[Title 10 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 2009 Edition]
[From the U.S. Government Printing Office]



[[Page i]]


10


          Parts 200 to 499

                         Revised as of January 1, 2009


          Energy




________________________

          Containing a codification of documents of general 
          applicability and future effect

          As of January 1, 2009
          With Ancillaries
                    Published by:
                    Office of the Federal Register
                    National Archives and Records
                    Administration
                    A Special Edition of the Federal Register

[[Page ii]]

          U.S. GOVERNMENT OFFICIAL EDITION NOTICE

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[[Page iii]]




                            Table of Contents



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

  Title 10:
          Chapter II--Department of Energy                           3
  Finding Aids:
      Table of CFR Titles and Chapters........................     647
      Alphabetical List of Agencies Appearing in the CFR......     667
      List of CFR Sections Affected...........................     677

[[Page iv]]





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

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

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

[[Page v]]



                               EXPLANATION

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

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

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

LEGAL STATUS

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

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code of Federal Regulations is kept up to date by the individual 
issues of the Federal Register. These two publications must be used 
together to determine the latest version of any given rule.
    To determine whether a Code volume has been amended since its 
revision date (in this case, January 1, 2009), consult the ``List of CFR 
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative 
List of Parts Affected,'' which appears in the Reader Aids section of 
the daily Federal Register. These two lists will identify the Federal 
Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

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

OMB CONTROL NUMBERS

    The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires 
Federal agencies to display an OMB control number with their information 
collection request.

[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as 
amendments to existing regulations in the CFR. These OMB numbers are 
placed as close as possible to the applicable recordkeeping or reporting 
requirements.

OBSOLETE PROVISIONS

    Provisions that become obsolete before the revision date stated on 
the cover of each volume are not carried. Code users may find the text 
of provisions in effect on a given date in the past by using the 
appropriate numerical list of sections affected. For the period before 
January 1, 1986, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, or 1973-1985, published in seven separate volumes. For 
the period beginning January 1, 1986, a ``List of CFR Sections 
Affected'' is published at the end of each CFR volume.

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
established by statute and allows Federal agencies to meet the 
requirement to publish regulations in the Federal Register by referring 
to materials already published elsewhere. For an incorporation to be 
valid, the Director of the Federal Register must approve it. The legal 
effect of incorporation by reference is that the material is treated as 
if it were published in full in the Federal Register (5 U.S.C. 552(a)). 
This material, like any other properly issued regulation, has the force 
of law.
    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed in 
the Finding Aids of this volume as an approved incorporation by 
reference, please contact the agency that issued the regulation 
containing that incorporation. If, after contacting the agency, you find 
the material is not available, please notify the Director of the Federal 
Register, National Archives and Records Administration, Washington DC 
20408, or call 202-741-6010.

CFR INDEXES AND TABULAR GUIDES

    A subject index to the Code of Federal Regulations is contained in a 
separate volume, revised annually as of January 1, entitled CFR Index 
and Finding Aids. This volume contains the Parallel Table of Statutory 
Authorities and Agency Rules (Table I). A list of CFR titles, chapters, 
and parts and an alphabetical list of agencies publishing in the CFR are 
also included in this volume.
    An index to the text of ``Title 3--The President'' is carried within 
that volume.
    The Federal Register Index is issued monthly in cumulative form. 
This index is based on a consolidation of the ``Contents'' entries in 
the daily Federal Register.
    A List of CFR Sections Affected (LSA) is published monthly, keyed to 
the revision dates of the 50 CFR titles.


[[Page vii]]



REPUBLICATION OF MATERIAL

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

INQUIRIES

    For a legal interpretation or explanation of any regulation in this 
volume, contact the issuing agency. The issuing agency's name appears at 
the top of odd-numbered pages.
    For inquiries concerning CFR reference assistance, call 202-741-6000 
or write to the Director, Office of the Federal Register, National 
Archives and Records Administration, Washington, DC 20408 or e-mail 
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, Weekly Compilation of Presidential 
Documents and the Privacy Act Compilation are available in electronic 
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mail, gpoaccess@gpo.gov.
    The Office of the Federal Register also offers a free service on the 
National Archives and Records Administration's (NARA) World Wide Web 
site for public law numbers, Federal Register finding aids, and related 
information. Connect to NARA's web site at www.archives.gov/federal-
register. The NARA site also contains links to GPO Access.

    Raymond A. Mosley,
    Director,
    Office of the Federal Register.
    January 1, 2009.







[[Page ix]]



                               THIS TITLE

    Title 10--Energy is composed of four volumes. The parts in these 
volumes are arranged in the following order: parts 1-50, 51-199, 200-499 
and part 500-end. The first and second volumes containing parts 1-199 
are comprised of chapter I--Nuclear Regulatory Commission. The third and 
fourth volumes containing part 200-end are comprised of chapters II, III 
and X--Department of Energy, chapter XIII--Nuclear Waste Technical 
Review Board, and chapter XVII--Defense Nuclear Facilities Safety Board. 
The contents of these volumes represent all current regulations codified 
under this title of the CFR as of January 1, 2009.

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


[[Page 1]]



                            TITLE 10--ENERGY




                  (This book contains parts 200 to 499)

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

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

[[Page 3]]



                    CHAPTER II--DEPARTMENT OF ENERGY




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

                            SUBCHAPTER A--OIL
Part                                                                Page
200-201         [Reserved]



202             Production or disclosure of material or 
                    information.............................           5
205             Administrative procedures and sanctions.....           6
207             Collection of information...................          47
209             International voluntary agreements..........          52
210             General allocation and price rules..........          57
212             Mandatory petroleum price regulations.......          64
215             Collection of foreign oil supply agreement 
                    information.............................          64
216             Materials allocation and priority 
                    performance under contracts or orders to 
                    maximize domestic energy supplies.......          66
218             Standby mandatory international oil 
                    allocation..............................          70
220             [Reserved]



221             Priority supply of crude oil and petroleum 
                    products to the Department of Defense 
                    under the Defense Production Act........          76
                      SUBCHAPTER B--CLIMATE CHANGE
300             Voluntary Greenhouse Gas Reporting Program: 
                    General Guidelines......................          80
                         SUBCHAPTER C [RESERVED]
                    SUBCHAPTER D--ENERGY CONSERVATION
400-417         [Reserved]



420             State energy program........................         102
430             Energy Conservation Program for consumer 
                    products................................         116
431             Energy efficiency program for certain 
                    commercial and industrial equipment.....         368
433             Energy efficiency standards for the design 
                    and construction of new Federal 
                    commercial and multi-family high-rise 
                    residential buildings...................         460

[[Page 4]]

434             Energy code for new Federal commercial and 
                    multi-family high rise residential 
                    buildings...............................         462
435             Energy efficiency standards for new Federal 
                    low-rise residential buildings..........         524
436             Federal energy management and planning 
                    programs................................         530
440             Weatherization assistance for low-income 
                    persons.................................         555
445             [Reserved]



451             Renewable energy production incentives......         577
455             Grant programs for schools and hospitals and 
                    buildings owned by units of local 
                    government and public care institutions.         582
456             [Reserved]



470             Appropriate Technology Small Grants Program.         613
473             Automotive propulsion research and 
                    development.............................         618
474             Electric and Hybrid Vehicle Research, 
                    Development, and Demonstration Program; 
                    petroleum-equivalent fuel economy 
                    calculation.............................         622
490             Alternative fuel transportation program.....         624
491-499         [Reserved]



[[Page 5]]



                            SUBCHAPTER A_OIL



                        PARTS 200	201 [RESERVED]



PART 202_PRODUCTION OR DISCLOSURE OF MATERIAL OR INFORMATION--Table of 
Contents




Subpart A [Reserved]

 Subpart B_Production or Disclosure in Response to Subpoenas or Demands 
                     of Courts or Other Authorities

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

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

Subpart A [Reserved]



 Subpart B_Production or Disclosure in Response to Subpoenas or Demands 
                     of Courts or Other Authorities

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



Sec. 202.21  Purpose and scope.

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



Sec. 202.22  Production or disclosure prohibited unless approved by 
appropriate DOE official.

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



Sec. 202.23  Procedure in the event of a demand for production or 
disclosure.

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



Sec. 202.24  Final action by the appropriate DOE official.

    If the General Counsel approves a demand for the production of 
material or disclosure of information, he shall so notify the Regional 
Counsel and such other persons as circumstances may warrant.

[[Page 6]]



Sec. 202.25  Procedure where a decision concerning a demand is not made 
prior to the time a response to the demand is required.

    If response to the demand is required before the instructions from 
the General Counsel are received, a U.S. attorney or DOE attorney 
designated for the purpose shall appear with the employee or former 
employee of the DOE upon whom the demand has been made, and shall 
furnish the court or other authority with a copy of the regulations 
contained in this subpart and inform the court or other authority that 
the demand has been, or is being, as the case may be, referred for the 
prompt consideration of the appropriate DOE official and shall 
respectfully request the court or authority to stay the demand pending 
receipt of the requested instructions.



Sec. 202.26  Procedure in the event of an adverse ruling.

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



PART 205_ADMINISTRATIVE PROCEDURES AND SANCTIONS--Table of Contents




                      Subpart A_General Provisions

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

Subparts B-E [Reserved]

                        Subpart F_Interpretation

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

Subparts G-J [Reserved]

                            Subpart K_Rulings

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

Subpart L [Reserved]

          Subpart M_Conferences, Hearings, and Public Hearings

205.170 Purpose and scope.
205.171 Conferences.
205.172 Hearings.
205.173 Public hearings.

Subpart N [Reserved]

   Subpart O_Notice of Probable Violation, Remedial Order, Notice of 
            Proposed Disallowance, and Order of Disallowance

205.190 Purpose and scope.
205.191 [Reserved]
205.192 Proposed remedial order.
205.192A Burden of proof.
205.193 Notice of Objection.
205.193A Submission of ERA supplemental information.
205.194 Participants; official service list.
205.195 Filing and service of all submissions.
205.196 Statement of objections.
205.197 Response to statement of objections; reply.
205.198 Discovery.
205.198A Protective order.
205.199 Evidentiary hearing.
205.199A Hearing for the purpose of oral argument only.
205.199B Remedial order.
205.199C Appeals of remedial order to FERC.
205.199D-205.199E [Reserved]
205.199F Ex parte communications.
205.199G Extension of time; Interim and Ancillary Orders.
205.199H Actions not subject to administrative appeal.

[[Page 7]]

205.199I Remedies.
205.199J Consent order.

Subparts P-T [Reserved]

            Subpart U_Procedures for Electricity Export Cases

205.260 Purpose and scope.
205.261-205.269 [Reserved]
205.270 Off-the-record communications.

        Subpart V_Special Procedures for Distribution of Refunds

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

   Subpart W_Electric Power System Permits and Reports; Applications; 
                 Administrative Procedures and Sanctions

 Application for Authorization to Transmit Electric Energy to a Foreign 
                                 Country

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

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

205.320 Who shall apply.
205.321 Time of filing.
205.322 Contents of application.
205.323 Transferability.
205.324 Form and style; number of copies.
205.325 Annual report.
205.326 Filing procedures and fees.
205.327 Other information.
205.328 Environmental requirements for Presidential Permits--Alternative 
          1.
205.329 Environmental requirements for Presidential Permits--Alternative 
          2.

           Report of Major Electric Utility System Emergencies

205.350 General purpose.
205.351 Reporting requirements.
205.352 Information to be reported.
205.353 Special investigation and reports.

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

205.370 Applicability.
205.371 Definition of emergency.
205.372 Filing procedures; number of copies.
205.373 Application procedures.
205.374 Responses from ``entities'' designated in the application.
205.375 Guidelines defining inadequate fuel or energy supply.
205.376 Rates and charges.
205.377 Reports.
205.378 Disconnection of temporary facilities.
205.379 Application for approval of the installation of permanent 
          facilities for emergency use only.

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

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



                      Subpart A_General Provisions



Sec. 205.1  Purpose and scope.

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

[61 FR 35114, July 5, 1996]



Sec. 205.2  Definitions.

    The definitions set forth in other parts of this chapter shall apply 
to this part, unless otherwise provided. In addition, as used in this 
part, the term:
    Action means an order, interpretation, notice of probable violation 
or ruling issued, or a rulemaking undertaken by the DOE or, as 
appropriate, by a State Office.

[[Page 8]]

    Adjustment means a modification of the base period volume or other 
measure of allocation entitlement in accordance with part 211 of this 
chapter.
    Aggrieved, for purposes of administrative proceedings, describes and 
means a person with an interest sought to be protected under the FEAA, 
EPAA, or Proclamation No. 3279, as amended, who is adversely affected by 
an order or interpretation issued by the DOE or a State Office.
    Appropriate Regional Office or appropriate State Office means the 
office located in the State or DOE region in which the product will be 
physically delivered.
    Assignment means an action designating that an authorized purchaser 
be supplied at a specified entitlement level by a specified supplier.
    Conference means an informal meeting, incident to any proceeding, 
between DOE or State officials and any person aggrieved by that 
proceeding.
    Consent order means a document of agreement between DOE and a person 
prohibiting certain acts, requiring the performance of specific acts or 
including any acts which DOE could prohibit or require pursuant to Sec. 
205.195.
    Duly authorized representative means a person who has been 
designated to appear before the DOE or a State Office in connection with 
a proceeding on behalf of a person interested in or aggrieved by that 
proceeding. Such appearance may consist of the submission of 
applications, petitions, requests, statements, memoranda of law, other 
documents, or of a personal appearance, verbal communication, or any 
other participation in the proceeding.
    EPAA means the Emergency Petroleum Allocation Act of 1973 (Pub. L. 
93-159).
    EPCA means the Energy Policy and Conservation Act (Pub. L. 94-163).
    Exception means the waiver or modification of the requirements of a 
regulation, ruling or generally applicable requirement under a specific 
set of facts.
    Exemption means the release from the obligation to comply with any 
part or parts, or any subpart thereof, of this chapter.
    DOE means the Department of Energy, created by the FEAA and includes 
the DOE National Office and Regional Offices.
    FEAA means the Federal Energy Administration Act of 1974 (Pub. L. 
93-275).
    Federal legal holiday means New Year's Day, Washington's Birthday, 
Memorial Day, Independence Day, Labor Day, Columbus Day, Veterans' Day, 
Thanksgiving Day, Christmas Day, and any other day appointed as a 
national holiday by the President or the Congress of the United States.
    Interpretation means a written statement issued by the General 
Counsel or his delegate or Regional Counsel, in response to a written 
request, that applies the regulations, rulings, and other precedents 
previously issued, to the particular facts of a prospective or completed 
act or transaction.
    Notice of probable violation means a written statement issued to a 
person by the DOE that states one or more alleged violations of the 
provisions of this chapter or any order issued pursuant thereto.
    Order means a written directive or verbal communication of a written 
directive, if promptly confirmed in writing, issued by the DOE or a 
State Office. It may be issued in response to an application, petition 
or request for DOE action or in response to an appeal from an order, or 
it may be a remedial order or other directive issued by the DOE or a 
State Office on its own initiative. A notice of probable violation is 
not an order. For purposes of this definition a ``written directive'' 
shall include telegrams, telecopies and similar transcriptions.
    Person means any individual, firm, estate, trust, sole 
proprietorship, partnership, association, company, joint-venture, 
corporation, governmental unit or instrumentality thereof, or a 
charitable, educational or other institution, and includes any officer, 
director, owner or duly authorized representative thereof.
    Proceeding means the process and activity, and any part thereof, 
instituted by the DOE or a State Office, either on its own initiative or 
in response to an application, complaint, petition or request submitted 
by a person, that may lead to an action by the DOE or a State Office.

[[Page 9]]

    Remedial order means a directive issued by the DOE requiring a 
person to cease a violation or to eliminate or to compensate for the 
effects of a violation, or both.
    Ruling means an official interpretative statement of general 
applicability issued by the DOE General Counsel and published in the 
Federal Register that applies the DOE regulations to a specific set of 
circumstances.
    State Office means a State Office of Petroleum Allocation certified 
by the DOE upon application pursuant to part 211 of this chapter.
    Throughout this part the use of a word or term in the singular shall 
include the plural and the use of the male gender shall include the 
female gender.

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

[39 FR 35489, Oct. 1, 1974, as amended at 40 FR 36555, Aug. 21, 1975; 40 
FR 36761, Aug. 22, 1975; 41 FR 36647, Aug. 31, 1976; 43 FR 14437, Apr. 
6, 1978]



Sec. 205.3  Appearance before the DOE or a State Office.

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



Sec. 205.4  Filing of documents.

    (a) Any document, including, but not limited to, an application, 
request, complaint, petition and other documents submitted in connection 
therewith, filed with the DOE or a State Office under this chapter is 
considered to be filed when it has been received by the DOE National 
Office, a Regional Office or a State Office. Documents transmitted to 
the DOE must be addressed as required by Sec. 205.12. All documents and 
exhibits submitted become part of an DOE or a State Office file and will 
not be returned.
    (b) Notwithstanding the provisions of paragraph (a) of this section, 
an appeal, a response to a denial of an appeal or application for 
modification or recision in accordance with Sec. Sec. 205.106(a)(3) and 
205.135(a)(3), respectively, a reply to a notice of probable violation, 
the appeal of a remedial order or remedial order for immediate 
compliance, a response to denial of a claim of confidentiality, or a 
comment submitted in connection with any proceeding transmitted by 
registered or certified mail and addressed to the appropriate office is 
considered to be filed upon mailing.
    (c) Hand-delivered documents to be filed with the Office of 
Exceptions and Appeals shall be submitted to Room 8002 at 2000 M Street, 
NW., Washington, D.C. All other hand-delivered documents to be filed 
with the DOE National Office shall be submitted to the Executive 
Secretariat at 12th and Pennsylvania Avenue, NW., Washington, D.C. Hand-
delivered documents to be filed with a Regional Office shall be 
submitted to the Office of the Regional Administrator. Hand-delivered 
documents to be filed with a State Office shall be submitted to the 
office of

[[Page 10]]

the chief executive officer of such office.
    (d) Documents received after regular business hours are deemed filed 
on the next regular business day. Regular business hours for the DOE 
National Office are 8 a.m. to 4:30 p.m. Regular business hours for a 
Regional Office or a State Office shall be established independently by 
each.



Sec. 205.5  Computation of time.

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



Sec. 205.6  Extension of time.

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



Sec. 205.7  Service.

    (a) All orders, notices, interpretations or other documents required 
to be served under this part shall be served personally or by registered 
or certified mail or by regular United States mail (only when service is 
effected by the DOE or a State Office), except as otherwise provided.
    (b) Service upon a person's duly authorized representative shall 
constitute service upon that person.
    (c) Service by registered or certified mail is complete upon 
mailing. Official United States Postal Service receipts from such 
registered or certified mailing shall constitute prima facie evidence of 
service.



Sec. 205.8  Subpoenas, special report orders, oaths, witnesses.

    (a) In this section the following terms have the definitions 
indicated unless otherwise provided.
    (1) ``DOE Official'' means the Secretary of the Department of 
Energy, the Administrator of the Economic Regulatory Administration, the 
Administrator of Energy Information Administration, the General Counsel 
of the Department of Energy, the Special Counsel for Compliance, the 
Assistant Administrator for Enforcement, the Director of the Office of 
Hearings and Appeals, or the duly authorized delegate of any of the 
foregoing officials.
    (2) ``SRO'' means a Special Report Order issued pursuant to 
paragraph (b) of this section.
    (b) (1) In accordance with the provisions of this section and as 
otherwise authorized by law, a DOE Official may sign, issue and serve 
subpoenas; administer oaths and affirmations; take sworn testimony; 
compel attendance of and sequester witnesses; control dissemination of 
any record of testimony taken pursuant to this section; subpoena and 
reproduce books, papers, correspondence, memoranda, contracts 
agreements, or other relevant records

[[Page 11]]

or tangible evidence including, but not limited to, information retained 
in computerized or other automated systems in possession of the 
subpoenaed person. Unless otherwise provided by Subpart O, the 
provisions of this section apply to subpoenas issued by the office of 
Hearings and Appeals with respect to matters in proceedings before it.
    (2) A DOE Official may issue a Special Report Order requiring any 
person subject to the jurisdiction of the ERA to file a special report 
providing information relating to DOE regulations, including but not 
limited to written answers to specific questions. The SRO may be in 
addition to any other reports required by this chapter.
    (3) The DOE Official who issues a subpoena or SRO pursuant to this 
section, for good cause shown, may extend the time prescribed for 
compliance with the subpoena or SRO and negotiate and approve the terms 
of satisfactory compliance.
    (4) Prior to the time specified for compliance, but in no event more 
than 10 days after the date of service of the subpoena or SRO, the 
person upon whom the document was served may file a request for review 
of the subpoena or SRO with the DOE Official who issued the document. 
The DOE Official then shall forward the request to his supervisor who 
shall provide notice of receipt to the person requesting review. The 
supervisor or his designee may extend the time prescribed for compliance 
with the subpoena or SRO and negotiate and approve the terms of 
satisfactory compliance.
    (5) If the subpoena or SRO is not modified or rescinded within 10 
days of the date of the supervisor's notice of receipt, (i) the subpoena 
or SRO shall be effective as issued; and (ii) the person upon whom the 
document was served shall comply with the subpoena or SRO within 20 days 
of the date of the supervisor's notice of receipt, unless otherwise 
notified in writing by the supervisor or his designee.
    (6) There is no administrative appeal of a subpoena or SRO.
    (c) (1) A subpoena or SRO shall be served upon a person named in the 
document by delivering a copy of the document to the person named.
    (2) Delivery of a copy of the document to a natural person may be 
made by:
    (i) Handing it to the person;
    (ii) Leaving it at the person's office with the person in charge of 
the office;
    (iii) Leaving it at the person's dwelling or usual place of abode 
with a person of suitable age and discretion who resides there;
    (iv) Mailing it to the person by registered or certified mail, at 
his last known address; or
    (v) Any method that provides the person with actual notice prior to 
the return date of the document.
    (3) Delivery of a copy of the document to a person who is not a 
natural person may be made by:
    (i) Handing it to a registered agent of the person;
    (ii) Handing it to any officer, director, or agent in charge of any 
office of such person;
    (iii) Mailing it to the last known address of any registered agent, 
officer, director, or agent in charge of any office of the person by 
registered or certified mail, or
    (iv) Any method that provides any registered agent, officer, 
director, or agent in charge of any office of the person with actual 
notice of the document prior to the return date of the document.
    (d)(1) A witness subpoenaed by the DOE shall be paid the same fees 
and mileage as paid to a witness in the district courts of the United 
States.
    (2) If in the course of a proceeding conducted pursuant to subpart M 
or O, a subpoena is issued at the request of a person other than an 
officer or agency of the United States, the witness fees and mileage 
shall be paid by the person who requested the subpoena. However, at the 
request of the person, the witness fees and mileage shall be paid by the 
DOE if the person shows:
    (i) The presence of the subpoenaed witness will materially advance 
the proceeding; and
    (ii) The person who requested that the subpoena be issued would 
suffer a serious hardship if required to pay the witness fees and 
mileage. The DOE Official issuing the subpoena shall make the 
determination required by this subsection.

[[Page 12]]

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

[[Page 13]]

regard to any instances where any attorney refuses to comply with 
directions or provisions of this section.

(Emergency Petroleum Allocation Act of 1973, Pub. L. 93-159, as amended, 
Pub. L. 94-163, and Pub. L. 94-385; Federal Energy Administration Act of 
1974, Pub. L. 93-275, as amended, Pub. L. 94-332, Pub. L. 94-385, Pub. 
L. 95-70, and Pub. L. 95-91; Energy Supply and Environmental 
Coordination Act of 1974, Pub. L. 93-319, as amended; Energy Policy and 
Conservation Act, Pub. L. 94-163, as amended, Pub. L. 94-385, and Pub. 
L. 95-70; Department of Energy Organization Act, Pub. L. 95-91; E.O. 
11790, 39 FR 23185; E.O. 12009, 42 FR 46267)

[44 FR 23201, Apr. 19, 1979]



Sec. 205.9  General filing requirements.

    (a) Purpose and scope. The provisions of this section shall apply to 
all documents required or permitted to be filed with the DOE or with a 
State Office.
    (b) Signing. All applications, petitions, requests, appeals, 
comments or any other documents that are required to be signed, shall be 
signed by the person filing the document or a duly authorized 
representative. Any application, appeal, petition, request, complaint or 
other document filed by a duly authorized representative shall contain a 
statement by such person certifying that he is a duly authorized 
representative, unless an DOE form other wise requires. (A false 
certification is unlawful under the provisions of 18 U.S.C. 1001 
(1970)).
    (c) Labeling. An application, petition, or other request for action 
by the DOE or a State Office should be clearly labeled according to the 
nature of the action involved (e.g., ``Application for Assignment'') 
both on the document and on the outside of the envelope in which the 
document is transmitted.
    (d) Obligation to supply information. A person who files an 
application, petition, complaint, appeal or other request for action is 
under a continuing obligation during the proceeding to provide the DOE 
or a State Office with any new or newly discovered information that is 
relevant to that proceeding. Such information includes, but is not 
limited to, information regarding any other application, petition, 
complaint, appeal or request for action that is subsequently filed by 
that person with any DOE office or State Office.
    (e) The same or related matters. A person who files an application, 
petition, complaint, appeal or other request for action by the DOE or a 
State Office shall state whether, to the best knowledge of that person, 
the same or related issue, act or transaction has been or presently is 
being considered or investigated by any DOE office, other Federal 
agency, department or instrumentality; or by a State Office, a state or 
municipal agency or court; or by any law enforcement agency; including, 
but not limited to, a consideration or investigation in connection with 
any proceeding described in this part. In addition, the person shall 
state whether contact has been made by the person or one acting on his 
behalf with any person who is employed by the DOE or any State Office 
with regard to the same issue, act or transaction or a related issue, 
act or transaction arising out of the same factual situation; the name 
of the person contacted; whether the contact was verbal or in writing; 
the nature and substance of the contact; and the date or dates of the 
contact.
    (f) Request for confidential treatment. (1) If any person filing a 
document with the DOE or a State Office claims that some or all the 
information contained in the document is exempt from the mandatory 
public disclosure requirements of the Freedom of Information Act (5 
U.S.C. 552 (1970)), is information referred to in 18 U.S.C. 1905 (1970), 
or is otherwise exempt by law from public disclosure, and if such person 
requests the DOE or a State Office not to disclose such information, 
such person shall file together with the document a second copy of the 
document from which has been deleted the information for which such 
person wishes to claim confidential treatment. The person shall indicate 
in the original document that it is confidential or contains 
confidential information and may file a statement specifying the 
justification for non-disclosure of the information for which 
confidential treatment is claimed. If the person states that the

[[Page 14]]

information comes within the exception in 5 U.S.C. 552(b)(4) for trade 
secrets and commercial or financial information, such person shall 
include a statement specifying why such information is privileged or 
confidential. If the person filing a document does not submit a second 
copy of the document with the confidential information deleted, the DOE 
or a State Office may assume that there is no objection to public 
disclosure of the document in its entirety.
    (2) The DOE or a State Office retains the right to make its own 
determination with regard to any claim of confidentiality. Notice of the 
decision by the DOE or a State Office to deny such claim, in whole or in 
part, and an opportunity to respond shall be given to a person claiming 
confidentiality of information no less than five days prior to its 
public disclosure.
    (g) Separate applications, petitions or requests. Each application, 
petition or request for DOE action shall be submitted as a separate 
document, even if the applications, petitions, or requests deal with the 
same or a related issue, act or transaction, or are submitted in 
connection with the same proceeding.



Sec. 205.10  Effective date of orders.

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



Sec. 205.11  Order of precedence.

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



Sec. 205.12  Addresses for filing documents with the DOE.

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

------------------------------------------------------------------------
                FAX Numbers                          TWX Numbers
------------------------------------------------------------------------
(202) 254-6175............................  (701) 822-9454
(202) 254-6461............................  (701) 822-9459
------------------------------------------------------------------------

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

[[Page 15]]

(a)(6) of this section), those designated as DOE or FEO forms (see 
paragraph (a)(7) of this section), and ``Surplus Product Reports'' (see 
paragraph (a)(8) of this section), but including those pertaining to 
compliance and allocation (adjustment and assignment) of allocated 
products, are to be identified by one of the code numbers stated below 
and addressed as follows: Department of Energy, Code----, labeling as 
specified in Sec. 205.9(c), Washington, DC 20461.

                              Code Numbers
------------------------------------------------------------------------
                                                                 Code
------------------------------------------------------------------------
Product:
  Crude oil.................................................          10
  Naphtha and gas oil.......................................          15
  Propane, butane and natural gasoline......................          25
  Other products............................................          30
  Bunker fuel...............................................          40
  Residual fuel (nonutility)................................          50
  Motor gasoline............................................          60
  Middle distillates........................................          70
  Aviation fuels............................................          80
Submissions by specific entities:
  Electric utilities........................................          45
  Department of Defense.....................................          55
------------------------------------------------------------------------

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

                                Region 1

Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, Vermont; 
Regional Office, Department of Energy, 150 Causeway Street, Boston, 
Massachusetts 02114.

                                Region 2

New Jersey, New York, Puerto Rico, Virgin Islands; Regional Office, 
Department of Energy, 26 Federal Plaza, New York, New York 10007.

                                Region 3

Delaware, District of Columbia, Maryland, Pennsylvania, Virginia, West 
Virginia; Regional Office, Department of Energy, Federal Office 
Building, 1421 Cherry Street, Philadelphia, Pennsylvania 19102.

                                Region 4

Alabama, Canal Zone, Florida, Georgia, Kentucky, Mississippi, North 
Carolina, South Carolina; Regional Office, Department of Energy, 1655 
Peachtree Street NW., Atlanta, Georgia 30309.

                                Region 5

Illinois, Indiana, Michigan, Minnesota, Ohio, Wisconsin; Regional 
Office, Department of Energy, 175 West Jackson Street, Chicago, Illinois 
60604.

                                Region 6

Arkansas, Louisiana, New Mexico, Oklahoma, Texas; Regional Office, 
Department of Energy, 212 North Saint Paul Street, Dallas, Texas 75201.

                                Region 7

Iowa, Kansas, Missouri, Nebraska; Regional Office, Department of Energy, 
Federal Office Building, P.O. Box 15000, 112 East 12th Street, Kansas 
City, Missouri 64106.

                                Region 8

Colorado, Montana, North Dakota, South Dakota, Utah, Wyoming; Regional 
Office, Department of Energy, Post Office Box 26247, Belmar Branch, 
Denver, Colorado 80226.

                                Region 9

American Samoa, Arizona, California, Guam, Hawaii, Nevada, Trust 
Territory of the Pacific Islands; Regional Office, Department

[[Page 16]]

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

                                Region 10

Alaska, Idaho, Oregon, Washington; Regional Office, Department of 
Energy, Federal Office Building, 909 First Avenue, Room 3098, Seattle, 
Washington 98104.

(Emergency Petroleum Allocation Act of 1973, 15 U.S.C. 751 et seq., Pub. 
L. 93-159, as amended, Pub. L. 93-511, Pub. L. 94-99, Pub. L. 94-133, 
Pub. L. 94-163, and Pub. L. 94-385; Federal Energy Administration Act of 
1974, 15 U.S.C. 787 et seq., Pub. L. 93-275, as amended, Pub. L. 94-332, 
Pub. L. 94-385, Pub. L. 95-70, and Pub. L. 95-91; Energy Policy and 
Conservation Act, 42 U.S.C. 6201 et seq., Pub. L. 94-163, as amended, 
Pub. L. 94-385, and Pub. L. 95-70; Department of Energy Organization 
Act, 42 U.S.C. 7101 et seq., Pub. L. 95-91; E.O. 11790, 39 FR 23185; 
E.O. 12009, 42 FR 46267)

[39 FR 35489, Oct. 1, 1974, as amended at 40 FR 36555, Aug. 21, 1975; 45 
FR 37684, June 4, 1980]



Sec. 205.13  Where to file.

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

[39 FR 35489, Oct. 1, 1974, as amended at 39 FR 36571, Oct. 11, 1974; 39 
FR 39022, Nov. 5, 1974; 40 FR 28446, July 7, 1975; 40 FR 36555, Aug. 21, 
1975; 44 FR 60648, Oct. 19, 1979]



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

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

[[Page 17]]

amended, modified or rescinded in accordance with the provisions of this 
part.



Sec. 205.15  Public docket room.

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

Subparts B-E [Reserved]



                        Subpart F_Interpretation



Sec. 205.80  Purpose and scope.

    (a) This subpart establishes the procedures for the filing of a 
formal request for an interpretation and for the consideration of such 
request. Responses, which may include verbal or written responses to 
general inquiries or to other than formal written requests for 
interpretation filed with the General Counsel or his delegate or a 
Regional Counsel, are not interpretations and merely provide general 
information.
    (b) A request for interpretation that includes, or could be 
construed to include an application for an exception or an exemption may 
be treated solely as a request for interpretation and processed as such.

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

[39 FR 35489, Oct. 1, 1974, as amended at 43 FR 14437, Apr. 6, 1978]



Sec. 205.81  What to file.

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



Sec. 205.82  Where to file.

    A request for interpretation shall be filed with the General Counsel 
or his delegate or with the appropriate Regional Counsel at the address 
provided in Sec. 205.12.

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

[39 FR 35489, Oct. 1, 1974, as amended at 43 FR 14437, Apr. 6, 1978; 43 
FR 17803, Apr. 26, 1978]



Sec. 205.83  Contents.

    (a) The request shall contain a full and complete statement of all 
relevant facts pertaining to the circumstances, act or transaction that 
is the subject of the request and to the DOE action

[[Page 18]]

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



Sec. 205.84  DOE evaluation.

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



Sec. 205.85  Decision and effect.

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

[[Page 19]]

    (f)(1) Any person aggrieved by an interpretation may submit a 
petition for reconsideration to the General Counsel within 30 days of 
service of the interpretation from which the reconsideration is sought. 
There has not been an exhaustion of administrative remedies until a 
period of 30 days from the date of service of the interpretation has 
elapsed without receipt by the General Counsel of a petition for 
reconsideration or, if a petition for reconsideration of the 
interpretation has been filed in a timely manner, until that petition 
has been acted on by the General Counsel. However, a petition to which 
the General Counsel does not respond within 60 days of the date of 
receipt thereof, or within such extended time as the General Counsel may 
prescribe by written notice to the petitioner concerned within that 60 
day period, shall be considered denied.
    (2) A petition for reconsideration may be summarily denied if--
    (i) It is not filed in a timely manner, unless good cause is shown; 
or
    (ii) It is defective on its face for failure to state, and to 
present facts and legal argument in support thereof, that the 
interpretation was erroneous in fact or in law, or that it was arbitrary 
or capricious.
    (3) The General Counsel may deny any petition for reconsideration if 
the petitioner does not establish that--
    (i) The petition was filed by a person aggrieved by an 
interpretation;
    (ii) The interpretation was erroneous in fact or in law; or
    (iii) The interpretation was arbitrary or capricious. The denial of 
a petition shall be a final order of which the petitioner may seek 
judicial review.

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

[39 FR 35489, Oct. 1, 1974, as amended at 43 FR 14437, Apr. 6, 1978]



Sec. 205.86  Appeal.

    There is no administrative appeal of an interpretation.

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

[43 FR 14437, Apr. 6, 1978]

Subparts G-J [Reserved]



                            Subpart K_Rulings



Sec. 205.150  Purpose and scope.

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



Sec. 205.151  Criteria for issuance.

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



Sec. 205.152  Modification or rescission.

    (a) A ruling may be modified or rescinded by:
    (1) Publication of the modification or rescission in the Federal 
Register; or
    (2) A rulemaking proceeding in accordance with subpart L of this 
part.
    (b) Unless and until a ruling is modified or rescinded as provided 
in paragraph (a) of this section, no person shall be subject to the 
sanctions or penalties stated in subpart P of this part for actions 
taken in reliance upon the ruling, notwithstanding that the ruling shall 
thereafter be declared by judicial or other competent authority to be 
invalid. Upon such declaration,

[[Page 20]]

no person shall be entitled to rely upon the ruling.



Sec. 205.153  Comments.

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



Sec. 205.154  Appeal.

    There is no administrative appeal of a ruling.

Subpart L [Reserved]



          Subpart M_Conferences, Hearings, and Public Hearings



Sec. 205.170  Purpose and scope.

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



Sec. 205.171  Conferences.

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



Sec. 205.172  Hearings.

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

[[Page 21]]

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

[39 FR 35489, Oct. 1, 1974, as amended at 40 FR 36557, Aug. 21, 1975]



Sec. 205.173  Public hearings.

    (a) A public hearing shall be convened incident to a rulemaking:
    (1) When the proposed rule or regulation is likely to have a 
substantial impact on the Nation's economy or large numbers of 
individuals or businesses; or
    (2) When the DOE determines that a public hearing would materially 
advance the consideration of the issue. A public hearing may be 
requested by any interested person in connection with a rulemaking 
proceeding, but shall only be convened on the initiative of the DOE 
unless otherwise required by statute.
    (b) A public hearing may be convened incident to any proceeding when 
the DOE in its discretion determines that such public hearing would 
materially advance the consideration of the issue.
    (c) A public hearing may only be convened after publication of a 
notice in the Federal Register, which shall include a statement of the 
time, place, and nature of the public hearing.
    (d) Interested persons may file a request to participate in the 
public hearing in accordance with the instructions in the notice 
published in the Federal Register. The request shall be in writing and 
signed by the person making the request. It shall include a description 
of the person's interest in the issue or issues involved and of the 
anticipated content of the presentation. It shall also contain a 
statement explaining why the person would be an appropriate spokesperson 
for the particular view expressed.
    (e) The DOE shall appoint a presiding officer to conduct the public 
hearing. An agenda shall be prepared that shall provide, to the extent 
practicable, for the presentation of all relevant views by competent 
spokespersons.
    (f) A verbatim transcript shall be made of the hearing. The 
transcript, together with any written comments submitted in the course 
of the proceeding, shall be made available for public inspection and 
copying in the public docket room, as provided in Sec. 205.15.
    (g) The information presented at the public hearing, together with 
the written comments submitted and other relevant information developed 
during the course of the proceeding, shall provide the basis for the DOE 
decision.

Subpart N [Reserved]



   Subpart O_Notice of Probable Violation, Remedial Order, Notice of 
            Proposed Disallowance, and Order of Disallowance

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

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

[[Page 22]]



Sec. 205.190  Purpose and scope.

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



Sec. 205.191  [Reserved]



Sec. 205.192  Proposed remedial order.

    (a) If the ERA finds, after the 30-day or other period authorized 
for reply to the Notice of Probable Violation, that a violation has 
occurred, is continuing, or is about to occur, it may issue a Proposed 
Remedial Order, which shall set forth the relevant facts and law.
    (b) The ERA may issue a Proposed Remedial Order at any time it finds 
that a violation has occurred, is continuing, or is about to occur even 
if it has not previously issued a Notice of Probable Violation.
    (c) The ERA shall serve a copy of the Proposed Remedial Order upon 
the person to whom it is directed. The ERA shall promptly publish a 
notice in the Federal Register which states the person to whom the 
Proposed Remedial Order is directed, his address, and the products, 
dollar amounts, time period, and geographical area specified in the 
Proposed Remedial Order. The notice shall indicate that a copy of the 
Proposed Remedial Order with confidential information, if any, deleted 
may be obtained from the ERA and that within 15 days after the date of 
publication any aggrieved person may file a Notice of Objection with the 
Office of Hearings and Appeals of accordance with Sec. 205.193. The ERA 
shall mail copies of the Federal Register notice to all readily 
identifiable persons who are likely to be aggrieved by issuance of the 
Proposed Remedial Order as a final order.
    (d) The Proposed Remedial Order shall set forth the proposed 
findings of fact and conclusions of law upon which it is based. It shall 
also include a discussion of the relevant authorities which support the 
position asserted, including rules, regulations, rulings, 
interpretations and previous decisions issued by DOE or its predecessor 
agencies. The Proposed Remedial Order shall be accompanied by a 
declaration executed by the DOE employee primarily knowledgeable about 
the facts of the case stating that, to the best of declarant's knowledge 
and belief, the findings of fact are correct.
    (e) The ERA may amend or withdraw a Proposed Remedial Order at its 
discretion prior to the date of service of a Statement of Objections in 
that proceeding. The date of service of the amended documents shall be 
considered the date of service of the Proposed Remedial Order in 
calculating the time periods specified in this part 205.



Sec. 205.192A  Burden of proof.

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

[[Page 23]]

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



Sec. 205.193  Notice of Objection.

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



Sec. 205.193A  Submission of ERA supplemental information.

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



Sec. 205.194  Participants; official service list.

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

[[Page 24]]

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



Sec. 205.195  Filing and service of all submissions.

    (a)(1) Statements of Objections, Responses to such Statements, and 
any motions or other documents filed in connection with a proceeding 
shall meet the requirements of Sec. 205.9 and shall be filed with the 
Office of Hearings and Appeals in accordance with Sec. 205.4. Unless 
otherwise specified, any participant may file a response to a motion 
within five days of service.
    (2) All documents shall be filed in duplicate, unless they contain 
confidential information, in which case they must be filed in 
triplicate.
    (3) If a person claims that any portion of a document which he is 
filing contains confidential information, such information should be 
deleted from two of the three copies which are filed. One copy from 
which confidential information has been deleted will be placed in the 
Office of Hearings and Appeals Public Docket Room.
    (b)(1) Persons other than DOE offices shall on the date a submission 
is filed serve each person on the official service list. Service shall 
be made in accordance with Sec. 205.7 and may also be made by deposit 
in the regular United States mail, properly stamped and addressed, when 
accompanied by proof of service consisting of a certificate of counsel 
or an affidavit of the person making the service. If any filing arguably 
contains confidential information, a person may serve copies with the 
confidential information deleted upon all persons on the official 
service list except DOE offices, which shall be served both an original 
filing and one with deletions.
    (2) A DOE office shall on the date it files a submission serve all 
persons on the official service list, unless the filing arguably 
contains confidential information. In that case the DOE office shall 
notify the person to whom the information relates of the opportunity to 
identify and delete the confidential information. The DOE Office may 
delay the service of a submission containing arguably confidential 
information upon all persons other than the possessor of the 
confidential information and other DOE offices up to 14 days. The 
possessor of the confidential information shall serve the filing with 
any

[[Page 25]]

deletions upon all persons on the official service list within such time 
period.
    (c) Any filing made under this section shall include a certification 
of compliance by the filer with the provisions of this subpart. The 
person serving a document shall file a certificate of service, which 
includes the date and manner of service for each person on the official 
service list.



Sec. 205.196  Statement of objections.

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



Sec. 205.197  Response to statement of objections; reply.

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



Sec. 205.198  Discovery.

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

[[Page 26]]

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



Sec. 205.198A  Protective order.

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



Sec. 205.199  Evidentiary hearing.

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

[[Page 27]]

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

[[Page 28]]

progress of the hearing and would not contribute to resolving the issues 
involved in the hearing. The provisions of Sec. 205.8 which relate to 
subpoenas and witness fees shall apply to any evidentiary hearing, 
except that subsection Sec. 205.8(h) (2), (3), and (4) shall not apply.



Sec. 205.199A  Hearing for the purpose of oral argument only.

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



Sec. 205.199B  Remedial order.

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



Sec. 205.199C  Appeals of remedial order to FERC.

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

[[Page 29]]

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



Sec. Sec. 205.199D-205.199E  [Reserved]



Sec. 205.199F  Ex parte communications.

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



Sec. 205.199G  Extension of time; Interim and Ancillary Orders.

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



Sec. 205.199H  Actions not subject to administrative appeal.

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



Sec. 205.199I  Remedies.

    (a) A Remedial Order, a Remedial Order for Immediate Compliance, an 
Order of Disallowance, or a Consent Order may require the person to whom 
it is directed to roll back prices, to make refunds equal to the amount 
(plus interest) charged in excess of those amounts permitted under DOE 
Regulations, to make appropriate compensation to third persons for 
administrative expenses of effectuating appropriate remedies, and to 
take such other action as the DOE determines is necessary to eliminate 
or to compensate for the effects of a violation or any cost disallowance 
pursuant to Sec. 212.83 or Sec. 212.84. Such action may include a 
direction to the person to whom the Order is issued to establish an 
escrow account or take other measures to

[[Page 30]]

make refunds directly to purchasers of the products involved, 
notwithstanding the fact that those purchasers obtained such products 
from an intermediate distributor of such person's products, and may 
require as part of the remedy that the person to whom the Order is 
issued maintain his prices at certain designated levels, notwithstanding 
the presence or absence of other regulatory controls on such person's 
prices. In cases where purchasers cannot be reasonably identified or 
paid or where the amount of each purchaser's overcharge is incapable of 
reasonable determination, the DOE may refund the amounts received in 
such cases directly to the Treasury of the United States on behalf of 
such purchasers.
    (b) The DOE may, when appropriate, issue final Orders ancillary to a 
Remedial Order, Remedial Order for Immediate Compliance, Order of 
Disallowance, or Consent Order requiring that a direct or indirect 
recipient of a refund pass through, by such means as the DOE deems 
appropriate, including those described in paragraph (a) of this section, 
all or a portion of the refund, on a pro rata basis, to those customers 
of the recipient who were adversely affected by the initial overcharge. 
Ancillary Orders may be appealed to the Office of Hearings and Appeals 
only pursuant to subpart H.



Sec. 205.199J  Consent order.

    (a) Notwithstanding any other provision of this subpart, the DOE may 
at any time resolve an outstanding compliance investigation or 
proceeding, or a proceeding involving the disallowance of costs pursuant 
to Sec. 205.199E with a Consent Order. A Consent Order must be signed 
by the person to whom it is issued, or a duly authorized representative, 
and must indicate agreement to the terms contained therein. A Consent 
Order need not constitute an admission by any person that DOE 
regulations have been violated, nor need it constitute a finding by the 
DOE that such person has violated DOE regulations. A Consent Order 
shall, however, set forth the relevant facts which form the basis for 
the Order.
    (b) A Consent Order is a final Order of the DOE having the same 
force and effect as a Remedial Order issued pursuant to Sec. 205.199B 
or an Order of Disallowance issued pursuant to Sec. 205.199E, and may 
require one or more of the remedies authorized by Sec. 205.199I and 
Sec. 212.84(d)(3). A Consent Order becomes effective no sooner than 30 
days after publication under paragraph (c) of this section, unless (1) 
the DOE makes a Consent Order effective immediately, because it 
expressly deems it necessary in the public interest, or (2) the Consent 
Order involves a sum of less than $500,000 in the aggregate, excluding 
penalties and interest, in which case it will be effective when signed 
both by the person to whom it is issued and the DOE, and will not be 
subject to the provisions of paragraph (c) of this section unless the 
DOE determines otherwise. A Consent Order shall not be appealable 
pursuant to the provisions of Sec. 205.199C or Sec. 205.199D and 
subpart H, and shall contain an express waiver of such appeal or 
judicial review rights as might otherwise attach to a final Order of the 
DOE.
    (c) When a Consent Order has been signed, both by the person to whom 
it is issued and the DOE, the DOE will publish notice of such Consent 
Order in the Federal Register and in a press release to be issued 
simultaneously therewith. The Federal Register notice and the press 
release will state at a minimum the name of the company concerned, a 
brief summary of the Consent Order and other facts or allegations 
relevant thereto, the address and telephone number of the DOE office at 
which copies of the Consent Order will be available free of charge, the 
address to which comments on the Consent Order will be received by the 
DOE, and the date by which such comments should be submitted, which date 
will not be less than 30 days after publication of the Federal Register 
notice. After the expiration of the comment period the DOE may withdraw 
its agreement to the Consent Order, attempt to negotiate a modification 
of the Consent Order, or issue the Consent Order as signed. The DOE will 
publish in the Federal Register, and by press release, notice of any 
action taken on a Consent Order and such explanation of

[[Page 31]]

the action taken as deemed appropriate. The provisions of this paragraph 
shall be applicable notwithstanding the fact that a Consent Order may 
have been made immediately effective pursuant to paragraph (b) of this 
section (except in cases where the Consent Order involves sums of less 
than $500,000 in the aggregate, excluding penalties and interest).
    (d) At any time and in accordance with the procedures of subpart J, 
a Consent Order may be modified or rescinded, upon petition by the 
person to whom the Consent Order was issued, and may be rescinded by the 
DOE upon discovery of new evidence which is materially inconsistent with 
evidence upon which the DOE's acceptance of the Consent Order was based. 
Modifications of a Consent Order which is subject to public comment 
under the provisions of paragraph (c) of this section, which in the 
opinion of the DOE significantly change the terms or the impact of the 
original Order, shall be republished under the provisions of that 
paragraph.
    (e) Notwithstanding the issuance of a Consent Order, the DOE may 
seek civil or criminal penalties or compromise civil penalties pursuant 
to subpart P concerning matters encompassed by the Consent Order, unless 
the Consent Order by its terms expressly precludes the DOE from so 
doing.
    (f) If at any time after a Consent Order becomes effective it 
appears to the DOE that the terms of the Consent Order have been 
violated, the DOE may refer such violations to the Department of Justice 
for appropriate action in accordance with subpart P.

Subparts P-T [Reserved]



            Subpart U_Procedures for Electricity Export Cases

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

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



Sec. 205.260  Purpose and scope.

    (a) The purpose of this section is to state the procedures that will 
be followed by the Economic Regulatory Administration of the Department 
of Energy in electricity export adjudications.
    (b) Definitions. As used in this subpart--
    Administrator means the Administrator of the Economic Regulatory 
Administration.
    Decisional employees means the Administrator, presiding officers at 
adjudicatory hearings, and other employees of the Department, including 
consultants and contractors, who are, or may reasonably be expected to 
be, involved in the decision-making process, which includes advising the 
Administrator in resolving the issues in an adjudication. The term does 
not include those employees of the Department performing investigative 
or trial functions in an adjudication, unless they are specifically 
requested by the Administrator or his delegate to participate in the 
decision-making process.
    Department means the Department of Energy.
    Off-the-record communication means an ex parte communication, which 
is an oral or written communication relevant to the merits of an 
adjudication and not on the record and with respect to which reasonable 
prior notice to all participants and opportunity to be present at, or 
respond to, the communication is not given, but does not include a 
communication relating solely to procedures which are not relevant to 
the merits of the adjudication.
    Interested person means a person outside the Department whose 
interest in the adjudication goes beyond the general interest of the 
public as a whole and includes applicants, intervenors, competitors of 
applicants, non-profit and public interest organizations, and other 
individuals and organizations, including state, local and other public 
officials, with a proprietary, financial or other special interest in 
the outcome of the adjudication. The term does not include other federal 
agencies, unless an

[[Page 32]]

agency is a participant in the adjudication.
    Participant means any applicant or intervenor participating in the 
adjudication.
    Adjudication means a formal proceeding employing procedures 
identical or similar to those required by the Administrative Procedure 
Act, as codified in 5 U.S.C. 551, 556, and 557, to consider an 
application to export electricity.
    Reasonable prior notice means 7 days' written notice stating the 
nature and purpose of the communication.
    Relevant to the merits means a communication directly related to the 
merits of a specific adjudication but does not include general 
background discussions about an entire industry or communications of a 
general nature made in the course of developing agency policy for future 
general application.



Sec. Sec. 205.261-205.269  [Reserved]



Sec. 205.270  Off-the-record communications.

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



        Subpart V_Special Procedures for Distribution of Refunds

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

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



Sec. 205.280  Purpose and scope.

    This subpart establishes special procedures pursuant to which 
refunds may be made to injured persons in order to remedy the effects of 
a violation of the regulations of the Department of Energy. This subpart 
shall be applicable to those situations in which the Department of 
Energy is unable to readily identify persons who are entitled to

[[Page 33]]

refunds specified in a Remedial Order, a Remedial Order for Immediate 
Compliance, an Order of Disallowance or a Consent Order, or to readily 
ascertain the amounts that such persons are entitled to receive.



Sec. 205.281  Petition for implementation of special refund 
procedures.

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



Sec. 205.282  Evaluation of petition by the Office of Hearings and 
Appeals.

    (a) After considering the Petition, the Director of the Office of 
Hearings and Appeals or his designee shall issue a Proposed Decision and 
Order. The Proposed Decision and Order shall generally describe the 
nature of the particular refund proceeding and shall set forth the 
standards and procedures that the Office of Hearings and Appeals intends 
to apply in evaluating refund claims.
    (b) The Proposed Decision and Order shall be published in the 
Federal Register together with a statement that any member of the public 
may submit written comments to the Office of Hearings and Appeals with 
respect to the matter. At least 30 days following publication in the 
Federal Register shall be provided for the submission of comments.
    (c) After considering the comments submitted, the Director of the 
Office of Hearings and Appeals or his designee shall issue a final 
Decision and Order which shall govern the disposition of the refunds. 
The final Decision and Order shall also be published in the Federal 
Register.
    (d) The final Decision and Order shall set forth the standards and 
procedures that will be used in evaluating individual Applications for 
Refunds and distributing the refund amount. Those standards and 
procedures shall be consistent with the provisions of this subpart.
    (e) In establishing standards and procedures for implementing refund 
distributions, the Office of Hearings and Appeals shall take into 
account the desirability of distributing the refunds in an efficient, 
effective and equitable manner and resolving to the maximum extent 
practicable all outstanding claims. In order to do so, the standards for 
evaluation of individual claims may be based upon appropriate 
presumptions.



Sec. 205.283  Applications for refund.

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

[[Page 34]]

Decision and Order referred to in Sec. 205.282(c). A filing deadline 
for Applications shall also be specified in the final Decision and 
Order, and shall be no less than 90 days after the publication of the 
Order in the Federal Register.
    (c) Each Application shall be in writing and signed by the 
applicant, and shall indicate whether the applicant or any person acting 
on his instructions has filed or intends to file any other Application 
or claim of whatever nature regarding the matters at issue in the 
underlying enforcement proceeding. Each Application shall also include a 
sworn statement by the applicant that all information in his Application 
is true and correct to the best of his knowledge and belief.



Sec. 205.284  Processing of applications.

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



Sec. 205.285  Effect of failure to file a timely application.

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



Sec. 205.286  Limitations on amount of refunds.

    (a) The aggregate amount of all refunds approved by the Office of 
Hearings and Appeals or its designee in a given case shall not exceed 
the amount to be remitted pursuant to the relevant DOE enforcement 
order, plus any accumulated interest, reduced by the amount of any 
administrative costs approved by the Office of Hearings and Appeals. In 
the event that the aggregate amount of approved claims exceeds the 
aggregate amount of funds specified above, the Office of Hearings and 
Appeals may make refunds on a pro rata basis. The Office of Hearings and 
Appeals may delay payment of any

[[Page 35]]

refunds until all Applications have been processed.
    (b) The Office of Hearings and Appeals may decline to consider 
Applications for refund amounts that, in view of the direct 
administrative costs involved, are too small to warrant individual 
consideration.



Sec. 205.287  Escrow accounts, segregated funds and other guarantees.

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



Sec. 205.288  Interim and ancillary orders.

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



   Subpart W_Electric Power System Permits and Reports; Applications; 
                 Administrative Procedures and Sanctions

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

    Source: 45 FR 71560, Oct. 28, 1980; 46 FR 63209, Dec. 31, 1981, 
unless otherwise noted.
    (Approved by the Office of Management and Budget under Control No. 
1901-0245)

 Application for Authorization to Transmit Electric Energy to a Foreign 
                                 Country



Sec. 205.300  Who shall apply.

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



Sec. 205.301  Time of filing.

    Each application should be made at least six months in advance of 
the initiation of the proposed electricity export, except when otherwise 
permitted

[[Page 36]]

by the ERA to resolve an emergency situation.



Sec. 205.302  Contents of application.

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



Sec. 205.303  Required exhibits.

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



Sec. 205.304  Other information.

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

[[Page 37]]

not furnish the information called for in Sec. Sec. 205.302(g) and 
205.303 (Exhibit C). Applicants, regardless of the amount of electric 
energy to be exported, may be required to furnish such supplemental 
information as the ERA may deem pertinent.



Sec. 205.305  Transferability.

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



Sec. 205.306  Authorization not exclusive.

    No authorization granted pursuant to section 202(e) of the Act shall 
be deemed to prevent an authorization from being granted to any other 
person or entity to export electric energy or to prevent any other 
person or entity from making application for an export authorization.



Sec. 205.307  Form and style; number of copies

    An original and two conformed copies of an application containing 
the information required under Sec. Sec. 205.300 through 205.309 must 
be filed.



Sec. 205.308  Filing schedule and annual reports.

    (a) Persons authorized to transmit electric energy from the United 
States shall promptly file all supplements, notices of succession in 
ownership or operation, notices of cancellation, and certificates of 
concurrence. In general, these documents should be filed at least 30 
days prior to the effective date of any change.
    (b) A change in the tariff arrangement does not require an amendment 
to the authorization. However, any entity with an authorization to 
export electric energy shall file with the ERA, and the appropriate 
state regulatory agency, a certified copy of any changed rate schedule 
and terms. Such changes may take effect upon the date of filing of 
informational data with the ERA.
    (c) Persons receiving authorization to transmit electric energy from 
the United States shall submit to the ERA, by February 15 each year, a 
report covering each month of the preceding calendar year detailing the 
gross amount of kilowatt-hours of energy, by authorized category, 
received or delivered, and the cost and revenue associated with each 
category.

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

[45 FR 71560, Oct. 28, 1980, as amended at 46 FR 63209, Dec. 31, 1981]



Sec. 205.309  Filing procedures and fees.

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

[[Page 38]]

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



Sec. 205.320  Who shall apply.

    (a) Any person, firm, co-operative, corporation or other entity who 
operates an electric power transmission or distribution facility 
crossing the border of the United States, for the transmission of 
electric energy between the United States and a foreign country, shall 
have a Presidential Permit, in compliance with Executive Order 10485, as 
amended by Executive Order 12038. Such applications should be filed with 
the Office of Utility Systems of the Economic Regulatory Administration.
    Note: E.O. 12038, dated February 3, 1978, amended E.O. 10485, dated 
September 3, 1953, to delete the words ``Federal Power Commission'' and 
``Commission'' and substitute for each ``Secretary of Energy.'' E.O. 
10485 revoked and superseded E.O. 8202, dated July 13, 1939.
    (b) In connection with applications hereunder, attention is directed 
to the provisions of Sec. Sec. 205.300 to 205.309, above, concerning 
applications for authorization to transmit electric energy from the 
United States to a foreign country pursuant to section 202(e) of the 
Federal Power Act.



Sec. 205.321  Time of filing.

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



Sec. 205.322  Contents of application.

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

[[Page 39]]

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



Sec. 205.323  Transferability.

    (a) Neither a permit issued by the ERA pursuant to Executive Order 
10485, as amended, nor the facility shall be transferable or assignable. 
Provided written notice is given to the ERA within 30 days, the 
authorization may continue in effect temporarily in the event of the 
involuntary transfer of the facility by operation of law (including 
transfers to receivers, trustees, or purchases under foreclosure or 
judicial sale). This continuance is contingent on the filing of an 
application for a new permit and may be effective until a decision is 
made thereon.
    (b) In the event of a proposed voluntary transfer of the facility, 
the permittee and the party to whom the transfer would be made shall 
file a joint application with the ERA pursuant to this paragraph, 
setting forth information as required by Sec. 205.320 et seq., together 
with a statement of reasons for the transfer. The application shall be 
accompanied by a filing fee pursuant to Sec. 205.326.
    (c) No substantial change shall be made in any facility authorized 
by permit or in the operation thereof unless or until such change has 
been approved by the ERA.
    (d) Permits may be modified or revoked without notice by the 
President

[[Page 40]]

of the United States, or by the Administrator of the ERA after public 
notice.



Sec. 205.324  Form and style; number of copies.

    All applicants shall file an original and two conformed copies of 
the application and all accompanying documents required under Sec. Sec. 
205.320 through 205.327.



Sec. 205.325  Annual report.

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



Sec. 205.326  Filing procedures and fees.

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



Sec. 205.327  Other information.

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



Sec. 205.328  Environmental requirements for Presidential Permits--
Alternative 1.

    (a) NEPA Compliance. Except as provided in paragraphs (c) and (e) of 
this section, when an applicant seeks a Presidential Permit, such 
applicant will be responsible for the costs of preparing any necessary 
environmental document, including an Environmental Impact Statement 
(EIS), arising from ERA's obligation to comply with the National 
Environmental Policy Act of 1969 (NEPA). ERA will determine whether an 
environmental assessment (EA) or EIS is required within 45 days of the 
receipt of the Presidential Permit application and of environmental 
information submitted pursuant to 10 CFR 205.322 (c) and (d). ERA will 
use these and other sources of information as the basis for making the 
environmental determination:
    (1) If an EIS is determined to be necessary, the applicant shall 
enter into a contract with an independent third party, which may be a 
Government-owned, contractor-operated National Laboratory, or a 
qualified private entity selected by ERA. The third party contractor 
must be qualified to conduct an environmental review and prepare an EIS, 
as appropriate, under the supervision of ERA, and may not have a 
financial or other interest in the outcome of the proceedings. The NEPA 
process must be completed and approved before ERA will issue a 
Presidential Permit.
    (2) If an EA is determined to be necessary, the applicant may be 
permitted to prepare an environmental assessment pursuant to 10 CFR 
1506.5(b) for review and adoption by ERA, or the applicant may enter 
into a third party contract as set forth in this section.
    (b) Environmental Review Procedure. Except as provided in paragraphs 
(c) and (e) of this section, environmental documents, including the EIS, 
where necessary, will be prepared utilizing the process set forth above. 
ERA, the applicant, and the independent third party, which may be a 
Government-owned, contractor-operated National Laboratory or a private 
entity, shall enter into an agreement in which the applicant will engage 
and pay directly for the services of the qualified third party to 
prepare the necessary environmental documents. The agreement shall 
outline the responsibilities of each party and its relationship to the 
other two parties regarding the work to be done or supervised. ERA shall 
approve the information to be developed and supervise the gathering, 
analysis

[[Page 41]]

and presentation of the information. In addition, ERA will have the 
authority to approve and modify any statement, analysis, and conclusion 
contained in the environmental documents prepared by the third party. 
Before commencing preparation of the environmental document the third 
party will execute an ERA-prepared disclosure document stating that it 
does not have any conflict of interest, financial or otherwise, in the 
outcome of either the environmental process or the Permit application.
    (c) Financial Hardship. Whenever ERA determines that a project is no 
longer economically feasible, or that a substantial financial burden 
would be imposed by the applicant bearing all of the costs of the NEPA 
studies, ERA may waive the requirement set forth in paragraphs (a) and 
(b) of this section and perform the necessary environmental review, 
completely or in part, with its own resources.
    (d) Discussions Prior to Filing. Prior to the preparation of any 
Presidential Permit application and environmental report, a potential 
applicant is encouraged to contact ERA and each affected State public 
utility regulatory agency to discuss the scope of the proposed project 
and the potential for joint State and Federal environmental review.
    (e) Federal Exemption. Upon a showing by the applicant that it is 
engaged in the transaction of official business of the Federal 
Government in filing the application pursuant to 10 CFR 205.320 et seq., 
it will be exempt from the requirements of this section.

[48 FR 33819, July 25, 1983]



Sec. 205.329  Environmental requirements for Presidential Permits--
Alternative 2.

    (a) NEPA Compliance. Except as provided in paragraph (b) and (e) of 
this section, applicants seeking Presidential Permits will be 
financially responsible for the expenses of any contractor chosen by ERA 
to prepare any necessary environmental document arising from ERA's 
obligation to comply with the National Environmental Policy Act of 1969 
(NEPA) in issuing such Presidential Permits:
    (1) ERA will determine whether an Environmental Impact Statement 
(EIS) or an Environmental Assessment (EA) is required within 45 days of 
receipt of the Presidential Permit application and of the environmental 
information submitted pursuant to 10 CFR 205.322 (c) and (d). ERA will 
use these and other sources of information as the basis for making the 
environmental determination.
    (2) If an EIS is determined to be necessary, ERA will notify the 
applicant of the fee for completing the EIS within 90 days after the 
submission of the application and environmental information. The fee 
shall be based on the expenses estimated to be incurred by DOE in 
contracting to prepare the EIS (i.e., the estimated fee charges to ERA 
by the contractor). DOE employee salaries and other fixed costs, as set 
forth in OMB Circular A-25, shall not be included in the applicant's 
fee. Fee payment shall be by check, draft, or money order payable to the 
Treasurer of the United States, and shall be submitted to ERA. Upon 
submission of fifty percent of the environmental fee, ERA will provide 
to the applicant a tentative schedule for completion of the EIS.
    (3) If an EA is determined to be necessary, the applicant may be 
permitted to prepare an environmental assessment pursuant to 40 CFR 
1506.5(b) for review and adoption by ERA, or the applicant may choose to 
have ERA prepare the EA pursuant to the fee procedures set forth above.
    (4) The NEPA process must be completed and approved before ERA will 
issue a Presidential Permit.
    (b) Financial Hardship. Whenever ERA determines that a project is no 
longer economically feasible, or that a substantial financial burden 
would be imposed by the applicant bearing all of the costs of the NEPA 
studies, ERA may waive the requirement set forth in paragraphs (a) and 
(b) of this section and perform the necessary environmental review, 
completely or in part, with its own resources.
    (c) Discussions Prior to Filing. Prior to the preparation of any 
Presidential Permit application and environmental

[[Page 42]]

assessment, a potential applicant is encouraged to contact ERA and each 
affected State public utility regulatory agency to discuss the scope of 
the proposed project and the potential for joint State and Federal 
environmental review.
    (d) Fee Payment. The applicant shall make fee payment for completing 
the EIS to ERA in the following manner:
    (1) 50 percent of the total amount due to be paid within 30 days of 
receipt of the fee information from DOE;
    (2) 25 percent to be paid upon publication of the draft EIS; and
    (3) 25 percent to be paid upon publication of the final EIS.

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

[48 FR 33820, July 25, 1983]

           Report of Major Electric Utility System Emergencies

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

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



Sec. 205.350  General purpose.

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

(Approved by the Office of Management and Budget under control number 
1901-0288)



Sec. 205.351  Reporting requirements.

    For the purpose of this section, a report or a part of a report may 
be made jointly by two or more entities. Every electric utility or other 
entity engaged in the generation, transmission or distribution of 
electric energy for delivery and/or sale to the public shall report 
promptly, through the DOE Emergency Operations Center, by telephone, the 
occurrence of any event such as described in paragraphs (a) through (d) 
of this section. These reporting procedures are mandatory. Entities that 
fail to comply within 24 hours will be contacted and reminded of their 
reporting obligation.
    (a) Loss of Firm System Loads, caused by:
    (1) Any load shedding actions resulting in the reduction of over 100 
megawatts (MW) of firm customer load for reasons of maintaining the 
continuity of the bulk electric power supply system.
    (2) Equipment failures/system operational actions attributable to 
the loss of firm system loads for a period in excess of 15 minutes, as 
described below:
    (i) Reports from entities with a previous year recorded peak load of 
over 3000 MW are required for all such losses of firm loads which total 
over 300 MW.
    (ii) Reports from all other entities are required for all such 
losses of firm loads which total over 200 MW or 50 percent of the system 
load being supplied immediately prior to the incident, whichever is 
less.
    (3) Other events or occurrences which result in a continuous 
interruption for 3 hours or longer to over 50,000 customers, or more 
than 50 percent of the total customers being served immediately prior to 
the interruption, whichever is less.
    (b) Voltage Reductions or Public Appeals:

[[Page 43]]

    (1) Reports are required for any anticipated or actual system 
voltage reductions of 3 percent or greater for purposes of maintaining 
the continuity of the bulk electric power supply system.
    (2) Reports are required for any issuance of a public appeal to 
reduce the use of electricity for purposes of maintaining the continuity 
of the bulk electric power system.
    (c) Vulnerabilities that could Impact System Reliability:
    (1) Reports are required for any actual or suspected act(s) of 
physical sabotage (not vandalism) or terrorism directed at an electric 
power supply system, local or regional, in an attempt to either:
    (i) Disrupt or degrade the service reliability of the local or 
regional bulk electric power supply system, or
    (ii) Disrupt, degrade, or deny bulk electric power service to:
    (A) A specific facility (industrial, military, governmental, 
private), or
    (B) A specific service (transportation, communications), or
    (C) A specific locality (town, city, county).
    (2) Reports are required for any abnormal emergency system operating 
condition(s) or other event(s) which in the judgment of the reporting 
entity could or would constitute a hazard to maintaining the continuity 
of the bulk electric power supply system. Examples will be provided in 
the DOE pamphlet on reporting procedures.
    (d) Fuel Supply Emergencies:
    (1) Reports are required for any anticipated or existing fuel supply 
emergency situation which would threaten the continuity of the bulk 
electric power supply system, such as:
    (i) Fuel stocks or hydro project water storage levels are at 50 
percent (or less) of normal for that time of the year, and a continued 
downward trend is projected.
    (ii) Unscheduled emergency generation is dispatched causing an 
abnormal use of a particular fuel type, such that the future supply or 
stocks of that fuel could reach a level which threatens the reliability 
or adequacy of electric service.

(Approved by the Office of Management and Budget under control number 
1901-0288)



Sec. 205.352  Information to be reported.

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

(Approved by the Office of Management and Budget under control number 
1901-0288)



Sec. 205.353  Special investigation and reports.

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

(Approved by the Office of Management and Budget under control number 
1901-0288)

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

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

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

[[Page 44]]



Sec. 205.370  Applicability.

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



Sec. 205.371  Definition of emergency.

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



Sec. 205.372  Filing procedures; number of copies.

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



Sec. 205.373  Application procedures.

    Every application for an emergency order shall set forth the 
following information as required. This information shall be considered 
by the DOE in determining that an emergency exists and in deciding to 
issue an order pursuant to sections 202(c) and 202(d) of the Federal 
Power Act.
    (a) The exact legal name of the applicant and of all other 
``entities'' named in the application.

[[Page 45]]

    (b) The name, title, post office address, and telephone number of 
the person to whom correspondence in regard to the application shall be 
addressed.
    (c) The political subdivision in which each ``entity'' named in the 
application operates, together with a brief description of the area 
served and the business conducted in each location.
    (d) Each application for a section 202(c) order shall include the 
following baseline data:
    (1) Daily peak load and energy requirements for each of the past 30 
days and projections for each day of the expected duration of the 
emergency;
    (2) All capacity and energy receipts or deliveries to other electric 
utilities for each of the past 30 days, indicating the classification 
for each transaction;
    (3) The status of all interruptible customers for each of the past 
30 days and the anticipated status of these customers for each day of 
the expected duration of the emergency, assuming both the granting and 
the denial of the relief requested herein;
    (4) All scheduled capacity and energy receipts or deliveries to 
other electric utilities for each day of the expected duration of the 
emergency.
    (e) A description of the situation and a discussion of why this is 
an emergency, including any necessary background information. This 
should include any contingency plan of the applicant and the current 
level of implementation.
    (f) A showing that adequate electric service to firm customers 
cannot be maintained without additional power transfers.
    (g) A description of any conservation or load reduction actions that 
have been implemented. A discussion of the achieved or expected results 
or these actions should be included.
    (h) A description of efforts made to obtain additional power through 
voluntary means and the results of such efforts; and a showing that the 
potential sources of power and/or transmission services designated 
pursuant to paragraphs (i) through (k) of this section informed that the 
applicant believed that an emergency existed within the meaning of Sec. 
205.371.
    (i) A listing of proposed sources and amounts of power necessary 
from each source to alleviate the emergency and a listing of any other 
``entities'' that may be directly affected by the requested order.
    (j) Specific proposals to compensate the supplying ``entities'' for 
the emergency services requested and to compensate any transmitting 
``entities'' for services necessary to deliver such power.
    (k) A showing that, to the best of the applicant's knowledge, the 
requested relief will not unreasonably impair the reliability of any 
``entity'' directly affected by the requested order to render adequate 
service to its customers.
    (l) Description of the facilities to be used to transfer the 
requested emergency service to the applicant's system.
    (1) If a temporary interconnection under the provisions of section 
202(c) is proposed independently, the following additional information 
shall be supplied for each such interconnection:
    (i) Proposed location;
    (ii) Required thermal capacity or power transfer capability of the 
interconnection;
    (iii) Type of emergency services requested, including anticipated 
duration;
    (iv) An electrical one line diagram;
    (v) A description of all necessary materials and equipment; and
    (vi) The projected length of time necessary to complete the 
interconnection.
    (2) If the requested emergency assistance is to be supplied over 
existing facilities, the following information shall be supplied for 
each existing interconnection:
    (i) Location;
    (ii) Thermal capacity of power transfer capability of 
interconnection facilities; and
    (iii) Type and duration of emergency services requested.
    (m) A general or key map on a scale not greater than 100 kilometers 
to the centimeter showing, in separate colors, the territory serviced by 
each ``entity'' named in the application; the location of the facilities 
to be used for the generation and transmission of the requested 
emergency service; and all connection points between systems.

[[Page 46]]

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



Sec. 205.374  Responses from ``entities'' designated in the 
application.

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



Sec. 205.375  Guidelines defining inadequate fuel or energy supply.

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

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



Sec. 205.376  Rates and charges.

    The applicant and the generating or transmitting systems from which 
emergency service is requested are encouraged to utilize the rates and 
charges contained in approved existing rate schedules or to negotiate 
mutually satisfactory rates for the proposed

[[Page 47]]

transactions. In the event that the DOE determines that an emergency 
exists under section 202(c), and the ``entities'' are unable to agree on 
the rates to be charged, the DOE shall prescribe the conditions of 
service and refer the rate issues to the Federal Energy Regulatory 
Commission for determination by that agency in accordance with its 
standards and procedures.



Sec. 205.377  Reports.

    In addition to the information specified below, the DOE may require 
additional reports as it deems necessary.
    (a) Where the DOE has authorized the temporary connection of 
transmission facilities, all ``entities'' whose transmission facilities 
are thus temporarily interconnected shall report the following 
information to the DOE within 15 days following completion of the 
interconnection:
    (1) The date the temporary interconnection was completed;
    (2) The location of the interconnection;
    (3) A description of the interconnection; and
    (4) A one-line electric diagram of the interconnection.
    (b) Where the DOE orders the transfer of power, the ``entity'' 
receiving such service shall report the following information to the DOE 
by the 10th of each month for the preceding month's activity for as long 
as such order shall remain in effect:
    (1) Amounts of capacity and/or energy received each day;
    (2) The name of the supplier;
    (3) The name of any ``entity'' supplying transmission services; and
    (4) Preliminary estimates of the associated costs.
    (c) Where the DOE has approved the installation of permanent 
facilities that will be used only during emergencies, any use of such 
facilities shall be reported to the DOE within 24 hours. Details of such 
usage shall be furnished as deemed appropriate by the DOE after such 
notification.
    (d) Any substantial change in the information provided under Sec. 
205.373 shall be promptly reported to the DOE.

(Approved by the Office of Management and Budget under Control No. 1904-
0066)

[46 FR 39989, Aug. 6, 1981, as amended at 46 FR 63209, Dec. 31, 1981]



Sec. 205.378  Disconnection of temporary facilities.

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



Sec. 205.379  Application for approval of the installation of 
permanent facilities for emergency use only.

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



PART 207_COLLECTION OF INFORMATION--Table of Contents




    Subpart A_Collection of Information Under the Energy Supply and 
                 Environmental Coordination Act of 1974

Sec.
207.1 Purpose.
207.2 Definitions.
207.3 Method of collecting energy information under ESECA.
207.4 Confidentiality of energy information.
207.5 Violations.
207.6 Notice of probable violation and remedial order.
207.7 Sanctions.
207.8 Judicial actions.

[[Page 48]]

207.9 Exceptions, exemptions, interpretations, rulings and rulemaking.

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

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



    Subpart A_Collection of Information Under the Energy Supply and 
                 Environmental Coordination Act of 1974



Sec. 207.1  Purpose.

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



Sec. 207.2  Definitions.

    As used in this subpart:
    Administrator means the Federal Energy Administrator of his 
delegate.
    Energy information includes all information in whatever form on (1) 
fuel reserves, exploration, extraction, and energy resources (including 
petrochemical feedstocks) wherever located; (2) production, 
distribution, and consumption of energy and fuels, wherever carried on; 
and (3) matters relating to energy and fuels such as corporate structure 
and proprietary relationships, costs, prices, capital investment, and 
assets, and other matters directly related thereto, wherever they exist.
    ESECA means the Energy Supply and Environmental Coordination Act of 
1974 (Pub. L. 93-319).
    EPAA means the Emergency Petroleum Allocation Act of 1973 (Pub. L. 
93-159).
    DOE means the Department of Energy.
    Person means any natural person, corporation, partnership, 
association, consortium, or any entity organized for a common business 
purpose, wherever situated, domiciled, or doing business, who directly 
or through other persons subject to their control does business in any 
part of the United States.
    United States, when used in the geographical sense, means the 
States, the District of Columbia, Puerto Rico, and the territories and 
possessions of the United States.



Sec. 207.3  Method of collecting energy information under ESECA.

    (a) Whenever the Administrator determines that:
    (1) Certain energy information is necessary to assist in the 
formulation of energy policy or to carry out the purposes of the ESECA 
of the EPAA; and
    (2) Such energy information is not available to DOE under the 
authority of statutes other than ESECA or that such energy information 
should, as a matter of discretion, be collected under the authority of 
ESECA;


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

Any such subpoena or rule or order shall contain (or be accompanied by) 
a recital that energy information is requested under the authority of 
ESECA.

[[Page 49]]

    (f) For the purpose of verifying the accuracy of any energy 
information requested, acquired, or collected by the DOE, the 
Administrator, or any officer or employee duly designated by him, upon 
presenting appropriate credentials and a written notice from the 
Administrator to the owner, operator, or agent in charge, may--
    (1) Enter, at reasonable times, any business premise of facility; 
and
    (2) Inspect, at reasonable times and in a reasonable manner, any 
such premise or facility, inventory and sample any stock of energy 
resources therein, and examine and copy books, records, papers, or other 
documents, relating to any such energy information.

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



Sec. 207.4  Confidentiality of energy information.

    (a) Information obtained by the DOE under authority of ESECA shall 
be available to the public in accordance with the provisions of part 202 
of this chapter. Upon a showing satisfactory to the Administrator by any 
person that any energy information obtained under this subpart from such 
person would, if made public, divulge methods or processes entitled to 
protection as trade secrets or other proprietary information of such 
person, such information, or portion thereof, shall be deemed 
confidential in accordance with the provisions of section 1905 of title 
18, United States Code; except that such information, or part thereof, 
shall not be deemed confidential pursuant to that section for purposes 
of disclosure, upon request, to (1) any delegate of the DOE for the 
purpose of carrying out ESECA or the EPAA, (2) the Attorney General, the 
Secretary of the Interior, the Federal Trade Commission, the Federal 
Power Commission, or the General Accounting Office, when necessary to 
carry out those agencies' duties and responsibilities under ESECA and 
other statutes, and (3) the Congress, or any Committee of Congress upon 
request of the Chairman.
    (b) Whenever the Administrator requests reports of energy 
information under this subpart, he may specify (in the rule, order or 
questionnaire or other means by which he has requested such reports) the 
nature of the showing required to be made in order to satisfy DOE that 
certain energy information contained in such reports warrants 
confidential treatment in accordance with this section. He shall, to the 
maximum extent practicable, either before or after requesting reports, 
by ruling or otherwise, inform respondents providing energy information 
pursuant to this subpart of whether such information will be made 
available to the public pursuant to requests under the Freedom of 
Information Act (5 U.S.C. 552).



Sec. 207.5  Violations.

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



Sec. 207.6  Notice of probable violation and remedial order.

    (a) Purpose and scope. (1) This section establishes the procedures 
for determining the nature and extent of violations of this subpart and 
the procedures for issuance of a notice of probable violation, a 
remedial order or a remedial order for immediate compliance.
    (2) When the DOE discovers that there is reason to believe a 
violation of any provision of this subpart, or any order issued 
thereunder, has occurred, is continuing or is about to occur, the DOE 
may conduct proceedings to determine the nature and extent of the 
violation and may issue a remedial order thereafter. The DOE may 
commence such proceeding by serving a notice of probable violation or by 
issuing a remedial order for immediate compliance.
    (b) Notice of probable violation. (1) The DOE may begin a proceeding 
under this subpart by issuing a notice of probable violation if the DOE 
has reason to believe that a violation has occurred, is continuing, or 
is about to occur.

[[Page 50]]

    (2) Within 10 days of the service of a notice of probable violation, 
the person upon whom the notice is served may file a reply with the DOE 
office that issued the notice of probable violation at the address 
provided in Sec. 205.12 of this chapter. The DOE may extend the 10-day 
period for good cause shown.
    (3) The reply shall be in writing and signed by the person filing 
it. The reply shall contain a full and complete statement of all 
relevant facts pertaining to the act or transaction that is the subject 
of the notice of probable violation. Such facts shall include a complete 
statement of the business or other reasons that justify the act or 
transaction, it appropriate; a detailed description of the act or 
transaction; and a full discussion of the pertinent provisions and 
relevant facts reflected in any documents submitted with the reply. 
Copies of all relevant documents shall be submitted with the reply.
    (4) The reply shall include a discussion of all relevant 
authorities, including, but not limited to, DOE rulings, regulations, 
interpretations, and decisions on appeals and exceptions relied upon to 
support the particular position taken.
    (5) The reply should indicate whether the person requests or intends 
to request a conference regarding the notice. Any request not made at 
the time of the reply shall be made as soon thereafter as possible to 
insure that the conference is held when it will be most beneficial. A 
request for a conference must conform to the requirements of subpart M 
of part 205 of this chapter.
    (6) If a person has not filed a reply with the DOE within the 10-day 
period provided, and the DOE has not extended the 10-day period, the 
person shall be deemed to have conceded the accuracy of the factual 
allegations and legal conclusions stated in the notice of probable 
violation.
    (7) If the DOE finds, after the 10-day period provided in Sec. 
207.6(b)(2), that no violation has occurred, is continuing, or is about 
to occur, or that for any reason the issuance of a remedial order would 
not be appropriate, it shall notify, in writing, the person to whom a 
notice of probable violation has been issued that the notice is 
rescinded.
    (c) Remedial order. (1) If the DOE finds, after the 10-day period 
provided in Sec. 207.6(b)(2), that a violation has occurred, is 
continuing, or is about to occur, the DOE may issue a remedial order. 
The order shall include a written opinion setting forth the relevant 
facts and the legal basis of the remedial order.
    (2) A remedial order issued under this subpart shall be effective 
upon issuance, in accordance with its terms, until stayed, suspended, 
modified or rescinded. The DOE may stay, suspend, modify or rescind a 
remedial order on its own initiative or upon application by the person 
to whom the remedial order is issued. Such action and application shall 
be in accordance with the procedures for such proceedings provided for 
in part 205 of this chapter.
    (3) A remedial order may be referred at any time to the Department 
of Justice for appropriate action in accordance with Sec. 207.7.
    (d) Remedial order for immediate compliance. (1) Notwithstanding 
paragraphs (b) and (c) of this section, the DOE may issue a remedial 
order for immediate compliance, which shall be effective upon issuance 
and until rescinded or suspended, if it finds:
    (i) There is a strong probability that a violation has occurred, is 
continuing or is about to occur;
    (ii) Irreparable harm will occur unless the violation is remedied 
immediately; and
    (iii) The public interest requires the avoidance of such irreparable 
harm through immediate compliance and waiver of the procedures afforded 
under paragraphs (b) and (c) of this section.
    (2) A remedial order for immediate compliance shall be served 
promptly upon the person against whom such order is issued by telex or 
telegram, with a copy served by registered or certified mail. The copy 
shall contain a written statement of the relevant facts and the legal 
basis for the remedial order for immediate compliance, including the 
findings required by paragraph (d)(1) of this section.
    (3) The DOE may rescind or suspend a remedial order for immediate 
compliance if it appears that the criteria set forth in paragraph (d)(1) 
of this section

[[Page 51]]

are no longer satisfied. When appropriate, however, such a suspension or 
rescission may be accompanied by a notice of probable violation issued 
under paragraph (b) of this section.
    (4) If at any time in the course of a proceeding commenced by a 
notice of probable violation the criteria set forth in paragraph (d)(1) 
of this section are satisfied, the DOE may issue a remedial order for 
immediate compliance, even if the 10-day period for reply specified in 
Sec. 207.6(b)(2) of this part has not expired.
    (5) At any time after a remedial order for immediate compliance has 
become effective the DOE may refer such order to the Department of 
Justice for appropriate action in accordance with Sec. 207.7 of this 
part.
    (e) Remedies. A remedial order or a remedial order for immediate 
compliance may require the person to whom it is directed to take such 
action as the DOE determines is necessary to eliminate or to compensate 
for the effects of a violation.
    (f) Appeal. (1) No notice of probable violation issued pursuant to 
this subpart shall be deemed to be an action of which there may be an 
administrative appeal.
    (2) Any person to whom a remedial order or a remedial order for 
immediate compliance is issued under this subpart may file an appeal 
with the DOE Office of Exceptions and Appeals in accordance with the 
procedures for such appeal provided in subpart H of part 205 of this 
chapter. The appeal must be filed within 10 days of service of the order 
from which the appeal is taken.



Sec. 207.7  Sanctions.

    (a) General. (1) Penalties and sanctions shall be deemed cumulative 
and not mutually exclusive.
    (2) Each day that a violation of the provisions of this subpart or 
any order issued pursuant thereto continues shall be deemed to 
constitute a separate violation within the meaning of the provisions of 
this subpart relating to criminal fines and civil penalties.
    (b) Criminal penalties. Any person who willfully violates any 
provision of this subpart or any order issued pursuant thereto shall be 
subject to a fine of not more than $5,000 for each violation. Criminal 
violations are prosecuted by the Department of Justice upon referral by 
the DOE.
    (c) Civil Penalties. (1) Any person who violates any provision of 
this subpart or any order issued pursuant thereto shall be subject to a 
civil penalty of not more than $2,750 for each violation. Actions for 
civil penalties are prosecuted by the Department of Justice upon 
referral by the DOE.
    (2) When the DOE considers it to be appropriate or advisable, the 
DOE may compromise and settle, and collect civil penalties.

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



Sec. 207.8  Judicial actions.

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



Sec. 207.9  Exceptions, exemptions, interpretations, rulings and 
rulemaking.

    Applications for exceptions, exemptions or requests for 
interpretations relating to this subpart shall be filed in

[[Page 52]]

accordance with the procedures provided in subparts D, E and F, 
respectively, of part 205 of this chapter. Rulings shall be issued in 
accordance with the procedures of subpart K of part 205 of this chapter. 
Rulemakings shall be undertaken in accordance with the procedures 
provided in subpart L of part 205 of this chapter.



PART 209_INTERNATIONAL VOLUNTARY AGREEMENTS--Table of Contents




                      Subpart A_General Provisions

Sec.
209.1 Purpose and scope.
209.2 Delegation.
209.3 Definitions.

              Subpart B_Development of Voluntary Agreements

209.21 Purpose and scope.
209.22 Initiation of meetings.
209.23 Conduct of meetings.
209.24 Maintenance of records.

   Subpart C_Carrying Out of Voluntary Agreements and Developing and 
                    Carrying Out of Plans of Actions

209.31 Purpose and scope.
209.32 Initiation of meetings.
209.33 Conduct of meetings.
209.34 Maintenance of records.

     Subpart D_Availability of Information Relating to Meetings and 
                             Communications

209.41 Availability of information relating to meetings and 
          communications.

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

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



                      Subpart A_General Provisions



Sec. 209.1  Purpose and scope.

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



Sec. 209.2  Delegation.

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



Sec. 209.3  Definitions.

    For purposes of this part--
    (a) Administrator means the Administrator of the Department of 
Energy.
    (b) Information and allocation provisions of the International 
Energy Program means the provisions of chapter V of the Program relating 
to the Information System, and the provisions at chapters III and IV 
thereof relating to the international allocation of petroleum.
    (c) International Energy Agency (IEA) means the International Energy 
Agency established by Decision of the Council of the Organization for 
Economic Cooperation and Development, dated November 15, 1974.
    (d) International Energy Program (IEP) means the program established 
pursuant to the Agreement on an International Energy Program signed at 
Paris on November 18, 1974, including (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

[[Page 53]]

required. Such a period shall not exceed 90 days, except where the 
President establishes one or more additional periods by making the 
determination under paragraph (e)(1) of this section.
    (f) Potential participant means any person engaged in the business 
of producing, transporting, refining, distributing, or storing petroleum 
products; ``participant'' means any such person who agrees to 
participate in a voluntary agreement pursuant to a request to do so by 
the Administrator.
    (g) Petroleum or petroleum products means crude oil, residual fuel 
oil, or any refined petroleum product (including any natural gas liquid 
and any natural gas liquid product).



              Subpart B_Development of Voluntary Agreements



Sec. 209.21  Purpose and scope.

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



Sec. 209.22  Initiation of meetings.

    (a) Any meeting held for the purpose of developing a voluntary 
agreement involving two or more potential participants shall be 
initiated and chaired by the Administrator or other regular full-time 
Federal employee designated by him.
    (b) DOE shall provide notice of meetings held pursuant to this 
subpart, in writing, to the Attorney General, the Federal Trade 
Commission, and to the Speaker of the House and the President of the 
Senate for delivery to the appropriate committees of Congress, and to 
the public through publication in the Federal Register. Such notice 
shall identify the time, place, and agenda of the meeting, and such 
other matters as the Administrator deems appropriate. Notice in the 
Federal Register shall be published at least seven days prior to the 
date of the meeting.



Sec. 209.23  Conduct of meetings.

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



Sec. 209.24  Maintenance of records.

    (a) The Administrator shall keep a verbatim transcript of any 
meeting held pursuant to this subpart.
    (b)(1) Except as provided in paragraphs (b) (2) through (4) of this 
section, potential participants shall keep a full and complete record of 
any communications (other than in a meeting held pursuant to this 
subpart) between or among themselves for the purpose of developing a 
voluntary agreement under this part. When two or more potential 
participants are involved in such a communication, they may agree among 
themselves who shall keep such record. Such record shall include the 
names of the parties to the communication and the organizations, if any, 
which they represent; the date of the communication; the means of 
communication; and a description of the communication in sufficient 
detail to convey adequately its substance.
    (2) Where any communication is written (including, but not limited 
to, 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

[[Page 54]]

with other offices or officials of the Department of Energy. Where such 
communication demonstrates that it was sent to the Office of 
International Affairs, Department of Energy with the notation 
``Voluntary Agreement'' marked on the first page of the document, or 
such other offices or officials in the Department of Energy has 
designated pursuant to this section it shall satisfy paragraph (c) of 
this section, for the purpose of deposit with the Department of Energy.
    (3) To the extent that any communication is procedural, 
administrative or ministerial (for example, if it involves the location 
of a record, the place of a meeting, travel arrangements, or similar 
matters), only a brief notation of the date, time, persons involved and 
description of the communication need be recorded.
    (4) To the extent that any communication involves matters which 
recapitulate matters already contained in a full and complete record, 
the substance of such matters shall be identified, but need not be 
recorded in detail, provided that reference is made to the record and 
the portion thereof in which the substance is fully set out.
    (c) Except where the Department of Energy otherwise provides, all 
records and transcripts prepared pursuant to paragraphs (a) and (b) of 
this section, shall be deposited within fifteen (15) days after the 
close of the month of their preparation together with any agreement 
resulting therefrom, with the Department of Energy, and shall be 
available to the Department of Justice, the Federal Trade Commission, 
and the Department of State. Such records and transcripts shall be 
available for public inspection and copying to the extent set forth in 
subpart D. Any person depositing material pursuant to this section shall 
indicate with particularity what portions, if any, the person believes 
are subject to disclosure to the public pursuant to subpart D and the 
reasons for such belief.
    (d) Any meeting between a potential participant and an official of 
DOE for the purpose of developing a voluntary agreement shall, if not 
otherwise required to be recorded pursuant to this section, be recorded 
by such official as provided in Sec. 204.5.

(Approved by the Office of Management and Budget under Control No. 1905-
0079)

(Federal Energy Administration Act of 1974, Pub. L. 93-275, as amended, 
E.O. 11790, 39 FR 23185; E. O. 11930, 41 FR 32397; Energy Policy and 
Conservation Act, Pub. L. 94-163; E.O. 11912, 41 FR 15825; Department of 
Energy Organization Act, Pub. L. 95-91; 91 Stat. 565; E.O. 12009, 42 FR 
46267)

[41 FR 6754, Feb. 13, 1976, as amended at 43 FR 12854, Mar. 28, 1978; 46 
FR 63209, Dec. 31, 1981]



   Subpart C_Carrying Out of Voluntary Agreements and Developing and 
                    Carrying Out of Plans of Actions



Sec. 209.31  Purpose and scope.

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



Sec. 209.32  Initiation of meetings.

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

[[Page 55]]

the meeting. Notice in the Federal Register shall be published at least 
seven days prior to the date of the meeting unless emergency 
circumstances, IEP requirements or other unanticipated circumstances 
require the period to be shortened.
    (c) During an international energy supply emergency, advance notice 
shall be given to the Attorney General, the Federal Trade Commission and 
to the Speaker of the House and the President of the Senate for delivery 
to the appropriate committees of Congress. Such notice may be telephonic 
or by such other means as practicable, and shall be confirmed in 
writing.



Sec. 209.33  Conduct of meetings.

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



Sec. 209.34  Maintenance of records.

    (a) The Administrator or his delegate shall keep a verbatim 
transcript of any meeting held pursuant to this subpart except where (1) 
due to considerations of time or other overriding circumstances, the 
keeping of a verbatim transcript is not practicable, or (2) principal 
participants in the meeting are representatives of foreign governments. 
If any such record other than a verbatim transcript, is kept by a 
designee who is not a full-time Federal employee, that record shall be 
submitted to the full-time Federal employee in attendance at the meeting 
who shall review the record, promptly make any changes he deems 
necessary to make the record full and complete, and shall notify the 
designee of such changes.
    (b)(1) Except as provided in paragraphs (b) (2) through (4) of this 
section, participants shall keep a full and complete record of any 
communication (other than in a meeting held pursuant to this subpart) 
between or among themselves or with any other member of a petroleum 
industry group created by the International Energy Agency, or subgroup 
thereof for the purpose of carrying out a voluntary agreement or 
developing or carrying out a plan of action under this subpart, except 
that where there are several communications within the same day 
involving the same participants, they may keep a cumulative record for 
the day. The parties to a communication may agree among themselves who 
shall keep such record. Such record shall include the 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 56]]

page of the document, no participants need record such a communication 
or send a further copy to the Department of Energy. The Department of 
Energy may, upon written notice to participants, from time to time, or 
with reference to particular types of documents, require deposit with 
other offices or officials of the Department of Energy. Where such 
communication demonstrates that it was sent to the Office of 
International Affairs, Department of Energy with the notation 
``Voluntary Agreement'' on the first page of the document, or such other 
offices or officials as the Department of Energy has designated pursuant 
to this section, it shall satisfy paragraph (c) of this section, for the 
purpose of deposit with the Department of Energy.
    (3) To the extent that any communication is procedural, 
administrative or ministerial (for example, if it involves the location 
of a record, the place of a meeting, travel arrangements, or similar 
matters) only a brief notation of the date, time, persons involved and 
description of the communication need be recorded; except that during an 
IEA emergency allocation exercise or an allocation systems test such a 
non-substantive communication between members of the Industry Supply 
Advisory Group (ISAG) which occur within IEA headquarters need not be 
recorded.
    (4) To the extent that any communication involves matters which 
recapitulate matters already contained in a full and complete record, 
the substance of such matters shall be identified, but need not be 
recorded in detail, provided that reference is made to the record and 
the portion thereof in which the substance is fully set out.
    (c) Except where the Department of Energy otherwise provides, all 
records and transcripts prepared pursuant to paragraphs (a) and (b) of 
this section, shall be deposited within seven (7) days after the close 
of the week (ending Saturday) of their preparation during an 
international energy supply emergency or a test of the IEA emergency 
allocation system, and within fifteen (15) days after the close of the 
month of their preparation during periods of non-emergency, together 
with any agreement resulting therefrom, with the Department of Energy 
and shall be available to the Department of Justice, the Federal Trade 
Commission, and the Department of State. Such records and transcripts 
shall be available for public inspection and copying to the extent set 
forth in subpart D. Any person depositing materials pursuant to this 
section shall indicate with particularity what portions, if any, the 
person believes are not subject to disclosure to the public pursuant to 
subpart D and the reasons for such belief.
    (d) Any meeting between a participant and an official of DOE for the 
purpose of carrying out a voluntary agreement or developing or carrying 
out a plan of action shall, if not otherwise required to be recorded 
pursuant to this section, be recorded by such official as provided in 
Sec. 204.5.
    (e) During international oil allocation under chapters III and IV of 
the IEP or during an IEA allocation systems test, the Department of 
Energy may issue such additional guidelines amplifying the requirements 
of these regulations as the Department of Energy determines to be 
necessary and appropriate.

(Approved by the Office of Management and Budget under Control No. 1905-
0067)

(Federal Energy Administration Act of 1974, Pub. L. 93-275, as amended; 
E.O. 11790, 39 FR 23185; E.O. 11930, 41 FR 32397; Energy Policy and 
Conservation Act, Pub. L. 94-163; E.O. 11912, 41 FR 15825; Department of 
Energy Organization Act, Pub. L. 95-91, 91 Stat. 565, E.O. 12009, 42 FR 
46267)

[41 FR 6754, Feb. 13, 1976, as amended at 43 FR 12854, Mar. 28, 1978; 46 
FR 63209, Dec. 31, 1981]



     Subpart D_Availability of Information Relating to Meetings and 
                             Communications



Sec. 209.41  Availability of information relating to meetings and 
communications.

    (a) Except as provided in paragraph (b) of this section, records or 
transcripts prepared pursuant to this subpart shall be available for 
public inspection and copying in accordance with section 552 of title 5, 
United States Code and part 202 of this title.

[[Page 57]]

    (b) Matter may be withheld from disclosure under section 552(b) of 
title 5 only on the grounds specified in:
    (1) Section 552(b)(1), applicable to matter specifically required by 
Executive Order to be kept secret in the interest of the national 
defense or foreign policy. This section shall be interpreted to include 
matter protected under Executive Order No. 11652 of March 8, 1972, 
establishing categories and criteria for classification, as well as any 
other such orders dealing specifically with disclosure of IEP related 
materials;
    (2) Section 552(b)(3), applicable to matter specifically exempted 
from disclosure by statute; and
    (3) So much of section 552(b)(4) as relates to trade secrets.



PART 210_GENERAL ALLOCATION AND PRICE RULES--Table of Contents




                         Subpart A_Recordkeeping

Sec.
210.1 Records.

Subparts B-D [Reserved]

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



                         Subpart A_Recordkeeping



Sec. 210.1  Records.

    (a) The recordkeeping requirements that were in effect on January 
27, 1981, in parts 210, 211, and 212 will remain in effect for (1) all 
transactions prior to February 1, 1981; and (2) all allowed expenses 
incurred and paid prior to April 1, 1981 under Sec. 212.78 of part 212. 
These requirements include, but are not limited to, the requirements 
that were in effect on January 27, 1981, in Sec. 210.92 of this part; 
in Sec. Sec. 211.67(a)(5)(ii); 211.89; 211.109, 211.127; and 211.223 of 
part 211; and in Sec. Sec. 212.78(h)(5)(ii); 212.78(h)(6); 
212.83(c)(2)(iii)(E)(I); 212.83(c)(2)(iii)(E)(II); 212.83(c)(2)(iii); 
``Fi t''; 212.83(i); 212.93(a); 212.93(b)(4)(iii)(B)(I); 
212.93(i)(4); 212.94(b)(2)(iii); 212.128; 212.132; 212.172; and Sec. 
212.187 of part 212.
    (b) Effective February 5, 1985, paragraph (a) of this section shall 
apply, to the extent indicated, only to firms in the following 
categories. A firm may be included in more than one category, and a firm 
may move from one category to another. The fact that a firm becomes no 
longer subject to the recordkeeping requirements of one category shall 
not relieve that firm of compliance with the recordkeeping requirements 
of any other category in which the firm is still included.
    (1) Those firms which are or become parties in litigation with DOE, 
as defined in paragraph (c)(1) of this section. Any such firm shall 
remain subject to paragraph (a) of this section. DOE shall notify the 
firm in writing of the final resolution of the litigation and whether or 
not any of its records must be maintained for a further period. DOE 
shall notify a firm which must maintain any records for a further period 
when such records are no longer needed.
    (2)(i) Those firms which as of November 30 1984, have completed 
making all 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

[[Page 58]]

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

[[Page 59]]

    (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.

[[Page 60]]

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.

[[Page 61]]

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.

[[Page 62]]

Vickers Energy Corp.
W. C. Colquitt
W. T. Strickland
W. W. Blanton
W.A. Nunnally, Jr., Construction Co.
W.D. Porterfiled
Wellven, Inc.
West Texas Marketing Corp.
Western Crude Oil, Inc.
Western Fuels, Inc.
Wight Nurseries of Oglethorpe Co.
William Seabolt
Wilson's Used Tractors
Windsor Gas Corp.
Wyoming Refining

  Appendix B to 10 CFR 210.1--Firms With Completed Payments Subject to 
                              Distribution

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

------------------------------------------------------------------------
             Name of firm                           Location
------------------------------------------------------------------------
A. Tarricone Inc......................  Yonkers, NY.
Adolph Coors Company..................  Golden, CO.
Allied Materials Corp & Excel.........  Oklahoma City, OK.
Aminoil USA, Inc......................  Houston, TX.
Amtel, Inc............................  Providence, RI.
Apache Corporation....................  Minneapolis, MN.
APCO Oil Corporation..................  Oklahoma City, OK.
Arapaho Petroleum, Inc................  Breckenridge, TX.
Arkansas Louisiana Gas Company........  Shreveport, LA.
Arkla Chemical Corporation............  Shreveport, LA.
Armour Oil Company....................  San Diego, CA.
Associated Programs Inc...............  Boca Raton, FL.
Atlanta Petroleum Production..........  Fort Worth, TX.
Automatic Heat, Inc...................
Ayers Oil Company.....................  Canton, MD.
Aztex Energy Corporation..............  Knoxville, TN.
Bak Ltd...............................  Narbeth, PA.
Bayou State Oil/IDA Gasoline..........  Shreveport, LA.
Bayside Fuel Oil Depot Corp...........  Brooklyn, NY.
Belridge Oil Company..................  Los Angeles, CA.
Blaylock Oil Co., Inc.................  Homestead, FL.
Blex Oil Company......................  Minneapolis, MN.
Boswell Oil Company...................  Cincinnati, OH.
Box, Cloyce K.........................  Dallas, TX.
Breckenridge Gasoline Company.........  Kansas City, KS.
Brownlie, Wallace, Armstrong..........  Denver, CO.
Bucks Butane & Propane Service........  San Jose, CA.
Budget Airport Associates.............  Los Angeles, CA.
Busler Enterprises Inc................  Evansville, IN.
Butler Petroleum Corp.................  Butler, PA.
C.K. Smith & Company, Inc.............  Worcester, MA.
Cap Oil Company.......................  Tulsa, OK.
Champlain Oil Co., Inc................  South Burlington, VT.
Chapman, H.A..........................  Tulsa, OK.
Cibro Gasoline Corporation............  Bronx, NY.
City Service Inc......................  Kalispell, MT.
Coastal Corporation...................  Houston, TX.
Coline Gasoline Corporation...........  Santa Fe Springs, CA.
Collins Oil Co........................  Aurora, IL.
Columbia Oil Co.......................  Hamilton, OH.
Conlo Service Inc.....................  East Farmingdale, NY.
Conoco, Inc...........................  Houston, TX.
Consolidated Gas Supply Corp..........  Hastings, WV.
Consolidated Leasing Corp.............  Los Angeles, CA.
Consumers Oil Co......................  Rosemead, CA.
Continental Resources Company.........  Winter Park, FL.
Cordele Operating Co..................  Corsicana, TX.
Cosby Oil Co., Inc....................  Whittier, CA.
Cougar Oil Co.........................  Selma, AL.
Cross Oil Co., Inc....................  Wellstone, MO.
Crystal Oil Company (formerly Vallery   Shreveport, LA.
 Corp.).
Crystal Petroleum Co..................  Corpus Christi, TX.
Devon Corporation.....................  Oklahoma City, OK.
Dorchester Gas Corp...................  Dallas, TX.
E.B. Lynn Oil Company.................  Allentown, PA.
E.M. Bailey Distributing Co...........  Paducah, KY.
Eagle Petroleum Co....................  Wichita Falls, TX.
Earls Broadmoor.......................  Houma, LA.
Earth Resources Co....................  Dallas, TX.
Eastern Petroleum Corp................  Annapolis, MD.
Edington Oil Co.......................  Los Angeles, CA.
Elias Oil Company.....................  West Palm Beach, FL.
Elm City Filling Stations, Inc........  New Haven, CT.
Empire Oil Co.........................  Bloomington, CA.
Endicott, Eugene......................  Redmond, OR.
Enserch Corp..........................  Dallas, TX.
Enterprise Oil & Gas Company..........  Detroit, MI.
F.O. Fletcher, Inc....................  Tacoma, WA.
Fagadau Energy Corporation............  Dallas, TX.
Farstad Oil Company...................  Minot, ND.
Field Oil Co., Inc....................  Ogden, UT.
Fine Petroleum Co., Inc...............  Norfolk, VA.
Foster Oil Co.........................  Richmond, MI.
Franks Petroleum Inc..................  Shreveport, LA.
Froesel Oil Co........................
Gas Systems Inc.......................  Ft. Worth, TX.
Gate Petroleum Co., Inc...............  Jacksonville, FL.
GCO Minerals Company..................  Houston, TX.
Getty Oil Company.....................  Los Angeles, CA.
Gibbs Industries, Inc.................  Revere, MA.
Glaser Gas Inc........................  Calhoun, CO.
Glover, Lawrence H....................  Patchogue, NY.
Goodman Oil Company...................  Boise, ID.
Grant Rent a Car Corporation..........  Los Angeles, CA.
Grimes Gasoline Co....................  Tulsa, OK.
Gulf Energy & Development Corp. (also   San Antonio, TX.
 known as Gulf Energy Development
 Corp.).
Gulf Oil Corp.........................  Houston, TX.
Gull Industries, Inc..................  Seattle, WA.
H.C. Lewis Oil Co.....................  Welch, WV.
Hamilton Brothers Petroleum Co........  Denver, CO.
Harris Enterprise Inc.................  Portland, OR.
Heller, Glenn Martin..................  Boston, MA.
Hendel's Inc..........................  Waterford, CT.
Henry H. Gungoll Associates...........  Enid, OK.
Hertz Corporation, The................  New York, NY.
Hines Oil Co..........................  Murphysboro, IL.
Horner & Smith, A Partnership.........  Houston, TX.
Houston Natural Gas Corp..............  Houston, TX.
Howell Corporation/Quintana Refinery    Houston, TX.
 Co.
Hunt Industries.......................  Dallas, TX.
Hunt Petroleum Corp...................  Dallas, TX.
Husky Oil Company of Delaware.........  Cody, WY.
Ideal Gas Co., Inc....................  Nyassa, OR.

[[Page 63]]

 
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    Dallas, TX.
 Purchasing.
Texas Gas & Exploration...............  Dallas, TX.
Texas Oil & Gas Corporation...........  Dallas, TX.
Texas Pacific Oil Company, Inc........  Dallas, TX.
The True Companies....................  Casper, WY.
Thompson Oil Inc......................  Purcellville, VA.
Tiger Oil Co..........................  Yakima, WA.
Time Oil Company......................  Seattle, WA.
Tipperary Corp........................  Midland, TX.
Tippins Oil & Gas Co..................  Richmond, MO.
Triton Oil & Gas Corp.................  Dallas, TX.
U.S. Compressed Gas Company...........  King of Prussia, PA.
U.S. Oil Company......................  Combined Locks, WI.
U.S.A. Petroleum, Inc.................  Santa Monica, CA.
Union Texas Petroleum Corp............  Houston, TX.
United Oil Company....................  Hillside, NJ.
Upham Oil & Gas Co....................  Mineral Wells, TX.
Vangas Inc............................  Fresno, CA.
VGS Corporation.......................  Jackson, MS.
Waller Petroleum Company, Inc.........  Towson, MD.
Warren Holding Company................  Providence, RI.
Warrior Asphalt Co. of Alabama........  Tuscaloosa, AL.
Webco Southern Oil Inc................  Smyrna, CA.
Wellen Oil Co.........................  Jersey City, NJ

[[Page 64]]

 
Wiesehan Oil Co.......................
Willis Distributing Company...........  Erie, PA.
Winston Refining Company..............  Fort Worth, TX.
Witco Chemical Corporation............  New York, NY.
World Oil Company.....................  Los Angeles, CA.
Worldwide Energy Corp.................  Denver, CO.
Young Refining Corporation............  Douglasville, GA.
Zia Fuels (G.G.C. Corp.)..............  Hobbs, NM.
------------------------------------------------------------------------


(Approved by the Office of Management and Budget under control number 
1903-0073)

[50 FR 4962, Feb. 5, 1985]

Subparts B-D [Reserved]



PART 212_MANDATORY PETROLEUM PRICE REGULATIONS--Table of Contents




Subparts A-C [Reserved]

                    Subpart D_Producers of Crude Oil

Sec.
212.78 Tertiary incentive crude oil.

Subparts E-I [Reserved]

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

Subparts A-C [Reserved]



                    Subpart D_Producers of Crude Oil



Sec. 212.78  Tertiary incentive crude oil.

    Annual prepaid expenses report. By January 31 of each year after 
1980, the project operator with respect to any enhanced oil recovery 
project for which a report had been filed previously with DOE pursuant 
to paragraph (h)(2)(i) of this section as that paragraph was in effect 
on January 27, 1981, shall file with DOE a report in which the operator 
shall certify to DOE (a) which of the expenses that had been reported 
previously to DOE pursuant to paragraph (h)(2)(i) of this section as 
that paragraph was in effect on January 27, 1981, were prepaid expenses; 
(b) the goods or services for which such expenses had been incurred and 
paid; (c) the dates on which such goods or services are intended to be 
used; (d) the dates on which such goods or services actually are used; 
(e) the identity of each qualified producer to which such prepaid 
expenses had been attributed; and (f) the percentage of such prepaid 
expenses attributed to each such qualified producer. An operator shall 
file an annual prepaid expenses report each year until it has reported 
the actual use of all the goods and services for which a prepaid expense 
had been incurred and paid. For purposes of this paragraph, a prepaid 
expense is an expense for any injectant or fuel used after September 30, 
1981, or an expense for any other item to the extent that IRS would 
allocate the deductions (including depreciation) for that item to the 
period after September 30, 1981.

(Approved by the Office of Management and Budget under OMB Control No.: 
1903-0069)

[46 FR 43654, Aug. 31, 1981, as amended at 46 FR 63209, Dec. 31, 1981]

Subparts E-I [Reserved]



PART 215_COLLECTION OF FOREIGN OIL SUPPLY AGREEMENT INFORMATION--Table of 
Contents




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

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

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



Sec. 215.1  Purpose.

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

[[Page 65]]



Sec. 215.2  Definitions.

    As used in this subpart:
    Administrator means the Federal Energy Administrator or his 
delegate.
    DOE means the Department of Energy.
    Host government means the government of the country in which crude 
oil is produced and includes any entity which it controls, directly or 
indirectly.
    Person means any natural person, corporation, partnership, 
association, consortium, or any other entity doing business or domiciled 
in the U.S. and includes (a) any entity controlled directly or 
indirectly by such a person and (b) the interest of such a person in any 
joint venture, consortium or other entity to the extent of entitlement 
to crude oil by reason of such interest.



Sec. 215.3  Supply reports.

    (a) Any person having the right to lift for export by virtue of any 
equity interest, reimbursement for services, exchange or purchase, from 
any country, from fields actually in production, (1) an average of 
150,000 barrels per day or more of crude oil for a period of at least 
one year, or (2) a total of 55,000,000 barrels of crude oil for a period 
of less than one year, or (3) a total of 150,000,000 barrels of crude 
oil for the period specified in the agreement, pursuant to supply 
arrangements with the host government, shall report the following 
information.
    (1) Parties (including partners and percentage interest, where 
applicable).
    (2) Grade or grades available; loading terminal or terminals.
    (3) Government imposed production limits, if any.
    (4) Minimum lifting obligation and maximum lifting rights.
    (5) Details of lifting options within the above limits.
    (6) Expiration and renegotiation dates.
    (7) Price terms including terms of rebates, discounts, and number of 
days of credit calculated from the date of loading.
    (8) Other payments to or interests retained by the host government 
(i.e. taxes, royalties, and any other payment to the host government) 
expressed in terms of the applicable rates or payment or preemption 
terms, or the base to which those rates or terms are applied.
    (9) Related service or other fees and cost of providing services.
    (10) Restrictions on shipping or disposition.
    (11) Other material contract terms.
    (b) Reports under this section shall be made no later than (1) 60 
days after final issuance of reporting forms implementing this 
regulation, as announced in the Federal Register, (2) fourteen days 
after the date when supply arrangements are entered into, or (3) 
fourteen days after the initial lifting under an agreement in which the 
parties have tentatively concurred but not signed, whichever occurs 
first. Reporting shall be based on actual practice between the parties. 
Material changes in any item which must be reported pursuant to this 
section shall be reported no later than 30 days after a person receives 
actual notice of such changes.
    (c) Where reports under this section by each participant in a joint 
operation would be impracticable, or would result in the submission of 
inaccurate or misleading information, the participants acting together 
may designate a single participant to report on any of the rights, 
obligations, or limitations affecting the operation as a whole. Any such 
designation shall be signed by a duly authorized representative of each 
participant, and shall specify:
    (1) The precise rights, obligations, or limitations to be covered by 
the designation; and
    (2) The reasons for the designation. Such designations shall be 
submitted to the Assistant Administrator for International Energy 
Affairs, and shall take effect only upon his written approval, which may 
at any time be revoked.



Sec. 215.4  Production of contracts and documents.

    Whenever the Administrator determines that certain foreign crude oil 
supply information is necessary to assist in the formulation of energy 
policy or to carry out any other function of the Administrator, he may 
require the production by any person of any agreement or document 
relating to foreign

[[Page 66]]

oil supply arrangements or reports related thereto. Such material shall 
be provided pursuant to the conditions prescribed by the Administrator 
at the time of such order or subsequently. As used in this section, the 
term ``agreement'' includes proposed or draft agreements, and agreements 
in which the parties have tentatively concurred but have not yet signed, 
between or among persons and a host country.



Sec. 215.5  Pricing and volume reports.

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



Sec. 215.6  Notice of negotiations.

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



PART 216_MATERIALS ALLOCATION AND PRIORITY PERFORMANCE UNDER CONTRACTS 
OR ORDERS TO MAXIMIZE DOMESTIC ENERGY SUPPLIES--Table of Contents




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

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

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



Sec. 216.1  Introduction.

    (a) This part describes and establishes the procedures to be used by 
the Department of Energy (DOE) in considering and making certain 
findings required by section 101(c)(2)(A) of the Defense Production Act 
of 1950, as amended, 50 U.S.C. app. 2071(c)(2)(A) (DPA). Section 101(c) 
authorizes the allocation of, or priority performance under contracts or 
orders (other than contracts 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.

[[Page 67]]

    (b) The purpose of these regulations is to establish the procedures 
and criteria to be used by DOE in determining whether programs or 
projects maximize domestic energy supplies and whether or not supplies 
of materials and equipment, services, or facilities are critical and 
essential, as required by DPA section 101(c)(2)(A). The critical and 
essential finding will be made only for supplies of materials and 
equipment, services, or facilities related to those programs or projects 
determined by DOE to maximize domestic energy supplies. These 
regulations do not require or imply that the findings, on which the 
exercise of such authority is conditioned, will be made in any 
particular case.
    (c) If DOE determines that a program or project maximizes domestic 
energy supplies and finds that supplies of materials and equipment, 
services, or facilities are critical and essential to maintain or 
further the exploration, production, refining, transportation or 
conservation of energy supplies or for the construction or maintenance 
of energy facilities, such determination and finding will be 
communicated to the Department of Commerce (DOC). If not, the applicant 
will be so informed. If the determination and finding described in this 
paragraph are made, DOC, pursuant to DPA section 101(c) and section 203 
of E.O. 12919, will find whether or not: The supplies of materials and 
equipment, services, or facilities in question are scarce; and 
maintenance or furtherance of exploration, production, refining, 
transportation, or conservation of energy supplies or the construction 
or maintenance of energy facilities cannot be reasonably accomplished 
without exercising the authority specified in DPA section 101(c). If 
these additional two findings are made, DOC will notify DOE, and DOE 
will inform the applicant that it has been granted the right to use 
priority ratings under the Defense Priorities and Allocations System 
(DPAS) regulation established by the DOC, 15 CFR part 700.

[73 FR 10983, Feb. 29, 2008]



Sec. 216.2  Definitions.

    As used in these regulations:
    (a) Secretary means the Secretary of the Department of Energy.
    (b) Applicant means a person requesting priorities or allocation 
assistance in connection with an energy program or project.
    (c) Application means the written request of an applicant for 
assistance.
    (d) Assistance means use of the authority vested in the President by 
DPA section 101(c) to implement priorities and allocation support.
    (e) DHS means the Department of Homeland Security.
    (f) DOC means the Department of Commerce.
    (g) DOE means the Department of Energy.
    (h) Defense Priorities and Allocations System Coordination Office 
means the Department of Energy, Office of Electricity and Energy 
Assurance, OE-30.
    (i) Eligible energy program or project means a designated activity 
which maximizes domestic energy supplies by furthering the exploration, 
production, refining, transportation or conservation of energy supplies 
or construction or maintenance of energy facilities within the meaning 
of DPA section 101(c), as determined by DOE.
    (j) Facilities means all types of buildings, structures, or other 
improvements to real property (but excluding farms, churches or other 
places of worship, and private dwelling houses), and services relating 
to the use of any such building, structure, or other improvement.
    (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

[[Page 68]]

critical infrastructure protection and restoration.
    (m) Person means an individual, corporation, partnership, 
association, or any other organized group of persons, or legal successor 
or representative thereof, or any state or local government or agency 
thereof.
    (n) Services include any effort that is needed for or incidental to:
    (1) The development, production, processing, distribution, delivery, 
or use of an industrial resource, or critical technology item; or
    (2) The construction of facilities.

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



Sec. 216.3  Requests for assistance.

    (a) Persons who believe that they perform work associated with a 
program or project which may qualify as an eligible energy program or 
project and wishing to receive assistance as authorized by DPA section 
101(c)(1) may submit an application to DOE requesting DOE to determine 
whether a program or project maximizes domestic energy supplies and to 
find whether or not specific supplies of materials and equipment, 
services, or facilities identified in the application are critical and 
essential for a purpose identified in section 101(c). The application 
shall be sent to: U.S. Department of Energy, Attn: Office of Electricity 
and Energy Assurance, OE-30, Forrestal Building, 1000 Independence 
Avenue, SW., Washington, DC 20585. The application shall contain the 
following information:
    (1) The name and address of the applicant and of its duly authorized 
representative.
    (2) A description of the energy program or project for which 
assistance is requested and an assessment of its impact on the 
maximization of domestic energy supplies.
    (3) The amount of energy to be produced by the program or project 
which is directly affected by the supplies of the materials and 
equipment, services, or facilities in question.
    (4) A statement explaining why the materials and equipment, 
services, or facilities for which assistance is requested are critical 
and essential to the construction or operation of the energy project or 
program.
    (5) A detailed description of the specific supplies of materials and 
equipment, services, or facilities in connection with which assistance 
is requested, including: Components, performance data (capacity, life 
duration, etc.), standards, acceptable tolerances in dimensions and 
specifications, current inventory, present and expected rates of use, 
anticipated deliveries and substitution possibilities (feasibility of 
using other materials and equipment, services, or facilities).
    (6) A detailed description of the sources of supply, including: The 
name of the regular supplying company or companies, other companies 
capable of supplying the materials and equipment, services, or 
facilities; location of supplying plants or plants capable of supplying 
the needed materials and equipment, services, or facilities; possible 
suppliers for identical or substitutable materials and equipment, 
services, or facilities and possible foreign sources of supply.
    (7) A detailed description of the delivery situation, including: 
Normal delivery times, promised delivery time without priorities 
assistance, and delivery time required for expeditious fulfillment or 
completion of the program or project.
    (8) Evidence of the applicant's unsuccessful efforts to obtain on a 
timely basis the materials and equipment, services, or facilities in 
question 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

[[Page 69]]

time request whatever additional information it reasonably believes is 
relevant to the discharge of its functions pursuant to DPA section 
101(c).

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



Sec. 216.4  Evaluation by DOE of applications.

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

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



Sec. 216.5  Notification of findings.

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

[73 FR 10984, Feb. 29, 2008]



Sec. 216.6  Petition for reconsideration.

    If DOE, after evaluating an application in accordance with Sec. 
216.4, does not determine that the energy program or project maximizes 
domestic energy

[[Page 70]]

supplies or does not find that the supplies of materials and equipment, 
services, or facilities described in the application are critical and 
essential to an eligible energy program or project, it will so notify 
the applicant and the applicant may petition DOE for reconsideration. If 
DOE concludes at any time that findings previously made are no longer 
valid and should be withdrawn, DOE will so notify the affected 
applicant(s), and such applicant(s) may petition DOE for reconsideration 
of the withdrawal decision. A petition is deemed accepted when received 
by DOE at the address stated in Sec. 216.8. DOE will consider the 
petition for reconsideration and either grant or deny the relief 
requested. Written notice of the decision and of the reasons for the 
decision will be provided to the applicant. There has not been an 
exhaustion of administrative remedies until a petition for 
reconsideration has been submitted and the review procedure completed by 
grant or denial of the relief requested. The denial of relief requested 
in a petition for reconsideration is a final administrative decision.

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



Sec. 216.7  Conflict in priority orders.

    If it appears that the use of assistance pursuant to DPA section 
101(c) creates or threatens to create a conflict with priorities and 
allocation support provided in connection with the national defense 
pursuant to DPA section 101(a), DOE will work with the DOC and other 
claimant agencies affected by the conflict to reschedule deliveries or 
otherwise accommodate the competing demands. If acceptable solutions 
cannot be agreed upon by the claimant agencies DHS will attempt to 
resolve the conflicts.

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



Sec. 216.8  Communications.

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

[73 FR 10984, Feb. 29, 2008]



Sec. 216.9  Violations.

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



PART 218_STANDBY MANDATORY INTERNATIONAL OIL ALLOCATION--Table of Contents




                      Subpart A_General Provisions

Sec.
218.1 Purpose and scope.
218.2 Activation/Deactivation.
218.3 Definitions.

                         Subpart B_Supply Orders

218.10 Rule.
218.11 Supply orders.
218.12 Pricing.

Subpart C [Reserved]

                          Subpart D_Procedures

218.30 Purpose and scope.
218.31 Incorporated procedures.
218.32 Review.
218.33 Stay.
218.34 Addresses.

  Subpart E_Investigations, Violations, Sanctions and Judicial Actions

218.40 Investigations.
218.41 Violations.
218.42 Sanctions.
218.43 Injunctions.

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

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



                      Subpart A_General Provisions



Sec. 218.1  Purpose and scope.

    (a) This part implements section 251 of the Energy Policy and 
Conservation Act (Pub. L. 94-163) (42 U.S.C. 6271), as amended, which 
authorizes the President to take such action as he determines to be 
necessary for performance

[[Page 71]]

of the obligations of the United States under chapters III and IV of the 
Agreement on an International Energy Program (TIAS 8278), insofar as 
such obligations relate to the mandatory international allocation of oil 
by International Energy Program participating countries.
    (b) Applicability. This part applies to any firm engaged in 
producing, transporting, refining, distributing or storing oil which is 
subject to the jurisdiction of the United States.



Sec. 218.2  Activation/Deactivation.

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



Sec. 218.3  Definitions.

    DOE means the Department of Energy established by the Department of 
Energy Organization Act (Pub. L. 95-91), and includes the Secretary of 
Energy or his delegate.
    EPCA means the Energy Policy and Conservation Act (Pub. L. 94-163), 
as amended.
    Firm means any association, company, corporation, estate, 
individual, joint-venture, partnership, or sole proprietorship or any 
other entity however organized including charitable, educational, or 
other eleemosynary institutions, and the Federal Government including 
corporations, departments, Federal agencies, and other 
instrumentalities, and State and local governments. The ERA may, in 
regulations and forms issued in this part, treat as a firm: (a) A parent 
and the consolidated and unconsolidated entities (if any) which it 
directly or indirectly controls, (b) a parent and its consolidated 
entities, (c) an unconsolidated entity, or (d) any part of a firm.
    IEA means the International Energy Agency established to implement 
the IEP.
    IEP means the International Energy Program established pursuant to 
the Agreement on an International Energy Program signed at Paris, 
France, on November 18, 1974, including (a) the Annex entitled 
``Emergency Reserves'', (b) any amendment to such Agreement that 
includes another nation as a Party to such Agreement, and (c) any 
technical or clerical amendment to such Agreement.
    International energy supply emergency means any period (a) beginning 
on any date that the President determines allocation of petroleum 
products to nations participating in the IEP is required by chapters III 
and IV of the IEP and (b) ending on a date on which he determines such 
allocation is no longer required.
    Oil means crude oil, residual fuel oil, unfinished oil, refined 
petroleum product and natural gas liquids, which is owned or controlled 
by a firm, including any petroleum product destined, directly or 
indirectly, for import into the United States or any foreign country, or 
produced in the United States but excludes any oil stored in or owned 
and controlled by the United States Government in connection with the 
Strategic Petroleum Reserve authorized in section 151, et seq., of the 
Energy Policy and Conservation Act (Pub. L. 94-163).
    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.

[[Page 72]]



                         Subpart B_Supply Orders



Sec. 218.10  Rule.

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



Sec. 218.11  Supply orders.

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



Sec. 218.12  Pricing.

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

Subpart C [Reserved]



                          Subpart D_Procedures



Sec. 218.30  Purpose and scope.

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



Sec. 218.31  Incorporated procedures.

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

[[Page 73]]



Sec. 218.32  Review.

    (a) Purpose and scope. This subpart establishes the procedures for 
the filing of an application for review of a supply order. An 
application for review is a summary proceeding which will be initiated 
only if the critieria described in paragraph (g)(2) of this section are 
satisfied.
    (b) What to file. (1) A firm filing under this subpart shall file an 
``Application for Review'' which should be clearly labeled as such both 
on the application and on the outside of the envelope in which the 
application is transmitted, and shall be in writing and signed by the 
firm filing the application. The applicant shall comply with the general 
filing requirements stated in 10 CFR 205.9 in addition to the 
requirements stated in this section.
    (2) If the applicant wishes to claim confidential treatment for any 
information contained in the application or other documents submitted 
under this subpart, the procedures set out in 10 CFR 205.9(f) shall 
apply.
    (c) When to file. An application for review should be filed no later 
than 5 days after the receipt by the applicant of the supply order that 
is the subject of the application, or no later than 2 days after the 
occurrence of an event that results in a substantial change in the facts 
or circumstances affecting the applicant.
    (d) Where to file. The application for review shall be filed with 
DOE Office of Hearings and Appeals (OHA), 2000 M Street, NW., 
Washington, DC 20461.
    (e) Notice. The applicant shall send by United States mail or 
deliver by hand a copy of the application and any subsequent amendments 
or other documents relating to the application to the Administrator of 
the Economic Regulatory Administration of DOE, 2000 M Street, NW., 
Washington, DC 20461. Service shall be made on the ERA at same time the 
document is filed with OHA and each document filed with the OHA shall 
include certification that the applicant has complied with the 
requirements of this paragraph.
    (f) Contents. (1) The application shall contain a full and complete 
statement of all relevant facts pertaining to the application and to the 
DOE action sought. Such facts shall include a complete statement of the 
business or other reasons that justify review of the supply order and a 
full description of the pertinent provisions and relevant facts 
contained in any relevant documents. Copies of all contracts, 
agreements, leases, instruments, and other documents relevant to the 
application shall be submitted with the application. A copy of the order 
of which review is sought shall be included with the application. When 
the application pertains to only one step of a larger integrated 
transaction, the facts, circumstances, and other relevant information 
pertaining to the entire transaction shall be submitted.
    (2) The application shall include a discussion of all relevant 
authorities, including, but not limited to, DOE and DOE rulings, 
regulations, interpretations and decisions on appeal and exception 
relied upon to support the action sought therein.
    (g) DOE evaluation--(1) Processing. (i) The DOE may initiate an 
investigation of any statement in an application and utilize in its 
evaluation any relevant facts obtained by such investigation. The DOE 
may solicit and accept submissions from third parties relevant to any 
application for review provided that the applicant is afforded an 
opportunity to respond to all third party submissions. In evaluating an 
application for review, the DOE may convene a conference, on its own 
initiative, if, in its discretion, it considers that a 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

[[Page 74]]

the applicant, unless within such 5-day period the applicant files an 
amendment correcting the deficiencies identified in the order. Within 5 
days of the filing of such amendment, the DOE shall notify the applicant 
whether the amendment corrects the specified deficiencies. If the 
amendment does not correct the deficiencies specified in the order, the 
order shall become a final order of the DOE of which the applicant may 
seek judicial review.
    (2) An application for review of an order shall be processed only if 
the applicant demonstrates that--
    (i) There is probable cause to believe that the supply order is 
erroneous, inequitable, or unduly burdensome; or
    (ii) There has been discovered a law, regulation, interpretation, 
ruling, order or decision that was in effect at the time of the 
application which, if it had been made known to the DOE, would have been 
relevant to the supply order and would have substantially altered the 
supply order; or
    (iii) There has been a substantial change in the facts or 
circumstances affecting the applicant, which change has occurred during 
the interval between issuance of the supply order and the date of the 
application and was caused by forces or circumstances beyond the control 
of the applicant.
    (h) Decision. (1) Upon consideration of the application and other 
relevant information received or obtained during the proceeding, the DOE 
shall issue an order granting or denying the modification or rescission 
of the supply order requested in the application for review.
    (2) The DOE shall process applications for review as expeditiously 
as possible. When administratively feasible, the DOE shall issue an 
order granting or denying the application within 20 business days after 
receipt of the application.
    (3) The order shall include a written statement setting forth the 
relevant facts and the legal basis of the order. The order shall state 
that it is a final order of which the applicant may seek judicial 
review.
    (4) The DOE shall serve a copy of the order upon the applicant and 
any other party who participated in the proceeding.



Sec. 218.33  Stay.

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



Sec. 218.34  Addresses.

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

[[Page 75]]



  Subpart E_Investigations, Violations, Sanctions and Judicial Actions



Sec. 218.40  Investigations.

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



Sec. 218.41  Violations.

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



Sec. 218.42  Sanctions.

    (a) General. Any person who violates any provisions of this part 218 
or any order issued pursuant thereto shall be subject to penalties and 
sanctions as provided herein.
    (1) The provisions herein for penalties and sanctions shall be 
deemed cumulative and not mutually exclusive.
    (2) Each day that a violation of the provisions of this part 218 or 
any order issued pursuant thereto continues shall be deemed to 
constitute a separate violation within the meaning of the provisions of 
this part relating to fines and civil penalties.
    (b) Penalties. (1) Any person who violates any provision of part 218 
of this chapter or any order issued pursuant thereto shall be subject to 
a civil penalty of not more than $5,500 for each violation.
    (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

[[Page 76]]

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]



Sec. 218.43  Injunctions.

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

                           PART 220 [RESERVED]



PART 221_PRIORITY SUPPLY OF CRUDE OIL AND PETROLEUM PRODUCTS TO THE 
DEPARTMENT OF DEFENSE UNDER THE DEFENSE PRODUCTION ACT--Table of Contents




                            Subpart A_General

Sec.
221.1 Scope.
221.2 Applicability.

                          Subpart B_Exclusions

221.11 Natural gas and ethane.

                          Subpart C_Definitions

221.21 Definitions.

            Subpart D_Administrative Procedures and Sanctions

221.31 Requests by DOD.
221.32 Evaluation of DOD request.
221.33 Order.
221.34 Effect of order.
221.35 Contractual requirements.
221.36 Records and reports.
221.37 Violations and sanctions.

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

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



                            Subpart A_General



Sec. 221.1  Scope.

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



Sec. 221.2  Applicability.

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



                          Subpart B_Exclusions



Sec. 221.11  Natural gas and ethane.

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

[[Page 77]]



                          Subpart C_Definitions



Sec. 221.21  Definitions.

    For purposes of this part--
    Directive means an official action taken by ERA which requires a 
named person to take an action in accordance with its provisions.
    DOD means the Department of Defense, including Military Departments 
and Defense Agencies, acting through either the Secretary of Defense or 
the designee of the Secretary.
    ERA means the Economic Regulatory Administration of the Department 
of Energy.
    National defense means programs for military and atomic energy 
production or construction, military assistance to any foreign nation, 
stockpiling and space, or activities directly related to any of the 
above.
    Person means any individual, corporation, partnership, association 
or any other organized group of persons, and includes any agency of the 
United States Government or any other government.
    Priority-rated supply order means any delivery order for crude oil 
or petroleum products issued by DOD bearing a priority rating issued by 
ERA under this part.
    Supplier means any person other than the DOD which supplies, sells, 
transfers, or otherwise furnishes (as by consignment) crude oil or 
petroleum product to any other person.



            Subpart D_Administrative Procedures and Sanctions



Sec. 221.31  Requests by DOD.

    (a) When DOD finds that (1) a fuel supply shortage for DOD exists or 
is anticipated which would have a substantial negative impact on the 
national defense, and (2) the defense activity for which fuel is 
required cannot be postponed until after the fuel supply shortage is 
likely to terminate, DOD may submit a written request to ERA for the 
issuance to it of a priority rating for the supply of crude oil and 
petroleum products.
    (b) Not later than the transmittal date of its request to ERA, DOD 
shall notify the Federal Emergency Management Agency that it has 
requested a priority rating from ERA.
    (c) Requests from DOD shall set forth the following:
    (1) The quantity and quality of crude oil or petroleum products 
determined by DOD to be required to meet national defense requirements;
    (2) The required delivery dates;
    (3) The defense-related activity and the supply location for which 
the crude oil or petroleum product is to be delivered;
    (4) The current or most recent suppliers of the crude oil or 
petroleum product and the reasons, if known, why the suppliers will not 
supply the requested crude oil or petroleum product;
    (5) The degree to which it is feasible for DOD to use an alternate 
product in lieu of that requested and, if such an alternative product 
can be used, the efforts which have been made to obtain the alternate 
product;
    (6) The period during which the shortage of crude oil or petroleum 
products is expected to exist;
    (7) The proposed supply source for the additional crude oil or 
petroleum products required, which shall, if practicable, be the 
historical supplier of such crude oil or product to DOD; and
    (8) Certification that DOD has made each of the findings required by 
paragraph (a) of this section.



Sec. 221.32  Evaluation of DOD request.

    (a) Upon receipt of a request from DOD for a priority rating as 
provided in Sec. 221.31, it shall be reviewed promptly by ERA. The ERA 
will assess the request in terms of:
    (1) The information provided under Sec. 221.31;
    (2) Whether DOD's national defense needs for crude oil or petroleum 
products can reasonably be satisfied without exercising the authority 
specified in this part;
    (3) The capability of the proposed supplier to supply the crude oil 
or petroleum product in the amounts required;
    (4) The known capabilities of alternative suppliers;
    (5) The feasibility to DOD of converting to and using a product 
other than that requested; and
    (6) Any other relevant information.

[[Page 78]]

    (b) The ERA promptly shall notify the proposed supplier of DOD's 
request for a priority rating specified under this part. The proposed 
supplier shall have a period specified in the notice, not to exceed 
fifteen (15) days from the date it is notified of DOD's request, to show 
cause in writing why it cannot supply the requested quantity and quality 
of crude oil or petroleum products. ERA shall consider this information 
in determining whether to issue the priority rating.
    (c) If acceptance by a supplier of a rated order would create a 
conflict with another rated order of the supplier, it shall include all 
pertinent information regarding such conflict in its response to the 
show cause order provided for in subsection (b), and ERA, in 
consultation with DOD and the Federal Emergency Management Agency shall 
determine the priorities for meeting all such requirements.
    (d) ERA may waive some or all of the requirements of Sec. 221.31 or 
this section where the Secretary of Defense or his designee certifies, 
and has so notified the Federal Emergency Management Agency, that a fuel 
shortage for DOD exists or is imminent and that compliance with such 
requirements would have a substantial negative impact on the national 
defense.



Sec. 221.33  Order.

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



Sec. 221.34  Effect of order.

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



Sec. 221.35  Contractual requirements.

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



Sec. 221.36  Records and reports.

    (a) Each person receiving an order or directive under this part 
shall keep for at least two years from the date of full compliance with 
such order or directive accurate and complete records of crude oil and 
petroleum product deliveries made in accordance with such order or 
directive.

[[Page 79]]

    (b) All records required to be maintained shall be made available 
upon request for inspection and audit by duly authorized representatives 
of the ERA.

(Approved by the Office of Management and Budget under control number 
1903-0073)

[45 FR 76433, Nov. 19, 1980, as amended at 46 FR 63209, Dec. 31, 1981]



Sec. 221.37  Violations and sanctions.

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

[[Page 80]]



                       SUBCHAPTER B_CLIMATE CHANGE





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




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

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

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



Sec. 300.1  General.

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

[[Page 81]]

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



Sec. 300.2  Definitions.

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

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

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    EIA means the Energy Information Administration within the U.S. 
Department of Energy.
    Emissions means the direct release of greenhouse gases to the 
atmosphere from any anthropogenic (human induced) source and certain 
indirect emissions (releases) specified in this part.
    Emissions intensity means emissions per unit of output, where output 
is defined as the quantity of physical output, or a non-physical 
indicator of an entity's or subentity's productive activity.
    Entity means the whole or part of any business, institution, 
organization, government agency or corporation, or household that:
    (1) Is recognized under any U.S. Federal, State or local law that 
applies to it;
    (2) Is located and operates, at least in part, in the United States; 
and
    (3) The emissions of such operations are released, at least in part, 
in the United States.
    First reduction year means the first year for which an entity 
intends to register emission reductions; it is the year that immediately 
follows the start year.
    Fugitive emissions means uncontrolled releases to the atmosphere of 
greenhouse gases from the processing, transmission, and/or 
transportation of fossil fuels or other materials, such as HFC leaks 
from refrigeration, SF6 from electrical power distributors, and methane 
from solid waste landfills, among others, that are not emitted via an 
exhaust pipe(s) or stack(s).
    Greenhouse gases means the gases that may be reported to the 
Department of Energy under this program. They are:

(1) Carbon dioxide (CO2)
(2) Methane (CH4)
(3) Nitrous oxide (N2O)
(4) HydrofluorocarbonsHFC-23 [trifluoromethane-(CHF3]HFC-32 
    [trifluoromethane-CH2F2], 
    CH2CF3, CH3F, 
    CHF2CF3, CH2FCF3, 
    CH3FCF3, CHF2CH2F, 
    CF3CH3, CH2FCH2F, 
    CH3CHF2, CH3CH2F, 
    CF3CHFCF3, 
    CH2FCF3CF3, 
    CHF2CHFCF3, 
    CF3CH2CF3, 
    CH2FCF2CHF2, 
    CHF2CH2CF3, 
    CF3CH2CF2CH3, 
    CH3 CHFCHFCF2)
(5) Perfluorocarbons (perfluoromethane-CF4, perfluoroethane-
    C2F6, C3F8, 
    C4F10, c-C4F8, 
    C5F12, C6F14)
(6) Sulfur hexafluoride (SF6)
(7) Chlorofluorocarbons (CFC-11 [trichlorofluoromethane-
    CCl3F], CCl2F2, CClF3, 
    CCl2FCClF2, CClF2CClF2, 
    ClF3CClF2,)
(8) Other gases or particles that have been demonstrated to have 
    significant, quantifiable climate forcing effects when released to 
    the atmosphere in significant quantities and for which DOE has 
    established or approved methods for estimating emissions and 
    reductions. (Note: As provided in Sec. 300.6(i), chlorofluorcarbons 
    and other gases with quantifiable climate forcing effects may be 
    reported to the 1605(b) program if DOE has established an 
    appropriate emission inventory or emission reduction calculation 
    method, but reductions of these gases may not be registered.)

    Incidental lands are entity landholdings that are a minor component 
of an entity's operations and are not actively managed for production of 
goods and services, including:
    (1) Transmission, pipeline, or transportation right of ways that are 
not managed for timber production;
    (2) Land surrounding commercial enterprises or facilities; and
    (3) Land where carbon stock changes are determined by natural 
factors.
    Indirect emissions means greenhouse gas emissions from stationary or 
mobile sources outside the organizational boundary that occur as a 
direct consequence of an entity's activity, including but not 
necessarily limited to the emissions associated with the generation of 
electricity, steam and hot/chilled water used by the entity.
    Large emitter means an entity whose annual emissions are more than 
10,000 metric tons of CO2 equivalent, as determined in 
accordance with Sec. 300.5(c).
    Net emission reductions means the sum of all annual changes in 
emissions, eligible avoided emissions and sequestration of the 
greenhouse gases specifically identified in Sec. 300.6(i), and 
determined to be in conformance with Sec. Sec. 300.7 and 300.8 of this 
part.
    Offset means an emission reduction that is included in a 1605(b) 
report and

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



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

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

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



Sec. 300.4  Selecting organizational boundaries.

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

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



Sec. 300.5  Submission of an entity statement.

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

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

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



Sec. 300.6  Emissions inventories.

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

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

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

[[Page 91]]

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



Sec. 300.7  Net emission reductions.

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

[[Page 92]]

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

[[Page 93]]

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



Sec. 300.8  Calculating emission reductions.

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

[[Page 94]]

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

[[Page 95]]

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

[[Page 96]]

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



Sec. 300.9  Reporting and recordkeeping requirements.

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

[[Page 97]]

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



Sec. 300.10  Certification of reports.

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

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



Sec. 300.11  Independent verification.

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

[[Page 99]]

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

[[Page 100]]

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



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

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

[[Page 101]]



Sec. 300.13  Incorporation by reference.

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

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



                         SUBCHAPTER C [RESERVED]



[[Page 102]]



                    SUBCHAPTER D_ENERGY CONSERVATION



                        PARTS 400	417 [RESERVED]



PART 420_STATE ENERGY PROGRAM--Table of Contents




    Subpart A_General Provisions for State Energy Program Financial 
                               Assistance

Sec.
420.1 Purpose and scope.
420.2 Definitions.
420.3 Administration of financial assistance.
420.4 Technical assistance.
420.5 Reports.
420.6 Reference standards.

                   Subpart B_Formula Grant Procedures

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

    Subpart C_Implementation of Special Projects Financial Assistance

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

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

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

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



    Subpart A_General Provisions for State Energy Program Financial 
                               Assistance



Sec. 420.1  Purpose and scope.

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



Sec. 420.2  Definitions.

    As used in this part:
    Act means title III, part D, as amended, of the Energy Policy and 
Conservation Act, 42 U.S.C. 6321 et seq.
    Alternative transportation fuel means methanol, denatured ethanol, 
and other alcohols; mixtures containing 85 percent or more by volume of 
methanol, denatured ethanol, and other alcohols with gasoline or other 
fuels; natural gas; liquified petroleum gas; hydrogen; coal-derived 
liquid fuels; fuels (other than alcohol) derived from biological 
materials (including neat biodiesel); and electricity (including 
electricity from solar energy).
    ASHRAE/IESNA 90.1-1989, as amended means the building design 
standard published in December 1989 by the American Society of Heating, 
Refrigerating and Air-Conditioning Engineers, and the Illuminating 
Engineering Society of North America titled ``Energy Efficient Design of 
New Buildings Except Low-Rise Residential Buildings,'' with Addenda 
90.1b-1992; Addenda 90.1d-1992; Addenda 90.1e-1992; Addenda 90.1g-1993; 
and Addenda 90.1i-1993, which is incorporated by reference in accordance 
with 5 U.S.C. 552(a) and 1 CFR part 51. The availability of this 
incorporation by reference is given in Sec. 420.6(b).
    Assistant Secretary means the Assistant Secretary for Energy 
Efficiency and Renewable Energy or any official to whom the Assistant 
Secretary's

[[Page 103]]

functions may be redelegated by the Secretary.
    British thermal unit (Btu) means the quantity of heat necessary to 
raise the temperature of one pound of water one degree Fahrenheit at 
39.2 degrees Fahrenheit and at one atmosphere of pressure.
    Building means any structure which includes provision for a heating 
or cooling system, or both, or for a hot water system.
    Carpool means the sharing of a ride by two or more people in an 
automobile.
    Carpool matching and promotion campaign means a campaign to 
coordinate riders with drivers to form carpools and/or vanpools.
    Commercial building means any building other than a residential 
building, including any building constructed for industrial or public 
purposes.
    Commercially available means available for purchase by the general 
public or target audience in the State.
    Deputy Assistant Secretary means the Deputy Assistant Secretary for 
Building Technology, State and Community Programs or any official to 
whom the Deputy Assistant Secretary's functions may be redelegated by 
the Assistant Secretary.
    Director, Office of State and Community Programs means the official 
responsible for DOE's formula grant programs to States, or any official 
to whom the Director's functions may be redelegated by the Assistant 
Secretary.
    DOE means the Department of Energy.
    Energy audit means any process which identifies and specifies the 
energy and cost savings which are likely to be realized through the 
purchase and installation of particular energy efficiency measures or 
renewable energy measures.
    Energy efficiency measure means any capital investment that reduces 
energy costs in an amount sufficient to recover the total cost of 
purchasing and installing such measure over an appropriate period of 
time and maintains or reduces non-renewable energy consumption.
    Environmental residual means any pollutant or pollution causing 
factor which results from any activity.
    Exterior envelope physical characteristics means the physical nature 
of those elements of a building which enclose conditioned spaces through 
which thermal energy may be transferred to or from the exterior.
    Governor means the chief executive officer of a State, the District 
of Columbia, Puerto Rico, or any territory or possession of the United 
States, or a person duly designated in writing by the Governor to act 
upon his or her behalf.
    Grantee means the State or other entity named in the notice of grant 
award as the recipient.
    HVAC means heating, ventilating and air-conditioning.
    IBR means incorporation by reference.
    Industrial facility means any fixed equipment or facility which is 
used in connection with, or as part of, any process or system for 
industrial production or output.
    Institution of higher education has the same meaning as such term is 
defined in section 1201(a) of the Higher Education Act of 1965 (20 
U.S.C. 1141(a)).
    Manufactured home means any dwelling covered by the Federal 
Manufactured Home Construction and Safety Standards, 24 CFR part 3280.
    Metropolitan Planning Organization means that organization required 
by the Department of Transportation, and designated by the Governor as 
being responsible for coordination within the State, to carry out 
transportation planning provisions in a Standard Metropolitan 
Statistical Area.
    Model Energy Code, 1993, including Errata, means the model building 
code published by the Council of American Building Officials, which is 
incorporated by reference in accordance with 5 U.S.C. 552(a) and 1 CFR 
part 51. The availability of this incorporation by reference is given in 
Sec. 420.6(b).
    Park-and-ride lot means a parking facility generally located at or 
near the trip origin of carpools, vanpools and/or mass transit.
    Petroleum violation escrow funds. For purposes both of exempting 
petroleum violation escrow funds from the matching requirements of Sec. 
420.12 and of applying the limitations specified under Sec. 420.18(b), 
this term means any funds

[[Page 104]]

distributed to the States by the Department of Energy or any court and 
identified as Alleged Crude Oil Violation funds, together with any 
interest earned thereon by the States, but excludes any funds designated 
as ``excess funds'' under section 3003(d) of the Petroleum Overcharge 
Distribution and Restitution Act, subtitle A of title III of the Omnibus 
Budget Reconciliation Act of 1986, Public Law 99-509, and the funds 
distributed under the ``Warner Amendment,'' section 155 of Public Law 
97-377.
    Plan means a State Energy Program plan including required program 
activities in accordance with Sec. 420.15 and otherwise meeting the 
applicable provisions of this part.
    Political subdivision means a unit of government within a State, 
including a county, municipality, city, town, township, parish, village, 
local public authority, school district, special district, council of 
governments, or any other regional or intrastate governmental entity or 
instrumentality of a local government exclusive of institutions of 
higher learning and hospitals.
    Preferential traffic control means any one of a variety of traffic 
control techniques used to give carpools, vanpools and public 
transportation vehicles priority treatment over single occupant vehicles 
other than bicycles and other two-wheeled motorized vehicles.
    Program activity means one or more State actions, in a particular 
area, designed to promote energy efficiency, renewable energy and 
alternative transportation fuel.
    Public building means any building which is open to the public 
during normal business hours, including:
    (1) Any building which provides facilities or shelter for public 
assembly, or which is used for educational office or institutional 
purposes;
    (2) Any inn, hotel, motel, sports arena, supermarket, transportation 
terminal, retail store, restaurant, or other commercial establishment 
which provides services or retail merchandise;
    (3) Any general office space and any portion of an industrial 
facility used primarily as office space;
    (4) Any building owned by a State or political subdivision thereof, 
including libraries, museums, schools, hospitals, auditoriums, sport 
arenas, and university buildings; and
    (5) Any public or private non-profit school or hospital.
    Public transportation means any scheduled or nonscheduled 
transportation service for public use.
    Regional Office Director means the director of a DOE Regional Office 
with responsibility for grants administration or any official to whom 
that function may be redelegated.
    Renewable energy means a non-depletable source of energy.
    Renewable energy measure means any capital investment that reduces 
energy costs in an amount sufficient to recover the total cost of 
purchasing and installing such measure over an appropriate period of 
time and that results in the use of renewable energy to replace the use 
of non-renewable energy.
    Residential building means any building which is constructed for 
residential occupancy.
    Secretary mean the Secretary of DOE.
    SEP means the State Energy Program under this part.
    Small business means a private firm that does not exceed the 
numerical size standard promulgated by the Small Business Administration 
under section 3(a) of the Small Business Act (15 U.S.C. 632) for the 
Standard Industrial Classification (SIC) codes designated by the 
Secretary of Energy.
    Start-up business means a small business which has been in existence 
for 5 years or less.
    State means a State, the District of Columbia, Puerto Rico, or any 
territory or possession of the United States.
    State or local government building means any building owned and 
primarily occupied by offices or agencies of a State; and any building 
of a unit of local government or a public care institution which could 
be covered by part H, title III, of the Energy Policy and Conservation 
Act, 42 U.S.C. 6372-6372i.
    Transit level of service means characteristics of transit service 
provided which indicate its quantity, geographic area of coverage, 
frequency and quality (comfort, travel, time, fare and image).
    Urban area traffic restriction means a setting aside of certain 
portions of an urban area as restricted zones where

[[Page 105]]

varying degrees of limitation are placed on general traffic usage and/or 
parking.
    Vanpool means a group of riders using a vehicle, with a seating 
capacity of not less than eight individuals and not more than fifteen 
individuals, for transportation to and from their residence or other 
designated locations and their place of employment, provided the vehicle 
is driven by one of the pool members.
    Variable working schedule means a flexible working schedule to 
facilitate activities such as carpools, vanpools, public transportation 
usage, and/or telecommuting.

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



Sec. 420.3  Administration of financial assistance.

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



Sec. 420.4  Technical assistance.

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



Sec. 420.5  Reports.

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



Sec. 420.6  Reference standards.

    (a) The following standards which are not otherwise set forth in 
this part are incorporated by reference and made a part of this part. 
The following standards have been approved for incorporation by 
reference by the Director of the Federal Register in accordance with 5 
U.S.C. 552(a) and 1 CFR part 51. A notice of any change in these 
materials will be published in the Federal Register. The standards 
incorporated by reference are available for inspection at the National 
Archives and Records Administration (NARA). For information on the 
availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/federal--register/code--of--federal--
regulations/ibr--locations.html.
    (b) The following standards are incorporated by reference in this 
part:
    (1) The American Society of Heating, Refrigerating and Air-
Conditioning Engineers (ASHRAE), 1791 Tullie Circle, N.E., Atlanta, 
Georgia 30329, (404) 636-8400/The Illuminating Engineering Society of 
North America (IESNA), 345 East 47th Street, New York, New York 10017, 
(212) 705-7913: (i) ASHRAE/IESNA 90.1-1989, entitled ``Energy Efficient 
Design of New Buildings Except Low-Rise Residential Buildings,'' with 
Addenda 90.1b-1992; Addenda 90.1d-1992; Addenda 90.1e-1992; Addenda 
90.1g-1993; and Addenda 90.1i-1993, IBR approved for Sec. 420.2 and 
Sec. 420.15.
    (2) The Council of American Building Officials (CABO), 5203 Leesburg 
Pike, Suite 708, Falls Church, Virginia 22041, (703) 931-4533: (i) The 
Model Energy Code, 1993, including Errata, IBR approved for Sec. 420.2 
and Sec. 420.15.

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

[[Page 106]]



                   Subpart B_Formula Grant Procedures



Sec. 420.10  Purpose.

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



Sec. 420.11  Allocation of funds among the States.

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

                    Table 1--Base Allocation by State
------------------------------------------------------------------------
                     State/Territory
------------------------------------------------------------------------
Alabama.................................................        $381,000
Alaska..................................................         180,000
Arizona.................................................         344,000
Arkansas................................................         307,000
California..............................................       1,602,000
Colorado................................................         399,000
Connecticut.............................................         397,000
Delaware................................................         164,000
District of Columbia....................................         158,000
Florida.................................................         831,000
Georgia.................................................         534,000
Hawaii..................................................         170,000
Idaho...................................................         190,000
Illinois................................................       1,150,000
Indiana.................................................         631,000
Iowa....................................................         373,000
Kansas..................................................         327,000
Kentucky................................................         411,000
Louisiana...............................................         446,000
Maine...................................................         231,000
Maryland................................................         486,000
Massachusetts...........................................         617,000
Michigan................................................         973,000
Minnesota...............................................         584,000
Mississippi.............................................         279,000
Missouri................................................         518,000
Montana.................................................         182,000
Nebraska................................................         246,000
Nevada..................................................         196,000
New Hampshire...........................................         216,000
New Jersey..............................................         783,000
New Mexico..............................................         219,000
New York................................................       1,633,000
North Carolina..........................................         564,000
North Dakota............................................         172,000
Ohio....................................................       1,073,000
Oklahoma................................................         352,000
Oregon..................................................         325,000
Pennsylvania............................................       1,090,000
Rhode Island............................................         199,000
South Carolina..........................................         340,000
South Dakota............................................         168,000
Tennessee...............................................         476,000
Texas...................................................       1,322,000
Utah....................................................         242,000
Vermont.................................................         172,000
Virginia................................................         571,000
Washington..............................................         438,000
West Virginia...........................................         286,000
Wisconsin...............................................         604,000
Wyoming.................................................         155,000
American Samoa..........................................         115,000
Guam....................................................         120,000
Northern Marianas.......................................         114,000
Puerto Rico.............................................         322,000
U.S. Virgin Islands.....................................         122,000
------------------------------------------------------------------------
      Total.............................................      25,500,000
------------------------------------------------------------------------

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

[[Page 107]]

according to Sec. 420.11(b) shall be consistent with 10 CFR part 600.



Sec. 420.12  State matching contribution.

    (a) Each State shall provide cash, in kind contributions, or both 
for SEP activities in an amount totaling not less than 20 percent of the 
financial assistance allocated to the State under Sec. 420.11(b).
    (b) Cash and in-kind contributions used to meet this State matching 
requirement are subject to the limitations on expenditures described in 
Sec. 420.18(a), but are not subject to the 20 percent limitation in 
Sec. 420.18(b).
    (c) Nothing in this section shall be read to require a match for 
petroleum violation escrow funds used under this subpart.

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



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

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

[[Page 108]]

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

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



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

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

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



Sec. 420.15  Minimum criteria for required program activities for 
plans.

    A plan shall satisfy all of the following minimum criteria for 
required program activities.
    (a) Mandatory lighting efficiency standards for public buildings 
shall:
    (1) Be implemented throughout the State, except that the standards 
shall be adopted by the State as a model code for those local 
governments of the State for which the State's constitution reserves the 
exclusive authority to adopt and implement building standards within 
their jurisdictions;
    (2) Apply to all public buildings (except for public buildings owned 
or leased by the United States), above a certain size, as determined by 
the State;
    (3) For new public buildings, be no less stringent than the 
provisions of ASHRAE/IESNA 90.1-1989, and should be updated by enactment 
of, or support for the enactment into local codes or standards, which, 
at a minimum, are comparable to provisions of ASHRAE/

[[Page 109]]

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

[[Page 110]]

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

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



Sec. 420.16  Extensions for compliance with required program 
activities.

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



Sec. 420.17  Optional elements of State Energy Program plans.

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

[[Page 111]]

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

[[Page 112]]

energy technologies and product commercialization interested in 
participating in the service. Such data base shall, at a minimum, 
include faculty of institutions of higher education, retired 
manufacturing experts, and National Laboratory personnel.
    (3) The services provided by the Energy Technology Commercialization 
Services Program established under this subpart shall be available to 
any small or start-up business. Such service programs shall charge fees 
which are affordable to a party eligible for assistance, which shall be 
determined by examining factors, including the following: the costs of 
the services received; the need of the recipient for the services; and 
the ability of the recipient to pay for the services.

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



Sec. 420.18  Expenditure prohibitions and limitations.

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

[[Page 113]]

buy-downs, performance contracting, rebates and grants.
    (f) The following mechanisms are not allowed for funding the 
purchase and installation of materials and equipment under paragraph (e) 
of this section:
    (1) Rebates for more than 50 percent of the total cost of purchasing 
and installing materials and equipment (States shall set appropriate 
restrictions and limits to insure the most efficient use of rebates); 
and
    (2) Loan guarantees.

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



Sec. 420.19  Administrative review.

    (a) A State shall have 20 days from the date of receipt of a 
decision under Sec. 420.14 to file a notice requesting administrative 
review in accordance with paragraph (b) of this section. If an applicant 
does not timely file such a notice, the decision under Sec. 420.14 
shall become final for DOE.
    (b) A notice requesting administrative review shall be filed with 
the cognizant Regional Office Director and shall be accompanied by a 
written statement containing supporting arguments. If the cognizant 
Regional Office Director has disapproved an entire application for 
financial assistance, the State may request a public hearing.
    (c) A notice or any other document shall be deemed filed under this 
section upon receipt.
    (d) On or before 15 days from receipt of a notice requesting 
administrative review which is timely filed, the cognizant Regional 
Office Director shall forward to the Deputy Assistant Secretary, the 
notice requesting administrative review, the decision under Sec. 420.14 
as to which administrative review is sought, a draft recommended final 
decision for concurrence, and any other relevant material.
    (e) If the State requests a public hearing on the disapproval of an 
entire application for financial assistance under this subpart, the 
Deputy Assistant Secretary, within 15 days, shall give actual notice to 
the State and Federal Register notice of the date, place, time, and 
procedures which shall apply to the public hearing. Any public hearing 
under this section shall be informal and legislative in nature.
    (f) On or before 45 days from receipt of documents under paragraph 
(d) of this section or the conclusion of the public hearing, whichever 
is later, the Deputy Assistant Secretary shall concur in, concur in as 
modified, or issue a substitute for the recommended decision of the 
cognizant Regional Office Director.
    (g) On or before 15 days from the date of receipt of the 
determination under paragraph (f) of this section, the Governor may file 
an application for discretionary review by the Assistant Secretary. On 
or before 15 days from filing, the Assistant Secretary shall send a 
notice to the Governor stating whether the Deputy Assistant Secretary's 
determination will be reviewed. If the Assistant Secretary grants a 
review, a decision shall be issued no later than 60 days from the date 
review is granted. The Assistant Secretary may not issue a notice or 
decision under this paragraph without the concurrence of the DOE Office 
of General Counsel.
    (h) A decision under paragraph (f) of this section shall be final 
for DOE if there is no review under paragraph (g) of this section. If 
there is review under paragraph (g) of this section, the decision 
thereunder shall be final for DOE and no appeal shall lie elsewhere in 
DOE.
    (i) Prior to the effective date of the termination or suspension of 
a grant award for failure to implement an approved State plan in 
compliance with the requirements of this subpart, a grantee shall have 
the right to written notice of the basis for the enforcement action and 
of the opportunity for public hearing before the DOE Financial 
Assistance Appeals Board notwithstanding any provisions to the contrary 
of 10 CFR 600.22, 600.24, 600.25, and 600.243. To obtain a public 
hearing, the grantee must request an evidentiary hearing, with prior 
Federal Register notice, in the election letter submitted under Rule 2 
of 10 CFR 1024.4 and the request shall be granted notwithstanding any 
provisions to the contrary of Rule 2.

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

[[Page 114]]



    Subpart C_Implementation of Special Projects Financial Assistance



Sec. 420.30  Purpose and scope.

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



Sec. 420.31  Notice of availability.

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



Sec. 420.32  Program guidance/solicitation.

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

[[Page 115]]

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



Sec. 420.33  Application requirements.

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

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



Sec. 420.34  Matching contributions or cost-sharing.

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



Sec. 420.35  Application evaluation.

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

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



Sec. 420.36  Evaluation criteria.

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



Sec. 420.37  Selection.

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



Sec. 420.38  Special projects expenditure prohibitions and limitations.

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

[[Page 116]]

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

[64 FR 46114, Aug. 24, 1999]



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




                      Subpart A_General Provisions

Sec.
430.1 Purpose and scope.
430.2 Definitions.

                        Subpart B_Test Procedures

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

Appendix A1 to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Electric Refrigerators and Electric 
          Refrigerator-Freezers
Appendix B1 (Alternative) to Subpart B of Part 430--Uniform Test Method 
          for Measuring the Energy Consumption of Freezers
Appendix C to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Dishwashers
Appendix D to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Clothes Dryers
Appendix E to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Water Heaters
Appendix F to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Room Air Conditioners
Appendix G to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Unvented Home Heating Equipment
Appendix H to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Television Sets
Appendix I to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Conventional Ranges, Conventional 
          Cooking Tops, Conventional Ovens, and Microwave Ovens
Appendix J to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Automatic and Semi-Automatic Clothes 
          Washers
Appendix J1 to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Automatic and Semi-Automatic Clothes 
          Washers
Appendixes K-L to Subpart B of Part 430 [Reserved]
Appendix M to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Central Air Conditioners
Appendix N to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Furnaces and Boilers
Appendix O to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Vented Home Heating Equipment
Appendix P to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Pool Heaters
Appendix Q to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Fluorescent Lamp Ballasts
Appendix R to Subpart B of Part 430--Uniform Test Method for Measuring 
          Average Lamp Efficacy (LE) and Color Rendering Index (CRI) of 
          Electric Lamps
Appendix S to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Water Consumption of Faucets and Showerheads
Appendix T to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Water Consumption of Water Closets and Urinals
Appendix U to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Ceiling Fans
Appendix V to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Ceiling Fan Light Kits
Appendix W to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Medium Base Compact Fluorescent 
          Lamps
Appendix X to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Dehumidifiers
Appendix Y to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Battery Chargers
Appendix Z to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of External Power Supplies

[[Page 117]]

            Subpart C_Energy and Water Conservation Standards

430.31 Purpose and scope.
430.32 Energy and water conservation standards and their effective 
          dates.
430.33 Preemption of State regulations.
430.34 Energy and water conservation standards amendments.

Appendix A to Subpart C of Part 430--Procedures, Interpretations and 
          Policies for Consideration of New or Revised Energy 
          Conservation Standards for Consumer Products

    Subpart D_Petitions To Exempt State Regulation From Preemption; 
           Petitions To Withdraw Exemption of State Regulation

430.40 Purpose and scope.
430.41 Prescriptions of a rule.
430.42 Filing requirements.
430.43 Notice of petition.
430.44 Consolidation.
430.45 Hearing.
430.46 Disposition of petitions.
430.47 Effective dates of final rules.
430.48 Request for reconsideration.
430.49 Finality of decision.

                   Subpart E_Small Business Exemptions

430.50 Purpose and scope.
430.51 Eligibility.
430.52 Requirements for applications.
430.53 Processing of applications.
430.54 Referral to the Attorney General.
430.55 Evaluation of application.
430.56 Decision and order.
430.57 Duration of temporary exemption.

                 Subpart F_Certification and Enforcement

430.60 Purpose and scope.
430.61 Prohibited acts.
430.62 Submission of data.
430.63 Sampling.
430.64 Imported products.
430.65 Exported products.
430.70 Enforcement.
430.71 Cessation of distribution of a basic model.
430.72 Subpoena.
430.73 Remedies.
430.74 Hearings and Appeals.
430.75 Confidentiality.

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

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

    Source: 42 FR 27898, June 1, 1977, unless otherwise noted.



                      Subpart A_General Provisions



Sec. 430.1  Purpose and scope.

    This part establishes the regulations for the implementation of part 
B of title III (42 U.S.C. 6291-6309) of the Energy Policy and 
Conservation Act (Pub. L. 94-163), as amended by Pub. L. 95-619, Pub. L. 
100-12, Pub. L. 100-357, and Pub. L. 102-486 which establishes an energy 
conservation program for consumer products other than automobiles.

[62 FR 29237, May 29, 1997]



Sec. 430.2  Definitions.

    For purposes of this part, words shall be defined as provided for in 
section 321 of the Act and as follows--
    Act means the Energy Policy and Conservation Act (Pub. L. 94-163), 
as amended by the National Energy Policy Conservation Act (Pub. L. 95-
619), the National Appliance Energy Conservation Act of 1987 (Pub. L. 
100-12), the National Appliance Energy Conservation Amendments of 1988 
(Pub. L. 100-357), and the Energy Policy Act of 1992 (Pub. L. 102-486).
    Annual fuel utilization efficiency means the efficiency descriptor 
for furnaces and boilers, determined using test procedures prescribed 
under section 323 and based on the assumption that all--
    (a) Weatherized warm air furnaces or boilers are located out-of-
doors;
    (b) Warm air furnaces which are not weatherized are located indoors 
and all combustion and ventilation air is admitted through grill or 
ducts from the outdoors and does not communicate with air in the 
conditioned space;
    (c) Boilers which are not weatherized are located within the heated 
space.
    ANSI means the American National Standards Institute.
    ARM/simulation adjustment factor means a factor used as part of a 
DOE-approved alternative rating method (ARM) to improve the accuracy of 
the calculated ratings for untested split-system central air 
conditioners or heat pumps. The adjustment factor associated with each 
outdoor unit must be set such that it reduces the difference between the 
SEER (HSPF) determined

[[Page 118]]

using the ARM and a split-system combination tested in accordance with 
Sec. 430.24(m)(1). The ARM/simulation adjustment factor is an integral 
part of the ARM and must be a DOE-approved element in accordance with 10 
CFR 430.24(m)(4) to (m)(6).
    ASME means the American Society of Mechanical Engineers.
    Automatic clothes washer means a class of clothes washer which has a 
control system which is capable of scheduling a preselected combination 
of operations, such as regulation of water temperature, regulation of 
the water fill level, and performance of wash, rinse, drain, and spin 
functions without the need for user intervention subsequent to the 
initiation of machine operation. Some models may require user 
intervention to initiate these different segments of the cycle after the 
machine has begun operation, but they do not require the user to 
intervene to regulate the water temperature by adjusting the external 
water faucet valves.
    Ballast efficacy factor means the relative light output divided by 
the power input of a fluorescent lamp ballast, as measured under test 
conditions specified in ANSI Standard C82.2-1984.
    Baseboard electric heater means an electric heater which is intended 
to be recessed in or surface mounted on walls at floor level, which is 
characterized by long, low physical dimensions, and which transfers heat 
by natural convection and/or radiation.
    Basic model means all units of a given type of covered product (or 
class thereof) manufactured by one manufacturer and--
    (1) With respect to refrigerators and refrigerator-freezers, which 
have the same primary energy source, which have electrical 
characteristics that are essentially identical, and which do not have 
any differing physical or functional characteristics that affect energy 
consumption.
    (2) With respect to freezers, which have the same primary energy 
source, which have electrical characteristics that are essentially 
identical, and which do not have any differing physical or functional 
characteristics that affect energy consumption.
    (3) With respect to dishwashers, which have electrical 
characteristics which are essentially identical and which do not have 
any differing physical or functional characteristics which affect energy 
consumption.
    (4) With respect to clothes dryers, which have the same primary 
energy source, which have electrical characteristics that are 
essentially identical, and which do not have any differing physical or 
functional characteristics that affect energy consumption.
    (5) With respect to water heaters, which have the same primary 
energy source and which, with the exception of immersed heating 
elements, do not have any differing electrical, physical, or functional 
characteristics that affect energy consumption.
    (6) With respect to room air conditioners, having essentially 
identical functional physical and electrical characteristics.
    (7) With respect to unvented home heating equipment, having 
essentially identical functional physical and electrical 
characteristics.
    (8) With respect to television sets, which have identical screen 
size, which have electrical characteristics that are essentially 
identical, and which do not have any differing physical or functional 
characteristics that affect energy consumption.
    (9) With respect to kitchen ranges and ovens, whose major cooking 
components have the same primary energy source, which have electrical 
characteristics that are essentially identical, and which do not have 
any differing physical or functional characteristics that affect energy 
consumption.
    (10) With respect to clothes washers, which have the same primary 
energy source, which have electrical characteristics that are 
essentially identical, and which do not have any differing physical or 
functional characteristics that affect energy consumption.
    (11) With respect to central air conditioners, which have electrical 
characteristics which are essentially identical and which do not have 
any differing physical or functional characteristics that affect energy 
consumption.
    (12) With respect to furnaces, having the same primary energy source 
and

[[Page 119]]

essentially identical functional, physical and electrical 
characteristics.
    (13) With respect to vented home heating equipment, having the same 
primary energy source and essentially identical functional, physical and 
electrical characteristics.
    (14) With respect to fluorescent lamp ballasts, which have 
electrical characteristics, including a Power Factor (P.F.) of equal 
value, which are essentially identical, and which do not have any 
differing physical or functional characteristics that affect energy 
consumption.
    (15) With respect to general service fluorescent lamps, means lamps 
that have essentially identical light output and electrical 
characteristics--including lumens per watt and color rendering index 
(CRI)--and that do not have any differing physical or functional 
characteristics that affect energy consumption or efficacy.
    (16) With respect to incandescent reflector lamps, means lamps that 
have essentially identical light output and electrical characteristics--
including lumens per watt--and that do not have any differing physical 
or functional characteristics that affect energy consumption or 
efficacy.
    (17) With respect to faucets, which have the identical flow control 
mechanism attached to or installed within the fixture fittings, or the 
identical water-passage design features that use the same path of water 
in the highest-flow mode.
    (18) With respect to showerheads, which have the identical flow 
control mechanism attached to or installed within the fixture fittings, 
or the identical water-passage design features that use the same path of 
water in the highest-flow mode.
    (19) With respect to water closets, which have hydraulic 
characteristics that are essentially identical, and which do not have 
any differing physical or functional characteristics that affect water 
consumption.
    (20) With respect to urinals, which have hydraulic characteristics 
that are essentially identical, and which do not have any differing 
physical or functional characteristics that affect water consumption.
    (21) With respect to ceiling fans, which have electrical 
characteristics that are essentially identical, and which do not have 
any differing physical or functional characteristics that affect energy 
consumption.
    (22) With respect to ceiling fan light kits, which have electrical 
characteristics that are essentially identical, and which do not have 
differing physical or functional characteristics that affect energy 
consumption.
    (23) With respect to medium base compact fluorescent lamps, which 
have electrical characteristics that are essentially identical, and 
which do not have any differing physical or functional characteristics 
that affect energy consumption.
    (24) With respect to dehumidifiers, which have electrical 
characteristics that are essentially identical, and which do not have 
any differing physical or functional characteristics that affect energy 
consumption.
    (25) With respect to battery chargers, which have electrical 
characteristics that are essentially identical, and which do not have 
any differing physical or functional characteristics that affect energy 
consumption.
    (26) With respect to external power supplies, which have electrical 
characteristics that are essentially identical, and which do not have 
any differing physical or functional characteristics that affect energy 
consumption.
    Batch means a collection of production units of a basic model from 
which a batch sample is selected.
    Batch sample means the collection of units of the same basic model 
from which test units are selected.
    Batch sample size means the number of units in a batch sample.
    Batch size means the number of units in a batch.
    Battery charger means a device that charges batteries for consumer 
products, including battery chargers embedded in other consumer 
products.
    Blowout has the meaning given such a term in ASME A112.19.2M-1995. 
(see Sec. 430.22)
    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

[[Page 120]]

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.
    Casement-only means a room air conditioner designed for mounting in 
a casement window with an encased assembly with a width of 14.8 inches 
or less and a height of 11.2 inches or less.
    Casement-slider means a room air conditioner with an encased 
assembly designed for mounting in a sliding or casement window with a 
width of 15.5 inches or less.
    Ceiling electric heater means an electric heater which is intended 
to be recessed in, surface mounted on, or hung from a ceiling, and which 
transfers heat by radiation and/or convection (either natural or 
forced).
    Ceiling fan means a nonportable device that is suspended from a 
ceiling for circulating air via the rotation of fan blades.
    Ceiling fan light kit means equipment designed to provide light from 
a ceiling fan that can be--
    (1) Integral, such that the equipment is attached to the ceiling fan 
prior to the time of retail sale; or
    (2) Attachable, such that at the time of retail sale the equipment 
is not physically attached to the ceiling fan, but may be included 
inside the ceiling fan at the time of sale or sold separately for 
subsequent attachment to the fan.
    Central air conditioner means a product, other than a packaged 
terminal air conditioner, which is powered by single phase electric 
current, air cooled, rated below 65,000 Btu per hour, not contained 
within the same cabinet as a furnace, the rated capacity of which is 
above 225,000 Btu per hour, and is a heat pump or a cooling unit only.
    Central system humidifier means a class of humidifier designed to 
add moisture into the air stream of a heating system.
    Clothes washer means a consumer product designed to clean clothes, 
utilizing a water solution of soap and/or detergent and mechanical 
agitation or other movement, and must be one of the following classes: 
automatic clothes washers, semi-automatic clothes washers, and other 
clothes washers.
    Coil family means a group of coils with the same basic design 
features that affect the heat exchanger performance. These features are 
the basic configuration, i.e., A-shape, V-shape, slanted or flat top, 
the heat transfer surfaces on refrigerant and air sides (flat tubes vs. 
grooved tubes, fin shapes), the tube and fin materials, and the coil 
circuitry. When a group of coils has all these features in common, it 
constitutes a ``coil family.''
    Cold temperature fluorescent lamp means a fluorescent lamp 
specifically designed to start at -20 [deg]F when used with a ballast 
conforming to the requirements of ANSI Standard C78.1-1991, and is 
expressly designated as a cold temperature lamp both in markings on the 
lamp and in marketing materials, including but not limited to catalogs, 
sales literature, and promotional material.
    Colored fluorescent lamp means a fluorescent lamp designated and 
marketed as a colored lamp, and with either of the following 
characteristics: a CRI less than 40, as determined according to the 
method given in CIE Publication 13.2 (see 10 CFR 430.22), or a lamp 
correlated color temperature less than 2,500K or greater than 6,600K.
    Colored incandescent lamp means an incandescent lamp designated and 
marketed as a colored lamp that has a CRI less than 50, as determined 
according to the method given in CIE Publication 13.2 (see 10 CFR 
430.22); has a correlated color temperature less than 2,500K or greater 
than 4,600K; has a lens containing 5 percent or more neodymium oxide; or 
contains a filter to suppress yellow and green portions of the spectrum 
and is specifically designed, designated and marketed as a plant light.
    Color Rendering Index or CRI means the measured degree of color 
shift objects undergo when illuminated by a light source as compared 
with the color of those same objects when illuminated by a reference 
source of comparable color temperature.
    Color television set means an electrical device designed to convert 
incoming

[[Page 121]]

broadcast signals into color television pictures and associated sound.
    Compact refrigerator/refrigerator-freezer/freezer means any 
refrigerator, refrigerator-freezer or freezer with total volume less 
than 7.75 cubic feet (220 liters)(rated volume as determined in Appendix 
A1 and B1 of subpart B of this part) and 36 inches (0.91 meters) or less 
in height.
    Condenser-evaporator coil combination means a condensing unit made 
by one manufacturer and one of several evaporator coils, either 
manufactured by the same manufacturer or another manufacturer, intended 
to be combined with that particular condensing unit.
    Condensing unit means a component of a central air conditioner which 
is designed to remove the heat absorbed by the refrigerant and to 
transfer it to the outside environment, and which consists of an outdoor 
coil, compressor(s), and air moving device.
    Consumer product means any article (other than an automobile, as 
defined in Section 501(1) of the Motor Vehicle Information and Cost 
Savings Act):
    (1) Of a type--
    (i) Which in operation consumes, or is designed to consume, energy 
or, with respect to showerheads, faucets, water closets, and urinals, 
water; and
    (ii) Which, to any significant extent, is distributed in commerce 
for personal use or consumption by individuals;
    (2) Without regard to whether such article of such type is in fact 
distributed in commerce for personal use or consumption by an 
individual, except that such term includes fluorescent lamp ballasts, 
general service fluorescent lamps, incandescent reflector lamps, 
showerheads, faucets, water closets, and urinals distributed in commerce 
for personal or commercial use or consumption.
    Conventional cooking top means a class of kitchen ranges and ovens 
which is a household cooking appliance consisting of a horizontal 
surface containing one or more surface units which include either a gas 
flame or electric resistance heating.
    Conventional oven means a class of kitchen ranges and ovens which is 
a household cooking appliance consisting of one or more compartments 
intended for the cooking or heating of food by means of either a gas 
flame or electric resistance heating. It does not include portable or 
countertop ovens which use electric resistance heating for the cooking 
or heating of food and are designed for an electrical supply of 
approximately 120 volts.
    Conventional range means a class of kitchen ranges and ovens which 
is a household cooking appliance consisting of a conventional cooking 
top and one or more conventional ovens.
    Convertible cooking appliance means any kitchen range and oven which 
is a household cooking appliance designed by the manufacturer to be 
changed in service from use with natural gas to use with LP-gas, and 
vice versa, by incorporating in the appliance convertible orifices for 
the main gas burners and a convertible gas pressure regulator.
    Cooking products means consumer products that are used as the major 
household cooking appliances. They are designed to cook or heat 
different types of food by one or more of the following sources of heat: 
gas, electricity, or microwave energy. Each product may consist of a 
horizontal cooking top containing one or more surface units and/or one 
or more heating compartments. They must be one of the following classes: 
conventional ranges, conventional cooking tops, conventional ovens, 
microwave ovens, microwave/conventional ranges and other cooking 
products.
    Correlated color temperature means the absolute temperature of a 
blackbody whose chromaticity most nearly resembles that of the light 
source.
    Covered product means a consumer product:
    (1) Of a type specified in section 322 of the Act, or
    (2) That is a ceiling fan, ceiling fan light kit, medium base 
compact fluorescent lamp, dehumidifier, battery charger, external power 
supply, or torchiere.
    Dehumidifier means a self-contained, electrically operated, and 
mechanically refrigerated encased assembly consisting of--
    (1) A refrigerated surface (evaporator) that condenses moisture from 
the atmosphere;

[[Page 122]]

    (2) A refrigerating system, including an electric motor;
    (3) An air-circulating fan; and
    (4) Means for collecting or disposing of the condensate.
    Design voltage with respect to an incandescent lamp means:
    (1) The voltage marked as the intended operating voltage;
    (2) The mid-point of the voltage range if the lamp is marked with a 
voltage range; or
    (3) 120 V if the lamp is not marked with a voltage or voltage range.
    Direct vent system means a system supplied by a manufacturer which 
provides outdoor air or air from an unheated space (such as an attic or 
crawl space) directly to a furnace or vented heater for combustion and 
for draft relief if the unit is equipped with a draft control device.
    Dishwasher means a cabinet-like appliance which with the aid of 
water and detergent, washes, rinses, and dries (when a drying process is 
included) dishware, glassware, eating utensils, and most cooking 
utensils by chemical, mechanical and/or electrical means and discharges 
to the plumbing drainage system.
    DOE means the Department of Energy.
    Electric boiler means an electrically powered furnace designed to 
supply low pressure steam or hot water for space heating application. A 
low pressure steam boiler operates at or below 15 pounds per square inch 
gauge (psig) steam pressure; a hot water boiler operates at or below 160 
psig water pressure and 250 [deg]F. water temperature.
    Electric central furnace means a furnace designed to supply heat 
through a system of ducts with air as the heating medium, in which heat 
is generated by one or more electric resistance heating elements and the 
heated air is circulated by means of a fan or blower.
    Electric clothes dryer means a cabinet-like appliance designed to 
dry fabrics in a tumble-type drum with forced air circulation. The heat 
source is electricity and the drum and blower(s) are driven by an 
electric motor(s).
    Electric heater means an electric appliance in which heat is 
generated from electrical energy and dissipated by convection and 
radiation and includes baseboard electric heaters, ceiling electric 
heaters, floor electric heaters, portable electric heaters, and wall 
electric heaters.
    Electric refrigerator means a cabinet designed for the refrigerated 
storage of food at temperatures above 32[deg] F and below 39[deg] F, 
configured for general refrigerated food storage, and having a source of 
refrigeration requiring single phase, alternating current electric 
energy input only. An electric refrigerator may include a compartment 
for the freezing and storage of food at temperatures below 32[deg] F, 
but does not provide a separate low temperature compartment designed for 
the freezing and storage of food at temperatures below 8 [deg]F.
    Electric refrigerator-freezer means a cabinet which consists of two 
or more compartments with at least one of the compartments designed for 
the refrigerated storage of food at temperatures above 32 [deg]F. and 
with at least one of the compartments designed for the freezing and 
storage of food at temperatures below 8 [deg]F. which may be adjusted by 
the user to a temperature of 0 [deg]F. or below. The source of 
refrigeration requires single phase, alternating current electric energy 
input only.
    Electromechanical hydraulic toilet means any water closet that 
utilizes electrically operated devices, such as, but not limited to, air 
compressors, pumps, solenoids, motors, or macerators in place of or to 
aid gravity in evacuating waste from the toilet bowl.
    Energy conservation standard means:
    (1) A performance standard which prescribes a minimum level of 
energy efficiency or a maximum quantity of energy use, or, in the case 
of showerheads, faucets, water closets, and urinals, water use, for a 
covered product, determined in accordance with test procedures 
prescribed under Section 323 of EPCA (42 U.S.C. 6293); or
    (2) A design requirement for the products specified in paragraphs 
(6), (7), (8), (10), (15), (16), (17), and (19) of Section 322(a) of 
EPCA (42 U.S.C. 6292(a)); and
    (3) Includes any other requirements which the Secretary may 
prescribe under Section 325(r) of EPCA (42 U.S.C. 6295(r)).

[[Page 123]]

    ER incandescent reflector lamp means a reflector lamp with an 
elliptical section below the bulb's major diameter and above its 
approximate baseline as shown in Figure 1 (RE) on page 7 of ANSI C79.1-
1994 (see 10 CFR 430.22) and a finished size and shape shown in ANSI 
C78.21-1989 including the referenced reflective characteristics in part 
7 of ANSI C78.21-1989 (see 10 CFR 430.22).
    Estimated annual operating cost means the aggregate retail cost of 
the energy which is likely to be consumed annually, and in the case of 
showerheads, faucets, water closets, and urinals, the aggregate retail 
cost of water and wastewater treatment services likely to be incurred 
annually, in representative use of a consumer product, determined in 
accordance with Section 323 of EPCA (42 U.S.C. 6293).
    Evaporator coil means a component of a central air conditioner which 
is designed to absorb heat from an enclosed space and transfer the heat 
to a refrigerant.
    External power supply means an external power supply circuit that is 
used to convert household electric current into DC current or lower-
voltage AC current to operate a consumer product.
    Faucet means a lavatory faucet, kitchen faucet, metering faucet, or 
replacement aerator for a lavatory or kitchen faucet.
    Floor electric heater means an electric heater which is intended to 
be recessed in a floor, and which transfers by radiation and/or 
convection (either natural or forced).
    Fluorescent lamp means a low pressure mercury electric-discharge 
source in which a fluorescing coating transforms some of the ultraviolet 
energy generated by the mercury discharge into light, including only the 
following:
    (1) Any straight-shaped lamp (commonly referred to as 4-foot medium 
bi-pin lamps) with medium bi-pin bases of nominal overall length of 48 
inches and rated wattage of 28 or more.
    (2) Any U-shaped lamp (commonly referred to as 2-foot U-shaped 
lamps) with medium bi-pin bases of nominal overall length between 22 and 
25 inches and rated wattage of 28 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 and 0.800 nominal amperes, as defined in ANSI C78.1-1991.
    (4) Any instant start lamp (commonly referred to as 8-foot slimline 
lamps) with single pin bases of nominal overall length of 96 inches and 
rated wattage of 52 or more, as defined in ANSI C78.3-1991.
    Fluorescent lamp ballast means a device which is used to start and 
operate fluorescent lamps by providing a starting voltage and current 
and limiting the current during normal operation.
    Flushometer tank means a device whose function is defined in 
flushometer valve, but integrated within an accumulator vessel affixed 
and adjacent to the fixture inlet so as to cause an effective 
enlargement of the supply line immediately before the unit.
    Flushometer valve means a valve attached to a pressurized water 
supply pipe and so designed that when actuated, it opens the line for 
direct flow into the fixture at a rate and quantity to properly operate 
the fixture, and then gradually closes to provide trap reseal in the 
fixture in order to avoid water hammer. The pipe to which this device is 
connected is in itself of sufficient size, that when open, will allow 
the device to deliver water at a sufficient rate of flow for flushing 
purposes.
    Forced air central furnace means a gas or oil burning furnace 
designed to supply heat through a system of ducts with air as the 
heating medium. The heat generated by combustion of gas or oil is 
transferred to the air within a casing by conduction through heat 
exchange surfaces and is circulated through the duct system by means of 
a fan or blower.
    Freezer means a cabinet designed as a unit for the freezing and 
storage of food at temperatures of 0 [deg]F. or below, and having a 
source of refrigeration requiring single phase, alternating current 
electric energy input only.
    Furnace means a product which utilizes only single-phase electric 
current, or single-phase electric current or DC current in conjunction 
with natural

[[Page 124]]

gas, propane, or home heating oil, and which--
    (a) Is designed to be the principal heating source for the living 
space of a residence;
    (b) Is not contained within the same cabinet with a central air 
conditioner whose rated cooling capacity is above 65,000 Btu per hour;
    (c) Is an electric central furnace, electric boiler, forced-air 
central furnace, gravity central furnace, or low pressure steam or hot 
water boiler; and
    (d) Has a heat input rate of less than 300,000 Btu per hour for 
electric boilers and low pressure steam or hot water boilers and less 
than 225,000 Btu per hour for forced-air central furnaces, gravity 
central furnaces, and electric central furnaces, gravity central 
furnaces, and electric central furnaces.
    Gas means either natural gas or propane.
    Gas clothes dryer means a cabinet-like appliance designed to dry 
fabrics in a tumble-type drum with forced air circulation. The heat 
source is gas and the drum and blower(s) are driven by an electric 
motor(s).
    General 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 applications:
    (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.
    (8) Lamps with a Color Rendering Index of 82 or greater.
    General Service Incandescent Lamp means any incandescent lamp (other 
than a miniature or photographic lamp) that has an E26 medium screw 
base, a rated voltage range at least partially within 115 to 130 volts, 
and which can be used to satisfy the majority of lighting applications, 
but does not include any lamps specifically designed for:
    (1) Traffic signal, or street lighting service;
    (2) Airway, airport, aircraft, or other aviation service;
    (3) Marine, or marine signal service;
    (4) Photo, projection, sound reproduction, or film viewer service;
    (5) Stage, studio, or television service;
    (6) Mill, saw mill, or other industrial process service;
    (7) Mine service;
    (8) Headlight, locomotive, street railway, or other transportation 
service;
    (9) Heating service;
    (10) Code beacon, marine signal, lighthouse, reprographic, or other 
communication service;
    (11) Medical or dental service;
    (12) Microscope, map, microfilm, or other specialized equipment 
service;
    (13) Swimming pool, or other underwater service;
    (14) Decorative or showcase service;
    (15) Producing colored light;
    (16) Shatter resistance which has an external protective coating; or
    (17) Appliance service.
    Gravity central furnace means a gas fueled furnace which depends 
primarily on natural convection for circulation of heated air and which 
is designed to be used in conjunction with a system of ducts.
    Heat pump means a product, other than a packaged terminal heat pump, 
which consists of one or more assemblies, powered by single phase 
electric current, rated below 65,000 Btu per hour, utilizing an indoor 
conditioning coil, compressor, and refrigerant-to-outdoor air heat 
exchanger to provide air heating, and may also provide air cooling, 
dehumidifying, humidifying circulating, and air cleaning.
    Home heating equipment, not including furnaces means vented home 
heating equipment and unvented home heating equipment.
    Immersed heating element means an electrically powered heating 
device which is designed to operate while totally immersed in water in 
such a manner that the heat generated by the device is imparted directly 
to the water.

[[Page 125]]

    Incandescent lamp means a lamp in which light is produced by a 
filament heated to incandescence by an electric current, including only 
the following:
    (1) Any lamp (commonly referred to as lower wattage non-reflector 
general service lamps, including any tungsten halogen lamp) that has a 
rated wattage between 30 and 199, has an E26 medium screw base, has a 
rated voltage or voltage range that lies at least partially in the range 
of 115 and 130 volts, and is not a reflector lamp.
    (2) Any incandescent reflector lamp.
    (3) Any general service incandescent lamp (commonly referred to as a 
high-or higher-wattage lamp) that has a rated wattage above 199 (above 
205 for a high wattage reflector lamp).
    Incandescent reflector lamp (commonly referred to as a reflector 
lamp) means any lamp in which light is produced by a filament heated to 
incandescence by an electric current, which: is not colored or designed 
for rough or vibration service applications that contains an inner 
reflective coating on the outer bulb to direct the light; has an R, PAR 
or similar bulb shape (excluding ER or BR) 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 2.75 
inches; and is either a low(er)-wattage reflector lamp that has a rated 
wattage between 40 and 205; or a high(er)-wattage reflector lamp that 
has a rated wattage above 205.
    Indoor unit means a component of a split-system central air 
conditioner or heat pump that is designed to transfer heat between the 
refrigerant and the indoor air, and which consists of an indoor coil, a 
cooling mode expansion device, and may include an air moving device.
    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).
    Low consumption has the meaning given such a term in ASME 
A112.19.2M-1995. (see Sec. 430.22)
    Low pressure steam or hot water boiler means an electric, gas or oil 
burning furnace designed to supply low pressure steam or hot water for 
space heating application. A low pressure steam boiler operates at or 
below 15 pounds psig steam pressure; a hot water boiler operates at or 
below 160 psig water pressure and 250 [deg]F. water temperature.
    LP-gas means liquified petroleum gas, and includes propane, butane, 
and propane/butane mixtures.
    Major cooking component means either a conventional cooking top, a 
conventional oven or a microwave oven.
    Manufacturer means any person who manufactures a consumer product.
    Medium base compact fluorescent lamp means an integrally ballasted 
fluorescent lamp with a medium screw base, a rated input voltage range 
of 115 to 130 volts and which is designed as a direct replacement for a 
general service incandescent lamp; however, the term does not include--
    (1) Any lamp that is--
    (i) Specifically designed to be used for special purpose 
applications; and
    (ii) Unlikely to be used in general purpose applications, such as 
the applications described in the definition of ``General Service 
Incandescent Lamp'' in this section; or
    (2) Any lamp not described in the definition of ``General Service 
Incandescent Lamp'' in this section that is excluded by the Secretary, 
by rule, because the lamp is--
    (i) Designed for special applications; and
    (ii) Unlikely to be used in general purpose applications.
    Medium screw base means an Edison screw base identified with the 
prefix E-26 in the ``American National Standard for Electric Lamp 
Bases'', ANSI--IEC C81.61-2003, published by the American National 
Standards Institute.
    Microwave/conventional range means a class of kitchen ranges and 
ovens which is a household cooking appliance consisting of a microwave 
oven, a conventional oven, and a conventional cooking top.
    Microwave oven means a class of kitchen ranges and ovens which is a 
household cooking appliance consisting of a compartment designed to cook 
or

[[Page 126]]

heat food by means of microwave energy.
    Mobile home furnace means a direct vent furnace that is designed for 
use only in mobile homes.
    Monochrome television set means an electrical device designed to 
convert incoming broadcast signals into monochrome television pictures 
and associated sound.
    Natural gas means natural gas as defined by the Federal Power 
Commission.
    Oil means heating oil grade No. 2 as defined in American Society for 
Testing and Materials (ASTM) D396-71.
    Other clothes washer means a class of clothes washer which is not an 
automatic or semi-automatic clothes washer.
    Other cooking products means any class of cooking products other 
than the conventional range, conventional cooking top, conventional 
oven, microwave oven, and microwave/conventional range classes.
    Outdoor furnace or boiler is a furnace or boiler normally intended 
for installation out-of-doors or in an unheated space (such as an attic 
or a crawl space).
    Outdoor unit means a component of a split-system central air 
conditioner or heat pump that is designed to transfer heat between the 
refrigerant and the outdoor air, and which consists of an outdoor coil, 
compressor(s), an air moving device, and in addition for heat pumps, a 
heating mode expansion device, reversing valve, and defrost controls.
    Packaged terminal air conditioner means a wall sleeve and a separate 
unencased combination of heating and cooling assemblies specified by the 
builder and intended for mounting through the wall. It includes a prime 
source of refrigeration, separable outdoor louvers, forced ventilation, 
and heating availability energy.
    Packaged terminal heat pump means a packaged terminal air 
conditioner that utilizes reverse cycle refrigeration as its prime heat 
source and should have supplementary heating availability by builder's 
choice of energy.
    Person includes any individual, corporation, company, association, 
firm, partnership, society, trust, joint venture or joint stock company, 
the government, and any agency of the United States or any State or 
political subdivision thereof.
    Pin-based means (1) the base of a fluorescent lamp, that is not 
integrally ballasted and that has a plug-in lamp base, including multi-
tube, multibend, spiral, and circline types, or (2) a socket that holds 
such a lamp.
    Pool heater means an appliance designed for heating nonpotable water 
contained at atmospheric pressure, including heating water in swimming 
pools, spas, hot tubs and similar applications.
    Portable electric heater means an electric heater which is intended 
to stand unsupported, and can be moved from place to place within a 
structure. It is connected to electric supply by means of a cord and 
plug, and transfers heat by radiation and/or convention (either natural 
or forced).
    Primary heater means a heating device that is the principal source 
of heat for a structure and includes baseboard electric heaters, ceiling 
electric heaters, and wall electric heaters.
    Private labeler means an owner of a brand or trademark on the label 
of a consumer product which bears a private label. A consumer product 
bears a private label if:
    (1) Such product (or its container) is labeled with the brand or 
trademark of a person other than a manufacturer of such product;
    (2) The person with whose brand or trademark such product (or 
container) is labeled has authorized or caused such product to be so 
labeled; and
    (3) The brand or trademark of a manufacturer of such product does 
not appear on such label.
    Propane means a hydrocarbon whose chemical composition is 
predominantly C3H8, whether recovered from natural 
gas or crude oil.
    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

[[Page 127]]

    (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, with respect to 4-foot medium bi-pin T8, T10 or T12 
lamps, means:
    (1) If the lamp is listed in ANSI C78.1-1991, the nominal wattage of 
a lamp determined by the lamp designation in Annex A.2 of ANSI C78.1-
1991; or
    (2) If the lamp is a residential straight-shaped lamp, the wattage a 
lamp consumes when operated on a reference ballast for which the lamp is 
designed; or
    (3) If the lamp is neither listed in ANSI C78.1-1991 nor a 
residential straight-shaped lamp, the wattage a lamp consumes when using 
reference ballast characteristics of 236 volts, 0.43 amps and 439 ohms 
for T10 or T12 lamps or reference ballast characteristics of 300 volts, 
0.265 amps and 910 ohms for T8 lamps.
    Refrigerator means an electric refrigerator.
    Refrigerator-freezer means an electric refrigerator-freezer.
    Replacement ballast means a ballast that--
    (1) Is designed for use to replace an existing fluorescent lamp 
ballast in a previously installed luminaire;
    (2) Is marked ``FOR REPLACEMENT USE ONLY'';
    (3) Is shipped by the manufacturer in packages containing not more 
than 10 fluorescent lamp ballasts; and
    (4) Has output leads that when fully extended are a total length 
that is less than the length of the lamp with which the ballast is 
intended to be operated.
    Residential straight-shaped lamp means a low pressure mercury 
electric-discharge source in which a fluorescing coating transforms some 
of the ultraviolet energy generated by the mercury discharge into light, 
including a straight-shaped fluorescent lamp with medium bi-pin bases of 
nominal overall length of 48 inches and is either designed exclusively 
for residential applications; or designed primarily and marketed 
exclusively for residential applications.
    (1) A lamp is designed exclusively for residential applications if 
it will not function for more than 100 hours with a commercial high-
power-factor ballast.
    (2) A lamp is designed primarily and marketed exclusively for 
residential applications if it:
    (i) Is permanently and clearly marked as being for residential use 
only;
    (ii) Has a life of 6,000 hours or less when used with a commercial 
high-power-factor ballast;
    (iii) Is not labeled or represented as a replacement for a 
fluorescent lamp that is a covered product; and
    (iv) Is marketed and distributed in a manner designed to minimize 
use of the lamp with commercial high-power-factor ballasts.
    (3) A manufacturer may market and distribute a lamp in a manner 
designed to minimize use of the lamp with commercial high-power-factor 
ballasts by:
    (i) Packaging and labeling the lamp in a manner that clearly 
indicates the lamp is for residential use only and includes appropriate 
instructions concerning proper and improper use; if the lamp is included 
in a catalog or price list that also includes commercial/industrial 
lamps, listing the lamp in a separate residential section accompanied by 
notes about proper use on the same page; and providing as part of any 
express warranty accompanying the lamp that improper use voids such 
warranty; or
    (ii) Using other comparably effective measures to minimize use with 
commercial high-power-factor ballasts.
    Room air conditioner means a consumer product, other than a 
``packaged terminal air conditioner,'' which is powered by a single 
phase electric current and which is an encased assembly designed as a 
unit for mounting in a window or through the wall for the purpose of 
providing delivery of conditioned air to an enclosed space. It includes 
a prime source of refrigeration and may include a means for ventilating 
and heating.
    Rough or vibration service incandescent reflector lamp means a 
reflector lamp: 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

[[Page 128]]

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.
    Secretary means the Secretary of the Department of Energy.
    Semi-automatic clothes washer means a class of clothes washer that 
is the same as an automatic clothes washer except that user intervention 
is required to regulate the water temperature by adjusting the external 
water faucet valves.
    Showerhead means any showerhead (including a hand held showerhead), 
except a safety shower showerhead.
    Small duct, high velocity system means a heating and cooling product 
that contains a blower and indoor coil combination that:
    (1) Is designed for, and produces, at least 1.2 inches of external 
static pressure when operated at the certified air volume rate of 220-
350 CFM per rated ton of cooling; and
    (2) When applied in the field, uses high velocity room outlets 
generally greater than 1000 fpm which have less than 6.0 square inches 
of free area.
    Space constrained product means a central air conditioner or heat 
pump:
    (1) That has rated cooling capacities no greater than 30,000 BTU/hr;
    (2) That has an outdoor or indoor unit having at least two overall 
exterior dimensions or an overall displacement that:
    (i) Is substantially smaller than those of other units that are:
    (A) Currently usually installed in site-built single family homes; 
and
    (B) Of a similar cooling, and, if a heat pump, heating capacity; and
    (ii) If increased, would certainly result in a considerable increase 
in the usual cost of installation or would certainly result in a 
significant loss in the utility of the product to the consumer; and
    (3) Of a product type that was available for purchase in the United 
States as of December 1, 2000.
    State means a State, the District of Columbia, Puerto Rico, or any 
territory or possession of the United States.
    State regulation means a law or regulation of a State or political 
subdivision thereof.
    Supplementary heater means a heating device that provides heat to a 
space in addition to that which is supplied by a primary heater. 
Supplementary heaters include portable electric heaters.
    Surface unit means either a heating unit mounted in a cooking top, 
or a heating source and its associated heated area of the cooking top, 
on which vessels are placed for the cooking or heating of food.
    Television set means a color television set or a monochrome 
television set.
    Tested combination means a multi-split system with multiple indoor 
coils having the following features:
    (1) The basic model of a system used as a tested combination shall 
consist of one outdoor unit, with one or more compressors, that is 
matched with between 2 and 5 indoor units; for multi-split systems, each 
of these indoor units shall be designed for individual operation.
    (2) The indoor units shall--
    (i) Represent the highest sales model family, or another indoor 
model family if the highest sales model family does not provide 
sufficient capacity (see ii);
    (ii) Together, have a nominal capacity that is between 95% and 105% 
of the nominal capacity of the outdoor unit;
    (iii) Not, individually, have a capacity that is greater than 50% of 
the nominal capacity of the outdoor unit;
    (iv) Operate at fan speeds that are consistent with the 
manufacturer's specifications; and
    (v) All be subject to the same minimum external static pressure 
requirement (i.e., 0 inches of water column for non-ducted, see Table 2 
in Appendix M to Subpart B of this part for ducted indoor units) while 
being configurable to produce the same static pressure at the exit of 
each outlet plenum when manifolded as per section 2.4.1 of Appendix M.
    Through-the-wall air conditioner and heat pump means a central air 
conditioner or heat pump that is designed to be installed totally or 
partially within a fixed-size opening in an exterior wall, and:
    (1) Is manufactured prior to January 23, 2010;

[[Page 129]]

    (2) Is not weatherized;
    (3) Is clearly and permanently marked for installation only through 
an exterior wall;
    (4) Has a rated cooling capacity no greater than 30,000 Btu/hr;
    (5) Exchanges all of its outdoor air across a single surface of the 
equipment cabinet; and
    (6) Has a combined outdoor air exchange area of less than 800 square 
inches (split systems) or less than 1,210 square inches (single packaged 
systems) as measured on the surface described in paragraph (5) of this 
definition.
    Torchiere means a portable electric lamp with a reflector bowl that 
directs light upward to give indirect illumination.
    Unvented gas heater means an unvented, self-contained, free-
standing, nonrecessed gas-burning appliance which furnishes warm air by 
gravity or fan circulation.
    Unvented home heating equipment means a class of home heating 
equipment, not including furnaces, used for the purpose of furnishing 
heat to a space proximate to such heater directly from the heater and 
without duct connections and includes electric heaters and unvented gas 
and oil heaters.
    Unvented oil heater means an unvented, self-contained, free-
standing, nonrecessed oil-burning appliance which furnishes warm air by 
gravity or fan circulation.
    Urinal means a plumbing fixture which receives only liquid body 
waste and, on demand, conveys the waste through a trap seal into a 
gravity drainage system, except such term does not include fixtures 
designed for installations in prisons.
    Vented floor furnace means a self-contained vented heater suspended 
from 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.
    Voltage range means a band of operating voltages as marked on an 
incandescent lamp, indicating that the lamp is designed to operate at 
any voltage within the band.
    Wall electric heater means an electric heater (excluding baseboard 
electric heaters) which is intended to be recessed in or surface mounted 
on walls, which transfers heat by radiation and/or convection (either 
natural or forced) and which includes forced convectors, natural 
convectors, radiant heaters, high wall or valance heaters.
    Water closet means a plumbing fixture that has a water-containing 
receptor which receives liquid and solid body waste, and upon actuation, 
conveys the waste through an exposed integral trap seal into a gravity 
drainage system, except such term does not include fixtures designed for 
installation in prisons.
    Water heater means a product which utilizes oil, gas, or electricity 
to heat potable water for use outside the heater upon demand, 
including--
    (a) Storage type units which heat and store water at a 
thermostatically controlled temperature, including gas storage water 
heaters with an input of 75,000 Btu per hour or less, oil storage water 
heaters with an input of 105,000

[[Page 130]]

Btu per hour or less, and electric storage water heaters with an input 
of 12 kilowatts or less;
    (b) Instantaneous type units which heat water but contain no more 
than one gallon of water per 4,000 Btu per hour of input, including gas 
instantaneous water heaters with an input of 200,000 Btu per hour or 
less, oil instantaneous water heaters with an input of 210,000 Btu per 
hour or less, and electric instantaneous water heaters with an input of 
12 kilowatts or less; and
    (c) Heat pump type units, with a maximum current rating of 24 
amperes at a voltage no greater than 250 volts, which are products 
designed to transfer thermal energy from one temperature level to a 
higher temperature level for the purpose of heating water, including all 
ancillary equipment such as fans, storage tanks, pumps, or controls 
necessary for the device to perform its function.
    Water use means the quantity of water flowing through a showerhead, 
faucet, water closet, or urinal at point of use, determined in 
accordance with test procedures under Appendices S and T of subpart B of 
this part.
    Weatherized warm air furnace or boiler means a furnace or boiler 
designed for installation outdoors, approved for resistance to wind, 
rain, and snow, and supplied with its own venting system.

[42 FR 27898, June 1, 1977]

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



                        Subpart B_Test Procedures



Sec. 430.21  Purpose and scope.

    This subpart contains test procedures required to be prescribed by 
DOE pursuant to section 323 of the Act.



Sec. 430.22  Reference Sources.

    (a) Materials incorporated by reference--(1) General. The following 
standards which are not otherwise set forth in Part 430 are incorporated 
by reference and made a part of Part 430. The standards listed in this 
section 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. The specified versions of the standards are incorporated, 
and any subsequent amendment to a standard by the standard-setting 
organization will not affect the DOE test procedures unless and until 
those test procedures are amended by DOE.
    (2) Availability of standards. The 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, Forrestal Building, 1000 
Independence Ave, SW, Washington, DC 20585.
    (b)(1) American National Standards Institute (ANSI). The ANSI 
standards listed in this paragraph may be obtained from the American 
National Standards Institute, 25 W. 43rd Street, 4th Floor, New York, NY 
10036, (212) 642-4900.

1. ANSI C78.1-1991, ``for Fluorescent Lamps--Rapid-Start Types--
Dimensional and Electrical Characteristics''
2. ANSI C78.2-1991, ``for Fluorescent Lamps--Preheat-Start Types--
Dimensional and Electrical Characteristics of Fluorescent Lamps''
3. ANSI C78.3-1991, ``for Fluorescent Lamps--Instant-Start and Cold-
Cathode Types--Dimensional and Electrical Characteristics''
4. ANSI C78.375-1991, ``for Fluorescent Lamps--Guide for Electrical 
Measurements''
5. ANSI C82.3-1983 ``for Reference Ballasts for Fluorescent Lamps''
6. ANSI C79.1-1994, ``Nomenclature for Glass Bulbs--Intended for Use 
with Electric Lamps''
7. ANSI C78.21-1989, ``Incandescent Lamps--PAR and R Shapes''
8. ANSI Standard Z21.56-1994, ``Gas-Fired Pool Heaters,'' section 2.9.

    (2) Illuminating Engineering Society of North America (IESNA). The 
IESNA standards listed in this paragraph may be obtained from the 
Illuminating Engineering Society of North America, 120 Wall Street, 
Floor 17, New York, NY 10005-4001, (212) 248-5000.


[[Page 131]]


1. Illuminating Engineering Society LM-9-88, ``IES Approved Method for 
the Electrical and Photometric Measurements of Fluorescent Lamps''
2. Illuminating Engineering Society of North America LM-16-1993, ``IESNA 
Practical Guide to Colorimetry of Light Sources''
3. Illuminating Engineering Society of North America LM-20-1994, ``IESNA 
Approved Method for Photometric Testing of Reflector-Type Lamps''
4. Illuminating Engineering Society of North America LM-45-91, ``IES 
Approved Method for Electrical and Photometric Measurements of General 
Service Incandescent Filament Lamps''
5. Illuminating Engineering Society of North America LM-58-1994, ``IESNA 
Guide to Spectroradiometric Measurements''
6. Illuminating Engineering Society of North America LM-66-1991, ``IES 
Approved Method for the Electrical and Photometric Measurements of 
Single-Ended Compact Fluorescent Lamps''
7. Illuminating Engineering Society of North America Lighting Handbook, 
Reference and Application, 8th Edition, 1993, Chapter 6, Light Sources

    (3) International Commission on Illumination (CIE). The CIE 
standards listed in this paragraph may be obtained from the 
International Commission on Illumination, CIE Bureau Central, Kegelgasse 
27, A-1030, Vienna, Austria. CIE publications are also available from 
TLA Lighting Consultants, 7 Pond Street, Salem, MA 10970, (508) 745-
6870.

1. International Commission on Illumination (CIE) Publication No. 13.2 
1974, corrected reprint 1993, ``Method of Measuring and Specifying Color 
Rendering Properties of Light Sources,'' ISBN 3 900 734 39 9

    (4) International Electrotechnical Commission. Copies of the 
International Electrotechnical Commission Publications can be obtained 
from the American National Standards Institute, 11 West 42nd Street, New 
York, New York 10036, (212) 642-4936.

1. IEC 705, ``Methods for Measuring the Performance of Microwave Ovens 
for Household and Similar Purposes,'' Section 4, Methods of Measurement, 
Paragraph 13 ``Electrical Power Input Measurement,'' and Paragraph 14 
``Efficiency'' (1988).
2. IEC 705, Amendment 2, ``Methods for Measuring the Performance of 
Microwave Ovens for Household and Similar Purposes,'' Section 4, Methods 
of Measurement, Paragraph 12 ``Microwave Power Output Measurement'' 
(1993).

    (5) American Society of Heating, Refrigerating and Air-Conditioning 
Engineers, Inc., Publication Sales, 1791 Tullie Circle, NE, Atlanta, GA 
30329, (1-800-5-ASHRAE).

1. American National Standards Institute/American Society of Heating, 
Refrigerating, and Air-Conditioning Engineers Standard 103-1993, 
``Methods of Testing for Annual Fuel Utilization Efficiency of 
Residential Central Furnaces and Boilers,'' (with Errata of October 24, 
1996) except for sections 3.0, 7.2.2.5, 8.6.1.1, 9.1.2.2, 9.5.1.1, 
9.5.1.2.1, 9.5.1.2.2, 9.5.2.1, 9.7.1, 10.0, 11.2.12, 11.3.12, 11.4.12, 
11.5.12 and appendices B and C.
2. American Society of Heating, Refrigerating, and Air-Conditioning 
Engineers Standard 23-2005, ``Methods of Testing for Rating Positive 
Displacement Refrigerant Compressors and Condensing Units.''
3. American Society of Heating, Refrigerating, and Air-Conditioning 
Engineers Standard 37-2005, ``Methods of Testing for Rating Unitary Air-
Conditioning and Heat Pump Equipment.''
4. American Society of Heating, Refrigerating, and Air-Conditioning 
Engineers Standard 41.1-1986 (Reaffirmed 2001), ``Standard Method for 
Temperature Measurement.''
5. American Society of Heating, Refrigerating, and Air-Conditioning 
Engineers Standard 41.2-1987 (Reaffirmed 1992), ``Standard Methods for 
Laboratory Airflow Measurement.''
6. American Society of Heating, Refrigerating, and Air-Conditioning 
Engineers Standard 41.6-1994 (Reaffirmed 2001), ``Standard Method for 
Measurement of Moist Air Properties.''
7. American Society of Heating, Refrigerating, and Air-Conditioning 
Engineers Standard 41.9-2000, ``Calorimeter Test Methods for Mass Flow 
Measurements of Volatile Refrigerants.''
8. American Society of Heating, Refrigerating, and Air-Conditioning 
Engineers Standard 116-1995 (RA 2005), ``Methods of Testing for Rating 
for Seasonal Efficiency of Unitary Air Conditioners and Heat Pumps.''
9. American Society of Heating, Refrigerating, and Air-Conditioning 
Engineers/Air Movement and Control Association International, Inc. 
Standard 51-1999/210-1999, ``Laboratory Methods of Testing Fans for 
Aerodynamic Performance Rating.''

    (6) American Society of Mechanical Engineers (ASME). The ASME 
standards listed in this paragraph may be obtained from the American 
Society of Mechanical Engineers, Service Center,

[[Page 132]]

22 Law Drive, P.O. Box 2900, Fairfield, NJ 07007.

1. ASME/ANSI Standard A112.18.1M-1996, ``Plumbing Fixture Fittings.''
2. ASME/ANSI Standard A112.19.6-1995, ``Hydraulic Requirements for Water 
Closets and Urinals.''

    (7) Association of Home Appliance Manufacturers, 1111 19th Street, 
NW., Suite 402, Washington, DC 20036, (202) 872-5955, ``American 
National Standard, Household Electric Dishwashers, ANSI/AHAM DW-1-
1992,'' hereinafter referred to as ANSI/AHAM DW-1.
    (8) Air-Conditioning and Refrigeration Institute (ARI), 4100 North 
Fairfax Drive, Suite 200, Arlington, Virginia 22203-1629, (703) 524-
8800, ARI Standard 210/240-2006, ``Unitary Air-Conditioning and Air-
Source Heat Pump Equipment.''
    (9) Environmental Protection Agency (EPA), Ariel Rios Building, 1200 
Pennsylvania Avenue, NW., Washington, DC 20460, (202) 272-0167.

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, December 9, 2002.
2. ``ENERGY STAR Program Requirements for Residential Light Fixtures,'' 
Version 4.0, issued January 10, 2005.
3. ``ENERGY STAR Program Requirements for Dehumidifiers,'' effective 
January 1, 2001.
4. ``Test Methodology for Determining the Energy Performance of Battery 
Charging Systems,'' December 2005.

    (10) U.S. Department of Energy, Office of Energy Efficiency and 
Renewable Energy, Forrestal Building, Room 1J-018 (Resource Room of the 
Building Technologies Program), 1000 Independence Avenue, SW., 
Washington, DC 20585-0121, (202) 586-9127.

1. ``ENERGY STAR Program Requirements for [Compact Fluorescent Lamps] 
CFLs,'' Version 3.0, issued October 30, 2003.
2. ``ENERGY STAR Program Requirements for [Compact Fluorescent Lamps] 
CFLs,'' Version August 9, 2001.

    (11) California Energy Commission, 1516 Ninth Street, MS-25, 
Sacramento, CA 95814, (916) 654-4091.

1. ``Test Method for Calculating the Energy Efficiency of Single-Voltage 
External Ac-Dc and Ac-Ac Power Supplies,'' August 11, 2004.

    (c) Reference Standards--(1) General. The standards listed in this 
paragraph are referred to in the DOE test procedures and elsewhere in 10 
CFR part 430 but are not incorporated by reference. These sources are 
given here for information and guidance.
    (2) List of References.

1. National Voluntary Laboratory Accreditation Program Handbook 150-01, 
``Energy Efficient Lighting Products, Lamps and Luminaires, August 
1993.'' National Voluntary Laboratory Accreditation Program, NIST, 
Gaithersburg, MD.
2. ``Illuminating Engineering Society Lighting Handbook,'' 8th Edition, 
New York, NY 1993.

[59 FR 49474, Sept. 28, 1994, as amended at 62 FR 29239, May 29, 1997; 
62 FR 51981, Oct. 3, 1997; 63 FR 13316, Mar. 18, 1998; 66 FR 65095, Dec. 
18, 2001; 68 FR 51899, Aug. 29, 2003; 69 FR 18803. Apr. 9, 2004; 70 FR 
59134, Oct. 11, 2005; 71 FR 71366, Dec. 8, 2006; 72 FR 49920, Oct. 22, 
2007]



Sec. 430.23  Test procedures for the measurement of energy and 
water consumption.

    (a) Refrigerators and refrigerator-freezers. (1) The estimated 
annual operating cost for electric refrigerators and electric 
refrigerator-freezers without an anti-sweat heater switch shall be the 
product of the following three factors: (i) The representative average-
use cycle of 365 cycles per year, (ii) the average per-cycle energy 
consumption for the standard cycle in kilowatt-hours per cycle, 
determined according to 6.2 (6.3.6 for externally vented units) of 
appendix A1 of this subpart, and (iii) the representative average unit 
cost of electricity in dollars per kilowatt-hour as provided by the 
Secretary, the resulting product then being rounded off to the nearest 
dollar per year.
    (2) The estimated annual operating cost for electric refrigerators 
and electric refrigerator-freezers with an anti-sweat heater switch 
shall be the product of the following three factors: (i) The 
representative average-use cycle of 365 cycles per year, (ii) half the 
sum of the average per-cycle energy consumption for the standard cycle 
and the average per-cycle energy consumption for a test cycle type with 
the anti-sweat heater switch in the position set at the factory just 
prior to shipping, each in kilowatt-hours per cycle, determined

[[Page 133]]

according to 6.2 (6.3.6 for externally vented units) of appendix A1 of 
this subpart, and (iii) the representative average unit cost of 
electricity in dollars per kilowatt-hour as provided by the Secretary, 
the resulting product then being rounded off to the nearest dollar per 
year.
    (3) The estimated annual operating cost for any other specified 
cycle type for electric refrigerators and electric refrigerator-freezers 
shall be the product of the following three factors: (i) The 
representative average-use cycle of 365 cycles per year, (ii) the 
average per-cycle energy consumption for the specified cycle type, 
determined according to 6.2 (6.3.6 for externally vented units) of 
appendix A1 to this subpart, and (iii) the representative average unit 
cost of electricity in dollars per kilowatt-hour as provided by the 
Secretary, the resulting product then being rounded off to the nearest 
dollar per year.
    (4) The energy factor for electric refrigerators and electric 
refrigerator-freezers, expressed in cubic feet per kilowatt-hour per 
cycle, shall be--
    (i) For electric refrigerators and electric refrigerator-freezers 
not having an anti-sweat heater switch, the quotient of (A) the adjusted 
total volume in cubic feet, determined according to 6.1 of appendix A1 
of this subpart, divided by (B) the average per-cycle energy consumption 
for the standard cycle in kilowatt-hours per cycle, determined according 
to 6.2 (6.3.6 for externally vented units) of appendix A1 of this 
subpart, the resulting quotient then being rounded off to the second 
decimal place, and
    (ii) For electric refrigerators and electric refrigerator-freezers 
having an anti-sweat heater switch, the quotient of (A) the adjusted 
total volume in cubic feet, determined according to 6.1 of appendix A1 
of this subpart, divided by (B) half the sum of the average per-cycle 
energy consumption for the standard cycle and the average per-cycle 
energy consumption for a test cycle type with the anti-sweat heater 
switch in the position set at the factory just prior to shipping, each 
in kilowatt-hours per cycle, determined according to 6.2 (6.3.6 for 
externally vented units) of appendix A1 of this subpart, the resulting 
quotient then being rounded off to the second decimal place.
    (5) The annual energy use of electric refrigerators and electric 
refrigerator-freezers equals the representative average use cycle of 365 
cycles per year times the average per-cycle energy consumption for the 
standard cycle in kilowatt-hours per cycle, determined according to 6.2 
(6.3.6 for externally vented units) of appendix A1 of this subpart.
    (6) Other useful measures of energy consumption for electric 
refrigerators and electric refrigerator-freezers shall be those measures 
of energy consumption for electric refrigerators and electric 
refrigerator-freezers which the Secretary determines are likely to 
assist consumers in making purchasing decisions which are derived from 
the application of appendix A1 of this subpart.
    (7) The estimated regional annual operating cost for externally 
vented electric refrigerators and externally vented electric 
refrigerator-freezers without an anti-sweat heater switch shall be the 
product of the following three factors:
    (i) The representative average-use cycle of 365 cycles per year,
    (ii) The regional average per-cycle energy consumption for the 
standard cycle in kilowatt-hours per cycle, determined according to 
6.3.7 of appendix A1 of this subpart and
    (iii) The representative average unit cost of electricity in dollars 
per kilowatt-hour as provided by the Secretary, the resulting product 
then being rounded off to the nearest dollar per year.
    (8) The estimated regional annual operating cost for externally 
vented electric refrigerators and externally vented electric 
refrigerator-freezers with an anti-sweat heater switch shall be the 
product of the following three factors:
    (i) The representative average-use cycle of 365 cycles per year,
    (ii) Half the sum of the average per-cycle energy consumption for 
the standard cycle and the regional average per-cycle energy consumption 
for a test cycle with the anti-sweat heater

[[Page 134]]

switch in the position set at the factory just prior to shipping, each 
in kilowatt-hours per cycle, determined according to 6.3.7 of appendix 
A1 of this subpart, and
    (iii) The representative average unit cost of electricity in dollars 
per kilowatt-hour as provided by the Secretary, the resulting product 
then being rounded off to the nearest dollar per year.
    (9) The estimated regional annual operating cost for any other 
specified cycle for externally vented electric refrigerators and 
externally vented electric refrigerator-freezers shall be the product of 
the following three factors:
    (i) The representative average-use cycle of 365 cycles per year,
    (ii) The regional average per-cycle energy consumption for the 
specified cycle, in kilowatt-hours per cycle, determined according to 
6.3.7 of appendix A1 of this subpart, and
    (iii) The representative average unit cost of electricity in dollars 
per kilowatt-hour as provided by the Secretary, the resulting product 
then being rounded off to the nearest dollar per year.
    (b) Freezers. (1) The estimated annual operating cost for freezers 
without an anti-sweat heater switch shall be the product of the 
following three factors: (i) The representative average-use cycle of 365 
cycles per year, (ii) the average per-cycle energy consumption for the 
standard cycle in kilowatt-hours per cycle, determined according to 6.2 
of appendix B1 of this subpart, and (iii) the representative average 
unit cost of electricity in dollars per kilowatt-hour as provided by the 
Secretary, the resulting product then being rounded off to the nearest 
dollar per year.
    (2) The estimated annual operating cost for freezers with an anti-
sweat heater switch shall be the product of the following three factors: 
(i) The representative average-use cycle of 365 cycles per year, (ii) 
half the sum of the average per-cycle energy consumption for the 
standard cycle and the average per-cycle energy consumption for a test 
cycle type with the anti-sweat heater switch in the position set at the 
factory just prior to shipping, each in kilowatt-hours per cycle, 
determined according to 6.2 of appendix B1 of this subpart, and (iii) 
the representative average unit cost of electricity in dollars per 
kilowatt-hour as provided by the Secretary, the resulting product then 
being rounded off to the nearest dollar per year.
    (3) The estimated annual operating cost for an other specified cycle 
type for freezers shall be the product of the following three factors: 
(i) The representative average-use cycle of 365 cycles per year, (ii) 
the average per-cycle energy consumption for the specified cycle type, 
determined according to 6.2 of appendix B1 of this subpart and (iii) the 
representative average unit cost of electricity in dollars per kilowatt-
hour as provided by the Secretary, the resulting product then being 
rounded off to the nearest dollar per year.
    (4) The energy factor for freezers, expressed in cubic feet per 
kilowatt-hour per cycle, shall be--
    (i) For freezers not having an anti-sweat heater switch, the 
quotient of (A) the adjusted net refrigerated volume in cubic feet, 
determined according to 6.1 of appendix B1 of this subpart, divided by 
(B) the average per-cycle energy consumption for the standard cycle in 
kilowatt-hours per cycle, determined according to or 6.2 of appendix B1 
of this subpart, the resulting quotient then being rounded off to the 
second decimal place, and
    (ii) For freezers having an anti-sweat heater switch, the quotient 
of (A) the adjusted net refrigerated volume in cubic feet, determined 
according to 6.1 of appendix B1 of this subpart, divided by (B) half the 
sum of the average per-cycle energy consumption for the standard cycle 
and the average per-cycle energy consumption for a test cycle type with 
the anti-sweat switch in the position set at the factory just prior to 
shipping, each in kilowatt-hours per cycle, determined according to or 
6.2 of appendix B1 of this subpart, the resulting quotient then being 
rounded off to the second decimal place.
    (5) The annual energy use of all freezers equals the representative 
average-use cycle of 365 cycles per year times the average per-cycle 
energy consumption for the standard cycle in kilowatt-hours per cycle, 
determined according to 6.2 of appendix B1 of this subpart.

[[Page 135]]

    (6) Other useful measures of energy consumption for freezers shall 
be those measures of energy consumption for freezers which the Secretary 
determines are likely to assist consumers in making purchasing decisions 
and which are derived from the application of appendix B1 of this 
subpart.
    (c) Dishwashers. (1) The Estimated Annual Operating Cost (EAOC) for 
dishwashers must be rounded to the nearest dollar per year and is 
defined as follows:
    (i) When cold water (50 [deg]F) is used,
    (A) For dishwashers having a truncated normal cycle as defined in 
section 1.15 of appendix C to this subpart,

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

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

EAOC = (DexS) + ( DexNxM)

Where,

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

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

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

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

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

Where,

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

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

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

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

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

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

Where,

De, S, N, M, and ED are defined in paragraph 
(c)(1)(i) of this section,
Dg = the representative average unit cost of gas or oil, as 
appropriate, in dollars per Btu, as provided by the Secretary, and
Wg = the total water energy consumption per cycle for the 
normal cycle as defined in section 1.6 of appendix C to this subpart, in 
Btu's per cycle and determined according to section 5.5 of appendix C to 
this subpart.

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

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

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

EF = 1/M


Where,

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

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

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

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

EF = 1/(M+W)

Where,

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


[[Page 136]]


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

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

Where,

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

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

EAEU = (M+W)xN+S

Where,

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

    (4) Other useful measures of energy consumption for dishwashers are 
those which the Secretary determines are likely to assist consumers in 
making purchasing decisions and which are derived from the application 
of appendix C to this subpart.
    (d) Clothes dryers. (1) The estimated annual operating cost for 
clothes dryers shall be--
    (i) For an electric clothes dryer, the product of the following 
three factors: (A) The representative average-use cycle of 416 cycles 
per year, (B) the total per-cycle energy consumption in kilowatt-hours 
per-cycle, determined according to 4.1 of appendix D to this subpart, 
and (C) the representative average unit cost in dollars per kilowatt-
hour as provided by the Secretary, the resulting product then being 
rounded off to the nearest dollar per year, and
    (ii) For a gas clothes dryer, the product of the representative 
average-use cycle of 416 cycles per year times the sum of (A) the 
product of the gas dryer electric per-cycle energy consumption in 
kilowatt-hours per cycle, determined according to 4.2 of appendix D to 
this subpart, times the representative average unit cost in dollars per 
kilowatt-hour as provided by the Secretary plus (B) the product of the 
total gas dryer gas energy consumption per cycle, in Btu's per cycle, 
determined according to 4.5 of appendix D of this subpart, times the 
representative average unit cost in dollars per Btu as provided by the 
Secretary, the resulting product then being rounded off to the nearest 
dollar per year.
    (2) The energy factor, expressed in pounds of clothes per kilowatt-
hour, for clothes dryers shall be either the quotient of a 3-pound bone-
dry test load for compact dryers, as defined by 2.6.1 of appendix D to 
this subpart or the quotient of a 7 pound bone-dry test load for 
standard dryers, as defined by 2.6.2 of appendix D to this subpart, as 
applicable, divided by the clothes dryer energy consumption per cycle, 
as determined according to 4.1 for electric clothes dryers and 4.6 for 
gas clothes dryers of appendix D to this subpart, the resulting quotient 
then being rounded off to the nearest hundredth (.01).
    (3) Other useful measures of energy consumption for clothes dryers 
shall be those measures of energy consumption for clothes dryers which 
the Secretary determines are likely to assist consumers in making 
purchasing decisions and which are derived from the application of 
appendix D to this subpart.
    (e) Water Heaters. (1) The estimated annual operating cost for water 
heaters shall be--
    (i) For a gas or oil water heater, the product of the annual energy 
consumption, determined according to section 6.1.8 or 6.2.5 of appendix 
E of this subpart, times the representative average unit cost of gas or 
oil, as appropriate, in dollars per Btu as provided by the Secretary, 
the resulting product then being rounded off to the nearest dollar per 
year.
    (ii) For an electric water heater, the product of the annual energy 
consumption, determined according to section 6.1.8 or 6.2.5 of appendix 
E of this subpart, times the representative average unit cost of 
electricity in dollars per kilowatt-hour as provided by the Secretary, 
divided by 3412 Btu per kilowatt-hour, the resulting quotient then being 
rounded off to the nearest dollar per year.
    (2) The energy factor for the water heaters shall be--
    (i) For a gas or oil water heater, as determined by section 6.1.7 or 
6.2.4 of appendix E of this subpart rounded off to the nearest 0.01.
    (ii) For an electric water heater, as determined by section 6.1.7 or 
6.2.4 of

[[Page 137]]

appendix E of this subpart rounded off to the nearest 0.01.
    (3) Other useful measures of energy consumption for water heaters 
shall be those measures of energy consumption for water heaters which 
the Secretary determines are likely to assist consumers in making 
purchasing decisions and which are derived from the application of 
appendix E of this subpart.
    (4) The alternative uniform test method for measuring the energy 
consumption of untested water heaters shall be that set forth in section 
7.0 of appendix E of this subpart.
    (f) Room air conditioners. (1) The estimated annual operating cost 
for room air conditioners, expressed in dollars per year, shall be 
determined by multiplying the following three factors: (i) Electrical 
input power in kilowatts as determined in accordance with 4.2 of 
appendix F to this subpart, (ii) The representative average-use cycle of 
750 hours of compressor operation per year, and (iii) A representative 
average unit cost of electrical energy in dollars per kilowatt-hour as 
provided by the Secretary, the resulting product then being rounded off 
to the nearest dollar per year.
    (2) The energy efficiency ratio for room air conditioners, expressed 
in Btu's per watt-hour, shall be the quotient of: (i) The cooling 
capacity in Btu's per hour as determined in accordance with 4.1 of 
appendix F to this subpart divided by: (ii) The electrical input power 
in watts as determined in accordance with 4.2 of appendix F to this 
subpart the resulting quotient then being rounded off to the nearest 0.1 
Btu per watt-hour.
    (3) The average annual energy consumption for room air conditioners, 
expressed in kilowatt-hours per year, shall be determined by multiplying 
together the following two factors: (i) Electrical input power in 
kilowatts as determined in accordance with 4.2 of appendix F to this 
subpart, and (ii) A representative average use cycle of 750 hours of 
compressor operation per year, the resulting product then being rounded 
off to the nearest kilowatt-hour per year.
    (4) Other useful measures of energy consumption for room air 
conditioners shall be those measures of energy consumption which the 
Secretary determines are likely to assist consumers in making purchasing 
decisions and which are derived from the application of appendix F to 
this subpart.
    (g) Unvented home heating equipment. (1) The estimated annual 
operating cost for primary electric heaters, shall be the product of: 
(i) The average annual electric energy consumption in kilowatt-hours per 
year, determined according to section 3.1 of appendix G of this subpart 
and (ii) the representative average unit cost in dollars per kilowatt-
hour as provided pursuant to section 323(b)(2) of the Act, the resulting 
product then being rounded off to the nearest dollar per year.
    (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

[[Page 138]]

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. (1) The estimated average annual operating cost 
for television sets shall be the product of:
    (i) The average annual energy consumed by the television set in 
kilowatt-hours per year, determined according to 3.0 of appendix H of 
this subpart, and
    (ii) The representative average unit cost of 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 receiver energy efficiency factor for television sets shall 
be:
    (i) For color television sets, the product of the estimated minimum 
power requirement (.130 kilowatts) and the average annual hours of use 
(2,200 hr/yr.), divided by the average annual energy consumed by the 
television set in kilowatt-hours per year, determined according to 3.0 
of appendix H to this subpart. The resultant is then multiplied by 100 
and expressed as a percent.
    (ii) For monochrome television sets, the product of the estimated 
minimum power requirement (.040 kilowatts) and the average annual hours 
of use (2,200 hr/yr.), divided by the average annual energy consumed by 
the television set in kilowatt-hours per year determined according to 
3.0 of appendix H of this subpart. The result is then multiplied by 100 
and expressed as a percent.
    (3) Other useful measures of energy consumption for television sets 
shall be those measures of energy consumption for television sets which 
the Secretary determines are likely to assist consumers in making 
purchasing decisions and which are derived from the application of 
appendix H of this subpart.
    (i) Kitchen ranges and ovens. (1) The estimated annual operating 
cost for conventional ranges, conventional cooking tops, conventional 
ovens, microwave ovens, and microwave/conventional ranges shall be the 
sum of the following products: (i) The total annual electrical energy 
consumption for any electrical energy usage, in kilowatt-hours (kWh's) 
per year, times the representative average unit cost for electricity, in 
dollars per kWh, as provided pursuant to section 323(b)(2) of the Act; 
plus (ii) the total annual gas energy consumption for any natural gas 
usage, in British thermal units (Btu's) per year, times the 
representative average unit cost for natural gas, in dollars per Btu, as 
provided pursuant to section 323(b)(2) of the Act; plus (iii) the total 
annual gas energy consumption for any propane usage, in Btu's per year, 
times the representative average unit cost for propane, in dollars per 
Btu, as provided pursuant to section 323(b)(2) of the Act. The total 
annual energy consumption for conventional ranges, conventional cooking 
tops, conventional ovens, microwave ovens, and microwave/conventional 
ranges shall be as determined according to 4.3, 4.2.2, 4.1.2, and 4.4.3, 
respectively, of appendix I to this subpart. The estimated annual 
operating cost shall be rounded off to the nearest dollar per year, 
except for microwave ovens, for which the estimated annual operating 
cost shall be rounded off to the nearest one-quarter of a dollar per 
year.
    (2) The cooking efficiency for conventional cooking tops, 
conventional ovens, and microwave ovens shall be the ratio of the 
cooking energy output for the test to the cooking energy

[[Page 139]]

input for the test, as determined according to 4.2.1, 4.1.3, and 4.4.4, 
respectively, of appendix I to this subpart. The final cooking 
efficiency values shall be rounded off to three significant digits.
    (3) [Reserved]
    (4) The energy factor for conventional ranges, conventional cooking 
tops, conventional ovens, microwave ovens, and microwave/conventional 
ranges shall be the ratio of the annual useful cooking energy output to 
the total annual energy input, as determined according to 4.3, 4.2.3, 
4.1.4, 4.4.5, respectively, of Appendix I to this subpart. The final 
energy factor values shall be rounded off to three significant digits.
    (5) There shall be two estimated annual operating costs, two cooking 
efficiencies, and two energy factors for convertible cooking 
appliances--(i) an estimated annual operating cost, a cooking efficiency 
and an energy factor which represent values for those three measures of 
energy consumption for the operation of the appliance with natural gas; 
and (ii) an estimated annual operating cost, a cooking efficiency and an 
energy factor which represent values for those three measures of energy 
consumption for the operation of the appliance with LP-gas.
    (6) The estimated annual operating cost for convertible cooking 
appliances which represents natural gas usage, as described in paragraph 
(i)(5)(i) of this section, shall be determined according to paragraph 
(i)(1) of this section using the total annual gas energy consumption for 
natural gas times the representative average unit cost for natural gas.
    (7) The estimated annual operating cost for convertible cooking 
appliances which represents LP-gas usage, as described in paragraph 
(i)(5)(ii) of this section, shall be determined according to paragraph 
(i)(1) of this section using the representative average unit cost for 
propane times the total annual energy consumption of the test gas, 
either propane or natural gas.
    (8) The cooking efficiency for convertible cooking appliances which 
represents natural gas usage, as described in paragraph (i)(5)(i) of 
this section, shall be determined according to paragraph (i)(2) of this 
section when the appliance is tested with natural gas.
    (9) The cooking efficiency for convertible cooking appliances which 
represents LP-gas usage, as described in paragraph (i)(5)(ii) of this 
section, shall be determined according to paragraph (i)(2) of this 
section, when the appliance is tested with either natural gas or 
propane.
    (10) The energy factor for convertible cooking appliances which 
represents natural gas usage, as described in paragraph (i)(5)(i) of 
this section, shall be determined according to paragraph (i)(4) of this 
section when the appliance is tested with natural gas.
    (11) The energy factor for convertible cooking appliances which 
represents LP-gas usage, as described in paragraph (i)(5)(ii) of this 
section, shall be determined according to paragraph (i)(4) of this 
section when the appliance is tested with either natural gas or propane.
    (12) Other useful measures of energy consumption for conventional 
ranges, conventional cooking tops, conventional ovens, microwave ovens 
and microwave/conventional ranges shall be those measures of energy 
consumption which the Secretary determines are likely to assist 
consumers in making purchasing decisions and which are derived from the 
application of appendix I to this subpart.
    (j) Clothes washers. (1) The estimated annual operating cost for 
automatic and semi-automatic clothes washers shall be--
    (i) When electrically heated water is used, the product of the 
following three factors:
    (A) The representative average-use of 392 cycles per year,
    (B) The total per-cycle energy consumption in kilowatt-hours per 
cycle determined according to 4.1.6 of appendix J before appendix J1 
becomes mandatory and 4.1.7 of appendix J1 when appendix J1 becomes 
mandatory, (see the note at the beginning of appendix J1), and
    (C) The representative average unit cost in dollars per kilowatt-
hour as provided by the Secretary, the resulting product then being 
rounded off to the nearest dollar per year, and

[[Page 140]]

    (ii) When gas-heated or oil-heated water is used, the product of: 
the representative average-use of 392 cycles per year and the sum of 
both:
    (A) The product of the per-cycle machine electrical energy 
consumption in kilowatt-hours per cycle, determined according to 4.1.5 
of appendix J before the date that appendix J1 to the subpart becomes 
mandatory or 4.1.6 of appendix J1 upon the date that appendix J1 to this 
subpart becomes mandatory, and the representative average unit cost in 
dollars per kilowatt-hours as provided by the Secretary, and
    (B) The product of the per-cycle water energy consumption for gas-
heated or oil-heated water in BTU per cycle, determined according to 
4.1.4 of appendix J before the date that appendix J1 becomes mandatory 
or 4.1.4 of appendix J1 upon the date that appendix J1 to this subpart 
becomes mandatory, and the representative average unit cost in dollars 
per Btu for oil or gas, as appropriate, as provided by the Secretary, 
the resulting product then being rounded off to the nearest dollar per 
year.
    (2)(i) The energy factor for automatic and semi-automatic clothes 
washers is determined in accordance with 4.5 of appendix J before the 
date that appendix J1 becomes mandatory or 4.5 of appendix J1 upon the 
date that appendix J1 to this subpart becomes mandatory. The result 
shall be rounded off to the nearest 0.01 cubic foot per kilowatt-hours.
    (ii) The modified energy factor for automatic and semi-automatic 
clothes washers is determined in accordance with 4.4 of appendix J 
before the date that appendix J1 becomes mandatory or 4.4 of appendix J1 
upon the date that appendix J1 to this subpart becomes mandatory. The 
result shall be rounded off to the nearest 0.01 cubic foot per kilowatt-
hours.
    (3) Other useful measures of energy consumption for automatic or 
semi-automatic clothes washers shall be those measures of energy 
consumption which the Secretary determines are likely to assist 
consumers in making purchasing decisions and which are derived from the 
application of appendix J before the date that appendix J1 becomes 
mandatory or appendix J1 upon the date that appendix J1 to this subpart 
becomes mandatory. In addition, the annual water consumption of a 
clothes washer can be determined by the product of:
    (A) The representative average-use of 392 cycles per year, and
    (B) The total weighted per-cycle water consumption in gallons per 
cycle determined according to 4.3.2 of appendix J before the date that 
appendix J1 becomes mandatory or 4.2.2 of appendix J1 upon the date that 
appendix J1 to this subpart becomes mandatory. The water consumption 
factor can be determined in accordance with 4.3.3 of appendix J before 
the date that appendix J1 becomes mandatory or 4.2.3 of appendix J1 upon 
the date that appendix J1 to this subpart becomes mandatory. The 
remaining moisture content can be determined in accordance with 3.3 of 
appendix J before the date that appendix J1 becomes mandatory or 3.8 of 
appendix J1 upon the date that appendix J1 to this subpart becomes 
mandatory.
    (k)-(l) [Reserved]
    (m) Central Air Conditioners and heat pumps. (1) The estimated 
annual operating cost for cooling-only units and air-source heat pumps 
shall be one of the following:
    (i) For cooling-only units or the cooling portion of the estimated 
annual operating cost for air-source heat pumps which provide both 
heating and cooling, the product of:
    (A) The quotient of the cooling capacity, in Btu's per hour, 
determined from the steady-state wet-coil test (A or A2 
Test), as described in section 3.2 of appendix M to this subpart, 
divided by the seasonal energy efficiency ratio (SEER), in Btu's per 
watt-hour, determined from section 4.1 of appendix M to this subpart;
    (B) The representative average use cycle for cooling of 1,000 hours 
per year;
    (C) A conversion factor of 0.001 kilowatt per watt; and
    (D) The representative average unit cost of electricity in dollars 
per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act, 
the resulting product then being rounded off to the nearest dollar per 
year.
    (ii) For air-source heat pumps which provide only heating or the 
heating

[[Page 141]]

portion of the estimated annual operating cost for air-source heat pumps 
which provide both heating and cooling, the product of:
    (A) The quotient of the standardized design heating requirement, in 
Btu's per hour, nearest to the heating Region IV minimum design heating 
requirement, determined in section 4.2 of appendix M to this subpart, 
divided by the heating seasonal performance factor (HSPF), in Btu's per 
watt-hour, calculated for heating Region IV corresponding to the above-
mentioned standardized design heating requirement and determined in 
section 4.2 of appendix M to this subpart;
    (B) The representative average use cycle for heating of 2,080 hours 
per year;
    (C) The adjustment factor of 0.77 which serves to adjust the 
calculated design heating requirement and heating load hours to the 
actual load experienced by a heating system;
    (D) A conversion factor of 0.001 kilowatt per watt; and
    (E) The representative average unit cost of electricity in dollars 
per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act, 
the resulting product then being rounded off to the nearest dollar per 
year.
    (iii) For air-source heat pumps which provide both heating and 
cooling, the estimated annual operating cost is the sum of the quantity 
determined in paragraph (m)(1)(i) of this section added to the quantity 
determined in paragraph (m)(1)(ii) of this section.
    (2) The estimated regional annual operating cost for cooling-only 
units and for air-source heat pumps shall be one of the following:
    (i) For cooling-only units or the cooling portion of the estimated 
regional annual operating cost for air-source heat pumps which provide 
both heating and cooling, the product of:
    (A) The quotient of the cooling capacity, in Btu's per hour, 
determined from the steady-state wet-coil test (A or A2 
Test), as described in section 3.2 of appendix M to this subpart, 
divided by the seasonal energy efficiency ratio (SEER), in Btu's per 
watt-hour, determined from section 4.1 of appendix M to this subpart;
    (B) The estimated number of regional cooling load hours per year 
determined from Figure 3 in section 4.3 of appendix M to this subpart;
    (C) A conversion factor of 0.001 kilowatts per watt; and
    (D) The representative average unit cost of electricity in dollars 
per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act, 
the resulting product then being rounded off to the nearest dollar per 
year.
    (ii) For air-source heat pumps which provide only heating or the 
heating portion of the estimated regional annual operating cost for air-
source heat pumps which provide both heating and cooling, the product 
of:
    (A) The estimated number of regional heating load hours per year 
determined from Figure 2 in section 4.3 of appendix M to this subpart;
    (B) The quotient of the standardized design heating requirement, in 
Btu's per hour, for the appropriate generalized climatic region of 
interest (i.e., corresponding to the regional heating load hours from 
``A'') and determined in section 4.2 of appendix M to this subpart, 
divided by the heating seasonal performance factor (HSPF), in Btu's per 
watt-hour, calculated for the appropriate generalized climatic region of 
interest and corresponding to the above-mentioned standardized design 
heating requirement while being determined in section 4.2 of appendix M 
to this subpart;
    (C) The adjustment factor of 0.77 which serves to adjust the 
calculated design heating requirement and heating load hours to the 
actual load experienced by a heating system;
    (D) A conversion factor of 0.001 kilowatts per watt; and
    (E) The representative average unit cost of electricity in dollars 
per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act, 
the resulting product then being rounded off to the nearest dollar per 
year.
    (iii) For air-source heat pumps which provide both heating and 
cooling, the estimated regional annual operating cost is the sum of the 
quantity determined in paragraph (m)(3)(i) of this section added to the 
quantity determined in paragraph (m)(3)(ii) of this section.

[[Page 142]]

    (3) The measure(s) of efficiency of performance for cooling-only 
units and air-source heat pumps shall be one or more of the following:
    (i) The cooling mode efficiency measure for cooling-only units and 
air-source heat pumps which provide cooling shall be the seasonal energy 
efficiency ratio (SEER), in Btu's per watt-hour, determined according to 
section 4.1 of appendix M to this subpart, rounded off to the nearest 
0.05.
    (ii) The heating mode efficiency measure for air-source heat pumps 
shall be the heating seasonal performance factors (HSPF), in Btu's per 
watt-hour, determined according to section 4.2 of appendix M to this 
subpart for each applicable standardized design heating requirement 
within each climatic region, rounded off to the nearest 0.05.
    (iii) The annual efficiency measure for air-source heat pumps which 
provide heating and cooling, shall be the annual performance factors 
(APF), in Btu's per watt-hour, determined according to section 4.3 of 
appendix M to this subpart for each standardized design heating 
requirement within each climatic region, rounded off to the nearest 
0.05.
    (4) Other useful measures of energy consumption for central air 
conditioners shall be those measures of energy consumption which the 
Secretary of Energy determines are likely to assist consumers in making 
purchasing decisions and which are derived from the application of 
appendix M to this subpart.
    (5) All measures of energy consumption must be determined by the 
test method as set forth in appendix M to this subpart; or by an 
alternative rating method set forth in Sec. 430.24(m)(4) as approved by 
the Assistant Secretary for Energy Efficiency and Renewable Energy in 
accordance with Sec. 430.24(m)(5).
    (n) Furnaces. (1) The estimated annual operating cost for furnaces 
is the sum of: (i) The product of the average annual fuel energy 
consumption, in Btu's per year for gas or oil furnaces or in kilowatt-
hours per year for electric furnaces, determined according to section 
10.2.2 or 10.3 of appendix N of this subpart, respectively, and the 
representative average unit cost in dollars per Btu for gas or oil, or 
dollars per kilowatt-hour for electric, as appropriate, as provided 
pursuant to section 323(b)(2) of the Act, plus (ii) the product of the 
average annual auxiliary electric energy consumption in kilowatt-hours 
per year determined according to section 10.2.3 of appendix N of this 
subpart, and the representative average unit cost in dollars per 
kilowatt-hour as provided pursuant to section 323(b)(2) of the Act, the 
resulting sum then being rounded off to the nearest dollar per year. 
(For furnaces which operate with variable inputs, an estimated annual 
operating cost is to be calculated for each degree of oversizing 
specified in section 10 of appendix N of this subpart.)
    (2) The annual fuel utilization efficiency for furnaces, expressed 
in percent, is the ratio of annual fuel output of useful energy 
delivered to the heated space to the annual fuel energy input to the 
furnace determined according to section 10.1 of appendix N of this 
subpart for gas and oil furnaces and determined in accordance with 
section 11.1 of American National Standards Institute/American Society 
of Heating, Refrigerating, and Air-Conditioning Engineers (ANSI/ASHRAE) 
Standard 103-1993 for electric furnaces.
    (3) The estimated regional annual operating cost for furnaces is the 
sum of: (i) The product of the regional annual fuel energy consumption 
in Btu's per year for gas or oil furnaces or in kilowatt-hours per year 
for electric furnaces, determined according to section 10.5.1 or 10.5.3 
of appendix N of this subpart, respectively, and the representative 
average unit cost in dollars per Btu for gas or oil, or dollars per 
kilowatt-hour for electric, as appropriate, as provided pursuant to 
section 323(b)(2) of the Act, plus (ii) the product of the regional 
annual auxiliary electrical energy consumption in kilowatt-hours per 
year, determined according to section 10.5.2 of appendix N of this 
subpart, and the representative average unit cost in dollars per 
kilowatt-hour as provided pursuant to section 323(b)(2) of the Act, the 
resulting sum then being rounded off to the nearest dollar per year.

[[Page 143]]

    (4) The energy factor for furnaces, expressed in percent, is the 
ratio of annual fuel output of useful energy delivered to the heated 
space to the total annual energy input to the furnace determined 
according to section 10.4 of appendix N of this subpart.
    (5) Other useful measures of energy consumption for furnaces shall 
be those measures of energy consumption which the Secretary determines 
are likely to assist consumers in making purchasing decisions and which 
are derived from the application of appendix N of this subpart.
    (o) Vented home heating equipment. (1) The annual fuel utilization 
efficiency for vented home heating equipment, expressed in percent, 
which is the ratio of the annual fuel output of useful energy delivered 
to the heated space to the annual fuel energy input to the vented 
heater, shall be determined either according to section 4.1.17 of 
appendix O of this subpart for vented heaters without either manual 
controls or thermal stack dampers; according to section 4.2.6 of 
appendix O of this subpart for vented heaters equipped with manual 
controls; or according to section 4.3.7 of appendix O of this subpart 
for vented heaters equipped with thermal stack dampers.
    (2) The estimated annual operating cost for vented home heating 
equipment is the sum of: (i) The product of the average annual fuel 
energy consumption, in Btu's per year for natural gas, propane, or oil 
fueled vented home heating equipment, determined according to section 
4.6.2 of appendix O of this subpart, and the representative average unit 
cost in dollars per Btu for natural gas, propane, or oil, as 
appropriate, as provided pursuant to section 323(b)(2) of the Act; plus 
(ii) The product of the average annual auxiliary electric energy 
consumption in kilowatt-hours per year determined according to section 
4.6.3 of appendix O of this subpart, and the representative average unit 
cost in dollars per kilowatt-hours as provided pursuant to section 
323(b)(2) of the Act, the resulting sum then being rounded off to the 
nearest dollar per year.
    (3) The estimated operating cost per million Btu output for gas or 
oil vented home heating equipment with an auxiliary electric system 
shall be the product of: (A) The quotient of one million Btu divided by 
the sum of: (1) The product of the maximum fuel input in Btu's per hour 
as determined in 3.1.1 or 3.1.2 of appendix 0 of this subpart times the 
annual fuel utilization efficiency in percent as determined in 4.1.17, 
4.2.6, or 4.3.7 of this appendix as appropriate divided by 100, plus (2) 
the product of the maximum electric power in watts as determined in 
3.1.3 of appendix 0 of this subpart times the quantity 3.412; and (B) of 
the sum of: (1) the product of the maximum fuel input in Btu's per hour 
as determined in 3.1.1 of this appendix times the representative unit 
cost in dollars per Btu for natural gas, propane, or oil, as 
appropriate, as provided pursuant to section 323(b)(2) of the Act; plus 
(2) the product of the maximum auxiliary electric power in kilowatts as 
determined in 3.1.3 of appendix O of this subpart times the 
representative unit cost in dollars per kilowatt-hour as provided 
pursuant to section 323(b)(2) of the Act, the resulting quantity shall 
be rounded off to the nearest 0.01 dollar per million Btu output.
    (4) Other useful measures of energy consumption for vented home 
heating equipment shall be those measures of energy consumption which 
the Secretary determines are likely to assist consumers in making 
purchasing decisions and which are derived from the application of 
appendix O of this subpart.
    (p) Pool heaters. (1) The estimated annual operating cost for pool 
heaters is the sum of:
    (i) The product of the average annual fuel energy consumption, in 
Btu's per year, of natural gas or oil fueled pool heaters, determined 
according to section 4.2 of appendix P of this subpart, and the 
representative average unit cost in dollars per Btu for natural gas or 
oil, as appropriate, as provided pursuant to section 323(b)(2) of the 
Act; plus
    (ii) The product of the average annual auxiliary electric energy 
consumption in kilowatt-hours per year determined according to section 
4.3 of appendix P of this subpart, and the representative average unit 
cost in dollars per kilowatt-hours as provided pursuant to section 
323(b)(2) of the Act, the

[[Page 144]]

resulting sum then being rounded off to the nearest dollar per year.
    (2) The thermal efficiency of pool heaters, expressed as a percent, 
shall be determined in accordance with section 4 of appendix P to this 
subpart.
    (q) Fluorescent Lamp Ballasts. (1) The Estimated Annual Energy 
Consumption (EAEC) for fluorescent lamp ballasts, expressed in kilowatt-
hours per year, shall be the product of: (i) The input power in 
kilowatts as determined in accordance with section 3.3.1 of appendix Q 
to this subpart and (ii) the representative average use cycle of 1,000 
hours per year, the resulting product then being rounded off to the 
nearest kilowatt-hour per year.
    (2) Ballast Efficacy Factor (BEF) shall be as determined in section 
4.2 of appendix Q of this subpart.
    (3) The Estimated Annual Operating Cost (EAOC) for fluorescent lamp 
ballasts, expressed in dollars per year, shall be the product of: (i) 
The representative average unit energy cost of electricity in dollars 
per kilowatt-hour as provided by the Secretary, (ii) the representative 
average use cycle of 1,000 hours per year, and (iii) the input power in 
kilowatts as determined in accordance with section 3.3.1 of appendix Q 
to this subpart, the resulting product then being rounded off to the 
nearest dollar per year.
    (4) Other useful measures which may be applicable. [Reserved]
    (r) General Service Fluorescent Lamps and General Service 
Incandescent Lamps. (1) The estimated annual energy consumption for 
general service fluorescent 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 lumen per watt.
    (3) 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.
    (4) The color rendering index of a general service fluorescent lamp 
shall be tested and determined in accordance with section 4.5 of 
Appendix R of this subpart and rounded off to the nearest unit.
    (s) Faucets. The maximum permissible water use allowed for lavatory 
faucets, lavatory replacement aerators, kitchen faucets, and kitchen 
replacement aerators, expressed in gallons and liters per minute (gpm 
and L/min), shall be measured in accordance to section 2(a) of Appendix 
S of this subpart. The maximum permissible water use allowed for 
metering faucets, expressed in gallons and liters per cycle (gal/cycle 
and L/cycle), shall be measured in accordance to section 2(a) of 
Appendix S of this subpart.
    (t) Showerheads. The maximum permissible water use allowed for 
showerheads, expressed in gallons and liters per minute (gpm and L/min), 
shall be measured in accordance to section 2(b) of Appendix S of this 
subpart.
    (u) Water closets. The maximum permissible water use allowed for 
water closets, expressed in gallons and liters per flush (gpf and Lpf), 
shall be measured in accordance to section 3(a) of Appendix T of this 
subpart.
    (v) Urinals. The maximum permissible water use allowed for urinals, 
expressed in gallons and liters per flush (gpf and Lpf), shall be 
measured in accordance to section 3(b) of Appendix T of this subpart.
    (w) Ceiling fans. The airflow and airflow efficiency for ceiling 
fans, expressed in cubic feet per minute (CFM) and CFM per watt (CFM/
watt), respectively, shall be measured in accordance with section 4 of 
appendix U of this subpart.
    (x) Ceiling fan light kits. The efficacy, expressed in lumens per 
watt (lumens/watt), for ceiling fan light kits with

[[Page 145]]

sockets for medium screw base lamps or pin-based fluorescent lamps shall 
be measured in accordance with section 4 of appendix V of this subpart.
    (y) Medium Base Compact Fluorescent Lamps. The initial efficacy, 
lumen maintenance at 1,000 hours, lumen maintenance at 40-percent of 
rated life, rapid cycle stress test, and lamp life shall be measured in 
accordance with section 4 of appendix W of this subpart.
    (z) Dehumidifiers. The energy factor for dehumidifiers, expressed in 
liters per kilowatt hour (L/kWh), shall be measured in accordance with 
section 4 of appendix X of this subpart.
    (aa) Battery Chargers. The energy consumption of a battery charger, 
expressed as the nonactive energy ratio, shall be measured in accordance 
with section 4 of appendix Y of this subpart.
    (bb) External Power Supplies. The energy consumption of an external 
power supply, including active mode efficiency in a percentage and the 
no-load energy consumption in watts, shall be measured in accordance 
with section 4 of appendix Z of this subpart.

[42 FR 27898, June 1, 1977]

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



Sec. 430.24  Units to be tested.

    When testing of a covered product is required to comply with section 
323(c) of the Act, or to comply with rules prescribed under sections 324 
or 325 of the Act, a sample shall be selected and tested comprised of 
units which are production units, or are representative of production 
units of the basic model being tested, and shall meet the following 
applicable criteria.
    (a)(1) For each basic model \1\ of electric refrigerators and 
electric refrigerator-freezers, a sample of sufficient size shall be 
tested to insure that--
---------------------------------------------------------------------------

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

    (i) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of a basic model for 
which consumers would favor lower values shall be no less than the 
higher of (A) the mean of the sample or (B) the upper 95 percent 
confidence limit of the true mean divided by 1.10, and
    (ii) Any represented value of the energy factor or other measure of 
energy consumption of a basic model for which consumer would favor 
higher values shall be no greater than the lower of (A) the mean of the 
sample or (B) the lower 95 percent confidence limit of the true mean 
divided by .90.
    (b)(1) For each basic model \1\ of freezers, a sample of sufficient 
size shall be tested to insure that--
    (i) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of a basic model for 
which consumers would favor lower values shall be no less than the 
higher of (A) the mean of the sample or (B) the upper 95 percent 
confidence limit of the true mean divided by 1.10, and
    (ii) Any represented value of the energy factor or other measure of 
energy consumption of a basic model for which consumers would favor 
higher values shall be no greater than the lower of (A) the mean of the 
sample or (B) the lower 95 percent confidence limit of the true mean 
divided by .90.
    (c)(1) For each basic model \1\ of dishwashers, a sample of 
sufficient size shall be tested to insure that--
    (i) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of a basic model for 
which consumers would favor lower values shall be no less than the 
higher of (A) the mean of the sample or (B) the upper 97\1/2\ percent 
confidence limit of the true mean divided by 1.05, and
    (ii) Any represented value of the energy factor or other measure of 
energy consumption of a basic model for which consumers would favor 
higher values shall be no greater than the lower of (A) the mean of the 
sample or (B) the lower 97\1/2\ percent confidence limit of the true 
mean divided by .95.
    (d)(1) For each basic model \1\ of clothes dryers a sample of 
sufficient size shall be tested to insure that--
    (i) Any represented value of estimated annual operating cost, energy

[[Page 146]]

consumption or other measure of energy consumption of a basic model for 
which consumers would favor lower values shall be no less than the 
higher of (A) the mean of the sample or (B) the upper 97\1/2\ percent 
confidence limit of the true mean divided by 1.05, and
    (ii) Any represented value of the energy factor or other measure of 
energy consumption of a basic model for which consumers would favor 
higher values shall be no greater than the lower of (A) the mean of the 
sample or (B) the lower 97\1/2\ percent confidence limit of the true 
mean divided by .95.
    (e)(1) For each basic model \1\ of water heaters, a sample of 
sufficient size shall be tested to insure that--
    (i) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of a basic model for 
which consumers would favor lower values shall be no less than the 
higher of (A) the mean of the sample or (B) the upper 95 percent 
confidence limit of the true mean divided by 1.10, and
    (ii) Any represented value of the energy factor or other measure of 
energy consumption of a basic model for which consumers would favor 
higher values shall be no greater than the lower of (A) the mean of the 
sample or (B) the lower 95 percent confidence limit of the true mean 
divided by .90.
    (f)(1) For each basic model \1\ of room air conditioners, a sample 
of sufficient size shall be tested to insure that--
    (i) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of a basic model for 
which consumers would favor lower values shall be no less than the 
higher of (A) the mean of the sample or (B) the upper 97\1/2\ percent 
confidence limit of the true mean divided by 1.05, and
    (ii) Any represented value of the energy efficiency ratio or other 
measure of energy consumption of a basic model for which consumers would 
favor higher values shall be no greater than the lower of (A) the mean 
of the sample or (B) the lower 97\1/2\ percent confidence limit of the 
true mean divided by .95.
    (g)(1) For each basic model \1\ of unvented home heating equipment 
(not including furnaces), a sample of sufficient size shall be tested to 
insure that--
---------------------------------------------------------------------------

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

    (i) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of a basic model for 
which consumers would favor lower values shall be no less than the 
higher of (A) the mean of the sample or (B) the upper 97\1/2\ percent 
confidence limit of the true mean divided by 1.075, and
    (ii) Any represented value of the annual fuel utilization efficiency 
or other measure of energy consumption of a basic model for which 
consumers would favor higher values shall be not greater than the lower 
of (A) the mean of the sample or (B) the lower 97\1/2\ percent 
confidence limit of the true mean divided by .925.
    (h)(1) For each basic model \1\ of television sets, a sample of 
sufficient size shall be tested to insure that--
    (i) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of a basic model for 
which consumers would favor lower values shall be no less than the 
higher of (A) the mean of the sample or (B) the upper 97\1/2\ percent 
confidence limit of the true mean divided by 1.05, and
    (ii) Any represented value of the energy factor or other measure of 
energy consumption of a basic model for which consumers would favor 
higher values shall be no greater than the lower of (A) the mean of the 
sample or (B) the lower 97\1/2\ percent confidence limit of the true 
mean divided by .95.
    (i)(1) Except as provided in paragraph (i)(2) of this section, for 
each basic model \1\ of conventional cooking tops, conventional ovens 
and microwave ovens a sample of sufficient size shall be tested to 
insure that--
    (i) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of a basic model for 
which consumers would favor lower

[[Page 147]]

values shall be no less than the higher of (A) the mean of the sample or 
(B) the upper 97\1/2\ percent confidence limit of the true mean divided 
by 1.05, and
    (ii) Any represented value of the energy factor or other measure of 
energy consumption of a basic model for which consumers would favor 
higher values shall be no greater than the lower of (A) the mean of the 
sample or (B) the lower 97\1/2\ percent confidence limit of the true 
mean divided by .95.
    (2) Basic models need not be tested which differ from other tested 
basic models by only the design of oven doors the use of which leads to 
improved efficiency and decreased energy consumption and estimated 
annual operating cost. Any represented values of measures of energy 
consumption for basic models not tested shall be the same as for the 
tested basic model.
    (j)(1) For each basic model \1\ of clothes washers, a sample of 
sufficient size shall be tested to insure that--
    (i) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of a basic model for 
which consumers would favor lower values shall be no less than the 
higher of (A) the mean of the sample or (B) the upper 97\1/2\ percent 
confidence limit of the true mean divided by 1.05, and
    (ii) Any represented value of the energy factor or other measure of 
energy consumption of a basic model for which consumers would favor 
higher values shall be no greater than the lower of (A) the mean of the 
sample or (B) the lower 97\1/2\ percent confidence limit of the true 
mean divided by .95.
    (k)-(l) [Reserved]
    (m)(1) For central air conditioners and heat pumps, each single-
package system and each condensing unit (outdoor unit) of a split-
system, when combined with a selected evaporator coil (indoor unit) or a 
set of selected indoor units, must have a sample of sufficient size 
tested in accordance with the applicable provisions of this subpart. The 
represented values for any model of single-package system, any model of 
a tested split-system combination, any model of a tested mini-split 
system combination, or any model of a tested multi-split system 
combination must be assigned such that --
    (i) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of the central air 
conditioner or heat pump for which consumers would favor lower values 
must be no less than the higher of:
    (A) The mean of the sample; or
    (B) The upper 90-percent confidence limit of the true mean divided 
by 1.05;
    (ii) Any represented value of the energy efficiency or other measure 
of energy consumption of the central air conditioner or heat pump for 
which consumers would favor higher values must be no greater than the 
lower of:
    (A) The mean of the sample; or
    (B) The lower 90-percent confidence limit of the true mean divided 
by 0.95;
    (iii) For heat pumps, all units of the sample population must be 
tested in both the cooling and heating modes and the results used for 
determining the heat pump's certified SEER and HSPF ratings in 
accordance with paragraph (m)(1)(ii) of this section.
    (2) For split-system air conditioners and heat pumps, the condenser-
evaporator coil combination selected for tests pursuant to paragraph 
(m)(1) of this section shall include the evaporator coil that is likely 
to have the largest volume of retail sales with the particular model of 
condensing unit. For mini-split condensing units that are designed to 
always be installed with more than one indoor unit, a ``tested 
combination'' as defined in 10 CFR 430.2 shall be used for tests 
pursuant to paragraph (m)(1) of this section. For multi-split systems, 
each model of condensing unit shall be tested with two different sets of 
indoor units. For one set, a ``tested combination'' composed entirely of 
non-ducted indoor units shall be used. For the second set, a ``tested 
combination'' composed entirely of ducted indoor units shall be used. 
Components of similar design may be substituted without requiring 
additional testing if the represented measures of energy consumption 
continue to satisfy the applicable sampling provisions of paragraphs 
(m)(1)(i) and (m)(1)(ii) of this section. However, for any split-system 
air conditioner having a single-speed compressor, the condenser-
evaporator coil combination

[[Page 148]]

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

[[Page 149]]

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

[[Page 150]]

proposed ARM. The calculated ratings for the four mixed systems, as 
determined using the proposed ARM, must be provided along with any other 
related information that will aid the verification process.
    (v) If request for approval is for an updated ARM, manufacturers 
must identify modifications made to the ARM since the last submittal, 
including any ARM/simulation adjustment factor(s) added since the ARM 
was last approved by DOE.
    (7) Manufacturers that elect to use an alternative rating method for 
determining measures of energy consumption under paragraphs 
(m)(2)(ii)(A) and (m)(4) of this section must either subject a sample of 
their units to independent testing on a regular basis, e.g., through a 
voluntary certification program, or have the representations reviewed 
and certified by an independent state-registered professional engineer 
who is not an employee of the manufacturer. The registered professional 
engineer is to certify that the results of the alternative rating 
procedure accurately represent the energy consumption of the unit(s). 
The manufacturer is to keep the registered professional engineer's 
certifications on file for review by DOE for as long as said combination 
is made available for sale by the manufacturer. Any proposed change to 
the alternative rating method must be approved by DOE prior to its use 
for rating.
    (8) Manufacturers who choose to use computer simulation or 
engineering analysis for determining measures of energy consumption 
under paragraphs (m)(2)(ii)(A) and (m)(4) through (m)(7) of this section 
must permit representatives of the Department of Energy to inspect for 
verification purposes the simulation method(s) and computer program(s) 
used. This inspection may include conducting simulations to predict the 
performance of particular outdoor unit `` indoor unit combinations 
specified by DOE, analysis of previous simulations conducted by the 
manufacturer, or both.
    (n)(1) For each basic model \1\ of furnaces, other than basic models 
of those sectional cast-iron boilers which may be aggregated into groups 
having identical intermediate sections and combustion chambers, a sample 
of sufficient size shall be tested to insure that--
    (i) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of a basic model for 
which consumers would favor lower values shall be no less than the 
higher of (A) the mean of the sample, or (B) the upper 97\1/2\ percent 
confidence limit of the true mean divided by 1.05, and
    (ii) Any represented value of the annual fuel utilization efficiency 
or other measure of energy consumption of a basic model for which 
consumers would favor higher values shall be no greater than the lower 
of (A) the mean of the sample, or (B) the lower 97\1/2\ percent 
confidence limit of the true mean divided by .95.
    (2) For the lowest capacity basic model \1\ of a group of basic 
models of those sectional cast-iron boilers having identical 
intermediate sections and combustion chambers, a sample of sufficient 
size shall be tested to insure that--
---------------------------------------------------------------------------

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

    (i) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of a basic model for 
which consumers would favor lower values shall be no less than the 
higher of (A) the mean of the sample, or (B) the upper 97\1/2\ percent 
confidence limit of the true mean divided by 1.05, and
    (ii) Any represented value of the fuel utilization efficiency or 
other measure of energy consumption of a basic model for which consumers 
would favor higher values shall be no greater than the lower of (A) the 
mean of the sample, or (B) the lower 97\1/2\ percent confidence limit of 
the true mean divided by .95.
    (3) For the highest capacity basic model \1\ of a group of basic 
models of those sectional cast-iron boilers having identical 
intermediate sections and combustion chambers, a sample of sufficient 
size shall be tested to insure that--
    (i) Any represented value of estimated annual operating cost, energy

[[Page 151]]

consumption or other measure of energy consumption of a basic model for 
which consumers would favor lower values be no less than the higher of 
(A) the mean of the sample, or (B) the upper 97\1/2\ percent confidence 
limit of the true mean divided by 1.05, and
    (ii) Any represented value of the fuel utilization efficiency or 
other measure of energy consumption of a basic model for which consumers 
would favor higher values shall be no greater than the lower of (A) the 
mean of the sample, or (B) the lower 97\1/2\ percent confidence limit of 
the true mean divided by .05.
    (4) For basic model \1\ or capacity other than the highest or lowest 
of the group of basic models \1\ of sectional cast-iron boilers having 
identical intermediate sections and combustion chambers, represented 
values of measures of energy consumption shall be determined by either--
    (i) A linear interpolation of data obtained for the smallest and 
largest capacity units of the family, or
    (ii) Testing a sample of sufficient size to insure that (A) any 
represented value of estimated annual operating cost, energy consumption 
or other measure of energy consumption of a basic model for which 
consumers would favor lower values shall be no less than the higher of 
(1) the mean of the sample, or (2) the upper 97\1/2\ percent confidence 
limit of the true mean divided by 1.05, and (B) any represented value of 
the energy factor or other measure of energy consumption of a basic 
model for which consumers would favor higher values shall be no greater 
than the lower of (1) the mean of the sample, or (2) the lower 97\1/2\ 
percent confidence limit of the true mean divided by .95.
    (5) Whenever measures of energy consumption determined by linear 
interpolation do not agree with measures of energy consumption 
determined by actual testing, the values determined by testing will be 
assumed to be the more reliable values.
    (6) In calculating the measures of energy consumption for each unit 
tested, use the design heating requirement corresponding to the mean of 
the capacities of the units of the sample.
    (o)(1) For each basic model \1\ of vented home heating equipment 
(not including furnaces) a sample of sufficient size shall be tested to 
insure that--
    (i) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of a basic model for 
which consumers would favor lower values shall be no less than the 
higher of (A) the mean of the sample or (B) the upper 97\1/2\ percent 
confidence limit of the true mean divided by 1.05, and
    (ii) Any represented value of the fuel utilization efficiency or 
other measure of energy consumption of a basic model for which consumers 
would favor higher values shall be no greater than the lower of (A) the 
mean of the sample or (B) the lower 97\1/2\ percent confidence limit of 
the true mean divided by .95.
    (2) In calculating the measures of energy consumption for each unit 
tested use the design heating requirement corresponding to the mean of 
the capacities of the units of the sample.
    (p)(1) For each basic model \1\ of pool heater a sample of 
sufficient size shall be tested to insure that--
---------------------------------------------------------------------------

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

    (i) [Reserved]
    (ii) Any represented value of the fuel utilization efficiency or 
other measure of energy consumption of a basic model for which consumers 
would favor higher values shall be no greater than the lower of (A) the 
mean of the sample or (B) the lower 97\1/2\ percent confidence limit of 
the true mean divided by .95.
    (q)(1) For each basic model of fluorescent lamp ballasts, as defined 
in paragraph (14) of Sec. 430.2, a sample of sufficient size, no less 
than four, shall be tested to insure that--
    (i) Any represented value of estimated annual energy operating 
costs, energy consumption, or other measure of energy consumption of a 
basic model for which consumers would favor lower values shall be no 
less than the higher of (A) the mean of the sample or (B) the upper 99 
percent confidence limit of the true mean divided by 1.01, and
    (ii) Any represented value of the ballast efficacy factor or other 
measure of the energy consumption of a basic model for which consumers 
would favor

[[Page 152]]

a higher value shall be no greater than the lower of (A) the mean of the 
sample or (B) the lower 99 percent confidence limit of the true mean 
divided by 0.99.
    (r)(1) For each basic model of general service fluorescent lamp and 
incandescent reflector lamp, samples of production lamps shall be tested 
and the results for all samples shall be averaged for a 12-month period. 
A minimum sample of 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 a 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 no 
greater than the lower of the mean of the sample or the lower 95-percent 
confidence limit of the true mean (XL) divided by 0.97, i.e.,
[GRAPHIC] [TIFF OMITTED] TR29MY97.001

where:

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

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

where:

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

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

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

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

[[Page 153]]

    (2) The upper 90 percent confidence limit of the true mean divided 
by 1.1.

(Energy Policy and Conservation Act, Pub. L. 94-163, as amended by Pub. 
L. 95-619; Department of Energy Organization Act, Pub. L. 95-91)

[44 FR 22416, Apr. 13, 1979, as amended at 44 FR 39153, July 5, 1979; 44 
FR 76706, Dec. 27, 1979; 45 FR 53719, Aug. 12, 1980; 53 FR 8312, Mar. 
14, 1988; 54 FR 6075, Feb. 7, 1989; 56 FR 18682, April 24, 1991. 
Redesignated and amended at 59 FR 49474, 49475, Sept. 28, 1994; 62 FR 
29239, May 29, 1997; 63 FR 13316, Mar. 18, 1998; 70 FR 59135, Oct. 11, 
2005; 72 FR 59920, Oct. 22, 2007]



Sec. 430.25  Laboratory Accreditation Program.

    The testing for general service fluorescent lamps, general service 
incandescent lamps, incandescent reflector lamps, and medium base 
compact fluorescent lamps, shall be performed in accordance with 
Appendix R to this subpart and shall be conducted by test laboratories 
accredited by the National Voluntary Laboratory Accreditation Program 
(NVLAP) or by an accrediting organization recognized by NVLAP. NVLAP is 
a program of the National Institute of Standards and Technology, U. S. 
Department of Commerce. NVLAP standards for accreditation of 
laboratories that test for compliance with standards for lamp efficacy 
and CRI are given in 15 CFR part 285 as supplemented by NVLAP Handbook 
150-01, ``Energy Efficient Lighting Products, Lamps and Luminaires.'' A 
manufacturer's or importer's own laboratory, if accredited, may conduct 
the applicable testing.

[62 FR 29240, May 29, 1997]



Sec. 430.27  Petitions for waiver and applications for interim waiver.

    (a)(1) Any interested person may submit a petition to waive for a 
particular basic model any requirements of Sec. 430.23, or of any 
appendix to this subpart, upon the grounds that the basic model contains 
one or more design characteristics which either prevent testing of the 
basic model according to the prescribed test procedures, or the 
prescribed test procedures may evaluate the basic model in a manner so 
unrepresentative of its true energy consumption characteristics, or 
water consumption characteristics (in the case of faucets, showerheads, 
water closets, and urinals) as to provide materially inaccurate 
comparative data.
    (2) Any interested person who has submitted a Petition for Waiver as 
provided in this subpart may also file an Application for Interim Waiver 
of the applicable test procedure requirements.
    (b)(1) A Petition for Waiver shall be submitted, in triplicate, to 
the Assistant Secretary for Conservation and Renewable Energy, United 
States Department of Energy. Each Petition for Waiver shall:
    (i) Identify the particular basic model(s) for which a waiver is 
requested, the design characteristic(s) constituting the grounds for the 
petition, and the specific requirements sought to be waived and shall 
discuss in detail the need for the requested waiver;
    (ii) Identify manufacturers of all other basic models marketed in 
the United States and known to the petitioner to incorporate similar 
design characteristic(s);
    (iii) Include any alternate test procedures known to the petitioner 
to evaluate in a manner representative of the energy consumption 
characteristics, or water consumption characteristics (in the case of 
faucets, showerheads, water closets, and urinals) of the basic model; 
and
    (iv) Be signed by the petitioner or by an authorized representative. 
In accordance with the provisions set forth in 10 CFR 1004.11, any 
request for confidential treatment of any information contained in a 
Petition for Waiver or in supporting documentation must be accompanied 
by a copy of the petition, application or supporting documentation from 
which the information claimed to be confidential has been deleted. DOE 
shall publish in the Federal Register the petition and supporting 
documents from which confidential information, as determined by DOE, has 
been deleted in accordance with 10 CFR 1004.11 and shall solicit 
comments, data and information with respect to the determination of the 
petition. Any person submitting written comments to DOE with the respect 
to a Petition for Waiver shall also send a

[[Page 154]]

copy of such comments to the petitioner. In accordance with paragraph 
(i) of this section, a petitioner may submit a rebuttal statement to the 
Assistant Secretary for Conservation and Renewable Energy.
    (2) An Application for Interim Waiver shall be submitted in 
triplicate, with the required three copies of the Petition for Waiver, 
to the Assistant Secretary for Conservation and Renewable Energy, U.S. 
Department of Energy. Each Application for Interim Waiver shall 
reference the Petition for Waiver by identifying the particular basic 
model(s) for which a waiver and temporary exception are being sought. 
Each Application for Interim Waiver shall demonstrate likely success of 
the Petition for Waiver and shall address what economic hardship and/or 
competitive disadvantage is likely to result absent a favorable 
determination on the Application for Interim Waiver. Each Application 
for Interim Waiver shall be signed by the applicant or by an authorized 
representative.
    (c)(1) Each petitioner, after filing a Petition for Waiver with DOE, 
and after the Petition for Waiver has been published in the Federal 
Register, shall, within five working days of such publication, notify in 
writing all known manufacturers of domestically marketed units of the 
same product type (as listed in section 322(a) of the Act) and shall 
include in the notice a statement that DOE has published in the Federal 
Register on a certain date the Petition for Waiver and supporting 
documents from which confidential information, if any, as determined by 
DOE, has been deleted in accordance with 10 CFR 1004.11. Each 
petitioner, in complying with the requirements of this paragraph, shall 
file with DOE a statement certifying the names and addresses of each 
person to whom a notice of the Petition for Waiver has been sent.
    (2) Each applicant for Interim Waiver, whether filing jointly with, 
or subsequent to, a Petition for Waiver with DOE, shall concurrently 
notify in writing all known manufacturers of domestically marketed units 
of the same product type (as listed in Section 322(a) of the Act) and 
shall include in the notice a copy of the Petition for Waiver and a copy 
of the Application for Interim Waiver. In complying with this section, 
each applicant shall in the written notification include a statement 
that the Assistant Secretary for Conservation and Renewable Energy will 
receive and consider timely written comments on the Application for 
Interim Waiver. Each applicant, upon filing an Application for Interim 
Waiver, shall in complying with the requirements of this paragraph 
certify to DOE that a copy of these documents have been sent to all 
known manufacturers of domestically marked units of the same product 
type (as listed in section 322(a) of the Act). Such certification shall 
include the names and addresses of such persons. Each applicant also 
shall comply with the provisions of paragraph (c)(1) of this section 
with respect to the petition for waiver.
    (d) Any person submitting written comments to DOE with respect to an 
Application for Interim Waiver shall also send a copy of the comments to 
the applicant.
    (e) If administratively feasible, applicant shall be notified in 
writing of the disposition of the Application for Interim Waiver within 
15 business days of receipt of the application. Notice of DOE's 
determination on the Application for Interim Waiver shall be published 
in the Federal Register.
    (f) The filing of an Application for Interim Waiver shall not 
constitute grounds for noncompliance with any requirements of this 
subpart, until an Interim Waiver has been granted.
    (g) An Interim Waiver from test procedure requirements will be 
granted by the Assistant Secretary for Conservation and Renewable Energy 
if it is determined that the applicant will experience economic hardship 
if the Application for Interim Waiver is denied, if it appears likely 
that the Petition for Waiver will be granted, and/or the Assistant 
Secretary determines that it would be desirable for public policy 
reasons to grant immediate relief pending a determination on the 
Petition for Waiver.
    (h) An interim waiver will terminate 180 days after issuance or upon 
the determination on the Petition for Waiver, whichever occurs first. An 
interim waiver may be extended by DOE for 180

[[Page 155]]

days. Notice of such extension and/or any modification of the terms or 
duration of the interim waiver shall be published in the Federal 
Register, and shall be based on relevant information contained in the 
record and any comments received subsequent to issuance of the interim 
waiver.
    (i) Following publication of the Petition for Waiver in the Federal 
Register, a petitioner may, within 10 working days of receipt of a copy 
of any comments submitted in accordance with paragraph (b)(1) of this 
section, submit a rebuttal statement to the Assistant Secretary for 
Conservation and Renewable Energy. A petitioner may rebut more than one 
response in a single rebuttal statement.
    (j) The petitioner shall be notified in writing as soon as 
practicable of the disposition of each Petition for Waiver. The 
Assistant Secretary for Conservation and Renewable Energy shall issue a 
decision on the petition as soon as is practicable following receipt and 
review of the Petition for Waiver and other applicable documents, 
including, but not limited to, comments and rebuttal statements.
    (k) The filing of a Petition for Waiver shall not constitute grounds 
for noncompliance with any requirements of this subpart, until a waiver 
or interim waiver has been granted.
    (l) Waivers will be granted by the Assistant Secretary for 
Conservation and Renewable Energy, if it is determined that the basic 
model for which the waiver was requested contains a design 
characteristic which either prevents testing of the basic model 
according to the prescribed test procedures, or the prescribed test 
procedures may evaluate the basic model in a manner so unrepresentative 
of its true energy consumption characteristics, or water consumption 
characteristics (in the case of faucets, showerheads, water closets, and 
urinals) as to provide materially inaccurate comparative data. Waivers 
may be granted subject to conditions, which may include adherence to 
alternate test procedures specified by the Assistant Secretary for 
Conservation and Renewable Energy. The Assistant Secretary shall consult 
with the Federal Trade Commission prior to granting any waiver, and 
shall promptly publish in the Federal Register notice of each waiver 
granted or denied, and any limiting conditions of each waiver granted.
    (m) Within one year of the granting of any waiver, the Department of 
Energy will publish in the Federal Register a notice of proposed 
rulemaking to amend its regulations so as to eliminate any need for the 
continuation of such waiver. As soon thereafter as practicable, the 
Department of Energy will publish in the Federal Register a final rule. 
Such waiver will terminate on the effective date of such final rule.
    (n) In order to exhaust administrative remedies, any person 
aggrieved by an action under this section must file an appeal with the 
DOE's Office of Hearings and Appeals as provided in 10 CFR part 1003, 
subpart C.

[51 FR 42826, Nov. 26, 1986, as amended at 60 FR 15017, Mar. 21, 1995; 
63 FR 13316, Mar. 18, 1998]



   Sec. Appendix A1 to Subpart B of Part 430--Uniform Test Method for 
Measuring the Energy Consumption of Electric Refrigerators and Electric 

                          Refrigerator-Freezers

                             1. Definitions

    1.1 ``HRF-1-1979'' means the Association of Home Appliance 
Manufacturers standard for household refrigerators, combination 
refrigerator-freezers, and household freezers, also approved as an 
American National Standard as a revision of ANSI B 38.1-1970.
    1.2 ``Adjusted total volume'' means the sum of (i) the fresh food 
compartment volume as defined in HRF-1-1979 in cubic feet, and (ii) the 
product of an adjustment factor and the net freezer compartment volume 
as defined in HRF-1-1979, in cubic feet.
    1.3 ``Anti-sweat heater'' means a device incorporated into the 
design of a refrigerator or refrigerator-freezer to prevent the 
accumulation of moisture on exterior surfaces of the cabinet under 
conditions of high ambient humidity.
    1.4 ``All-refrigerator'' means an electric refrigerator which does 
not include a compartment for the freezing and long time storage of food 
at temperatures below 32 [deg]F. (0.0 [deg]C.). It may include a 
compartment of 0.50 cubic feet capacity (14.2 liters) or less for the 
freezing and storage of ice.
    1.5 ``Cycle'' means the period of 24 hours for which the energy use 
of an electric refrigerator or electric refrigerator-freezer is 
calculated as though the consumer activated compartment temperature 
controls were set

[[Page 156]]

so that the desired compartment temperatures were maintained.
    1.6 ``Cycle type'' means the set of test conditions having the 
calculated effect of operating an electric refrigerator or electric 
refrigerator-freezer for a period of 24 hours, with the consumer 
activated controls other than those that control compartment 
temperatures set to establish various operating characteristics.
    1.7 ``Standard cycle'' means the cycle type in which the anti-sweat 
heater control, when provided, is set in the highest energy consuming 
position.
    1.8 ``Automatic defrost'' means a system in which the defrost cycle 
is automatically initiated and terminated, with resumption of normal 
refrigeration at the conclusion of the defrost operation. The system 
automatically prevents the permanent formation of frost on all 
refrigerated surfaces. Nominal refrigerated food temperatures are 
maintained during the operation of the automatic defrost system.
    1.9 ``Long-time Automatic Defrost'' means an automatic defrost 
system where successive defrost cycles are separated by 14 hours or more 
of compressor-operating time.
    1.10 ``Stabilization Period'' means the total period of time during 
which steady-state conditions are being attained or evaluated.
    1.11 ``Variable defrost control'' means a long-time automatic 
defrost system (except the 14-hour defrost qualification does not apply) 
where successive defrost cycles are determined by an operating condition 
variable or variables other than solely compressor operating time. This 
includes any electrical or mechanical device. Demand defrost is a type 
of variable defrost control.
    1.12 ``Externally vented refrigerator or refrigerator-freezer'' 
means an electric refrigerator or electric refrigerator-freezer that: 
has an enclosed condenser or an enclosed condenser/compressor 
compartment and a set of air ducts for transferring the exterior air 
from outside the building envelope into, through and out of the 
refrigerator or refrigerator-freezer cabinet; is capable of mixing 
exterior air with the room air before discharging into, through, and out 
of the condenser or condenser/compressor compartment; includes 
thermostatically controlled dampers or controls that enable the mixing 
of the exterior and room air at low outdoor temperatures, and the 
exclusion of exterior air when the outdoor air temperature is above 80 
[deg]F or the room air temperature; and may have a thermostatically 
actuated exterior air fan.

                           2. Test Conditions

    2.1 Ambient temperature. The ambient temperature shall be 90.0 
1 [deg]F. (32.30.6 [deg]C.) 
during the stabilization period and during the test period. The ambient 
temperature shall be 802 [deg]F dry bulb and 67 
[deg]F wet bulb during the stabilization period and during the test 
period when the unit is tested in accordance with section 3.3.
    2.2 Operational conditions. The electric refrigerator or electric 
refrigerator-freezer shall be installed and its operating conditions 
maintained in accordance with HRF-1-1979, section 7.2 through section 
7.4.3.3, except that the vertical ambient temperature gradient at 
locations 10 inches (25.4 cm) out from the centers of the two sides of 
the unit being tested is to be maintained during the test. Unless the 
area is obstructed by shields or baffles, the gradient is to be 
maintained from 2 inches (5.1 cm) above the floor or supporting platform 
to a height one foot (30.5 cm) above the unit under test. Defrost 
controls are to be operative and the anti-sweat heater switch is to be 
``on'' during one test and ``off'' during a second test. Other 
exceptions are noted in 2.3, 2.4, and 5.1 below.
    2.3 Conditions for automatic defrost refrigerator-freezers. For 
automatic defrost refrigerator-freezers, the freezer compartments shall 
not be loaded with any frozen food packages. Cylindrical metallic masses 
of dimensions 1.120.25 inches (2.90.6 cm) in diameter and height shall be attached in good 
thermal contact with each temperature sensor within the refrigerated 
compartments. All temperature measuring sensor masses shall be supported 
by nonthermally conductive supports in such a manner that there will be 
at least one inch (2.5 cm) of air space separating the thermal mass from 
contact with any surface. In case of interference with hardware at the 
sensor locations specified in section 5.1, the sensors shall be placed 
at the nearest adjacent location such that there will be a one inch air 
space separating the sensor mass from the hardware.
    2.4 Conditions for all-refrigerators. There shall be no load in the 
freezer compartment during the test.
    2.5 Steady State Condition. Steady state conditions exist if the 
temperature measurements in all measured compartments taken at four 
minute intervals or less during a stabilization period are not changing 
at a rate greater than 0.042 [deg]F. (0.023 [deg]C.) per hour as 
determined by the applicable condition of A or B.
    A. The average of the measurements during a two hour period if no 
cycling occurs or during a number of complete repetitive compressor 
cycles through a period of no less than two hours is compare to the 
average over an equivalent time period with three hours elapsed between 
the two measurement periods.
    B. If A above cannot be used, the average of the measurements during 
a number of complete repetitive compressor cycles through a period of no 
less than two hours and including the last complete cycle prior to a 
defrost period, or if no cycling occurs,

[[Page 157]]

the average of the measurements during the last two hours prior to a 
defrost period; are compared to the same averaging period prior to the 
following defrost period.
    2.6 Exterior air for externally vented refrigerator or refrigerator-
freezer. An exterior air source shall be provided with adjustable 
temperature and pressure capabilities. The exterior air temperature 
shall be adjustable from 351 [deg]F (1.70.6 [deg]C) to 901 [deg]F 
(32.20.6 [deg]C).
    2.6.1 Air duct. The exterior air shall pass from the exterior air 
source to the test unit through an insulated air duct.
    2.6.2 Air temperature measurement. The air temperature entering the 
condenser or condenser/compressor compartment shall be maintained to 
3 [deg]F (1.7 [deg]C) during the stabilization and 
test periods and shall be measured at the inlet point of the condenser 
or condenser/compressor compartment (``condenser inlet''). Temperature 
measurements shall be taken from at least three temperature sensors or 
one sensor per 4 square inches of the air duct cross sectional area, 
whichever is greater, and shall be averaged. For a unit that has a 
condenser air fan, a minimum of three temperature sensors at the 
condenser fan discharge shall be required. Temperature sensors shall be 
arranged to be at the centers of equally divided cross sectional areas. 
The exterior air temperature, at its source, shall be measured and 
maintained to 1 [deg]F (0.6 [deg]C) during the 
test period. The temperature measuring devices shall have an error not 
greater than 0.5 [deg]F (0.3 
[deg]C). Measurements of the air temperature during the test period 
shall be taken at regular intervals not to exceed four minutes.
    2.6.3 Exterior air static pressure. The exterior air static pressure 
at the inlet point of the unit shall be adjusted to maintain a negative 
pressure of 0.200.05 water 
column (62 Pa12.5 Pa) for all air flow rates 
supplied to the unit. The pressure sensor shall be located on a straight 
duct with a distance of at least 7.5 times the diameter of the duct 
upstream and a distance of at least 3 times the diameter of the duct 
downstream. There shall be four static pressure taps at 90[deg]angles 
apart. The four pressures shall be averaged by interconnecting the four 
pressure taps. The air pressure measuring instrument shall have an error 
not greater than 0.01 water column (2.5 Pa).

                        3. Test Control Settings

    3.1 Model with no user operable temperature control. A test shall be 
performed during which the compartment temperatures and energy use shall 
be measured. A second test shall be performed with the temperature 
control electrically short circuited to cause the compressor to run 
continuously.
    3.2 Model with user operable temperature control. Testing shall be 
performed in accordance with one of the following sections using the 
standardized temperatures of:

All-refrigerator: 38 [deg]F. (3.3 [deg]C.) fresh food compartment 
temperature
Refrigerator: 15 [deg]F. (-9.4 [deg]C.) freezer compartment temperature
Refrigerator-freezer: 5 [deg]F. (-15 [deg]C.) freezer compartment 
temperature
Variable defrost control models: 5 [deg]F (-15 [deg]C) freezer 
compartment temperature and 38 2 [deg]F fresh food 
compartment temperature during steady-state conditions with no door-
openings. If both settings cannot be obtained, then test with the fresh 
food compartment temperature at 382 [deg]F and the 
freezer compartment as close to 5 [deg]F as possible.

    3.2.1 A first test shall be performed with all compartment 
temperature controls set at their median position midway between their 
warmest and coldest settings. Knob detents shall be mechanically 
defeated if necessary to attain a median setting. A second test shall be 
performed with all controls set at either their warmest or their coldest 
setting (not electrically or mechanically bypassed), whichever is 
appropriate, to attempt to achieve compartment temperatures measured 
during the two tests which bound (i.e., one is above and one is below) 
the standardized temperature for the type of product being tested. If 
the compartment temperatures measured during these two tests bound the 
appropriate standardized temperature, then these test results shall be 
used to determine energy consumption. If the compartment temperature 
measured with all controls set at their coldest setting is above the 
standardized temperature, a third test shall be performed with all 
controls set at their warmest setting and the result of this test shall 
be used with the result of the test performed with all controls set at 
their coldest setting to determine energy consumption. If the 
compartment temperature measured with all controls set at their warmest 
setting is below the standardized temperature; and the fresh food 
compartment temperature is below 45 [deg]F. (7.22 [deg]C.) in the case 
of a refrigerator or a refrigerator-freezer, excluding an all-
refrigerator, then the result of this test alone will be used to 
determine energy consumption.
    3.2.2 Alternatively, a first test may be performed with all 
temperature controls set at their warmest setting. If the compartment 
temperature is below the appropriate standardized temperature, and the 
fresh food compartment temperature is below 45 [deg]F. (7.22 [deg]C.) in 
the case of a refrigerator or a refrigerator-freezer, excluding an all-
refrigerator, then the result of this test alone will be used to 
determine energy consumption. If the above conditions are not met, then 
the unit shall be tested in accordance with 3.2.1 above.

[[Page 158]]

    3.2.3 Alternatively, a first test may be performed with all 
temperature controls set at their coldest setting. If the compartment 
temperature is above the appropriate standardized temperature, a second 
test shall be performed with all controls set at their warmest control 
setting and the results of these two tests shall be used to determine 
energy consumption. If the above condition is not met, then the unit 
shall be tested in accordance with 3.2.1 above.
    3.3 Variable defrost control optional test. After a steady-state 
condition is achieved, the optional test requires door-openings for 
122 seconds every 60 minutes on the fresh food 
compartment door and a simultaneous 122 second 
freezer compartment door-opening occurring every 4th time, to obtain 24 
fresh food and six freezer compartment door-openings per 24-hour period. 
The first freezer door-opening shall be simultaneous with the fourth 
fresh food door-opening. The doors are to be opened 60[deg] to 
90[deg]with an average velocity for the leading edge of the door of 
approximately 2 ft./sec. Prior to the initiation of the door-opening 
sequence, the refrigerator defrost control mechanism may be re-initiated 
in order to minimize the test duration.

                             4. Test Period

    4.1 Test Period. Tests shall be performed by establishing the 
conditions set forth in Section 2, and using control settings as set 
forth in Section 3, above.
    4.1.1 Nonautomatic Defrost. If the model being tested has no 
automatic defrost system, the test time period shall start after steady 
state conditions have been achieved and be of not less than three hours 
in duration. During the test period, the compressor motor shall complete 
two or more whole compressor cycles (a compressor cycle is a complete 
``on'' and a complete ``off'' period of the motor). If no ``off'' 
cycling will occur, as determined during the stabilization period, the 
test period shall be three hours. If incomplete cycling (less than two 
compressor cycles) occurs during a 24 hour period, the results of the 24 
hour period shall be used.
    4.1.2 Automatic Defrost. If the model being tested has an automatic 
defrost system, the test time period shall start after steady state 
conditions have been achieved and be from one point during a defrost 
period to the same point during the next defrost period. If the model 
being tested has a long-time automatic defrost system, the alternative 
provisions of 4.1.2.1 may be used. If the model being tested has a 
variable defrost control, the provisions of section 4.1.2.2 or 4.1.2.3 
shall apply. If the model has a dual compressor system the provisions of 
4.1.2.4 shall apply.
    4.1.2.1 Long-time Automatic Defrost. If the model being tested has a 
long-time automatic defrost system, the test time period may consist of 
two parts. A first part would be the same as the test for a unit having 
no defrost provisions (section 4.1.1). The second part would start when 
a defrost is initiated when the compressor ``on'' cycle is terminated 
prior to start of the defrost heater and terminates at the second turn 
``on'' of the compressor or four hours from the initiation of the 
defrost heater, whichever comes first. See diagram in Figure 1 to this 
section.

[[Page 159]]

[GRAPHIC] [TIFF OMITTED] TR07MR03.019

    4.1.2.2 Variable defrost control. If the model being tested has a 
variable defrost control system, the test shall consist of three parts. 
Two parts shall be the same as the test for long-time automatic defrost 
(section 4.1.2.1). The third part is the optional test to determine the 
time between defrosts (section 5.2.1.3). The third part is used by 
manufacturers that choose not to accept the default value of F of 0.20, 
to calculate CT.
    4.1.2.3 Variable defrost control optional test. After steady-state 
conditions with no door openings are achieved in accordance with section 
3.3 above, the test is continued using the above daily door-opening 
sequence until stabilized operation is achieved. Stabilization is 
defined as a minimum of three consecutive defrost cycles with times 
between defrosts that will allow the calculation of a Mean Time Between 
Defrosts (MTBD1) that satisfies the statistical relationship of 90 
percent confidence. The test is repeated on at least one more unit of 
the model and until the Mean Time Between Defrosts for the multiple unit 
tests (MTBD2) satisfies the statistical relationship. If the time 
between defrosts is greater than 96 hours (compressor ``on'' time) and 
this defrost period can be repeated on a second unit, the test may be 
terminated at 96 hours (CT) and the absolute time value used for MTBD 
for each unit.
    4.1.2.4 Dual compressor systems with automatic defrost. If the model 
being tested has separate compressor systems for the refrigerator and 
freezer sections, each with its own automatic defrost system, then the 
two-part method in 4.1.2.1 shall be used. The second part of the method 
will be conducted separately for each automatic defrost system. The 
auxiliary components (fan motors, anti-sweat heaters, etc.) will be 
identified for

[[Page 160]]

each system and the energy consumption measured during each test.

                          5. Test Measurements

    5.1 Temperature Measurements. Temperature measurements shall be made 
at the locations prescribed in Figures 7.1 and 7.2 of HRF-1-1979 and 
shall be accurate to within 0.5 [deg]F. (0.3 
[deg]C.) of true value. No freezer temperature measurements need be 
taken in an all-refrigerator model.
    If the interior arrangements of the cabinet do not conform with 
those shown in Figure 7.1 and 7.2 of HRF-1-1979, measurements shall be 
taken at selected locations chosen to represent approximately the entire 
refrigerated compartment. The locations selected shall be a matter of 
record.
    5.1.1 Measured Temperature. The measured temperature of a 
compartment is to be the average of all sensor temperature readings 
taken in that compartment at a particular time. Measurements shall be 
taken at regular intervals not to exceed four minutes.
    5.1.2 Compartment Temperature. The compartment temperature for each 
test period shall be an average of the measured temperatures taken in a 
compartment during a complete cycle or several complete cycles of the 
compressor motor (one compressor cycle is one complete motor ``on'' and 
one complete motor ``off'' period). For long-time automatic defrost 
models, compartment temperatures shall be those measured in the first 
part of the test period specified in 4.1.1. For models equipped with 
variable defrost controls, compartment temperatures shall be those 
measured in the first part of the test period specified in 4.1.2.2 
above.
    5.1.2.1 The number of complete compressor motor cycles over which 
the measured temperatures in a compartment are to be averaged to 
determine compartment temperature shall be equal to the number of 
minutes between measured temperature readings, rounded up to the next 
whole minute or a number of complete cycles over a time period exceeding 
one hour. One of the cycles shall be the last complete compressor motor 
cycle during the test period.
    5.1.2.2 If no compressor motor cycling occurs, the compartment 
temperature shall be the average of the measured temperatures taken 
during the last thirty-two minutes of the test period.
    5.1.2.3 If incomplete cycling occurs, the compartment temperatures 
shall be the average of the measured temperatures taken during the last 
three hours of the last complete ``on'' period.
    5.2 Energy Measurements
    5.2.1 Per-day Energy Consumption. The energy consumption in 
kilowatt-hours per day for each test period shall be the energy expended 
during the test period as specified in section 4.1 adjusted to a 24 hour 
period. The adjustment shall be determined as follows:
    5.2.1.1 Nonautomatic and automatic defrost models. The energy 
consumption in kilowatt-hours per day shall be calculated equivalent to:

ET=EPx1440/T

where

ET=test cycle energy expended in kilowatt-hours per day,
EP=energy expended in kilowatt-hours during the test period,
T=length of time of the test period in minutes, and
1440=conversion factor to adjust to a 24 hour period in minutes per day.

    5.2.1.2 Long-time Automatic Defrost. If the two part test method is 
used, the energy consumption in kilowatt-hours per day shall be 
calculated equivalent to:

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

where

ET and 1440 are defined in 5.2.1.1,
EP1=energy expended in kilowatt-hours during the first part of the test,
EP2=energy expended in kilowatt-hours during the second part of the 
test,
T1 and T2=length of time in minutes of the first and second test parts 
respectively,
CT=Defrost timer run time in hours required to cause it to go through a 
complete cycle, to the nearest tenth hour per cycle, and
12=factor to adjust for a 50% run time of the compressor in hours per 
day.

    5.2.1.3 Variable defrost control. The energy consumption in 
kilowatt-hours per day shall be calculated equivalent to:

ET=(1440xEP1/T1)+(EP2-(EP1xT2/T1))x(12/CT) where 1440 is defined in 
5.2.1.1 and EP1, EP2, T1, T2 and 12 are defined in 5.2.1.2.

CT=CTLxCTM)/(Fx(CTM-
CTL)+CTL)

CTL=least or shortest time between defrosts in tenths of an 
hour (greater than or equal to six but less than or equal to 12 hours)
CTM=maximum time between defrost cycles in tenths of an hour 
(greater than CTL but not more than 96 hours)
F=ratio of per day energy consumption in excess of the least energy and 
the maximum difference in per day energy consumption and is equal to
F = (1/CT - 1/CTM)/(1/CTL - 1/CTM = 
(ET-ETL)/ETM - ETL) or 0.20 in lieu of 
testing to find CT.
ETL = least electrical energy used (kilowatt hours)
ETM=maximum electrical energy used (kilowatt hours). For 
demand defrost models with no values for CTL and 
CTM in the algorithm the default values of 12 and 84 shall be 
used, respectively.


[[Page 161]]


    5.2.1.4 Optional test method for variable defrost controls.

CT = MTBDx0.5

where:

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

where:

X=in time between defrost cycles
N=number of defrost cycles

    5.2.1.5 Dual compressor systems with dual automatic defrost. The 
two-part test method in section 4.1.2.2 must be used, the energy 
consumption in kilowatt per day shall be calculated equivalent to:

ET=(1440 x EP1/T1) + (EP2F - (EPF x T2/T1)) x 12/
CTF + (EP2R - (EPR x T3/T1)) x 12/
CTR

Where 1440, EP1, T1, EP2, 12, and CT are defined in 5.2.1.2
EPF = energy expended in kilowatt-hours during the second 
part of the test for the freezer system by the freezer system.
EP2F = total energy expended during the second part of the 
test for the freezer system.
EPR = energy expended in kilowatt-hours during the second 
part of the test for the refrigerator system by the refrigerator system.
EP2R = total energy expended during the second part of the 
test for the refrigerator system.
T2 and T3 = length of time in minutes of the second test part for the 
freezer and refrigerator systems respectively.
CTF = compressor ``on'' time between freezer defrosts (tenths 
of an hour).
CTR = compressor ``on'' time between refrigerator defrosts 
(tenths of an hour).

    5.3 Volume measurements. The electric refrigerator or electric 
refrigerator-freezer total refrigerated volume, VT, shall be measured in 
accordance with HRF-1-1979, section 3.20 and sections 4.2 through 4.3 
and be calculated equivalent to:

VT=VF+VFF

where

VT=total refrigerated volume in cubic feet,
VF=freezer compartment volume in cubic feet, and
VFF=fresh food compartment volume in cubic feet.

    5.4 Externally vented refrigerator or refrigerator-freezer units. 
All test measurements for the externally vented refrigerator or 
refrigerator-freezer shall be made in accordance with the requirements 
of other sections of this appendix, except as modified in this section 
5.4 or other sections expressly applicable to externally vented 
refrigerators or refrigerator-freezers.
    5.4.1 Operability of thermostatic and mixing of air controls. Prior 
to conducting energy consumption tests, the operability of thermostatic 
controls that permit the mixing of exterior and ambient air when 
exterior air temperatures are less than 60 [deg]F must be verified. The 
operability of such controls shall be verified by operating the unit 
under ambient air temperature of 90 [deg]F and exterior air temperature 
of 45 [deg]F. If the inlet air entering the condenser or condenser/
compressor compartment is maintained at 60 [deg]F, plus or minus three 
degrees, energy consumption of the unit shall be measured under 5.4.2.2 
and 5.4.2.3. If the inlet air entering the condenser or condenser/
compressor compartment is not maintained at 60 [deg]F, plus or minus 
three degrees, energy consumption of the unit shall also be measured 
under 5.4.2.4.
    5.4.2 Energy consumption tests.
    5.4.2.1 Correction factor test. To enable calculation of a 
correction factor, K, two full cycle tests shall be conducted to measure 
energy consumption of the unit with air mixing controls disabled and the 
condenser inlet air temperatures set at 90 [deg]F (32.2 [deg]C) and 80 
[deg]F (26.7 [deg]C). Both tests shall be conducted with all compartment 
temperature controls set at the position midway between their warmest 
and coldest settings and the anti-sweat heater switch off. Record the 
energy consumptions ec90 and ec80, in kWh/day.
    5.4.2.2 Energy consumption at 90 [deg]F. The unit shall be tested at 
90 [deg]F (32.2 [deg]C) exterior air temperature to record the energy 
consumptions (e90)i in kWh/day. For a given 
setting of the anti-sweat heater, i corresponds to each of the two 
states of the compartment temperature control positions.
    5.4.2.3 Energy consumption at 60 [deg]F. The unit shall be tested at 
60 [deg]F (26.7 [deg]C) exterior air temperature to record the energy 
consumptions (e60)i in kWh/day. For a given 
setting of the anti-sweat heater, i corresponds to each of the two 
states of the compartment temperature control positions.
    5.4.2.4 Energy consumption if mixing controls do not operate 
properly. If the operability of temperature and mixing controls has not 
been verified as required under 5.4.1, the unit shall be tested at 50 
[deg]F (10.0 [deg]C) and 30 [deg]F (-1.1 [deg]C) exterior air 
temperatures to record the energy consumptions 
(e50)i and (e30)i. For a 
given setting of the anti-sweat heater, i corresponds to each of the two 
states of the compartment temperature control positions.

        6. Calculation of Derived Results from Test Measurements

    6.1 Adjusted Total Volume.
    6.1.1 Electric refrigerators. The adjusted total volume, VA, for 
electric refrigerators under test shall be defined as:

VA=(VFxCR)+VFF


[[Page 162]]


where

VA=adjusted total volume in cubic feet,
VF and VFF are defined in 5.3, and
CR=adjustment factor of 1.44 for refrigerators other than all-
refrigerators, or 1.0 for all-refrigerators, dimensionless,

    6.1.2 Electric refrigerator-freezers. The adjusted total volume, VA, 
for electric refrigerator-freezers under test shall be calculated as 
follows:

VA=(VFxCRF)+VFF

where

VF and VFF are defined in 5.3 and VA is defined in 6.1.1,
CRF=adjustment factor of 1.63, dimensionless,

    6.2 Average Per-Cycle Energy consumption.
    6.2.1 All-refrigerator Models. The average per-cycle energy 
consumption for a cycle type is expressed in kilowatt-hours per cycle to 
the nearest one hundredth (0.01) kilowatt-hour and shall depend upon the 
temperature attainable in the fresh food compartment as shown below.
    6.2.1.1 If the fresh food compartment temperature is always below 
38.0 [deg]F. (3.3 [deg]C.), the average per-cycle energy consumption 
shall be equivalent to:

E=ET1

where

E=Total per-cycle energy consumption in kilowatt-hours per day,
ET is defined in 5.2.1, and Number 1 indicates the test period during 
which the highest fresh food compartment temperature is measured.

    6.2.1.2 If one of the fresh food compartment temperatures measured 
for a test period is greater than 38.0 [deg]F. (3.3 [deg]C.), the 
average per-cycle energy consumption shall be equivalent to:

E=ET1+((ET2-ET1)x(38.0-TR1)/(TR2-TR1))

where

E is defined in 6.2.1.1,
ET is defined in 5.2.1,
TR=Fresh food compartment temperature determined according to 5.1.2 in 
degrees F,
Number 1 and 2 indicates measurements taken during the first and second 
test period as appropriate, and
38.0=Standardized fresh food compartment temperature in degrees F.

    6.2.2 Refrigerators and refrigerator-freezers. The average per-cycle 
energy consumption for a cycle type is expressed in kilowatt-hours per-
cycle to the nearest one hundredth (0.01) kilowatt-hour and shall be 
defined in the applicable following manner.
    6.2.2.1 If the fresh food compartment temperature is always at or 
below 45 [deg]F. (7.2 [deg]C.) in both of the tests and the freezer 
compartment temperature is always at or below 15 [deg]F. (-9.4 [deg]C.) 
in both tests of a refrigerator or at or below 5 [deg]F. (-15 [deg]C.) 
in both tests of a refrigerator-freezer, the per-cycle energy 
consumption shall be:

E=ET1

where

E is defined in 6.2.1.1,
ET is defined in 5.2.1, and
Number 1 indicates the test period during which the highest freezer 
compartment temperature was measured.
    6.2.2.2 If the conditions of 6.2.2.1 do not exist, the per-cycle 
energy consumption shall be defined by the higher of the two values 
calculated by the following two formulas:

E=ET1+((ET2-ET1)x(45.0-TR1)/(TR2-TR1))
and
E=ET1+((ET2-ET1)x(k-TF1)/(TF2-TF1))

where
E is defined in 6.2.1.1,
ET is defined in 5.2.1,
TR and number 1 and 2 are defined in 6.2.1.2,
TF=Freezer compartment temperature determined according to 5.1.2 in 
degrees F,
45.0 is a specified fresh food compartment temperature in degree F, and
k is a constant 15.0 for refrigerators or 5.0 for refrigerator-freezers 
each being standardized freezer compartment temperature in degrees F.
    6.3 Externally vented refrigerator or refrigerator-freezers. Per-
cycle energy consumption measurements for the externally vented 
refrigerator or refrigerator-freezer shall be calculated in accordance 
with the requirements of this Appendix, as modified in sections 6.3.1-
6.3.7.
    6.3.1 Correction factor. A correction factor, K, shall be calculated 
as:

K = ec90/ec80

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

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

[[Page 163]]

corrected energy consumptions per day, in kWh/day:

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

where,

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

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

EX = a + bTX,

where,

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

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

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

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

where,

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

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

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

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

where:

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

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


[[Page 164]]

[GRAPHIC] [TIFF OMITTED] TR09SE97.000


[47 FR 34526, Aug. 10, 1982; 48 FR 13013, Mar. 29, 1983, as amended at 
54 FR 36240, Aug. 31, 1989; 54 FR 38788, Sept. 20, 1989; 62 FR 47539, 
47540, Sept. 9, 1997; 68 FR 10960, Mar. 7, 2003]



   Sec. Appendix B1 to Subpart B of Part 430--Uniform Test Method for 
              Measuring the Energy Consumption of Freezers

                             1. Definitions.

    1.1 ``HRF-1-1979'' means the Association of Home Appliance 
Manufacturers standard for household refrigerators, combination 
refrigerators-freezers, and household freezers, also approved as an 
American National Standard as a revision of ANSI B38.1-1970.
    1.2 ``Anti-sweat heater'' means a device incorporated into the 
design of a freezer to prevent the accumulation of moisture on exterior 
surfaces of the cabinet under conditions of high ambient humidity.
    1.3 ``Cycle'' means the period of 24 hours for which the energy use 
of a freezer is calculated as though the consumer-activated compartment 
temperature controls were preset so that the desired compartment 
temperatures were maintained.
    1.4 ``Cycle type'' means the set of test conditions having the 
calculated effect of operating a freezer for a period of 24 hours with 
the consumer-activated controls other than the compartment temperature 
control set to establish various operating characteristics.
    1.5 ``Standard cycle'' means the cycle type in which the anti-sweat 
heater switch, when provided, is set in the highest energy consuming 
position.
    1.6 ``Adjusted total volume'' means the product of, (1) the freezer 
volume as defined in HRF-1-1979 in cubic feet, times (2) an adjustment 
factor.
    1.7 ``Automatic Defrost'' means a system in which the defrost cycle 
is automatically initiated and terminated, with resumption of normal 
refrigeration at the conclusion of defrost operation. The system 
automatically prevents the permanent formation of frost on all 
refrigerated surfaces. Nominal refrigerated food temperatures are 
maintained during the operation of the automatic defrost system.
    1.8 ``Long-time Automatic Defrost'' means an automatic defrost 
system where successive defrost cycles are separated by 14 hours or more 
of compressor-operating time.
    1.9 ``Stabilization Period'' means the total period of time during 
which steady-state conditions are being attained or evaluated.
    1.10 ``Variable defrost control'' means a long-time automatic 
defrost system (except the 14-hour defrost qualification does not

[[Page 165]]

apply) where successive defrost cycles are determined by an operating 
condition variable or variables other than solely compressor operating 
time. This includes any electrical or mechanical device. Demand defrost 
is a type of variable defrost control.
    1.11 ``Quick freeze'' means an optional feature on freezers which is 
initiated manually and shut off manually. It bypasses the thermostat 
control and places the compressor in a steady-state operating condition 
until it is shut off.

                           2. Test Conditions.

    2.1 Ambient temperature. The ambient temperature shall be 90.01.0 [deg]F. (32.20.6 [deg]C.) 
during the stabilization period and during the test period. The ambient 
temperature shall be 802 [deg]F dry bulb and 67 
[deg]F wet bulb during the stabilization period and during the test 
period when the unit is tested in accordance with section 3.3.
    2.2 Operational conditions. The freezer shall be installed and its 
operating conditions maintained in accordance with HRF-1-1979, section 
7.2 through section 7.4.3.3, except that the vertical ambient gradient 
at locations 10 inches (25.4 cm) out from the centers of the two sides 
of the unit being tested is to be maintained during the test. Unless the 
area is obstructed by shields or baffles, the gradient is to be 
maintained from 2 inches (5.1 cm) above the floor or supporting platform 
to a height one foot (30.5 cm) above the unit under test. Defrost 
controls are to be operative and the anti-sweat heater switch is to be 
``on'' during one test and ``off'' during a second test. The quick 
freeze option shall be switched off unless specified.
    2.3 Steady State Condition. Steady state conditions exist if the 
temperature measurements taken at four minute intervals or less during a 
stabilization period are not changing at a rate greater than 0.042 
[deg]F. (0.023 [deg]C.) per hour as determined by the applicable 
condition of A or B.
A--The average of the measurements during a two hour period if no 
cycling occurs or during a number of complete repetitive compressor 
cycles through a period of no less than two hours is compared to the 
average over an equivalent time period with three hours elapsed between 
the two measurement periods.
B--If A above cannot be used, the average of the measurements during a 
number of complete repetitive compressor cycles through a period of no 
less than two hours and including the last complete cycle prior to a 
defrost period, or if no cycling occurs, the average of the measurements 
during the last two hours prior to a defrost period; are compared to the 
same averaging period prior to the following defrost period.

                        3. Test Control Settings.

    3.1 Model with no user operable temperature control. A test shall be 
performed during which the compartment temperature and energy use shall 
be measured. A second test shall be performed with the temperature 
control electrically short circuited to cause the compressor to run 
continuously. If the model has the quick freeze option, it is to be used 
to bypass the temperature control.
    3.2 Model with user operable temperature control. Testing shall be 
performed in accordance with one of the following sections using the 
standardized temperature of 0.0 [deg]F. (-17.8 [deg]C.). Variable 
defrost control models shall achieve 02 [deg]F 
during the steady-state conditions prior to the optional test with no 
door openings.
    3.2.1 A first test shall be performed with all temperature controls 
set at their median position midway between their warmest and coldest 
settings. Knob detents shall be mechanically defeated if necessary to 
attain a median setting. A second test shall be performed with all 
controls set at either their warmest or their coldest setting (not 
electrically or mechanically bypassed), whichever is appropriate, to 
attempt to achieve compartment temperatures measured during the two 
tests which bound (i.e., one is above and one is below) the standardized 
temperature. If the compartment temperatures measured during these two 
tests bound the standardized temperature, then these test results shall 
be used to determine energy consumption. If the compartment temperature 
measured with all controls set at their coldest setting is above the 
standardized temperature, a third test shall be performed with all 
controls set at their warmest setting and the result of this test shall 
be used with the result of the test performed with all controls set at 
their coldest setting to determine energy consumption. If the 
compartment temperature measured with all controls set at their warmest 
setting is below the standardized temperature; then the result of this 
test alone will be used to determine energy consumption.
    3.2.2 Alternatively, a first test may be performed with all 
temperature controls set at their warmest setting. If the compartment 
temperature is below the standardized temperature, then the result of 
this test alone will be used to determine energy consumption. If the 
above condition is not met, then the unit shall be tested in accordance 
with 3.2.1 above.
    3.2.3 Alternatively, a first test may be performed with all 
temperature controls set at their coldest setting. If the compartment 
temperature is above the standardized temperature, a second test shall 
be performed with all controls set at their warmest setting and the 
results of these two tests shall be used to determine energy 
consumption. If

[[Page 166]]

the above condition is not met, then the unit shall be tested in 
accordance with 3.2.1 above.
    3.3 Variable defrost control optional test. After a steady-state 
condition is achieved, the door-opening sequence is initiated with an 
182 second freezer door-opening occurring every 
eight hours to obtain three door-openings per 24-hour period. The first 
freezer door-opening shall occur at the initiation of the test period. 
The door(s) are to be opened 60 to 90[deg]with an average velocity for 
the leading edge of the door of approximately two feet per second. Prior 
to the initiation of the door-opening sequence, the freezer defrost 
control mechanism may be re-initiated in order to minimize the test 
duration.

                             4. Test Period.

    4.1 Test Period. Tests shall be performed by establishing the 
conditions set forth in Section 2 and using control settings as set 
forth in Section 3 above.
    4.1.1 Nonautomatic Defrost. If the model being tested has no 
automatic defrost system, the test time period shall start after steady 
state conditions have been achieved, and be of not less than three 
hours' duration. During the test period the compressor motor shall 
complete two or more whole cycles (a compressor cycle is a complete 
``on'' and a complete ``off'' period of the motor). If no ``off'' 
cycling will occur, as determined during the stabilization period, the 
test period shall be three hours. If incomplete cycling (less than two 
compressor cycles) occurs during a 24 hour period, the results of the 24 
hour period shall be used.
    4.1.2 Automatic Defrost. If the model being tested has an automatic 
defrost system, the test time period shall start after steady state 
conditions have been achieved and be from one point during a defrost 
period to the same point during the next defrost period. If the model 
being tested has a long-time automatic defrost system, the alternate 
provisions of 4.1.2.1 may be used. If the model being tested has a 
variable defrost control the provisions of 4.1.2.2. shall apply.
    4.1.2.1 Long-time Automatic Defrost. If the model being tested has a 
long-time automatic defrost system, the test time period may consist of 
two parts. A first part would be the same as the test for a unit having 
no defrost provisions (section 4.1.1). The second part would start when 
a defrost period is initiated during a compressor ``on'' cycle and 
terminate at the second turn ``on'' of the compressor motor or after 
four hours, whichever comes first.
    4.1.2.2 Variable defrost control. If the model being tested has a 
variable defrost control system, the test shall consist of three parts. 
Two parts shall be the same as the test for long-time automatic defrost 
in accordance with section 4.1.2.1 above. The third part is the optional 
test to determine the time between defrosts (5.2.1.3). The third part is 
used by manufacturers that choose not to accept the default value of F 
of 0.20, to calculate CT.
    4.1.2.3 Variable defrost control optional test. After steady-state 
conditions with no door-openings are achieved in accordance with section 
3.3 above, the test is continued using the above daily door-opening 
sequence until stabilized operation is achieved. Stabilization is 
defined as a minimum of three consecutive defrost cycles with times 
between defrost that will allow the calculation of a Mean Time Between 
Defrosts (MTBD1) that satisfies the statistical relationship of 90 
percent confidence. The test is repeated on at least one more unit of 
the model and until the Mean Time Between Defrosts for the multiple unit 
test (MTBD2) satisfies the statistical relationship. If the time between 
defrosts is greater than 96 hours (compressor ``on'' time) and this 
defrost period can be repeated on a second unit, the test may be 
terminated at 96 hours (CT) and the absolute time value used for MTBD 
for each unit.

                          5. Test Measurements.

    5.1 Temperature Measurements. Temperature measurements shall be made 
at the locations prescribed in Figure 7-2 of HRF-1-1979 and shall be 
accurate to within 0.5 [deg]F. (0.3 [deg]C.) of 
true value.
    5.1.1 Measured Temperature. The measured temperature is to be the 
average of all sensor temperature readings taken at a particular time. 
Measurements shall be taken at regular intervals not to exceed four 
minutes.
    5.1.2 Compartment Temperature. The compartment temperature for each 
test period shall be an average of the measured temperatures taken 
during a complete cycle or several complete cycles of the compressor 
motor (one compressor cycle is one complete motor ``on'' and one 
complete motor ``off'' period). For long-time automatic defrost models, 
compartment temperature shall be that measured in the first part of the 
test period specified in 4.1.1. For models equipped with variable 
defrost controls, compartment temperatures shall be those measured in 
the first part of the test period specified in 4.1.2.2.
    5.1.2.1 The number of complete compressor motor cycles over which 
the measured temperatures in a compartment are to be averaged to 
determine compartment temperature shall be equal to the number of 
minutes between measured temperature readings rounded up to the next 
whole minute or a number of complete cycles over a time period exceeding 
one hour. One of the cycles shall be the last complete compressor motor 
cycles during the test period.
    5.1.2.2 If no compressor motor cycling occurs, the compartment 
temperature shall be the average of the measured temperatures

[[Page 167]]

taken during the last thirty-two minutes of the test period.
    5.1.2.3 If incomplete cycling occurs (less than one cycle) the 
compartment temperature shall be the average of all readings taken 
during the last three hours of the last complete ``on'' period.
    5.2 Energy Measurements:
    5.2.1 Per-day Energy Consumption. The energy consumption in 
kilowatt-hours per day for each test period shall be the energy expended 
during the test period as specified in section 4.1 adjusted to a 24 hour 
period.
    The adjustment shall be determined as follows:
    5.2.1.1 Nonautomatic and automatic defrost models. The energy 
consumption in kilowatt-hours per day shall be calculated equivalent to:

ET=(EPx1440x K)/T where

ET=test cycle energy expended in kilowatt-hours per day,
EP=energy expended in kilowatt-hours during the test period.
T=length of time of the test period in minutes,
1440=conversion factor to adjust to a 24 hour period in minutes per day, 
and
K=correction factor of 0.7 for chest freezers and 0.85 for upright 
freezers to adjust for average household usage, dimensionless.

    5.2.1.2 Long-time Automatic Defrost. If the two part test method is 
used, the energy consumption in kilowatt-hours per day shall be 
calculated equivalent to:

ET=(1440x Kx EP1/T1) + ((EP2-(EP1x T2/T1))x Kx12/CT)

where

ET, 1440, and K are defined in 5.2.1.1
EP1=energy expended in kilowatt-hours during the first part of the test.
EP2=energy expended in kilowatt-hours during the second part of the 
test,
CT=Defrost timer run time in hours required to cause it to go through a 
complete cycle, to the nearest tenth hour per cycle,
12=conversion factor to adjust for a 50% run time of the compressor in 
hours per day, and
T1 and T2=length of time in minutes of the first and second test parts 
respectively.

    5.2.1.3 Variable defrost control. The energy consumption in 
kilowatt-hours per day shall be calculated equivalent to:

ET=(1440 x EP1/T1) + (EP2 - (EP1 x T2/T1) x (12/CT) where 1440 is 
defined in 5.2.1.1 and EP1, EP2, T1, T2 and 12 are defined in 5.2.1.2.

CT=(CTL x CTM)/(Fx (CTM - 
CTL) + CTL)

where:

CTL=least or shortest time between defrost in tenths of an 
hour (greater than or equal to 6 hours but less than or equal to 12 
hours, 6 <= L <= 12)
CTM=maximum time between defrost cycles in tenths of an hour 
(greater than CTL but not more than 96 hours, CTL 
<= CTM <= 96)
F=ratio of per day energy consumption in excess of the least energy and 
the maximum difference in per day energy consumption and is equal to
F=(1/CT - 1/CTM)/(1/CTL - 1/CTM) = (ET 
- ETL)/(ETM - ETL) or 0.20 in lieu of 
testing to find CT
ETL=least electrical energy consumed, in kilowatt hours
ETM=maximum electrical energy consumed, in kilowatt hours

    For demand defrost models with no values for CTL and 
CTM in the algorithm the default values of 12 and 84 shall be 
used, respectively.
    5.2.1.4 Variable defrost control optional test. Perform the optional 
test for variable defrost control models to find CT.
CT=MTBD x 0.5
MTBD=mean time between defrost
[GRAPHIC] [TIFF OMITTED] TC14NO91.028

X=time between defrost cycles
N=number of defrost cycles

    5.3 Volume measurements. The total refrigerated volume, VT, shall be 
measured in accordance with HRF-1-1979, section 3.20 and section 5.1 
through 5.3.

        6. Calculation of Derived Results From Test Measurements.

    6.1 Adjusted Total Volume. The adjusted total volume, VA, for 
freezers under test shall be defined as:

VA=VTx CF

where

VA=adjusted total volume in cubic feet,
VT=total refrigerated volume in cubic feet, and
CF=Correction factor of 1.73, dimensionless.

    6.2 Average Per Cycle Energy Consumption:
    6.2.1 The average per-cycle energy consumption for a cycle type is 
expressed in kilowatt-hours per cycle to the nearest one hundredth 
(0.01) kilowatt-hour and shall depend upon the compartment temperature 
attainable as shown below.
    6.2.1.1 If the compartment temperature is always below 0.0 [deg]F. 
(-17.8 [deg]C.), the average per-cycle energy consumption shall be 
equivalent to:

E=ET1

where
E=Total per-cycle energy consumption in kilowatt-hours per day.

[[Page 168]]

ET is defined in 5.2.1, and
Number 1 indicates the test period during which the highest compartment 
temperature is measured.
    6.2.1.2 If one of the compartment temperatures measured for a test 
period is greater than 0.0 [deg]F. (17.8 [deg]C.), the average per-cycle 
energy consumption shall be equivalent to:

E=ET1+((ET2-ET1)x(0.0-TF1)/(TF2-TF1))
where
E is defined in 6.2.1.1
ET is defined in 5.2.1
TF=compartment temperature determined according to 5.1.2 in degrees F.
Numbers 1 and 2 indicate measurements taken during the first and second 
test period as appropriate, and
0.0=Standardized compartment temperature in degrees F.

[47 FR 34528, Aug. 10, 1982; 48 FR 13013, Mar. 29, 1983, as amended at 
54 FR 36241, Aug. 31, 1989; 54 FR 38788, Sept. 20, 1989]



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

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

                             1. Definitions

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

[[Page 169]]

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

                         2. Testing conditions:

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

[[Page 170]]

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

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

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

                           3. Instrumentation

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

[[Page 171]]

                     4. Test Cycle and Measurements

    4.1 Test cycle. Perform a test cycle by establishing the testing 
conditions set forth in section 2 of this Appendix, setting the 
dishwasher to the cycle type to be tested, initiating the cycle, and 
allowing the cycle to proceed to completion.
    4.2 Machine electrical energy consumption. Measure the machine 
electrical energy consumption, M, expressed as the number of kilowatt-
hours of electricity consumed by the machine during the entire test 
cycle, using a water supply temperature as set forth in section 2.3 of 
this Appendix and using a watt-hour meter as specified in section 3.5 of 
this Appendix.
    4.3 Water consumption. Measure the water consumption, V, expressed 
as the number of gallons of water delivered to the machine during the 
entire test cycle, using a water meter as specified in section 3.3 of 
this Appendix.
    4.4 Standby power. Connect the dishwasher to a standby wattmeter or 
a standby watt-hour meter as specified in sections 3.6 and 3.7, 
respectively, of this Appendix. Select the conditions necessary to 
achieve operation in the standby mode as defined in section 1.14 of this 
Appendix. Monitor the power consumption but allow the dishwasher to 
stabilize for at least 5 minutes. Then monitor the power consumption for 
at least an additional 5 minutes. If the power level does not change by 
more than 5 percent from the maximum observed value during the later 5 
minutes and there is no cyclic or pulsing behavior of the load, the load 
can be considered stable. For stable operation, standby power, 
Sm, can be recorded directly from the standby watt meter in 
watts or accumulated using the standby watt-hour meter over a period of 
at least 5 minutes. For unstable operation, the energy must be 
accumulated using the standby watt-hour meter over a period of at least 
5 minutes and must capture the energy use over one or more complete 
cycles. Calculate the average standby power, Sm, expressed in 
watts by dividing the accumulated energy consumption by the duration of 
the measurement period.

        5. Calculation of Derived Results From Test Measurements

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

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

where,

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

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

ED = (EDhr + EDmr + EDlr)/3

Where,

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

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

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

Where,

Vhr = the value recorded in section 4.3 of this Appendix for 
the test of the sensor heavy response, expressed in gallons per cycle,
Vmr = the value recorded in section 4.3 of this Appendix for 
the test of the sensor medium response, expressed in gallons per cycle,

[[Page 172]]

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

    5.4 Water energy consumption for non-soil-sensing or soil-sensing 
dishwashers using electrically heated water.
    5.4.1 Dishwashers that operate with a nominal 140 [deg]F inlet water 
temperature, only. For the normal and truncated normal test cycle, 
calculate the water energy consumption, W, expressed in kilowatt-hours 
per cycle and defined as:

W = VxTxK

Where,

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

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

W = VxTxK

Where,

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

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

Wg = VxTxC/e

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

Wg = VxTxC/e

Where,

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

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

Hs = H-(NxL).

Where,

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

S = Smx((Hs)/1000)

Where,

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

[68 FR 51900, Aug. 29, 2003]



   Sec. Appendix D to Subpart B of Part 430--Uniform Test Method for 
           Measuring the Energy Consumption of Clothes Dryers

                             1. Definitions

    1.1 ``AHAM'' means the Association of Home Appliance Manufacturers.
    1.2 ``Bone dry'' means a condition of a load of test clothes which 
has been dried in a dryer at maximum temperature for a minimum of 10 
minutes, removed and weighed before cool down, and then dried again for 
10-

[[Page 173]]

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. The dryer exhaust shall be restricted by 
adding the AHAM exhaust simulator described in 3.3.5 of HLD-1. All 
external joints should be taped to avoid air leakage. Disconnect all 
console light or other lighting systems on the clothes dryer which do 
not consume more than 10 watts during the clothes dryer test cycle.
    2.2 Ambient temperature and humidity. Maintain the room ambient air 
temperature at 75 3 [deg]F and the room relative 
humidity at 5010 percent relative humidity.
    2.3 Energy supply.
    2.3.1 Electrical supply. Maintain the electrical supply at the 
clothes dryer terminal block within 1 percent of 120/240 or 120/208Y or 
120 volts as applicable to the particular terminal block wiring system 
and within 1 percent of the nameplate frequency as specified by the 
manufacturer. If the dryer has a dual voltage conversion capability, 
conduct test at the highest voltage specified by the manufacturer.
    2.3.2 Gas supply.
    2.3.2.1 Natural gas. Maintains the gas supply to the clothes dryer 
at a normal inlet test pressure immediately ahead of all controls at 7 
to 10 inches of water column. If the clothes dryer is equipped with a 
gas appliance pressure regulator, the regulator outlet pressure at the 
normal test pressure shall be approximately that recommended by the 
manufacturer. The hourly Btu rating of the burner shall be maintained 
within 5 percent of the rating specified by the 
manufacturer. The natural gas supplied should have a heating value of 
approximately 1,025 Btu's per standard cubic foot. The actual heating 
value, Hn2, in Btu's per standard cubic foot, for the natural 
gas to be used in the test shall be obtained either from measurements 
made by the manufacturer conducting the test using a standard continuous 
flow calorimeter as described in 2.4.6 or by the purchase of bottled 
natural gas whose Btu rating is certified to be at least as accurate a 
rating as could be obtained from measurements with a standard continuous 
flow calorimeter as described in 2.4.6.
    2.3.2.2 Propane gas. Maintain the gas supply to the clothes dryer at 
a normal inlet test pressure immediately ahead of all controls at 11 to 
13 inches of water column. If the clothes dryer is equipped with a gas 
appliance pressure regulator, the regulator outlet pressure at the 
normal test pressure shall be approximately that recommended by the 
manufacturer. The hourly Btu rating of the burner shall be maintained 
within 5 percent of the rating specified by the 
manufacturer. The propane gas supplied should have a heating value of 
approximately 2,500 Btu's per standard cubic foot. The actual heating 
value, Hp, in Btu's per standard cubic foot, for the propane 
gas to be used in the test shall be obtained either from measurements 
made by the manufacturer conducting the test using a standard continuous 
flow calorimeter as described in 2.4.6 or by the purchase of bottled gas 
whose Btu rating is certified to be at least as accurate a rating as 
could be obtained from measurement with a standard continuous 
calorimeter as described in 2.4.6.

[[Page 174]]

    2.4 Instrumentation. Perform all test measurements using the 
following instruments as appropriate.
    2.4.1 Weighing scale for test cloth. The scale shall have a range of 
0 to a maximum of 30 pounds with a resolution of at least 0.2 ounces and 
a maximum error no greater than 0.3 percent of any measured value within 
the range of 3 to 15 pounds.
    2.4.1.2 Weighing scale for drum capacity measurements. The scale 
should have a range of 0 to a maximum of 500 pounds with resolution of 
0.50 pounds and a maximum error no greater than 0.5 percent of the 
measured value.
    2.4.2 Kilowatt-hour meter. The kilowatt-hour meter shall have a 
resolution of 0.001 kilowatt-hours and a maximum error no greater than 
0.5 percent of the measured value.
    2.4.3 Gas meter. The gas meter shall have a resolution of 0.001 
cubic feet and a maximum error no greater than 0.5 percent of the 
measured value.
    2.4.4 Dry and wet bulb psychrometer. The dry and wet bulb 
psychrometer shall have an error no greater than 1 
[deg]F.
    2.4.5 Temperature. The temperature sensor shall have an error no 
greater than 1 [deg]F.
    2.4.6 Standard Continuous Flow Calorimeter. The Calorimeter shall 
have an operating range of 750 to 3,500 Btu per cubic feet. The maximum 
error of the basic calorimeter shall be no greater than 0.2 percent of 
the actual heating value of the gas used in the test. The indicator 
readout shall have a maximum error no greater than 0.5 percent of the 
measured value within the operating range and a resolution of 0.2 
percent of the full scale reading of the indicator instrument.
    2.5 Lint trap. Clean the lint trap thoroughly before each test run.
    2.6 Test cloths.
    2.6.1 Energy test cloth. The energy test cloth shall be clean and 
consist of the following:
    (a) Pure finished bleached cloth, made with a momie or granite 
weave, which is a blended fabric of 50 percent cotton and 50 percent 
polyester and weighs within +10 percent of 5.75 ounces per square yard 
after test cloth preconditioning and has 65 ends on the warp and 57 
picks on the fill. The individual warp and fill yarns are a blend of 50 
percent cotton and 50 percent polyester fibers.
    (b) Cloth material that is 24 inches by 36 inches and has been 
hemmed to 22 inches by 34 inches before washing. The maximum shrinkage 
after five washes shall not be more than four percent on the length and 
width.
    (c) The number of test runs on the same energy test cloth shall not 
exceed 25 runs.
    2.6.2 Energy stuffer cloths. The energy stuffer cloths shall be made 
from energy test cloth material and shall consist of pieces of material 
that are 12 inches by 12 inches and have been hemmed to 10 inches by 10 
inches before washing. The maximum shrinkage after five washes shall not 
be more than four percent on the length and width. The number of test 
runs on the same energy stuffer cloth shall not exceed 25 runs after 
test cloth preconditioning.
    2.6.3 Test Cloth Preconditioning.
    A new test cloth load and energy stuffer cloths shall be treated as 
follows:
    (1) Bone dry the load to a weight change of 1 
percent, or less, as prescribed in Section 1.2.
    (2) Place test cloth load in a standard clothes washer set at the 
maximum water fill level. Wash the load for 10 minutes in soft water (17 
parts per million hardness or less), using 6.0 grams of AHAM Standard 
Test Detergent, IIA, per gallon of water. Wash water temperature is to 
controlled at 140[deg]5 [deg]F (60[deg]2.7 [deg]C). Rinse water temperature is to be controlled 
at 100[deg]5 [deg]F (37.72.7 
[deg]C).
    (3) Rinse the load again at the same water temperature.
    (4) Bone dry the load as prescribed in Section 1.2 and weigh the 
load.
    (5) This procedure is repeated until there is a weight change of one 
percent or less.
    (6) A final cycle is to be a hot water wash with no detergent, 
followed by two warm water rinses.
    2.7 Test loads.
    2.7.1 Compact size dryer load. Prepare a bone-dry test load of 
energy cloths which weighs 3.00 pounds .03 pounds. 
Adjustments to the test load to achieve the proper weight can be made by 
the use of energy stuffer cloths, with no more than five stuffer cloths 
per load. Dampen the load by agitating it in water whose temperature is 
100[deg] 5 [deg]F and consists of 0 to 17 parts 
per million hardness for approximately two minutes in order to saturate 
the fabric. Then, extract water from the wet test load by spinning the 
load until the moisture content of the load is between 66.5 percent to 
73.5 percent of the bone-dry weight of the test load.
    2.7.2 Standard size dryer load. Prepare a bone-dry test load of 
energy cloths which weighs 7.00 pounds .07 pounds. 
Adjustments to the test load to achieve the proper weight can be made by 
the use of energy stuffer cloths, with no more than five stuffer cloths 
per load. Dampen the load by agitating it in water whose temperature is 
100[deg] 5 [deg]F and consists of 0 to 17 parts 
per million hardness for approximately two minutes in order to saturate 
the fabric. Then, extract water from the wet test load by spinning the 
load until the moisture content of the load is between 66.5 percent to 
73.5 percent of the bone-dry weight of the test load.
    2.7.3 Method of loading. Load the energy test cloths by grasping 
them in the center, shaking them to hang loosely and then dropping them 
in the dryer at random.

[[Page 175]]

    2.8 Clothes dryer preconditioning. Before any test cycle, operate 
the dryer without a test load in the non-heat mode for 15 minutes or 
until the discharge air temperature is varying less than 1 [deg]F for 10 
minutes, which ever is longer, in the test installation location with 
the ambient conditions within the specified rest condition tolerances of 
2.2.

                   3. Test Procedures and Measurements

    3.1 Drum capacity. Measure the drum capacity by sealing all openings 
in the drum except the loading port with a plastic bag, and ensure that 
all corners and depressions are filled and that there are no extrusions 
of the plastic bag through the opening in the drum. Support the dryer's 
rear drum surface on a platform scale to prevent deflection of the 
dryer, and record the weight of the empty dryer. Fill the drum with 
water to a level determined by the intersection of the door plane and 
the loading port. Record the temperature of the water and then the 
weight of the dryer with the added water and then determine the mass of 
the water in pounds. Add or subtract the appropriate volume depending on 
whether or not the plastic bag protrudes into the drum interior. The 
drum capacity is calculated as follows:

C=w/d
    C= capacity in cubic feet.
    w= weight of water in pounds.
    d= density of water at the measured temperature in pounds per cubic 
feet.
    3.2 Dryer loading. Load the dryer as specified in 2.7.
    3.3 Test cycle. Operate the clothes dryer at the maximum temperature 
setting and, if equipped with a timer, at the maximum time setting and 
dry the test load until the moisture content of the test load is between 
2.5 percent to 5.0 percent of the bone-dry weight of the test load, but 
do not permit the dryer to advance into cool down. If required, reset 
the timer or automatic dry control.
    3.4 Data recording. Record for each test cycle:
    3.4.1 Bone-dry weight of the test load described in 2.7.
    3.4.2 Moisture content of the wet test load before the test, as 
described in 2.7.
    3.4.3 Moisture content of the dry test load obtained after the test 
described in 3.3.
    3.4.4 Test room conditions, temperature and percent relative 
humidity described in 2.2.
    3.4.5 For electric dryers--the total kilowatt-hours of electric 
energy, Et, consumed during the test described in 3.3.
    3.4.6 For gas dryers:
    3.4.6.1 Total kilowatt-hours of electrical energy, Ete, 
consumed during the test described in 3.3.
    3.4.6.2 Cubic feet of gas per cycle, Etg, consumed during 
the test described in 3.3.
    3.4.6.3 On gas dryers using a continuously burning pilot light--the 
cubic feet of gas, Epg, consumed by the gas pilot light in 
one hour.
    3.4.6.4 Correct the gas heating value, GEF, as measured in 2.3.2.1 
and 2.3.2.2, to standard pressure and temperature conditions in 
accordance with U.S. Bureau of Standards, circular C417, 1938. A sample 
calculation is illustrated in Appendix E of HLD-1.
    3.5 Test for automatic termination field use factor credits. Credit 
for automatic termination can be claimed for those dryers which meet the 
requirements for either temperature-sensing control, 1.12, or moisture 
sensing control, 1.13, and having present the appropriate mark or detent 
feed defined in 1.11.

        4. Calculation of Derived Results From Test Measurements

    4.1 Total per-cycle electric dryer energy consumption. Calculate the 
total electric dryer energy consumption per cycle, Ece 
expressed in kilowatt-hours per cycle and defined as:

Ece=[66/Ww-Wd)]xEttxFU
    Et=the energy recorded in 3.4.5.
    66=an experimentally established value for the percent reduction in 
the moisture content of the test load during a laboratory test cycle 
expressed as a percent.
    FU=Field use factor.
     =1.18 for time termination control systems.
     =1.04 for automatic control systems which meet the requirements of 
the definitions for automatic termination controls in 1.11.1, 1.12 and 
1.13.
    Ww=the moisture content of the wet test load as recorded 
in 3.4.2.
    Wd=the moisture content of the dry test load as recorded 
in 3.4.3.
    4.2 Per-cycle gas dryer electrical energy consumption. Calculate the 
gas dryer electrical energy consumption per cycle, Ege, 
expressed in kilowatt-hours per cycle and defined as:

Ege=[66/(Ww-Wd)]xEtexFU
    Ete=the energy recorded in 3.4.6.1

FU, 66, Ww, Wd as defined in 4.1
    4.3 Per-cycle gas dryer gas energy consumption. Calculate the gas 
dryer gas energy consumption per cycle, Ege. expressed in Btu's per 
cycle as defined as:

Egg=[66/(Ww-Wd)]xEtgxFUxGEF
    Etg=the energy recorded in 3.4.6.2
    GEF=corrected gas heat value (Btu per cubic feet) as defined in 
3.4.6.4
    FU, 66, Ww Wd as defined in 4.1
    4.4 Per-cycle gas dryer continuously burning pilot light gas energy 
consumption. Calculate the gas dryer continuously burning pilot light 
gas energy consumption per cycle, Eup expressed in Btu's per cycle and 
defined as:

Eup=Epgx(8760-140/416)xGEF
    Epg=the energy recorded in 3.4.6.3
    8760=number of hours in a year

[[Page 176]]

    416=representative average number of clothes dryer cycles in a year
    140=estimated number of hours that the continuously burning pilot 
light is on during the operation of the clothes dryer for the 
representative average use cycle for clothes dryers (416 cycles per 
year)
    GEF as defined in 4.3
    4.5 Total per-cycle gas dryer gas energy consumption expressed in 
Btu's. Calculate the total gas dryer energy consumption per cycle, Eg, 
expressed in Btu's per cycle and defined as:

Eg=Egg+Eup
    Egg as defined in 4.3
    Eup as defined in 4.4
    4.6 Total per-cycle gas dryer energy consumption expressed in 
kilowatt-hours. Calculate the total gas dryer energy consumption per 
cycle, Ecg, expressed in kilowatt-hours per cycle and defined as:

Ecg=Ege+(Eg/3412 Btu/k Wh)
    Ege as defined in 4.2
    Eg as defined in 4.5

[46 FR 27326, May 19, 1981]



   Sec. Appendix E to Subpart B of Part 430--Uniform Test Method for 
            Measuring the Energy Consumption of Water Heaters

                             1. Definitions

    1.1 Cut-in means the time when or water temperature at which a water 
heater control or thermostat acts to increase the energy or fuel input 
to the heating elements, compressor, or burner.
    1.2 Cut-out means the time when or water temperature at which a 
water heater control or thermostat acts to reduce to a minimum the 
energy or fuel input to the heating elements, compressor, or burner.
    1.3 Design Power Rating means the nominal power rating that a water 
heater manufacturer assigns to a particular design of water heater, 
expressed in kilowatts or Btu (kJ) per hour as appropriate.
    1.4 Energy Factor means a measure of water heater overall 
efficiency.
    1.5 First-Hour Rating means an estimate of the maximum volume of 
``hot'' water that a storage-type water heater can supply within an hour 
that begins with the water heater fully heated (i.e., with all 
thermostats satisfied). It is a function of both the storage volume and 
the recovery rate.
    1.6 Heat Trap means a device which can be integrally connected or 
independently attached to the hot and/or cold water pipe connections of 
a water heater such that the device will develop a thermal or mechanical 
seal to minimize the recirculation of water due to thermal convection 
between the water heater tank and its connecting pipes.
    1.7 Instantaneous Water Heaters
    1.7.1 Electric Instantaneous Water Heater Reserved.
    1.7.2 Gas Instantaneous Water Heater means a water heater that uses 
gas as the energy source, initiates heating based on sensing water flow, 
is designed to deliver water at a controlled temperature of less than 
180 [deg]F (82 [deg]C), has an input greater than 50,000 Btu/h (53 MJ/h) 
but less than 200,000 Btu/h (210 MJ/h), and has a manufacturer's 
specified storage capacity of less than 2 gallons (7.6 liters). The unit 
may use a fixed or variable burner input.
    1.8 Maximum gpm (L/min) Rating means the maximum gallons per minute 
(liters per minute) of hot water that can be supplied by an 
instantaneous water heater while maintaining a nominal temperature rise 
of 77 [deg]F (42.8 [deg]C) during steady state operation.
    1.9 Rated Storage Volume means the water storage capacity of a water 
heater, in gallons (liters), as specified by the manufacturer.
    1.10 Recovery Efficiency means the ratio of energy delivered to the 
water to the energy content of the fuel consumed by the water heater.
    1.11 Standby means the time during which water is not being 
withdrawn from the water heater. There are two standby time intervals 
used within this test procedure: [tau]stby,1 represents the 
elapsed time between the time at which the maximum mean tank temperature 
is observed after the sixth draw and subsequent recovery and the end of 
the 24-hour test; [tau]stby,2 represents the total time 
during the 24-hour simulated use test when water is not being withdrawn 
from the water heater.
    1.12 Storage-type Water Heaters
    1.12.1 Electric Storage-type Water Heater means a water heater that 
uses electricity as the energy source, is designed to heat and store 
water at a thermostatically controlled temperature of less than 180 
[deg]F (82 [deg]C), has a nominal input of 12 kilowatts (40,956 Btu/h) 
or less, and has a rated storage capacity of not less than 20 gallons 
(76 liters) nor more than 120 gallons (450 liters).
    1.12.2 Gas Storage-type Water Heater means a water heater that uses 
gas as the energy source, is designed to heat and store water at a 
thermostatically controlled temperature of less than 180 [deg]F (82 
[deg]C), has a nominal input of 75,000 Btu (79 MJ) per hour or less, and 
has a rated storage capacity of not less than 20 gallons (76 liters) nor 
more than 100 gallons (380 liters).
    1.12.3 Heat Pump Water Heater means a water heater that uses 
electricity as the energy source, is designed to heat and store water at 
a thermostatically controlled temperature of less than 180 [deg]F (82 
[deg]C), has a maximum current rating of 24 amperes (including the 
compressor and all auxiliary equipment such as fans, pumps, controls, 
and, if on the same circuit, any resistive elements) for an input 
voltage of 250 volts or

[[Page 177]]

less, and, if the tank is supplied, has a manufacturer's rated storage 
capacity of 120 gallons (450 liters) or less. Resistive elements used to 
provide supplemental heating may use the same circuit as the compressor 
if (1) an interlocking mechanism prevents concurrent compressor 
operation and resistive heating or (2) concurrent operation does not 
result in the maximum current rating of 24 amperes being exceeded. 
Otherwise, the resistive elements and the heat pump components must use 
separate circuits. A heat pump water heater may be sold by the 
manufacturer with or without a storage tank.
    a. Heat Pump Water Heater with Storage Tank means an air-to-water 
heat pump sold by the manufacturer with an insulated storage tank as a 
packaged unit. The tank and heat pump can be an integral unit or they 
can be separated.
    b. Heat Pump Water Heater without Storage Tank (also called Add-on 
Heat Pump Water Heater) means an air-to-water heat pump designed for use 
with a storage-type water heater or a storage tank that is not specified 
or supplied by the manufacturer.
    1.12.4 Oil Storage-type Water Heater means a water heater that uses 
oil as the energy source, is designed to heat and store water at a 
thermostatically controlled temperature of less than 180 [deg]F (82 
[deg]C), has a nominal energy input of 105,000 Btu/h (110 MJ/h) or less, 
and has a manufacturer's rated storage capacity of 50 gallons (190 
liters) or less.
    1.12.5 Storage-type Water Heater of More than 2 Gallons (7.6 Liters) 
and Less than 20 Gallons (76 Liters). Reserved.
    1.13 ASHRAE Standard 41.1-86 means the standard published in 1986 by 
the American Society of Heating, Refrigerating and Air-Conditioning 
Engineers, Inc., and titled Standard Measurement Guide: Section on 
Temperature Measurements.
    1.14 ASTM-D-2156-80 means the test standard published in 1980 by the 
American Society for Testing and Measurements and titled ``Smoke Density 
in Flue Gases from Burning Distillate Fuels, Test Method for''.
    1.15 Symbol Usage The following identity relationships are provided 
to help clarify the symbology used throughout this procedure:

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

[[Page 178]]

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

                           2. Test Conditions

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

[[Page 179]]

    2.6.4 Fuel Oil Supply. Maintain an uninterrupted supply of fuel oil. 
Use fuel oil having a heating value of approximately 138,700 Btu per 
gallon (38,660 kJ per liter).

                           3. Instrumentation

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

------------------------------------------------------------------------
        Item measured          Instrument accuracy  Instrument precision
------------------------------------------------------------------------
Gas pressure................  0.1 inch of        eq>0.05 inch of
                               water column (0.0   minus0.0
                               25 kPa).              12 kPa).
Atmospheric pressure........  0.1 inch of        eq>0.05 inch of
                               mercury column        mercury column
                               (0.34 kPa).         eq>0.17 kPa).
Water pressure..............  1.0 pounds per     eq>0.50 pounds per
                               square inch (6.9   minus3.4
                               kPa).                 5 kPa).
------------------------------------------------------------------------

    3.2 Temperature Measurement
    3.2.1 Measurement. Temperature measurements shall be made in 
accordance with the Standard Measurement Guide: Section on Temperature 
Measurements, ASHRAE Standard 41.1-86.
    3.2.2 Accuracy and Precision. The accuracy and precision of the 
instruments, including their associated readout devices, shall be within 
the following limits:

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

    3.2.3 Scale Division. In no case shall the smallest scale division 
of the instrument or instrument system exceed 2 times the specified 
precision.
    3.2.4 Temperature Difference. Temperature difference between the 
entering and leaving water may be measured with any of the following:

a. A thermopile
b. Calibrated resistance thermometers
c. Precision thermometers
d. Calibrated thermistors
e. Calibrated thermocouples
f. Quartz thermometers

    3.2.5 Thermopile Construction. If a thermopile is used, it shall be 
made from calibrated thermocouple wire taken from a single spool. 
Extension wires to the recording device shall also be made from that 
same spool.
    3.2.6 Time Constant. The time constant of the instruments used to 
measure the inlet and outlet water temperatures shall be no greater than 
5 seconds.
    3.3 Liquid Flow Rate Measurement. The accuracy of the liquid flow 
rate measurement, using the calibration if furnished, shall be equal to 
or less than 1% of the measured value in mass 
units per unit time.
    3.4 Electric Energy. The electrical energy used shall be measured 
with an instrument and associated readout device that is accurate within 
1% of the reading.
    3.5 Fossil Fuels. The quantity of fuel used by the water heater 
shall be measured with an instrument and associated readout device that 
is accurate within 1% of the reading.
    3.6 Mass Measurements. For mass measurements greater than or equal 
to 10 pounds (4.5 kg), a scale that is accurate within 1% of the reading shall be used to make the measurement. 
For mass measurements less than 10 pounds (4.5 kg), the scale shall 
provide a measurement that is accurate within 0.1 
pound (0.045 kg).
    3.7 Heating Value. The higher heating value of the natural gas, 
propane, or fuel oil shall be measured with an instrument and associated 
readout device that is accurate within 1% of the 
reading. The heating value of natural gas and propane must be corrected 
for local temperature and pressure conditions.
    3.8 Time. The elapsed time measurements shall be measured with an 
instrument that is accurate within 0.5 seconds per 
hour.
    3.9 Volume. Volume measurements shall be measured with an accuracy 
of 2% of the total volume.

                             4. Installation

    4.1 Water Heater Mounting. A water heater designed to be 
freestanding shall be placed on a \3/4\ inch (2 cm) thick plywood 
platform supported by three 2 x 4 inch (5 cm x 10 cm) runners. If the 
water heater is not approved for installation on combustible flooring, 
suitable non-combustible material shall be placed between the water 
heater and the platform. Counter-top water heaters shall be placed 
against a simulated wall section. Wall-mounted water heaters shall be 
supported on a simulated wall in accordance

[[Page 180]]

with the manufacturer-published installation instructions. When a 
simulated wall is used, the recommended construction is 2 x 4 inch (5 cm 
x 10 cm) studs, faced with \3/4\ inch (2 cm) plywood. For heat pump 
water heaters that are supplied with a storage tank, the two components, 
if not delivered as a single package, shall be connected in accordance 
with the manufacturer-published installation instructions and the 
overall system shall be placed on the above-described plywood platform. 
If installation instructions are not provided by the heat pump 
manufacturer, uninsulated 8 foot (2.4 m) long connecting hoses having an 
inside diameter of \5/8\ inch (1.6 cm) shall be used to connect the 
storage tank and the heat pump water heater. With the exception of using 
the storage tank described in 4.10, the same requirements shall apply 
for heat pump water heaters that are supplied without a storage tank 
from the manufacturer. The testing of the water heater shall occur in an 
area that is protected from drafts.
    4.2 Water Supply. Connect the water heater to a water supply capable 
of delivering water at conditions as specified in Sections 2.3 and 2.5 
of this appendix.
    4.3 Water Inlet and Outlet Configuration. For freestanding water 
heaters that are taller than 36 inches (91.4 cm), inlet and outlet 
piping connections shall be configured in a manner consistent with 
Figures 1 and 2. Inlet and outlet piping connections for wall-mounted 
water heaters shall be consistent with Figure 3. For freestanding water 
heaters that are 36 inches or less in height and not supplied as part of 
a counter-top enclosure (commonly referred to as an under-the-counter 
model), inlet and outlet piping shall be installed in a manner 
consistent with Figures 4, 5, and 6. For water heaters that are supplied 
with a counter-top enclosure, inlet and outlet piping shall be made in a 
manner consistent with Figures 7A and 7B, respectively. The vertical 
piping noted in Figures 7A and 7B shall be located (whether inside the 
enclosure or along the outside in a recessed channel) in accordance with 
the manufacturer-published installation instructions.
    All dimensions noted in Figures 1 through 7 shall be achieved. All 
piping between the water heater and the inlet and outlet temperature 
sensors, noted as TIN and TOUT in the figures, 
shall be Type ``L'' hard copper having the same diameter as the 
connections on the water heater. Unions may be used to facilitate 
installation and removal of the piping arrangements. A pressure gauge 
and diaphragm expansion tank shall be installed in the supply water 
piping at a location upstream of the inlet temperature sensor. An 
appropriately rated pressure and temperature relief valve shall be 
installed on all water heaters at the port specified by the 
manufacturer. Discharge piping for the relief valve shall be non-
metallic. If heat traps, piping insulation, or pressure relief valve 
insulation are supplied with the water heater, they shall be installed 
for testing. Except when using a simulated wall, clearance shall be 
provided such that none of the piping contacts other surfaces in the 
test room.

[[Page 181]]

[GRAPHIC] [TIFF OMITTED] TR20JY98.005


[[Page 182]]


[GRAPHIC] [TIFF OMITTED] TR20JY98.006


[[Page 183]]


[GRAPHIC] [TIFF OMITTED] TR20JY98.007


[[Page 184]]


[GRAPHIC] [TIFF OMITTED] TR20JY98.008

    4.4 Fuel and/or Electrical Power and Energy Consumption. Install one 
or more instruments which measure, as appropriate, the quantity and rate 
of electrical energy and/or fossil fuel consumption in accordance with 
Section 3. For heat pump water heaters that use supplemental resistive 
heating, the electrical energy supplied to the resistive element(s) 
shall be metered separately from the electrical energy supplied to the 
entire appliance or to the remaining components (e.g., compressor, fans, 
pumps, controls).
    4.5 Internal Storage Tank Temperature Measurements. Install six 
temperature measurement sensors inside the water heater tank with a 
vertical distance of at least 4 inches (100 mm) between successive 
sensors. A temperature sensor shall be positioned at the vertical 
midpoint of each of the six equal

[[Page 185]]

volume nodes within the tank. Nodes designate the equal volumes used to 
evenly partition the total volume of the tank. As much as is possible, 
the temperature sensor should be positioned away from any heating 
elements, anodic protective devices, tank walls, and flue pipe walls. If 
the tank cannot accommodate six temperature sensors and meet the 
installation requirements specified above, install the maximum number of 
sensors which comply with the installation requirements. The temperature 
sensors shall be installed either through (1) the anodic device opening; 
(2) the relief valve opening; or (3) the hot water outlet. If installed 
through the relief valve opening or the hot water outlet, a tee fitting 
or outlet piping, as applicable, shall be installed as close as possible 
to its original location. If the relief valve temperature sensor is 
relocated, and it no longer extends into the top of the tank, a 
substitute relief valve that has a sensing element that can reach into 
the tank shall be installed. If the hot water outlet includes a heat 
trap, the heat trap shall be installed on top of the tee fitting. Added 
fittings shall be covered with thermal insulation having an R value 
between 4 and 8 h0ft2/ [deg]F/Btu (0.7 and 1.4 
m2/ [deg]C/W).
    4.6 Ambient Air Temperature Measurement. Install an ambient air 
temperature sensor at the vertical mid-point of the water heater and 
approximately 2 feet (610 mm) from the surface of the water heater. The 
sensor shall be shielded against radiation.
    4.7 Inlet and Outlet Water Temperature Measurements. Install 
temperature sensors in the cold-water inlet pipe and hot-water outlet 
pipe as shown in Figures 1, 2, 3, 4, 5, 6, 7a and 7b, as applicable.
    4.8 Flow Control. A valve shall be installed to provide flow as 
specified in sections 5.1.4.1 for storage tank water heaters and 5.2.1 
for instantaneous water heaters.
    4.9 Flue Requirements.
    4.9.1 Gas-Fired Water Heaters. Establish a natural draft in the 
following manner. For gas-fired water heaters with a vertically 
discharging draft hood outlet, a 5-foot (1.5-meter) vertical vent pipe 
extension with a diameter equal to the largest flue collar size of the 
draft hood shall be connected to the draft hood outlet. For gas-fired 
water heaters with a horizontally discharging draft hood outlet, a 90-
degree elbow with a diameter equal to the largest flue collar size of 
the draft hood shall be connected to the draft hood outlet. A 5-foot 
(1.5-meter) length of vent pipe shall be connected to the elbow and 
oriented to discharge vertically upward. Direct vent gas-fired water 
heaters shall be installed with venting equipment specified in the 
manufacturer's instructions using the minimum vertical and horizontal 
lengths of vent pipe recommended by the manufacturer.
    4.9.2 Oil-Fired Water Heaters. Establish a draft at the flue collar 
at the value specified in the manufacturer's instructions. Establish the 
draft by using a sufficient length of vent pipe connected to the water 
heater flue outlet, and directed vertically upward. For an oil-fired 
water heater with a horizontally discharging draft hood outlet, a 90-
degree elbow with a diameter equal to the largest flue collar size of 
the draft hood shall be connected to the draft hood outlet. A length of 
vent pipe sufficient to establish the draft shall be connected to the 
elbow fitting and oriented to discharge vertically upward. Direct-vent 
oil-fired water heaters should be installed with venting equipment as 
specified in the manufacturer's instructions, using the minimum vertical 
and horizontal lengths of vent pipe recommended by the manufacturer.
    4.10 Heat Pump Water Heater Storage Tank. The tank to be used for 
testing a heat pump water heater without a tank supplied by the 
manufacturer (see Section 1.12.3b) shall be an electric storage-type 
water heater having a measured volume of 47.0 gallons 1.0 gallon (178 liters 3.8 
liters); two 4.5 kW heating elements controlled in such a manner as to 
prevent both elements from operating simultaneously; and an energy 
factor greater than or equal to the minimum energy conservation standard 
(as determined in accordance with Section 6.1.7) and less than or equal 
to the sum of the minimum energy conservation standard and 0.02.

                           5. Test Procedures

    5.1 Storage-type Water Heaters, Including Heat Pump Water Heaters.
    5.1.1 Determination of Storage Tank Volume. Determine the storage 
capacity, Vst, of the water heater under test, in gallons 
(liters), by subtracting the tare weight--measured while the tank is 
empty--from the gross weight of the storage tank when completely filled 
with water (with all air eliminated and line pressure applied as 
described in section 2.5) and dividing the resulting net weight by the 
density of water at the measured temperature.
    5.1.2 Setting the Thermostat.
    5.1.2.1 Single Thermostat Tanks. Starting with a tank at the supply 
water temperature, initiate normal operation of the water heater. After 
cut-out, determine the mean tank temperature every minute until the 
maximum value is observed. Determine whether this maximum value for the 
mean tank temperature is within the range of 135 [deg]F5 [deg]F (57.2 [deg]C2.8 [deg]C). 
If not, turn off the water heater, adjust the thermostat, drain and 
refill the tank with supply water. Then, once again, initiate normal 
operation of the water heater, and determine the maximum mean tank 
temperature after cut-out. Repeat this sequence until the maximum mean

[[Page 186]]

tank temperature after cut-out is 135 [deg]F5 
[deg]F (57.2 [deg]C2.8 [deg]C).
    5.1.2.2 Tanks with Two or More Thermostats. Follow the same sequence 
as for a single thermostat tank, i.e. start at the supply water 
temperature, operate normally until cutout. Determine if the thermostat 
that controls the uppermost heating element yields a maximum water 
temperature of 135 [deg]F5 [deg]F (57.2 
[deg]C2.8 [deg]C), as measured by the in-tank 
sensors that are positioned above the uppermost heating element. If the 
tank temperature at the thermostat is not within 135 [deg]F5 [deg]F (57.2 [deg]C2.8 [deg]C), 
turn off the water heater, adjust the thermostat, drain and refill the 
tank with supply water. The thermostat that controls the heating element 
positioned next highest in the tank shall then be set to yield a maximum 
water temperature of 135 [deg]F5 [deg]F (57.2 
[deg]C2.8 [deg]C). This process shall be repeated 
until the thermostat controlling the lowest element is correctly 
adjusted. When adjusting the thermostat that controls the lowest 
element, the maximum mean tank temperature after cut-out, as determined 
using all the in-tank sensors, shall be 135 [deg]F5 [deg]F (57.2 [deg]C2.8 [deg]C). 
When adjusting all other thermostats, use only the in-tank temperature 
sensors positioned above the heating element in question to evaluate the 
maximum water temperature after cut-out.
    For heat pump water heaters that control an auxiliary resistive 
element, the thermostat shall be set in accordance with the 
manufacturer's installation instructions.
    5.1.3 Power Input Determination. For all water heaters except 
electric types having immersed heating elements, initiate normal 
operation and determine the power input, P, to the main burners 
(including pilot light power, if any) after 15 minutes of operation. If 
the water heater is equipped with a gas appliance pressure regulator, 
the regulator outlet pressure shall be set within 10% of that recommended by the manufacturer. For oil-
fired water heaters the fuel pump pressure shall be within 10% of the manufacturer's specified pump pressure. All 
burners shall be adjusted to achieve an hourly Btu (kJ) rating that is 
within 2% of the value specified by the 
manufacturer. For an oil-fired water heater, adjust the burner to give a 
CO2 reading recommended by the manufacturer and an hourly Btu 
(kJ) rating that is within 2% of that specified by 
the manufacturer. Smoke in the flue may not exceed No. 1 smoke as 
measured by the procedure in ASTM-D-2156-80.
    5.1.4 First-Hour Rating Test.
    5.1.4.1 General. During hot water draws, remove water at a rate of 
3.00.25 gallons per minute (11.40.95 liters per minute). Collect the water in a 
container that is large enough to hold the volume removed during an 
individual draw and suitable for weighing at the termination of each 
draw. Alternatively, a water meter may be used to directly measure the 
water volume(s) withdrawn.
    5.1.4.2 Draw Initiation Criteria. Begin the first-hour rating test 
by imposing a draw on the storage-type water heater. After completion of 
this first draw, initiate successive draws based on the following 
criteria. For gas-and oil-fired water heaters, initiate successive draws 
when the thermostat acts to reduce the supply of fuel to the main 
burner. For electric water heaters having a single element or multiple 
elements that all operate simultaneously, initiate successive draws when 
the thermostat acts to reduce the electrical input supplied to the 
element(s). For electric water heaters having two or more elements that 
do not operate simultaneously, initiate successive draws when the 
applicable thermostat acts to reduce the electrical input to the element 
located vertically highest in the storage tank. For heat pump waters 
heaters that do not use supplemental resistive heating, initiate 
successive draws immediately after the electrical input to the 
compressor is reduced by the action of the water heater's thermostat. 
For heat pump waters heaters that use supplemental resistive heating, 
initiate successive draws immediately after the electrical input to the 
compressor or the uppermost resistive element is reduced by the action 
of the applicable water heater thermostat. This draw initiation 
criterion for heat pump water heaters that use supplemental resistive 
heating, however, shall only apply when the water located above the 
thermostat at cut-out is heated to 135 [deg]F5 
[deg]F (57.2 [deg]C2.8 [deg]C).
    5.1.4.3 Test Sequence. Establish normal water heater operation. If 
the water heater is not presently operating, initiate a draw. The draw 
may be terminated anytime after cut-in occurs. After cut-out occurs 
(i.e., all thermostats are satisfied), monitor the internal storage tank 
temperature sensors described in section 4.5 every minute.
    Initiate a draw after a maximum mean tank temperature has been 
observed following cut-out. Record the time when the draw is initiated 
and designate it as an elapsed time of zero ([tau]* = 0). (The 
superscript * is used to denote variables pertaining to the first-hour 
rating test.) Record the outlet water temperature beginning 15 seconds 
after the draw is initiated and at 5-second intervals thereafter until 
the draw is terminated. Determine the maximum outlet temperature that 
occurs during this first draw and record it as T*max, 1. For 
the duration of this first draw and all successive draws, in addition, 
monitor the inlet temperature to the water heater to ensure that the 
required 58 [deg]F2 [deg]F (14.4 [deg]C1.1 [deg]C) test condition is met. Terminate the hot 
water draw when the outlet temperature decreases to T*max,1-
25 [deg]F (T*max,1-13.9 [deg]C). Record this temperature as

[[Page 187]]

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

[[Page 188]]

an elapsed time of 23 hours. If a recovery is taking place at an elapsed 
time of 23 hours, wait until the recovery is complete before reducing 
the electrical and/or fuel supply to the water heater. At 24 hours, 
record the mean tank temperature, T24, and the electric and/
or fuel instrument readings. Determine the total fossil fuel or 
electrical energy consumption, as appropriate, for the entire 24-hour 
simulated use test, Q. Record the time interval between the time at 
which the maximum mean tank temperature is observed after the sixth draw 
and the end of the 24-hour test as stby, 1. Record the time 
during which water is not being withdrawn from the water heater during 
the entire 24-hour period as stby, 2.
    5.2 Instantaneous Gas and Electric Water Heaters
    5.2.1 Setting the Outlet Discharge Temperature. Initiate normal 
operation of the water heater at the full input rating for electric 
instantaneous water heaters and at the maximum firing rate specified by 
the manufacturer for gas instantaneous water heaters. Monitor the 
discharge water temperature and set to a value of 135 [deg]F 5 [deg]F (57.2 [deg]C 2.8 [deg]C) 
in accordance with the manufacturer's instructions. If the water heater 
is not capable of providing this discharge temperature when the flow 
rate is 3.0 gallons 0.25 gallons per minute (11.4 
liters 0.95 liters per minute), then adjust the 
flow rate as necessary to achieve the specified discharge water 
temperature. Record the corresponding flow rate as Vmax.
    5.2.2 Additional Requirements for Variable Input Instantaneous Gas 
Water Heaters. If the instantaneous water heater incorporates a 
controller that permits operation at a reduced input rate, adjust the 
flow rate as necessary to achieve a discharge water temperature of 135 
[deg]F 5 [deg]F (57.2 [deg]C 2.8 [deg]C) while maintaining the minimum input rate. 
Record the corresponding flow rate as Vmin. If an outlet 
temperature of 135 [deg]F 5 [deg]F (57.2 [deg]C 
2.8 [deg]C) cannot be achieved at the minimum flow 
rate permitted by the instantaneous water heater, record the flow rate 
as Vmin and the corresponding outlet temperature as 
Tmin.
    5.2.3 Maximum GPM Rating Test for Instantaneous Water Heaters. 
Establish normal water heater operation at the full input rate for 
electric instantaneous water heaters and at the maximum firing rate for 
gas instantaneous water heaters with the discharge water temperature set 
in accordance with Section 5.2.1. During the 10-minute test, either 
collect the withdrawn water for later measurement of the total mass 
removed, or alternatively, use a water meter to directly measure the 
water volume removed.
    After recording the scale or water meter reading, initiate water 
flow throughout the water heater, record the inlet and outlet water 
temperatures beginning 15 seconds after the start of the test and at 
subsequent 5-second intervals throughout the duration of the test. At 
the end of 10 minutes, turn off the water. Determine the mass of water 
collected, M10m, in pounds (kilograms), or the volume of 
water, V10m, in gallons (liters).
    5.2.4 24-hour Simulated Use Test for Gas Instantaneous Water 
Heaters.
    5.2.4.1 Fixed Input Instantaneous Water Heaters. Establish normal 
operation with the discharge water temperature and flow rate set to 
values of 135 [deg]F 5 [deg]F (57.2 [deg]C 2.8 [deg]C) and Vmax per Section 5.2.1, 
respectively. With no draw occurring, record the reading given by the 
gas meter and/or the electrical energy meter as appropriate. Begin the 
24-hour simulated use test by drawing an amount of water out of the 
water heater equivalent to one-sixth of the daily hot water usage. 
Record the time when this first draw is initiated and designate it as an 
elapsed time, [tau], of 0. At elapsed time intervals of one, two, three, 
four, and five hours from [tau] = 0, initiate additional draws, removing 
an amount of water equivalent to one-sixth of the daily hot water usage, 
with the maximum allowable deviation for any single draw being 0.5 gallons (1.9 liters). The quantity of water drawn 
during the sixth draw shall be increased or decreased as necessary such 
that the total volume of water withdrawn equals 64.3 gallons 1.0 gallons (243.4 liters 3.8 
liters).
    Measurements of the inlet and outlet water temperatures shall be 
made 15 seconds after the draw is initiated and at every 5-second 
interval thereafter throughout the duration of the draw. The arithmetic 
mean of the hot water discharge temperature and the cold water inlet 
temperature shall be determined for each draw. Record the scale used to 
measure the mass of the withdrawn water or the water meter reading, as 
appropriate, after each draw. At the end of the recovery period 
following the first draw, determine and record the fossil fuel or 
electrical energy consumed, Qr. Following the sixth draw and 
subsequent recovery, allow the water heater to remain in the standby 
mode until exactly 24 hours have elapsed since the start of the test 
(i.e., since [tau] = 0). At 24 hours, record the reading given by the 
gas meter and/or the electrical energy meter as appropriate. Determine 
the fossil fuel or electrical energy consumed during the entire 24-hour 
simulated use test and designate the quantity as Q.
    5.2.4.2 Variable Input Instantaneous Water Heaters. If the 
instantaneous water heater incorporates a controller that permits 
continuous operation at a reduced input rate, the first three draws 
shall be conducted using the maximum flow rate, Vmax, while 
removing an amount of water equivalent to one-sixth of the daily hot 
water usage, with the maximum allowable deviation for any one of the 
three draws being 0.5 gallons (1.9 liters).

[[Page 189]]

The second three draws shall be conducted at Vmin. If an 
outlet temperature of 135 [deg]F 5 [deg]F (57.2 
[deg]C 2.8 [deg]C) could not be achieved at the 
minimum flow rate permitted by the instantaneous water heater, the last 
three draws should be lengthened such that the volume removed is:

[GRAPHIC] [TIFF OMITTED] TR11MY98.001

or
[GRAPHIC] [TIFF OMITTED] TR11MY98.002

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

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

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

                             6. Computations

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

Where:

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

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

Where:

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

Where:

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

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

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

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

[[Page 190]]

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

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

Where:

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

Where:

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

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

Where:

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

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

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

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

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

Where:


[[Page 191]]


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

    6.1.6 Adjusted Daily Water Heating Energy Consumption. The adjusted 
daily water heating energy consumption, Qda, takes into 
account that the temperature difference between the storage tank and 
surrounding ambient air may not be the nominal value of 67.5 [deg]F (135 
[deg]F-67.5 [deg]F) or 37.5 [deg]C (57.2 [deg]C-19.7 [deg]C) due to the 
10 [deg]F (5.6 [deg]C) allowable variation in storage tank temperature, 
135 [deg]F 5 [deg]F (57.2 [deg]C 2.8 [deg]C), and the 5 [deg]F (2.8 [deg]C) allowable 
variation in surrounding ambient temperature 65 [deg]F (18.3 [deg]C) to 
70 [deg]F (21.1 [deg]C). The adjusted daily water heating energy 
consumption is computed as:

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

Qda = the adjusted daily water heating energy consumption, 
Btu (kJ).
Qd = as defined in section 6.1.5.
Tstby, 2 = the mean tank temperature during the total standby 
portion, [tau]stby, 2, of the 24-hour test, [deg]F ([deg]C).
Ta, stby, 2 = the average ambient temperature during the 
total standby portion, [tau]stby, 2, of the 24-hour test, [deg]F 
([deg]C).
UA = as defined in section 6.1.4.
[tau]stby, 2 = the number of hours during the 24-hour 
simulated test when water is not being withdrawn from the water heater.

    A modification is also needed to take into account that the 
temperature difference between the outlet water temperature and supply 
water temperature may not be equivalent to the nominal value of 77 
[deg]F (135 [deg]F-58 [deg]F) or 42.8 [deg]C (57.2 [deg]C-14.4 [deg]C). 
The following equations adjust the experimental data to a nominal 77 
[deg]F (42.8 [deg]C) temperature rise.
    The energy used to heat water, Btu/day (kJ/day), may be computed as:
    [GRAPHIC] [TIFF OMITTED] TR11MY98.011
    
Where:

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

    The difference between these two values is:

QHWD = QHW, 77[deg]-F -QHW
or QHWD = QHW,42.8[deg]-F -QHW
which must be added to the adjusted daily water heating energy 
consumption value. Thus, the daily energy consumption value which takes 
into account that the temperature difference between the storage tank 
and ambient temperature may not be 67.5 [deg]F (37.5 [deg]C) and that 
the temperature rise across the storage tank may not be 77 [deg]F (42.8 
[deg]C) is:

Qdm = Qda + QHWD

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

Where:

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

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

Eannual = 365 x Qdm

Where:

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


[[Page 192]]


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

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

Where:

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

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

Where:

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

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

Where:

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

Where:

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

Where:

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

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

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

Where:

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

[[Page 193]]

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

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

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

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

Qd = Q

Where:

Q = the energy used by the instantaneous water heater during the 24-hr 
simulated use test.

    A modification is needed to take into account that the temperature 
difference between the outlet water temperature and supply water 
temperature may not be equivalent to the nominal value of 77 [deg]F (135 
[deg]F-58 [deg]F) or 42.8 [deg]C (57.2 [deg]C-14.4 [deg]C). The 
following equations adjust the experimental data to a nominal 77 [deg]F 
(42.8 [deg]C) temperature rise.
    The energy used to heat water may be computed as:
    [GRAPHIC] [TIFF OMITTED] TR11MY98.022
    
Where:

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

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

Where:

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

    The difference between these two values is:

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

which much be added to the daily water heating energy consumption value. 
Thus, the daily energy consumption value which takes into account that 
the temperature rise across the storage tank may not be 77 [deg]F (42.8 
[deg]C) is:

Qdm = Qd + QHWD

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

Where:

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

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

Eannual = 365 x Qdm

Where:

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

                     7. Ratings for Untested Models

    In order to relieve the test burden on manufacturers who offer water 
heaters which differ only in fuel type or power input, ratings for 
untested models may be established in accordance with the following 
procedures. In lieu of the following procedures a manufacturer may elect 
to test the unit for which a rating is sought.
    7.1 Gas Water Heaters. Ratings obtained for gas water heaters using 
natural gas can be used for an identical water heater which utilizes 
propane gas if the input ratings are within 10%.
    7.2 Electric Water Heaters
    7.2.1 First-Hour Rating. If an electric storage-type water heater is 
available with more than one input rating, the manufacturer

[[Page 194]]

shall designate the standard input rating, and the water heater need 
only be tested with heating elements at the designated standard input 
ratings. The first-hour ratings for units having power input rating less 
than the designated standard input rating shall be assigned a first-hour 
rating equivalent to the first draw of the first-hour rating for the 
electric water heater with the standard input rating. For units having 
power inputs greater than the designated standard input rating, the 
first-hour rating shall be equivalent to that measured for the water 
heater with the standard input rating.
    7.2.2 Energy Factor. The energy factor for identical electric 
storage-type water heaters, with the exception of heating element 
wattage, may use the energy factor obtained during testing of the water 
heater with the designated standard input rating.

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



   Sec. Appendix F to Subpart B of Part 430--Uniform Test Method for 
        Measuring the Energy Consumption of Room Air Conditioners

    1. Test method. The test method for testing room air conditioners 
shall consist of application of the methods and conditions in American 
National Standard (ANS) Z234.1-1972, ``Room Air Conditioners,'' sections 
4, 5, 6.1, and 6.5, and in American Society of Heating, Refrigerating 
and Air Conditioning in Engineers (ASHRAE) Standard 16-69, ``Method of 
Testing for Rating Room Air Conditioners.''
    2. Test conditions. Establish the test conditions described in 
sections 4 and 5 of ANS Z234.1-1972 and in accordance with ASHRAE 
Standard 16-69.
    3. Measurements. Measure the quantities delineated in section 5 of 
ANS Z234.1-1972.
    4. Calculations. 4.1 Calculate the cooling capacity (expressed in 
Btu/hr) as required in section 6.1 of ANS Z234.1-1972 and in accordance 
with ASHRAE Standard 16-69.
    4.2 Determine the electrical power input (expressed in watts) as 
required by section 6.5 of ANS Z234.1-1972 and in accordance with ASHRAE 
Standard 16-69.

[42 FR 27898, June 1, 1977. Redesignated and amended at 44 FR 37938, 
June 29, 1979]



   Sec. Appendix G to Subpart B of Part 430--Uniform Test Method for 
   Measuring the Energy Consumption of Unvented Home Heating Equipment

                         1. Testing conditions.

    1.1 Installation.
    1.1.1 Electric heater. Install heater according to manufacturer's 
instructions. Heaters shall be connected to an electrical supply circuit 
of nameplate voltage with a wattmeter installed in the circuit. The 
wattmeter shall have a maximum error not greater than one percent.
    1.1.2 Unvented gas heater. Install heater according to 
manufacturer's instructions. Heaters shall be connected to a gas supply 
line with a gas displacement meter installed between the supply line and 
the heater according to manufacturer's specifications. The gas 
displacement meter shall have a maximum error not greater than one 
percent. Gas heaters with electrical auxiliaries shall be connected to 
an electrical supply circuit of nameplate voltage with a wattmeter 
installed in the circuit. The wattmeter shall have a maximum error not 
greater than one percent.
    1.1.3 Unvented oil heater. Install heater according to 
manufacturer's instructions. Oil heaters with electric auxiliaries shall 
be connected to an electrical supply circuit of nameplate voltage with a 
wattmeter installed in the circuit. The wattmeter shall have a maximum 
error not greater than one percent.
    1.2 Temperature regulating controls. All temperature regulating 
controls shall be shorted out of the circuit or adjusted so that they 
will not operate during the test period.
    1.3 Fan controls. All fan controls shall be set at the highest fan 
speed setting.
    1.4 Energy supply.
    1.4.1 Electrical supply. Supply power to the heater within one 
percent of the nameplate voltage.
    1.4.2 Natural gas supply. For an unvented gas heater utilizing 
natural gas, maintain the gas supply to the heater with a normal inlet 
test pressure immediately ahead of all controls at 7 to 10 inches of 
water column. The regulator outlet pressure at normal supply test 
pressure shall be approximately that recommended by the manufacturer. 
The natural gas supplied should have a higher heating value within 
5 percent of 1,025 Btu's per standard cubic foot. 
Determine the higher heating value, in Btu's per standard cubic foot, 
for the natural gas to be used in the test, with an error no greater 
than one percent. Alternatively, the test can be conducted using 
``bottled'' natural gas of a higher heating value within 5 percent of 1,025 Btu's per standard cubic foot as long 
as the actual higher heating value of the bottled natural gas has been 
determined with an error no greater than one percent as certified by the 
supplier.
    1.4.3 Propane gas supply. For an unvented gas heater utilizing 
propane, maintain the gas supply to the heater with a normal inlet test 
pressure immediately ahead of all controls at 11 to 13 inches of water 
column. The regulator outlet pressure at normal supply

[[Page 195]]

test pressure shall be that recommended by the manufacturer. The propane 
supplied should have a higher heating value of within5 percent of 2,500 Btu's per standard cubic foot. 
Determine the higher heating value in Btu's per standard foot, for the 
propane to be used in the test, with an error no greater than one 
percent. Alternatively, the test can be conducted using ``bottled'' 
propane of a higher heating value within 5 percent 
of 2,500 Btu's per standard cubic foot as long as the actual higher 
heating value of the bottled propane has been determined with an error 
no greater than one percent as certified by the supplier.
    1.4.4 Oil supply. For an unvented oil heater utilizing kerosene, 
determine the higher heating value in Btu's per gallon with an error no 
greater than one percent. Alternatively, the test can be conducted using 
a tested fuel of a higher heating value within 5 
percent of 137,400 Btu's per gallon as long as the actual higher heating 
value of the tested fuel has been determined with an error no greater 
than one percent as certified by the supplier.
    1.5 Energy flow instrumentation. Install one or more energy flow 
instruments which measure, as appropriate and with an error no greater 
than one percent, the quantity of electrical energy, natural gas, 
propane gas, or oil supplied to the heater.

                      2. Testing and measurements.

    2.1 Electric power measurement. Establish the test conditions set 
forth in section 1 of this appendix. Allow an electric heater to warm up 
for at least five minutes before recording the maximum electric power 
measurement from the wattmeter. Record the maximum electric power 
(PE) expressed in kilowatts.
    Allow the auxiliary electrical system of a forced air unvented gas, 
propane, or oil heater to operate for at least five minutes before 
recording the maximum auxiliary electric power measurement from the 
wattmeter. Record the maximum auxiliary electric power (PA) 
expressed in kilowatts.
    2.2 Natural gas, propane, and oil measurement. Establish the test 
conditions as set forth in section 1 of this appendix. A natural gas, 
propane, or oil heater shall be operated for one hour. Using either the 
nameplate rating or the energy flow instrumentation set forth in section 
1.5 of this appendix and the fuel supply rating set forth in sections 
1.4.2, 1.4.3, or 1.4.4 of this appendix, as appropriate, determine the 
maximum fuel input (PF) of the heater under test in Btu's per 
hour. The energy flow instrumentation shall measure the maximum fuel 
input with an error no greater than one percent.

                            3. Calculations.

    3.1 Annual energy consumption for primary electric heaters. For 
primary electric heaters, calculate the annual energy consumption 
(EE) expressed in kilowatt-hours per year and defined as:

EE=2080(0.77)DHR

where:

2080=national average annual heating load hours
0.77=adjustment factor
DHR=design heating requirement and is equal to PE /1.2 in 
kilowatts.
PE=as defined in 2.1 of this appendix
1.2=typical oversizing factor for primary electric heaters

    3.2 Annual energy consumption for primary electric heaters by 
geographic region of the United States. For primary electric heaters, 
calculate the annual energy consumption by geographic region of the 
United States (ER) expressed in kilowatt-hours per year and 
defined as:

ER=HLH(0.77) (DHR)

where:

HLH=heating load hours for a specific region determined from Figure 1 of 
this appendix in hours
0.77=as defined in 3.1 of this appendix
DHR=as defined in 3.1 of this appendix

    3.3 Rated output for electric heaters. Calculate the rated output 
(Qout) for electric heaters, expressed in Btu's per hour, and 
defined as:

Qout=PE (3,412 Btu/kWh)

where:

PE=as defined in 2.1 of this appendix

    3.4 Rated output for unvented heaters using either natural gas, 
propane, or oil. For unvented heaters using either natural gas, propane, 
or oil equipped without auxiliary electrical systems, the rated output 
(Qout), expressed in Btu's per hour, is equal to 
PF, as determined in section 2.2 of this appendix.
    For unvented heaters using either natural gas, propane, or oil 
equipped with auxiliary electrical systems, calculate the rated output 
(Qout), expressed in Btu's per hour, and defined as:

Qout=PF+PA (3,412 Btu/kWh)

where:

PF=as defined in 2.2 of this appendix in Btu/hr
PA=as defined in 2.1 of this appendix in Btu/hr

[[Page 196]]

[GRAPHIC] [TIFF OMITTED] TC04OC91.002


(Energy Policy and Conservation Act, Pub. L. 94-163, as amended by Pub. 
L. 94-385; Federal Energy Administration Act of 1974, Pub. L. 93-275, as 
amended by Pub. L. 94-385; Department of Energy Organization Act, Pub. 
L. 95-91; E.O. 11790, 39 FR 23185)

[43 FR 20132, May 10, 1978. Redesignated and amended at 44 FR 37938, 
June 29, 1979; 49 FR 12157, Mar. 28, 1984]



   Sec. Appendix H to Subpart B of Part 430--Uniform Test Method for 
           Measuring the Energy Consumption of Television Sets

                             1. Definitions

    1.1 ``IRE-unit flat field'' means a specific video electrical signal 
which results in a particular level of brightness of the television 
screen as established by the Institute of Radio Engineers.
    1.2 ``Filament keep-warm'' means a feature that provides a voltage 
to keep vacuum tube and/or picture tube filaments warm for the purpose 
of allowing almost instantaneous response to the power control switch.
    1.3 ``Operating time'' (to) means the hours per year during which 
the television set is operating with power control turned on.
    1.4 ``Remote control'' means an optional feature which allows the 
user to control the television set from more than one location by a hand 
held device.
    1.5 ``Standby power consumption'' (Ps) means the minimum amount of 
energy consumed with the power control switch turned off.
    1.6 ``Standby time'' (ts) means the hours per year during which the 
television set is

[[Page 197]]

connected to a power outlet with the power control switch turned off.
    1.7 ``Vacation switch or master on-off switch'' means an optional 
energy saving feature incorporated into the design of a television set 
that permits the user to disconnect the filament keep-warm circuit(s).
    1.8 ``Remote control defeat switch'' means a switch which permits 
the user to disconnect all standby power to a television set.

                 2. Testing Conditions and Measurements

    2.1 Test equipment and test signals. The following equipment and 
test signals shall be used for testing of television sets.
    2.1.1 Regulated power source capable of supplying 120 volts (1.2 volts) alternating current.
    2.1.2 Signal generator capable of producing radio frequency (RF) 
television test signals, at a convenient very high frequency (VHF) 
channel, modulated with, National Television System Committee composite 
video as follows:
    2.1.2.1 Standard White Pattern, RF signal modulated to 87 percent 
with a 100 IRE-unit flat field.
    2.1.2.2 Standard Black Pattern, all adjustments as for 2.1.2.1 
except modulated with a zero IRE-unit flat field.
    2.1.2.3 The test signals in 2.1.2.1 and 2.1.2.2, supplied by a 
source whose impedance equals the design antenna impedance of the 
television set under test, shall be adjusted to a level of 70 decibels 
(dB) 3dB, referred to a zero dB level of one 
femtowatt (1x10-15 watt) available power. (For a 300 ohm 
source, 70 dB referred to one femtowatt corresponds to an open-circuit 
voltage of 3.5 millivolts. For the calculation of ``available power'' 
use American National Standard C.16.13-1961, Method of Testing 
Monochrome Television Broadcast Receivers.)
    2.1.3 Wattmeter capable of measuring the average power consumption 
of the television set under test. The wattmeter shall be accurate to 
within 1 percent of the full scale value. All measurements shall be made 
on the upper half of the scale of the wattmeter.
    2.2 Initial set-up of television set.
    2.2.1 Remove all batteries from television sets designed for both 
battery and alternating current operation. Deactivate all present or 
automatic controls affecting brightness which are customer options. 
Adjust all non-customer controls according to the manufacturer's service 
procedure.
    2.2.2 Apply power to the television set under test from the power 
source specified in 2.1.1 through the wattmeter specified in 2.1.3. 
Adjust the volume control to the lowest possible setting.
    2.2.3 Connect the output of the signal generator as specified in 
2.1.2 to the VHF antenna terminals of the television set. Tune the 
television set to the channel of the RF signal.
    2.3 Measurement of operating power consumption (Po)
    2.3.1 Turn on the television set and allow at least five minutes 
warm-up time. With the synchronization controls adjusted for a stable 
test pattern, apply the standard white pattern specified in 2.1.2.1 to 
the television set. Adjust any customer controls other than the volume 
or synchronization controls for maximum power consumption as indicated 
by the wattmeter specified in 2.1.3. Illuminate any room illuminance 
sensor which has not been deactivated, to produce maximum power 
consumption. Record the white pattern consumption (Pw) as indicated by 
the wattmeter in watts.
    2.3.2 Change the signal source to the standard black pattern 
specified in 2.1.2.2. Adjust any customer controls, other than the 
volume or synchronization controls, for the minimum power consumption as 
indicated by the wattmeter. Cover any room illuminance sensor which has 
not been deactivated. Record the black pattern power consumption (Pb) as 
indicated by the wattmeter in watts.
    2.3.3 Compute the operating power consumption (po) as follows:

Po=(Pw+Pb/2)

where

Po=operating power consumption in watts
Pw=as determined from 2.3.1
Pb=as determined from 2.3.2

    2.2 Measurements of standby power consumption (Ps)
    2.4.1 For television sets without either a vacation switch or a 
remote control defeat switch, turn the power switch off and after two 
minutes measure the standby power consumption (P).
    2.4.2 For a television set equipped with a remote control defeat 
switch, a vacation switch or both, turn the power switch, any vacation 
switch, and any remote er consumptions, (Pmax). The standby power is 
then calculated from the equation:

Ps=[(Pmax-Pmin)/2]+Pmin

where

Ps=standby power consumption in watts
Pmax=power consumption, in watts, measured with the 
television set power switch off and the vacation switch and remote 
control defeat switch in the highest energy consuming position.
Pmin=power consumption, in watts, measured with the 
television set power switch off and the vacation switch and remote 
control defeat switch in the lowest energy consuming position.

    3.0 Average Annual Energy Consumption

E=(Poto/1,000)+(Psts/1,000)=2.2Po+6.56Ps

where


[[Page 198]]


E=total average energy consumed by the television set (kilowatt-hour per 
year)
Po=operating power consumption as computed in 2.3.3
to=operating time, 2,200 h/yr
Ps=standby power consumption computed in 2.4
ts=standby time, 6,560 h/yr

[42 FR 46154, Sept. 14, 1977. Redesignated and amended at 44 FR 37938, 
June 29, 1979]



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

          Cooking Tops, Conventional Ovens, and Microwave Ovens

                             1. Definitions

    1.1 Built-in means the product is supported by surrounding 
cabinetry, walls, or other similar structures.
    1.2 Drop-in means the product is supported by horizontal surface 
cabinetry.
    1.3 Forced convection means a mode of conventional oven operation in 
which a fan is used to circulate the heated air within the oven 
compartment during cooking.
    1.4 Freestanding means the product is not supported by surrounding 
cabinetry, walls, or other similar structures.
    1.5 IEC 705 refers to the test standard published by the 
International Electrotechnical Commission, entitled ``Method for 
Measuring the Performance of Microwave Ovens for Household and Similar 
Purposes,'' Publication 705-1988 and Amendment 2--1993. (See 10 CFR 
430.22)
    1.6 Normal nonoperating temperature means the temperature of all 
areas of an appliance to be tested are within 5 [deg]F (2.8 [deg]C) of 
the temperature that the identical areas of the same basic model of the 
appliance would attain if it remained in the test room for 24 hours 
while not operating with all oven doors closed and with any gas pilot 
lights on and adjusted in accordance with manufacturer's instructions.
    1.7 Primary energy consumption means either the electrical energy 
consumption of a conventional electric oven or the gas energy 
consumption of a conventional gas oven.
    1.8 Secondary energy consumption means any electrical energy 
consumption, other than clock energy consumption, of a conventional gas 
oven.
    1.9 Standard cubic foot (L) of gas means that quantity of gas that 
occupies 1 cubic foot (L) when saturated with water vapor at a 
temperature of 60 [deg]F (15.6 [deg]C) and a pressure of 30 inches of 
mercury (101.6 kPa) (density of mercury equals 13.595 grams per cubic 
centimeter).
    1.10 Thermocouple means a device consisting of two dissimilar metals 
which are joined together and, with their associated wires, are used to 
measure temperature by means of electromotive force.
    1.11 Symbol Usage. The following identity relationships are provided 
to help clarify the symbology used throughout this procedure.

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

                           2. Test Conditions

    2.1 Installation. A free standing kitchen range shall be installed 
with the back directly against, or as near as possible to, a vertical 
wall which extends at least 1 foot above and on either side of the 
appliance. There shall be no side walls. A drop-in, built-in or wall-
mounted appliance shall be installed in an enclosure in accordance with 
the manufacturer's instructions. These appliances are to be completely 
assembled with all handles, knobs, guards and the like mounted in place. 
Any electric resistance heaters, gas burners, baking racks, and baffles 
shall be in place in accordance with the manufacturer's instructions; 
however, broiler pans are to be removed from the oven's baking 
compartment. Disconnect any electrical clock which uses energy 
continuously, except for those that are an integral part of the timing 
or temperature controlling circuit of the oven, cooktop, or microwave 
oven. Do not disconnect or modify the circuit to any other electrical 
devices or features.
    2.1.1 Conventional electric ranges, ovens, and cooking tops. These 
products shall be connected to an electrical supply circuit with voltage 
as specified in Section 2.2.1 with a watt-hour meter installed in the 
circuit. The watt-hour meter shall be as described in Section 2.9.1.1.

[[Page 199]]

    2.1.2 Conventional gas ranges, ovens, and cooking tops. These 
products shall be connected to a gas supply line with a gas meter 
installed between the supply line and the appliance being tested, 
according to manufacturer's specifications. The gas meter shall be as 
described in Section 2.9.2. Conventional gas ranges, ovens and cooking 
tops with electrical ignition devices or other electrical components 
shall be connected to an electrical supply circuit of nameplate voltage 
with a watt-hour meter installed in the circuit. The watt-hour meter 
shall be as described in Section 2.9.1.1.
    2.1.3 Microwave ovens. Install the microwave oven in accordance with 
the manufacturer's instructions and connect to an electrical supply 
circuit with voltage as specified in Section 2.2.1. A watt-hour meter 
and watt meter shall be installed in the circuit and shall be as 
described in Section 2.9.1.1 and 2.9.1.2. If trial runs are needed to 
set the ``on'' time for the test, the test measurements are to be 
separated according to Section 4, Paragraph 12.6 of IEC 705 Amendment 2. 
(See 10 CFR 430.22)
    2.2 Energy supply.
    2.2.1 Electrical supply. Maintain the electrical supply to the 
conventional range, conventional cooking top, and conventional oven 
being tested at 240/120 volts except that basic models rated only at 
208/120 volts shall be tested at that rating. Maintain the voltage 
within 2 percent of the above specified voltages. For the microwave oven 
testing, however, maintain the electrical supply to a microwave oven at 
120 volts 1 volt and at 60 hertz.
    2.2.2 Gas supply.
    2.2.2.1 Gas burner adjustments. Conventional gas ranges, ovens, and 
cooking tops shall be tested with all of the gas burners adjusted in 
accordance with the installation or operation instructions provided by 
the manufacturer. In every case, the burner must be adjusted with 
sufficient air flow to prevent a yellow flame or a flame with yellow 
tips.
    2.2.2.2 Natural gas. For testing convertible cooking appliances or 
appliances which are designed to operate using only natural gas, 
maintain the natural gas pressure immediately ahead of all controls of 
the unit under test at 7 to 10 inches of water column (1743.6 to 2490.8 
Pa). The regulator outlet pressure shall equal the manufacturer's 
recommendation. The natural gas supplied should have a heating value of 
approximately 1,025 Btu's per standard cubic foot (38.2 kJ/L). The 
actual gross heating value, Hn, in Btu's per standard cubic 
foot (kJ/L), for the natural gas to be used in the test shall be 
obtained either from measurements made by the manufacturer conducting 
the test using equipment that meets the requirements described in 
Section 2.9.4 or by the use of bottled natural gas whose gross heating 
value is certified to be at least as accurate a value that meets the 
requirements in Section 2.9.4.
    2.2.2.3 Propane. For testing convertible cooking appliances with 
propane or for testing appliances which are designed to operate using 
only LP-gas, maintain the propane pressure immediately ahead of all 
controls of the unit under test at 11 to 13 inches of water column (2740 
to 3238 Pa). The regulator outlet pressure shall equal the 
manufacturer's recommendation. The propane supplied should have a 
heating value of approximately 2,500 Btu's per standard cubic foot (93.2 
kJ/L). The actual gross heating value, Hp, in Btu's per 
standard cubic foot (kJ/L), for the propane to be used in the test shall 
be obtained either from measurements made by the manufacturer conducting 
the test using equipment that meets the requirements described in 
Section 2.9.4 or by the use of bottled propane whose gross heating value 
is certified to be at least as accurate a value that meets the 
requirements described in Section 2.9.4.
    2.2.2.4 Test gas. A basic model of a convertible cooking appliance 
shall be tested with natural gas, but may also be tested with propane. 
Any basic model of a conventional range, conventional cooking top, or 
conventional oven which is designed to operate using only natural gas as 
the energy source must be tested with natural gas. Any basic model of a 
conventional range, conventional cooking top, or conventional oven which 
is designed to operate using only LP gas as the gas energy source must 
be tested with propane gas.
    2.3 Air circulation. Maintain air circulation in the room sufficient 
to secure a reasonably uniform temperature distribution, but do not 
cause a direct draft on the unit under test.
    2.4 Setting the conventional oven thermostat.
    2.4.1 Conventional electric oven. Install a thermocouple 
approximately in the center of the usable baking space. Provide a 
temperature indicator system for measuring the oven's temperature with 
an accuracy as indicated in Section 2.9.3.2. If the oven thermostat does 
not cycle on and off, adjust or determine the conventional electric oven 
thermostat setting to provide an average internal temperature which is 
325[deg]5 [deg]F (180.6[deg] 2.8 [deg]C) higher than the room ambient air 
temperature. If the oven thermostat operates by cycling on and off, 
adjust or determine the conventional electric oven thermostat setting to 
provide an average internal temperature which is 325[deg] 5 [deg]F (180.6[deg]2.8 [deg]C) 
higher than the room ambient air temperature. This shall be done by 
measuring the maximum and minimum temperatures in any three consecutive 
cut-off/cut-on actions of the electric resistance heaters, excluding the 
initial cut-off/cut-on action, by the thermostat after the temperature 
rise of 325[deg]5 [deg]F

[[Page 200]]

(180.6[deg] 2.8 [deg]C) has been attained by the 
conventional electric oven. Remove the thermocouple after the thermostat 
has been set.
    2.4.2 Conventional gas oven. Install five parallel-connected 
weighted thermocouples, one located at the center of the conventional 
gas oven's usable baking space and the other four equally spaced between 
the center and the corners of the conventional gas oven on the diagonals 
of a horizontal plane through the center of the conventional gas oven. 
Each weighted thermocouple shall be constructed of a copper disc that is 
1-inch (25.4 mm) in diameter and \1/8\-inch (3.2 mm) thick. The two 
thermocouple wires shall be located in two holes in the disc spaced \1/
2\-inch (12.7 mm) apart, with each hole being located \1/4\-inch (6.4 
mm) from the center of the disc. Both thermocouple wires shall be 
silver-soldered to the copper disc. Provide a temperature indicator 
system for measuring the oven's temperature with an accuracy as 
indicated in Section 2.9.3.2. If the oven thermostat does not cycle on 
or off, adjust or determine the conventional gas oven thermostat setting 
to provide an average internal temperature which is 325 [deg]5 [deg]F (180.6 [deg]2.8 [deg]C) 
higher than the room ambient air temperature. If the oven thermostat 
operates by cycling on and off, adjust or determine the conventional gas 
oven thermostat setting to provide an average internal temperature which 
is 325[deg]5 [deg]F (180.62.8 [deg]C) higher than the room ambient air 
temperature. This shall be done by measuring the maximum and minimum 
temperatures in any three consecutive cut-off/cut-on actions of the gas 
burners, excluding the initial cut-off/cut-on action, by the thermostat 
after the temperature rise of 325[deg]5 [deg]F 
(180.6 [deg]2.8 [deg]C) has been attained by the 
conventional gas oven. Remove the thermocouples after the thermostat has 
been set.
    2.5 Ambient room air temperature. During the test, maintain an 
ambient room air temperature, TR, of 77[deg]9 [deg]F (25[deg]5 [deg]C) for 
conventional ovens and cooking tops, or as indicated in Section 4, 
Paragraph 12.4 of IEC 705 Amendment 2 for microwave ovens, as measured 
at least 5 feet (1.5 m) and not more than 8 feet (2.4 m) from the 
nearest surface of the unit under test and approximately 3 feet (0.9 m) 
above the floor. The temperature shall be measured with a thermometer or 
temperature indicating system with an accuracy as specified in Section 
2.9.3.1.
    2.6 Normal nonoperating temperature. All areas of the appliance to 
be tested shall attain the normal nonoperating temperature, as defined 
in Section 1.6, before any testing begins. The equipment for measuring 
the applicable normal nonoperating temperature shall be as described in 
Sections 2.9.3.1, 2.9.3.2, 2.9.3.3, 2.9.3.4, and 2.9.3.5, as applicable.
    2.7 Test blocks for conventional oven and cooking top. The test 
blocks shall be made of aluminum alloy No. 6061, with a specific heat of 
0.23 Btu/lb- [deg]F (0.96 kJ/[kg / [deg]C]) and with any temper that 
will give a czoefficient of thermal conductivity of 1073.3 to 1189.1 
Btu-in/h-ft\2\- [deg]F (154.8 to 171.5 W/[m / [deg]C]). Each block shall 
have a hole at its top. The hole shall be 0.08 inch (2.03 mm) in 
diameter and 0.80 inch (20.3 mm) deep. The manufacturer conducting the 
test may provide other means which will ensure that the thermocouple 
junction is installed at this same position and depth.
    The bottom of each block shall be flat to within 0.002 inch (0.051 
mm) TIR (total indicator reading). Determine the actual weight of each 
test block with a scale with an accuracy as indicated in Section 2.9.5.
    2.7.1 Conventional oven test block. The test block for the 
conventional oven, W1, shall be 6.250.05 inches (158.81.3 mm) in 
diameter, approximately 2.8 inches (71 mm) high and shall weigh 
8.50.1 lbs (3.860.05 kg). 
The block shall be finished with an anodic black coating which has a 
minimum thickness of 0.001 inch (0.025 mm) or with a finish having the 
equivalent absorptivity.
    2.7.2 Small test block for conventional cooking top. The small test 
block, W2, shall be 6.250.05 inches 
(158.81.3 mm) in diameter, approximately 2.8 
inches (71 mm) high and shall weigh 8.50.1 lbs 
(3.860.05 kg).
    2.7.3 Large test block for conventional cooking top. The large test 
block for the conventional cooking top, W3, shall be 90.05 inches (228.61.3 mm) in 
diameter, approximately 3.0 inches (76 mm) high and shall weigh 190.1 lbs (8.620.05 kg).
    2.7.4 Thermocouple installation. Install the thermocouple such that 
the thermocouple junction (where the thermocouple contacts the test 
block) is at the bottom of the hole provided in the test block and that 
the thermocouple junction makes good thermal contact with the aluminum 
block. If the test blocks are to be water cooled between tests the 
thermocouple hole should be sealed, or other steps taken, to insure that 
the thermocouple hole is completely dry at the start of the next test. 
Provide a temperature indicator system for measuring the test block 
temperature with an accuracy as indicated in Section 2.9.3.3.
    2.7.5 Initial test block temperature. Maintain the initial 
temperature of the test blocks, TI, within 4 [deg]F (2.2 [deg]C) of the 
ambient room air temperature as specified in Section 2.5. If the test 
block has been cooled (or heated) to bring it to room temperature, allow 
the block to stabilize for at least 2 minutes after removal from the 
cooling (or heating) source, before measuring its initial temperature.
    2.8 Microwave oven test load.
    2.8.1 Test container. The test container shall be as specified in 
Section 4, Paragraph 12.2 of IEC 705 Amendment 2.

[[Page 201]]

    2.8.2 Test water load. The test water load shall be as specified in 
Section 4, Paragraph 12.1 of IEC 705 Amendment 2.
    2.8.2.1 Test water load and test container temperature. Before the 
start of the test, the oven and the test container shall be at ambient 
temperature as specified in Section 4, Paragraph 12.4 of IEC 705 
Amendment 2. The test water load shall be contained in a chiller (not 
the test container) and maintained at 18[deg] 1.8 
[deg]F (10[deg] 1 [deg]C) below the ambient room 
temperature.
    2.9 Instrumentation. Perform all test measurements using the 
following instruments, as appropriate:
    2.9.1 Electrical Measurements.
    2.9.1.1 Watt-hour meter. The watt-hour meter for measuring the 
electrical energy consumption of conventional ovens and cooking tops 
shall have a resolution of 1 watt-hour (3.6 kJ) or less and a maximum 
error no greater than 1.5 percent of the measured value for any demand 
greater than 100 watts. The watt-hour meter for measuring the energy 
consumption of microwave ovens shall have a resolution of 0.1 watt-hour 
(0.36 kJ) or less and a maximum error no greater than 1.5 percent of the 
measured value.
    2.9.1.2 Watt meter. The watt meter used to measure the conventional 
oven, conventional range, range clock power or the power input of the 
microwave oven shall have a resolution of 0.2 watt (0.2 J/s) or less and 
a maximum error no greater than 5 percent of the measured value.
    2.9.2 Gas Measurements.
    2.9.2.1 Positive displacement meters. The gas meter to be used for 
measuring the gas consumed by the gas burners of the oven or cooking top 
shall have a resolution of 0.01 cubic foot (0.28 L) or less and a 
maximum error no greater than 1 percent of the measured value for any 
demand greater than 2.2 cubic feet per hour (62.3 L/h). If a positive 
displacement gas meter is used for measuring the gas consumed by the 
pilot lights, it shall have a resolution of at least 0.01 cubic foot 
(0.28 L) or less and have a maximum error no greater than 2 percent of 
the measured value.
    2.9.2.2 Flow meter. If a gas flow meter is used for measuring the 
gas consumed by the pilot lights, it shall be calibrated to have a 
maximum error no greater than 1.5 percent of the measured value and a 
resolution of 1 percent or less of the measured value.
    2.9.3 Temperature measurement equipment.
    2.9.3.1 Room temperature indicating system. The room temperature 
indicating system shall be as specified in Section 4, Paragraph 12.3 of 
IEC 705 Amendment 2 for microwave ovens and Section 2.9.3.5 for ranges, 
ovens and cooktops.
    2.9.3.2 Temperature indicator system for measuring conventional oven 
temperature. The equipment for measuring the conventional oven 
temperature shall have an error no greater than 4 
[deg]F (2.2 [deg]C) over the range of 65[deg] to 
500 [deg]F (18 [deg]C to 260 [deg]C).
    2.9.3.3 Temperature indicator system for measuring test block 
temperature. The system shall have an error no greater than 2 [deg]F (1.1 [deg]C) when 
measuring specific temperatures over the range of 65[deg] to 330 [deg]F 
(18.3 [deg]C to 165.6 [deg]C). It shall also have an error no greater 
than 2 [deg]F (1.1 [deg]C) 
when measuring any temperature difference up to 240 [deg]F (133.3 
[deg]C) within the above range.
    2.9.3.4 Test load temperatures. The thermometer or other temperature 
measuring instrument used to measure the test water load temperature 
shall be as specified in Section 4, Paragraph 12.3 of IEC 705 Amendment 
2. Use only one thermometer or other temperature measuring device 
throughout the entire test procedure.
    2.9.3.5 Temperature indicator system for measuring surface 
temperatures. The temperature of any surface of an appliance shall be 
measured by means of a thermocouple in firm contact with the surface. 
The temperature indicating system shall have an error no greater than 
1 [deg]F (0.6[deg]C) over 
the range 65[deg] to 90 [deg]F (18 [deg]C to 32 [deg]C).
    2.9.4 Heating Value. The heating value of the natural gas or propane 
shall be measured with an instrument and associated readout device that 
has a maximum error no greater than 0.5% of the 
measured value and a resolution of 0.2% or less of 
the full scale reading of the indicator instrument. The heating value of 
natural gas or propane must be corrected for local temperature and 
pressure conditions.
    2.9.5 Scale. The scale used for weighing the test blocks shall have 
a maximum error no greater than 1 ounce (28.4 g). The scale used for 
weighing the microwave oven test water load shall be as specified in 
Section 4, paragraph 12.3 of IEC 705 Amendment 2.

                    3. Test Methods and Measurements

    3.1 Test methods.
    3.1.1 Conventional oven. Perform a test by establishing the testing 
conditions set forth in Section 2, ``TEST CONDITIONS,'' of this 
Appendix, and adjust any pilot lights of a conventional gas oven in 
accordance with the manufacturer's instructions and turn off the gas 
flow to the conventional cooking top, if so equipped. Before beginning 
the test, the conventional oven shall be at its normal nonoperating 
temperature as defined in Section 1.6 and described in Section 2.6. Set 
the conventional oven test block W1 approximately in the 
center of the usable baking space. If there is a selector switch for 
selecting the mode of operation of the oven, set it for normal baking. 
If an oven permits baking by either forced convection by using a fan, or 
without forced convection, the oven is to be tested in each of those two 
modes. The oven shall remain on for at least one complete

[[Page 202]]

thermostat ``cut-off/cut-on'' of the electrical resistance heaters or 
gas burners after the test block temperature has increased 234 [deg]F 
(130 [deg]C) above its initial temperature.
    3.1.1.1 Self-cleaning operation of a conventional oven. Establish 
the test conditions set forth in Section 2, ``TEST CONDITIONS,'' of this 
Appendix. Adjust any pilot lights of a conventional gas oven in 
accordance with the manufacturer's instructions and turn off the gas 
flow to the conventional cooking top. The temperature of the 
conventional oven shall be its normal nonoperating temperature as 
defined in Section 1.6 and described in Section 2.6. Then set the 
conventional oven's self-cleaning process in accordance with the 
manufacturer's instructions. If the self-cleaning process is adjustable, 
use the average time recommended by the manufacturer for a moderately 
soiled oven.
    3.1.1.2 Continuously burning pilot lights of a conventional gas 
oven. Establish the test conditions set forth in Section 2, ``TEST 
CONDITIONS,'' of this Appendix. Adjust any pilot lights of a 
conventional gas oven in accordance with the manufacturer's instructions 
and turn off the gas flow to the conventional cooking top. If a positive 
displacement gas meter is used the, test duration shall be sufficient to 
measure a gas consumption which is at least 200 times the resolution of 
the gas meter.
    3.1.2 Conventional cooking top. Establish the test conditions set 
forth in Section 2, ``TEST CONDITIONS,'' of this Appendix. Adjust any 
pilot lights of a conventional gas cooking top in accordance with the 
manufacturer's instructions and turn off the gas flow to the 
conventional oven(s), if so equipped. The temperature of the 
conventional cooking top shall be its normal nonoperating temperature as 
defined in Section 1.6 and described in Section 2.6. Set the test block 
in the center of the surface unit under test. The small test block, 
W2, shall be used on electric surface units of 7 inches (178 
mm) or less in diameter. The large test block, W3, shall be 
used on electric surface units over 7 inches (177.8 mm) in diameter and 
on all gas surface units. Turn on the surface unit under test and set 
its energy input rate to the maximum setting. When the test block 
reaches 144 [deg]F (80 [deg]C) above its initial test block temperature, 
immediately reduce the energy input rate to 255 
percent of the maximum energy input rate. After 150.1 minutes at the reduced energy setting, turn off the 
surface unit under test.
    3.1.2.1 Continuously burning pilot lights of a conventional gas 
cooking top. Establish the test conditions set forth in Section 2, 
``TEST CONDITIONS,'' of this Appendix. Adjust any pilot lights of a 
conventional gas cooking top in accordance with the manufacturer's 
instructions and turn off the gas flow to the conventional oven(s). If a 
positive displacement gas meter is used, the test duration shall be 
sufficient to measure a gas consumption which is at least 200 times the 
resolution of the gas meter.
    3.1.3 Microwave oven.
    3.1.3.1 Microwave oven test energy or power output. Establish the 
testing conditions set forth in Section 2, ``TEST CONDITIONS,'' of this 
Appendix. Follow the test procedure as specified in Section 4, Paragraph 
12.4 of IEC 705 Amendment 2.
    3.2 Test measurements.
    3.2.1 Conventional oven test energy consumption. If the oven 
thermostat controls the oven temperature without cycling on and off, 
measure the energy consumed, EO, when the temperature of the 
block reaches TO (TO is 234 [deg]F (130 [deg]C) 
above the initial block temperature, TI). If the oven 
thermostat operates by cycling on and off, make the following series of 
measurements: Measure the block temperature, TA, and the 
energy consumed, EA, or volume of gas consumed, 
VA, at the end of the last ``ON'' period of the conventional 
oven before the block reaches TO. Measure the block 
temperature, TB, and the energy consumed, EB, or 
volume of gas consumed, VB, at the beginning of the next 
``ON'' period. Measure the block temperature, TC, and the 
energy consumed, EC, or volume of gas consumed, 
VC, at the end of that ``ON'' period. Measure the block 
temperature, TD, and the energy consumed, ED, or 
volume of gas consumed, VD, at the beginning of the following 
``ON'' period. Energy measurements for EO, EA, 
EB, EC and ED, should be expressed in 
watt-hours (kJ) for conventional electric ovens and volume measurements 
for VA, VB, VC and VD should 
be expressed in standard cubic feet (L) of gas for conventional gas 
ovens. For a gas oven, measure in watt-hours (kJ) any electrical energy, 
EIO, consumed by an ignition device or other electrical 
components required for the operation of a conventional gas oven while 
heating the test block to TO. The energy consumed by a 
continuously operating clock that is an integral part of the timing or 
temperature control circuit and cannot be disconnected during the test 
may be subtracted from the oven test energy to obtain the test energy 
consumption, EO or EIO.
    3.2.1.1 Conventional oven average test energy consumption. If the 
conventional oven permits baking by either forced convection or without 
forced convection and the oven thermostat does not cycle on and off, 
measure the energy consumed with the forced convection mode, 
(EO)1, and without the forced convection mode, 
(EO)2, when the temperature of the block reaches 
TO (TO is 234 [deg]F (130 [deg]C) above the 
initial block temperature, TI). If the conventional oven 
permits baking by either forced convection or without forced convection 
and the oven thermostat operates by cycling on and off, make the 
following series of measurements with and without the forced convection 
mode: Measure the block

[[Page 203]]

temperature, TA, and the energy consumed, EA, or 
volume of gas consumed, VA, at the end of the last ``ON'' 
period of the conventional oven before the block reaches TO. 
Measure the block temperature, TB, and the energy consumed, 
EB, or volume of gas consumed, VB, at the 
beginning of the next ``ON'' period. Measure the block temperature, 
TC, and the energy consumed, EC, or volume of gas 
consumed, VC, at the end of that ``ON'' period. Measure the 
block temperature, TD, and the energy consumed, 
ED, or volume of gas consumed, VD, at the 
beginning of the following ``ON'' period. Energy measurements for 
EO, EA, EB, EC and 
ED should be expressed in watt-hours (kJ) for conventional 
electric ovens and volume measurements for VA, VB, 
VC and VD should be expressed in standard cubic 
feet (L) of gas for conventional gas ovens. For a gas oven that can be 
operated with or without forced convection, measure in watt-hours (kJ) 
any electrical energy consumed by an ignition device or other electrical 
components required for the operation of a conventional gas oven while 
heating the test block to TO using the forced convection 
mode, (EIO)1, and without using the forced 
convection mode, (EIO)2. The energy consumed by a 
continuously operating clock that is an integral part of the timing or 
temperature control circuit and cannot be disconnected during the test 
may be subtracted from the oven test energy to obtain the test energy 
consumption, (EO)1 and (EO)2 
or (EIO)1 and (EIO)2.
    3.2.1.2 Energy consumption of self-cleaning operation. Measure the 
energy consumption, ES, in watt-hours (kJ) of electricity or 
the volume of gas consumption, VS, in standard cubic feet (L) 
during the self-cleaning test set forth in Section 3.1.1.1. For a gas 
oven, also measure in watt-hours (kJ) any electrical energy, 
EIS, consumed by ignition devices or other electrical 
components required during the self-cleaning test. The energy consumed 
by a continuously operating clock that is an integral part of the timing 
or temperature control circuit and cannot be disconnected during the 
test may be subtracted from the self-cleaning test energy to obtain the 
energy consumption, ES or EIS
    3.2.1.3 Gas consumption of continuously burning pilot lights. 
Measure the gas consumption of the pilot lights, VOP, in 
standard cubic feet (L) of gas and the test duration, tOP, in 
hours for the test set forth in Section 3.1.1.2. If a gas flow rate 
meter is used, measure the flow rate, QOP, in standard cubic 
feet per hour (L/h).
    3.2.1.4 Clock power. If the conventional oven or conventional range 
includes an electric clock which is on continuously, and the power 
rating in watts (J/s) of this feature is not known, measure the clock 
power, PCL, in watts (J/s.) The power rating or measurement 
of continuously operating clocks, that are an integral part of the 
timing or temperature control circuits and cannot be disconnected during 
testing, shall be multiplied by the applicable test period to calculate 
the clock energy consumption, in watt-hours (kJ), during a test. The 
energy consumed by the clock during the test may then be subtracted from 
the test energy to obtain the specified test energy consumption value.
    3.2.2 Conventional surface unit test energy consumption. For the 
surface unit under test, measure the energy consumption, ECT, 
in watt-hours (kJ) of electricity or the volume of gas consumption, 
VCT, in standard cubic feet (L) of gas and the test block 
temperature, TCT, at the end of the 15 minute (reduced input 
setting) test interval for the test specified in Section 3.1.2 and the 
total time, tCT, in hours, that the unit is under test. 
Measure any electrical energy, EIC, consumed by an ignition 
device of a gas heating element in watt-hours (kJ). The energy consumed 
by a continuously operating clock that is an integral part of the timing 
or temperature control circuit and cannot be disconnected during the 
test may be subtracted from the cooktop test energy to obtain the test 
energy consumption, ECT or EIC.
    3.2.2.1 Gas consumption of continuously burning pilot lights. If the 
conventional gas cooking top under test has one or more continuously 
burning pilot lights, measure the gas consumed during the test by the 
pilot lights, VCP, in standard cubic feet (L) of gas, and the 
test duration, tCP, in hours as specified in Section 3.1.2.1. 
If a gas flow rate meter is used, measure the flow rate, QCP, 
in standard cubic feet per hour (L/h).
    3.2.3 Microwave oven test energy consumption and power input. 
Measurements are to be made as specified in Section 4, Paragraphs 12.4 
and 13 of IEC 705 and Amendment 2. Measure the electrical input energy, 
EM, in watt-hours (kJ) consumed by the microwave oven during 
the test. Repeat the tests three times unless the power output value 
resulting from the second measurement is within 1.5% of the value 
obtained from the first measurement as stated in Section 4, Paragraphs 
12.6 of IEC 705 Amendment 2. (See 10 CFR 430.22.)
    3.3 Recorded values.
    3.3.1 Record the test room temperature, TR, at the start 
and end of each range, oven or cooktop test, as determined in Section 
2.5.
    3.3.2 Record measured test block weights W1, 
W2, and W3 in pounds (kg).
    3.3.3 Record the initial temperature, T1, of the test 
block under test.
    3.3.4 For a conventional oven with a thermostat which operates by 
cycling on and off, record the conventional oven test measurements 
TA, EA, TB, EB, 
TC, EC, TD, and ED for 
conventional electric ovens or TA, VA, 
TB, VB, TC, VC, 
TD, and VD for conventional gas ovens. If the 
thermostat controls the oven temperature without cycling on and off, 
record EO. For a gas oven which also uses

[[Page 204]]

electrical energy for the ignition or operation of the oven, also record 
EIO.
    3.3.5 For a conventional oven that can be operated with or without 
forced convection and the oven thermostat controls the oven temperature 
without cycling on and off, measure the energy consumed with the forced 
convection mode, (EO)1, and without the forced 
convection mode, (EO)2. If the conventional oven 
operates with or without forced convection and the thermostat controls 
the oven temperature by cycling on and off, record the conventional oven 
test measurements TA, EA, TB, 
EB, TC, EC, TD, and 
ED for conventional electric ovens or TA, 
VA, TB, VB, TC, 
VC, TD, and VD for conventional gas 
ovens. For a gas oven that can be operated with or without forced 
convection, measure any electrical energy consumed by an ignition device 
or other electrical components used during the forced convection mode, 
(EIO)1, and without using the forced convection 
mode, (EIO)2.
    3.3.6 Record the measured energy consumption, ES, or gas 
consumption, VS, and for a gas oven, any electrical energy, 
EIS, for the test of the self-cleaning operation of a 
conventional oven.
    3.3.7 Record the gas flow rate, QOP; or the gas 
consumption, VOP, and the elapsed time, tOP, that 
any continuously burning pilot lights of a conventional oven are under 
test.
    3.3.8 Record the clock power measurement or rating, PCL, 
in watts (J/s), except for microwave oven tests.
    3.3.9 For the surface unit under test, record the electric energy 
consumption, ECT, or the gas volume consumption, 
VCT, the final test block temperature, TCT, the 
total test time, tCT. For a gas cooking top which uses 
electrical energy for ignition of the burners, also record 
EIC.
    3.3.10 Record the gas flow rate, QCP; or the gas 
consumption, VCP, and the elapsed time, tCP, that 
any continuously burning pilot lights of a conventional gas cooking top 
are under test.
    3.3.11 Record the heating value, Hn, as determined in 
Section 2.2.2.2 for the natural gas supply.
    3.3.12 Record the heating value, Hp, as determined in 
Section 2.2.2.3 for the propane supply.
    3.3.13 Record the electrical input energy and power input, 
EM and PM, for the microwave oven test; the 
initial and final temperature, T1 and T2, of the 
test water load; the mass of the test container before filling with the 
test water load and the mass of the test water load, MC and 
MW respectively; and the measured room temperature, 
T0; as determined in Section 3.2.3.

        4. Calculation of Derived Results From Test Measurements

    4.1 Conventional oven.
    4.1.1 Test energy consumption. For a conventional oven with a 
thermostat which operates by cycling on and off, calculate the test 
energy consumption, EO, expressed in watt-hours (kJ) for 
electric ovens and in Btu's (kJ) for gas ovens, and defined as:
[GRAPHIC] [TIFF OMITTED] TR03OC97.000

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


[[Page 205]]


For gas ovens

Where:

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

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

Where:

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

    The energy consumed by a continuously operating clock that cannot be 
disconnected during the test may be subtracted from the oven test energy 
to obtain the oven test energy consumption, EO.
    4.1.1.1 Average test energy consumption. If the conventional oven 
can be operated with or without forced convection, determine the average 
test energy consumption, EO and EIO, in watt-hours 
(kJ) for electric ovens and Btu's (kJ) for gas ovens using the following 
equations:
[GRAPHIC] [TIFF OMITTED] TR03OC97.003

Where:

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

    The energy consumed by a continuously operating clock that cannot be 
disconnected during the test may be subtracted from the oven test energy 
to obtain the average test energy consumption EO and 
EIO.
    4.1.2 Conventional oven annual energy consumption.
    4.1.2.1. Annual cooking energy consumption.
    4.1.2.1.1. Annual primary energy consumption. Calculate the annual 
primary energy consumption for cooking, ECO, expressed in 
kilowatt-hours (kJ) per year for electric ovens and in Btu's (kJ) per 
year for gas ovens, and defined as:
[GRAPHIC] [TIFF OMITTED] TR03OC97.004

Where:

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

[[Page 206]]

[GRAPHIC] [TIFF OMITTED] TR03OC97.005

Where:

EO=test energy consumption as measured in Section 3.2.1. or 
as calculated in Section 4.1.1 or Section 4.1.1.1.
OO=88.8 kBtu (93,684 kJ) per year, annual useful cooking 
energy output of conventional gas oven.
W1, Cp and TS are the same as defined 
above.

    4.1.2.1.2 Annual secondary energy consumption for cooking of gas 
ovens. Calculate the annual secondary energy consumption for cooking, 
ESO, expressed in kilowatt-hours (kJ) per year and defined 
as:
[GRAPHIC] [TIFF OMITTED] TR03OC97.006

Where:

EIO=electrical test energy consumption as measured in Section 
3.2.1 or as calculated in Section 4.1.1.1.
OO=29.3 kWh (105,480 kJ) per year, annual useful cooking 
energy output.
Ke, W1, Cp, and TS are as 
defined in Section 4.1.2.1.1.

    4.1.2.2 Annual energy consumption of any continuously burning pilot 
lights. Calculate the annual energy consumption of any continuously 
burning pilot lights, EPO, expressed in Btu's (kJ) per year 
and defined as:

EPO=QOPxHx(A-B),

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

Where:

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

    4.1.2.3 Annual conventional oven self-cleaning energy.
    4.1.2.3.1 Annual primary energy consumption. Calculate the annual 
primary energy consumption for conventional oven self-cleaning 
operations, ESC, expressed in kilowatt-hours (kJ) per year 
for electric ovens and in Btu's (kJ) for gas ovens, and defined as:

ESC=ESxSexK, for electric ovens,

Where:

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

or

ESC=VSxHxSg, for gas ovens,

Where:

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

    The energy consumed by a continuously operating clock that cannot be 
disconnected during the self-cleaning test procedure may be subtracted 
from the test energy to obtain the test energy consumption, 
ESC.
    4.1.2.3.2 Annual secondary energy consumption for self-cleaning 
operation of gas ovens. Calculate the annual secondary energy 
consumption for self-cleaning operations of a gas oven, ESS, 
expressed in kilowatt-hours (kJ) per year and defined as:

ESS=EIS x Sg x K,

Where:

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

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

ECL = PCL x A x K,

Where:

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


[[Page 207]]


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

EAO=ECO+ESC+ECL,

Where:

ECO=annual primary cooking energy consumption as determined 
in Section 4.1.2.1.1.
ESC=annual primary self-cleaning energy consumption as 
determined in Section 4.1.2.3.1.
ECL=annual clock energy consumption as determined in Section 
4.1.2.4.

    4.1.2.5.2 Conventional gas oven energy consumption. Calculate the 
total annual gas energy consumption of a conventional gas oven, 
EAOG, expressed in Btu's (kJ) per year and defined as:

EAOG=ECO+ESC+EPO,

Where:

ECO=annual primary cooking energy consumption as determined 
in Section 4.1.2.1.1.
EPO=annual pilot light energy consumption as determined in 
Section 4.1.2.2.
ESC=annual primary self-cleaning energy consumption as 
determined in Section 4.1.2.3.1.

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

EAOE=ESO+ESS+ECL,

Where:

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

    4.1.2.6. Total annual energy consumption of multiple conventional 
ovens. If the cooking appliance includes more than one conventional 
oven, calculate the total annual energy consumption of the conventional 
ovens using the following equations:
    4.1.2.6.1 Conventional electric oven energy consumption. Calculate 
the total annual energy consumption, ETO, in kilowatt-hours (kJ) per 
year and defined as:

ETO = EACO + EASC + ECL,

Where:
[GRAPHIC] [TIFF OMITTED] TR03OC97.008

is the average annual primary energy consumption for cooking,

and where:

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

average annual self-cleaning energy consumption,
Where:

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

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

ETOG = EACO + EASC + ETPO,

Where:

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

Where:

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

and,

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

Where:

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

total energy consumption of any pilot lights,


[[Page 208]]


Where:

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

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

ETOE = EASO + EAAS + ECL,

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

is the average annual secondary energy consumption for cooking,

Where:

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

is the average annual secondary self-cleaning energy consumption,

Where:

n=number of self-cleaning ovens in the basic model.
ESS=annual secondary self-cleaning energy consumption of gas 
ovens as determined in Section 4.1.2.3.2.
ECL=annual clock energy consumption as determined in Section 
4.1.2.4.

    4.1.3 Conventional oven cooking efficiency.
    4.1.3.1 Single conventional oven. Calculate the conventional oven 
cooking efficiency, EffAO, using the following equations:
    For electric ovens:
    [GRAPHIC] [TIFF OMITTED] TR03OC97.015
    
and,
    For gas ovens:
    [GRAPHIC] [TIFF OMITTED] TR03OC97.016
    
Where:

W1=measured weight of test block in pounds (kg).
Cp=0.23 Btu/lb-[deg]F (0.96 kJ/kg/ [deg]C), specific heat of 
test block.
TS=234 [deg]F (130 [deg]C), temperature rise of test block.
EO=test energy consumption as measured in Section 3.2.1 or 
calculated in Section 4.1.1 or Section 4.1.1.1.
Ke=3.412 Btu/Wh (3.6 kJ/Wh), conversion factor for watt-hours 
to Btu's.
EIO=electrical test energy consumption according to Section 
3.2.1 or as calculated in Section 4.1.1.1.

    4.1.3.2 Multiple conventional ovens. If the cooking appliance 
includes more than one conventional oven, calculate the cooking 
efficiency for all of the conventional ovens in the appliance, 
EffTO, using the following equation:
[GRAPHIC] [TIFF OMITTED] TR03OC97.017

Where:

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

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

    For electric ovens,

Where:

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

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

OO=88.8 kBtu (93,684 kJ) per year, annual useful cooking 
energy output.
EAOG=total annual gas energy consumption for conventional gas 
ovens as determined in Section 4.1.2.5.2.
EAOE=total annual electrical energy consumption for 
conventional gas ovens as determined in Section 4.1.2.5.2.
Ke=3,412 Btu/kWh (3,600 kJ/kWh), conversion factor for 
kilowatt-hours to Btu's.

    4.2 Conventional cooking top
    4.2.1 Conventional cooking top cooking efficiency
    4.2.1.1 Electric surface unit cooking efficiency. Calculate the 
cooking efficiency,

[[Page 209]]

EffSU, of the electric surface unit under test, defined as:
[GRAPHIC] [TIFF OMITTED] TR03OC97.020

Where:

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

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

Where:

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

and,

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

Where:

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

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

Where:

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

and
[GRAPHIC] [TIFF OMITTED] TR03OC97.022

(pilot flow in standard cubic feet per hour)

Where:

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

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

Where:

n=number of surface units in the cooking top.
EffSU=the efficiency of each of the surface units, as 
determined according to Section 4.2.1.1 or Section 4.2.1.2.

    4.2.2 Conventional cooking top annual energy consumption.
    4.2.2.1 Conventional electric cooking top energy consumption. 
Calculate the annual energy consumption of an electric cooking top, 
ECA, in kilowatt-hours (kJ) per year, defined as:
[GRAPHIC] [TIFF OMITTED] TR03OC97.024

Where:

OCT=173.1 kWh (623,160 kJ) per year, annual useful cooking 
energy output.
EffCT=conventional cooking top cooking efficiency as defined 
in Section 4.2.1.3.

    4.2.2.2 Conventional gas cooking top
    4.2.2.2.1 Annual cooking energy consumption. Calculate the annual 
energy consumption for cooking, ECC, in Btu's (kJ) per year 
for a gas cooking top, defined as:
[GRAPHIC] [TIFF OMITTED] TR03OC97.025

Where:

OCT=527.6 kBtu (556,618 kJ) per year, annual useful cooking 
energy output.
EffCT=the gas cooking top efficiency as defined in Section 
4.2.1.3.

4.2.2.2.2 Annual energy consumption of any continuously burning gas 
pilots. Calculate the annual energy consumption of any continuously 
burning gas pilot lights of the cooking top, EPC, in Btu's 
(kJ) per year, defined as:

EPC=QCPxAxH,


[[Page 210]]


Where:

QCP=pilot light gas flow rate as measured in Section 3.2.2.1.
A=8,760 hours, the total number of hours in a year.
H=either Hn or Hp, the heating value of the gas 
used in the test as specified in Section 2.2.2.2. and Section 2.2.2.3, 
expressed in Btu's per standard cubic foot (kJ/L) of gas.

    4.2.2.2.3 Total annual energy consumption of a conventional gas 
cooking top. Calculate the total annual energy consumption of a 
conventional gas cooking top, ECA, in Btu's (kJ) per year, 
defined as:

ECA=ECC + EPC,

Where:

ECC=energy consumption for cooking as determined in Section 
4.2.2.2.1.
EPC=annual energy consumption of the pilot lights as 
determined in Section 4.2.2.2.2.

    4.2.3 Conventional cooking top energy factor. Calculate the energy 
factor or ratio of useful cooking energy output for cooking to the total 
energy input, RCT, as follows:
    For an electric cooking top, the energy factor is the same as the 
cooking efficiency as determined according to Section 4.2.1.3.
    For gas cooking tops,
    [GRAPHIC] [TIFF OMITTED] TR03OC97.026
    
Where:

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

    4.3 Combined components. The annual energy consumption of a kitchen 
range, e.g. a cooktop and oven combined, shall be the sum of the annual 
energy consumption of each of its components. The annual energy 
consumption for other combinations of ovens, cooktops and microwaves 
will also be treated as the sum of the annual energy consumption of each 
of its components. The energy factor of a combined component is the sum 
of the annual useful cooking energy output of each component divided by 
the sum of the total annual energy consumption of each component.
    4.4 Microwave oven.
    4.4.1 Microwave oven test energy output. Calculate the microwave 
oven test energy output, ET, in watt-hour's (kJ). The 
calculation is repeated two or three times as required in section 3.2.3. 
The average of the ET's is used for a calculation in section 
4.4.3. For calculations specified in units of energy [watt-hours (kJ)], 
use the equation below:
[GRAPHIC] [TIFF OMITTED] TR03OC97.027

Where:

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

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

Where:

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

4.4.4 Microwave oven cooking efficiency. Calculate the microwave oven 
cooking efficiency, EffMO, as specified in Section four, 
paragraph 14 of IEC 705.
4.4.5 Microwave oven energy factor. Calculate the energy factor or the 
ratio of the useful cooking energy output to total energy input on a 
yearly basis, RMO, defined as:
[GRAPHIC] [TIFF OMITTED] TR03OC97.029

Where:

OM=79.8 kWh (287,280 kJ) per year, annual useful cooking 
energy output.

[[Page 211]]

EMO=annual total energy consumption as determined in Section 
4.4.3.

[62 FR 51981, Oct. 3, 1997]



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

                                 Washers

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

                             1. Definitions

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

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

    1.2 Adaptive water fill control system means a clothes washer water 
fill control system which is capable of automatically adjusting the 
water fill level based on the size or weight of the clothes load placed 
in the clothes container, without allowing or requiring consumer 
intervention and/or actions.
    1.3 Bone-dry means a condition of a load of test cloth which has 
been dried in a dryer at maximum temperature for a minimum of 10 
minutes, removed and weighed before cool down, and then dried again for 
10-minute periods until the final weight change of the load is 1 percent 
or less.
    1.4 Clothes container means the compartment within the clothes 
washer that holds the clothes during operation of the machine.
    1.5 Compact means a clothes washer which has a clothes container 
capacity of less than 1.6 ft\3\ (45 L).
    1.6 Deep rinse cycle means a rinse cycle in which the clothes 
container is filled with water to a selected level and the clothes load 
is rinsed by agitating it or tumbling it through the water.
    1.7 Front-loader clothes washer means a clothes washer which 
sequentially rotates or tumbles portions of the clothes load above the 
water level allowing the clothes load to fall freely back into the 
water. The principal axis of the clothes container is in a horizontal 
plane and the access to the clothes container is through the front of 
the machine.
    1.8 Lockout means that at least one wash/rinse water temperature 
combination is not available in the normal cycle that is available in 
another cycle on the machine.
    1.9 Make-up water means the amount of fresh water needed to 
supplement the amount of stored water pumped from the external laundry 
tub back into the clothes washer when the suds-return feature is 
activated in order to achieve the required water fill level in the 
clothes washer.
    1.10 Modified energy factor means the quotient of the cubic foot (or 
liter) capacity of the clothes container divided by the total clothes 
washer energy consumption per cycle, with such energy consumption 
expressed as the sum of the machine electrical energy consumption, the 
hot water energy consumption, and the energy required for removal of the 
remaining moisture in the wash load.
    1.11 Most energy intensive cycle means the non-normal cycle that 
uses the most energy for a given wash/rinse temperature combination.
    1.12 Non-normal cycle means a cycle other than the normal cycle, but 
does not include any manually selected pre-wash, pre-soak, and extra-
rinse option.
    1.13 Nonwater-heating clothes washer means a clothes washer which 
does not have an internal water heating device to generate hot water.
    1.14 Normal cycle means the cycle recommended by the manufacturer 
for washing cotton and/or linen clothes.
    1.15 Sensor filled means a water fill control which automatically 
terminates the fill when the water reaches an appropriate level in the 
tub.
    1.16 Spray rinse cycle means a rinse cycle in which water is sprayed 
onto the clothes load for a definite period of time without maintaining 
any specific water level in the clothes container.
    1.17 Standard means a clothes washer which has a clothes container 
capacity of 1.6 ft \3\ (45 L) or greater.
    1.18 Suds-return means a feature or option on a clothes washer which 
causes the stored

[[Page 212]]

wash water obtained by utilizing the suds-saver feature to be pumped 
from the external laundry tub back into the clothes washer.
    1.19 Suds-saver means a feature or option on a clothes washer which 
allows the user to store used wash water in an external laundry tub for 
use with subsequent wash loads.
    1.20 Temperature use factor means the percentage of the total number 
of washes a user would wash with a particular wash/rinse temperature 
setting.
    1.21 Thermostatically controlled water valves means clothes washer 
controls that have the ability to sense and adjust the hot and cold 
supply water.
    1.22 Time filled means a water fill control which uses a combination 
of water flow controls in conjunction with time to terminate the water 
fill cycle.
    1.23 Top-loader-horizontal-axis clothes washer means a clothes 
washer which: rotates or tumbles portions of the clothes load above the 
water level allowing the clothes load to fall freely back into the water 
with the principal axis in a horizontal plane and has access to the 
clothes container through the top of the clothes washer.
    1.24 Top-loader-vertical-axis clothes washer means a clothes washer 
that: flexes and oscillates the submerged clothes load through the water 
by means of mechanical agitation or other movement; has a clothes 
container with the principal axis in a vertical plane; and has access to 
the clothes container through the top of the clothes washer.
    1.25 Water consumption factor means the quotient of the total 
weighted per-cycle water consumption divided by the capacity of the 
clothes washer.
    1.26 Water-heating clothes washer means a clothes washer where some 
or all of the hot water for clothes washing is generated by a water 
heating device internal to the clothes washer.

                          2. Testing Conditions

    2.1 Installation. Install the clothes washer in accordance with 
manufacturer's instructions.
    2.2 Electrical energy supply. Maintain the electrical supply at the 
clothes washer terminal block within 2 percent of 120, 120/240 or 120/
208Y volts as applicable to the particular terminal block wiring system 
as specified by the manufacturer. If the clothes washer has a dual 
voltage conversion capability, conduct the test at the highest voltage 
specified by the manufacturer.
    2.3 Supply water. For nonwater-heating clothes washers not equipped 
with thermostatically controlled water valves, the temperature of the 
hot and cold water supply shall be maintained at 100 [deg]F10 [deg]F (37.8 [deg]C5.5 [deg]C). 
For nonwater-heating clothes washers equipped with thermostatically 
controlled water valves, the temperature of the hot water supply shall 
be maintained at 140 [deg]F5 [deg]F (60.0 
[deg]C2.8 [deg]C) and the cold water supply shall 
be maintained at 60 [deg]F5 [deg]F (15.6 
[deg]C2.8 [deg]C). For water-heating clothes 
washers, the temperature of the hot water supply shall be maintained at 
140 [deg]F5 [deg]F (60.0 [deg]C2.8 [deg]C) and the cold water supply shall not exceed 
60 [deg]F (15.6 [deg]C). Water meters shall be installed in both the hot 
and cold water lines to measure water consumption.
    2.3.1 Supply water requirements for water and energy consumption 
testing. For nonwater-heating clothes washers not equipped with 
thermostatically controlled water valves, the temperature of the hot and 
cold water supply shall be maintained at 100[deg] 10 [deg]F (37.8 [deg]C 5.5 
[deg]C). For nonwater-heating clothes washers equipped with 
thermostatically controlled water valves, the temperature of the hot 
water supply shall be maintained at 140 [deg]F 5 
[deg]F (60.0 [deg]C 2.8 [deg]C) and the cold water 
supply shall be maintained at 60 [deg]F 5F[deg] 
(15.6 [deg]C 2.8 [deg]C). For water-heating 
clothes washers, the temperature of the hot water supply shall be 
maintained at 140 [deg]F 5 [deg]F (60.0 [deg]C 
2.8 [deg]C) and the cold water supply shall not 
exceed 60 [deg]F (15.6 [deg]C). Water meters shall be installed in both 
the hot and cold water lines to measure water consumption.
    2.3.2 Supply water requirements for remaining moisture content 
testing. For nonwater-heating clothes washers not equipped with 
thermostatically controlled water valves, the temperature of the hot 
water supply shall be maintained at 140 [deg]F 5 
[deg]F and the cold water supply shall be maintained at 60 [deg]F 5 [deg]F. All other clothes washers shall be connected 
to water supply temperatures as stated in 2.3.1 of this appendix.
    2.4 Water pressure. The static water pressure at the hot and cold 
water inlet connections of the machine shall be maintained during the 
test at 35 pounds per square inch gauge (psig)2.5 
psig (241.3 kPa17.2 kPa). The static water 
pressure for a single water inlet connection shall be maintained during 
the test at 35 psig2.5 psig (241.3 kPa17.2 kPa). Water pressure gauges shall be installed in 
both the hot and cold water lines to measure water pressure.
    2.5 Instrumentation. Perform all test measurements using the 
following instruments, as appropriate:
    2.5.1 Weighing scales.
    2.5.1.1 Weighing scale for test cloth. The scale shall have a 
resolution no larger than 0.2 oz (5.7 g) and a maximum error no greater 
than 0.3 percent of the measured value.
    2.5.1.2 Weighing scale for clothes container capacity measurements. 
The scale should have a resolution no larger than 0.50 lbs (0.23 kg) and 
a maximum error no greater than 0.5 percent of the measured value.
    2.5.2 Watt-hour meter. The watt-hour meter shall have a resolution 
no larger than 1 Wh (3.6 kJ) and a maximum error no greater than 2 
percent of the measured value for any demand greater than 50 Wh (180.0 
kJ).

[[Page 213]]

    2.5.3 Temperature measuring device. The device shall have an error 
no greater than 1 [deg]F (0.6 [deg]C) over the range being measured.
    2.5.4 Water meter. The water meter shall have a resolution no larger 
than 0.1 gallons (0.4 liters) and a maximum error no greater than 2 
percent for all water flow rates from 1 gal/min (3.8 L/min) to 5 gal/min 
(18.9 L/min).
    2.5.5 Water pressure gauge. The water pressure gauge shall have a 
resolution no larger than 1 psig (6.9 kPa) and shall have an error no 
greater than 5 percent of any measured value over the range of 32.5 psig 
(224.1 kPa) to 37.5 psig (258.6 kPa).
    2.6 Test cloths.
    2.6.1 Energy test cloth. The energy test cloth shall be clean and 
consist of the following:
    2.6.1.1 Pure finished bleached cloth, made with a momie or granite 
weave, which is 50 percent cotton and 50 percent polyester and weighs 
5.75 oz/yd \2\ (195.0 g/m \2\) and has 65 ends on the warp and 57 picks 
on the fill.
    2.6.1.2 Cloth material that is 24 in by 36 in (61.0 cm by 91.4 cm) 
and has been hemmed to 22 in by 34 in (55.9 cm by 86.4 cm) before 
washing. The maximum shrinkage after five washes shall not be more than 
four percent on the length and width.
    2.6.1.3 The number of test runs on the same energy test cloth shall 
not exceed 60 test runs. All energy test cloth must be permanently 
marked identifying the lot number of the material. Mixed lots of 
material shall not be used for testing the clothes washers.
    2.6.2 Energy Stuffer Cloth. The energy stuffer cloths shall be made 
from energy test cloth material and shall consist of pieces of material 
that are 12 inches by 12 inches (30.5 cm by 30.5 cm) and have been 
hemmed to 10 inches by 10 inches (25.4 cm by 25.4 cm) before washing. 
The maximum shrinkage after five washes shall not be more than four 
percent on the length and width. The number of test runs on the same 
energy suffer cloth shall not exceed 60 test runs. All energy stuffer 
cloth must be permanently marked identifying the lot number of the 
material. Mixed lots of material shall not be used for testing the 
clothes washers.
    2.7 Composition of test loads.
    2.7.1 Seven pound test load. The seven pound test load shall consist 
of bone-dry energy test cloths which weigh 7 lbs 0.07 lbs (3.18 kg 0.03 kg). 
Adjustments to the test load to achieve the proper weight can be made by 
the use of energy stuffer cloths.
    2.7.2 Three pound test load. The three pound test load shall consist 
of bone-dry energy test cloths which weigh 3 lbs 0.03 lbs (1.36 kg 0.014 kg). 
Adjustments to the test load to achieve the proper weight can be made by 
the use of energy stuffer cloths.
    2.8 Use of test loads.
    2.8.1 For a standard size clothes washer, a seven pound load, as 
described in section 2.7.1, shall be used to test the maximum water fill 
and a three pound test load, as described in section 2.7.2, shall be 
used to test the minimum water fill.
    2.8.2 For a compact size clothes washer, a three pound test load as 
described in section 2.7.2 shall be used to test the maximum and minimum 
water fill levels.
    2.8.3 A vertical-axis clothes washer without adaptive water fill 
control system also shall be tested without a test load for purposes of 
calculating the energy factor.
    2.8.4 The test load sizes to be used to measure remaining moisture 
content (RMC) are specified in section 3.3.2.
    2.8.5 Load the energy test cloths by grasping them in the center, 
shaking them to hang loosely and then dropping them into the clothes 
container prior to activating the clothes washer.
    2.9 Preconditioning. If the clothes washer has not been filled with 
water in the preceding 96 hours, pre-condition it by running it through 
a cold rinse cycle and then draining it to ensure that the hose, pump, 
and sump are filled with water.
    2.10 Wash time (period of agitation or tumble) setting. If the 
maximum available wash time in the normal cycle is greater than 9.75 
minutes, the wash time shall be not less than 9.75 minutes. If the 
maximum available wash time in the normal cycle is less than 9.75 
minutes, the wash time shall be the maximum available wash time.
    2.11 Agitation speed and spin speed settings. Where controls are 
provided for agitation speed and spin speed selections, set them as 
follows:
    2.11.1 For energy and water consumption tests, set at the normal 
cycle settings. If settings at the normal cycle are not offered, set the 
control settings to the maximum speed permitted on the clothes washer.
    2.11.2 For remaining moisture content tests, see section 3.3.

                          3. Test Measurements

    3.1 Clothes container capacity. Measure the entire volume which a 
dry clothes load could occupy within the clothes container during washer 
operation according to sections 3.1.1 through 3.1.5.
    3.1.1 Place the clothes washer in such a position that the uppermost 
edge of the clothes container opening is leveled horizontally, so that 
the container will hold the maximum amount of water.
    3.1.2 Line the inside of the clothes container with 2 mil (0.051 mm) 
plastic sheet. All clothes washer components which occupy space within 
the clothes container and which are recommended for use with the energy 
test cycle shall be in place and shall be lined with 2 mil (0.051 mm) 
plastic sheet to prevent water from entering any void space.
    3.1.3 Record the total weight of the machine before adding water.

[[Page 214]]

    3.1.4 Fill the clothes container manually with either 60 [deg]F 
5 [deg]F (15.6 [deg]C 2.8 
[deg]C) or 100 [deg]F 10 [deg]F (37.8 [deg]C 
5.5 [deg]C) water to its uppermost edge. Measure 
and record the weight of water, W, in pounds.
    3.1.5 The clothes container capacity is calculated as follows:

C=W/d.

where:

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

    3.2 Test cycle. Establish the test conditions set forth in section 2 
of this Appendix.
    3.2.1 A clothes washer that has infinite temperature selections 
shall be tested at the following temperature settings: hottest setting 
available on the machine, hot (a minimum of 140 [deg]F (60.0 [deg]C) and 
a maximum of 145 [deg]F (62.8 [deg]C)), warm (a minimum of 100 [deg]F 
(37.8 [deg]C) and a maximum of 105 [deg]F (40.6 [deg]C)), and coldest 
setting available on the machine. These temperatures must be confirmed 
by measurement using a temperature measuring device. If the measured 
final water temperature is not within the specified range, stop testing, 
adjust the temperature selector accordingly, and repeat the procedure.
    3.2.2 Clothes washers with adaptive water fill control system and/or 
unique temperature selections.
    3.2.2.1 Clothes washers with adaptive water fill control system. 
When testing a clothes washer that has adaptive water fill control, the 
maximum and the minimum test loads as specified in 2.8.1 and 2.8.2 shall 
be used. The amount of water fill shall be determined by the control 
system. If the clothes washer provides consumer selection of variable 
water fill amounts for the adaptive water fill control system, two 
complete sets of tests shall be conducted. The first set of tests shall 
be conducted with the adaptive water fill control system set in the 
setting that will use the greatest amount of energy. The second set of 
tests shall be conducted with the adaptive water fill control system set 
in the setting that will use the smallest amount of energy. Then, the 
results from these two tests shall be averaged to determine the adaptive 
water fill energy consumption value. If a clothes washer with an 
adaptive water fill control system allows consumer selection of manual 
controls as an alternative, both the manual and adaptive modes shall be 
tested and the energy consumption values, ET, ME, 
and DE (if desired), calculated in section 4 for each mode, 
shall be averaged between the manual and adaptive modes.
    3.2.2.2 Clothes washers with multiple warm wash temperature 
combination selections.
    3.2.2.2.1 If a clothes washer's temperature combination selections 
are such that the temperature of each warm wash setting that is above 
the mean warm wash temperature (the mean temperature of the coldest and 
warmest warm settings) is matched by a warm wash setting that is an 
equal distance below the mean, then the energy test shall be conducted 
at the mean warm wash temperature if such a selection is provided, or if 
there is no position on the control that permits selection of the mean 
temperature, the energy test shall be conducted with the temperature 
selection set at the next hotter temperature setting that is available 
above the mean.
    3.2.2.2.2 If the multiple warm wash temperature combination 
selections do not meet criteria in section 3.2.2.2.1, the energy test 
shall be conducted with the temperature selection set at the warm wash 
temperature setting that gives the next higher water temperature than 
the mean temperature of the coldest and warmest warm settings.
    3.2.2.3 Clothes washers with multiple temperature settings within a 
temperature combination selection. When a clothes washer is provided 
with a secondary control that can modify the wash or rinse temperature 
within a temperature combination selection, the secondary control shall 
be set to provide the hottest wash temperature available and the hottest 
rinse temperature available. For instance, when the temperature 
combination selection is set for the middle warm wash temperature and a 
secondary control exists which allows this temperature to be increased 
or decreased, the secondary control shall be set to provide the hottest 
warm wash temperature available for the middle warm wash setting.
    3.2.3 Clothes washers that do not lockout any wash/rinse temperature 
combinations in the normal cycle. Test in the normal cycle all 
temperature combination selections that are required to be tested.
    3.2.3.1 Hot water consumption, cold water consumption, and 
electrical energy consumption at maximum fill. Set the water level 
selector at maximum fill available on the clothes washer, if manually 
controlled, and insert the appropriate test load, if applicable. 
Activate the normal cycle of the clothes washer and also any suds-saver 
switch.
    3.2.3.1.1 For automatic clothes washers, set the wash/rinse 
temperature selector to the hottest temperature combination setting. For 
semi-automatic clothes washers, open the hot water faucet valve 
completely and close the cold water faucet valve completely to achieve 
the hottest temperature combination setting.
    3.2.3.1.2 Measure the electrical energy consumption of the clothes 
washer for the complete cycle.

[[Page 215]]

    3.2.3.1.3 Measure the respective number of gallons (or liters) of 
hot and cold water used to fill the tub for the wash cycle.
    3.2.3.1.4 Measure the respective number of gallons (or liters) of 
hot and cold water used for all deep rinse cycles.
    3.2.3.1.5 Measure the respective gallons (or liters) of hot and cold 
water used for all spray rinse cycles.
    3.2.3.1.6 For non-water-heating automatic clothes washers repeat 
sections 3.2.3.1.3 through 3.2.3.1.5 for each of the other wash/rinse 
temperature selections available that uses heated water and is required 
to be tested. For water-heating clothes washers, repeat sections 
3.2.3.1.2 through 3.2.3.1.5 for each of the other wash/rinse temperature 
selections available that uses heated water and is required to be 
tested. (When calculating water consumption under section 4.3 for any 
machine covered by the previous two sentences, also test the cold wash/
cold rinse selection.) For semi-automatic clothes washers, repeat 
sections 3.2.3.1.3 through 3.2.3.1.5 for the other wash/rinse 
temperature settings in section 6 with the following water faucet valve 
adjustments:

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

    3.2.3.1.7 If the clothes washer is equipped with a suds-saver cycle, 
repeat sections 3.2.3.1.2 to 3.2.3.1.5 with suds-saver switch set to 
suds return for the Warm/Cold temperature setting.
    3.2.3.2 Hot water consumption, cold water consumption, and 
electrical energy consumption with the water level selector at minimum 
fill. Set the water level selector at minimum fill, if manually 
controlled, and insert the appropriate test load, if applicable. 
Activate the normal cycle of the clothes washer and also any suds-saver 
switch. Repeat sections 3.2.3.1.1 through 3.2.3.1.7.
    3.2.3.3 Hot and cold water consumption for clothes washers that 
incorporate a partial fill during the rinse cycle. For clothes washers 
that incorporate a partial fill during the rinse cycle, activate any 
suds-saver switch and operate the clothes washer for the complete normal 
cycle at both the maximum water fill level and the minimum water fill 
level for each of the wash/rinse temperature selections available. 
Measure the respective hot and cold water consumed during the complete 
normal cycle.
    3.2.4 Clothes washers that lockout any wash/rinse temperature 
combinations in the normal cycle. In addition to the normal cycle tests 
in section 3.2.3, perform the following tests on non-normal cycles for 
each wash/rinse temperature combination selection that is locked out in 
the normal cycle.
    3.2.4.1 Set the cycle selector to a non-normal cycle which has the 
wash/rinse temperature combination selection that is locked out. Set the 
water level selector at maximum fill and insert the appropriate test 
load, if applicable. Activate the cycle of the clothes washer and also 
any suds-saver switch. Set the wash/rinse temperature selector to the 
temperature combination setting that is locked out in the normal cycle 
and repeat sections 3.2.3.1.2 through 3.2.3.1.5.
    3.2.4.2 Repeat section 3.2.4.1 under the same temperature 
combination setting for all other untested non-normal cycles on the 
machine that have the wash/rinse temperature combination selection that 
is locked out.
    3.2.4.3 Total the measured hot water consumption of the wash, deep 
rinse, and spray rinse of each non-normal cycle tested in sections 
3.2.4.1 through 3.2.4.2 and compare the total for each cycle. The cycle 
that has the highest hot water consumption shall be the most energy 
intensive cycle for that particular wash/rinse temperature combination 
setting.
    3.2.4.4 Set the water level selector at minimum fill and insert the 
appropriate test load, if applicable. Activate the most energy intensive 
cycle, as determined in section 3.2.4.3, of the clothes washer and also 
any suds-saver switch. Repeat tests as described in section 3.2.4.1.
    3.3 Remaining Moisture Content (RMC).
    3.3.1 The wash temperature shall be the same as the rinse 
temperature for all testing. Cold rinse is the coldest rinse temperature 
available on the machine. Warm rinse is the hottest rinse temperature 
available on the machine.
    3.3.2 Determine the test load as shown in the following table:

------------------------------------------------------------------------
                   Container volume                         Test load
------------------------------------------------------------------------
                                        liter  = <             eq>= <         lb       kg
------------------------------------------------------------------------
0-0.80................................   0-22.7            3.00     1.36
0.80-0.90.............................  22.7-25.5          3.50     1.59
0.90-1.00.............................  25.5-28.3          3.90     1.77
1.00-1.10.............................  28.3-31.1          4.30     1.95
1.10-1.20.............................  31.1-34.0          4.70     2.13
1.20-1.30.............................  34.0-36.8          5.10     2.31
1.30-1.40.............................  36.8-39.6          5.50     2.49
1.40-1.50.............................  39.6-42.5          5.90     2.68
1.50-1.60.............................  42.5-45.3          6.40     2.90
1.60-1.70.............................  45.3-48.1          6.80     3.08
1.70-1.80.............................  48.1-51.0          7.20     3.27
1.80-1.90.............................  51.0-53.8          7.60     3.45
1.90-2.00.............................  53.8-56.6          8.00     3.63
2.00-2.10.............................  56.6-59.5          8.40     3.81
2.10-2.20.............................  59.5-62.3          8.80     3.99
2.20-2.30.............................  62.3-65.1          9.20     4.17
2.30-2.40.............................  65.1-68.0          9.60     4.35
2.40-2.50.............................  68.0-70.8         10.00     4.54

[[Page 216]]

 
2.50-2.60.............................  70.8-73.6         10.50     4.76
2.60-2.70.............................  73.6-76.5         10.90     4.94
2.70-2.80.............................  76.5-79.3         11.30     5.13
2.80-2.90.............................  79.3-82.1         11.70     5.31
2.90-3.00.............................  82.1-85.0         12.10     5.49
3.00-3.10.............................  85.0-87.8         12.50     5.67
3.10-3.20.............................  87.8-90.6         12.90     5.85
3.20-3.30.............................  90.6-93.4         13.30     6.03
3.30-3.40.............................  93.4-96.3         13.70     6.21
3.40-3.50.............................  96.3-99.1         14.10     6.40
3.50-3.60.............................  99.1-101.9        14.60     6.62
3.60-3.70.............................  101.9-104.8       15.00     6.80
3.70-3.80.............................  104.8-107.6       15.40     6.99
------------------------------------------------------------------------
Notes: (1) All test load weights are bone dry weights.
(2) Allowable tolerance on the test load weights are 0.10 lbs (0.05 kg).

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

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

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

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

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

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

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

RMC=0.73xRMCCOLD+0.27xRMCWARM

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

RMC=0.75xRMCmax extraction+0.25xRMCmin extraction

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

        4. Calculation of Derived Results From Test Measurements

    4.1 Energy consumption.
    4.1.1 Per-cycle temperature-weighted hot water consumption for 
maximum and minimum water fill levels. Calculate for the cycle under 
test the per-cycle temperature weighted hot water consumption for the 
maximum water fill level, Vhmax, and for the minimum water 
fill level, Vhmin, expressed in gallons per cycle (or liters 
per cycle) and defined as:

[[Page 217]]

[GRAPHIC] [TIFF OMITTED] TR27AU97.000

where:

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

    For clothes washers equipped with the suds-saver feature:

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

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

X1=1.0
X2=0.0

    4.1.2 Total per-cycle hot water energy consumption for maximum and 
minimum water fill levels. Calculate the total per-cycle hot water 
energy consumption for the maximum water fill level, Emax and 
for the minimum water fill level, Emin, expressed in 
kilowatt-hours per cycle and defined as:

Emax=[VhmaxxTxKxMF]

Emin=[VhminxTxKxMF]

where:

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

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

ET=[EmaxxFmax]+[EminxFmin
]

where:


[[Page 218]]


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

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

where:

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

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

where:

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

and
[GRAPHIC] [TIFF OMITTED] TR27AU97.003

where:

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

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

ME=[EhmaxxFmax]+[EhminxFmin
]

where:

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

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

ETE=ET+ME

where:

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

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

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

where:

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

    4.3 Water consumption.
    4.3.1 Per-cycle temperature-weighted water consumption for maximum 
and minimum water fill levels. To determine these amounts, calculate for 
the cycle under test the per-cycle temperature-weighted total water 
consumption for the maximum water fill level, Qmax, and for 
the minimum water fill level, Qmin,

[[Page 219]]

expressed in gallons per cycle (or liters per cycle) and defined as:
[GRAPHIC] [TIFF OMITTED] TR27AU97.004

where:

Vhi=hot water consumption in gallons per-cycle at maximum 
fill for each wash/rinse temperature combination setting, as provided in 
section 3.4.2.
Vci=total cold water consumption in gallons per-cycle at 
maximum fill for each wash/rinse temperature combination setting, cold 
wash/cold rinse cycle, as provided in section 3.4.2.
TUFi=applicable temperature use factor in section 5 or 6.
n=number of wash/rinse temperature combination settings available to the 
user for the clothes washer under test.
TUFw=temperature use factor for warm wash setting.

    For clothes washers equipped with suds-saver feature:

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

    For clothes washers not equipped with suds-saver feature:

X1=1.0
X2=0.0

and
[GRAPHIC] [TIFF OMITTED] TR27AU97.005

where:

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

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

QT=[QmaxxFmax]+[QminxFmin
]

where:

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

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

WCF=QT/C

where:

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

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

where:


[[Page 220]]


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

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

where:

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

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

    5.1 Clothes washers with discrete temperature selections.
    5.1.1 Five-temperature selection (n=5).

------------------------------------------------------------------------
                                                            Temperature
             Wash/rinse temperature  setting                Use Factor
                                                               (TUF)
------------------------------------------------------------------------
Hot/Warm................................................            0.18
Hot/Cold................................................             .12
Warm/Warm...............................................             .30
Warm/Cold...............................................             .25
Cold/Cold...............................................             .15
------------------------------------------------------------------------

    5.1.2 Four-temperature selection (n=4).

------------------------------------------------------------------------
                                                            Temperature
             Wash/rinse temperature  setting                Use Factor
                                                               (TUF)
------------------------------------------------------------------------
Alternate I:
  Hot/Warm..............................................            0.18
  Hot/Cold..............................................             .12
  Warm/Cold.............................................             .55
  Cold/Cold.............................................             .15
Alternate II:
  Hot/Warm..............................................            0.18
  Hot/Cold..............................................             .12
  Warm/Warm.............................................             .30
  Warm/Cold.............................................             .40
Alternate III:
  Hot/Cold..............................................            0.12
  Warm/Warm.............................................             .18
  Warm/Cold.............................................             .55
  Cold/Cold.............................................             .15
------------------------------------------------------------------------

    5.1.3 Three-temperature selection (n=3).

------------------------------------------------------------------------
                                                            Temperature
             Wash/rinse temperature  setting                Use Factor
                                                               (TUF)
------------------------------------------------------------------------
Alternate I:
  Hot/Warm..............................................            0.30
  Warm/Cold.............................................             .55
  Cold/Cold.............................................             .15
Alternate II:
  Hot/Cold..............................................            0.30
  Warm/Cold.............................................             .55
  Cold/Cold.............................................             .15
Alternate III:
  Hot/Cold..............................................            0.30
  Warm/Warm.............................................             .55
  Cold/Cold.............................................             .15
------------------------------------------------------------------------

    5.1.4 Two-temperature selection (n=2).

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

    5.1.5 One-temperature selection (n=1).

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

    5.2 Clothes washers with infinite temperature selections.

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

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

    6.1 Six-temperature settings (n=6).

------------------------------------------------------------------------
                                                            Temperature
             Wash/rinse temperature  setting                Use Factor
                                                               (TUF)
------------------------------------------------------------------------
Hot/Hot.................................................            0.15
Hot/Warm................................................             .09
Hot/Cold................................................             .06
Warm/Warm...............................................             .42
Warm/Cold...............................................             .13
Cold/Cold...............................................             .15
------------------------------------------------------------------------

                      7. Waivers and Field Testing

    7.1 Waivers and Field Testing for Non-conventional Clothes Washers. 
Manufacturers of non-conventional clothes washers, such as clothes 
washers with adaptive control systems, must submit a petition for waiver 
pursuant to 10 CFR 430.27 to establish an acceptable test procedure for 
that clothes washer. For these and other clothes washers that have 
controls or systems such that the DOE test procedures yield results that 
are so unrepresentative of the clothes washer's true energy consumption 
characteristics as to provide materially inaccurate comparative

[[Page 221]]

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

Ax(D/B)=G kWh per year

    7.3 Adaptive water fill control system field test. Section 3.2.2.1 
defines the test method for measuring energy consumption for clothes 
washers which incorporate control systems having both adaptive and 
alternate manual selections. Energy consumption calculated by the method 
defined in section 3.2.2.1 assumes the adaptive cycle will be used 50 
percent of the time. This section can be used to develop field test data 
in support of a petition for waiver when it is believed that the 
adaptive cycle will be used more than 50 percent of the time. The field 
test sample size should be a minimum of 10 test clothes washers. The 
test clothes washers should be totally representative of the design, 
construction, and control system that will be placed in commerce. The 
duration of field testing in the user's house should be a minimum of 50 
normal test cycles, for each unit. No special instructions as to cycle 
selection or product usage should be given to the field test 
participants, other than inclusion of the product literature pack which 
should be shipped with all units, and instructions regarding filling out 
data collection forms, use of data collection equipment, or basic 
procedural methods. Prior to the test clothes washers being installed in 
the field test locations, baseline data should be developed for all 
field test units by conducting laboratory tests as defined by section 1 
through section 6 of these test procedures to determine the energy 
consumption values. The following data should be measured and recorded 
for each wash load during the test period: wash cycle selected, the mode 
of the clothes washer (adaptive or manual), clothes load dry weight 
(measured after the clothes washer and clothes dryer cycles are 
completed) in pounds, and type of articles in the clothes load (i.e., 
cottons, linens, permanent press, etc.). The wash loads used in 
calculating the in-home percentage split between adaptive and manual 
cycle usage should be only those wash loads which conform to the 
definition of the normal test cycle.
    Calculate:

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

    The percentage weighting factors:

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

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

                                8. Sunset

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

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

[[Page 222]]



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

                                 Washers

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

                       1. Definitions and Symbols

    1.1 Adaptive control system means a clothes washer control system, 
other than an adaptive water fill control system, which is capable of 
automatically adjusting washer operation or washing conditions based on 
characteristics of the clothes load placed in the clothes container, 
without allowing or requiring consumer intervention or actions. The 
automatic adjustments may, for example, include automatic selection, 
modification, or control of any of the following: wash water 
temperature, agitation or tumble cycle time, number of rinse cycles, and 
spin speed. The characteristics of the clothes load, which could trigger 
such adjustments, could, for example, consist of or be indicated by the 
presence of either soil, soap, suds, or any other additive laundering 
substitute or complementary product.
    Note: Appendix J1 does not provide a means for determining the 
energy consumption of a clothes washer with an adaptive control system. 
Therefore, pursuant to 10 CFR 430.27, a waiver must be obtained to 
establish an acceptable test procedure for each such clothes washer.
    1.2 Adaptive water fill control system means a clothes washer water 
fill control system which is capable of automatically adjusting the 
water fill level based on the size or weight of the clothes load placed 
in the clothes container, without allowing or requiring consumer 
intervention or actions.
    1.3 Bone-dry means a condition of a load of test cloth which has 
been dried in a dryer at maximum temperature for a minimum of 10 
minutes, removed and weighed before cool down, and then dried again for 
10 minute periods until the final weight change of the load is 1 percent 
or less.
    1.4 Clothes container means the compartment within the clothes 
washer that holds the clothes during the operation of the machine.
    1.5 Compact means a clothes washer which has a clothes container 
capacity of less than 1.6 ft\3\ (45 L).
    1.6 Deep rinse cycle means a rinse cycle in which the clothes 
container is filled with water to a selected level and the clothes load 
is rinsed by agitating it or tumbling it through the water.
    1.7 Energy test cycle for a basic model means (A) the cycle 
recommended by the manufacturer for washing cotton or linen clothes, and 
includes all wash/rinse temperature selections and water levels offered 
in that cycle, and (B) for each other wash/rinse temperature selection 
or water level available on that basic model, the portion(s) of other 
cycle(s) with that temperature selection or water level that, when 
tested pursuant to these test procedures, will contribute to an accurate 
representation of the energy consumption of the basic model as used by 
consumers. Any cycle under (A) or (B) shall include the agitation/tumble 
operation, spin speed(s), wash times, and rinse times applicable to that 
cycle, including water heating time for water heating clothes washers.
    1.8 Load use factor means the percentage of the total number of wash 
loads that a user would wash a particular size (weight) load.
    1.9 Manual control system means a clothes washer control system 
which requires that the consumer make the choices that determine washer 
operation or washing conditions, such as, for example, wash/rinse 
temperature selections, and wash time before starting the cycle.
    1.10 Manual water fill control system means a clothes washer water 
fill control system which requires the consumer to determine or select 
the water fill level.
    1.11 Modified energy factor means the quotient of the cubic foot (or 
liter) capacity of the clothes container divided by the total clothes 
washer energy consumption per cycle, with such energy consumption 
expressed as the sum of the machine electrical energy consumption, the 
hot water energy consumption, and the energy required for removal of the 
remaining moisture in the wash load.
    1.12 Non-water-heating clothes washer means a clothes washer which 
does not have an internal water heating device to generate hot water.
    1.13 Spray rinse cycle means a rinse cycle in which water is sprayed 
onto the clothes for a period of time without maintaining any specific 
water level in the clothes container.
    1.14 Standard means a clothes washer which has a clothes container 
capacity of 1.6 ft\3\ (45 L) or greater.
    1.15 Temperature use factor means, for a particular wash/rinse 
temperature setting, the percentage of the total number of wash loads 
that an average user would wash with that setting.
    1.16 Thermostatically controlled water valves means clothes washer 
controls that have the ability to sense and adjust the hot and cold 
supply water.
    1.17 Uniformly distributed warm wash temperature selection(s) means 
(A) multiple warm wash selections for which the warm wash water 
temperatures have a linear relationship with all discrete warm wash 
selections when the water temperatures are plotted against equally 
spaced consecutive warm wash selections between the hottest warm

[[Page 223]]

wash and the coldest warm wash. If the warm wash has infinite 
selections, the warm wash water temperature has a linear relationship 
with the distance on the selection device (e.g. dial angle or slide 
movement) between the hottest warm wash and the coldest warm wash. The 
criteria for a linear relationship as specified above is that the 
difference between the actual water temperature at any warm wash 
selection and the point where that temperature is depicted on the 
temperature/selection line formed by connecting the warmest and the 
coldest warm selections is less than 5 percent. In 
all cases, the mean water temperature of the warmest and the coldest 
warm selections must coincide with the mean of the ``hot wash'' (maximum 
wash temperature <=135 [deg]F (57.2 [deg]C)) and ``cold wash'' (minimum 
wash temperature) water temperatures within 3.8 
[deg]F (2.1 [deg]C); or (B) on a clothes washer 
with only one warm wash temperature selection, a warm wash temperature 
selection with a water temperature that coincides with the mean of the 
``hot wash'' (maximum wash temperature <=135 [deg]F (57.2 [deg]C)) and 
``cold wash'' (minimum wash temperature) water temperatures within 
3.8 [deg]F (2.1 [deg]C).
    1.18 Warm wash means all wash temperature selections that are below 
the hottest hot, less than 135 [deg]F (57.2 [deg]C), and above the 
coldest cold temperature selection.
    1.19 Water consumption factor means the quotient of the total 
weighted per-cycle water consumption divided by the cubic foot (or 
liter) capacity of the clothes washer.
    1.20 Water-heating clothes washer means a clothes washer where some 
or all of the hot water for clothes washing is generated by a water 
heating device internal to the clothes washer.
    1.21 Symbol usage. The following identity relationships are provided 
to help clarify the symbology used throughout this procedure.

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

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

Emx=``Electrical Energy Consumption'' for an ``Extra Hot 
Wash'' and ``Maximum Test Load''
Ra=``Hot Water Consumed by Warm Rinse'' for the ``Average 
Test Load''
TUFm=``Temperature Use Factor'' for an ``Extra Hot Wash''
HEmin=``Hot Water Energy Consumption'' for the ``Minimum Test 
Load''
    1.22 Cold rinse means the coldest rinse temperature available on the 
machine (and should be the same rinse temperature selection tested in 
3.7 of this appendix).
    1.23 Warm rinse means the hottest rinse temperature available on the 
machine (and should be the same rinse temperature selection tested in 
3.7 of this appendix).

                          2. Testing Conditions

    2.1 Installation. Install the clothes washer in accordance with 
manufacturer's instructions.
    2.2 Electrical energy supply. Maintain the electrical supply at the 
clothes washer terminal block within 2 percent of 120, 120/240, or 120/
208Y volts as applicable to the particular terminal block wiring system 
and within 2 percent of the nameplate frequency as specified by the 
manufacturer. If the clothes washer has a dual voltage conversion 
capability, conduct test at the highest voltage specified by the 
manufacturer.
    2.3 Supply Water.
    2.3.1 Clothes washers in which electrical energy consumption or 
water energy consumption are affected by the inlet water temperature. 
(For example, water heating clothes washers or clothes washers with 
thermostatically controlled water valves.). The temperature of the hot 
water supply at the water inlets shall not exceed 135 [deg]F (57.2 
[deg]C) and the cold water supply at the water inlets shall not exceed 
60 [deg]F (15.6 [deg]C). A water meter shall be installed in both the 
hot and cold water lines to measure water consumption.
    2.3.2 Clothes washers in which electrical energy consumption and 
water energy consumption are not affected by the inlet water 
temperature. The temperature of the hot water supply shall be maintained 
at 135 [deg]F5 [deg]F (57.2 [deg]C2.8 [deg]C) and the cold water supply shall be 
maintained at 60 [deg]F5 [deg]F (15.6 [deg]C2.8 [deg]C). A water meter shall be installed in both 
the hot and cold water lines to measure water consumption.
    2.4 Water pressure. The static water pressure at the hot and cold 
water inlet connection of the clothes washer shall be maintained at 35 
pounds per square inch gauge (psig) 2.5 psig 
(241.3 kPa17.2 kPa) during

[[Page 224]]

the test. The static water pressure for a single water inlet connection 
shall be maintained at 35 psig2.5 psig (241.3 
kPa17.2 kPa) during the test. A water pressure 
gauge shall be installed in both the hot and cold water lines to measure 
water pressure.
    2.5 Instrumentation. Perform all test measurements using the 
following instruments, as appropriate:
    2.5.1 Weighing scales.
    2.5.1.1 Weighing scale for test cloth. The scale shall have a 
resolution of no larger than 0.2 oz (5.7 g) and a maximum error no 
greater than 0.3 percent of the measured value.
    2.5.1.2 Weighing scale for clothes container capacity measurements. 
The scale should have a resolution no larger than 0.50 lbs (0.23 kg) and 
a maximum error no greater than 0.5 percent of the measured value.
    2.5.2 Watt-hour meter. The watt-hour meter shall have a resolution 
no larger than 1 Wh (3.6 kJ) and a maximum error no greater than 2 
percent of the measured value for any demand greater than 50 Wh (180.0 
kJ).
    2.5.3 Temperature measuring device. The device shall have an error 
no greater than 1 [deg]F (0.6 [deg]C) over the range being measured.
    2.5.4 Water meter. The water meter shall have a resolution no larger 
than 0.1 gallons (0.4 liters) and a maximum error no greater than 2 
percent for the water flow rates being measured.
    2.5.5 Water pressure gauge. The water pressure gauge shall have a 
resolution of 1 pound per square inch gauge (psig) (6.9 kPa) and shall 
have an error no greater than 5 percent of any measured value.
    2.6 Test cloths.
    2.6.1 Energy Test Cloth. The energy test cloth shall be made from 
energy test cloth material, as specified in 2.6.4, that is 24 inches by 
36 inches (61.0 cm by 91.4 cm) and has been hemmed to 22 inches by 34 
inches (55.9 cm by 86.4 cm) before washing. The energy test cloth shall 
be clean and shall not be used for more than 60 test runs (after 
preconditioning as specified in 2.6.3 of this appendix). All energy test 
cloth must be permanently marked identifying the lot number of the 
material. Mixed lots of material shall not be used for testing the 
clothes washers.
    2.6.1.1 The energy test cloth shall not be used for more than 25 
test runs and shall be clean and consist of the following:
    (A) Pure finished bleached cloth, made with a momie or granite 
weave, which is 50 percent cotton and 50 percent polyester and weighs 
5.75 ounces per square yard (195.0 g/m\2\) and has 65 ends on the warp 
and 57 picks on the fill; and
    (B) Cloth material that is 24 inches by 36 inches (61.0 cm by 91.4 
cm) and has been hemmed to 22 inches by 34 inches (55.9 cm by 86.4 cm) 
before washing. The maximum shrinkage after five washes shall not be 
more than four percent on the length and width.
    2.6.1.2 The new test cloths, including energy test cloths and energy 
stuffer cloths, shall be pre-conditioned in a clothes washer in the 
following manner:
    2.6.1.2.1 Wash the test cloth using a commercially available clothes 
washing detergent that is suitable for 135 [deg]F (57.2 [deg]C) wash 
water as recommended by the manufacturer, with the washer set on maximum 
water level. Place detergent in washer and then place the new load to be 
conditioned in the washer. Wash the load for ten minutes in soft water 
(17ppm or less). Wash water is to be hot, and controlled at 135 
[deg]F5 [deg]F (57.2 [deg]C 2.8 [deg]C). Rinse water temperature is to be cold, and 
controlled at 60 [deg]F 5 [deg]F (15.6 [deg]C 
2.8 [deg]C). Rinse the load through a second rinse 
using the same water temperature (if an optional second rinse is 
available on the clothes washer, use it).
    2.6.1.2.2 Dry the load.
    2.6.1.2.3 A final cycle is to be hot water wash with no detergent 
followed by two cold water rinses.
    2.6.1.2.4 Dry the load.
    2.6.2 Energy Stuffer Cloth. The energy stuffer cloth shall be made 
from energy test cloth material, as specified in 2.6.4, and shall 
consist of pieces of material that are 12 inches by 12 inches (30.5 cm 
by 30.5 cm) and have been hemmed to 10 inches by 10 inches (25.4 cm by 
25.4 cm) before washing. The energy stuffer cloth shall be clean and 
shall not be used for more than 60 test runs (after preconditioning as 
specified in 2.6.3 of this appendix). All energy stuffer cloth must be 
permanently marked identifying the lot number of the material. Mixed 
lots of material shall not be used for testing the clothes washers.
    2.6.3 Preconditioning of Test Cloths. The new test cloths, including 
energy test cloths and energy stuffer cloths, shall be pre-conditioned 
in a clothes washer in the following manner:
    2.6.3.1 Perform 5 complete normal wash-rinse-spin cycles, the first 
two with AHAM Standard detergent 2A and the last three without 
detergent. Place the test cloth in a clothes washer set at the maximum 
water level. Wash the load for ten minutes in soft water (17 ppm 
hardness or less) using 6.0 grams per gallon of water of AHAM Standard 
detergent 2A. The wash temperature is to be controlled to 135 [deg]F 
5 [deg]F (57.2 [deg]C 2.8 
[deg]C) and the rinse temperature is to be controlled to 60 [deg]F 
5 [deg]F (15.6 [deg]C 2.8 
[deg]C). Repeat the cycle with detergent and then repeat the cycle three 
additional times without detergent, bone drying the load between cycles 
(total of five wash and rinse cycles).
    2.6.4 Energy test cloth material. The energy test cloths and energy 
stuffer cloths shall be made from fabric meeting the following 
specifications. The material should come from a roll of material with a 
width of approximately 63 inches and approximately 500

[[Page 225]]

yards per roll, however, other sizes maybe used if they fall within the 
specifications.
    2.6.4.1 Nominal fabric type. Pure finished bleached cloth, made with 
a momie or granite weave, which is nominally 50 percent cotton and 50 
percent polyester.
    2.6.4.2 The fabric weight shall be 5.60 ounces per square yard 
(190.0 g/m\2\), 5 percent.
    2.6.4.3 The thread count shall be 61 x 54 per inch (warp x fill), 
2 percent.
    2.6.4.4 The warp yarn and filling yarn shall each have fiber content 
of 50 percent 4 percent cotton, with the balance 
being polyester, and be open end spun, 15/1 5 
percent cotton count blended yarn.
    2.6.4.5 Water repellent finishes, such as fluoropolymer stain 
resistant finishes shall not be applied to the test cloth. The absence 
of such finishes shall be verified by:
    2.6.4.5.1 American Association of Textile Chemists and Colorists 
(AATCC) Test Method 118--1997, Oil Repellency: Hydrocarbon Resistance 
Test (reaffirmed 1997), of each new lot of test cloth (when purchased 
from the mill) to confirm the absence of Scotchguard\TM\ or other water 
repellent finish (required scores of ``D'' across the board).
    2.6.4.5.2 American Association of Textile Chemists and Colorists 
(AATCC) Test Method 79-2000, Absorbency of Bleached Textiles (reaffirmed 
2000), of each new lot of test cloth (when purchased from the mill) to 
confirm the absence of Scotchguard\TM\ or other water repellent finish 
(time to absorb one drop should be on the order of 1 second).
    2.6.4.5.3 The standards listed in 2.6.4.5.1 and 2.6.4.5.2 of this 
appendix which are not otherwise set forth in this part 430 are 
incorporated by reference. The material listed in this paragraph has 
been approved for incorporation by reference by the Director of the 
Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR Part 51. 
Any subsequent amendment to a standard by the standard-setting 
organization will not affect the DOE test procedures unless and until 
amended by DOE. Material is incorporated as it exists on the date of the 
approval and notice of any change in the material will be published in 
the Federal Register. The standards incorporated by reference are the 
American Association of Textile Chemists and Colorists Test Method 118-
1997, Oil Repellency: Hydrocarbon Resistance Test (reaffirmed 1997) and 
Test Method 79-2000, Absorbency of Bleached Textiles (reaffirmed 2000).
    (a) The above standards incorporated by reference are available for 
inspection at:
    (i) National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call 202-741-
6030, or go to: http://www.archives.gov/federal--register/code--of--
federal--regulations/ibr--locations.html.
    (ii) U.S. Department of Energy, Office of Energy Efficiency and 
Renewable Energy, Hearings and Dockets, ``Energy Conservation Program 
for Consumer Products: Clothes Washer Energy Conservation Standards,'' 
Docket No. EE--RM-94-403, Forrestal Building, 1000 Independence Avenue, 
SW, Washington, DC.
    (b) Copies of the above standards incorporated by reference can be 
obtained from the American Association of Textile Chemists and 
Colorists, P.O. Box 1215, Research Triangle Park, NC 27709, telephone 
(919) 549-8141, telefax (919) 549-8933, or electronic mail: 
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 2.6.5 of this appendix.
    2.6.4.6.1 Repeat the Standard Extractor RMC Test in 2.6.5 of this 
appendix three times.
    2.6.4.6.2 An RMC correction curve shall be calculated as specified 
in 2.6.6 of this appendix.
    2.6.5 Standard Extractor RMC Test Procedure. The following procedure 
is used to evaluate the moisture absorption and retention 
characteristics of a lot of test cloth by measuring the RMC in a 
standard extractor at a specified set of conditions. Table 2.6.5 of this 
appendix is the matrix of test conditions. The 500g requirement will 
only be used if a clothes washer design can achieve spin speeds in the 
500g range. When this matrix is repeated 3 times, a total of 48 
extractor RMC test runs are required. For the purpose of the extractor 
RMC test, the test cloths may be used for up to 60 test runs (after 
preconditioning as specified in 2.6.3 of this appendix).

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

    2.6.5.1 The standard extractor RMC tests shall be run in a Bock 
Model 215 extractor (having a basket diameter of 19.5 inches, length of 
12 inches, and volume of 2.1 ft\3\), with a variable speed drive (Bock 
Engineered Products, P.O. Box 5127, Toledo, OH 43611) or an equivalent 
extractor with same basket design (i.e. diameter, length, volume, and 
hole configuration) and variable speed drive.
    2.6.5.2 Test Load. Test cloths shall be preconditioned in accordance 
with 2.6.3 of this appendix. The load size shall be 8.4 lbs., consistent 
with 3.8.1 of this appendix.
    2.6.5.3 Procedure.

[[Page 226]]

    2.6.5.3.1 Record the ``bone-dry'' weight of the test load (WI).
    2.6.5.3.2 Soak the test load for 20 minutes in 10 gallons of soft 
(<17 ppm) water. The entire test load shall be submerged. The water 
temperature shall be 100 [deg]F 5 [deg]F.
    2.6.5.3.3 Remove the test load and allow water to gravity drain off 
of the test cloths. Then manually place the test cloths in the basket of 
the extractor, distributing them evenly by eye. Spin the load at a fixed 
speed corresponding to the intended centripetal acceleration level 
(measured in units of the acceleration of gravity, g) 1 g for the intended time period 5 
seconds.
    2.6.5.3.4 Record the weight of the test load immediately after the 
completion of the extractor spin cycle (WC).
    2.6.5.3.5 Calculate the RMC as (WC-WI)/WI.
    2.6.5.3.6 The RMC of the test load shall be measured at three (3) g 
levels: 100g; 200g; and 350g, using two different spin times at each g 
level: 4 minutes; and 15 minutes. If a clothes washer design can achieve 
spin speeds in the 500g range then the RMC of the test load shall be 
measured at four (4) g levels: 100g; 200g; 350g; and 500g, using two 
different spin times at each g level: 4 minutes; and 15 minutes.
    2.6.5.4 Repeat 2.6.5.3 of this appendix using soft (<17 ppm) water 
at 60 [deg]F 5 [deg]F.
    2.6.6 Calculation of RMC correction curve.
    2.6.6.1 Average the values of 3 test runs and fill in table 2.6.5 of 
this appendix. Perform a linear least-squares fit to relate the standard 
RMC (RMCstandard) values (shown in table 2.6.6.1 of this 
appendix) to the values measured in 2.6.5 of this appendix:
    (RMCcloth): RMCstandard  A * 
RMCcloth + B
Where A and B are coefficients of the linear least-squares fit.

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

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

RMCcorr = A * RMC + B
    2.6.7.2 Substitute RMCcorr values in calculations in 3.8 
of this appendix.
    2.7 Test Load Sizes. Maximum, minimum, and, when required, average 
test load sizes shall be determined using Table 5.1 and the clothes 
container capacity as measured in 3.1.1 through 3.1.5. Test loads shall 
consist of energy test cloths, except that adjustments to the test loads 
to achieve proper weight can be made by the use of energy stuffer cloths 
with no more than 5 stuffer clothes per load.
    2.8 Use of Test Loads. Table 2.8 defines the test load sizes and 
corresponding water fill settings which are to be used when measuring 
water and energy consumptions. Adaptive water fill control system and 
manual water fill control system are defined in section 1 of this 
appendix:

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

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

[[Page 227]]

maximum wash time available in the energy test cycle.
    2.11 Test room temperature for water-heating clothes washers. 
Maintain the test room ambient air temperature at 75 [deg]F5 [deg]F (23.9 [deg]C2.8 [deg]C).

                          3. Test Measurements

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

C=W/d.

where:

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

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

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

 or

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

where:

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

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

[[Page 228]]

The second test shall be conducted with the minimum test load and with 
the adaptive water fill control system set in the setting that will give 
the least energy intensive result. The third test shall be conducted 
with the average test load and with the adaptive water fill control 
system set in the setting that will give the most energy intensive 
result for the given test load. The fourth test shall be conducted with 
the average test load and with the adaptive water fill control system 
set in the setting that will give the least energy intensive result for 
the given test load. The energy and water consumption for the average 
test load and water level, shall be the average of the third and fourth 
tests.
    3.2.3.3 Clothes washers with manual water fill control system. In 
accordance with Table 2.8, the water fill selector shall be set to the 
maximum water level available on the clothes washer for the maximum test 
load size and set to the minimum water level for the minimum test load 
size. The load usage factors which shall be used when calculating energy 
consumption values are defined in Table 4.1.3.

                                        Table 3.2--Test Section Reference
 
 
----------------------------------------------------------------------------------------------------------------
Max. Wash Temp. Available................................   <=135 [deg]F (57.2
                                                                  [deg]C)
                                                             135 [deg]F (57.2
                                                                     [deg]C) \2\
Number of Wash Temp. Selections..........................          1          2  135 [deg]F (57.2 
[deg]C)) for water heating clothes washers only. Water and electrical 
energy consumption shall be measured for each water fill level and/or 
test load size as specified in 3.3.1 through 3.3.3 for the hottest wash 
setting available.
    3.3.1 Maximum test load and water fill. Hot water consumption 
(Hmx), cold water consumption (Cmx), and 
electrical energy consumption (Emx) shall be measured for an 
extra hot wash/cold rinse energy test cycle, with the controls set for 
the maximum water fill level. The maximum test load size is to be used 
and shall be determined per Table 5.1.
    3.3.2 Minimum test load and water fill. Hot water consumption 
(Hmn), cold water consumption (Cmn), and 
electrical energy consumption (Emn) shall be measured for an 
extra hot wash/cold rinse energy test cycle, with the controls set for 
the minimum water fill level. The minimum test load size is to be used 
and shall be determined per Table 5.1.
    3.3.3 Average test load and water fill. For clothes washers with an 
adaptive water fill control system, measure the values for hot water 
consumption (Hma), cold water consumption (Cma), 
and electrical energy consumption (Ema) for an extra hot 
wash/cold rinse energy test cycle, with an average test load size as 
determined per Table 5.1.
    3.4 ``Hot Wash'' (Max Wash Temp<=135 [deg]F (57.2 [deg]C)). Water 
and electrical energy consumption shall be measured for each water fill 
level or test load size as specified in 3.4.1 through 3.4.3 for a 135 
[deg]F (57.2 [deg]C)) wash, if available, or for the hottest selection 
less than 135 [deg]F (57.2 [deg]C)).
    3.4.1 Maximum test load and water fill. Hot water consumption 
(Hhx), cold water consumption (Chx), and 
electrical energy consumption (Ehx) shall be measured for a 
hot wash/cold rinse energy test cycle, with the controls set for the 
maximum water fill level. The maximum test load size is to be used and 
shall be determined per Table 5.1.
    3.4.2 Minimum test load and water fill. Hot water consumption 
(Hhn), cold water consumption (Chn), and 
electrical energy consumption (Ehn) shall be measured for a 
hot wash/cold rinse energy test cycle, with the controls set for the 
minimum water fill level. The minimum test load size is to be used and 
shall be determined per Table 5.1.
    3.4.3 Average test load and water fill. For clothes washers with an 
adaptive water fill control system, measure the values for hot water 
consumption (Hha), cold water consumption (Cha), 
and electrical energy consumption (Eha) for a hot wash/cold 
rinse energy test cycle, with an average test load size as determined 
per Table 5.1.
    3.5 ``Warm Wash.'' Water and electrical energy consumption shall be 
determined for each water fill level and/or test load size as specified 
in 3.5.1 through 3.5.2.3 for the applicable warm water wash 
temperature(s).
    3.5.1 Clothes washers with uniformly distributed warm wash 
temperature selection(s). The reportable values to be used for the warm 
water wash setting shall be the arithmetic average of the measurements 
for the hot and

[[Page 229]]

cold wash selections. This is a calculation only, no testing is 
required.
    3.5.2 Clothes washers that lack uniformly distributed warm wash 
temperature selections. For a clothes washer with fewer than four 
discrete warm wash selections, test all warm wash temperature 
selections. For a clothes washer that offers four or more warm wash 
selections, test at all discrete selections, or test at 25 percent, 50 
percent, and 75 percent positions of the temperature selection device 
between the hottest hot (<=135 [deg]F (57.2 [deg]C)) wash and the 
coldest cold wash. If a selection is not available at the 25, 50 or 75 
percent position, in place of each such unavailable selection use the 
next warmer setting. Each reportable value to be used for the warm water 
wash setting shall be the arithmetic average of all tests conducted 
pursuant to this section.
    3.5.2.1 Maximum test load and water fill. Hot water consumption 
(Hwx), cold water consumption (Cwx), and 
electrical energy consumption (Ewx) shall be measured with 
the controls set for the maximum water fill level. The maximum test load 
size is to be used and shall be determined per Table 5.1.
    3.5.2.2 Minimum test load and water fill. Hot water consumption 
(Hwn), cold water consumption (Cwn), and 
electrical energy consumption (Ewn) shall be measured with 
the controls set for the minimum water fill level. The minimum test load 
size is to be used and shall be determined per Table 5.1.
    3.5.2.3 Average test load and water fill. For clothes washers with 
an adaptive water fill control system, measure the values for hot water 
consumption (Hwa), cold water consumption (Cwa), 
and electrical energy consumption (Ewa) with an average test 
load size as determined per Table 5.1.
    3.6 ``Cold Wash'' (Minimum Wash Temperature Selection). Water and 
electrical energy consumption shall be measured for each water fill 
level or test load size as specified in 3.6.1 through 3.6.3 for the 
coldest wash temperature selection available.
    3.6.1 Maximum test load and water fill. Hot water consumption 
(Hcx), cold water consumption (Ccx), and 
electrical energy consumption (Ecx) shall be measured for a 
cold wash/cold rinse energy test cycle, with the controls set for the 
maximum water fill level. The maximum test load size is to be used and 
shall be determined per Table 5.1.
    3.6.2 Minimum test load and water fill. Hot water consumption 
(Hcn), cold water consumption (Ccn), and 
electrical energy consumption (Ecn) shall be measured for a 
cold wash/cold rinse energy test cycle, with the controls set for the 
minimum water fill level. The minimum test load size is to be used and 
shall be determined per Table 5.1.
    3.6.3 Average test load and water fill. For clothes washers with an 
adaptive water fill control system, measure the values for hot water 
consumption (Hca), cold water consumption (Cca), 
and electrical energy consumption (Eca) for a cold wash/cold 
rinse energy test cycle, with an average test load size as determined 
per Table 5.1.
    3.7 Warm Rinse. Tests in sections 3.7.1 and 3.7.2 shall be conducted 
with the hottest rinse temperature available. If multiple wash 
temperatures are available with the hottest rinse temperature, any 
``warm wash'' temperature may be selected to conduct the tests.
    3.7.1 For the rinse only, measure the amount of hot water consumed 
by the clothes washer including all deep and spray rinses, for the 
maximum (Rx), minimum (Rn), and, if required by 
section 3.5.2.3, average (Ra) test load sizes or water fill 
levels.
    3.7.2 Measure the amount of electrical energy consumed by the 
clothes washer to heat the rinse water only, including all deep and 
spray rinses, for the maximum (ERx), minimum 
(ERn), and, if required by section 3.5.2.3, average 
(ERa), test load sizes or water fill levels.
    3.8 Remaining Moisture Content:
    3.8.1 The wash temperature will be the same as the rinse temperature 
for all testing. Use the maximum test load as defined in Table 5.1 and 
section 3.1 for testing.
    3.8.2 For clothes washers with cold rinse only:
    3.8.2.1 Record the actual `bone dry' weight of the test load 
(WImax), then place the test load in the clothes washer.
    3.8.2.2 Set water level selector to maximum fill.
    3.8.2.3 Run the energy test cycle.
    3.8.2.4 Record the weight of the test load immediately after 
completion of the energy test cycle (WCmax).
    3.8.2.5 Calculate the remaining moisture content of the maximum test 
load, RMCMAX, expressed as a percentage and defined as:

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

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

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

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

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

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

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


[[Page 230]]


where:

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

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

RMC = 0.75xRMCmax extraction+0.25x
 RMCmin extraction

        4. Calculation of Derived Results From Test Measurements

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

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

where:

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

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

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

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

where:

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

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


[[Page 231]]


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

where:

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

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

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

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

where:

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

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

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

where:

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

    4.1.6 Total weighted per-cycle machine electrical energy 
consumption. Calculate the total per cycle load size weighted energy 
consumption, MET, expressed in kilowatt-hours per cycle and 
defined as:

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

where:

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

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

ETE=HET+MET

where:

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

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

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

where:

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

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

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

where:

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


[[Page 232]]


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

WCF=QT / C

where:

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

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

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

where:

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

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

MEF=C/(ETE + DE)

where:

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

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

EF=C/ETE

where:

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

                              5. Test Loads

                                           Table 5.1--Test Load Sizes
----------------------------------------------------------------------------------------------------------------
                     Container volume                         Minimum load      Maximum load      Average load
----------------------------------------------------------------------------------------------------------------
                                             (liter)  = <             thn-eq>= <       lb      (kg)      lb      (kg)      lb      (kg)
----------------------------------------------------------------------------------------------------------------
0-0.8.....................................   0-22.7            3.00     1.36     3.00     1.36     3.00     1.36
0.80-0.90.................................  22.7-25.5          3.00     1.36     3.50     1.59     3.25     1.47
0.90-1.00.................................  25.5-28.3          3.00     1.36     3.90     1.77     3.45     1.56
1.00-1.10.................................  28.3-31.1          3.00     1.36     4.30     1.95     3.65     1.66
1.10-1.20.................................  31.1-34.0          3.00     1.36     4.70     2.13     3.85     1.75
1.20-1.30.................................  34.0-36.8          3.00     1.36     5.10     2.31     4.05     1.84
1.30-1.40.................................  36.8-39.6          3.00     1.36     5.50     2.49     4.25     1.93
1.40-1.50.................................  39.6-42.5          3.00     1.36     5.90     2.68     4.45     2.02
1.50-1.60.................................  42.5-45.3          3.00     1.36     6.40     2.90     4.70     2.13
1.60-1.70.................................  45.3-48.1          3.00     1.36     6.80     3.08     4.90     2.22
1.70-1.80.................................  48.1-51.0          3.00     1.36     7.20     3.27     5.10     2.31
1.80-1.90.................................  51.0-53.8          3.00     1.36     7.60     3.45     5.30     2.40
1.90-2.00.................................  53.8-56.6          3.00     1.36     8.00     3.63     5.50     2.49
2.00-2.10.................................  56.6-59.5          3.00     1.36     8.40     3.81     5.70     2.59
2.10-2.20.................................  59.5-62.3          3.00     1.36     8.80     3.99     5.90     2.68
2.20-2.30.................................  62.3-65.1          3.00     1.36     9.20     4.17     6.10     2.77
2.30-2.40.................................  65.1-68.0          3.00     1.36     9.60     4.35     6.30     2.86
2.40-2.50.................................  68.0-70.8          3.00     1.36    10.00     4.54     6.50     2.95
2.50-2.60.................................  70.8-73.6          3.00     1.36    10.50     4.76     6.75     3.06
2.60-2.70.................................  73.6-76.5          3.00     1.36    10.90     4.94     6.95     3.15
2.70-2.80.................................  76.5-79.3          3.00     1.36    11.30     5.13     7.15     3.24
2.80-2.90.................................  79.3-82.1          3.00     1.36    11.70     5.31     7.35     3.33
2.90-3.00.................................  82.1-85.0          3.00     1.36    12.10     5.49     7.55     3.42
3.00-3.10.................................  85.0-87.8          3.00     1.36    12.50     5.67     7.75     3.52
3.10-3.20.................................  87.8-90.6          3.00     1.36    12.90     5.85     7.95     3.61
3.20-3.30.................................  90.6-93.4          3.00     1.36    13.30     6.03     8.15     3.70
3.30-3.40.................................  93.4-96.3          3.00     1.36    13.70     6.21     8.35     3.79
3.40-3.50.................................  96.3-99.1          3.00     1.36    14.10     6.40     8.55     3.88
3.50-3.60.................................  99.1-101.9         3.00     1.36    14.60     6.62     8.80     3.99
3.60-3.70.................................  101.9-104.8        3.00     1.36    15.00     6.80     9.00     4.08
3.70-3.80.................................  104.8-107.6        3.00     1.36    15.40     6.99     9.20     4.17
----------------------------------------------------------------------------------------------------------------
Notes: (1) All test load weights are bone dry weights.
(2) Allowable tolerance on the test load weights are 0.10 lbs (0.05 kg).


[[Page 233]]

                      6. Waivers and Field Testing

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

Ax(D/B)=G kWh per year

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

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

    The percentage weighting factors:

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

    Energy consumption (HET, MET, and 
DE) and water consumption (QT), values calculated 
in section 4 for the manual and

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adaptive modes, should be combined using Pa and Pm 
as the weighting factors.

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



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



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

                             1. DEFINITIONS

                          2. TESTING CONDITIONS

    2.1 Test room requirements.
    2.2 Test unit installation requirements.
    2.2.1 Defrost control settings.
    2.2.2 Special requirements for units having a multiple-speed outdoor 
fan.
    2.2.3 Special requirements for multi-split air conditioners and heat 
pumps, and systems composed of multiple mini-split units (outdoor units 
located side-by-side) that would normally operate using two or more 
indoor thermostats.
    2.2.4 Wet-bulb temperature requirements for the air entering the 
indoor and outdoor coils.
    2.2.4.1 Cooling mode tests.
    2.2.4.2 Heating mode tests.
    2.2.5 Additional refrigerant charging requirements.
    2.3 Indoor air volume rates.
    2.3.1 Cooling tests.
    2.3.2 Heating tests.
    2.4 Indoor coil inlet and outlet duct connections.
    2.4.1 Outlet plenum for the indoor unit.
    2.4.2 Inlet plenum for the indoor unit.
    2.5 Indoor coil air property measurements and air damper box 
applications.
    2.5.1 Test set-up on the inlet side of the indoor coil: For cases 
where the inlet damper box is installed.
    2.5.1.1 If the section 2.4.2 inlet plenum is installed.
    2.5.1.2 If the section 2.4.2 inlet plenum is not installed.
    2.5.2 Test set-up on the inlet side of the indoor unit: For cases 
where no inlet damper box is installed.
    2.5.3 Indoor coil static pressure difference measurement.
    2.5.4 Test set-up on the outlet side of the indoor coil.
    2.5.4.1 Outlet air damper box placement and requirements.
    2.5.4.2 Procedures to minimize temperature maldistribution.
    2.5.5 Dry bulb temperature measurement.
    2.5.6 Water vapor content measurement.
    2.5.7 Air damper box performance requirements.
    2.6 Airflow measuring apparatus.
    2.7 Electrical voltage supply.
    2.8 Electrical power and energy measurements.
    2.9 Time measurements.
    2.10 Test apparatus for the secondary space conditioning capacity 
measurement.
    2.10.1 Outdoor Air Enthalpy Method.
    2.10.2 Compressor Calibration Method.
    2.10.3 Refrigerant Enthalpy Method.
    2.11 Measurement of test room ambient conditions.
    2.12 Measurement of indoor fan speed.
    2.13 Measurement of barometric pressure.

                          3. TESTING PROCEDURES

    3.1 General Requirements.
    3.1.1 Primary and secondary test methods.
    3.1.2 Manufacturer-provided equipment overrides.
    3.1.3 Airflow through the outdoor coil.
    3.1.4 Airflow through the indoor coil.
    3.1.4.1 Cooling Certified Air Volume Rate.
    3.1.4.1.1 Cooling Certified Air Volume Rate for Ducted Units.
    3.1.4.1.2 Cooling Certified Air Volume Rate for Non-ducted Units.
    3.1.4.2 Cooling Minimum Air Volume Rate.
    3.1.4.3 Cooling Intermediate Air Volume Rate.
    3.1.4.4 Heating Certified Air Volume Rate.
    3.1.4.4.1 Ducted heat pumps where the Heating and Cooling Certified 
Air Volume Rates are the same.
    3.1.4.4.2 Ducted heat pumps where the Heating and Cooling Certified 
Air Volume Rates are different due to indoor fan operation.
    3.1.4.4.3 Ducted heating-only heat pumps.
    3.1.4.4.4 Non-ducted heat pumps, including non-ducted heating-only 
heat pumps.
    3.1.4.5 Heating Minimum Air Volume Rate.
    3.1.4.6 Heating Intermediate Air Volume Rate.
    3.1.4.7 Heating Nominal Air Volume Rate.
    3.1.5 Indoor test room requirement when the air surrounding the 
indoor unit is not supplied from the same source as the air entering the 
indoor unit.
    3.1.6 Air volume rate calculations.
    3.1.7 Test sequence.
    3.1.8 Requirement for the air temperature distribution leaving the 
indoor coil.
    3.1.9 Control of auxiliary resistive heating elements.
    3.2 Cooling mode tests for different types of air conditioners and 
heat pumps.
    3.2.1 Tests for a unit having a single-speed compressor that is 
tested with a fixed-speed indoor fan installed, with a constant-air-
volume-rate indoor fan installed, or with no indoor fan installed.

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    3.2.2 Tests for a unit having a single-speed compressor and a 
variable-speed variable-air-volume-rate indoor fan installed.
    3.2.2.1 Indoor fan capacity modulation that correlates with the 
outdoor dry bulb temperature.
    3.2.2.2 Indoor fan capacity modulation based on adjusting the 
sensible to total (S/T) cooling capacity ratio.
    3.2.3 Tests for a unit having a two-capacity compressor.
    3.2.4 Tests for a unit having a variable-speed compressor.
    3.3 Test procedures for steady-state wet coil cooling mode tests 
(the A, A2, A1, B, B2, B1, 
EV, and F1 Tests).
    3.4 Test procedures for the optional steady-state dry coil cooling 
mode tests (the C, C1, and G1 Tests).
    3.5 Test procedures for the optional cyclic dry coil cooling mode 
tests (the D, D1, and I1 Tests).
    3.5.1 Procedures when testing ducted systems.
    3.5.2 Procedures when testing non-ducted systems.
    3.5.3 Cooling mode cyclic degradation coefficient calculation.
    3.6 Heating mode tests for different types of heat pumps, including 
heating-only heat pumps.
    3.6.1 Tests for a heat pump having a single-speed compressor that is 
tested with a fixed speed indoor fan installed, with a constant-air-
volume-rate indoor fan installed, or with no indoor fan installed.
    3.6.2 Tests for a heat pump having a single-speed compressor and a 
variable-speed, variable-air-volume-rate indoor fan: capacity modulation 
correlates with outdoor dry bulb temperature.
    3.6.3 Tests for a heat pump having a two-capacity compressor (see 
Definition 1.45), including two-capacity, northern heat pumps (see 
Definition 1.46).
    3.6.4 Tests for a heat pump having a variable-speed compressor.
    3.6.5 Additional test for a heat pump having a heat comfort 
controller.
    3.7 Test procedures for steady-state Maximum Temperature and High 
Temperature heating mode tests (the H01, H1, H12, 
H11, and H1N Tests).
    3.8 Test procedures for the optional cyclic heating mode tests (the 
H0C1, H1C, and H1C1 Tests).
    3.8.1 Heating mode cyclic degradation coefficient calculation.
    3.9 Test procedures for Frost Accumulation heating mode tests (the 
H2, H22, H2V, and H21 
Tests).
    3.9.1 Average space heating capacity and electrical power 
calculations.
    3.9.2 Demand defrost credit.
    3.10 Test procedures for steady-state Low Temperature heating mode 
tests (the H3, H32, and H31 Tests).
    3.11 Additional requirements for the secondary test methods.
    3.11.1 If using the Outdoor Air Enthalpy Method as the secondary 
test method.
    3.11.1.1 If a preliminary test precedes the official test
    3.11.1.2 If a preliminary test does not precede the official test.
    3.11.1.3 Official test.
    3.11.2 If using the Compressor Calibration Method as the secondary 
test method.
    3.11.3 If using the Refrigerant Enthalpy Method as the secondary 
test method.
    3.12 Rounding of space conditioning capacities for reporting 
purposes.

           4. CALCULATIONS OF SEASONAL PERFORMANCE DESCRIPTORS

    4.1 Seasonal Energy Efficiency Ratio (SEER) Calculations.
    4.1.1 SEER calculations for an air conditioner or heat pump having a 
single-speed compressor that was tested with a fixed-speed indoor fan 
installed, a constant-air-volume-rate indoor fan installed, or with no 
indoor fan installed.
    4.1.2 SEER calculations for an air conditioner or heat pump having a 
single-speed compressor and a variable-speed variable-air-volume-rate 
indoor fan.
    4.1.2.1 Units covered by section 3.2.2.1 where indoor fan capacity 
modulation correlates with the outdoor dry bulb temperature.
    4.1.2.2 Units covered by section 3.2.2.2 where indoor fan capacity 
modulation is used to adjust the sensible to total cooling capacity 
ratio.
    4.1.3 SEER calculations for an air conditioner or heat pump having a 
two-capacity compressor.
    4.1.3.1 Steady-state space cooling capacity at low compressor 
capacity is greater than or equal to the building cooling load at 
temperature Tj, Qck=1(Tj) 
= BL(Tj).
    4.1.3.2 Unit alternates between high (k=2) and low (k=1) compressor 
capacity to satisfy the building cooling load at temperature 
Tj, Qck=1(Tj) < 
BL(Tj) < Qck=2(Tj).
    4.1.3.3 Unit only operates at high (k=2) compressor capacity at 
temperature Tj and its capacity is greater than the building 
cooling load, BL(Tj) < 
Qck=2(Tj).
    4.1.3.4 Unit must operate continuously at high (k=2) compressor 
capacity at temperature Tj, BL(Tj) = 
Qck=2(Tj).
    4.1.4 SEER calculations for an air conditioner or heat pump having a 
variable-speed compressor.
    4.1.4.1 Steady-state space cooling capacity when operating at 
minimum compressor speed is greater than or equal to the building 
cooling load at temperature Tj, 
Qck=1(Tj) = 
BL(Tj).
    4.1.4.2 Unit operates at an intermediate compressor speed (k=i) in 
order to match the

[[Page 236]]

building cooling load at temperature Tj, 
Qck=1(Tj) < BL(Tj) < 
Qck=2(Tj).
    4.1.4.3 Unit must operate continuously at maximum (k=2) compressor 
speed at temperature Tj, BL(Tj) = 
Qck=2(Tj).
    4.2 Heating Seasonal Performance Factor (HSPF) Calculations.
    4.2.1 Additional steps for calculating the HSPF of a heat pump 
having a single-speed compressor that was tested with a fixed-speed 
indoor fan installed, a constant-air-volume-rate indoor fan installed, 
or with no indoor fan installed.
    4.2.2 Additional steps for calculating the HSPF of a heat pump 
having a single-speed compressor and a variable-speed, variable-air-
volume-rate indoor fan.
    4.2.3 Additional steps for calculating the HSPF of a heat pump 
having a two-capacity compressor.
    4.2.3.1 Steady-state space heating capacity when operating at low 
compressor capacity is greater than or equal to the building heating 
load at temperature Tj, 
Qhk=1(Tj) = 
BL(Tj).
    4.2.3.2 Heat pump alternates between high (k=2) and low (k=1) 
compressor capacity to satisfy the building heating load at a 
temperature Tj, Qhk=1(Tj) BL 
(Tj) < Qhk=2(Tj).
    4.2.3.3 Heat pump only operates at high (k=2) compressor capacity at 
temperature Tj and its capacity is greater than the building 
heating load, BL(Tj) < 
Qhk=2(Tj).
    4.2.3.4 Heat pump must operate continuously at high (k=2) compressor 
capacity at temperature Tj, BL(Tj) = 
Qhk=2(Tj).
    4.2.4 Additional steps for calculating the HSPF of a heat pump 
having a variable-speed compressor.
    4.2.4.1 Steady-state space heating capacity when operating at 
minimum compressor speed is greater than or equal to the building 
heating load at temperature Tj, 
Qhk=1(Tj) = 
BL(Tj).
    4.2.4.2 Heat pump operates at an intermediate compressor speed (k=i) 
in order to match the building heating load at a temperature 
Tj, Qhk=1(Tj) < 
BL(Tj) < Qhk=2(Tj).
    4.2.4.3 Heat pump must operate continuously at maximum (k=2) 
compressor speed at temperature Tj, BL(Tj) 
= Qhk=2(Tj).
    4.2.5 Heat pumps having a heat comfort controller.
    4.2.5.1 Heat pump having a heat comfort controller: Additional steps 
for calculating the HSPF of a heat pump having a single-speed compressor 
that was tested with a fixed-speed indoor fan installed, a constant-air-
volume-rate indoor fan installed, or with no indoor fan installed.
    4.2.5.2 Heat pump having a heat comfort controller: Additional steps 
for calculating the HSPF of a heat pump having a single-speed compressor 
and a variable-speed, variable-air-volume-rate indoor fan.
    4.2.5.3 Heat pumps having a heat comfort controller: Additional 
steps for calculating the HSPF of a heat pump having a two-capacity 
compressor.
    4.2.5.4 Heat pumps having a heat comfort controller: Additional 
steps for calculating the HSPF of a heat pump having a variable-speed 
compressor. [Reserved]
    4.3 Calculations of the Actual and Representative Regional Annual 
Performance Factors for Heat Pumps.
    4.3.1 Calculation of actual regional annual performance factors 
(APFA) for a particular location and for each standardized 
design heating requirement.
    4.3.2 Calculation of representative regional annual performance 
factors (APFR) for each generalized climatic region and for 
each standardized design heating requirement.
    4.4 Rounding of SEER, HSPF, and APF for reporting purposes.

                             1. Definitions

    1.1 Annual performance factor means the total heating and cooling 
done by a heat pump in a particular region in one year divided by the 
total electric energy used in one year. Paragraph (m)(3)(iii) of Sec. 
430.23 of the Code of Federal Regulations states the calculation 
requirements for this rating descriptor.
    1.2 ARI means Air-Conditioning and Refrigeration Institute.
    1.3 ARI Standard 210/240-2006 means the test standard ``Unitary Air-
Conditioning and Air-Source Heat Pump Equipment'' published in 2006 by 
ARI.
    1.4 ASHRAE means the American Society of Heating, Refrigerating and 
Air-Conditioning Engineers, Inc.
    1.5 ASHRAE Standard 23-2005 means the test standard ``Methods of 
Testing for Rating Positive Displacement Refrigerant Compressors and 
Condensing Units'' published in 2005 by ASHRAE.
    1.6 ASHRAE Standard 37-2005 means the test standard ``Methods of 
Testing for Rating Unitary Air-Conditioning and Heat Pump Equipment'' 
published in 2005 by ASHRAE.
    1.7 ASHRAE Standard 41.1-86 (RA 01) means the test standard 
``Standard Method for Temperature Measurement'' published in 1986 and 
reaffirmed in 2001 by ASHRAE.
    1.8 ASHRAE Standard 41.2-87 (RA 92) means the test standard 
``Standard Methods for Laboratory Airflow Measurement'' published in 
1987 and reaffirmed in 1992 by ASHRAE.
    1.9 ASHRAE Standard 41.6-94 (RA 01) means the test standard ``Method 
for Measurement of Moist Air Properties'' published in 1994 and 
reaffirmed in 2001 by ASHRAE.
    1.10 ASHRAE Standard 41.9-00 means the test standard ``Calorimeter 
Test Methods for Mass Flow Measurements of Volatile Refrigerants'' 
published in 2000 by ASHRAE.
    1.11 ASHRAE Standard 51-99/AMCA Standard 210-1999 means the test 
standard

[[Page 237]]

``Laboratory Methods of Testing Fans for Aerodynamic Performance 
Rating'' published in 1999 by ASHRAE and the Air Movement and Control 
Association International, Inc.
    1.12 ASHRAE Standard 116-95 RA(05) means the test standard ``Methods 
of Testing for Rating for Seasonal Efficiency of Unitary Air 
Conditioners and Heat Pumps'' published in 1995 and reaffirmed in 2005 
by ASHRAE.
    1.13 CFR means Code of Federal Regulations.
    1.14 Constant-air-volume-rate indoor fan means a fan that varies its 
operating speed to provide a fixed air-volume-rate from a ducted system.
    1.15 Continuously recorded, when referring to a dry bulb 
measurement, means that the specified temperature must be sampled at 
regular intervals that are equal to or less than the maximum intervals 
specified in section 4.3 part ``a'' of ASHRAE Standard 41.1-86 (RA 01). 
If such dry bulb temperatures are used only for test room control, it 
means that one samples at regular intervals equal to or less than the 
maximum intervals specified in section 4.3 part ``b'' of the same ASHRAE 
Standard. Regarding wet bulb temperature, dew point temperature, or 
relative humidity measurements, continuously recorded means that the 
measurements must be made at regular intervals that are equal to or less 
than 1 minute.
    1.16 Cooling load factor (CLF) means the ratio having as its 
numerator the total cooling delivered during a cyclic operating interval 
consisting of one ON period and one OFF period. The denominator is the 
total cooling that would be delivered, given the same ambient 
conditions, had the unit operated continuously at its steady-state space 
cooling capacity for the same total time (ON + OFF) interval.
    1.17 Coefficient of Performance (COP) means the ratio of the average 
rate of space heating delivered to the average rate of electrical energy 
consumed by the heat pump. These rate quantities must be determined from 
a single test or, if derived via interpolation, must be tied to a single 
set of operating conditions. COP is a dimensionless qu