energy stuffer cloths must be made from fabric meeting the following specifications:
              2.7.4.1 The test cloth material should come from a roll of material with a width of approximately 63 inches and approximately 500 yards per roll. However, other sizes may be used if the test cloth material meets the specifications listed in sections 2.7.4.2 through 2.7.4.7.
              2.7.4.2 Nominal fabric type. Pure finished bleached cloth made with a momie or granite weave, which is nominally 50 percent cotton and 50 percent polyester.
              2.7.4.3 Fabric weight. 5.60 ± 0.25 ounces per square yard (190.0 ± 8.4 g/m2).
              2.7.4.4 Thread count. 65 × 57 per inch (warp × fill), ±2 percent.
              2.7.4.5 Fiber content of warp and filling yarn. 50 percent ±4 percent cotton, with the balance being polyester, open end spun, 15/1 ±5 percent cotton count blended yarn.
              2.7.4.6 Water repellent finishes, such as fluoropolymer stain resistant finishes, must not be applied to the test cloth. Verify the absence of such finishes using both of the following:

              2.7.4.6.1 AATCC Test Method 118-2007 (incorporated by reference; see § 430.3) for each new lot of test cloth (when purchased from the mill) to confirm the absence of ScotchguardTM or other water repellent finish (required scores of “D” across the board).

              2.7.4.6.2 AATCC Test Method 79-2010 (incorporated by reference; see § 430.3) for each new lot of test cloth (when purchased from the mill) to confirm the absence of ScotchguardTM or other water repellent finish (time to absorb one drop should be on the order of 1 second).
              2.7.4.7 The maximum shrinkage after preconditioning must not be more than 5 percent of the length and width. Measure per AATCC Test Method 135-2010 (incorporated by reference; see § 430.3).

              2.7.5 The moisture absorption and retention must be evaluated for each new lot of test cloth using the standard extractor Remaining Moisture Content (RMC) procedure specified in Appendix J3 to 10 CFR part 430 subpart B.
              2.8 Test load sizes. Use Table 5.1 of this appendix to determine the maximum, minimum, and, when required, average test load sizes based on the clothes container capacity as measured in section 3.1 of this appendix. Test loads must consist of energy test cloths and no more than five energy stuffer clothes per load to achieve the proper weight.
              Use the test load sizes and corresponding water fill settings defined in Table 2.8 of this appendix when measuring water and energy consumption. Use only the maximum test load size when measuring RMC.

                Table 2.8—Required Test Load Siszes and Water Fill Settings

                  Water fill control system type
                  Test load size
                  Water fill setting

                  Manual water fill control system
                  MaxMin

                  Max.Min.

                  Automatic water fill control system
                  MaxAvg
                    Min

                  As determined by the clothes washer.

              2.9 Use of test loads.

              2.9.1 Test loads for energy and water consumption measurements must be bone dry prior to the first cycle of the test, and dried to a maximum of 104 percent of bone dry weight for subsequent testing.
              2.9.2 Prepare the energy test cloths for loading by grasping them in the center, lifting, and shaking them to hang loosely, as illustrated in Figure 2.9.2 of this appendix.

                ER05AU15.004

              For all clothes washers, follow any manufacturer loading instructions provided to the user regarding the placement of clothing within the clothes container. In the absence of any manufacturer instructions regarding the placement of clothing within the clothes container, the following loading instructions apply.
              2.9.2.1 To load the energy test cloths in a top-loading clothes washer, arrange the cloths circumferentially around the axis of rotation of the clothes container, using alternating lengthwise orientations for adjacent pieces of cloth. Complete each cloth layer across its horizontal plane within the clothes container before adding a new layer. Figure 2.9.2.1 of this appendix illustrates the correct loading technique for a vertical-axis clothes washer.

                ER05AU15.005

              2.9.2.2 To load the energy test cloths in a front-loading clothes washer, grasp each test cloth in the center as indicted in section 2.9.2 of this appendix, and then place each cloth into the clothes container prior to activating the clothes washer.
              2.10 Clothes washer installation. Install the clothes washer in accordance with manufacturer's instructions. For combined low-power mode testing, install the clothes washer in accordance with Section 5, Paragraph 5.2 of IEC 62301 (incorporated by reference; see § 430.3), disregarding the provisions regarding batteries and the determination, classification, and testing of relevant modes.
              2.11 Clothes washer pre-conditioning.

              2.11.1 Non-water-heating clothes washer. If the clothes washer has not been filled with water in the preceding 96 hours, pre-condition it by running it through a cold rinse cycle and then draining it to ensure that the hose, pump, and sump are filled with water.
              2.11.2 Water-heating clothes washer. If the clothes washer has not been filled with water in the preceding 96 hours, or if it has not been in the test room at the specified ambient conditions for 8 hours, pre-condition it by running it through a cold rinse cycle and then draining it to ensure that the hose, pump, and sump are filled with water.
              2.12 Determining the energy test cycle. To determine the energy test cycle, evaluate the wash/rinse temperature selection flowcharts in the order in which they are presented in this section. The determination of the energy test cycle must take into consideration all cycle settings available to the end user, including any cycle selections or cycle modifications provided by the manufacturer via software or firmware updates to the product, for the basic model under test. The energy test cycle does not include any cycle that is recommended by the manufacturer exclusively for cleaning, deodorizing, or sanitizing the clothes washer.

                ER05AU15.006

                ER05AU15.007

                ER05AU15.008

                ER05AU15.009

                ER05AU15.010

              3. Test Measurements
              3.1 Clothes container capacity. Measure the entire volume that a clothes load could occupy within the clothes container during active mode washer operation according to the following procedures:

              3.1.1 Place the clothes washer in such a position that the uppermost edge of the clothes container opening is leveled horizontally, so that the container will hold the maximum amount of water. For front-loading clothes washers, the door seal and shipping bolts or other forms of bracing hardware to support the wash drum during shipping must remain in place during the capacity measurement.
              If the design of a front-loading clothes washer does not include shipping bolts or other forms of bracing hardware to support the wash drum during shipping, a laboratory may support the wash drum by other means, including temporary bracing or support beams. Any temporary bracing or support beams must keep the wash drum in a fixed position, relative to the geometry of the door and door seal components, that is representative of the position of the wash drum during normal operation. The method used must avoid damage to the unit that would affect the results of the energy and water testing.
              For a front-loading clothes washer that does not include shipping bolts or other forms of bracing hardware to support the wash drum during shipping, the laboratory must fully document the alternative method used to support the wash drum during capacity measurement, include such documentation in the final test report, and pursuant to § 429.71 of this chapter, the manufacturer must retain such documentation as part its test records.
              3.1.2 Line the inside of the clothes container with a 2 mil thickness (0.051 mm) plastic bag. All clothes washer components that occupy space within the clothes container and that are recommended for use during a wash cycle must be in place and must be lined with a 2 mil thickness (0.051 mm) plastic bag to prevent water from entering any void space.
              3.1.3 Record the total weight of the machine before adding water.
              3.1.4 Fill the clothes container manually with either 60 °F ± 5 °F (15.6 °C ± 2.8 °C) or 100 °F ± 10 °F (37.8 °C ± 5.5 °C) water, with the door open. For a top-loading vertical-axis clothes washer, fill the clothes container to the uppermost edge of the rotating portion, including any balance ring. Figure 3.1.4.1 of this appendix illustrates the maximum fill level for top-loading clothes washers.

                ER05AU15.011

              For a front-loading horizontal-axis clothes washer, fill the clothes container to the highest point of contact between the door and the door gasket. If any portion of the door or gasket would occupy the measured volume space when the door is closed, exclude from the measurement the volume that the door or gasket portion would occupy. For a front-loading horizontal-axis clothes washer with a concave door shape, include any additional volume above the plane defined by the highest point of contact between the door and the door gasket, if that area can be occupied by clothing during washer operation. For a top-loading horizontal-axis clothes washer, include any additional volume above the plane of the door hinge that clothing could occupy during washer operation. Figure 3.1.4.2 of this appendix illustrates the maximum fill volumes for all horizontal-axis clothes washer types.

                ER05AU15.012

              For all clothes washers, exclude any volume that cannot be occupied by the clothing load during operation.
              3.1.5 Measure and record the weight of water, W, in pounds.

              3.1.6 Calculate the clothes container capacity as follows:

              C = W/d

              where:

              C = Capacity in cubic feet (liters).
              W = Mass of water in pounds (kilograms).
              d = Density of water (62.0 lbs/ft3 for 100 °F (993 kg/m3 for 37.8 °C) or 62.3 lbs/ft3 for 60 °F (998 kg/m3 for 15.6 °C)).

              3.1.7 Calculate the clothes container capacity, C, to the nearest 0.01 cubic foot for the purpose of determining test load sizes per Table 5.1 of this appendix and for all subsequent calculations that include the clothes container capacity.
              3.2 Procedure for measuring water and energy consumption values on all automatic and semi-automatic washers.

              3.2.1 Perform all energy consumption tests under the energy test cycle.
              3.2.2 Perform the test sections listed in Table 3.2.2 in accordance with the wash/rinse temperature selections available in the energy test cycle.

                Table 3.2.2—Test Section Reference

                  Wash/rinse temperatureselections available in the
                    energy test cycle

                  Corresponding test sectionreference

                  Extra-Hot/Cold
                  3.3

                  Hot/Cold
                  3.4

                  Warm/Cold
                  3.5

                  Warm/Warm
                  3.6

                  Cold/Cold
                  3.7

                    Test Sections Applicable to all Clothes Washers

                  Remaining Moisture Content
                  3.8

                  Combined Low-Power Mode Power
                  3.9

              3.2.3 Hot and cold water faucets.

              3.2.3.1 For automatic clothes washers, open both the hot and cold water faucets.
              3.2.3.2 For semi-automatic washers:
              (1) For hot inlet water temperature, open the hot water faucet completely and close the cold water faucet;
              (2) For warm inlet water temperature, open both hot and cold water faucets completely;
              (3) For cold inlet water temperature, close the hot water faucet and open the cold water faucet completely.
              3.2.4 Wash/rinse temperature selection. Set the wash/rinse temperature selection control to obtain the desired wash/rinse temperature selection within the energy test cycle.
              3.2.5 Wash time setting. If one wash time is prescribed for the wash cycle under test, that shall be the wash time setting; otherwise, the wash time setting shall be the higher of either the minimum or 70 percent of the maximum wash time available for the wash cycle under test, regardless of the labeling of suggested dial locations. If 70% of the maximum wash time is not available on a dial with a discreet number of wash time settings, choose the next-highest setting greater than 70%. If the clothes washer is equipped with an electromechanical dial controlling wash time, reset the dial to the minimum wash time and then turn it in the direction of increasing wash time to reach the appropriate setting. If the appropriate setting is passed, return the dial to the minimum wash time and then turn in the direction of increasing wash time until the appropriate setting is reached.
              3.2.6 Water fill levels.

              3.2.6.1 Clothes washers with manual water fill control system. Set the water fill selector to the maximum water level available for the wash cycle under test for the maximum test load size and the minimum water level available for the wash cycle under test for the minimum test load size.
              3.2.6.2 Clothes washers with automatic water fill control system.

              3.2.6.2.1 Not user adjustable. The maximum, minimum, and average water levels as described in the following sections refer to the amount of water fill that is automatically selected by the control system when the respective test loads are used.
              3.2.6.2.2 User adjustable. Conduct four tests on clothes washers with user adjustable automatic water fill controls that affect the relative wash water levels. Conduct the first test using the maximum test load and with the automatic water fill control system set in the setting that will give the most energy intensive result. Conduct the second test using the minimum test load and with the automatic water fill control system set in the setting that will give the least energy intensive result. Conduct the third test using the average test load and with the automatic water fill control system set in the setting that will give the most energy intensive result for the given test load. Conduct the fourth test using the average test load and with the automatic water fill control system set in the setting that will give the least energy intensive result for the given test load. Average the results of the third and fourth tests to obtain the energy and water consumption values for the average test load size.
              3.2.6.3 Clothes washers with automatic water fill control system and alternate manual water fill control system. If a clothes washer with an automatic water fill control system allows user selection of manual controls as an alternative, test both manual and automatic modes and, for each mode, calculate the energy consumption (HET, MET, and DE) and water consumption (QT) values as set forth in section 4 of this appendix. Then, calculate the average of the two values (one from each mode, automatic and manual) for each variable (HET, MET, DE, and QT) and use the average value for each variable in the final calculations in section 4 of this appendix.
              3.2.7 Manufacturer default settings. For clothes washers with electronic control systems, use the manufacturer default settings for any cycle selections, except for (1) the temperature selection, (2) the wash water fill levels, or (3) if necessary, the spin speeds on wash cycles used to determine remaining moisture content. Specifically, the manufacturer default settings must be used for wash conditions such as agitation/tumble operation, soil level, spin speed on wash cycles used to determine energy and water consumption, wash times, rinse times, optional rinse settings, water heating time for water heating clothes washers, and all other wash parameters or optional features applicable to that wash cycle. Any optional wash cycle feature or setting (other than wash/rinse temperature, water fill level selection, or spin speed on wash cycles used to determine remaining moisture content) that is activated by default on the wash cycle under test must be included for testing unless the manufacturer instructions recommend not selecting this option, or recommend selecting a different option, for washing normally soiled cotton clothing.
              For clothes washers with control panels containing mechanical switches or dials, any optional settings, except for (1) the temperature selection, (2) the wash water fill levels, or (3) if necessary, the spin speeds on wash cycles used to determine remaining moisture content, must be in the position recommended by the manufacturer for washing normally soiled cotton clothing. If the manufacturer instructions do not recommend a particular switch or dial position to be used for washing normally soiled cotton clothing, the setting switch or dial must remain in its as-shipped position.
              3.2.8 For each wash cycle tested, include the entire active washing mode and exclude any delay start or cycle finished modes.
              3.2.9 Discard the data from a wash cycle that provides a visual or audio indicator to alert the user that an out-of-balance condition has been detected, or that terminates prematurely if an out-of-balance condition is detected, and thus does not include the agitation/tumble operation, spin speed(s), wash times, and rinse times applicable to the wash cycle under test. Document in the test report the rejection of data from any wash cycle during testing and the reason for the rejection.
              3.3 Extra-Hot Wash/Cold Rinse. Measure the water and electrical energy consumption for each water fill level and test load size as specified in sections 3.3.1 through 3.3.3 of this appendix for the Extra-Hot Wash/Cold Rinse as defined within the energy test cycle.

              Non-reversible temperature indicator labels, adhered to the inside of the clothes container, may be used to confirm that an extra-hot wash temperature greater than 135 °F has been achieved during the wash cycle, under the following conditions. The label must remain waterproof, intact, and adhered to the wash drum throughout an entire wash cycle; provide consistent maximum temperature readings; and provide repeatable temperature indications sufficient to demonstrate that a wash temperature of greater than 135 °F has been achieved. The label must have been verified to consistently indicate temperature measurements with an accuracy of ±1 °F if the label provides a temperature indicator at 135 °F. If the label does not provide a temperature indicator at 135 °F, the label must have been verified to consistently indicate temperature measurements with an accuracy of ±1 °F if the next-highest temperature indicator is greater than 135 °F and less than 140 °F, or ±3 °F if the next-highest temperature indicator is 140 °F or greater. If the label does not provide a temperature indicator at 135 °F, failure to activate the next-highest temperature indicator does not necessarily indicate the lack of an extra-hot wash temperature. However, such a result would not be considered a valid test due to the lack of verification of the water temperature requirement, in which case an alternative method must be used to confirm that an extra-hot wash temperature greater than 135 °F has been achieved during the wash cycle.
              If using a temperature indicator label to test a front-loading clothes washer, adhere the label along the interior surface of the clothes container drum, midway between the front and the back of the drum, adjacent to one of the baffles. If using a temperature indicator label to test a top-loading clothes washer, adhere the label along the interior surface of the clothes container drum, on the vertical portion of the sidewall, as close to the bottom of the container as possible.
              3.3.1 Maximum test load and water fill. Measure the values for hot water consumption (HmX), cold water consumption (CmX), and electrical energy consumption (EmX) for an Extra-Hot Wash/Cold Rinse cycle, with the controls set for the maximum water fill level. Use the maximum test load size as specified in Table 5.1 of this appendix.
              3.3.2 Minimum test load and water fill. Measure the values for hot water consumption (Hmn), cold water consumption (Cmn), and electrical energy consumption (Emn) for an Extra-Hot Wash/Cold Rinse cycle, with the controls set for the minimum water fill level. Use the minimum test load size as specified in Table 5.1 of this appendix.
              3.3.3 Average test load and water fill. For a clothes washer with an automatic water fill control system, measure the values for hot water consumption (Hma), cold water consumption (Cma), and electrical energy consumption (Ema) for an Extra-Hot Wash/Cold Rinse cycle. Use the average test load size as specified in Table 5.1 of this appendix.
              3.4 Hot Wash/Cold Rinse. Measure the water and electrical energy consumption for each water fill level and test load size as specified in sections 3.4.1 through 3.4.3 of this appendix for the Hot Wash/Cold Rinse temperature selection, as defined within the energy test cycle.
              3.4.1 Maximum test load and water fill. Measure the values for hot water consumption (HhX), cold water consumption (ChX), and electrical energy consumption (EhX) for a Hot Wash/Cold Rinse cycle, with the controls set for the maximum water fill level. Use the maximum test load size as specified in Table 5.1 of this appendix.
              3.4.2 Minimum test load and water fill. Measure the values for hot water consumption (Hhn), cold water consumption (Chn), and electrical energy consumption (Ehn) for a Hot Wash/Cold Rinse cycle, with the controls set for the minimum water fill level. Use the minimum test load size as specified in Table 5.1 of this appendix.
              3.4.3 Average test load and water fill. For a clothes washer with an automatic water fill control system, measure the values for hot water consumption (Hha), cold water consumption (Cha), and electrical energy consumption (Eha) for a Hot Wash/Cold Rinse cycle. Use the average test load size as specified in Table 5.1 of this appendix.
              3.5 Warm Wash/Cold Rinse. Measure the water and electrical energy consumption for each water fill level and test load size as specified in sections 3.5.1 through 3.5.3 of this appendix for the applicable Warm Wash/Cold Rinse temperature selection(s), as defined within the energy test cycle.
              For a clothes washer with fewer than four discrete Warm Wash/Cold Rinse temperature selections, test all Warm Wash/Cold Rinse selections. For a clothes washer that offers four or more Warm Wash/Cold Rinse selections, test at all discrete selections, or test at the 25 percent, 50 percent, and 75 percent positions of the temperature selection device between the hottest hot (≤135 °F (57.2 °C)) wash and the coldest cold wash. If a selection is not available at the 25, 50 or 75 percent position, in place of each such unavailable selection, use the next warmer setting. For each reportable value to be used for the Warm Wash/Cold Rinse temperature selection, calculate the average of all Warm Wash/Cold Rinse temperature selections tested pursuant to this section.
              3.5.1 Maximum test load and water fill. Measure the values for hot water consumption (HwX), cold water consumption (CwX), and electrical energy consumption (EwX) for the Warm Wash/Cold Rinse cycle, with the controls set for the maximum water fill level. Use the maximum test load size as specified in Table 5.1 of this appendix.
              3.5.2 Minimum test load and water fill. Measure the values for hot water consumption (Hwn), cold water consumption (Cwn), and electrical energy consumption (Ewn) for the Warm Wash/Cold Rinse cycle, with the controls set for the minimum water fill level. Use the minimum test load size as specified in Table 5.1 of this appendix.
              3.5.3 Average test load and water fill. For a clothes washer with an automatic water fill control system, measure the values for hot water consumption (Hwa), cold water consumption (Cwa), and electrical energy consumption (Ewa) for a Warm Wash/Cold Rinse cycle. Use the average test load size as specified in Table 5.1 of this appendix.
              3.6 Warm Wash/Warm Rinse. Measure the water and electrical energy consumption for each water fill level and/or test load size as specified in sections 3.6.1 through 3.6.3 of this appendix for the applicable Warm Wash/Warm Rinse temperature selection(s), as defined within the energy testy cycle.

              For a clothes washer with fewer than four discrete Warm Wash/Warm Rinse temperature selections, test all Warm Wash/Warm Rinse selections. For a clothes washer that offers four or more Warm Wash/Warm Rinse selections, test at all discrete selections, or test at 25 percent, 50 percent, and 75 percent positions of the temperature selection device between the hottest hot (≤135 °F (57.2 °C)) wash and the coldest cold wash. If a selection is not available at the 25, 50 or 75 percent position, in place of each such unavailable selection use the next warmer setting. For each reportable value to be used for the Warm Wash/Warm Rinse temperature selection, calculate the arithmetic average of all Warm Wash/Warm Rinse temperature selections tested pursuant to this section.
              3.6.1 Maximum test load and water fill. Measure the values for hot water consumption (HwwX), cold water consumption (CwwX), and electrical energy consumption (EwwX) for the Warm Wash/Warm Rinse cycle, with the controls set for the maximum water fill level. Use the maximum test load size as specified in Table 5.1 of this appendix.
              3.6.2 Minimum test load and water fill. Measure the values for hot water consumption (Hwwn), cold water consumption (Cwwn), and electrical energy consumption (Ewwn) for the Warm Wash/Warm Rinse cycle, with the controls set for the minimum water fill level. Use the minimum test load size as specified in Table 5.1 of this appendix.
              3.6.3 Average test load and water fill. For a clothes washer with an automatic water fill control system, measure the values for hot water consumption (Hwwa), cold water consumption (Cwwa), and electrical energy consumption (Ewwa) for the Warm Wash/Warm Rinse cycle. Use the average test load size as specified in Table 5.1 of this appendix.
              3.7 Cold Wash/Cold Rinse. Measure the water and electrical energy consumption for each water fill level and test load size as specified in sections 3.7.1 through 3.7.3 of this appendix for the applicable Cold Wash/Cold Rinse temperature selection, as defined within the energy test cycle.
              3.7.1 Maximum test load and water fill. Measure the values for hot water consumption (HcX), cold water consumption (CcX), and electrical energy consumption (EcX) for a Cold Wash/Cold Rinse cycle, with the controls set for the maximum water fill level. Use the maximum test load size as specified in Table 5.1 of this appendix.
              3.7.2 Minimum test load and water fill. Measure the values for hot water consumption (Hcn), cold water consumption (Ccn), and electrical energy consumption (Ecn) for a Cold Wash/Cold Rinse cycle, with the controls set for the minimum water fill level. Use the minimum test load size as specified in Table 5.1 of this appendix.
              3.7.3 Average test load and water fill. For a clothes washer with an automatic water fill control system, measure the values for hot water consumption (Hca), cold water consumption (Cca), and electrical energy consumption (Eca) for a Cold Wash/Cold Rinse cycle. Use the average test load size as specified in Table 5.1 of this appendix.
              3.8 Remaining moisture content (RMC).

              3.8.1 The wash temperature must be the same as the rinse temperature for all testing. Use the maximum test load as defined in Table 5.1 of this appendix for testing.
              3.8.2 Clothes washers with cold rinse only.

              3.8.2.1 Record the actual “bone dry” weight of the test load (WIX), then place the test load in the clothes washer.
              3.8.2.2 Set the water level controls to maximum fill.
              3.8.2.3 Run the Cold Wash/Cold Rinse cycle.

              3.8.2.4 Record the weight of the test load immediately after completion of the wash cycle (WCX).

              3.8.2.5 Calculate the remaining moisture content of the maximum test load, RMCX, defined as:

              RMCX = (WCX − WIX)/WIX

              3.8.2.6 Apply the RMC correction curve described in section 7 of appendix J3 to this subpart to calculate the corrected remaining moisture content, RMCcorr, expressed as a percentage as follows:

              RMCcorr = (A × RMCX + B) × 100%

              where:

              A and B are the coefficients of the RMC correction curve as defined in section 6.1 of appendix J3 to this subpart.

              RMCX = As defined in section 3.8.2.5 of this appendix.

              3.8.2.7 Use RMCcorr as the final corrected RMC in section 4.3 of this appendix.
              3.8.3 Clothes washers with both cold and warm rinse options.

              3.8.3.1 Complete sections 3.8.2.1 through 3.8.2.4 of this appendix for a Cold Wash/Cold Rinse cycle. Calculate the remaining moisture content of the maximum test load for Cold Wash/Cold Rinse, RMCCOLD, defined as:

              RMCCOLD = (WCX − WIX)/WIX

              3.8.3.2 Apply the RMC correction curve described in section 7 of appendix J3 to this subpart to calculate the corrected remaining moisture content for Cold Wash/Cold Rinse, RMCCOLD,corr, expressed as a percentage, as follows:

              RMCCOLD,corr = (A × RMCCOLD + B) × 100%

              where:

              A and B are the coefficients of the RMC correction curve as defined in section 6.1 of appendix J3 to this subpart.

              RMCCOLD = As defined in section 3.8.3.1 of this appendix.

              3.8.3.3 Complete sections 3.8.2.1 through 3.8.2.4 of this appendix using a Warm Wash/Warm Rinse cycle instead. Calculate the remaining moisture content of the maximum test load for Warm Wash/Warm Rinse, RMCWARM, defined as:

              RMCWARM = (WCX−WIX)/WIX

              3.8.3.4 Apply the RMC correction curve described in section 7 of appendix J3 to this subpart to calculate the corrected remaining moisture content for Warm Wash/Warm Rinse, RMCWARM,corr, expressed as a percentage, as follows:

              RMCWARM,corr = (A × RMCWARM + B) × 100%

              where:

              A and B are the coefficients of the RMC correction curve as defined in section 6.1 of appendix J3 to this subpart.

              RMCWARM = As defined in section 3.8.3.3 of this appendix.

              3.8.3.5 Calculate the corrected remaining moisture content of the maximum test load, RMCcorr, expressed as a percentage as follows:

              RMCcorr = RMCCOLD,corr × (1 − TUFww) + RMCWARM,corr × (TUFww)

              where:

              RMCCOLD,corr = As defined in section 3.8.3.2 of this Appendix.
              RMCWARM,corr = As defined in section 3.8.3.4 of this Appendix.
              TUFww is the temperature use factor for Warm Wash/Warm Rinse as defined in Table 4.1.1 of this appendix.

              3.8.3.6 Use RMCcorr as calculated in section 3.8.3.5 as the final corrected RMC used in section 4.3 of this appendix.
              3.8.4 Clothes washers that have options such as multiple selections of spin speeds or spin times that result in different RMC values, and that are available within the energy test cycle.

              3.8.4.1 Complete sections 3.8.2 or 3.8.3 of this appendix, as applicable, using the maximum and minimum extremes of the available spin options, excluding any “no spin” (zero spin speed) settings. Combine the calculated values RMCcorr,max extraction and RMCcorr,min extraction at the maximum and minimum settings, respectively, as follows:

              RMCcorr = 0.75 × RMCcorr,max extraction + 0.25 × RMCcorr,min extraction

              where:

              RMCcorr, max extraction is the corrected remaining moisture content using the maximum spin setting, calculated according to section 3.8.2 or 3.8.3 of this appendix, as applicable.
              RMCcorr, min extraction is the corrected remaining moisture content using the minimum spin setting, calculated according to section 3.8.2 or 3.8.3 of this appendix, as applicable.

              3.8.4.2 Use RMCcorr as calculated in section 3.8.4.1 as the final corrected RMC used in section 4.3 of this appendix.
              3.8.5 The procedure for calculating the corrected RMC as described in section 3.8.2, 3.8.3, or 3.8.4 of this appendix may be replicated twice in its entirety, for a total of three independent corrected RMC measurements. If three replications of the RMC measurement are performed, use the average of the three corrected RMC measurements as the final corrected RMC in section 4.3 of this appendix.
              3.9 Combined low-power mode power. Connect the clothes washer to a watt meter as specified in section 2.5.3 of this appendix. Establish the testing conditions set forth in sections 2.1, 2.4, and 2.10 of this appendix.
              3.9.1 Perform combined low-power mode testing after completion of an active mode wash cycle included as part of the energy test cycle; after removing the test load; without changing the control panel settings used for the active mode wash cycle; with the door closed; and without disconnecting the electrical energy supply to the clothes washer between completion of the active mode wash cycle and the start of combined low-power mode testing.
              3.9.2 For a clothes washer that takes some time to automatically enter a stable inactive mode or off mode state from a higher power state as discussed in Section 5, Paragraph 5.1, note 1 of IEC 62301 (incorporated by reference; see § 430.3), allow sufficient time for the clothes washer to automatically reach the default inactive/off mode state before proceeding with the test measurement.

              3.9.3 Once the stable inactive/off mode state has been reached, measure and record the default inactive/off mode power, Pdefault, in watts, following the test procedure for the sampling method specified in Section 5, Paragraph 5.3.2 of IEC 62301.

              3.9.4 For a clothes washer with a switch, dial, or button that can be optionally selected by the end user to achieve a lower-power inactive/off mode state than the default inactive/off mode state measured in section 3.9.3 of this appendix, after performing the measurement in section 3.9.3, activate the switch, dial, or button to the position resulting in the lowest power consumption and repeat the measurement procedure described in section 3.9.3. Measure and record the lowest-power inactive/off mode power, Plowest, in Watts.
              3.10 Energy consumption for the purpose of determining the cycle selection(s) to be included in the energy test cycle. This section is implemented only in cases where the energy test cycle flowcharts in section 2.12 require the determination of the wash/rinse temperature selection with the highest energy consumption.

              3.10.1 For the wash/rinse temperature selection being considered under this section, establish the testing conditions set forth in section 2 of this appendix. Select the applicable cycle selection and wash/rinse temperature selection. For all wash/rinse temperature selections, the manufacturer default settings shall be used as described in section 3.2.7 of this appendix.
              3.10.2 Use the clothes washer's maximum test load size, determined from Table 5.1 of this appendix, for testing under this section.
              3.10.3 For clothes washers with a manual fill control system, user-adjustable automatic water fill control system, or automatic water fill control system with alternate manual water fill control system, use the water fill selector setting resulting in the maximum water level available for each cycle selection for testing under this section.
              3.10.4 Each wash cycle tested under this section shall include the entire active washing mode and exclude any delay start or cycle finished modes.

              3.10.5 Measure each wash cycle's electrical energy consumption (EX) and hot water consumption (HX). Calculate the total energy consumption for each cycle selection (ETX), as follows:

              ETX = EX + (HX × T × K)

              where:

              EX is the electrical energy consumption, expressed in kilowatt-hours per cycle.
              HX is the hot water consumption, expressed in gallons per cycle.
              T = nominal temperature rise = 75 °F (41.7 °C).
              K = Water specific heat in kilowatt-hours per gallon per degree F = 0.00240 kWh/gal - °F (0.00114 kWh/L- °C).
              4. Calculation of Derived Results From Test Measurements
              4.1 Hot water and machine electrical energy consumption of clothes washers.

              4.1.1 Per-cycle temperature-weighted hot water consumption for all maximum, average, and minimum water fill levels tested. Calculate the per-cycle temperature-weighted hot water consumption for the maximum water fill level, VhX, the average water fill level, Vha, and the minimum water fill level, Vhn, expressed in gallons per cycle (or liters per cycle) and defined as:

              (a) VhX = [HmX × TUFm] + [HhX × TUFh] + [HwX × TUFw] + [HwwX × TUFww] + [HcX × TUFc]
              (b) Vha = [Hma × TUFm] + [Hha × TUFh] + [Hwa × TUFw] + [Hwwa × TUFww] + [Hca × TUFc]
              (c) Vhn = [Hmn × TUFm] + [Hhn × TUFh] + [Hwn × TUFw] + [Hwwn × TUFww] + [Hcn × TUFc]

              where:

              HmX, Hma, and Hmn, are reported hot water consumption values, in gallons per-cycle (or liters per cycle), at maximum, average, and minimum water fill levels, respectively, for the Extra-Hot Wash/Cold Rinse cycle, as measured in sections 3.3.1 through 3.3.3 of this appendix.
              HhX, Hha, and Hhn, are reported hot water consumption values, in gallons per-cycle (or liters per cycle), at maximum, average, and minimum water fill levels, respectively, for the Hot Wash/Cold Rinse cycle, as measured in sections 3.4.1 through 3.4.3 of this appendix.
              HwX, Hwa, and Hwn, are reported hot water consumption values, in gallons per-cycle (or liters per cycle), at maximum, average, and minimum water fill levels, respectively, for the Warm Wash/Cold Rinse cycle, as measured in sections 3.5.1 through 3.5.3 of this appendix.
              HwwX, Hwwa, and Hwwn, are reported hot water consumption values, in gallons per-cycle (or liters per cycle), at maximum, average, and minimum water fill levels, respectively, for the Warm Wash/Warm Rinse cycle, as measured in sections 3.6.1 through 3.6.3 of this appendix.
              HcX, Hca, and Hcn, are reported hot water consumption values, in gallons per-cycle (or liters per cycle), at maximum, average, and minimum water fill levels, respectively, for the Cold Wash/Cold Rinse cycle, as measured in sections 3.7.1 through 3.7.3 of this appendix.
              TUFm, TUFh, TUFw, TUFww, and TUFc are temperature use factors for Extra-Hot Wash/Cold Rinse, Hot Wash/Cold Rinse, Warm Wash/Cold Rinse, Warm Wash/Warm Rinse, and Cold Wash/Cold Rinse temperature selections, respectively, as defined in Table 4.1.1 of this appendix.

                Table 4.1.1—Temperature Use Factors

                  Wash/Rinse Temperature Selections Available in the Energy Test Cycle
                  Clothes washers with cold rinse only
                  C/C
                  H/CC/C

                  H/CW/C
                    C/C

                  XH/CH/C
                    C/C

                  XH/CH/C
                    W/C
                    C/C

                  Clothes washers with both cold and warm rinse
                  H/CW/C
                    W/W
                    C/C

                  XH/CH/C
                    W/W
                    C/C

                  XH/CH/C
                    W/C
                    W/W
                    C/C

                  TUFm (Extra-Hot/Cold)

                  0.14
                  0.05

                  0.14
                  0.05

                  TUFh (Hot/Cold)

                  0.63
                  0.14
                  * 0.49
                  0.09
                  0.14
                  * 0.22
                  0.09

                  TUFw (Warm/Cold)

                  0.49

                  0.49
                  0.22

                  0.22

                  TUFww (Warm/Warm)

                  0.27
                  0.27
                  0.27

                  TUFc (Cold/Cold)
                  1.00
                  0.37
                  0.37
                  0.37
                  0.37
                  0.37
                  0.37
                  0.37

                * On clothes washers with only two wash temperature selections ≤135 °F, the higher of the two wash temperatures is classified as a Hot Wash/Cold Rinse, in accordance with the wash/rinse temperature definitions within the energy test cycle.

              4.1.2 Total per-cycle hot water energy consumption for all maximum, average, and minimum water fill levels tested. Calculate the total per-cycle hot water energy consumption for the maximum water fill level, HEmax, the average water fill level, HEavg, and the minimum water fill level, HEmin, expressed in kilowatt-hours per cycle and defined as:
              (a) HEmax = [VhX × T × K] = Total energy when a maximum load is tested.
              (b) HEavg = [Vha × T × K] = Total energy when an average load is tested.
              (c) HEmin = [Vhn × T × K] = Total energy when a minimum load is tested.

              where:

              VhX, Vha, and Vhn are defined in section 4.1.1 of this appendix.
              T = Temperature rise = 75 °F (41.7 °C).
              K = Water specific heat in kilowatt-hours per gallon per degree F = 0.00240 kWh/gal- °F (0.00114 kWh/L- °C).

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

              HET = [HEmax × Fmax] + [HEavg × Favg] + HEmin × Fmin]

              where:
              HEmax, HEavg, and HEmin are defined in section 4.1.2 of this appendix.
              Fmax, Favg, and Fmin are the load usage factors for the maximum, average, and minimum test loads based on the size and type of the control system on the washer being tested, as defined in Table 4.1.3 of this appendix.

                Table 4.1.3—Load Usage Factors

                  Load usage factor
                  Water fill control system
                  Manual
                  Automatic

                  Fmax =
                  0.72
                  0.12

                  Favg =

                  0.74

                  Fmin =
                  0.28
                  0.14

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

              HETG = HET × 1/e × 3412 Btu/kWh or HETG = HET × 1/e × 3.6 MJ/kWh

              where:

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

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

              (a) MEmax = [EmX × TUFm] + [EhX × TUFh] + [EwX × TUFw] + [EwwX × TUFww] + [EcX × TUFc]
              (b) MEavg = [Ema × TUFm] + [Eha × TUFh] + [Ewa × TUFw] + [Ewwa × TUFww] + [Eca × TUFc]
              (c) MEmin = [Emn × TUFm] + [Ehn × TUFh] + [Ewn × TUFw] + [Ewwn × TUFww] + [Ecn × TUFc]

              where:

              EmX, Ema, and Emn, are reported electrical energy consumption values, in kilowatt-hours per cycle, at maximum, average, and minimum test loads, respectively, for the Extra-Hot Wash/Cold Rinse cycle, as measured in sections 3.3.1 through 3.3.3 of this appendix.
              EhX, Eha, and Ehn, are reported electrical energy consumption values, in kilowatt-hours per cycle, at maximum, average, and minimum test loads, respectively, for the Hot Wash/Cold Rinse cycle, as measured in sections 3.4.1 through 3.4.3 of this appendix.
              EwX, Ewa, and Ewn, are reported electrical energy consumption values, in kilowatt-hours per cycle, at maximum, average, and minimum test loads, respectively, for the Warm Wash/Cold Rinse cycle, as measured in sections 3.5.1 through 3.5.3 of this appendix.
              EwwX, Ewwa, and Ewwn, are reported electrical energy consumption values, in kilowatt-hours per cycle, at maximum, average, and minimum test loads, respectively, for the Warm Wash/Warm Rinse cycle, as measured in sections 3.6.1 through 3.6.3 of this appendix.
              EcX, Eca, and Ecn, are reported electrical energy consumption values, in kilowatt-hours per cycle, at maximum, average, and minimum test loads, respectively, for the Cold Wash/Cold Rinse cycle, as measured in sections 3.7.1 through 3.7.3 of this appendix.
              TUFm, TUFh, TUFw, TUFww, and TUFc are defined in Table 4.1.1 of this appendix.

              4.1.6 Total weighted per-cycle machine electrical energy consumption. Calculate the total weighted per-cycle machine electrical energy consumption, MET, expressed in kilowatt-hours per cycle and defined as:

              MET = [MEmax × Fmax] + [MEavg × Favg] + [MEmin × Fmin]

              where:
              MEmax, MEavg, and MEmin are defined in section 4.1.5 of this appendix.
              Fmax, Favg, and Fmin are defined in Table 4.1.3 of this appendix.

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

              ETE = HET + MET

              where:

              MET = As defined in section 4.1.6 of this appendix.
              HET = As defined in section 4.1.3 of this appendix.

              4.2 Water consumption of clothes washers.
              4.2.1 Per-cycle water consumption for Extra-Hot Wash/Cold Rinse. Calculate the maximum, average, and minimum total water consumption, expressed in gallons per cycle (or liters per cycle), for the Extra-Hot Wash/Cold Rinse cycle and defined as:

              Qmmax = [HmX + CmX]
              Qmavg = [Hma + Cma]
              Qmmin = [Hmn + Cmn]

              where:

              HmX, CmX, Hma, Cma, Hmn, and Cmn are defined in section 3.3 of this appendix.

              4.2.2 Per-cycle water consumption for Hot Wash/Cold Rinse. Calculate the maximum, average, and minimum total water consumption, expressed in gallons per cycle (or liters per cycle), for the Hot Wash/Cold Rinse cycle and defined as:
              Qhmax = [HhX + ChX]
              Qhavg = [Hha + Cha]
              Qhmin = [Hhn + Chn]

              where:
              HhX, ChX, Hha, Cha, Hhn, and Chn are defined in section 3.4 of this appendix.

              4.2.3 Per-cycle water consumption for Warm Wash/Cold Rinse. Calculate the maximum, average, and minimum total water consumption, expressed in gallons per cycle (or liters per cycle), for the Warm Wash/Cold Rinse cycle and defined as:
              Qwmax = [HwX + CwX]
              Qwavg = [Hwa + Cwa]
              Qwmin = [Hwn + Cwn]

              where:

              HwX, CwX, Hwa, Cwa, Hwn, and Cwn are defined in section 3.5 of this appendix.

              4.2.4 Per-cycle water consumption for Warm Wash/Warm Rinse. Calculate the maximum, average, and minimum total water consumption, expressed in gallons per cycle (or liters per cycle), for the Warm Wash/Warm Rinse cycle and defined as:

              Qwwmax = [HwwX + CwwX]
              Qwwavg = [Hwwa + Cwwa]
              Qwwmin = [Hwwn + Cwwn]

              where:

              HwwX, CwwX, Hwwa, Cwwa, Hwwn, and Cwwn are defined in section 3.6 of this appendix.

              4.2.5 Per-cycle water consumption for Cold Wash/Cold Rinse. Calculate the maximum, average, and minimum total water consumption, expressed in gallons per cycle (or liters per cycle), for the Cold Wash/Cold Rinse cycle and defined as:

              Qcmax = [HcX + CcX]
              Qcavg = [Hca + Cca]
              Qcmin = [Hcn + Ccn]

              where:

              HcX, CcX, Hca, Cca, Hcn, and Ccn are defined in section 3.7 of this appendix.

              4.2.6 Total weighted per-cycle water consumption for Extra-Hot Wash/Cold Rinse. Calculate the total weighted per-cycle water consumption for the Extra-Hot Wash/Cold Rinse cycle, QmT, expressed in gallons per cycle (or liters per cycle) and defined as:

              QmT = [Qmmax × Fmax] + [Qmavg × Favg] + [Qmmin × Fmin]

              where:
              Qmmax, Qmavg, Qmmin are defined in section 4.2.1 of this appendix.
              Fmax, Favg, Fmin are defined in Table 4.1.3 of this appendix.

              4.2.7 Total weighted per-cycle water consumption for Hot Wash/Cold Rinse. Calculate the total weighted per-cycle water consumption for the Hot Wash/Cold Rinse cycle, QhT, expressed in gallons per cycle (or liters per cycle) and defined as:

              QhT = [Qhmax × Fmax] + [Qhavg × Favg] + [Qhmin × Fmin]

              where:

              Qhmax, Qhavg, Qhmin are defined in section 4.2.2 of this appendix.

              Fmax, Favg, Fmin are defined in Table 4.1.3 of this appendix.

              4.2.8 Total weighted per-cycle water consumption for Warm Wash/Cold Rinse. Calculate the total weighted per-cycle water consumption for the Warm Wash/Cold Rinse cycle, QwT, expressed in gallons per cycle (or liters per cycle) and defined as:

              QwT = [Qwmax × Fmax] + [Qwavg × Favg] + [Qwmin × Fmin]

              where:

              Qwmax, Qwavg, Qwmin are defined in section 4.2.3 of this appendix.
              Fmax, Favg, Fmin are defined in Table 4.1.3 of this appendix.

              4.2.9 Total weighted per-cycle water consumption for Warm Wash/Warm Rinse. Calculate the total weighted per-cycle water consumption for the Warm Wash/Warm Rinse cycle, QwwT, expressed in gallons per cycle (or liters per cycle) and defined as:

              QwwT = [Qwwmax × Fmax] + [Qwwavg × Favg] + [Qwwmin × Fmin]

              where:

              Qwwmax, Qwwavg, Qwwmin are defined in section 4.2.4 of this appendix.
              Fmax, Favg, Fmin are defined in Table 4.1.3 of this appendix.

              4.2.10 Total weighted per-cycle water consumption for Cold Wash/Cold Rinse. Calculate the total weighted per-cycle water consumption for the Cold Wash/Cold Rinse cycle, QcT, expressed in gallons per cycle (or liters per cycle) and defined as:

              QcT = [Qcmax × Fmax] + [Qcavg × Favg] + [Qcmin × Fmin]

              where:

              Qcmax, Qcavg, Qcmin are defined in section 4.2.5 of this appendix.
              Fmax, Favg, Fmin are defined in Table 4.1.3 of this appendix.

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

              QT = [QmT × TUFm] + [QhT × TUFh] + [QwT × TUFw] + [QwwT × TUFww] + [QcT × TUFc]

              where:

              QmT, QhT, QwT, QwwT, and QcT are defined in sections 4.2.6 through 4.2.10 of this appendix.
              TUFm, TUFh, TUFw, TUFww, and TUFc are defined in Table 4.1.1 of this appendix.

              4.2.12 Water factor. Calculate the water factor, WF, expressed in gallons per cycle per cubic foot (or liters per cycle per liter), as:

              WF = QcT/C

              where:

              QcT = As defined in section 4.2.10 of this appendix.
              C = As defined in section 3.1.7 of this appendix.

              4.2.13 Integrated water factor. Calculate the integrated water factor, IWF, expressed in gallons per cycle per cubic foot (or liters per cycle per liter), as:

              IWF = QT/C

              where:

              QT = As defined in section 4.2.11 of this appendix.
              C = As defined in section 3.1.7 of this appendix.

              4.3 Per-cycle energy consumption for removal of moisture from test load. Calculate the per-cycle energy required to remove the remaining moisture of the test load, DE, expressed in kilowatt-hours per cycle and defined as:
              DE = [(Fmax × Maximum test load weight) + (Favg × Average test load weight) + (Fmin × Minimum test load weight)] × (RMCcorr - 4%) × (DEF) × (DUF)

              where:

              Fmax, Favg, and Fmin are defined in Table 4.1.3 of this appendix.

              Maximum, average, and minimum test load weights are defined in Table 5.1 of this appendix.

              RMCcorr = As defined in section 3.8.2.6, 3.8.3.5, or 3.8.4.1 of this Appendix.
              DEF = Nominal energy required for a clothes dryer to remove moisture from clothes = 0.5 kWh/lb (1.1 kWh/kg).
              DUF = Dryer usage factor, percentage of washer loads dried in a clothes dryer = 0.91.
              4.4 Per-cycle combined low-power mode energy consumption. Calculate the per-cycle combined low-power mode energy consumption, ETLP, expressed in kilowatt-hours per cycle and defined as:

              ETLP = [(Pdefault × Sdefault) + (Plowest × Slowest)] × Kp/295

              where:

              Pdefault = Default inactive/off mode power, in watts, as measured in section 3.9.3 of this appendix.

              Plowest = Lowest-power inactive/off mode power, in watts, as measured in section 3.9.4 of this appendix for clothes washers with a switch, dial, or button that can be optionally selected by the end user to achieve a lower-power inactive/off mode than the default inactive/off mode; otherwise, Plowest=0.
              Sdefault= Annual hours in default inactive/off mode, defined as 8,465 if no optional lowest-power inactive/off mode is available; otherwise 4,232.5.
              Slowest= Annual hours in lowest-power inactive/off mode, defined as 0 if no optional lowest-power inactive/off mode is available; otherwise 4,232.5.
              Kp = Conversion factor of watt-hours to kilowatt-hours = 0.001.
              295 = Representative average number of clothes washer cycles in a year.
              8,465 = Combined annual hours for inactive and off mode.
              4,232.5 = One-half of the combined annual hours for inactive and off mode.

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

              MEF = C/(ETE + DE)

              where:

              C = As defined in section 3.1.7 of this appendix.
              ETE = As defined in section 4.1.7 of this appendix.
              DE = As defined in section 4.3 of this appendix.

              4.6 Integrated modified energy factor. Calculate the integrated modified energy factor, IMEF, expressed in cubic feet per kilowatt-hour per cycle (or liters per kilowatt-hour per cycle) and defined as:

              IMEF = C/(ETE + DE + ETLP)

              where:

              C = As defined in section 3.1.7 of this appendix.
              ETE = As defined in section 4.1.7 of this appendix.
              DE = As defined in section 4.3 of this appendix.
              ETLP = As defined in section 4.4 of this appendix.

              5. Test Loads

                Table 5.1—Test Load Sizes

                  Container volume
                  cu. ft.
                  ≥ <
                  liter
                  ≥ <
                  Minimum load
                  lb
                  kg
                  Maximum load
                  lb
                  kg
                  Average load
                  lb
                  kg

                  0.00-0.80
                  0.00-22.7
                  3.00
                  1.36
                  3.00
                  1.36
                  3.00
                  1.36

                  0.80-0.90
                  22.7-25.5
                  3.00
                  1.36
                  3.50
                  1.59
                  3.25
                  1.47

                  0.90-1.00
                  25.5-28.3
                  3.00
                  1.36
                  3.90
                  1.77
                  3.45
                  1.56

                  1.00-1.10
                  28.3-31.1
                  3.00
                  1.36
                  4.30
                  1.95
                  3.65
                  1.66

                  1.10-1.20
                  31.1-34.0
                  3.00
                  1.36
                  4.70
                  2.13
                  3.85
                  1.75

                  1.20-1.30
                  34.0-36.8
                  3.00
                  1.36
                  5.10
                  2.31
                  4.05
                  1.84

                  1.30-1.40
                  36.8-39.6
                  3.00
                  1.36
                  5.50
                  2.49
                  4.25
                  1.93

                  1.40-1.50
                  39.6-42.5
                  3.00
                  1.36
                  5.90
                  2.68
                  4.45
                  2.02

                  1.50-1.60
                  42.5-45.3
                  3.00
                  1.36
                  6.40
                  2.90
                  4.70
                  2.13

                  1.60-1.70
                  45.3-48.1
                  3.00
                  1.36
                  6.80
                  3.08
                  4.90
                  2.22

                  1.70-1.80
                  48.1-51.0
                  3.00
                  1.36
                  7.20
                  3.27
                  5.10
                  2.31

                  1.80-1.90
                  51.0-53.8
                  3.00
                  1.36
                  7.60
                  3.45
                  5.30
                  2.40

                  1.90-2.00
                  53.8-56.6
                  3.00
                  1.36
                  8.00
                  3.63
                  5.50
                  2.49

                  2.00-2.10
                  56.6-59.5
                  3.00
                  1.36
                  8.40
                  3.81
                  5.70
                  2.59

                  2.10-2.20
                  59.5-62.3
                  3.00
                  1.36
                  8.80
                  3.99
                  5.90
                  2.68

                  2.20-2.30
                  62.3-65.1
                  3.00
                  1.36
                  9.20
                  4.17
                  6.10
                  2.77

                  2.30-2.40
                  65.1-68.0
                  3.00
                  1.36
                  9.60
                  4.35
                  6.30
                  2.86

                  2.40-2.50
                  68.0-70.8
                  3.00
                  1.36
                  10.00
                  4.54
                  6.50
                  2.95

                  2.50-2.60
                  70.8-73.6
                  3.00
                  1.36
                  10.50
                  4.76
                  6.75
                  3.06

                  2.60-2.70
                  73.6-76.5
                  3.00
                  1.36
                  10.90
                  4.94
                  6.95
                  3.15

                  2.70-2.80
                  76.5-79.3
                  3.00
                  1.36
                  11.30
                  5.13
                  7.15
                  3.24

                  2.80-2.90
                  79.3-82.1
                  3.00
                  1.36
                  11.70
                  5.31
                  7.35
                  3.33

                  2.90-3.00
                  82.1-85.0
                  3.00
                  1.36
                  12.10
                  5.49
                  7.55
                  3.42

                  3.00-3.10
                  85.0-87.8
                  3.00
                  1.36
                  12.50
                  5.67
                  7.75
                  3.52

                  3.10-3.20
                  87.8-90.6
                  3.00
                  1.36
                  12.90
                  5.85
                  7.95
                  3.61

                  3.20-3.30
                  90.6-93.4
                  3.00
                  1.36
                  13.30
                  6.03
                  8.15
                  3.70

                  3.30-3.40
                  93.4-96.3
                  3.00
                  1.36
                  13.70
                  6.21
                  8.35
                  3.79

                  3.40-3.50
                  96.3-99.1
                  3.00
                  1.36
                  14.10
                  6.40
                  8.55
                  3.88

                  3.50-3.60
                  99.1-101.9
                  3.00
                  1.36
                  14.60
                  6.62
                  8.80
                  3.99

                  3.60-3.70
                  101.9-104.8
                  3.00
                  1.36
                  15.00
                  6.80
                  9.00
                  4.08

                  3.70-3.80
                  104.8-107.6
                  3.00
                  1.36
                  15.40
                  6.99
                  9.20
                  4.17

                  3.80-3.90
                  107.6-110.4
                  3.00
                  1.36
                  15.80
                  7.16
                  9.40
                  4.26

                  3.90-4.00
                  110.4-113.3
                  3.00
                  1.36
                  16.20
                  7.34
                  9.60
                  4.35

                  4.00-4.10
                  113.3-116.1
                  3.00
                  1.36
                  16.60
                  7.53
                  9.80
                  4.45

                  4.10-4.20
                  116.1-118.9
                  3.00
                  1.36
                  17.00
                  7.72
                  10.00
                  4.54

                  4.20-4.30
                  118.9-121.8
                  3.00
                  1.36
                  17.40
                  7.90
                  10.20
                  4.63

                  4.30-4.40
                  121.8-124.6
                  3.00
                  1.36
                  17.80
                  8.09
                  10.40
                  4.72

                  4.40-4.50
                  124.6-127.4
                  3.00
                  1.36
                  18.20
                  8.27
                  10.60
                  4.82

                  4.50-4.60
                  127.4-130.3
                  3.00
                  1.36
                  18.70
                  8.46
                  10.85
                  4.91

                  4.60-4.70
                  130.3-133.1
                  3.00
                  1.36
                  19.10
                  8.65
                  11.05
                  5.00

                  4.70-4.80
                  133.1-135.9
                  3.00
                  1.36
                  19.50
                  8.83
                  11.25
                  5.10

                  4.80-4.90
                  135.9-138.8
                  3.00
                  1.36
                  19.90
                  9.02
                  11.45
                  5.19

                  4.90-5.00
                  138.8-141.6
                  3.00
                  1.36
                  20.30
                  9.20
                  11.65
                  5.28

                  5.00-5.10
                  141.6-144.4
                  3.00
                  1.36
                  20.70
                  9.39
                  11.85
                  5.38

                  5.10-5.20
                  144.4-147.2
                  3.00
                  1.36
                  21.10
                  9.58
                  12.05
                  5.47

                  5.20-5.30
                  147.2-150.1
                  3.00
                  1.36
                  21.50
                  9.76
                  12.25
                  5.56

                  5.30-5.40
                  150.1-152.9
                  3.00
                  1.36
                  21.90
                  9.95
                  12.45
                  5.65

                  5.40-5.50
                  152.9-155.7
                  3.00
                  1.36
                  22.30
                  10.13
                  12.65
                  5.75

                  5.50-5.60
                  155.7-158.6
                  3.00
                  1.36
                  22.80
                  10.32
                  12.90
                  5.84

                  5.60-5.70
                  158.6-161.4
                  3.00
                  1.36
                  23.20
                  10.51
                  13.10
                  5.93

                  5.70-5.80
                  161.4-164.2
                  3.00
                  1.36
                  23.60
                  10.69
                  13.30
                  6.03

                  5.80-5.90
                  164.2-167.1
                  3.00
                  1.36
                  24.00
                  10.88
                  13.50
                  6.12

                  5.90-6.00
                  167.1-169.9
                  3.00
                  1.36
                  24.40
                  11.06
                  13.70
                  6.21

                  Notes: (1) All test load weights are bone dry weights.
                (2) Allowable tolerance on the test load weights is ±0.10 lbs (0.05 kg).

              6. Waivers and Field Testing
              6.1 Waivers and Field Testing for Nonconventional Clothes Washers. Manufacturers of nonconventional clothes washers, such as clothes washers with adaptive control systems, must submit a petition for waiver pursuant to 10 CFR 430.27 to establish an acceptable test procedure for that clothes washer if the washer cannot be tested pursuant to the DOE test procedure or the DOE test procedure yields results that are so unrepresentative of the clothes washer's true energy consumption characteristics as to provide materially inaccurate comparative data. In such cases, field testing may be appropriate for establishing an acceptable test procedure. The following are guidelines for field testing that may be used by manufacturers in support of petitions for waiver. These guidelines are not mandatory and the Department may determine that they do not apply to a particular model. Depending upon a manufacturer's approach for conducting field testing, additional data may be required. Manufacturers are encouraged to communicate with the Department prior to the commencement of field tests that may be used to support a petition for waiver. Section 6.3 of this appendix provides an example of field testing for a clothes washer with an adaptive water fill control system. Other features, such as the use of various spin speed selections, could be the subject of field tests.
              6.2 Nonconventional Wash System Energy Consumption Test. The field test may consist of a minimum of 10 of the nonconventional clothes washers (“test clothes washers”) and 10 clothes washers already being distributed in commerce (“base clothes washers”). The tests should include a minimum of 50 wash cycles per clothes washer. The test clothes washers and base clothes washers should be identical in construction except for the controls or systems being tested. Equal numbers of both the test clothes washer and the base clothes washer should be tested simultaneously in comparable settings to minimize seasonal or end-user laundering conditions or variations. The clothes washers should be monitored in such a way as to accurately record the average total energy and water consumption per cycle, including water heating energy when electrically heated water is used, and the energy required to remove the remaining moisture of the test load. Standby and off mode energy consumption should be measured according to section 4.4 of this test procedure. The field test results should be used to determine the best method to correlate the rating of the test clothes washer to the rating of the base clothes washer.
              6.3 Adaptive water fill control system field test. (1) Section 3.2.6.3 of this appendix defines the test method for measuring energy consumption for clothes washers that incorporate both adaptive (automatic) and alternate manual water fill control systems. Energy consumption calculated by the method defined in section 3.2.6.3 of this appendix assumes the adaptive cycle will be used 50 percent of the time. This section can be used to develop field test data in support of a petition for waiver when it is believed that the adaptive cycle will be used more than 50 percent of the time. The field test sample size should be a minimum of 10 test clothes washers. The test clothes washers should be representative of the design, construction, and control system that will be placed in commerce. The duration of field testing in the user's house should be a minimum of 50 wash cycles, for each unit. No special instructions as to cycle selection or product usage should be given to the field test participants, other than inclusion of the product literature pack that would be shipped with all units, and instructions regarding filling out data collection forms, use of data collection equipment, or basic procedural methods. Prior to the test clothes washers being installed in the field test locations, baseline data should be developed for all field test units by conducting laboratory tests as defined by section 1 through section 5 of this appendix to determine the energy consumption, water consumption, and remaining moisture content values. The following data should be measured and recorded for each wash load during the test period: wash cycle selected, the mode of the clothes washer (adaptive or manual), clothes load dry weight (measured after the clothes washer and clothes dryer cycles are completed) in pounds, and type of articles in the clothes load (e.g., cottons, linens, permanent press). The wash cycles used in calculating the in-home percentage split between adaptive and manual cycle usage should be only those wash cycles that conform to the definition of the energy test cycle.
              Calculate:

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

              The percentage weighting factors:

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

              (2) Energy consumption (HET, MET, and DE) and water consumption (QT) values calculated in section 4 of this appendix for the manual and adaptive modes should be combined using Pa and Pm as the weighting factors.
              [80 FR 46767, Aug. 5, 2015; 80 FR 50757, Aug. 21, 2015, as amended at 80 FR 62443, Oct. 16, 2015]

              Pt. 430, Subpt. B, App. J3
              Appendix J3 to Subpart B of Part 430—Uniform Test Method for Measuring the Moisture Absorption and Retention Characteristics of New Energy Test Cloth Lots

                Note:
                DOE maintains an historical record of the standard extractor test data and final correction curve coefficients for each approved lot of energy test cloth. These can be accessed through DOE's Web page for standards and test procedures for residential clothes washers at DOE's Building Technologies Office Appliance and Equipment Standards Web site.

              1. Objective
              The following procedure is used to evaluate the moisture absorption and retention characteristics of a new lot of test cloth by measuring the remaining moisture content (RMC) in a standard extractor at a specified set of conditions. The results are used to develop a set of coefficients that correlate the measured RMC values of the new test cloth lot with a set of standard RMC values established as an historical reference point. These correction coefficients are applied to the RMC measurements performed during testing according to appendix J1 or appendix J2 to 10 CFR part 430 subpart B, ensuring that the final corrected RMC measurement for a clothes washer remains independent of the test cloth lot used for testing.
              2. Definitions
              2.1 AHAM means the Association of Home Appliance Manufacturers.
              2.2 Bone-dry means a condition of a load of test cloth that has been dried in a dryer at maximum temperature for a minimum of 10 minutes, removed and weighed before cool down, and then dried again for 10 minute periods until the final weight change of the load is 1 percent or less.
              2.3 Lot means a quantity of cloth that has been manufactured with the same batches of cotton and polyester during one continuous process.
              3. Testing Conditions
              3.1 Table 3.1 of this appendix provides the matrix of test conditions. In the table, “g Force” represents units of gravitational acceleration. When this matrix is repeated 3 times, a total of 60 extractor RMC test runs are required. For the purpose of the extractor RMC test, the test cloths may be used for up to 60 test runs (after preconditioning as specified in appendix J1 or appendix J2).

                Table 3.1—Matrix of Extractor RMC Test Conditions

                  “g Force”
                  Warm soak
                  15 min. spin
                  4 min. spin
                  Cold soak
                  15 min. spin
                  4 min. spin

                  100

                  200

                  350

                  500

                  650

              3.2 Perform the standard extractor RMC tests using a North Star Engineered Products Inc. (formerly Bock) Model 215 extractor (having a basket diameter of 20 inches, height of 11.5 inches, and volume of 2.09 ft3), with a variable speed drive (North Star Engineered Products, P.O. Box 5127, Toledo, OH 43611) or an equivalent extractor with same basket design (i.e., diameter, height, volume, and hole configuration) and variable speed drive. Table 3.2 shows the extractor spin speed, in revolutions per minute (RPM), that must be used to attain each required g-force level.

                  Table 3.2—Extractor Spin Speeds for Each Test Condition

                  “g Force”
                  RPM

                  100
                  594 ± 1

                  200
                  840 ± 1

                  350
                  1,111 ± 1

                  500
                  1,328 ± 1

                  650
                  1,514 ± 1

              3.3 Bone dryer temperature. The dryer used for bone drying must heat the test cloth and energy stuffer cloths above 210 °F (99 °C).
              4. Test Loads
              4.1  Preconditioning. New test cloths, including energy test cloths and energy stuffer cloths, must be pre-conditioned in a clothes washer in the following manner:
              Perform five complete wash-rinse-spin cycles, the first two with current AHAM Standard detergent Formula 3 and the last three without detergent. Place the test cloth in a clothes washer set at the maximum water level. Wash the load for ten minutes in soft water (17 ppm hardness or less) using 27.0 grams + 4.0 grams per pound of cloth load of AHAM Standard detergent Formula 3. The wash temperature is to be controlled to 135 °F ± 5 °F (57.2 °C ± 2.8 °C) and the rinse temperature is to be controlled to 60 °F ± 5; °F (15.6 °C ± 2.8 °C). Repeat the cycle with detergent and then repeat the cycle three additional times without detergent, bone drying the load between cycles (for a total of five complete wash-rinse-spin cycles).
              4.2  Test load composition. Test loads must be comprised of randomly selected cloth at the beginning, middle and end of a lot.
              4.3  Test load size. Use a test load size of 8.4 lbs. Two test loads may be used for standard extractor RMC tests, with each load used for half of the total number of required tests.
              5. Test Measurements
              5.1 Dry the test cloth until it is “bone-dry” according to the definition in section 2.2 of this appendix. Record the bone-dry weight of the test load (WI).
              5.2 Prepare the test load for soak by grouping four test cloths into loose bundles. Create the bundles by hanging four cloths vertically from one corner and loosely wrapping the test cloth onto itself to form the bundle. Bundles should be wrapped loosely to ensure consistency of water extraction. Then place the bundles into the water to soak. Eight to nine bundles will be formed depending on the test load. The ninth bundle may not equal four cloths but can incorporate energy stuffer cloths to help offset the size difference.
              5.3 Soak the test load for 20 minutes in 10 gallons of soft (<17 ppm) water. The entire test load must be submerged. Maintain a water temperature of 100 °F ± 5 °F (37.8 °C ± 2.8 °C) at all times between the start and end of the soak.
              5.4 Remove the test load and allow each of the test cloth bundles to drain over the water bath for a maximum of 5 seconds.
              5.5 Manually place the test cloth bundles in the basket of the extractor, distributing them evenly by eye. The draining and loading process must take no longer than 1 minute. Spin the load at a fixed speed corresponding to the intended centripetal acceleration level (measured in units of the acceleration of gravity, g) ± 1g for the intended time period ± 5 seconds. Begin the timer when the extractor meets the required spin speed for each test.
              5.6 Record the weight of the test load immediately after the completion of the extractor spin cycle (WC).
              5.7 Calculate the remaining moisture content of the test load as (WC-WI)/WI.
              5.8 Draining the soak tub is not necessary if the water bath is corrected for water level and temperature before the next extraction.
              5.9 Drying the test load in between extraction runs is not necessary. However, the bone dry weight must be checked after every 12 extraction runs to make sure the bone dry weight is within tolerance (8.4 ± 0.1 lb).

              5.10 The test load must be soaked and extracted once following bone drying, before continuing with the remaining extraction runs. Perform this extraction at the same spin speed used for the extraction run prior to bone drying, for a time period of 4 minutes. Either warm or cold soak temperature may be used.
              5.11 Measure the remaining moisture content of the test load at five g levels: 100 g, 200 g, 350 g, 500 g, and 650 g, using two different spin times at each g level: 4 minutes and 15 minutes.
              5.12 Repeat sections 5.1 through 5.11 of this appendix using soft (<17 ppm) water at 60 °F±5 °F (15.6 °C ± 2.8 °C).
              6. Calculation of RMC Correction Curve

              6.1 Average the values of 3 test runs, and fill in Table 3.1 of this appendix. Perform a linear least-squares fit to determine coefficients A and B such that the standard RMC values shown in Table 6.1 of this appendix (RMCstandard) are linearly related to the RMC values measured in section 5 of this appendix (RMCcloth):

              RMCstandard ~ A * RMCcloth + B

              where A and B are coefficients of the linear least-squares fit.

                Table 6.1—Standard RMC Values (RMCstandard)

                  “g Force”
                  RMC Percentage
                  Warm soak
                  15 min. spin(percent)

                  4 min. spin(percent)

                  Cold soak
                  15 min. spin(percent)

                  4 min. spin(percent)

                  100
                  45.9
                  49.9
                  49.7
                  52.8

                  200
                  35.7
                  40.4
                  37.9
                  43.1

                  350
                  29.6
                  33.1
                  30.7
                  35.8

                  500
                  24.2
                  28.7
                  25.5
                  30.0

                  650
                  23.0
                  26.4
                  24.1
                  28.0

              6.2 Perform an analysis of variance with replication test using two factors, spin speed and lot, to check the interaction of speed and lot. Use the values from Table 3.1 and Table 6.1 of this appendix in the calculation. The “P” value of the F-statistic for interaction between spin speed and lot in the variance analysis must be greater than or equal to 0.1. If the “P” value is less than 0.1, the test cloth is unacceptable. “P” is a theoretically based measure of interaction based on an analysis of variance.
              7. Application of the RMC Correction Curve

              7.1 Using the coefficients A and B calculated in section 6.1 of this appendix:

              RMCcorr = A × RMC + B

              7.2 Apply this RMC correction curve to measured RMC values in appendix J1 and appendix J2.
              [80 FR 46786, Aug. 5, 2015]

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

              Pt. 430, Subpt. B, App. M
              Appendix M to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Central Air Conditioners and Heat Pumps

                Note:
                Prior to July 5, 2017, any representations, including compliance certifications, made with respect to the energy use, power, or efficiency of central air conditioners and central air conditioning heat pumps must be based on the results of testing pursuant to either this appendix or the procedures in Appendix M as it appeared at 10 CFR part 430, subpart B, Appendix M, in the 10 CFR parts 200 to 499 edition revised as of January 1, 2017. Any representations made with respect to the energy use or efficiency of such central air conditioners and central air conditioning heat pumps must be in accordance with whichever version is selected.

              On or after July 5, 2017 and prior to January 1, 2023, any representations, including compliance certifications, made with respect to the energy use, power, or efficiency of central air conditioners and central air conditioning heat pumps must be based on the results of testing pursuant to this appendix.
              On or after January 1, 2023, any representations, including compliance certifications, made with respect to the energy use, power, or efficiency of central air conditioners and central air conditioning heat pumps must be based on the results of testing pursuant to appendix M1 of this subpart.
              1. Scope and Definitions
              1.1 Scope

              This test procedure provides a method of determining SEER, EER, HSPF and PW,OFF for central air conditioners and central air conditioning heat pumps including the following categories:

              (a) Split-system air conditioners, including single-split, multi-head mini-split, multi-split (including VRF), and multi-circuit systems

              (b) Split-system heat pumps, including single-split, multi-head mini-split, multi-split (including VRF), and multi-circuit systems
              (c) Single-package air conditioners
              (d) Single-package heat pumps
              (e) Small-duct, high-velocity systems (including VRF)
              (f) Space-constrained products—air conditioners
              (g) Space-constrained products—heat pumps

              For purposes of this appendix, the Department of Energy incorporates by reference specific sections of several industry standards, as listed in § 430.3. In cases where there is a conflict, the language of the test procedure in this appendix takes precedence over the incorporated standards.
              All section references refer to sections within this appendix unless otherwise stated.
              1.2 Definitions

                Airflow-control settings are programmed or wired control system configurations that control a fan to achieve discrete, differing ranges of airflow—often designated for performing a specific function (e.g., cooling, heating, or constant circulation)—without manual adjustment other than interaction with a user-operable control (i.e., a thermostat) that meets the manufacturer specifications for installed-use. For the purposes of this appendix, manufacturer specifications for installed-use are those found in the product literature shipped with the unit.

                Air sampling device is an assembly consisting of a manifold with several branch tubes with multiple sampling holes that draws an air sample from a critical location from the unit under test (e.g. indoor air inlet, indoor air outlet, outdoor air inlet, etc.).

                Airflow prevention device denotes a device that prevents airflow via natural convection by mechanical means, such as an air damper box, or by means of changes in duct height, such as an upturned duct.

                Aspirating psychrometer is a piece of equipment with a monitored airflow section that draws uniform airflow through the measurement section and has probes for measurement of air temperature and humidity.

                Blower coil indoor unit means an indoor unit either with an indoor blower housed with the coil or with a separate designated air mover such as a furnace or a modular blower (as defined in appendix AA to the subpart).

                Blower coil system refers to a split system that includes one or more blower coil indoor units.

                Cased coil means a coil-only indoor unit with external cabinetry.

                Coefficient of Performance (COP) means the ratio of the average rate of space heating delivered to the average rate of electrical energy consumed by the heat pump. These rate quantities must be determined from a single test or, if derived via interpolation, must be determined at a single set of operating conditions. COP is a dimensionless quantity. When determined for a ducted coil-only system, COP must include the sections 3.7 and 3.9.1 of this appendix: Default values for the heat output and power input of a fan motor.

                Coil-only indoor unit means an indoor unit that is distributed in commerce without an indoor blower or separate designated air mover. A coil-only indoor unit installed in the field relies on a separately-installed furnace or a modular blower for indoor air movement. Coil-only system refers to a system that includes only (one or more) coil-only indoor units.

                Condensing unit removes the heat absorbed by the refrigerant to transfer it to the outside environment and consists of an outdoor coil, compressor(s), and air moving device.

                Constant-air-volume-rate indoor blower means a fan that varies its operating speed to provide a fixed air-volume-rate from a ducted system.

                Continuously recorded, when referring to a dry bulb measurement, dry bulb temperature used for test room control, wet bulb temperature, dew point temperature, or relative humidity measurements, means that the specified value must be sampled at regular intervals that are equal to or less than 15 seconds.

                Cooling load factor (CLF) means the ratio having as its numerator the total cooling delivered during a cyclic operating interval consisting of one ON period and one OFF period, and as its denominator the total cooling that would be delivered, given the same ambient conditions, had the unit operated continuously at its steady-state, space-cooling capacity for the same total time (ON + OFF) interval.

                Crankcase heater means any electrically powered device or mechanism for intentionally generating heat within and/or around the compressor sump volume. Crankcase heater control may be achieved using a timer or may be based on a change in temperature or some other measurable parameter, such that the crankcase heater is not required to operate continuously. A crankcase heater without controls operates continuously when the compressor is not operating.

                Cyclic Test means a test where the unit's compressor is cycled on and off for specific time intervals. A cyclic test provides half the information needed to calculate a degradation coefficient.

                Damper box means a short section of duct having an air damper that meets the performance requirements of section 2.5.7 of this appendix.

                Degradation coefficient (C
                D
                ) means a parameter used in calculating the part load factor. The degradation coefficient for cooling is denoted by CD

                c. The degradation coefficient for heating is denoted by CD
                h.

                Demand-defrost control system means a system that defrosts the heat pump outdoor coil-only when measuring a predetermined degradation of performance. The heat pump's controls either:

              (1) Monitor one or more parameters that always vary with the amount of frost accumulated on the outdoor coil (e.g., coil to air differential temperature, coil differential air pressure, outdoor fan power or current, optical sensors) at least once for every ten minutes of compressor ON-time when space heating or

              (2) operate as a feedback system that measures the length of the defrost period and adjusts defrost frequency accordingly. In all cases, when the frost parameter(s) reaches a predetermined value, the system initiates a defrost. In a demand-defrost control system, defrosts are terminated based on monitoring a parameter(s) that indicates that frost has been eliminated from the coil. (Note: Systems that vary defrost intervals according to outdoor dry-bulb temperature are not demand-defrost systems.) A demand-defrost control system, which otherwise meets the above requirements, may allow time-initiated defrosts if, and only if, such defrosts occur after 6 hours of compressor operating time.

                Design heating requirement (DHR) predicts the space heating load of a residence when subjected to outdoor design conditions. Estimates for the minimum and maximum DHR are provided for six generalized U.S. climatic regions in section 4.2 of this appendix.

                Dry-coil tests are cooling mode tests where the wet-bulb temperature of the air supplied to the indoor unit is maintained low enough that no condensate forms on the evaporator coil.

                Ducted system means an air conditioner or heat pump that is designed to be permanently installed equipment and delivers conditioned air to the indoor space through a duct(s). The air conditioner or heat pump may be either a split-system or a single-package unit.

                Energy efficiency ratio (EER) means the ratio of the average rate of space cooling delivered to the average rate of electrical energy consumed by the air conditioner or heat pump. Determine these rate quantities from a single test or, if derived via interpolation, determine at a single set of operating conditions. EER is expressed in units of

                ER05JA17.305

              When determined for a ducted coil-only system, EER must include, from this appendix, the section 3.3 and 3.5.1 default values for the heat output and power input of a fan motor.

                Evaporator coil means an assembly that absorbs heat from an enclosed space and transfers the heat to a refrigerant.

                Heat pump means a kind of central air conditioner that utilizes an indoor conditioning coil, compressor, and refrigerant-to-outdoor air heat exchanger to provide air heating, and may also provide air cooling, air dehumidifying, air humidifying, air circulating, and air cleaning.

                Heat pump having a heat comfort controller means a heat pump with controls that can regulate the operation of the electric resistance elements to assure that the air temperature leaving the indoor section does not fall below a specified temperature. Heat pumps that actively regulate the rate of electric resistance heating when operating below the balance point (as the result of a second stage call from the thermostat) but do not operate to maintain a minimum delivery temperature are not considered as having a heat comfort controller.

                Heating load factor (HLF) means the ratio having as its numerator the total heating delivered during a cyclic operating interval consisting of one ON period and one OFF period, and its denominator the heating capacity measured at the same test conditions used for the cyclic test, multiplied by the total time interval (ON plus OFF) of the cyclic-test.

                Heating season means the months of the year that require heating, e.g., typically, and roughly, October through April.

                Heating seasonal performance factor (HSPF) means the total space heating required during the heating season, expressed in Btu, divided by the total electrical energy consumed by the heat pump system during the same season, expressed in watt-hours. The HSPF used to evaluate compliance with 10 CFR 430.32(c) is based on Region IV and the sampling plan stated in 10 CFR 429.16(a). HSPF is determined in accordance with appendix M.

                Independent coil manufacturer (ICM) means a manufacturer that manufactures indoor units but does not manufacture single-package units or outdoor units.

                Indoor unit means a separate assembly of a split system that includes—

              (1) An arrangement of refrigerant-to-air heat transfer coil(s) for transfer of heat between the refrigerant and the indoor air,
              (2) A condensate drain pan, and may or may not include
              (3) Sheet metal or plastic parts not part of external cabinetry to direct/route airflow over the coil(s),
              (4) A cooling mode expansion device,
              (5) External cabinetry, and
              (6) An integrated indoor blower (i.e. a device to move air including its associated motor). A separate designated air mover that may be a furnace or a modular blower (as defined in appendix AA to the subpart) may be considered to be part of the indoor unit. A service coil is not an indoor unit.

                Multi-head mini-split system means a split system that has one outdoor unit and that has two or more indoor units connected with a single refrigeration circuit. The indoor units operate in unison in response to a single indoor thermostat.

                Multiple-circuit (or multi-circuit) system means a split system that has one outdoor unit and that has two or more indoor units installed on two or more refrigeration circuits such that each refrigeration circuit serves a compressor and one and only one indoor unit, and refrigerant is not shared from circuit to circuit.

                Multiple-split (or multi-split) system means a split system that has one outdoor unit and two or more coil-only indoor units and/or blower coil indoor units connected with a single refrigerant circuit. The indoor units operate independently and can condition multiple zones in response to at least two indoor thermostats or temperature sensors. The outdoor unit operates in response to independent operation of the indoor units based on control input of multiple indoor thermostats or temperature sensors, and/or based on refrigeration circuit sensor input (e.g., suction pressure).

                Nominal capacity means the capacity that is claimed by the manufacturer on the product name plate. Nominal cooling capacity is approximate to the air conditioner cooling capacity tested at A or A2 condition. Nominal heating capacity is approximate to the heat pump heating capacity tested in H12 test (or the optional H1N test).

                Non-ducted indoor unit means an indoor unit that is designed to be permanently installed, mounted on room walls and/or ceilings, and that directly heats or cools air within the conditioned space.

                Normalized Gross Indoor Fin Surface (NGIFS) means the gross fin surface area of the indoor unit coil divided by the cooling capacity measured for the A or A2 Test, whichever applies.

                Off-mode power consumption means the power consumption when the unit is connected to its main power source but is neither providing cooling nor heating to the building it serves.

                Off-mode season means, for central air conditioners other than heat pumps, the shoulder season and the entire heating season; and for heat pumps, the shoulder season only.

                Outdoor unit means a separate assembly of a split system that transfers heat between the refrigerant and the outdoor air, and consists of an outdoor coil, compressor(s), an air moving device, and in addition for heat pumps, may include a heating mode expansion device, reversing valve, and/or defrost controls.

                Outdoor unit manufacturer (OUM) means a manufacturer of single-package units, outdoor units, and/or both indoor units and outdoor units.

                Part-load factor (PLF) means the ratio of the cyclic EER (or COP for heating) to the steady-state EER (or COP), where both EERs (or COPs) are determined based on operation at the same ambient conditions.

                Seasonal energy efficiency ratio (SEER) means the total heat removed from the conditioned space during the annual cooling season, expressed in Btu's, divided by the total electrical energy consumed by the central air conditioner or heat pump during the same season, expressed in watt-hours. SEER is determined in accordance with appendix M.

                Service coil means an arrangement of refrigerant-to-air heat transfer coil(s), condensate drain pan, sheet metal or plastic parts to direct/route airflow over the coil(s), which may or may not include external cabinetry and/or a cooling mode expansion device, distributed in commerce solely for replacing an uncased coil or cased coil that has already been placed into service, and that has been labeled “for indoor coil replacement only” on the nameplate and in manufacturer technical and product literature. The model number for any service coil must include some mechanism (e.g., an additional letter or number) for differentiating a service coil from a coil intended for an indoor unit.

                Shoulder season means the months of the year in between those months that require cooling and those months that require heating, e.g., typically, and roughly, April through May, and September through October.

                Single-package unit means any central air conditioner or heat pump that has all major assemblies enclosed in one cabinet.

                Single-split system means a split system that has one outdoor unit and one indoor unit connected with a single refrigeration circuit. Small-duct, high-velocity system means a split system for which all indoor units are blower coil indoor units that produce at least 1.2 inches (of water column) of external static pressure when operated at the full-load air volume rate certified by the manufacturer of at least 220 scfm per rated ton of cooling.

                Split system means any air conditioner or heat pump that has at least two separate assemblies that are connected with refrigerant piping when installed. One of these assemblies includes an indoor coil that exchanges heat with the indoor air to provide heating or cooling, while one of the others includes an outdoor coil that exchanges heat with the outdoor air. Split systems may be either blower coil systems or coil-only systems.

                Standard Air means dry air having a mass density of 0.075 lb/ft3.

                Steady-state test means a test where the test conditions are regulated to remain as constant as possible while the unit operates continuously in the same mode.

                Temperature bin means the 5 °F increments that are used to partition the outdoor dry-bulb temperature ranges of the cooling (≥65 °F) and heating (<65 °F) seasons.

                Test condition tolerance means the maximum permissible difference between the average value of the measured test parameter and the specified test condition.

                Test operating tolerance means the maximum permissible range that a measurement may vary over the specified test interval. The difference between the maximum and minimum sampled values must be less than or equal to the specified test operating tolerance.

                Tested combination means a multi-head mini-split, multi-split, or multi-circuit system having the following features:
              (1) The system consists of one outdoor unit with one or more compressors matched with between two and five indoor units;
              (2) The indoor units must:
              (i) Collectively, have a nominal cooling capacity greater than or equal to 95 percent and less than or equal to 105 percent of the nominal cooling capacity of the outdoor unit;
              (ii) Each represent the highest sales volume model family, if this is possible while meeting all the requirements of this section. If this is not possible, one or more of the indoor units may represent another indoor model family in order that all the other requirements of this section are met.
              (iii) Individually not have a nominal cooling capacity greater than 50 percent of the nominal cooling capacity of the outdoor unit, unless the nominal cooling capacity of the outdoor unit is 24,000 Btu/h or less;
              (iv) Operate at fan speeds consistent with manufacturer's specifications; and
              (v) All be subject to the same minimum external static pressure requirement while able to produce the same external static pressure at the exit of each outlet plenum when connected in a manifold configuration as required by the test procedure.
              (3) Where referenced, “nominal cooling capacity” means, for indoor units, the highest cooling capacity listed in published product literature for 95 °F outdoor dry bulb temperature and 80 °F dry bulb, 67 °F wet bulb indoor conditions, and for outdoor units, the lowest cooling capacity listed in published product literature for these conditions. If incomplete or no operating conditions are published, the highest (for indoor units) or lowest (for outdoor units) such cooling capacity available for sale must be used.

                Time-adaptive defrost control system is a demand-defrost control system that measures the length of the prior defrost period(s) and uses that information to automatically determine when to initiate the next defrost cycle.

                Time-temperature defrost control systems initiate or evaluate initiating a defrost cycle only when a predetermined cumulative compressor ON-time is obtained. This predetermined ON-time is generally a fixed value (e.g., 30, 45, 90 minutes) although it may vary based on the measured outdoor dry-bulb temperature. The ON-time counter accumulates if controller measurements (e.g., outdoor temperature, evaporator temperature) indicate that frost formation conditions are present, and it is reset/remains at zero at all other times. In one application of the control scheme, a defrost is initiated whenever the counter time equals the predetermined ON-time. The counter is reset when the defrost cycle is completed.

              In a second application of the control scheme, one or more parameters are measured (e.g., air and/or refrigerant temperatures) at the predetermined, cumulative, compressor ON-time. A defrost is initiated only if the measured parameter(s) falls within a predetermined range. The ON-time counter is reset regardless of whether or not a defrost is initiated. If systems of this second type use cumulative ON-time intervals of 10 minutes or less, then the heat pump may qualify as having a demand defrost control system (see definition).

                Triple-capacity, northern heat pump means a heat pump that provides two stages of cooling and three stages of heating. The two common stages for both the cooling and heating modes are the low capacity stage and the high capacity stage. The additional heating mode stage is the booster capacity stage, which offers the highest heating capacity output for a given set of ambient operating conditions.

                Triple-split system means a split system that is composed of three separate assemblies: An outdoor fan coil section, a blower coil indoor unit, and an indoor compressor section.

                Two-capacity (or two-stage) compressor system means a central air conditioner or heat pump that has a compressor or a group of compressors operating with only two stages of capacity. For such systems, low capacity means the compressor(s) operating at low stage, or at low load test conditions. The low compressor stage that operates for heating mode tests may be the same or different from the low compressor stage that operates for cooling mode tests. For such systems, high capacity means the compressor(s) operating at high stage, or at full load test conditions.

                Two-capacity, northern heat pump means a heat pump that has a factory or field-selectable lock-out feature to prevent space cooling at high-capacity. Two-capacity heat pumps having this feature will typically have two sets of ratings, one with the feature disabled and one with the feature enabled. The heat pump is a two-capacity northern heat pump only when this feature is enabled at all times. The certified indoor coil model number must reflect whether the ratings pertain to the lockout enabled option via the inclusion of an extra identifier, such as “+LO”. When testing as a two-capacity, northern heat pump, the lockout feature must remain enabled for all tests.

                Uncased coil means a coil-only indoor unit without external cabinetry.

                Variable refrigerant flow (VRF) system means a multi-split system with at least three compressor capacity stages, distributing refrigerant through a piping network to multiple indoor blower coil units each capable of individual zone temperature control, through proprietary zone temperature control devices and a common communications network. Note: Single-phase VRF systems less than 65,000 Btu/h are central air conditioners and central air conditioning heat pumps.

                Variable-speed compressor system means a central air conditioner or heat pump that has a compressor that uses a variable-speed drive to vary the compressor speed to achieve variable capacities.

                Wet-coil test means a test conducted at test conditions that typically cause water vapor to condense on the test unit evaporator coil.
              2. Testing Overview and Conditions
              (A) Test VRF systems using AHRI 1230-2010 (incorporated by reference, see § 430.3) and appendix M. Where AHRI 1230-2010 refers to the appendix C therein substitute the provisions of this appendix. In cases where there is a conflict, the language of the test procedure in this appendix takes precedence over AHRI 1230-2010.
              For definitions use section 1 of appendix M and section 3 of AHRI 1230-2010 (incorporated by reference, see § 430.3). For rounding requirements, refer to § 430.23(m). For determination of certified ratings, refer to § 429.16 of this chapter.
              For test room requirements, refer to section 2.1 of this appendix. For test unit installation requirements refer to sections 2.2.a, 2.2.b, 2.2.c, 2.2.1, 2.2.2, 2.2.3(a), 2.2.3(c), 2.2.4, 2.2.5, and 2.4 to 2.12 of this appendix, and sections 5.1.3 and 5.1.4 of AHRI 1230-2010. The “manufacturer's published instructions,” as stated in section 8.2 of ANSI/ASHRAE 37-2009 (incorporated by reference, see § 430.3) and “manufacturer's installation instructions” discussed in this appendix mean the manufacturer's installation instructions that come packaged with or appear in the labels applied to the unit. This does not include online manuals. Installation instructions that appear in the labels applied to the unit take precedence over installation instructions that are shipped with the unit.
              For general requirements for the test procedure, refer to section 3.1 of this appendix, except for sections 3.1.3 and 3.1.4, which are requirements for indoor air volume and outdoor air volume. For indoor air volume and outdoor air volume requirements, refer instead to section 6.1.5 (except where section 6.1.5 refers to Table 8, refer instead to Table 4 of this appendix) and 6.1.6 of AHRI 1230-2010.
              For the test method, refer to sections 3.3 to 3.5 and 3.7 to 3.13 of this appendix. For cooling mode and heating mode test conditions, refer to section 6.2 of AHRI 1230-2010. For calculations of seasonal performance descriptors, refer to section 4 of this appendix.
              (B) For systems other than VRF, only a subset of the sections listed in this test procedure apply when testing and determining represented values for a particular unit. Table 1 shows the sections of the test procedure that apply to each system. This table is meant to assist manufacturers in finding the appropriate sections of the test procedure; the appendix sections rather than the table provide the specific requirements for testing, and given the varied nature of available units, manufacturers are responsible for determining which sections apply to each unit tested based on the unit's characteristics. To use this table, first refer to the sections listed under “all units”. Then refer to additional requirements based on:
              (1) System configuration(s),
              (2) The compressor staging or modulation capability, and
              (3) Any special features.
              Testing requirements for space-constrained products do not differ from similar equipment that is not space-constrained and thus are not listed separately in this table. Air conditioners and heat pumps are not listed separately in this table, but heating procedures and calculations apply only to heat pumps.

                ER05JA17.004

                ER05JA17.005

                ER05JA17.006

              2.1 Test Room Requirements

              a. Test using two side-by-side rooms: An indoor test room and an outdoor test room. For multiple-split, single-zone-multi-coil or multi-circuit air conditioners and heat pumps, however, use as many indoor test rooms as needed to accommodate the total number of indoor units. These rooms must comply with the requirements specified in sections 8.1.2 and 8.1.3 of ANSI/ASHRAE 37-2009 (incorporated by reference, see § 430.3).
              b. Inside these test rooms, use artificial loads during cyclic tests and frost accumulation tests, if needed, to produce stabilized room air temperatures. For one room, select an electric resistance heater(s) having a heating capacity that is approximately equal to the heating capacity of the test unit's condenser. For the second room, select a heater(s) having a capacity that is close to the sensible cooling capacity of the test unit's evaporator. Cycle the heater located in the same room as the test unit evaporator coil ON and OFF when the test unit cycles ON and OFF. Cycle the heater located in the same room as the test unit condensing coil ON and OFF when the test unit cycles OFF and ON.
              2.2 Test Unit Installation Requirements
              a. Install the unit according to section 8.2 of ANSI/ASHRAE 37-2009 (incorporated by reference, see § 430.3), subject to the following additional requirements:
              (1) When testing split systems, follow the requirements given in section 6.1.3.5 of AHRI 210/240-2008 (incorporated by reference, see § 430.3). For the vapor refrigerant line(s), use the insulation included with the unit; if no insulation is provided, use insulation meeting the specifications for the insulation in the installation instructions included with the unit by the manufacturer; if no insulation is included with the unit and the installation instructions do not contain provisions for insulating the line(s), fully insulate the vapor refrigerant line(s) with vapor proof insulation having an inside diameter that matches the refrigerant tubing and a nominal thickness of at least 0.5 inches. For the liquid refrigerant line(s), use the insulation included with the unit; if no insulation is provided, use insulation meeting the specifications for the insulation in the installation instructions included with the unit by the manufacturer; if no insulation is included with the unit and the installation instructions do not contain provisions for insulating the line(s), leave the liquid refrigerant line(s) exposed to the air for air conditioners and heat pumps that heat and cool; or, for heating-only heat pumps, insulate the liquid refrigerant line(s) with insulation having an inside diameter that matches the refrigerant tubing and a nominal thickness of at least 0.5 inches. However, these requirements do not take priority over instructions for application of insulation for the purpose of improving refrigerant temperature measurement accuracy as required by sections 2.10.2 and 2.10.3 of this appendix. Insulation must be the same for the cooling and heating tests.
              (2) When testing split systems, if the indoor unit does not ship with a cooling mode expansion device, test the system using the device as specified in the installation instructions provided with the indoor unit. If none is specified, test the system using a fixed orifice or piston type expansion device that is sized appropriately for the system.
              (3) When testing triple-split systems (see section 1.2 of this appendix, Definitions), use the tubing length specified in section 6.1.3.5 of AHRI 210/240-2008 (incorporated by reference, see § 430.3) to connect the outdoor coil, indoor compressor section, and indoor coil while still meeting the requirement of exposing 10 feet of the tubing to outside conditions;
              (4) When testing split systems having multiple indoor coils, connect each indoor blower coil unit to the outdoor unit using:
              (a) 25 feet of tubing, or
              (b) tubing furnished by the manufacturer, whichever is longer.
              At least 10 feet of the system interconnection tubing shall be exposed to the outside conditions. If they are needed to make a secondary measurement of capacity or for verification of refrigerant charge, install refrigerant pressure measuring instruments as described in section 8.2.5 of ANSI/ASHRAE 37-2009 (incorporated by reference, see § 430.3). Section 2.10 of this appendix specifies which secondary methods require refrigerant pressure measurements and section 2.2.5.5 of this appendix discusses use of pressure measurements to verify charge. At a minimum, insulate the low-pressure line(s) of a split system with insulation having an inside diameter that matches the refrigerant tubing and a nominal thickness of 0.5 inch.
              b. For units designed for both horizontal and vertical installation or for both up-flow and down-flow vertical installations, use the orientation for testing specified by the manufacturer in the certification report. Conduct testing with the following installed:
              (1) The most restrictive filter(s);
              (2) Supplementary heating coils; and
              (3) Other equipment specified as part of the unit, including all hardware used by a heat comfort controller if so equipped (see section 1 of this appendix, Definitions). For small-duct, high-velocity systems, configure all balance dampers or restrictor devices on or inside the unit to fully open or lowest restriction.

              c. Testing a ducted unit without having an indoor air filter installed is permissible as long as the minimum external static pressure requirement is adjusted as stated in Table 4, note 3 (see section 3.1.4 of this appendix). Except as noted in section 3.1.10 of this appendix, prevent the indoor air supplementary heating coils from operating during all tests. For uncased coils, create an enclosure using 1 inch fiberglass foil-faced ductboard having a nominal density of 6 pounds per cubic foot. Or alternatively, construct an enclosure using sheet metal or a similar material and insulating material having a thermal resistance (“R” value) between 4 and 6 hr·ft2· °F/Btu. Size the enclosure and seal between the coil and/or drainage pan and the interior of the enclosure as specified in installation instructions shipped with the unit. Also seal between the plenum and inlet and outlet ducts.
              d. When testing a coil-only system, install a toroidal-type transformer to power the system's low-voltage components, complying with any additional requirements for the transformer mentioned in the installation manuals included with the unit by the system manufacturer. If the installation manuals do not provide specifications for the transformer, use a transformer having the following features:
              (1) A nominal volt-amp rating such that the transformer is loaded between 25 and 90 percent of this rating for the highest level of power measured during the off mode test (section 3.13 of this appendix);
              (2) Designed to operate with a primary input of 230 V, single phase, 60 Hz; and
              (3) That provides an output voltage that is within the specified range for each low-voltage component. Include the power consumption of the components connected to the transformer as part of the total system power consumption during the off mode tests; do not include the power consumed by the transformer when no load is connected to it.
              e. Test an outdoor unit with no match (i.e., that is not distributed in commerce with any indoor units) using a coil-only indoor unit with a single cooling air volume rate whose coil has:
              (1) Round tubes of outer diameter no less than 0.375 inches, and
              (2) a normalized gross indoor fin surface (NGIFS) no greater than 1.0 square inches per British thermal unit per hour (sq. in./Btu/hr). NGIFS is calculated as follows:

                NGIFS = 2 × L
                f × W
                f × N
                f ÷ Q

                c(95)
              where:

              Lf = Indoor coil fin length in inches, also height of the coil transverse to the tubes.
              Wf = Indoor coil fin width in inches, also depth of the coil.
              Nf = Number of fins.

                Q

                c(95) = the measured space cooling capacity of the tested outdoor unit/indoor unit combination as determined from the A2 or A Test whichever applies, Btu/h.

              ƒ. If the outdoor unit or the outdoor portion of a single-package unit has a drain pan heater to prevent freezing of defrost water, the heater shall be energized, subject to control to de-energize it when not needed by the heater's thermostat or the unit's control system, for all tests.

              g. If pressure measurement devices are connected to a cooling/heating heat pump refrigerant circuit, the refrigerant charge Mt that could potentially transfer out of the connected pressure measurement systems (transducers, gauges, connections, and lines) between operating modes must be less than 2 percent of the factory refrigerant charge listed on the nameplate of the outdoor unit. If the outdoor unit nameplate has no listed refrigerant charge, or the heat pump is shipped without a refrigerant charge, use a factory refrigerant charge equal to 30 ounces per ton of certified cooling capacity. Use Equation 2.2-1 to calculate Mt for heat pumps that have a single expansion device located in the outdoor unit to serve each indoor unit, and use Equation 2.2-2 to calculate Mt for heat pumps that have two expansion devices per indoor unit.

                ER05JA17.007

                ER05JA17.027

              where:

              Vi (i=2,3,4. . .) = the internal volume of the pressure measurement system (pressure lines, fittings, and gauge and/or transducer) at the location i (as indicated in Table 2), (cubic inches)
              fi (i=5,6) = 0 if the pressure measurement system is pitched upwards from the pressure tap location to the gauge or transducer, 1 if it is not.

                r = the density associated with liquid refrigerant at 100 °F bubble point conditions (ounces per cubic inch)

                Table 2—Pressure Measurement Locations

                  Location

                  Compressor Discharge
                  1

                  Between Outdoor Coil and Outdoor Expansion Valve(s)
                  2

                  Liquid Service Valve
                  3

                  Indoor Coil Inlet
                  4

                  Indoor Coil Outlet
                  5

                  Common Suction Port (i.e. vapor service valve)
                  6

                  Compressor Suction
                  7

              Calculate the internal volume of each pressure measurement system using internal volume reported for pressure transducers and gauges in product literature, if available. If such information is not available, use the value of 0.1 cubic inches internal volume for each pressure transducer, and 0.2 cubic inches for each pressure gauge.
              In addition, for heat pumps that have a single expansion device located in the outdoor unit to serve each indoor unit, the internal volume of the pressure system at location 2 (as indicated in Table 2) must be no more than 1 cubic inch. Once the pressure measurement lines are set up, no change should be made until all tests are finished.
              2.2.1 Defrost Control Settings
              Set heat pump defrost controls at the normal settings which most typify those encountered in generalized climatic region IV. (Refer to Figure 1 and Table 20 of section 4.2 of this appendix for information on region IV.) For heat pumps that use a time-adaptive defrost control system (see section 1.2 of this appendix, Definitions), the manufacturer must specify in the certification report the frosting interval to be used during frost accumulation tests and provide the procedure for manually initiating the defrost at the specified time.
              2.2.2 Special Requirements for Units Having a Multiple-Speed Outdoor Fan
              Configure the multiple-speed outdoor fan according to the installation manual included with the unit by the manufacturer, and thereafter, leave it unchanged for all tests. The controls of the unit must regulate the operation of the outdoor fan during all lab tests except dry coil cooling mode tests. For dry coil cooling mode tests, the outdoor fan must operate at the same speed used during the required wet coil test conducted at the same outdoor test conditions.
              2.2.3 Special Requirements for Multi-Split Air Conditioners and Heat Pumps and Ducted Systems Using a Single Indoor Section Containing Multiple Indoor Blowers That Would Normally Operate Using Two or More Indoor Thermostats
              Because these systems will have more than one indoor blower and possibly multiple outdoor fans and compressor systems, references in this test procedure to a singular indoor blower, outdoor fan, and/or compressor means all indoor blowers, all outdoor fans, and all compressor systems that are energized during the test.

              a. Additional requirements for multi-split air conditioners and heat pumps. For any test where the system is operated at part load (i.e., one or more compressors “off”, operating at the intermediate or minimum compressor speed, or at low compressor capacity), record the indoor coil(s) that are not providing heating or cooling during the test. For variable-speed sy
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