Jan. 1, 2010 CODE OF FEDERAL REGULATIONS 10 Parts 200 to 499 Revised as of January 1, 2010 Energy Containing a codification of documents of general applicability and future effect As of January 1, 2010 With Ancillaries

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 Table of Contents Page Explanation v Title 10: Chapter II—Department of Energy 3 Finding Aids: Table of CFR Titles and Chapters 673 Alphabetical List of Agencies Appearing in the CFR 693 List of CFR Sections Affected 703

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

The Code of Federal Regulations is a codification of the general and permanent rules published in the Federal Register by the Executive departments and agencies of the Federal Government. The Code is divided into 50 titles which represent broad areas subject to Federal regulation. Each title is divided into chapters which usually bear the name of the issuing agency. Each chapter is further subdivided into parts covering specific regulatory areas.

Each volume of the Code is revised at least once each calendar year and issued on a quarterly basis approximately as follows:

Title 1 through Title 16

as of January 1

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as of April 1

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as of July 1

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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.

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(c) The incorporating document is drafted and submitted for publication in accordance with 1 CFR part 51.

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 CFR INDEXES AND TABULAR GUIDES

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

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Raymond A. Mosley,

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Office of the Federal Register.

January 1, 2010.

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, 2010.

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.

 <LRH>10 CFR Ch. II (1-1-10 Edition)</LRH> <RRH>Department of Energy</RRH> <CFRTITLE> <TITLEHD> <PRTPAGE P="1"/> <HD SOURCE="HED">Title 10—Energy</HD> <P>(This book contains parts 200 to 499)</P> </TITLEHD> <CFRTOC> <PTHD>Part</PTHD> <CHAPTI> <SUBJECT> <E T="04">chapter ii</E>—Department of Energy</SUBJECT> <PG>202</PG> </CHAPTI> </CFRTOC> </CFRTITLE> <CHAPTER> <TOC> <TOCHD> <PRTPAGE P="3"/> <HD SOURCE="HED">CHAPTER II—DEPARTMENT OF ENERGY</HD> </TOCHD> <SUBCHAP> <HD SOURCE="HED">SUBCHAPTER A—OIL</HD> </SUBCHAP> <PTHD>Part</PTHD> <PGHD>Page</PGHD> <CHAPTI> <PT>200-201</PT> <RESERVED>[Reserved]</RESERVED> <PT>202</PT> <SUBJECT>Production or disclosure of material or information</SUBJECT> <PG>5</PG> <PT>205</PT> <SUBJECT>Administrative procedures and sanctions</SUBJECT> <PG>6</PG> <PT>207</PT> <SUBJECT>Collection of information</SUBJECT> <PG>47</PG> <PT>209</PT> <SUBJECT>International voluntary agreements</SUBJECT> <PG>52</PG> <PT>210</PT> <SUBJECT>General allocation and price rules</SUBJECT> <PG>57</PG> <PT>212</PT> <SUBJECT>Mandatory petroleum price regulations</SUBJECT> <PG>64</PG> <PT>215</PT> <SUBJECT>Collection of foreign oil supply agreement information</SUBJECT> <PG>64</PG> <PT>216</PT> <SUBJECT>Materials allocation and priority performance under contracts or orders to maximize domestic energy supplies</SUBJECT> <PG>66</PG> <PT>218</PT> <SUBJECT>Standby mandatory international oil allocation</SUBJECT> <PG>70</PG> <PT>220</PT> <RESERVED>[Reserved]</RESERVED> <PT>221</PT> <SUBJECT>Priority supply of crude oil and petroleum products to the Department of Defense under the Defense Production Act</SUBJECT> <PG>76</PG> </CHAPTI> <SUBCHAP> <HD SOURCE="HED">SUBCHAPTER B—CLIMATE CHANGE</HD> </SUBCHAP> <CHAPTI> <PT>300</PT> <SUBJECT>Voluntary Greenhouse Gas Reporting Program: General Guidelines</SUBJECT> <PG>80</PG> </CHAPTI> <SUBCHAP> <RESERVED>SUBCHAPTER C [RESERVED]</RESERVED> </SUBCHAP> <SUBCHAP> <HD SOURCE="HED">SUBCHAPTER D—ENERGY CONSERVATION</HD> </SUBCHAP> <CHAPTI> <PT>400-417</PT> <RESERVED>[Reserved]</RESERVED> <PT>420</PT> <SUBJECT>State energy program</SUBJECT> <PG>102</PG> <PT>430</PT> <SUBJECT>Energy Conservation Program for consumer products</SUBJECT> <PG>116</PG> <PT>431</PT> <SUBJECT>Energy efficiency program for certain commercial and industrial equipment</SUBJECT> <PG>377</PG> <PT>433</PT> <SUBJECT>Energy efficiency standards for the design and construction of new Federal commercial and multi-family high-rise residential buildings</SUBJECT> <PG>481<PRTPAGE P="4"/> </PG> <PT>434</PT> <SUBJECT>Energy code for new Federal commercial and multi-family high rise residential buildings</SUBJECT> <PG>483</PG> <PT>435</PT> <SUBJECT>Energy efficiency standards for new Federal low-rise residential buildings</SUBJECT> <PG>545</PG> <PT>436</PT> <SUBJECT>Federal energy management and planning programs</SUBJECT> <PG>551</PG> <PT>440</PT> <SUBJECT>Weatherization assistance for low-income persons</SUBJECT> <PG>577</PG> <PT>445</PT> <RESERVED>[Reserved]</RESERVED> <PT>451</PT> <SUBJECT>Renewable energy production incentives</SUBJECT> <PG>598</PG> <PT>452</PT> <SUBJECT>Production incentives for cellulosic biofuels</SUBJECT> <PG>603</PG> <PT>455</PT> <SUBJECT>Grant programs for schools and hospitals and buildings owned by units of local government and public care institutions</SUBJECT> <PG>607</PG> <PT>456</PT> <RESERVED>[Reserved]</RESERVED> <PT>470</PT> <SUBJECT>Appropriate Technology Small Grants Program</SUBJECT> <PG>638</PG> <PT>473</PT> <SUBJECT>Automotive propulsion research and development</SUBJECT> <PG>643</PG> <PT>474</PT> <SUBJECT>Electric and Hybrid Vehicle Research, Development, and Demonstration Program; petroleum-equivalent fuel economy calculation</SUBJECT> <PG>647</PG> <PT>490</PT> <SUBJECT>Alternative fuel transportation program</SUBJECT> <PG>648</PG> <PT>491-499</PT> <RESERVED>[Reserved]</RESERVED> </CHAPTI> </TOC> <SUBCHAP TYPE="N"> <PRTPAGE P="5"/> <HD SOURCE="HED">SUBCHAPTER A—OIL</HD> <PART> <RESERVED>PARTS 200-201 [RESERVED]</RESERVED> </PART> <PART> <EAR>Pt. 202</EAR> <HD SOURCE="HED">PART 202—PRODUCTION OR DISCLOSURE OF MATERIAL OR INFORMATION</HD> <CONTENTS> <SUBPART> <RESERVED>Subpart A [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Production or Disclosure in Response to Subpoenas or Demands of Courts or Other Authorities</HD> <SECHD>Sec.</SECHD> <SECTNO>202.21</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <SECTNO>202.22</SECTNO> <SUBJECT>Production or disclosure prohibited unless approved by appropriate DOE official.</SUBJECT> <SECTNO>202.23</SECTNO> <SUBJECT>Procedure in the event of a demand for production or disclosure.</SUBJECT> <SECTNO>202.24</SECTNO> <SUBJECT>Final action by the appropriate DOE official.</SUBJECT> <SECTNO>202.25</SECTNO> <SUBJECT>Procedure where a decision concerning a demand is not made prior to the time a response to the demand is required.</SUBJECT> <SECTNO>202.26</SECTNO> <SUBJECT>Procedure in the event of an adverse ruling.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>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.</P> </AUTH> <SUBPART> <RESERVED>Subpart A [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Production or Disclosure in Response to Subpoenas or Demands of Courts or Other Authorities</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>39 FR 35472, Mar. 13, 1974, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 202.21</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 202.22</SECTNO> <SUBJECT>Production or disclosure prohibited unless approved by appropriate DOE official.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 202.23</SECTNO> <SUBJECT>Procedure in the event of a demand for production or disclosure.</SUBJECT> <P>(a) Whenever a demand is made upon an employee or former employee of the DOE for the production of material or the disclosure of information described in § 202.21(a), he shall immediately notify the Regional Counsel for the region where the issuing authority is located. The Regional Counsel shall immediately request instructions from the General Counsel of DOE.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 202.24</SECTNO> <SUBJECT>Final action by the appropriate DOE official.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <PRTPAGE P="6"/> <SECTNO>§ 202.25</SECTNO> <SUBJECT>Procedure where a decision concerning a demand is not made prior to the time a response to the demand is required.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 202.26</SECTNO> <SUBJECT>Procedure in the event of an adverse ruling.</SUBJECT> <P>If the court or other authority declines to stay the effect of the demand in response to a request made in accordance with § 202.25 pending receipt of instructions, of if the court or other authority rules that the demand must be complied with irrespective of instructions not to produce the material or disclose the information sought, the employee or former employee upon whom the demand has been made shall respectfully decline to comply with the demand. “United States ex rel Touhy v. Ragen,” 340 U.S. 462.</P> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 205</EAR> <HD SOURCE="HED">PART 205—ADMINISTRATIVE PROCEDURES AND SANCTIONS</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General Provisions</HD> <SECHD>Sec.</SECHD> <SECTNO>205.1</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <SECTNO>205.2</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>205.3</SECTNO> <SUBJECT>Appearance before the DOE or a State Office.</SUBJECT> <SECTNO>205.4</SECTNO> <SUBJECT>Filing of documents.</SUBJECT> <SECTNO>205.5</SECTNO> <SUBJECT>Computation of time.</SUBJECT> <SECTNO>205.6</SECTNO> <SUBJECT>Extension of time.</SUBJECT> <SECTNO>205.7</SECTNO> <SUBJECT>Service.</SUBJECT> <SECTNO>205.8</SECTNO> <SUBJECT>Subpoenas, special report orders, oaths, witnesses.</SUBJECT> <SECTNO>205.9</SECTNO> <SUBJECT>General filing requirements.</SUBJECT> <SECTNO>205.10</SECTNO> <SUBJECT>Effective date of orders.</SUBJECT> <SECTNO>205.11</SECTNO> <SUBJECT>Order of precedence.</SUBJECT> <SECTNO>205.12</SECTNO> <SUBJECT>Addresses for filing documents with the DOE.</SUBJECT> <SECTNO>205.13</SECTNO> <SUBJECT>Where to file.</SUBJECT> <SECTNO>205.14</SECTNO> <SUBJECT>Ratification of prior directives, orders, and actions.</SUBJECT> <SECTNO>205.15</SECTNO> <SUBJECT>Public docket room.</SUBJECT> </SUBPART> <SUBPART> <RESERVED>Subparts B-E [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—Interpretation</HD> <SECTNO>205.80</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <SECTNO>205.81</SECTNO> <SUBJECT>What to file.</SUBJECT> <SECTNO>205.82</SECTNO> <SUBJECT>Where to file.</SUBJECT> <SECTNO>205.83</SECTNO> <SUBJECT>Contents.</SUBJECT> <SECTNO>205.84</SECTNO> <SUBJECT>DOE evaluation.</SUBJECT> <SECTNO>205.85</SECTNO> <SUBJECT>Decision and effect.</SUBJECT> <SECTNO>205.86</SECTNO> <SUBJECT>Appeal.</SUBJECT> </SUBPART> <SUBPART> <RESERVED>Subparts G-J [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart K—Rulings</HD> <SECTNO>205.150</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <SECTNO>205.151</SECTNO> <SUBJECT>Criteria for issuance.</SUBJECT> <SECTNO>205.152</SECTNO> <SUBJECT>Modification or rescission.</SUBJECT> <SECTNO>205.153</SECTNO> <SUBJECT>Comments.</SUBJECT> <SECTNO>205.154</SECTNO> <SUBJECT>Appeal.</SUBJECT> </SUBPART> <SUBPART> <RESERVED>Subpart L [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart M—Conferences, Hearings, and Public Hearings</HD> <SECTNO>205.170</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <SECTNO>205.171</SECTNO> <SUBJECT>Conferences.</SUBJECT> <SECTNO>205.172</SECTNO> <SUBJECT>Hearings.</SUBJECT> <SECTNO>205.173</SECTNO> <SUBJECT>Public hearings.</SUBJECT> </SUBPART> <SUBPART> <RESERVED>Subpart N [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart O—Notice of Probable Violation, Remedial Order, Notice of Proposed Disallowance, and Order of Disallowance</HD> <SECTNO>205.190</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <SECTNO>205.191</SECTNO> <SUBJECT>[Reserved]</SUBJECT> <SECTNO>205.192</SECTNO> <SUBJECT>Proposed remedial order.</SUBJECT> <SECTNO>205.192A</SECTNO> <SUBJECT>Burden of proof.</SUBJECT> <SECTNO>205.193</SECTNO> <SUBJECT>Notice of Objection.</SUBJECT> <SECTNO>205.193A</SECTNO> <SUBJECT>Submission of ERA supplemental information.</SUBJECT> <SECTNO>205.194</SECTNO> <SUBJECT>Participants; official service list.</SUBJECT> <SECTNO>205.195</SECTNO> <SUBJECT>Filing and service of all submissions.</SUBJECT> <SECTNO>205.196</SECTNO> <SUBJECT>Statement of objections.</SUBJECT> <SECTNO>205.197</SECTNO> <SUBJECT>Response to statement of objections; reply.</SUBJECT> <SECTNO>205.198</SECTNO> <SUBJECT>Discovery.</SUBJECT> <SECTNO>205.198A</SECTNO> <SUBJECT>Protective order.</SUBJECT> <SECTNO>205.199</SECTNO> <SUBJECT>Evidentiary hearing.</SUBJECT> <SECTNO>205.199A</SECTNO> <SUBJECT>Hearing for the purpose of oral argument only.</SUBJECT> <SECTNO>205.199B</SECTNO> <SUBJECT>Remedial order.</SUBJECT> <SECTNO>205.199C</SECTNO> <SUBJECT>Appeals of remedial order to FERC.</SUBJECT> <SECTNO>205.199D-205.199E</SECTNO> <SUBJECT>[Reserved]</SUBJECT> <SECTNO>205.199F</SECTNO> <SUBJECT>Ex parte communications.</SUBJECT> <SECTNO>205.199G</SECTNO> <SUBJECT>Extension of time; Interim and Ancillary Orders.</SUBJECT> <SECTNO>205.199H</SECTNO> <SUBJECT>Actions not subject to administrative appeal.<PRTPAGE P="7"/> </SUBJECT> <SECTNO>205.199I</SECTNO> <SUBJECT>Remedies.</SUBJECT> <SECTNO>205.199J</SECTNO> <SUBJECT>Consent order.</SUBJECT> </SUBPART> <SUBPART> <RESERVED>Subparts P-T [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart U—Procedures for Electricity Export Cases</HD> <SECTNO>205.260</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <SECTNO>205.261-205.269</SECTNO> <SUBJECT>[Reserved]</SUBJECT> <SECTNO>205.270</SECTNO> <SUBJECT>Off-the-record communications.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart V—Special Procedures for Distribution of Refunds</HD> <SECTNO>205.280</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <SECTNO>205.281</SECTNO> <SUBJECT>Petition for implementation of special refund procedures.</SUBJECT> <SECTNO>205.282</SECTNO> <SUBJECT>Evaluation of petition by the Office of Hearings and Appeals.</SUBJECT> <SECTNO>205.283</SECTNO> <SUBJECT>Applications for refund.</SUBJECT> <SECTNO>205.284</SECTNO> <SUBJECT>Processing of applications.</SUBJECT> <SECTNO>205.285</SECTNO> <SUBJECT>Effect of failure to file a timely application.</SUBJECT> <SECTNO>205.286</SECTNO> <SUBJECT>Limitations on amount of refunds.</SUBJECT> <SECTNO>205.287</SECTNO> <SUBJECT>Escrow accounts, segregated funds and other guarantees.</SUBJECT> <SECTNO>205.288</SECTNO> <SUBJECT>Interim and ancillary orders.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart W—Electric Power System Permits and Reports; Applications; Administrative Procedures and Sanctions</HD> <SUBJGRP> <HD SOURCE="HED">Application for Authorization to Transmit Electric Energy to a Foreign Country</HD> <SECTNO>205.300</SECTNO> <SUBJECT>Who shall apply.</SUBJECT> <SECTNO>205.301</SECTNO> <SUBJECT>Time of filing.</SUBJECT> <SECTNO>205.302</SECTNO> <SUBJECT>Contents of application.</SUBJECT> <SECTNO>205.303</SECTNO> <SUBJECT>Required exhibits.</SUBJECT> <SECTNO>205.304</SECTNO> <SUBJECT>Other information.</SUBJECT> <SECTNO>205.305</SECTNO> <SUBJECT>Transferability.</SUBJECT> <SECTNO>205.306</SECTNO> <SUBJECT>Authorization not exclusive.</SUBJECT> <SECTNO>205.307</SECTNO> <SUBJECT>Form and style; number of copies.</SUBJECT> <SECTNO>205.308</SECTNO> <SUBJECT>Filing schedule and annual reports.</SUBJECT> <SECTNO>205.309</SECTNO> <SUBJECT>Filing procedures and fees.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Application for Presidential Permit Authorizing the Construction, Connection, Operation, and Maintenance of Facilities for Transmission of Electric Energy at International Boundaries</HD> <SECTNO>205.320</SECTNO> <SUBJECT>Who shall apply.</SUBJECT> <SECTNO>205.321</SECTNO> <SUBJECT>Time of filing.</SUBJECT> <SECTNO>205.322</SECTNO> <SUBJECT>Contents of application.</SUBJECT> <SECTNO>205.323</SECTNO> <SUBJECT>Transferability.</SUBJECT> <SECTNO>205.324</SECTNO> <SUBJECT>Form and style; number of copies.</SUBJECT> <SECTNO>205.325</SECTNO> <SUBJECT>Annual report.</SUBJECT> <SECTNO>205.326</SECTNO> <SUBJECT>Filing procedures and fees.</SUBJECT> <SECTNO>205.327</SECTNO> <SUBJECT>Other information.</SUBJECT> <SECTNO>205.328</SECTNO> <SUBJECT>Environmental requirements for Presidential Permits—Alternative 1.</SUBJECT> <SECTNO>205.329</SECTNO> <SUBJECT>Environmental requirements for Presidential Permits—Alternative 2.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Report of Major Electric Utility System Emergencies</HD> <SECTNO>205.350</SECTNO> <SUBJECT>General purpose.</SUBJECT> <SECTNO>205.351</SECTNO> <SUBJECT>Reporting requirements.</SUBJECT> <SECTNO>205.352</SECTNO> <SUBJECT>Information to be reported.</SUBJECT> <SECTNO>205.353</SECTNO> <SUBJECT>Special investigation and reports.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Emergency Interconnection of Electric Facilities and the Transfer of Electricity to Alleviate an Emergency Shortage of Electric Power</HD> <SECTNO>205.370</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>205.371</SECTNO> <SUBJECT>Definition of emergency.</SUBJECT> <SECTNO>205.372</SECTNO> <SUBJECT>Filing procedures; number of copies.</SUBJECT> <SECTNO>205.373</SECTNO> <SUBJECT>Application procedures.</SUBJECT> <SECTNO>205.374</SECTNO> <SUBJECT>Responses from “entities” designated in the application.</SUBJECT> <SECTNO>205.375</SECTNO> <SUBJECT>Guidelines defining inadequate fuel or energy supply.</SUBJECT> <SECTNO>205.376</SECTNO> <SUBJECT>Rates and charges.</SUBJECT> <SECTNO>205.377</SECTNO> <SUBJECT>Reports.</SUBJECT> <SECTNO>205.378</SECTNO> <SUBJECT>Disconnection of temporary facilities.</SUBJECT> <SECTNO>205.379</SECTNO> <SUBJECT>Application for approval of the installation of permanent facilities for emergency use only.</SUBJECT> </SUBJGRP> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>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 <E T="03">et seq.,</E> unless otherwise noted.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>39 FR 35489, Oct. 1, 1974, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General Provisions</HD> <SECTION> <SECTNO>§ 205.1</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <P>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.</P> <CITA>[61 FR 35114, July 5, 1996]</CITA> </SECTION> <SECTION> <SECTNO>§ 205.2</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>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:</P> <P> <E T="03">Action</E> 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.<PRTPAGE P="8"/> </P> <P> <E T="03">Adjustment</E> means a modification of the base period volume or other measure of allocation entitlement in accordance with part 211 of this chapter.</P> <P> <E T="03">Aggrieved,</E> 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.</P> <P> <E T="03">Appropriate Regional Office or appropriate State Office</E> means the office located in the State or DOE region in which the product will be physically delivered.</P> <P> <E T="03">Assignment</E> means an action designating that an authorized purchaser be supplied at a specified entitlement level by a specified supplier.</P> <P> <E T="03">Conference</E> means an informal meeting, incident to any proceeding, between DOE or State officials and any person aggrieved by that proceeding.</P> <P> <E T="03">Consent order</E> means a document of agreement between DOE and a person prohibiting certain acts, requiring the performance of specific acts or including any acts which DOE could prohibit or require pursuant to § 205.195.</P> <P> <E T="03">Duly authorized representative</E> 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.</P> <P> <E T="03">EPAA</E> means the Emergency Petroleum Allocation Act of 1973 (Pub. L. 93-159).</P> <P> <E T="03">EPCA</E> means the Energy Policy and Conservation Act (Pub. L. 94-163).</P> <P> <E T="03">Exception</E> means the waiver or modification of the requirements of a regulation, ruling or generally applicable requirement under a specific set of facts.</P> <P> <E T="03">Exemption</E> means the release from the obligation to comply with any part or parts, or any subpart thereof, of this chapter.</P> <P> <E T="03">DOE</E> means the Department of Energy, created by the FEAA and includes the DOE National Office and Regional Offices.</P> <P> <E T="03">FEAA</E> means the Federal Energy Administration Act of 1974 (Pub. L. 93-275).</P> <P> <E T="03">Federal legal holiday</E> 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.</P> <P> <E T="03">Interpretation</E> 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.</P> <P> <E T="03">Notice of probable violation</E> 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.</P> <P> <E T="03">Order</E> 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.</P> <P> <E T="03">Person</E> 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.</P> <P> <E T="03">Proceeding</E> 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.<PRTPAGE P="9"/> </P> <P> <E T="03">Remedial order</E> 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.</P> <P> <E T="03">Ruling</E> means an official interpretative statement of general applicability issued by the DOE General Counsel and published in the <E T="04">Federal Register</E> that applies the DOE regulations to a specific set of circumstances.</P> <P> <E T="03">State Office</E> means a State Office of Petroleum Allocation certified by the DOE upon application pursuant to part 211 of this chapter.</P> <P>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.</P> <SECAUTH>(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)</SECAUTH> <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 205.3</SECTNO> <SUBJECT>Appearance before the DOE or a State Office.</SUBJECT> <P>(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).</P> <P>(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—</P> <P>(1) To have made false or misleading statements, either verbally or in writing;</P> <P>(2) To have filed false or materially altered documents, affidavits or other writings;</P> <P>(3) To lack the specific authority to represent the person seeking a DOE or State Office action; or</P> <P>(4) To have engaged in or to be engaged in contumacious conduct that substantially disrupts a proceeding.</P> </SECTION> <SECTION> <SECTNO>§ 205.4</SECTNO> <SUBJECT>Filing of documents.</SUBJECT> <P>(a) Any document, including, but not limited to, an application, request, complaint, petition and other documents submitted in connection therewith, filed with the DOE or a State Office under this chapter is considered to be filed when it has been received by the DOE National Office, a Regional Office or a State Office. Documents transmitted to the DOE must be addressed as required by § 205.12. All documents and exhibits submitted become part of an DOE or a State Office file and will not be returned.</P> <P>(b) Notwithstanding the provisions of paragraph (a) of this section, an appeal, a response to a denial of an appeal or application for modification or recision in accordance with §§ 205.106(a)(3) and 205.135(a)(3), respectively, a reply to a notice of probable violation, the appeal of a remedial order or remedial order for immediate compliance, a response to denial of a claim of confidentiality, or a comment submitted in connection with any proceeding transmitted by registered or certified mail and addressed to the appropriate office is considered to be filed upon mailing.</P> <P>(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 <PRTPAGE P="10"/>the chief executive officer of such office.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 205.5</SECTNO> <SUBJECT>Computation of time.</SUBJECT> <P>(a) <E T="03">Days.</E> (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.</P> <P>(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.</P> <P>(b) <E T="03">Hours.</E> 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.</P> <P>(c) <E T="03">Additional time after service by mail.</E> 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.</P> </SECTION> <SECTION> <SECTNO>§ 205.6</SECTNO> <SUBJECT>Extension of time.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 205.7</SECTNO> <SUBJECT>Service.</SUBJECT> <P>(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.</P> <P>(b) Service upon a person's duly authorized representative shall constitute service upon that person.</P> <P>(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 <E T="03">prima facie</E> evidence of service.</P> </SECTION> <SECTION> <SECTNO>§ 205.8</SECTNO> <SUBJECT>Subpoenas, special report orders, oaths, witnesses.</SUBJECT> <P>(a) In this section the following terms have the definitions indicated unless otherwise provided.</P> <P>(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.</P> <P>(2) “SRO” means a Special Report Order issued pursuant to paragraph (b) of this section.</P> <P>(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 <PRTPAGE P="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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(6) There is no administrative appeal of a subpoena or SRO.</P> <P>(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.</P> <P>(2) Delivery of a copy of the document to a natural person may be made by:</P> <P>(i) Handing it to the person;</P> <P>(ii) Leaving it at the person's office with the person in charge of the office;</P> <P>(iii) Leaving it at the person's dwelling or usual place of abode with a person of suitable age and discretion who resides there;</P> <P>(iv) Mailing it to the person by registered or certified mail, at his last known address; or</P> <P>(v) Any method that provides the person with actual notice prior to the return date of the document.</P> <P>(3) Delivery of a copy of the document to a person who is not a natural person may be made by:</P> <P>(i) Handing it to a registered agent of the person;</P> <P>(ii) Handing it to any officer, director, or agent in charge of any office of such person;</P> <P>(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</P> <P>(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.</P> <P>(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.</P> <P>(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:</P> <P>(i) The presence of the subpoenaed witness will materially advance the proceeding; and</P> <P>(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.<PRTPAGE P="12"/> </P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(j)(1) Any witness whose testimony is taken may be accompanied, represented and advised by his attorney as follows:</P> <P>(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</P> <P>(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.</P> <P>(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 <PRTPAGE P="13"/>regard to any instances where any attorney refuses to comply with directions or provisions of this section.</P> <SECAUTH>(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)</SECAUTH> <CITA>[44 FR 23201, Apr. 19, 1979]</CITA> </SECTION> <SECTION> <SECTNO>§ 205.9</SECTNO> <SUBJECT>General filing requirements.</SUBJECT> <P>(a) <E T="03">Purpose and scope.</E> The provisions of this section shall apply to all documents required or permitted to be filed with the DOE or with a State Office.</P> <P>(b) <E T="03">Signing.</E> 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)).</P> <P>(c) <E T="03">Labeling.</E> 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 T="03">e.g.,</E> “Application for Assignment”) both on the document and on the outside of the envelope in which the document is transmitted.</P> <P>(d) <E T="03">Obligation to supply information.</E> 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.</P> <P>(e) <E T="03">The same or related matters.</E> 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.</P> <P>(f) <E T="03">Request for confidential treatment.</E> (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 <PRTPAGE P="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.</P> <P>(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.</P> <P>(g) <E T="03">Separate applications, petitions or requests.</E> 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.</P> </SECTION> <SECTION> <SECTNO>§ 205.10</SECTNO> <SUBJECT>Effective date of orders.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 205.11</SECTNO> <SUBJECT>Order of precedence.</SUBJECT> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 205.12</SECTNO> <SUBJECT>Addresses for filing documents with the DOE.</SUBJECT> <P>(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.</P> <GPOTABLE CDEF="s70,r70" COLS="2" OPTS="L2"> <BOXHD> <CHED H="1">FAX Numbers</CHED> <CHED H="1">TWX Numbers</CHED> </BOXHD> <ROW> <ENT I="01">(202) 254-6175</ENT> <ENT>(701) 822-9454</ENT> </ROW> <ROW> <ENT I="01">(202) 254-6461</ENT> <ENT>(701) 822-9459</ENT> </ROW> </GPOTABLE> <P>(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.</P> <P>(2) Documents to be filed with the Office of Exceptions and Appeals, as provided in this part or otherwise, shall be addressed as follows. Office of Exceptions and Appeals, Department of Energy, Attn: (name of person to receive document, if known, and/or labeling as specified in § 205.9(c)), Washington, DC 20461.</P> <P>(3) Documents to be filed with the Office of General Counsel, as provided in this part or otherwise, shall be addressed as follows: Office of the General Counsel, U.S. Department of Energy, Attn: (name of person to receive document, if known, and labeling as specified in § 205.9(c)), 1000 Independence Avenue, Washington, DC 20585.</P> <P>(4) Documents to be filed with the Office of Private Grievances and Redress, as provided in this part or otherwise, shall be addressed as follows: Office of Private Grievances and Redress, Department of Energy, Attn: (name of person to receive document, if known and/or labeling as specified in § 205.9(c)), Washington, DC 20461.</P> <P>(5) All other documents filed, except those concerning price (see paragraph <PRTPAGE P="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 § 205.9(c), Washington, DC 20461.</P> <GPOTABLE CDEF="s50,9" COLS="2" OPTS="L2"> <TTITLE>Code Numbers</TTITLE> <BOXHD> <CHED H="1"/> <CHED H="1">Code</CHED> </BOXHD> <ROW> <ENT I="11">Product:</ENT> </ROW> <ROW> <ENT I="02">Crude oil</ENT> <ENT>10</ENT> </ROW> <ROW> <ENT I="02">Naphtha and gas oil</ENT> <ENT>15</ENT> </ROW> <ROW> <ENT I="02">Propane, butane and natural gasoline</ENT> <ENT>25</ENT> </ROW> <ROW> <ENT I="02">Other products</ENT> <ENT>30</ENT> </ROW> <ROW> <ENT I="02">Bunker fuel</ENT> <ENT>40</ENT> </ROW> <ROW> <ENT I="02">Residual fuel (nonutility)</ENT> <ENT>50</ENT> </ROW> <ROW> <ENT I="02">Motor gasoline</ENT> <ENT>60</ENT> </ROW> <ROW> <ENT I="02">Middle distillates</ENT> <ENT>70</ENT> </ROW> <ROW> <ENT I="02">Aviation fuels</ENT> <ENT>80</ENT> </ROW> <ROW> <ENT I="11">Submissions by specific entities:</ENT> </ROW> <ROW> <ENT I="02">Electric utilities</ENT> <ENT>45</ENT> </ROW> <ROW> <ENT I="02">Department of Defense</ENT> <ENT>55</ENT> </ROW> </GPOTABLE> <P>(6) Documents pertaining to the price of covered products, except those to be submitted to other offices as provided in this part, shall be addressed to the Department of Energy, Code 1000, Attn: (name of person to receive document, if known, and/or labeling as specified in § 205.9(c)), Washington, DC 20461.</P> <P>(7) Documents designated as DOE or FEO forms shall be submitted in accordance with the instructions stated in the form.</P> <P>(8) “Surplus Product Reports” shall be submitted to the Department of Energy, Post Office Box 19407, Washington, DC 20036.</P> <P>(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.</P> <P>(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.</P> <P>(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:</P> <EXTRACT> <HD SOURCE="HD1">Region 1</HD> <FP SOURCE="FP-1">Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, Vermont; Regional Office, Department of Energy, 150 Causeway Street, Boston, Massachusetts 02114.</FP> <HD SOURCE="HD1">Region 2</HD> <FP SOURCE="FP-1">New Jersey, New York, Puerto Rico, Virgin Islands; Regional Office, Department of Energy, 26 Federal Plaza, New York, New York 10007.</FP> <HD SOURCE="HD1">Region 3</HD> <FP SOURCE="FP-1">Delaware, District of Columbia, Maryland, Pennsylvania, Virginia, West Virginia; Regional Office, Department of Energy, Federal Office Building, 1421 Cherry Street, Philadelphia, Pennsylvania 19102.</FP> <HD SOURCE="HD1">Region 4</HD> <FP SOURCE="FP-1">Alabama, Canal Zone, Florida, Georgia, Kentucky, Mississippi, North Carolina, South Carolina; Regional Office, Department of Energy, 1655 Peachtree Street NW., Atlanta, Georgia 30309.</FP> <HD SOURCE="HD1">Region 5</HD> <FP SOURCE="FP-1">Illinois, Indiana, Michigan, Minnesota, Ohio, Wisconsin; Regional Office, Department of Energy, 175 West Jackson Street, Chicago, Illinois 60604.</FP> <HD SOURCE="HD1">Region 6</HD> <FP SOURCE="FP-1">Arkansas, Louisiana, New Mexico, Oklahoma, Texas; Regional Office, Department of Energy, 212 North Saint Paul Street, Dallas, Texas 75201.</FP> <HD SOURCE="HD1">Region 7</HD> <FP SOURCE="FP-1">Iowa, Kansas, Missouri, Nebraska; Regional Office, Department of Energy, Federal Office Building, P.O. Box 15000, 112 East 12th Street, Kansas City, Missouri 64106.</FP> <HD SOURCE="HD1">Region 8</HD> <FP SOURCE="FP-1">Colorado, Montana, North Dakota, South Dakota, Utah, Wyoming; Regional Office, Department of Energy, Post Office Box 26247, Belmar Branch, Denver, Colorado 80226.</FP> <HD SOURCE="HD1">Region 9</HD> <FP SOURCE="FP-1">American Samoa, Arizona, California, Guam, Hawaii, Nevada, Trust Territory of the Pacific Islands; Regional Office, Department <PRTPAGE P="16"/>of Energy, 111 Pine Street, San Francisco, California 94111.</FP> <HD SOURCE="HD1">Region 10</HD> <FP SOURCE="FP-1">Alaska, Idaho, Oregon, Washington; Regional Office, Department of Energy, Federal Office Building, 909 First Avenue, Room 3098, Seattle, Washington 98104.</FP> </EXTRACT> <SECAUTH>(Emergency Petroleum Allocation Act of 1973, 15 U.S.C. 751 <E T="03">et seq.,</E> 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 <E T="03">et seq.,</E> 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 <E T="03">et seq.,</E> 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 <E T="03">et seq.,</E> Pub. L. 95-91; E.O. 11790, 39 FR 23185; E.O. 12009, 42 FR 46267)</SECAUTH> <CITA>[39 FR 35489, Oct. 1, 1974, as amended at 40 FR 36555, Aug. 21, 1975; 45 FR 37684, June 4, 1980]</CITA> </SECTION> <SECTION> <SECTNO>§ 205.13</SECTNO> <SUBJECT>Where to file.</SUBJECT> <P>(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:</P> <P>(1) The allocation and pricing of crude oil pursuant to subpart C of part 211 and part 212 of this chapter;</P> <P>(2) Refinery yield controls pursuant to subpart C of part 211 of this chapter;</P> <P>(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;</P> <P>(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;</P> <P>(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);</P> <P>(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;</P> <P>(7) The allocation and pricing of naphtha and gas oil pursuant to subpart J of part 211 and part 212 of this chapter;</P> <P>(8) The allocation and pricing of other products pursuant to subpart K of part 211 and part 212 of this chapter;</P> <P>(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;</P> <P>(10) The pricing of products pursuant to part 212 of this chapter, filed by a refiner; and</P> <P>(11) The allocation of crude oil and other allocated products to meet Department of Defense needs pursuant to part 211 of this chapter.</P> <P>(12) The allocation of crude oil and other allocated products to be utilized as feedstock in a synthetic natural gas plant, pursuant to § 211.29.</P> <P>(13) Allocations, fee-paid and fee-exempt licenses issued pursuant to part 213 of this chapter.</P> <P>(b) Applications by end-users and wholesale purchasers for an allocation under the state set-aside system in accordance with § 211.17 shall be filed with the appropriate State Office.</P> <P>(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.</P> <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 205.14</SECTNO> <SUBJECT>Ratification of prior directives, orders, and actions.</SUBJECT> <P>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, <PRTPAGE P="17"/>amended, modified or rescinded in accordance with the provisions of this part.</P> </SECTION> <SECTION> <SECTNO>§ 205.15</SECTNO> <SUBJECT>Public docket room.</SUBJECT> <P>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:</P> <P>(a) A list of all persons who have applied for an exception, an exemption, or an appeal, and a digest of each application;</P> <P>(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;</P> <P>(c) The comments received during each rulemaking proceeding, with a verbatim transcript of the public hearing if such a public hearing was held; and</P> <P>(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.</P> </SECTION> </SUBPART> <SUBPART> <RESERVED>Subparts B-E [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—Interpretation</HD> <SECTION> <SECTNO>§ 205.80</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <P>(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.</P> <P>(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.</P> <SECAUTH>(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)</SECAUTH> <CITA>[39 FR 35489, Oct. 1, 1974, as amended at 43 FR 14437, Apr. 6, 1978]</CITA> </SECTION> <SECTION> <SECTNO>§ 205.81</SECTNO> <SUBJECT>What to file.</SUBJECT> <P>(a) A person filing under this subpart shall file a “Request for Interpretation,” which should be clearly labeled as such both on the request and on the outside of the envelope in which the request is transmitted, and shall be in writing and signed by the person filing the request. The person filing the request shall comply with the general filing requirements stated in § 205.9 in addition to the requirements stated in this subpart.</P> <P>(b) If the person filing the request wishes to claim confidential treatment for any information contained in the request or other documents submitted under this subpart, the procedures set out in § 205.9(f) shall apply.</P> </SECTION> <SECTION> <SECTNO>§ 205.82</SECTNO> <SUBJECT>Where to file.</SUBJECT> <P>A request for interpretation shall be filed with the General Counsel or his delegate or with the appropriate Regional Counsel at the address provided in § 205.12.</P> <SECAUTH>(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)</SECAUTH> <CITA>[39 FR 35489, Oct. 1, 1974, as amended at 43 FR 14437, Apr. 6, 1978; 43 FR 17803, Apr. 26, 1978]</CITA> </SECTION> <SECTION> <SECTNO>§ 205.83</SECTNO> <SUBJECT>Contents.</SUBJECT> <P>(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 <PRTPAGE P="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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 205.84</SECTNO> <SUBJECT>DOE evaluation.</SUBJECT> <P>(a) <E T="03">Processing.</E> (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.</P> <P>(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.</P> <P>(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.</P> <P>(b) <E T="03">Criteria.</E> (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.</P> <P>(2) The DOE shall take into consideration previously issued interpretations dealing with the same or a related issue.</P> </SECTION> <SECTION> <SECTNO>§ 205.85</SECTNO> <SUBJECT>Decision and effect.</SUBJECT> <P>(a) An interpretation may be issued after consideration of the request for interpretation and other relevant information received or obtained during the proceeding.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.<PRTPAGE P="19"/> </P> <P>(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.</P> <P>(2) A petition for reconsideration may be summarily denied if—</P> <P>(i) It is not filed in a timely manner, unless good cause is shown; or</P> <P>(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.</P> <P>(3) The General Counsel may deny any petition for reconsideration if the petitioner does not establish that—</P> <P>(i) The petition was filed by a person aggrieved by an interpretation;</P> <P>(ii) The interpretation was erroneous in fact or in law; or</P> <P>(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.</P> <SECAUTH>(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)</SECAUTH> <CITA>[39 FR 35489, Oct. 1, 1974, as amended at 43 FR 14437, Apr. 6, 1978]</CITA> </SECTION> <SECTION> <SECTNO>§ 205.86</SECTNO> <SUBJECT>Appeal.</SUBJECT> <P>There is no administrative appeal of an interpretation.</P> <SECAUTH>(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)</SECAUTH> <CITA>[43 FR 14437, Apr. 6, 1978]</CITA> </SECTION> </SUBPART> <SUBPART> <RESERVED>Subparts G-J [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart K—Rulings</HD> <SECTION> <SECTNO>§ 205.150</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <P>This subpart establishes the criteria for the issuance of interpretative rulings by the General Counsel. All rulings shall be published in the <E T="04">Federal Register.</E> Any person is entitled to rely upon such ruling, to the extent provided in this subpart.</P> </SECTION> <SECTION> <SECTNO>§ 205.151</SECTNO> <SUBJECT>Criteria for issuance.</SUBJECT> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 205.152</SECTNO> <SUBJECT>Modification or rescission.</SUBJECT> <P>(a) A ruling may be modified or rescinded by:</P> <P>(1) Publication of the modification or rescission in the <E T="04">Federal Register</E>; or</P> <P>(2) A rulemaking proceeding in accordance with subpart L of this part.</P> <P>(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, <PRTPAGE P="20"/>no person shall be entitled to rely upon the ruling.</P> </SECTION> <SECTION> <SECTNO>§ 205.153</SECTNO> <SUBJECT>Comments.</SUBJECT> <P>A written comment on or objection to a published ruling may be filed at any time with the General Counsel at the address specified in § 205.12.</P> </SECTION> <SECTION> <SECTNO>§ 205.154</SECTNO> <SUBJECT>Appeal.</SUBJECT> <P>There is no administrative appeal of a ruling.</P> </SECTION> </SUBPART> <SUBPART> <RESERVED>Subpart L [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart M—Conferences, Hearings, and Public Hearings</HD> <SECTION> <SECTNO>§ 205.170</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 205.171</SECTNO> <SUBJECT>Conferences.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 205.172</SECTNO> <SUBJECT>Hearings.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(c) The DOE will designate an agency official to conduct the hearing, and will specify the time and place for the hearing.</P> <P>(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:<PRTPAGE P="21"/> </P> <P>(1) A statement that such person may participate in the hearing; or</P> <P>(2) A statement that such person may request a separate conference or hearing regarding the application or appeal.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <CITA>[39 FR 35489, Oct. 1, 1974, as amended at 40 FR 36557, Aug. 21, 1975]</CITA> </SECTION> <SECTION> <SECTNO>§ 205.173</SECTNO> <SUBJECT>Public hearings.</SUBJECT> <P>(a) A public hearing shall be convened incident to a rulemaking:</P> <P>(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</P> <P>(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.</P> <P>(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.</P> <P>(c) A public hearing may only be convened after publication of a notice in the <E T="04">Federal Register,</E> which shall include a statement of the time, place, and nature of the public hearing.</P> <P>(d) Interested persons may file a request to participate in the public hearing in accordance with the instructions in the notice published in the <E T="04">Federal Register.</E> 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.</P> <P>(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.</P> <P>(f) A verbatim transcript shall be made of the hearing. The transcript, together with any written comments submitted in the course of the proceeding, shall be made available for public inspection and copying in the public docket room, as provided in § 205.15.</P> <P>(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.</P> </SECTION> </SUBPART> <SUBPART> <RESERVED>Subpart N [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart O—Notice of Probable Violation, Remedial Order, Notice of Proposed Disallowance, and Order of Disallowance</HD> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>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.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>44 FR 7924, Feb. 7, 1979, unless otherwise noted.</P> </SOURCE> <SECTION> <PRTPAGE P="22"/> <SECTNO>§ 205.190</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 205.191</SECTNO> <RESERVED>[Reserved]</RESERVED> </SECTION> <SECTION> <SECTNO>§ 205.192</SECTNO> <SUBJECT>Proposed remedial order.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(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 <E T="04">Federal Register</E> which states the person to whom the Proposed Remedial Order is directed, his address, and the products, dollar amounts, time period, and geographical area specified in the Proposed Remedial Order. The notice shall indicate that a copy of the Proposed Remedial Order with confidential information, if any, deleted may be obtained from the ERA and that within 15 days after the date of publication any aggrieved person may file a Notice of Objection with the Office of Hearings and Appeals of accordance with § 205.193. The ERA shall mail copies of the <E T="04">Federal Register</E> notice to all readily identifiable persons who are likely to be aggrieved by issuance of the Proposed Remedial Order as a final order.</P> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 205.192A</SECTNO> <SUBJECT>Burden of proof.</SUBJECT> <P>(a) In a Proposed Remedial Order proceeding the ERA has the burden of establishing a prima facie case as to the validity of the findings of fact and conclusions of law asserted therein. The ERA shall be deemed to meet this burden by the service of a Proposed Remedial Order that meets the requirements of § 205.192(d) and any supplemental information that may be made available under § 205.193A.<PRTPAGE P="23"/> </P> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 205.193</SECTNO> <SUBJECT>Notice of Objection.</SUBJECT> <P>(a) Within 15 days after publication of the notice of a Proposed Remedial Order in the <E T="04">Federal Register</E> 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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 205.193A</SECTNO> <SUBJECT>Submission of ERA supplemental information.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 205.194</SECTNO> <SUBJECT>Participants; official service list.</SUBJECT> <P>(a) Upon receipt of a Notice of Objection, the Office of Hearings and Appeals shall publish a notice in the <E T="04">Federal Register</E> 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.</P> <P>(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</P> <P>(1) The person's name, address, and telephone number and similar information concerning his duly authorized representative, if any;</P> <P>(2) A detailed description of the person's interest in the proceeding;<PRTPAGE P="24"/> </P> <P>(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;</P> <P>(4) A statement of the position which the person intends to adopt in the proceeding; and</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 205.195</SECTNO> <SUBJECT>Filing and service of all submissions.</SUBJECT> <P>(a)(1) Statements of Objections, Responses to such Statements, and any motions or other documents filed in connection with a proceeding shall meet the requirements of § 205.9 and shall be filed with the Office of Hearings and Appeals in accordance with § 205.4. Unless otherwise specified, any participant may file a response to a motion within five days of service.</P> <P>(2) All documents shall be filed in duplicate, unless they contain confidential information, in which case they must be filed in triplicate.</P> <P>(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.</P> <P>(b)(1) Persons other than DOE offices shall on the date a submission is filed serve each person on the official service list. Service shall be made in accordance with § 205.7 and may also be made by deposit in the regular United States mail, properly stamped and addressed, when accompanied by proof of service consisting of a certificate of counsel or an affidavit of the person making the service. If any filing arguably contains confidential information, a person may serve copies with the confidential information deleted upon all persons on the official service list except DOE offices, which shall be served both an original filing and one with deletions.</P> <P>(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 <PRTPAGE P="25"/>deletions upon all persons on the official service list within such time period.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 205.196</SECTNO> <SUBJECT>Statement of objections.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 205.197</SECTNO> <SUBJECT>Response to statement of objections; reply.</SUBJECT> <P>(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.</P> <P>(b) A participant may submit a Reply to any Response within 10 days after the date of service of the Response.</P> </SECTION> <SECTION> <SECTNO>§ 205.198</SECTNO> <SUBJECT>Discovery.</SUBJECT> <P>(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.<PRTPAGE P="26"/> </P> <P>(b) A Motion for Discovery may request that:</P> <P>(1) A person produce for inspection and photocopying non-privileged written material in his possession;</P> <P>(2) A person respond to written interrogatories;</P> <P>(3) A person admit to the genuineness of any relevant document or the truth of any relevant fact; or</P> <P>(4) The deposition of a material witness be taken.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(f) The Director of the Office of Hearings and Appeals or his designee may issue subpoenas in accordance with § 205.8 in support of Discovery Orders, except that § 205.8 (h)(2), (3), and (4) shall not apply to such subpoenas.</P> <P>(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.</P> <P>(h)(1) If a person fails to comply with an order relating to discovery, the Office of Hearings and Appeals may order appropriate sanctions.</P> <P>(2) It shall be the duty of aggrieved participants to request that appropriate relief be fashioned in such situations.</P> <P>(i) Any order issued by the Office of Hearings and Appeals with respect to discovery shall be subject to further administrative review or appeal only upon issuance of the determination referred to in § 205.199B.</P> </SECTION> <SECTION> <SECTNO>§ 205.198A</SECTNO> <SUBJECT>Protective order.</SUBJECT> <P>A participant who has unsuccessfully attempted in writing to obtain information that another participant claims is confidential may file a Motion for Discovery and Protective Order. This motion shall meet the requirements of § 205.198 and shall specify the particular confidential information that the movant seeks and the reasons why the information is necessary to adequately present the movant's position in the proceeding. A copy of the written request for information, a certification concerning when and to whom it was served and a copy of the response, if any, shall be appended to the motion. The motion must give the possessor of the information notice that a Response to the Motion must be filed within ten days. The Response shall specify the safeguards, if any, that should be imposed if the information is ordered to be released. The Office of Hearings and Appeals may issue a Protective Order upon consideration of the Motion and the Response.</P> </SECTION> <SECTION> <SECTNO>§ 205.199</SECTNO> <SUBJECT>Evidentiary hearing.</SUBJECT> <P>(a) <E T="03">Filing Requirements.</E> 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.</P> <P>(b) <E T="03">Contents of Motion for Evidentiary Hearing.</E> 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:<PRTPAGE P="27"/> </P> <P>(1) As specifically as possible, identify the witnesses whose testimony is required;</P> <P>(2) State the reasons why the testimony of the witnesses is necessary; and</P> <P>(3) State the reasons why the asserted position can be effectively established only through the direct questioning of witnesses at an evidentiary hearing.</P> <P>(c) <E T="03">Response to Motion for Evidentiary Hearing.</E> 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:</P> <P>(1) Each particular factual representation which is accepted as correct for purposes of the proceeding;</P> <P>(2) Each particular factual representation which is denied;</P> <P>(3) Each particular factual representation which the participant is not in a position to accept or deny;</P> <P>(4) Each particular factual representation which is not accepted and the participant wishes proven by the submission of evidence;</P> <P>(5) Each particular factual representation which the participant is prepared to dispute through the testimony of witnesses or the submission of verified documents; and</P> <P>(6) Each particular factual representation which the participant asserts should be dismissed as immaterial or irrelevant.</P> <P>(d) <E T="03">Prehearing Conferences.</E> 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.</P> <P>(e) <E T="03">Decision on Motion for Evidentiary Hearing.</E> 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.</P> <P>(f) <E T="03">Review of Decision.</E> The Order of the Office of Hearings and Appeals with respect to a Motion for Evidentiary Hearing shall be subject to further administrative review or appeal only upon issuance of the determination referred to in § 205.199B.</P> <P>(g) <E T="03">Conduct of Evidentiary Hearing.</E> 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 <PRTPAGE P="28"/>progress of the hearing and would not contribute to resolving the issues involved in the hearing. The provisions of § 205.8 which relate to subpoenas and witness fees shall apply to any evidentiary hearing, except that subsection § 205.8(h) (2), (3), and (4) shall not apply.</P> </SECTION> <SECTION> <SECTNO>§ 205.199A</SECTNO> <SUBJECT>Hearing for the purpose of oral argument only.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 205.199B</SECTNO> <SUBJECT>Remedial order.</SUBJECT> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 205.199C</SECTNO> <SUBJECT>Appeals of remedial order to FERC.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(d) The Office of Hearings and Appeals may, on a case by case basis, set reasonable time limits for the Federal <PRTPAGE P="29"/>Energy Regulatory Commission to complete its action on such an appeal proceeding.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§§ 205.199D-205.199E</SECTNO> <RESERVED>[Reserved]</RESERVED> </SECTION> <SECTION> <SECTNO>§ 205.199F</SECTNO> <SUBJECT>Ex parte communications.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 205.199G</SECTNO> <SUBJECT>Extension of time; Interim and Ancillary Orders.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 205.199H</SECTNO> <SUBJECT>Actions not subject to administrative appeal.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 205.199I</SECTNO> <SUBJECT>Remedies.</SUBJECT> <P>(a) A Remedial Order, a Remedial Order for Immediate Compliance, an Order of Disallowance, or a Consent Order may require the person to whom it is directed to roll back prices, to make refunds equal to the amount (plus interest) charged in excess of those amounts permitted under DOE Regulations, to make appropriate compensation to third persons for administrative expenses of effectuating appropriate remedies, and to take such other action as the DOE determines is necessary to eliminate or to compensate for the effects of a violation or any cost disallowance pursuant to § 212.83 or § 212.84. Such action may include a direction to the person to whom the Order is issued to establish an escrow account or take other measures to <PRTPAGE P="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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 205.199J</SECTNO> <SUBJECT>Consent order.</SUBJECT> <P>(a) Notwithstanding any other provision of this subpart, the DOE may at any time resolve an outstanding compliance investigation or proceeding, or a proceeding involving the disallowance of costs pursuant to § 205.199E with a Consent Order. A Consent Order must be signed by the person to whom it is issued, or a duly authorized representative, and must indicate agreement to the terms contained therein. A Consent Order need not constitute an admission by any person that DOE regulations have been violated, nor need it constitute a finding by the DOE that such person has violated DOE regulations. A Consent Order shall, however, set forth the relevant facts which form the basis for the Order.</P> <P>(b) A Consent Order is a final Order of the DOE having the same force and effect as a Remedial Order issued pursuant to § 205.199B or an Order of Disallowance issued pursuant to § 205.199E, and may require one or more of the remedies authorized by § 205.199I and § 212.84(d)(3). A Consent Order becomes effective no sooner than 30 days after publication under paragraph (c) of this section, unless (1) the DOE makes a Consent Order effective immediately, because it expressly deems it necessary in the public interest, or (2) the Consent Order involves a sum of less than $500,000 in the aggregate, excluding penalties and interest, in which case it will be effective when signed both by the person to whom it is issued and the DOE, and will not be subject to the provisions of paragraph (c) of this section unless the DOE determines otherwise. A Consent Order shall not be appealable pursuant to the provisions of § 205.199C or § 205.199D and subpart H, and shall contain an express waiver of such appeal or judicial review rights as might otherwise attach to a final Order of the DOE.</P> <P>(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 <E T="04">Federal Register</E> and in a press release to be issued simultaneously therewith. The <E T="04">Federal Register</E> 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 <E T="04">Federal Register</E> 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 <E T="04">Federal Register,</E> and by press release, notice of any action taken on a Consent Order and such explanation of <PRTPAGE P="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).</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> </SECTION> </SUBPART> <SUBPART> <RESERVED>Subparts P-T [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart U—Procedures for Electricity Export Cases</HD> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>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.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>49 FR 35315, Sept. 6, 1984, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 205.260</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <P>(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.</P> <P>(b) <E T="03">Definitions.</E> As used in this subpart—</P> <P> <E T="03">Administrator</E> means the Administrator of the Economic Regulatory Administration.</P> <P> <E T="03">Decisional employees</E> 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.</P> <P> <E T="03">Department</E> means the Department of Energy.</P> <P> <E T="03">Off-the-record communication</E> means an <E T="03">ex parte</E> 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.</P> <P> <E T="03">Interested person</E> 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 <PRTPAGE P="32"/>agency is a participant in the adjudication.</P> <P> <E T="03">Participant</E> means any applicant or intervenor participating in the adjudication.</P> <P> <E T="03">Adjudication</E> 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.</P> <P> <E T="03">Reasonable prior notice</E> means 7 days' written notice stating the nature and purpose of the communication.</P> <P> <E T="03">Relevant to the merits</E> 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.</P> </SECTION> <SECTION> <SECTNO>§§ 205.261-205.269</SECTNO> <RESERVED>[Reserved]</RESERVED> </SECTION> <SECTION> <SECTNO>§ 205.270</SECTNO> <SUBJECT>Off-the-record communications.</SUBJECT> <P>(a) In any proceeding which is subject to this subpart—</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart V—Special Procedures for Distribution of Refunds</HD> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>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.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>44 FR 8566, Feb. 9, 1979, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 205.280</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <P>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 <PRTPAGE P="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.</P> </SECTION> <SECTION> <SECTNO>§ 205.281</SECTNO> <SUBJECT>Petition for implementation of special refund procedures.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(c) The Petition shall contain a copy of each relevant enforcement document, shall be filed in duplicate, and shall meet the requirements of § 205.9 of this part.</P> </SECTION> <SECTION> <SECTNO>§ 205.282</SECTNO> <SUBJECT>Evaluation of petition by the Office of Hearings and Appeals.</SUBJECT> <P>(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.</P> <P>(b) The Proposed Decision and Order shall be published in the <E T="04">Federal Register</E> 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 <E T="04">Federal Register</E> shall be provided for the submission of comments.</P> <P>(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 <E T="04">Federal Register.</E> </P> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 205.283</SECTNO> <SUBJECT>Applications for refund.</SUBJECT> <P>(a) Any person entitled to a refund pursuant to a final Decision and Order issued pursuant to § 205.282 may file an Application for Refund. All Applications must be signed by the applicant and specify the DOE order to which they pertain. Any Application for a refund in excess of $100 must be file in duplicate, and a copy of that Application will be available for public inspection in the DOE Public Docket Room at 2000 M Street, NW., Washington, DC. Any applicant who believes that his Application contains confidential information must so indicate on the first page of his Application and submit two additional copies of his Application from which the information that the applicant claims is confidential has been deleted, together with a statement specifying why any such information is privileged or confidential.</P> <P>(b) The contents of an Application for Refund shall be specified in the final <PRTPAGE P="34"/>Decision and Order referred to in § 205.282(c). A filing deadline for Applications shall also be specified in the final Decision and Order, and shall be no less than 90 days after the publication of the Order in the <E T="04">Federal Register.</E> </P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 205.284</SECTNO> <SUBJECT>Processing of applications.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(c) The Director of the Office of Hearings and Appeals or his designee shall conduct any hearing or conference convened with respect to an Application for Refund and shall specify the time and place for the hearing or conference and notify the applicant. The official conducting the hearing may administer oaths and affirmations, rule on the presentation of information, receive relevant information, dispose of procedural requests, determine the format of the hearing and otherwise regulate the course of the hearing. The provisions of § 205.8 of this part which relate to subpoenas and witness fees shall apply to any hearing convened with respect to an application for refund, except that § 205.8(h) (2), (3) and (4) shall not apply.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 205.285</SECTNO> <SUBJECT>Effect of failure to file a timely application.</SUBJECT> <P>An Application for Refund must be filed no later than the date that the Office of Hearings and Appeals establishes pursuant to § 205.283(b). Any Application that is not filed on a timely basis may be summarily dismissed. The Office of Hearings and Appeals or its designee may, however, grant extensions of time for good cause shown. Any request for an extension of time must generally be submitted in writing prior to the deadline.</P> </SECTION> <SECTION> <SECTNO>§ 205.286</SECTNO> <SUBJECT>Limitations on amount of refunds.</SUBJECT> <P>(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 <PRTPAGE P="35"/>refunds until all Applications have been processed.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 205.287</SECTNO> <SUBJECT>Escrow accounts, segregated funds and other guarantees.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(c) After the expenses referred to in paragraph (b) of this section have been satisfied and refunds distributed to successful applicants, any remaining funds remitted pursuant to the Remedial Order or Consent Order shall be deposited in the United States Treasury or distributed in any other manner specified in the Decision and Order referred to in § 205.282(c).</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 205.288</SECTNO> <SUBJECT>Interim and ancillary orders.</SUBJECT> <P>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.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart W—Electric Power System Permits and Reports; Applications; Administrative Procedures and Sanctions</HD> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>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) <E T="03">et seq.,</E> 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.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>45 FR 71560, Oct. 28, 1980; 46 FR 63209, Dec. 31, 1981, unless otherwise noted.</P> <P>(Approved by the Office of Management and Budget under Control No. 1901-0245)</P> </SOURCE> <SUBJGRP> <HD SOURCE="HED">Application for Authorization to Transmit Electric Energy to a Foreign Country</HD> <SECTION> <SECTNO>§ 205.300</SECTNO> <SUBJECT>Who shall apply.</SUBJECT> <P>(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).</P> <P>(b) In connection with an application under §§ 205.300 through 205.309, attention is directed to the provisions of §§ 205.320 through 205.327, below, concerning applications for Presidential Permits for the construction, connection, operation, or maintenance, at the borders of the United States, of facilities for the transmission of electric energy between the United States and a foreign country in compliance with Executive Order 10485, as amended by Executive Order 12038.</P> </SECTION> <SECTION> <SECTNO>§ 205.301</SECTNO> <SUBJECT>Time of filing.</SUBJECT> <P>Each application should be made at least six months in advance of the initiation of the proposed electricity export, except when otherwise permitted <PRTPAGE P="36"/>by the ERA to resolve an emergency situation.</P> </SECTION> <SECTION> <SECTNO>§ 205.302</SECTNO> <SUBJECT>Contents of application.</SUBJECT> <P>Every application shall contain the following information set forth in the order indicated below:</P> <P>(a) The exact legal name of the applicant.</P> <P>(b) The exact legal name of all partners.</P> <P>(c) The name, title, post office address, and telephone number of the person to whom correspondence in regard to the application shall be addressed.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 205.303</SECTNO> <SUBJECT>Required exhibits.</SUBJECT> <P>There shall be filed with the application and as a part thereof the following exhibits:</P> <P>(a) <E T="03">Exhibit A.</E> 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.</P> <P>(b) <E T="03">Exhibit B.</E> 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.</P> <P>(c) <E T="03">Exhibit C.</E> 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.</P> <P>(d) <E T="03">Exhibit D.</E> 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.</P> <P>(e) <E T="03">Exhibit E.</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.</P> <P>(f) <E T="03">Exhibit F.</E> 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.</P> </SECTION> <SECTION> <SECTNO>§ 205.304</SECTNO> <SUBJECT>Other information.</SUBJECT> <P>Where the application is for authority to export less than 1,000,000 kilowatt hours annually, applicants need <PRTPAGE P="37"/>not furnish the information called for in §§ 205.302(g) and 205.303 (Exhibit C). Applicants, regardless of the amount of electric energy to be exported, may be required to furnish such supplemental information as the ERA may deem pertinent.</P> </SECTION> <SECTION> <SECTNO>§ 205.305</SECTNO> <SUBJECT>Transferability.</SUBJECT> <P>(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.</P> <P>(b) In the event of a proposed voluntary transfer of this authority to export electricity, the transferee and the transferor shall file jointly an application pursuant to this subsection, setting forth such information as required by §§ 205.300 through 205.304, together with a statement of reasons for the transfer.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 205.306</SECTNO> <SUBJECT>Authorization not exclusive.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 205.307</SECTNO> <SUBJECT>Form and style; number of copies</SUBJECT> <P>An original and two conformed copies of an application containing the information required under §§ 205.300 through 205.309 must be filed.</P> </SECTION> <SECTION> <SECTNO>§ 205.308</SECTNO> <SUBJECT>Filing schedule and annual reports.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(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.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1901-0245)</APPRO> <CITA>[45 FR 71560, Oct. 28, 1980, as amended at 46 FR 63209, Dec. 31, 1981]</CITA> </SECTION> <SECTION> <SECTNO>§ 205.309</SECTNO> <SUBJECT>Filing procedures and fees.</SUBJECT> <P>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.</P> </SECTION> </SUBJGRP> <SUBJGRP> <PRTPAGE P="38"/> <HD SOURCE="HED">Application for Presidential Permit Authorizing the Construction, Connection, Operation, and Maintenance of Facilities for Transmission of Electric Energy at International Boundaries</HD> <SECTION> <SECTNO>§ 205.320</SECTNO> <SUBJECT>Who shall apply.</SUBJECT> <P>(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.</P> <NOTE> <HD SOURCE="HED">Note:</HD> <P>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.</P> </NOTE> <P>(b) In connection with applications hereunder, attention is directed to the provisions of §§ 205.300 to 205.309, above, concerning applications for authorization to transmit electric energy from the United States to a foreign country pursuant to section 202(e) of the Federal Power Act.</P> </SECTION> <SECTION> <SECTNO>§ 205.321</SECTNO> <SUBJECT>Time of filing.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 205.322</SECTNO> <SUBJECT>Contents of application.</SUBJECT> <P>Every application shall be accompanied by a fee prescribed in § 205.326 of this subpart and shall provide, in the order indicated, the following:</P> <P>(a) <E T="03">Information regarding the applicant.</E> (1) The legal name of the applicant;</P> <P>(2) The legal name of all partners;</P> <P>(3) The name, title, post office address, and telephone number of the person to whom correspondence in regard to the application shall be addressed;</P> <P>(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.</P> <P>(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.</P> <P>(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;</P> <P>(b) <E T="03">Information regarding the transmission lines to be covered by the Presidential Permit.</E> (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.</P> <P>(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.</P> <P>(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 <PRTPAGE P="39"/>provide clarification of any of the above items should be included.</P> <P>(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.</P> <P>(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:</P> <P>(i) Data regarding the expected power transfer capability, using normal and short time emergency conductor ratings;</P> <P>(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;</P> <P>(iii) Data on the line design features for minimizing television and/or radio interference caused by operation of the subject transmission facilities;</P> <P>(iv) A description of the relay protection scheme, including equipment and proposed functional devices;</P> <P>(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.</P> <P>(c) Information regarding the environmental impacts shall be provided as follows for each routing alternative:</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(4) A list of threatened or endangered wildlife or plant life which may be located in the proposed alternative.</P> <P>(d) A brief description of all practical alternatives to the proposed facility and a discussion of the general environmental impacts of each alternative.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 205.323</SECTNO> <SUBJECT>Transferability.</SUBJECT> <P>(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.</P> <P>(b) In the event of a proposed voluntary transfer of the facility, the permittee and the party to whom the transfer would be made shall file a joint application with the ERA pursuant to this paragraph, setting forth information as required by § 205.320 <E T="03">et seq.,</E> together with a statement of reasons for the transfer. The application shall be accompanied by a filing fee pursuant to § 205.326.</P> <P>(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.</P> <P>(d) Permits may be modified or revoked without notice by the President <PRTPAGE P="40"/>of the United States, or by the Administrator of the ERA after public notice.</P> </SECTION> <SECTION> <SECTNO>§ 205.324</SECTNO> <SUBJECT>Form and style; number of copies.</SUBJECT> <P>All applicants shall file an original and two conformed copies of the application and all accompanying documents required under §§ 205.320 through 205.327.</P> </SECTION> <SECTION> <SECTNO>§ 205.325</SECTNO> <SUBJECT>Annual report.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 205.326</SECTNO> <SUBJECT>Filing procedures and fees.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 205.327</SECTNO> <SUBJECT>Other information.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 205.328</SECTNO> <SUBJECT>Environmental requirements for Presidential Permits—Alternative 1.</SUBJECT> <P>(a) <E T="03">NEPA Compliance.</E> 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:</P> <P>(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.</P> <P>(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.</P> <P>(b) <E T="03">Environmental Review Procedure.</E> 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 <PRTPAGE P="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.</P> <P>(c) <E T="03">Financial Hardship.</E> 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.</P> <P>(d) <E T="03">Discussions Prior to Filing.</E> 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.</P> <P>(e) <E T="03">Federal Exemption.</E> 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 <E T="03">et seq.,</E> it will be exempt from the requirements of this section.</P> <CITA>[48 FR 33819, July 25, 1983]</CITA> </SECTION> <SECTION> <SECTNO>§ 205.329</SECTNO> <SUBJECT>Environmental requirements for Presidential Permits—Alternative 2.</SUBJECT> <P>(a) <E T="03">NEPA Compliance.</E> 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:</P> <P>(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.</P> <P>(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 (<E T="03">i.e.,</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.</P> <P>(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.</P> <P>(4) The NEPA process must be completed and approved before ERA will issue a Presidential Permit.</P> <P>(b) <E T="03">Financial Hardship.</E> 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.</P> <P>(c) <E T="03">Discussions Prior to Filing.</E> Prior to the preparation of any Presidential Permit application and environmental <PRTPAGE P="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.</P> <P>(d) <E T="03">Fee Payment.</E> The applicant shall make fee payment for completing the EIS to ERA in the following manner:</P> <P>(1) 50 percent of the total amount due to be paid within 30 days of receipt of the fee information from DOE;</P> <P>(2) 25 percent to be paid upon publication of the draft EIS; and</P> <P>(3) 25 percent to be paid upon publication of the final EIS.</P> <FP>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.</FP> <P>(e) <E T="03">Federal Exemption.</E> 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 <E T="03">et seq</E>., it will be exempt from the requirements of this section.</P> <CITA>[48 FR 33820, July 25, 1983]</CITA> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Report of Major Electric Utility System Emergencies</HD> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>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 <E T="03">et seq.</E>)</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>Sections 205.350 through 205.353 appear at 51 FR 39745, Oct. 31, 1986, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 205.350</SECTNO> <SUBJECT>General purpose.</SUBJECT> <P>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.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1901-0288)</APPRO> </SECTION> <SECTION> <SECTNO>§ 205.351</SECTNO> <SUBJECT>Reporting requirements.</SUBJECT> <P>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.</P> <P>(a) <E T="03">Loss of Firm System Loads,</E> caused by:</P> <P>(1) Any load shedding actions resulting in the reduction of over 100 megawatts (MW) of <E T="03">firm</E> customer load for reasons of maintaining the <E T="03">continuity</E> of the bulk electric power supply system.</P> <P>(2) Equipment failures/system operational actions attributable to the loss of <E T="03">firm</E> system loads for a period in excess of 15 minutes, as described below:</P> <P>(i) Reports from entities with a previous year recorded peak load of over 3000 MW are required for all such losses of <E T="03">firm</E> loads which total over 300 MW.</P> <P>(ii) Reports from all other entities are required for all such losses of <E T="03">firm</E> loads which total over 200 MW or 50 percent of the system load being supplied immediately prior to the incident, whichever is less.</P> <P>(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.</P> <P>(b) <E T="03">Voltage Reductions or Public Appeals:</E> <PRTPAGE P="43"/> </P> <P>(1) Reports are required for any anticipated or actual system voltage reductions of 3 percent or greater for purposes of maintaining the <E T="03">continuity</E> of the bulk electric power supply system.</P> <P>(2) Reports are required for any issuance of a public appeal to reduce the use of electricity for purposes of maintaining the <E T="03">continuity</E> of the bulk electric power system.</P> <P>(c) <E T="03">Vulnerabilities that could Impact System Reliability:</E> </P> <P>(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:</P> <P>(i) Disrupt or degrade the service reliability of the local or regional bulk electric power supply system, or</P> <P>(ii) Disrupt, degrade, or deny bulk electric power service to:</P> <P>(A) A specific facility (industrial, military, governmental, private), or</P> <P>(B) A specific service (transportation, communications), or</P> <P>(C) A specific locality (town, city, county).</P> <P>(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 <E T="03">continuity</E> of the bulk electric power supply system. Examples will be provided in the DOE pamphlet on reporting procedures.</P> <P>(d) <E T="03">Fuel Supply Emergencies:</E> </P> <P>(1) Reports are required for any anticipated or existing fuel supply emergency situation which would threaten the <E T="03">continuity</E> of the bulk electric power supply system, such as:</P> <P>(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.</P> <P>(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.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1901-0288)</APPRO> </SECTION> <SECTION> <SECTNO>§ 205.352</SECTNO> <SUBJECT>Information to be reported.</SUBJECT> <P>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.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1901-0288)</APPRO> </SECTION> <SECTION> <SECTNO>§ 205.353</SECTNO> <SUBJECT>Special investigation and reports.</SUBJECT> <P>If directed by the Director, Office of Energy Emergency Operations in writing and noticed in the <E T="04">Federal Register,</E> a utility or other subject entity experiencing a condition described in § 205.351 above shall submit a full report of the technical circumstances surrounding a specific power system disturbance, including the restoration procedures utilized. The report shall be filed at such times as may be directed by the Director, Office of Energy Emergency Operations.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1901-0288)</APPRO> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Emergency Interconnection of Electric Facilities and the Transfer of Electricity To Alleviate an Emergency Shortage of Electric Power</HD> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>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))</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>Sections 205.370 through 205.379 appear at 46 FR 39987, Aug. 6, 1981, unless otherwise noted.</P> </SOURCE> <SECTION> <PRTPAGE P="44"/> <SECTNO>§ 205.370</SECTNO> <SUBJECT>Applicability.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 205.371</SECTNO> <SUBJECT>Definition of emergency.</SUBJECT> <P>“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.</P> </SECTION> <SECTION> <SECTNO>§ 205.372</SECTNO> <SUBJECT>Filing procedures; number of copies.</SUBJECT> <P>An original and two conformed copies of the applications and reports required under §§ 205.370 through 205.379 shall be filed with the Division of Power Supply and Reliability, Department of Energy. Copies of all documents also shall be served on:</P> <P>(a) The Federal Energy Regulatory Commission;</P> <P>(b) Any State Regulatory Agency having responsibility for service standards, or rates of the “entities” that are affected by the requested order;</P> <P>(c) Each “entity” suggested as a potential source for the requested emergency assistance;</P> <P>(d) Any “entity” that may be a potential supplier of transmission services;</P> <P>(e) All other “entities” not covered under paragraphs (c) and (d) of this section which may be directly affected by the requested order; and</P> <P>(f) The appropriate Regional Reliability Council.</P> </SECTION> <SECTION> <SECTNO>§ 205.373</SECTNO> <SUBJECT>Application procedures.</SUBJECT> <P>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.</P> <P>(a) The exact legal name of the applicant and of all other “entities” named in the application.<PRTPAGE P="45"/> </P> <P>(b) The name, title, post office address, and telephone number of the person to whom correspondence in regard to the application shall be addressed.</P> <P>(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.</P> <P>(d) Each application for a section 202(c) order shall include the following baseline data:</P> <P>(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;</P> <P>(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;</P> <P>(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;</P> <P>(4) All scheduled capacity and energy receipts or deliveries to other electric utilities for each day of the expected duration of the emergency.</P> <P>(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.</P> <P>(f) A showing that adequate electric service to firm customers cannot be maintained without additional power transfers.</P> <P>(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.</P> <P>(h) A description of efforts made to obtain additional power through voluntary means and the results of such efforts; and a showing that the potential sources of power and/or transmission services designated pursuant to paragraphs (i) through (k) of this section informed that the applicant believed that an emergency existed within the meaning of § 205.371.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(l) Description of the facilities to be used to transfer the requested emergency service to the applicant's system.</P> <P>(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:</P> <P>(i) Proposed location;</P> <P>(ii) Required thermal capacity or power transfer capability of the interconnection;</P> <P>(iii) Type of emergency services requested, including anticipated duration;</P> <P>(iv) An electrical one line diagram;</P> <P>(v) A description of all necessary materials and equipment; and</P> <P>(vi) The projected length of time necessary to complete the interconnection.</P> <P>(2) If the requested emergency assistance is to be supplied over existing facilities, the following information shall be supplied for each existing interconnection:</P> <P>(i) Location;</P> <P>(ii) Thermal capacity of power transfer capability of interconnection facilities; and</P> <P>(iii) Type and duration of emergency services requested.</P> <P>(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.<PRTPAGE P="46"/> </P> <P>(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.)</P> <P>(o) Applicants may be required to furnish such supplemental information as the DOE may deem pertinent.</P> </SECTION> <SECTION> <SECTNO>§ 205.374</SECTNO> <SUBJECT>Responses from “entities” designated in the application.</SUBJECT> <P>Each “entity” designated as a potential source of emergency assistance or as a potential supplier of transmission services and which has received a copy of the application under § 205.373, shall have three (3) calendar days from the time of receipt of the application to file the information designated below with the DOE. The DOE will grant extensions of the filing period when appropriate. The designated “entities” shall provide an analysis of the impact the requested action would have on its system reliability and its ability to supply its own interruptible and firm customers. The effects of the requested action on the ability to serve firm loads shall be clearly distinguished from the ability to serve contractually interruptible loads. The designated “entity” also may provide other information relevant to the requested action, which is not included in the reliability analysis. Copies of any response shall be provided to the applicant, the Federal Energy Regulatory Commission, any State Regulatory Agency having responsibility for service standards or rates of any “entity” that may be directly involved in the proposed action, and the appropriate Regional Electric Reliability Council. Pursuant to section 202(c) of the Federal Power Act, DOE may issue an emergency order even though a designated “entity” has failed to file a timely response.</P> </SECTION> <SECTION> <SECTNO>§ 205.375</SECTNO> <SUBJECT>Guidelines defining inadequate fuel or energy supply.</SUBJECT> <P>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:</P> <P>(1) System coal stocks are reduced to 30 days (or less) of normal burn days and a continued downward trend in stock is projected;</P> <P>(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;</P> <P>(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;</P> <P>(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;</P> <P>(5) Delays in nuclear fuel deliveries will extend a scheduled refueling shutdown by more than 30 days; and</P> <P>(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.</P> <FP>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.</FP> </SECTION> <SECTION> <SECTNO>§ 205.376</SECTNO> <SUBJECT>Rates and charges.</SUBJECT> <P>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 <PRTPAGE P="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.</P> </SECTION> <SECTION> <SECTNO>§ 205.377</SECTNO> <SUBJECT>Reports.</SUBJECT> <P>In addition to the information specified below, the DOE may require additional reports as it deems necessary.</P> <P>(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:</P> <P>(1) The date the temporary interconnection was completed;</P> <P>(2) The location of the interconnection;</P> <P>(3) A description of the interconnection; and</P> <P>(4) A one-line electric diagram of the interconnection.</P> <P>(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:</P> <P>(1) Amounts of capacity and/or energy received each day;</P> <P>(2) The name of the supplier;</P> <P>(3) The name of any “entity” supplying transmission services; and</P> <P>(4) Preliminary estimates of the associated costs.</P> <P>(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.</P> <P>(d) Any substantial change in the information provided under § 205.373 shall be promptly reported to the DOE.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1904-0066)</APPRO> <CITA>[46 FR 39989, Aug. 6, 1981, as amended at 46 FR 63209, Dec. 31, 1981]</CITA> </SECTION> <SECTION> <SECTNO>§ 205.378</SECTNO> <SUBJECT>Disconnection of temporary facilities.</SUBJECT> <P>Upon the termination of any emergency for the mitigation of which the DOE ordered the construction of temporary facilities, such facilities shall be disconnected and any temporary construction removed or otherwise disposed of, unless application is made as provided in § 205.379 for permanent connection for emergency use. This disconnection and removal of temporary facilities shall be accomplished within 30 days of the termination of the emergency unless an extension is granted by the DOE. The DOE shall be notified promptly when such removal of facilities is completed.</P> </SECTION> <SECTION> <SECTNO>§ 205.379</SECTNO> <SUBJECT>Application for approval of the installation of permanent facilities for emergency use only.</SUBJECT> <P>Application for DOE approval of a permanent connection for emergency use only shall conform with the requirements in § 205.373. However, the baseline data specified in § 205.373(d) need not be included in an application made under this section. In addition, the application shall state in full the reasons why such permanent connection for emergency use is in the public interest.</P> </SECTION> </SUBJGRP> </SUBPART> </PART> <PART> <EAR>Pt. 207</EAR> <HD SOURCE="HED">PART 207—COLLECTION OF INFORMATION</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—Collection of Information Under the Energy Supply and Environmental Coordination Act of 1974</HD> <SECHD>Sec.</SECHD> <SECTNO>207.1</SECTNO> <SUBJECT>Purpose.</SUBJECT> <SECTNO>207.2</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>207.3</SECTNO> <SUBJECT>Method of collecting energy information under ESECA.</SUBJECT> <SECTNO>207.4</SECTNO> <SUBJECT>Confidentiality of energy information.</SUBJECT> <SECTNO>207.5</SECTNO> <SUBJECT>Violations.</SUBJECT> <SECTNO>207.6</SECTNO> <SUBJECT>Notice of probable violation and remedial order.</SUBJECT> <SECTNO>207.7</SECTNO> <SUBJECT>Sanctions.</SUBJECT> <SECTNO>207.8</SECTNO> <SUBJECT>Judicial actions.<PRTPAGE P="48"/> </SUBJECT> <SECTNO>207.9</SECTNO> <SUBJECT>Exceptions, exemptions, interpretations, rulings and rulemaking.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>15 U.S.C. 787 <E T="03">et seq.</E>; 15 U.S.C. 791 <E T="03">et seq.</E>; E.O. 11790, 39 FR 23185; 28 U.S.C. 2461 note.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>40 FR 18409, Apr. 28, 1975, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—Collection of Information Under the Energy Supply and Environmental Coordination Act of 1974</HD> <SECTION> <SECTNO>§ 207.1</SECTNO> <SUBJECT>Purpose.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 207.2</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>As used in this subpart:</P> <P> <E T="03">Administrator</E> means the Federal Energy Administrator of his delegate.</P> <P> <E T="03">Energy information</E> 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.</P> <P> <E T="03">ESECA</E> means the Energy Supply and Environmental Coordination Act of 1974 (Pub. L. 93-319).</P> <P> <E T="03">EPAA</E> means the Emergency Petroleum Allocation Act of 1973 (Pub. L. 93-159).</P> <P> <E T="03">DOE</E> means the Department of Energy.</P> <P> <E T="03">Person</E> 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.</P> <P> <E T="03">United States,</E> when used in the geographical sense, means the States, the District of Columbia, Puerto Rico, and the territories and possessions of the United States.</P> </SECTION> <SECTION> <SECTNO>§ 207.3</SECTNO> <SUBJECT>Method of collecting energy information under ESECA.</SUBJECT> <P>(a) Whenever the Administrator determines that:</P> <P>(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</P> <P>(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; </P> <FP>He shall require reports of such information to be submitted to DOE at least every ninety calendar days.</FP> <P>(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.</P> <P>(c) The Administrator may require such reports by rule, order, questionnaire, or such other means as he determines appropriate.</P> <P>(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.</P> <P>(e) In addition to requiring reports, the Administrator may, at his discretion, in order to obtain energy information under the authority of ESECA:</P> <P>(1) Sign and issue subpoenas in accordance with the provisions of § 205.8 of this chapter for the attendance and testimony of witnesses and the production of books, records, papers, and other documents;</P> <P>(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</P> <P>(3) Administer oaths. </P> <FP>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.<PRTPAGE P="49"/> </FP> <P>(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—</P> <P>(1) Enter, at reasonable times, any business premise of facility; and</P> <P>(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.</P> <FP>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.</FP> </SECTION> <SECTION> <SECTNO>§ 207.4</SECTNO> <SUBJECT>Confidentiality of energy information.</SUBJECT> <P>(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.</P> <P>(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).</P> </SECTION> <SECTION> <SECTNO>§ 207.5</SECTNO> <SUBJECT>Violations.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 207.6</SECTNO> <SUBJECT>Notice of probable violation and remedial order.</SUBJECT> <P>(a) <E T="03">Purpose and scope.</E> (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.</P> <P>(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.</P> <P>(b) <E T="03">Notice of probable violation.</E> (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.<PRTPAGE P="50"/> </P> <P>(2) Within 10 days of the service of a notice of probable violation, the person upon whom the notice is served may file a reply with the DOE office that issued the notice of probable violation at the address provided in § 205.12 of this chapter. The DOE may extend the 10-day period for good cause shown.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(7) If the DOE finds, after the 10-day period provided in § 207.6(b)(2), that no violation has occurred, is continuing, or is about to occur, or that for any reason the issuance of a remedial order would not be appropriate, it shall notify, in writing, the person to whom a notice of probable violation has been issued that the notice is rescinded.</P> <P>(c) <E T="03">Remedial order.</E> (1) If the DOE finds, after the 10-day period provided in § 207.6(b)(2), that a violation has occurred, is continuing, or is about to occur, the DOE may issue a remedial order. The order shall include a written opinion setting forth the relevant facts and the legal basis of the remedial order.</P> <P>(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.</P> <P>(3) A remedial order may be referred at any time to the Department of Justice for appropriate action in accordance with § 207.7.</P> <P>(d) <E T="03">Remedial order for immediate compliance.</E> (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:</P> <P>(i) There is a strong probability that a violation has occurred, is continuing or is about to occur;</P> <P>(ii) Irreparable harm will occur unless the violation is remedied immediately; and</P> <P>(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.</P> <P>(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.</P> <P>(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 <PRTPAGE P="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.</P> <P>(4) If at any time in the course of a proceeding commenced by a notice of probable violation the criteria set forth in paragraph (d)(1) of this section are satisfied, the DOE may issue a remedial order for immediate compliance, even if the 10-day period for reply specified in § 207.6(b)(2) of this part has not expired.</P> <P>(5) At any time after a remedial order for immediate compliance has become effective the DOE may refer such order to the Department of Justice for appropriate action in accordance with § 207.7 of this part.</P> <P>(e) <E T="03">Remedies.</E> 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.</P> <P>(f) <E T="03">Appeal.</E> (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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 207.7</SECTNO> <SUBJECT>Sanctions.</SUBJECT> <EXT-XREF HREF="20091214" REFID="2">Link to an amendment published at 74 FR 66032, Dec. 14, 2009.</EXT-XREF> <P>(a) <E T="03">General.</E> (1) Penalties and sanctions shall be deemed cumulative and not mutually exclusive.</P> <P>(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.</P> <P>(b) <E T="03">Criminal penalties.</E> 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.</P> <P>(c) <E T="03">Civil Penalties.</E> (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.</P> <P>(2) When the DOE considers it to be appropriate or advisable, the DOE may compromise and settle, and collect civil penalties.</P> <CITA>[40 FR 18409, Apr. 28, 1975, as amended at 62 FR 46183, Sept. 2, 1997]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> <P>At 74 FR 66032, Dec. 14, 2009, § 207.7 was amended by revising the first sentence of paragraph (c)(1), effective Jan. 13, 2010. For the convenience of the user, the revised text is set forth as follows:</P> <REVTXT> <SECTION> <SECTNO>§ 207.7</SECTNO> <SUBJECT>Sanctions.</SUBJECT> <STARS/> <P>(c) <E T="03">Civil Penalties.</E> (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 $4,000 for each violation. * * *</P> <STARS/> </SECTION> <SECTION> <SECTNO>§ 207.8</SECTNO> <SUBJECT>Judicial actions.</SUBJECT> <P>(a) <E T="03">Enforcement of subpoenas; contempt.</E> 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.</P> <P>(b) <E T="03">Injunctions.</E> 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 <PRTPAGE P="52"/>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.</P> </SECTION> <SECTION> <SECTNO>§ 207.9</SECTNO> <SUBJECT>Exceptions, exemptions, interpretations, rulings and rulemaking.</SUBJECT> <P>Applications for exceptions, exemptions or requests for interpretations relating to this subpart shall be filed in accordance with the procedures provided in subparts D, E and F, respectively, of part 205 of this chapter. Rulings shall be issued in accordance with the procedures of subpart K of part 205 of this chapter. Rulemakings shall be undertaken in accordance with the procedures provided in subpart L of part 205 of this chapter.</P> </SECTION> <PART> <EAR>Pt. 209</EAR> <HD SOURCE="HED">PART 209—INTERNATIONAL VOLUNTARY AGREEMENTS</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General Provisions</HD> <SECHD>Sec.</SECHD> <SECTNO>209.1</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <SECTNO>209.2</SECTNO> <SUBJECT>Delegation.</SUBJECT> <SECTNO>209.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Development of Voluntary Agreements</HD> <SECTNO>209.21</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <SECTNO>209.22</SECTNO> <SUBJECT>Initiation of meetings.</SUBJECT> <SECTNO>209.23</SECTNO> <SUBJECT>Conduct of meetings.</SUBJECT> <SECTNO>209.24</SECTNO> <SUBJECT>Maintenance of records.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Carrying Out of Voluntary Agreements and Developing and Carrying Out of Plans of Actions</HD> <SECTNO>209.31</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <SECTNO>209.32</SECTNO> <SUBJECT>Initiation of meetings.</SUBJECT> <SECTNO>209.33</SECTNO> <SUBJECT>Conduct of meetings.</SUBJECT> <SECTNO>209.34</SECTNO> <SUBJECT>Maintenance of records.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Availability of Information Relating to Meetings and Communications</HD> <SECTNO>209.41</SECTNO> <SUBJECT>Availability of information relating to meetings and communications.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>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.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>41 FR 6754, Feb. 13, 1976, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General Provisions</HD> <SECTION> <SECTNO>§ 209.1</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 209.2</SECTNO> <SUBJECT>Delegation.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 209.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>For purposes of this part—</P> <P>(a) <E T="03">Administrator</E> means the Administrator of the Department of Energy.</P> <P>(b) <E T="03">Information and allocation provisions of the International Energy Program</E> 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.</P> <P>(c) <E T="03">International Energy Agency</E> (IEA) means the International Energy Agency established by Decision of the Council of the Organization for Economic Cooperation and Development, dated November 15, 1974.</P> <P>(d) <E T="03">International Energy Program</E> (IEP) means the program established pursuant to the Agreement on an International Energy Program signed at Paris on November 18, 1974, including <PRTPAGE P="53"/>(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.</P> <P>(e) <E T="03">International energy supply emergency</E> means any period (1) beginning on any date which the President determines allocation of petroleum products to nations participating in the international energy program is required by chapters III and IV of such program, and (2) ending on a date on which he determines such allocation is no longer required. Such a period shall not exceed 90 days, except where the President establishes one or more additional periods by making the determination under paragraph (e)(1) of this section.</P> <P>(f) <E T="03">Potential participant</E> 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.</P> <P>(g) <E T="03">Petroleum</E> or <E T="03">petroleum products</E> means crude oil, residual fuel oil, or any refined petroleum product (including any natural gas liquid and any natural gas liquid product).</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Development of Voluntary Agreements</HD> <SECTION> <SECTNO>§ 209.21</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <P>(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.</P> <P>(b) This subpart does not apply to meetings of bodies created by the International Energy Agency.</P> </SECTION> <SECTION> <SECTNO>§ 209.22</SECTNO> <SUBJECT>Initiation of meetings.</SUBJECT> <P>(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.</P> <P>(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 <E T="04">Federal Register.</E> Such notice shall identify the time, place, and agenda of the meeting, and such other matters as the Administrator deems appropriate. Notice in the <E T="04">Federal Register</E> shall be published at least seven days prior to the date of the meeting.</P> </SECTION> <SECTION> <SECTNO>§ 209.23</SECTNO> <SUBJECT>Conduct of meetings.</SUBJECT> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 209.24</SECTNO> <SUBJECT>Maintenance of records.</SUBJECT> <P>(a) The Administrator shall keep a verbatim transcript of any meeting held pursuant to this subpart.</P> <P>(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.</P> <P>(2) Where any communication is written (including, but not limited to, <PRTPAGE P="54"/>telex, telegraphic, telecopied, microfilmed and computer printout material), and where such communication demonstrates on it face that the originator or some other source furnished a copy of the communication to the Office of International Affairs, Department of Energy with the notation “Voluntary Agreement” marked on the first page of the document, no participant need record such a communication or send a further copy to the Department of Energy. The Department of Energy may, upon written notice to potential participants, from time to time, or with reference to particular types of documents, require deposit with other offices or officials of the Department of Energy. Where such communication demonstrates that it was sent to the Office of International Affairs, Department of Energy with the notation “Voluntary Agreement” marked on the first page of the document, or such other offices or officials in the Department of Energy has designated pursuant to this section it shall satisfy paragraph (c) of this section, for the purpose of deposit with the Department of Energy.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(d) Any meeting between a potential participant and an official of DOE for the purpose of developing a voluntary agreement shall, if not otherwise required to be recorded pursuant to this section, be recorded by such official as provided in § 204.5.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1905-0079)</APPRO> <SECAUTH>(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)</SECAUTH> <CITA>[41 FR 6754, Feb. 13, 1976, as amended at 43 FR 12854, Mar. 28, 1978; 46 FR 63209, Dec. 31, 1981]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Carrying Out of Voluntary Agreements and Developing and Carrying Out of Plans of Actions</HD> <SECTION> <SECTNO>§ 209.31</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 209.32</SECTNO> <SUBJECT>Initiation of meetings.</SUBJECT> <P>(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 <PRTPAGE P="55"/>employee designated by the Administrator.</P> <P>(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 <E T="04">Federal Register.</E> Such notice shall identify the time, place, and agenda of the meeting. Notice in the <E T="04">Federal Register</E> 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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 209.33</SECTNO> <SUBJECT>Conduct of meetings.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 209.34</SECTNO> <SUBJECT>Maintenance of records.</SUBJECT> <P>(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.</P> <P>(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 <PRTPAGE P="56"/>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.</P> <P>(2) Where any communication is written (including, but not limited to, telex, telegraphic, telecopied, microfilmed and computer printout material), and where such communication demonstrates on its face that the originator or some other source furnished a copy of the communication to the Office of International Affairs, Department of Energy with the notation “Voluntary Agreement” on the first page of the document, no participants need record such a communication or send a further copy to the Department of Energy. The Department of Energy may, upon written notice to participants, from time to time, or with reference to particular types of documents, require deposit with other offices or officials of the Department of Energy. Where such communication demonstrates that it was sent to the Office of International Affairs, Department of Energy with the notation “Voluntary Agreement” on the first page of the document, or such other offices or officials as the Department of Energy has designated pursuant to this section, it shall satisfy paragraph (c) of this section, for the purpose of deposit with the Department of Energy.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(d) Any meeting between a participant and an official of DOE for the purpose of carrying out a voluntary agreement or developing or carrying out a plan of action shall, if not otherwise required to be recorded pursuant to this section, be recorded by such official as provided in § 204.5.</P> <P>(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 <PRTPAGE P="57"/>regulations as the Department of Energy determines to be necessary and appropriate.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1905-0067)</APPRO> <SECAUTH>(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)</SECAUTH> <CITA>[41 FR 6754, Feb. 13, 1976, as amended at 43 FR 12854, Mar. 28, 1978; 46 FR 63209, Dec. 31, 1981]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Availability of Information Relating to Meetings and Communications</HD> <SECTION> <SECTNO>§ 209.41</SECTNO> <SUBJECT>Availability of information relating to meetings and communications.</SUBJECT> <P>(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.</P> <P>(b) Matter may be withheld from disclosure under section 552(b) of title 5 only on the grounds specified in:</P> <P>(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;</P> <P>(2) Section 552(b)(3), applicable to matter specifically exempted from disclosure by statute; and</P> <P>(3) So much of section 552(b)(4) as relates to trade secrets.</P> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 210</EAR> <HD SOURCE="HED">PART 210—GENERAL ALLOCATION AND PRICE RULES</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—Recordkeeping</HD> <SECHD>Sec.</SECHD> <SECTNO>210.1</SECTNO> <SUBJECT>Records.</SUBJECT> </SUBPART> <SUBPART> <RESERVED>Subparts B-D [Reserved]</RESERVED> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>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.</P> </AUTH> <SUBPART> <HD SOURCE="HED">Subpart A—Recordkeeping</HD> <SECTION> <SECTNO>§ 210.1</SECTNO> <SUBJECT>Records.</SUBJECT> <P>(a) The recordkeeping requirements that were in effect on January 27, 1981, in parts 210, 211, and 212 will remain in effect for (1) all transactions prior to February 1, 1981; and (2) all allowed expenses incurred and paid prior to April 1, 1981 under § 212.78 of part 212. These requirements include, but are not limited to, the requirements that were in effect on January 27, 1981, in § 210.92 of this part; in §§ 211.67(a)(5)(ii); 211.89; 211.109, 211.127; and 211.223 of part 211; and in §§ 212.78(h)(5)(ii); 212.78(h)(6); 212.83(c)(2)(iii)(E)(I); 212.83(c)(2)(iii)(E)(II); 212.83(c)(2)(iii); “F<E T="52">i</E> t”; 212.83(i); 212.93(a); 212.93(b)(4)(iii)(B)(I); 212.93(i)(4); 212.94(b)(2)(iii); 212.128; 212.132; 212.172; and § 212.187 of part 212.</P> <P>(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.</P> <P>(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.</P> <P>(2)(i) Those firms which as of November 30 1984, have completed making all <PRTPAGE P="58"/>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.</P> <P>(ii) Those firms which as of November 30, 1984, are required to make restitutionary or other payments pursuant to an administrative or judicial order, consent order, or other settlement or order. Any such firm shall remain subject to paragraph (a) of this section until the firm completes all restitutionary payments required by the administrative or judicial order, consent order, or other settlement or order. However, after completing all such payments, a firm shall maintain all records described in paragraph (b)(2)(i) of this section until one of the following: Six months after the firm completes all such payments, unless this period is extended on a firm-by-firm basis; the end of the individual firm's extension; or the firm is notified in writing that its records are no longer needed.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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 <PRTPAGE P="59"/>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.</P> <P>(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 <E T="03">Texaco</E> v. <E T="03">DOE,</E> 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.</P> <P>(c) For purposes of this section:</P> <P>(1) A firm is “a party in litigation” if:</P> <P>(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</P> <P>(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 <E T="03">et seq.</E>) or 10 CFR parts 205, 210, 211, or 212; and</P> <P>(ii)(A) There has been no final (that is, non-appealable) administrative or judicial resolution, or</P> <P>(B) DOE has not informed the firm in writing that the Department has completed its review of the matter.</P> <P>(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.</P> <EXTRACT> <HD SOURCE="HD1">Appendix A to 10 CFR 210.1—Third Party Firms</HD> <HD SOURCE="HD2">Name of Firm</HD> <FP SOURCE="FP-1">A & R, Inc.</FP> <FP SOURCE="FP-1">A. J. Petroleum</FP> <FP SOURCE="FP-1">ADA Resources, Inc.</FP> <FP SOURCE="FP-1">ATC Petroleum</FP> <FP SOURCE="FP-1">Abbco Petroleum, Inc.</FP> <FP SOURCE="FP-1">Ada Oil Company</FP> <FP SOURCE="FP-1">Adams Grocery</FP> <FP SOURCE="FP-1">Advanced Petroleum Distributing Co.</FP> <FP SOURCE="FP-1">Agway Inc.</FP> <FP SOURCE="FP-1">Allegheny Petroleum Corp.</FP> <FP SOURCE="FP-1">Alliance Oil and Refining Company</FP> <FP SOURCE="FP-1">Allied Chemical Corp.</FP> <FP SOURCE="FP-1">Allied Transport</FP> <FP SOURCE="FP-1">Amerada Hess Corp.</FP> <FP SOURCE="FP-1">American Natural Crude Oil Assoc.</FP> <FP SOURCE="FP-1">Amoco Production Company</FP> <FP SOURCE="FP-1">Amorient Petroleum, Inc.</FP> <FP SOURCE="FP-1">An-Son Transportation Co.</FP> <FP SOURCE="FP-1">Anadarko Products Co.</FP> <FP SOURCE="FP-1">Andrus Energy Corp.</FP> <FP SOURCE="FP-1">Antler Petroleum</FP> <FP SOURCE="FP-1">Arco Pipeline Company</FP> <FP SOURCE="FP-1">Armada Petroleum Corp.</FP> <FP SOURCE="FP-1">Armour Oil Company</FP> <FP SOURCE="FP-1">Arnold Brooks Const. Inc.</FP> <FP SOURCE="FP-1">Ashland Oil</FP> <FP SOURCE="FP-1">Asiatic Petroleum Co.</FP> <FP SOURCE="FP-1">Aspen Energy, Inc.</FP> <FP SOURCE="FP-1">Athens General Hospital</FP> <FP SOURCE="FP-1">Atlantic Pacific Energy, Inc.</FP> <FP SOURCE="FP-1">Atlas Processing Company</FP> <FP SOURCE="FP-1">B & B Trading Company</FP> <FP SOURCE="FP-1">BLT, Inc.</FP> <FP SOURCE="FP-1">BPM, Ltd.</FP> <FP SOURCE="FP-1">Baker Services, Inc.</FP> <FP SOURCE="FP-1">Basin Inc.</FP> <FP SOURCE="FP-1">Basin Petroleum, Inc.</FP> <FP SOURCE="FP-1">Beacon Hill Mobil</FP> <FP SOURCE="FP-1">Belcher Oil Company</FP> <FP SOURCE="FP-1">Bighart Pipeline Company</FP> <FP SOURCE="FP-1">Bigheart Pipeline Corp</FP> <FP SOURCE="FP-1">Bowdoin Square Exxon</FP> <FP SOURCE="FP-1">Bowdoin Super Service (Sunoco)</FP> <FP SOURCE="FP-1">Brio Petroleum, Inc.</FP> <FP SOURCE="FP-1">Brixon</FP> <FP SOURCE="FP-1">C.E. Norman</FP> <FP SOURCE="FP-1">CPI Oil & Refining</FP> <FP SOURCE="FP-1">CRA-Farmland Industries, Inc.</FP> <FP SOURCE="FP-1">Calcaseiu Refining, Ltd.</FP> <FP SOURCE="FP-1">Carbonit Houston, Inc.</FP> <FP SOURCE="FP-1">Carr Oil Company, Inc.</FP> <FP SOURCE="FP-1">Castle Coal & Oil Co.</FP> <FP SOURCE="FP-1">Central Crude Corporation</FP> <FP SOURCE="FP-1">Century Trading Co.</FP> <FP SOURCE="FP-1">Charter Crude Oil</FP> <FP SOURCE="FP-1">Chastain Vineyard</FP> <FP SOURCE="FP-1">Chevron USA, Inc.</FP> <FP SOURCE="FP-1">Cibro Petroleum, Inc.</FP> <FP SOURCE="FP-1">Cirillo Brothers</FP> <FP SOURCE="FP-1">Cities Service (Citgo) Station</FP> <FP SOURCE="FP-1">Cities Service Company</FP> <FP SOURCE="FP-1">Cities Service Midland</FP> <FP SOURCE="FP-1">City of Athens</FP> <FP SOURCE="FP-1">Clarke County Board of Education</FP> <FP SOURCE="FP-1">Claude E. Silvey</FP> <FP SOURCE="FP-1">Coastal Corporation (The)</FP> <FP SOURCE="FP-1">Coastal Petroleum and Supply Inc.</FP> <FP SOURCE="FP-1">Coastal States Trading Company</FP> <FP SOURCE="FP-1">Commonwealth Oil Refining Co., Inc.</FP> <FP SOURCE="FP-1">Coral Petroleum Canada, Inc.</FP> <FP SOURCE="FP-1">Coral Petroleum, Inc.</FP> <FP SOURCE="FP-1">Corex of Georgia</FP> <FP SOURCE="FP-1">Cothran Interstate Exxon</FP> <FP SOURCE="FP-1">Couch's Standard Chevron</FP> <FP SOURCE="FP-1">Cougar Oil Marketers Inc.</FP> <FP SOURCE="FP-1">Crude Company (The)</FP> <FP SOURCE="FP-1">Crystal Energy Corporation</FP> <FP SOURCE="FP-1">Crystal Refining<PRTPAGE P="60"/> </FP> <FP SOURCE="FP-1">D & E Logging</FP> <FP SOURCE="FP-1">DDC Corporation of America</FP> <FP SOURCE="FP-1">Darrell Williamson</FP> <FP SOURCE="FP-1">Davis Ellis</FP> <FP SOURCE="FP-1">Days Inn of America, Inc.</FP> <FP SOURCE="FP-1">Delta Petroleum & Energy Corp.</FP> <FP SOURCE="FP-1">Derby & Company, Inc.</FP> <FP SOURCE="FP-1">Derby Refining Company</FP> <FP SOURCE="FP-1">Dewveall Petroleum</FP> <FP SOURCE="FP-1">Dixie Oil Company</FP> <FP SOURCE="FP-1">Dixon Oil Co.</FP> <FP SOURCE="FP-1">Don Hardy</FP> <FP SOURCE="FP-1">Donald Childs</FP> <FP SOURCE="FP-1">Dow Chemical Company</FP> <FP SOURCE="FP-1">Dr. Joe L. Griffeth</FP> <FP SOURCE="FP-1">Driver Construction Co.</FP> <FP SOURCE="FP-1">Drummond Brothers, Inc.</FP> <FP SOURCE="FP-1">Duffie Monroe & Sons Co., Inc.</FP> <FP SOURCE="FP-1">ECI (A/K/A Energy Cooperative Inc.)</FP> <FP SOURCE="FP-1">Earnest Dalton</FP> <FP SOURCE="FP-1">Earth Resources Trading</FP> <FP SOURCE="FP-1">Eastern Seaboard Petroleum, Inc.</FP> <FP SOURCE="FP-1">Elmer Hammon</FP> <FP SOURCE="FP-1">Elvin Knight</FP> <FP SOURCE="FP-1">Empire Marketing, Inc.</FP> <FP SOURCE="FP-1">Encorp.</FP> <FP SOURCE="FP-1">Energy Cooperative, Inc.</FP> <FP SOURCE="FP-1">Energy Distribution Co.</FP> <FP SOURCE="FP-1">Englehard Corporation</FP> <FP SOURCE="FP-1">Englehard Oil Corporation</FP> <FP SOURCE="FP-1">Entex</FP> <FP SOURCE="FP-1">Evans Oil Co.</FP> <FP SOURCE="FP-1">Exxon Company</FP> <FP SOURCE="FP-1">F & S Trading Company, Inc.</FP> <FP SOURCE="FP-1">Farmers Union Central Exchange, Inc.</FP> <FP SOURCE="FP-1">Farmland Industries Inc.</FP> <FP SOURCE="FP-1">Fasgo, Inc.</FP> <FP SOURCE="FP-1">Fedco Oil Company</FP> <FP SOURCE="FP-1">Federal Employees Distributing Co.</FP> <FP SOURCE="FP-1">Fitzpatrick Spreader</FP> <FP SOURCE="FP-1">Flutz Oil Company</FP> <FP SOURCE="FP-1">Flying J. Inc.</FP> <FP SOURCE="FP-1">Foremost Petroleum</FP> <FP SOURCE="FP-1">Four Corners Pipe Line</FP> <FP SOURCE="FP-1">Frank Katz</FP> <FP SOURCE="FP-1">Frank W. Abrahamsen</FP> <FP SOURCE="FP-1">Frank's Butane, Inc.</FP> <FP SOURCE="FP-1">Friendswood Refinery</FP> <FP SOURCE="FP-1">Frontier Manor Collection</FP> <FP SOURCE="FP-1">Fuel Oil Supply & Terminaling, Inc.</FP> <FP SOURCE="FP-1">G. C. Clark Company</FP> <FP SOURCE="FP-1">GPC Marketing Company</FP> <FP SOURCE="FP-1">Gary Refining Co.</FP> <FP SOURCE="FP-1">Geer Tank Trucks, Inc.</FP> <FP SOURCE="FP-1">Gene Clary</FP> <FP SOURCE="FP-1">Gene McDonald</FP> <FP SOURCE="FP-1">General Crude Oil Company</FP> <FP SOURCE="FP-1">Geodynamics Oil & Gas Inc.</FP> <FP SOURCE="FP-1">George Kennedy</FP> <FP SOURCE="FP-1">George Smith Chevron</FP> <FP SOURCE="FP-1">Gleason Oil Company</FP> <FP SOURCE="FP-1">Glenn Company</FP> <FP SOURCE="FP-1">Globe Oil Co.</FP> <FP SOURCE="FP-1">Godfrey's Standard Service</FP> <FP SOURCE="FP-1">Good Hope Industries, Inc.</FP> <FP SOURCE="FP-1">Good Hope Refineries, Inc.</FP> <FP SOURCE="FP-1">Granite Oil Company</FP> <FP SOURCE="FP-1">Guam Oil & Refining Co., Inc.</FP> <FP SOURCE="FP-1">Gulf States Oil & Refining Company</FP> <FP SOURCE="FP-1">H. D. Adkinson</FP> <FP SOURCE="FP-1">H. H. Dunson</FP> <FP SOURCE="FP-1">H.S. & L, Inc.</FP> <FP SOURCE="FP-1">HNG Oil Company</FP> <FP SOURCE="FP-1">Harbor Petroleum, Inc.</FP> <FP SOURCE="FP-1">Harbor Trading</FP> <FP SOURCE="FP-1">Harmony Grove Mills, Inc.</FP> <FP SOURCE="FP-1">Harry Rosser</FP> <FP SOURCE="FP-1">Hast Oil, Inc.</FP> <FP SOURCE="FP-1">Heet Gas Company</FP> <FP SOURCE="FP-1">Henry Alva Mercer</FP> <FP SOURCE="FP-1">Herndon Oil & Gas Company</FP> <FP SOURCE="FP-1">Horizon Petroleum Company</FP> <FP SOURCE="FP-1">Houston Oil & Minerals Products Co.</FP> <FP SOURCE="FP-1">Houston Oil & Refining</FP> <FP SOURCE="FP-1">Howell Corporation</FP> <FP SOURCE="FP-1">Hurricane Trading Company, Inc.</FP> <FP SOURCE="FP-1">Hydrocarbon Trading and Transport Co.</FP> <FP SOURCE="FP-1">Inco Trading</FP> <FP SOURCE="FP-1">Independent Refining Corp.</FP> <FP SOURCE="FP-1">Independent Trading Corporation</FP> <FP SOURCE="FP-1">Indiana Refining, Inc.</FP> <FP SOURCE="FP-1">Intercontinental Petroleum Corp.</FP> <FP SOURCE="FP-1">International Crude Corporation</FP> <FP SOURCE="FP-1">International Petro</FP> <FP SOURCE="FP-1">International Petroleum Trading, Inc.</FP> <FP SOURCE="FP-1">International Processors</FP> <FP SOURCE="FP-1">Isthmus Trading Corporation</FP> <FP SOURCE="FP-1">J & M Transport</FP> <FP SOURCE="FP-1">J. & J.'s Fast Stop</FP> <FP SOURCE="FP-1">J. A. Rackerby Corporation</FP> <FP SOURCE="FP-1">J. H. Baccus</FP> <FP SOURCE="FP-1">J. H. Baccus & Co.</FP> <FP SOURCE="FP-1">J. J. Williamson</FP> <FP SOURCE="FP-1">J. M. Petroleum Corporation</FP> <FP SOURCE="FP-1">JPK Industries</FP> <FP SOURCE="FP-1">Jack W. Grigsby</FP> <FP SOURCE="FP-1">Jaguar Petroleum, Inc.</FP> <FP SOURCE="FP-1">James L. Bush</FP> <FP SOURCE="FP-1">Jay Petroleum Company</FP> <FP SOURCE="FP-1">Jay-Ed Petroleum Company</FP> <FP SOURCE="FP-1">John W. McGowan</FP> <FP SOURCE="FP-1">Kalama Chemical, Inc.</FP> <FP SOURCE="FP-1">Kelly Trading Corp.</FP> <FP SOURCE="FP-1">Kenco Refining</FP> <FP SOURCE="FP-1">Kerr-McGee Corporation</FP> <FP SOURCE="FP-1">Koch Fuel</FP> <FP SOURCE="FP-1">Koch Industries, Inc.</FP> <FP SOURCE="FP-1">Kocolene Oil</FP> <FP SOURCE="FP-1">Kocolene Station</FP> <FP SOURCE="FP-1">L & L Resources, Inc.</FP> <FP SOURCE="FP-1">L.S. Parker</FP> <FP SOURCE="FP-1">LaGloria Oil & Gas</FP> <FP SOURCE="FP-1">LaJet, Inc.</FP> <FP SOURCE="FP-1">Lamar Refining Co.</FP> <FP SOURCE="FP-1">Langham Petroleum Corp.</FP> <FP SOURCE="FP-1">Larry Roberts</FP> <FP SOURCE="FP-1">Laurel Oil, Inc.</FP> <FP SOURCE="FP-1">Lee Allen</FP> <FP SOURCE="FP-1">Lincoln Land Sales Company</FP> <FP SOURCE="FP-1">Listo Petroleum Inc.</FP> <FP SOURCE="FP-1">Longview Refining Corp.</FP> <FP SOURCE="FP-1">Love's Standard</FP> <FP SOURCE="FP-1">Lucky Stores Inc.</FP> <FP SOURCE="FP-1">M.L. Morrow<PRTPAGE P="61"/> </FP> <FP SOURCE="FP-1">Magna Energy Corporation</FP> <FP SOURCE="FP-1">Magnolia Oil Company</FP> <FP SOURCE="FP-1">Mansfield Oil Co.</FP> <FP SOURCE="FP-1">Mapco Petroleum, Inc.</FP> <FP SOURCE="FP-1">Mapco, Inc.</FP> <FP SOURCE="FP-1">Marion Trading Co.</FP> <FP SOURCE="FP-1">Marlex Oil & Refining, Inc.</FP> <FP SOURCE="FP-1">Marlin Petroleum, Inc.</FP> <FP SOURCE="FP-1">Martin Oil Company</FP> <FP SOURCE="FP-1">Mathew's Grocery</FP> <FP SOURCE="FP-1">McAuleep Oil Co.</FP> <FP SOURCE="FP-1">McAuley Oil Company</FP> <FP SOURCE="FP-1">Meadows Gathering, Inc.</FP> <FP SOURCE="FP-1">Mellon Energy Products Co.</FP> <FP SOURCE="FP-1">Merit Petroleum, Inc.</FP> <FP SOURCE="FP-1">Metro Wash, Inc.</FP> <FP SOURCE="FP-1">Miller Oil Purchasing Co.</FP> <FP SOURCE="FP-1">Minor Oil, Inc.</FP> <FP SOURCE="FP-1">Minro Oil, Inc.</FP> <FP SOURCE="FP-1">Mitchell Oil Co.</FP> <FP SOURCE="FP-1">Mitsui & Co. (USA) Inc.</FP> <FP SOURCE="FP-1">Mobil Bay Refining Company</FP> <FP SOURCE="FP-1">Montgomery Well Drilling</FP> <FP SOURCE="FP-1">Mundy Food Market</FP> <FP SOURCE="FP-1">Munford, Inc.</FP> <FP SOURCE="FP-1">Mutual Petroleum</FP> <FP SOURCE="FP-1">NRG Oil Company</FP> <FP SOURCE="FP-1">National Convenience Stores</FP> <FP SOURCE="FP-1">National Cooperative Refinery</FP> <FP SOURCE="FP-1">Nicholson Grocery and Gas</FP> <FP SOURCE="FP-1">North American Petroleum</FP> <FP SOURCE="FP-1">Northeast Petroleum Corp.</FP> <FP SOURCE="FP-1">Northeast Petroleum Corporation</FP> <FP SOURCE="FP-1">Northgate Auto Center</FP> <FP SOURCE="FP-1">Northwest Crude, Inc.</FP> <FP SOURCE="FP-1">Nova Refining Corp.</FP> <FP SOURCE="FP-1">Occidental Petroleum Corp. (includes Permia)</FP> <FP SOURCE="FP-1">Ocean Drilling and Exploration Co.</FP> <FP SOURCE="FP-1">Oil Exchange, Inc.</FP> <FP SOURCE="FP-1">Oilco</FP> <FP SOURCE="FP-1">Omega Petroleum Corp.</FP> <FP SOURCE="FP-1">Otoe Corporation</FP> <FP SOURCE="FP-1">Oxxo Energy Group, Inc.</FP> <FP SOURCE="FP-1">P & O Falco, Inc.</FP> <FP SOURCE="FP-1">P. L. Heatley Co.</FP> <FP SOURCE="FP-1">PEH, Inc.</FP> <FP SOURCE="FP-1">PIB, Inc.</FP> <FP SOURCE="FP-1">PSW Distributors Company</FP> <FP SOURCE="FP-1">Pacific Refinery, Inc.</FP> <FP SOURCE="FP-1">Pacific Resources, Inc.</FP> <FP SOURCE="FP-1">Pan American Products Corp.</FP> <FP SOURCE="FP-1">Par Brothers Food Store</FP> <FP SOURCE="FP-1">Pauley Petroleum Inc.</FP> <FP SOURCE="FP-1">Pennzoil Co.</FP> <FP SOURCE="FP-1">Permian Corporation (The)</FP> <FP SOURCE="FP-1">Pescar International Corp.</FP> <FP SOURCE="FP-1">Pescar International Trading Co.</FP> <FP SOURCE="FP-1">Petraco (U.S.A.) Inc.</FP> <FP SOURCE="FP-1">Petrade International</FP> <FP SOURCE="FP-1">Petrol Products, Inc.</FP> <FP SOURCE="FP-1">Phillips Petroleum Company</FP> <FP SOURCE="FP-1">Phoenis Petroleum Co.</FP> <FP SOURCE="FP-1">Phoenix Petroleum Co.</FP> <FP SOURCE="FP-1">Pine Mountains</FP> <FP SOURCE="FP-1">Poole Petroleum</FP> <FP SOURCE="FP-1">Port Petroleum</FP> <FP SOURCE="FP-1">Presley Oil Co.</FP> <FP SOURCE="FP-1">Procoil Inc.</FP> <FP SOURCE="FP-1">Publiker Industries, Inc.</FP> <FP SOURCE="FP-1">Pyramid Dist. Co., Inc.</FP> <FP SOURCE="FP-1">Questor Crude Oil Company</FP> <FP SOURCE="FP-1">Quitman Refining Co.</FP> <FP SOURCE="FP-1">R. H. Garrett Paving</FP> <FP SOURCE="FP-1">Ra-Gan Fuel, Inc.</FP> <FP SOURCE="FP-1">Reeder Distributing Co.</FP> <FP SOURCE="FP-1">Reeder Distributors</FP> <FP SOURCE="FP-1">Reese Exploration Co.</FP> <FP SOURCE="FP-1">Research Fuels Inc.</FP> <FP SOURCE="FP-1">Revere Petroleum Co.</FP> <FP SOURCE="FP-1">Richardson-Ayres, Inc.</FP> <FP SOURCE="FP-1">Robert Bishop</FP> <FP SOURCE="FP-1">Robert Patrick</FP> <FP SOURCE="FP-1">Roberts Grocery</FP> <FP SOURCE="FP-1">Rock Island Refining Corporation</FP> <FP SOURCE="FP-1">Rogers Oil Company</FP> <FP SOURCE="FP-1">Roy Baerne</FP> <FP SOURCE="FP-1">Russell Oil Company</FP> <FP SOURCE="FP-1">S. G. Coplen</FP> <FP SOURCE="FP-1">SECO (Scruggs Energy)</FP> <FP SOURCE="FP-1">Saber Crude Oil, Inc.</FP> <FP SOURCE="FP-1">Saber Refining Company</FP> <FP SOURCE="FP-1">Salem Ventures, Inc.</FP> <FP SOURCE="FP-1">Samson Resources Company</FP> <FP SOURCE="FP-1">Santa Fe Energy Products Co.</FP> <FP SOURCE="FP-1">Saye's Truck Stop</FP> <FP SOURCE="FP-1">Scandix Oil Limited</FP> <FP SOURCE="FP-1">Score, Inc.</FP> <FP SOURCE="FP-1">Scruggs Energy Company</FP> <FP SOURCE="FP-1">Scurlock Oil Company</FP> <FP SOURCE="FP-1">Scurry Oil Company</FP> <FP SOURCE="FP-1">Seamount Petroleum Company</FP> <FP SOURCE="FP-1">Seaview Petroleum Company</FP> <FP SOURCE="FP-1">Sector Refining, Inc.</FP> <FP SOURCE="FP-1">Selfton Miller</FP> <FP SOURCE="FP-1">Shepherd Trading Corporation</FP> <FP SOURCE="FP-1">Shulze Processing</FP> <FP SOURCE="FP-1">Sigmor Corporation</FP> <FP SOURCE="FP-1">Skelly Oil Company</FP> <FP SOURCE="FP-1">South Hampton Refining Company</FP> <FP SOURCE="FP-1">South Texas LP Gas Co.</FP> <FP SOURCE="FP-1">Southern Crude Oil Resources</FP> <FP SOURCE="FP-1">Southern Terminal & Transport, Ltd.</FP> <FP SOURCE="FP-1">Southern Union Company</FP> <FP SOURCE="FP-1">Southwest Petro. Energy</FP> <FP SOURCE="FP-1">Southwest Petrochem</FP> <FP SOURCE="FP-1">Standard Oil Co. (Ohio)</FP> <FP SOURCE="FP-1">Standard Oil Co. of California</FP> <FP SOURCE="FP-1">Standard Oil Company (Indiana)</FP> <FP SOURCE="FP-1">Standard Oil Company (Ohio)</FP> <FP SOURCE="FP-1">Sterling Energy Company</FP> <FP SOURCE="FP-1">Steve Childs</FP> <FP SOURCE="FP-1">Stix Gas Company, Inc.</FP> <FP SOURCE="FP-1">Sunset Grocery</FP> <FP SOURCE="FP-1">Sunset Oil & Refining, Inc.</FP> <FP SOURCE="FP-1">Swanee Petroleum Company</FP> <FP SOURCE="FP-1">T & P Enterprises</FP> <FP SOURCE="FP-1">T. B. Eley</FP> <FP SOURCE="FP-1">T. E. Jawell</FP> <FP SOURCE="FP-1">Tauber Oil Company</FP> <FP SOURCE="FP-1">Tenneco, Inc.</FP> <FP SOURCE="FP-1">Tesoro Crude Oil Company</FP> <FP SOURCE="FP-1">Texana Oil & Gas Corp.</FP> <FP SOURCE="FP-1">Texas American Petrochemicals (TAP)<PRTPAGE P="62"/> </FP> <FP SOURCE="FP-1">Texas City Refining</FP> <FP SOURCE="FP-1">Texas Eastern Transmission Corp.</FP> <FP SOURCE="FP-1">Texas Energy Reserve Corporation</FP> <FP SOURCE="FP-1">Texas Pacific Oil Company</FP> <FP SOURCE="FP-1">Thomas Cockvell</FP> <FP SOURCE="FP-1">Thomas Petroleum Products, Inc.</FP> <FP SOURCE="FP-1">Thorton Oil Company</FP> <FP SOURCE="FP-1">Thyssen Incorporated</FP> <FP SOURCE="FP-1">Tiger Petroleum Company</FP> <FP SOURCE="FP-1">Time Oil Co.</FP> <FP SOURCE="FP-1">Tipperary Refining Company</FP> <FP SOURCE="FP-1">Tom Banks</FP> <FP SOURCE="FP-1">Tom Smith</FP> <FP SOURCE="FP-1">Tomlinson Petroleum, Inc.</FP> <FP SOURCE="FP-1">Tosco Corporation</FP> <FP SOURCE="FP-1">Total Petroleum, Inc.</FP> <FP SOURCE="FP-1">Trans-Texas Petroleum Corp.</FP> <FP SOURCE="FP-1">Transco Trading Company</FP> <FP SOURCE="FP-1">Turboil Oil and Refining</FP> <FP SOURCE="FP-1">Two Rivers Oil & Gas Co., Inc.</FP> <FP SOURCE="FP-1">U-Fill 'er Up</FP> <FP SOURCE="FP-1">USA Gas, Inc.</FP> <FP SOURCE="FP-1">Uni Oil Company</FP> <FP SOURCE="FP-1">Union Oil of California</FP> <FP SOURCE="FP-1">Doram Energy</FP> <FP SOURCE="FP-1">United Petroleum Marketing</FP> <FP SOURCE="FP-1">United Refining Company</FP> <FP SOURCE="FP-1">United Refining, Inc.</FP> <FP SOURCE="FP-1">Universal Rundle</FP> <FP SOURCE="FP-1">Val-Cap, Inc.</FP> <FP SOURCE="FP-1">Vedetta Oil Trading, Inc.</FP> <FP SOURCE="FP-1">Vedette Oil Trading, Inc.</FP> <FP SOURCE="FP-1">Vickers Energy Corp.</FP> <FP SOURCE="FP-1">W. C. Colquitt</FP> <FP SOURCE="FP-1">W. T. Strickland</FP> <FP SOURCE="FP-1">W. W. Blanton</FP> <FP SOURCE="FP-1">W.A. Nunnally, Jr., Construction Co.</FP> <FP SOURCE="FP-1">W.D. Porterfiled</FP> <FP SOURCE="FP-1">Wellven, Inc.</FP> <FP SOURCE="FP-1">West Texas Marketing Corp.</FP> <FP SOURCE="FP-1">Western Crude Oil, Inc.</FP> <FP SOURCE="FP-1">Western Fuels, Inc.</FP> <FP SOURCE="FP-1">Wight Nurseries of Oglethorpe Co.</FP> <FP SOURCE="FP-1">William Seabolt</FP> <FP SOURCE="FP-1">Wilson's Used Tractors</FP> <FP SOURCE="FP-1">Windsor Gas Corp.</FP> <FP SOURCE="FP-1">Wyoming Refining</FP> </EXTRACT> <EXTRACT> <HD SOURCE="HD1">Appendix B to 10 CFR 210.1—Firms With Completed Payments Subject to Distribution</HD> <P>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.</P> </EXTRACT> <GPOTABLE CDEF="s75,xs68" COLS="2" OPTS="L2"> <BOXHD> <CHED H="1">Name of firm</CHED> <CHED H="1">Location</CHED> </BOXHD> <ROW> <ENT I="01">A. Tarricone Inc</ENT> <ENT>Yonkers, NY.</ENT> </ROW> <ROW> <ENT I="01">Adolph Coors Company</ENT> <ENT>Golden, CO.</ENT> </ROW> <ROW> <ENT I="01">Allied Materials Corp & Excel</ENT> <ENT>Oklahoma City, OK.</ENT> </ROW> <ROW> <ENT I="01">Aminoil USA, Inc</ENT> <ENT>Houston, TX.</ENT> </ROW> <ROW> <ENT I="01">Amtel, Inc</ENT> <ENT>Providence, RI.</ENT> </ROW> <ROW> <ENT I="01">Apache Corporation</ENT> <ENT>Minneapolis, MN.</ENT> </ROW> <ROW> <ENT I="01">APCO Oil Corporation</ENT> <ENT>Oklahoma City, OK.</ENT> </ROW> <ROW> <ENT I="01">Arapaho Petroleum, Inc</ENT> <ENT>Breckenridge, TX.</ENT> </ROW> <ROW> <ENT I="01">Arkansas Louisiana Gas Company</ENT> <ENT>Shreveport, LA.</ENT> </ROW> <ROW> <ENT I="01">Arkla Chemical Corporation</ENT> <ENT>Shreveport, LA.</ENT> </ROW> <ROW> <ENT I="01">Armour Oil Company</ENT> <ENT>San Diego, CA.</ENT> </ROW> <ROW> <ENT I="01">Associated Programs Inc</ENT> <ENT>Boca Raton, FL.</ENT> </ROW> <ROW> <ENT I="01">Atlanta Petroleum Production</ENT> <ENT>Fort Worth, TX.</ENT> </ROW> <ROW> <ENT I="01">Automatic Heat, Inc</ENT> </ROW> <ROW> <ENT I="01">Ayers Oil Company</ENT> <ENT>Canton, MD.</ENT> </ROW> <ROW> <ENT I="01">Aztex Energy Corporation</ENT> <ENT>Knoxville, TN.</ENT> </ROW> <ROW> <ENT I="01">Bak Ltd</ENT> <ENT>Narbeth, PA.</ENT> </ROW> <ROW> <ENT I="01">Bayou State Oil/IDA Gasoline</ENT> <ENT>Shreveport, LA.</ENT> </ROW> <ROW> <ENT I="01">Bayside Fuel Oil Depot Corp</ENT> <ENT>Brooklyn, NY.</ENT> </ROW> <ROW> <ENT I="01">Belridge Oil Company</ENT> <ENT>Los Angeles, CA.</ENT> </ROW> <ROW> <ENT I="01">Blaylock Oil Co., Inc</ENT> <ENT>Homestead, FL.</ENT> </ROW> <ROW> <ENT I="01">Blex Oil Company</ENT> <ENT>Minneapolis, MN.</ENT> </ROW> <ROW> <ENT I="01">Boswell Oil Company</ENT> <ENT>Cincinnati, OH.</ENT> </ROW> <ROW> <ENT I="01">Box, Cloyce K</ENT> <ENT>Dallas, TX.</ENT> </ROW> <ROW> <ENT I="01">Breckenridge Gasoline Company</ENT> <ENT>Kansas City, KS.</ENT> </ROW> <ROW> <ENT I="01">Brownlie, Wallace, Armstrong</ENT> <ENT>Denver, CO.</ENT> </ROW> <ROW> <ENT I="01">Bucks Butane & Propane Service</ENT> <ENT>San Jose, CA.</ENT> </ROW> <ROW> <ENT I="01">Budget Airport Associates</ENT> <ENT>Los Angeles, CA.</ENT> </ROW> <ROW> <ENT I="01">Busler Enterprises Inc</ENT> <ENT>Evansville, IN.</ENT> </ROW> <ROW> <ENT I="01">Butler Petroleum Corp</ENT> <ENT>Butler, PA.</ENT> </ROW> <ROW> <ENT I="01">C.K. Smith & Company, Inc</ENT> <ENT>Worcester, MA.</ENT> </ROW> <ROW> <ENT I="01">Cap Oil Company</ENT> <ENT>Tulsa, OK.</ENT> </ROW> <ROW> <ENT I="01">Champlain Oil Co., Inc</ENT> <ENT>South Burlington, VT.</ENT> </ROW> <ROW> <ENT I="01">Chapman, H.A</ENT> <ENT>Tulsa, OK.</ENT> </ROW> <ROW> <ENT I="01">Cibro Gasoline Corporation</ENT> <ENT>Bronx, NY.</ENT> </ROW> <ROW> <ENT I="01">City Service Inc</ENT> <ENT>Kalispell, MT.</ENT> </ROW> <ROW> <ENT I="01">Coastal Corporation</ENT> <ENT>Houston, TX.</ENT> </ROW> <ROW> <ENT I="01">Coline Gasoline Corporation</ENT> <ENT>Santa Fe Springs, CA.</ENT> </ROW> <ROW> <ENT I="01">Collins Oil Co</ENT> <ENT>Aurora, IL.</ENT> </ROW> <ROW> <ENT I="01">Columbia Oil Co</ENT> <ENT>Hamilton, OH.</ENT> </ROW> <ROW> <ENT I="01">Conlo Service Inc</ENT> <ENT>East Farmingdale, NY.</ENT> </ROW> <ROW> <ENT I="01">Conoco, Inc</ENT> <ENT>Houston, TX.</ENT> </ROW> <ROW> <ENT I="01">Consolidated Gas Supply Corp</ENT> <ENT>Hastings, WV.</ENT> </ROW> <ROW> <ENT I="01">Consolidated Leasing Corp</ENT> <ENT>Los Angeles, CA.</ENT> </ROW> <ROW> <ENT I="01">Consumers Oil Co</ENT> <ENT>Rosemead, CA.</ENT> </ROW> <ROW> <ENT I="01">Continental Resources Company</ENT> <ENT>Winter Park, FL.</ENT> </ROW> <ROW> <ENT I="01">Cordele Operating Co</ENT> <ENT>Corsicana, TX.</ENT> </ROW> <ROW> <ENT I="01">Cosby Oil Co., Inc</ENT> <ENT>Whittier, CA.</ENT> </ROW> <ROW> <ENT I="01">Cougar Oil Co</ENT> <ENT>Selma, AL.</ENT> </ROW> <ROW> <ENT I="01">Cross Oil Co., Inc</ENT> <ENT>Wellstone, MO.</ENT> </ROW> <ROW> <ENT I="01">Crystal Oil Company (formerly Vallery Corp.)</ENT> <ENT>Shreveport, LA.</ENT> </ROW> <ROW> <ENT I="01">Crystal Petroleum Co</ENT> <ENT>Corpus Christi, TX.</ENT> </ROW> <ROW> <ENT I="01">Devon Corporation</ENT> <ENT>Oklahoma City, OK.</ENT> </ROW> <ROW> <ENT I="01">Dorchester Gas Corp</ENT> <ENT>Dallas, TX.</ENT> </ROW> <ROW> <ENT I="01">E.B. Lynn Oil Company</ENT> <ENT>Allentown, PA.</ENT> </ROW> <ROW> <ENT I="01">E.M. Bailey Distributing Co</ENT> <ENT>Paducah, KY.</ENT> </ROW> <ROW> <ENT I="01">Eagle Petroleum Co</ENT> <ENT>Wichita Falls, TX.</ENT> </ROW> <ROW> <ENT I="01">Earls Broadmoor</ENT> <ENT>Houma, LA.</ENT> </ROW> <ROW> <ENT I="01">Earth Resources Co</ENT> <ENT>Dallas, TX.</ENT> </ROW> <ROW> <ENT I="01">Eastern Petroleum Corp</ENT> <ENT>Annapolis, MD.</ENT> </ROW> <ROW> <ENT I="01">Edington Oil Co</ENT> <ENT>Los Angeles, CA.</ENT> </ROW> <ROW> <ENT I="01">Elias Oil Company</ENT> <ENT>West Palm Beach, FL.</ENT> </ROW> <ROW> <ENT I="01">Elm City Filling Stations, Inc</ENT> <ENT>New Haven, CT.</ENT> </ROW> <ROW> <ENT I="01">Empire Oil Co</ENT> <ENT>Bloomington, CA.</ENT> </ROW> <ROW> <ENT I="01">Endicott, Eugene</ENT> <ENT>Redmond, OR.</ENT> </ROW> <ROW> <ENT I="01">Enserch Corp</ENT> <ENT>Dallas, TX.</ENT> </ROW> <ROW> <ENT I="01">Enterprise Oil & Gas Company</ENT> <ENT>Detroit, MI.</ENT> </ROW> <ROW> <ENT I="01">F.O. Fletcher, Inc</ENT> <ENT>Tacoma, WA.</ENT> </ROW> <ROW> <ENT I="01">Fagadau Energy Corporation</ENT> <ENT>Dallas, TX.</ENT> </ROW> <ROW> <ENT I="01">Farstad Oil Company</ENT> <ENT>Minot, ND.</ENT> </ROW> <ROW> <ENT I="01">Field Oil Co., Inc</ENT> <ENT>Ogden, UT.</ENT> </ROW> <ROW> <ENT I="01">Fine Petroleum Co., Inc</ENT> <ENT>Norfolk, VA.</ENT> </ROW> <ROW> <PRTPAGE P="63"/> <ENT I="01">Foster Oil Co</ENT> <ENT>Richmond, MI.</ENT> </ROW> <ROW> <ENT I="01">Franks Petroleum Inc</ENT> <ENT>Shreveport, LA.</ENT> </ROW> <ROW> <ENT I="01">Froesel Oil Co</ENT> </ROW> <ROW> <ENT I="01">Gas Systems Inc</ENT> <ENT>Ft. Worth, TX.</ENT> </ROW> <ROW> <ENT I="01">Gate Petroleum Co., Inc</ENT> <ENT>Jacksonville, FL.</ENT> </ROW> <ROW> <ENT I="01">GCO Minerals Company</ENT> <ENT>Houston, TX.</ENT> </ROW> <ROW> <ENT I="01">Getty Oil Company</ENT> <ENT>Los Angeles, CA.</ENT> </ROW> <ROW> <ENT I="01">Gibbs Industries, Inc</ENT> <ENT>Revere, MA.</ENT> </ROW> <ROW> <ENT I="01">Glaser Gas Inc</ENT> <ENT>Calhoun, CO.</ENT> </ROW> <ROW> <ENT I="01">Glover, Lawrence H</ENT> <ENT>Patchogue, NY.</ENT> </ROW> <ROW> <ENT I="01">Goodman Oil Company</ENT> <ENT>Boise, ID.</ENT> </ROW> <ROW> <ENT I="01">Grant Rent a Car Corporation</ENT> <ENT>Los Angeles, CA.</ENT> </ROW> <ROW> <ENT I="01">Grimes Gasoline Co</ENT> <ENT>Tulsa, OK.</ENT> </ROW> <ROW> <ENT I="01">Gulf Energy & Development Corp. (also known as Gulf Energy Development Corp.)</ENT> <ENT>San Antonio, TX.</ENT> </ROW> <ROW> <ENT I="01">Gulf Oil Corp</ENT> <ENT>Houston, TX.</ENT> </ROW> <ROW> <ENT I="01">Gull Industries, Inc</ENT> <ENT>Seattle, WA.</ENT> </ROW> <ROW> <ENT I="01">H.C. Lewis Oil Co</ENT> <ENT>Welch, WV.</ENT> </ROW> <ROW> <ENT I="01">Hamilton Brothers Petroleum Co</ENT> <ENT>Denver, CO.</ENT> </ROW> <ROW> <ENT I="01">Harris Enterprise Inc</ENT> <ENT>Portland, OR.</ENT> </ROW> <ROW> <ENT I="01">Heller, Glenn Martin</ENT> <ENT>Boston, MA.</ENT> </ROW> <ROW> <ENT I="01">Hendel's Inc</ENT> <ENT>Waterford, CT.</ENT> </ROW> <ROW> <ENT I="01">Henry H. Gungoll Associates</ENT> <ENT>Enid, OK.</ENT> </ROW> <ROW> <ENT I="01">Hertz Corporation, The</ENT> <ENT>New York, NY.</ENT> </ROW> <ROW> <ENT I="01">Hines Oil Co</ENT> <ENT>Murphysboro, IL.</ENT> </ROW> <ROW> <ENT I="01">Horner & Smith, A Partnership</ENT> <ENT>Houston, TX.</ENT> </ROW> <ROW> <ENT I="01">Houston Natural Gas Corp</ENT> <ENT>Houston, TX.</ENT> </ROW> <ROW> <ENT I="01">Howell Corporation/Quintana Refinery Co</ENT> <ENT>Houston, TX.</ENT> </ROW> <ROW> <ENT I="01">Hunt Industries</ENT> <ENT>Dallas, TX.</ENT> </ROW> <ROW> <ENT I="01">Hunt Petroleum Corp</ENT> <ENT>Dallas, TX.</ENT> </ROW> <ROW> <ENT I="01">Husky Oil Company of Delaware</ENT> <ENT>Cody, WY.</ENT> </ROW> <ROW> <ENT I="01">Ideal Gas Co., Inc</ENT> <ENT>Nyassa, OR.</ENT> </ROW> <ROW> <ENT I="01">Independent Oil & Tire Company</ENT> <ENT>Elyria, OH.</ENT> </ROW> <ROW> <ENT I="01">Inland USA, Inc</ENT> <ENT>St. Louis, MO.</ENT> </ROW> <ROW> <ENT I="01">Inman Oil Co</ENT> <ENT>Salem, MO.</ENT> </ROW> <ROW> <ENT I="01">Internorth, Inc</ENT> <ENT>Omaha, NE.</ENT> </ROW> <ROW> <ENT I="01">J.E. DeWitt, Inc</ENT> <ENT>South El Monte, CA.</ENT> </ROW> <ROW> <ENT I="01">J.M. Huber Corp</ENT> <ENT>Houston, TX.</ENT> </ROW> <ROW> <ENT I="01">James Petroleum Corp</ENT> <ENT>Bakersfield, CA.</ENT> </ROW> <ROW> <ENT I="01">Jay Oil Company</ENT> <ENT>Fort Smith, AR.</ENT> </ROW> <ROW> <ENT I="01">Jimmys Gas Stations Inc</ENT> <ENT>Auburn, ME.</ENT> </ROW> <ROW> <ENT I="01">Jones Drilling Corporation</ENT> <ENT>Duncan, OK.</ENT> </ROW> <ROW> <ENT I="01">Juniper Petroleum Corporation</ENT> <ENT>Denver, CO.</ENT> </ROW> <ROW> <ENT I="01">Kansas-Nebraska Natural Gas Co</ENT> <ENT>Hastings, NE.</ENT> </ROW> <ROW> <ENT I="01">Keller Oil Company, Inc</ENT> <ENT>Effingham, IL.</ENT> </ROW> <ROW> <ENT I="01">Kenny Larson Oil Co., Inc</ENT> </ROW> <ROW> <ENT I="01">Kent Oil & Trading Company</ENT> <ENT>Houston, TX.</ENT> </ROW> <ROW> <ENT I="01">Key Oil Co., Inc</ENT> <ENT>Tuscaloosa, AL.</ENT> </ROW> <ROW> <ENT I="01">Key Oil Company</ENT> <ENT>Bowling Green, KY.</ENT> </ROW> <ROW> <ENT I="01">Kiesel Co</ENT> <ENT>St. Louis, MO.</ENT> </ROW> <ROW> <ENT I="01">King & King Enterprise</ENT> <ENT>Kansas City, MO.</ENT> </ROW> <ROW> <ENT I="01">Kingston Oil Supply Corp</ENT> <ENT>Port Ewen, NY.</ENT> </ROW> <ROW> <ENT I="01">Kirby Oil Company</ENT> </ROW> <ROW> <ENT I="01">L & L Oil Co., Inc</ENT> <ENT>Belle Chasse, LA.</ENT> </ROW> <ROW> <ENT I="01">L.P. Rech Distributing Co</ENT> <ENT>Roundup, MT.</ENT> </ROW> <ROW> <ENT I="01">La Gloria Oil and Gas Co</ENT> <ENT>Houston, TX.</ENT> </ROW> <ROW> <ENT I="01">Lakes Gas Co., Inc</ENT> <ENT>Forest Lake, MN.</ENT> </ROW> <ROW> <ENT I="01">Lakeside Refining Co./Crystal</ENT> <ENT>Southfield, MI.</ENT> </ROW> <ROW> <ENT I="01">Landsea Oil Company</ENT> <ENT>Irvine, CA.</ENT> </ROW> <ROW> <ENT I="01">Leathers Oil Co., Inc</ENT> <ENT>Portland, OR.</ENT> </ROW> <ROW> <ENT I="01">Leese Oil Company</ENT> <ENT>Pocatello, ID.</ENT> </ROW> <ROW> <ENT I="01">Leonard E. Belcher, Inc</ENT> <ENT>Springfield, MA.</ENT> </ROW> <ROW> <ENT I="01">Lincoln Land Oil Co</ENT> <ENT>Springfield, IL.</ENT> </ROW> <ROW> <ENT I="01">Liquid Products Recovery</ENT> <ENT>Houston, TX.</ENT> </ROW> <ROW> <ENT I="01">Little America Refining Co</ENT> <ENT>Salt Lake City, UT.</ENT> </ROW> <ROW> <ENT I="01">Lockheed Air Terminal Inc</ENT> <ENT>Burbank, CA.</ENT> </ROW> <ROW> <ENT I="01">Lowe Oil Company</ENT> <ENT>Clinton, MO.</ENT> </ROW> <ROW> <ENT I="01">Lucia Lodge Arco</ENT> <ENT>Big Sur, CA.</ENT> </ROW> <ROW> <ENT I="01">Luke Brothers Inc</ENT> <ENT>Calera, OK.</ENT> </ROW> <ROW> <ENT I="01">Lunday Thargard Oil</ENT> <ENT>South Gate, CA.</ENT> </ROW> <ROW> <ENT I="01">Malco Industries Inc</ENT> <ENT>Cleveland, OH.</ENT> </ROW> <ROW> <ENT I="01">Mapco, Inc</ENT> <ENT>Tulsa, OK.</ENT> </ROW> <ROW> <ENT I="01">Marine Petroleum Co</ENT> <ENT>St. Louis, MO.</ENT> </ROW> <ROW> <ENT I="01">Marlen L. Knutson Dist. Inc</ENT> <ENT>Stanwood, WA.</ENT> </ROW> <ROW> <ENT I="01">Martin Oil Service, Inc</ENT> <ENT>Blue Island, IL.</ENT> </ROW> <ROW> <ENT I="01">Martinoil Company</ENT> <ENT>Fresno, CA.</ENT> </ROW> <ROW> <ENT I="01">Marvel Fuel Oil and Gas Co</ENT> </ROW> <ROW> <ENT I="01">McCarty Oil Co</ENT> <ENT>Wapakoneta, OH.</ENT> </ROW> <ROW> <ENT I="01">McCleary Oil Co., Inc</ENT> <ENT>Chambersburg, OH.</ENT> </ROW> <ROW> <ENT I="01">McClure's Service Station</ENT> <ENT>Salisbury, PA.</ENT> </ROW> <ROW> <ENT I="01">McTan Corporation</ENT> <ENT>Abilene, TX.</ENT> </ROW> <ROW> <ENT I="01">Mesa Petroleum Company</ENT> <ENT>Amarillo, TX.</ENT> </ROW> <ROW> <ENT I="01">Midway Oil Co</ENT> <ENT>Rock Island, IL.</ENT> </ROW> <ROW> <ENT I="01">Midwest Industrial Fuels, Inc</ENT> <ENT>La Crosse, WI.</ENT> </ROW> <ROW> <ENT I="01">Mississippi River Transmission</ENT> <ENT>St. Louis, MO.</ENT> </ROW> <ROW> <ENT I="01">Mitchell Energy Corp</ENT> <ENT>Woodlands, TX.</ENT> </ROW> <ROW> <ENT I="01">Montana Power Co</ENT> <ENT>Butte, MT.</ENT> </ROW> <ROW> <ENT I="01">Moore Terminal and Barge Co</ENT> <ENT>Monroe, LA.</ENT> </ROW> <ROW> <ENT I="01">Mountain Fuel Supply Company</ENT> <ENT>Salt Lake City, UT.</ENT> </ROW> <ROW> <ENT I="01">Moyle Petroleum Co</ENT> <ENT>Rapid City, SD.</ENT> </ROW> <ROW> <ENT I="01">Mustang Fuel Corporation</ENT> <ENT>Oklahoma City, OK.</ENT> </ROW> <ROW> <ENT I="01">Naphsol Refining Company</ENT> <ENT>Muskegon, MI.</ENT> </ROW> <ROW> <ENT I="01">National Helium Corporation</ENT> <ENT>Liberal, KS.</ENT> </ROW> <ROW> <ENT I="01">National Propane Corp</ENT> <ENT>Wyandanch, NY.</ENT> </ROW> <ROW> <ENT I="01">Navajo Refining Company</ENT> <ENT>Dallas, TX.</ENT> </ROW> <ROW> <ENT I="01">Nielson Oil & Propane, Inc</ENT> <ENT>West Point, NE.</ENT> </ROW> <ROW> <ENT I="01">Northeast Petroleum Industries</ENT> <ENT>Chelsea, MA.</ENT> </ROW> <ROW> <ENT I="01">Northeastern Oil Co., Inc</ENT> <ENT>Gillette, WY.</ENT> </ROW> <ROW> <ENT I="01">Northwest Pipeline Corp</ENT> <ENT>Salt Lake City, UT.</ENT> </ROW> <ROW> <ENT I="01">O'Connell Oil Co</ENT> <ENT>Pittsfield, MA.</ENT> </ROW> <ROW> <ENT I="01">Oceana Terminal Corp. et al</ENT> <ENT>Bronx, NY.</ENT> </ROW> <ROW> <ENT I="01">OKC Corporation</ENT> <ENT>Dallas, TX.</ENT> </ROW> <ROW> <ENT I="01">Olin Corporation</ENT> <ENT>Stamford, CT.</ENT> </ROW> <ROW> <ENT I="01">Oneok Incorporation</ENT> <ENT>Tulsa, OK.</ENT> </ROW> <ROW> <ENT I="01">Ozona Gas Processing Plant</ENT> <ENT>Tyler, TX.</ENT> </ROW> <ROW> <ENT I="01">Pacer Oil Co. of Florida, Inc</ENT> <ENT>Ormond Beach, FL.</ENT> </ROW> <ROW> <ENT I="01">Pacific Northern Oil</ENT> <ENT>Seattle, WA.</ENT> </ROW> <ROW> <ENT I="01">Panhandle Eastern (Century)</ENT> <ENT>Houston, TX.</ENT> </ROW> <ROW> <ENT I="01">Parade Company</ENT> <ENT>Shreveport, LA.</ENT> </ROW> <ROW> <ENT I="01">Parham Oil Corporation</ENT> <ENT>Nashville, TN.</ENT> </ROW> <ROW> <ENT I="01">Pasco Petroleum Co., Inc</ENT> <ENT>Phoenix, AZ.</ENT> </ROW> <ROW> <ENT I="01">Pedersen Oil, Inc</ENT> <ENT>Silverdale, WA.</ENT> </ROW> <ROW> <ENT I="01">Pennzoil Company</ENT> <ENT>Houston, TX.</ENT> </ROW> <ROW> <ENT I="01">Perry Gas Processors, Inc</ENT> <ENT>Odessa, TX.</ENT> </ROW> <ROW> <ENT I="01">Peoples Energy Corp</ENT> <ENT>Chicago, IL.</ENT> </ROW> <ROW> <ENT I="01">Perta Oil Marketing Corp</ENT> <ENT>Beverly Hills, CA.</ENT> </ROW> <ROW> <ENT I="01">Peterson Petroleum Inc</ENT> <ENT>Hudson, NY.</ENT> </ROW> <ROW> <ENT I="01">Petro-Lewis Corp</ENT> <ENT>Denver, CO.</ENT> </ROW> <ROW> <ENT I="01">Petrolane-Lomita Gasoline Co</ENT> <ENT>Long Beach, CA.</ENT> </ROW> <ROW> <ENT I="01">Petroleum Heat & Power Co. Inc</ENT> <ENT>Stamford, CT.</ENT> </ROW> <ROW> <ENT I="01">Petroleum Sales/Services Inc</ENT> <ENT>Buffalo, NY.</ENT> </ROW> <ROW> <ENT I="01">Pioneer Corp</ENT> <ENT>Amarillo, TX.</ENT> </ROW> <ROW> <ENT I="01">Planet Engineers Inc</ENT> <ENT>Denver, CO.</ENT> </ROW> <ROW> <ENT I="01">Plateau, Inc</ENT> <ENT>Albuquerque, NM.</ENT> </ROW> <ROW> <ENT I="01">Plaquemines Oil Sales</ENT> <ENT>Belle Chasse, LA.</ENT> </ROW> <ROW> <ENT I="01">Point Landing Inc</ENT> <ENT>Hanrahan, LA.</ENT> </ROW> <ROW> <ENT I="01">Port Oil Company, Inc</ENT> <ENT>Mobile, AL.</ENT> </ROW> <ROW> <ENT I="01">Post Petroleum Co</ENT> <ENT>West Sacramento, CA.</ENT> </ROW> <ROW> <ENT I="01">Power Pak Co., Inc</ENT> <ENT>Houston, TX.</ENT> </ROW> <ROW> <ENT I="01">Pride Refining, Inc</ENT> <ENT>Abilene, TX.</ENT> </ROW> <ROW> <ENT I="01">Pronto Gas Co</ENT> <ENT>Abilene, TX.</ENT> </ROW> <ROW> <ENT I="01">Propane Gas & Appliance Co</ENT> <ENT>New Brockton, AL.</ENT> </ROW> <ROW> <ENT I="01">Prosper Energy Corporation</ENT> <ENT>Dallas, TX.</ENT> </ROW> <ROW> <ENT I="01">Pyro Energy Corporation</ENT> <ENT>Evansville, IN.</ENT> </ROW> <ROW> <ENT I="01">Pyrofax Gas Corporation</ENT> <ENT>Houston, TX.</ENT> </ROW> <ROW> <ENT I="01">Quaker State Oil</ENT> <ENT>Oil City, PA.</ENT> </ROW> <ROW> <ENT I="01">Quarles Petroleum, Inc</ENT> <ENT>Fredericksburg, VA.</ENT> </ROW> <ROW> <ENT I="01">Resources Extraction Process</ENT> <ENT>Houston, TX.</ENT> </ROW> <ROW> <ENT I="01">Reynolds Oil Co</ENT> <ENT>Kremling, CO.</ENT> </ROW> <ROW> <ENT I="01">Richardson Ayers Jobbers, Inc</ENT> <ENT>Alexandria, LA.</ENT> </ROW> <ROW> <ENT I="01">Riverside Oil, Inc</ENT> <ENT>Evansville, IN.</ENT> </ROW> <ROW> <ENT I="01">Roberts Oil Co. Inc</ENT> <ENT>Albuquerque, NM.</ENT> </ROW> <ROW> <ENT I="01">Rookwood Oil Terminals Inc</ENT> <ENT>Cincinnati, OH.</ENT> </ROW> <ROW> <ENT I="01">Saber Energy, Inc</ENT> <ENT>Houston, TX.</ENT> </ROW> <ROW> <ENT I="01">Sanesco Oil Co</ENT> <ENT>Escondido, CA.</ENT> </ROW> <ROW> <ENT I="01">Schroeder Oil Company</ENT> <ENT>Carroll, IA.</ENT> </ROW> <ROW> <PRTPAGE P="64"/> <ENT I="01">Seminole Refining Inc</ENT> <ENT>St. Marks, FL.</ENT> </ROW> <ROW> <ENT I="01">Sid Richardson Carbon & Gas</ENT> <ENT>Ft. Worth, TX.</ENT> </ROW> <ROW> <ENT I="01">Sigmore Corporation</ENT> <ENT>San Antonio, TX.</ENT> </ROW> <ROW> <ENT I="01">Southwestern Refining Co., Inc</ENT> <ENT>Salt Lake City, UT.</ENT> </ROW> <ROW> <ENT I="01">Speedway Petroleum Co., Inc</ENT> <ENT>Fitchburg, MA.</ENT> </ROW> <ROW> <ENT I="01">St. James Resources Corp</ENT> <ENT>Boston, MA.</ENT> </ROW> <ROW> <ENT I="01">Standard Oil Co. (Indiana)</ENT> <ENT>Chicago, IL.</ENT> </ROW> <ROW> <ENT I="01">Stinnes Inter Oil Inc</ENT> <ENT>New York, NY.</ENT> </ROW> <ROW> <ENT I="01">Tenneco Oil Company</ENT> <ENT>Houston, TX.</ENT> </ROW> <ROW> <ENT I="01">Texas/Arkansas/Colorado/Oklahoma/Oil Purchasing</ENT> <ENT>Dallas, TX.</ENT> </ROW> <ROW> <ENT I="01">Texas Gas & Exploration</ENT> <ENT>Dallas, TX.</ENT> </ROW> <ROW> <ENT I="01">Texas Oil & Gas Corporation</ENT> <ENT>Dallas, TX.</ENT> </ROW> <ROW> <ENT I="01">Texas Pacific Oil Company, Inc</ENT> <ENT>Dallas, TX.</ENT> </ROW> <ROW> <ENT I="01">The True Companies</ENT> <ENT>Casper, WY.</ENT> </ROW> <ROW> <ENT I="01">Thompson Oil Inc</ENT> <ENT>Purcellville, VA.</ENT> </ROW> <ROW> <ENT I="01">Tiger Oil Co</ENT> <ENT>Yakima, WA.</ENT> </ROW> <ROW> <ENT I="01">Time Oil Company</ENT> <ENT>Seattle, WA.</ENT> </ROW> <ROW> <ENT I="01">Tipperary Corp</ENT> <ENT>Midland, TX.</ENT> </ROW> <ROW> <ENT I="01">Tippins Oil & Gas Co</ENT> <ENT>Richmond, MO.</ENT> </ROW> <ROW> <ENT I="01">Triton Oil & Gas Corp</ENT> <ENT>Dallas, TX.</ENT> </ROW> <ROW> <ENT I="01">U.S. Compressed Gas Company</ENT> <ENT>King of Prussia, PA.</ENT> </ROW> <ROW> <ENT I="01">U.S. Oil Company</ENT> <ENT>Combined Locks, WI.</ENT> </ROW> <ROW> <ENT I="01">U.S.A. Petroleum, Inc</ENT> <ENT>Santa Monica, CA.</ENT> </ROW> <ROW> <ENT I="01">Union Texas Petroleum Corp</ENT> <ENT>Houston, TX.</ENT> </ROW> <ROW> <ENT I="01">United Oil Company</ENT> <ENT>Hillside, NJ.</ENT> </ROW> <ROW> <ENT I="01">Upham Oil & Gas Co</ENT> <ENT>Mineral Wells, TX.</ENT> </ROW> <ROW> <ENT I="01">Vangas Inc</ENT> <ENT>Fresno, CA.</ENT> </ROW> <ROW> <ENT I="01">VGS Corporation</ENT> <ENT>Jackson, MS.</ENT> </ROW> <ROW> <ENT I="01">Waller Petroleum Company, Inc</ENT> <ENT>Towson, MD.</ENT> </ROW> <ROW> <ENT I="01">Warren Holding Company</ENT> <ENT>Providence, RI.</ENT> </ROW> <ROW> <ENT I="01">Warrior Asphalt Co. of Alabama</ENT> <ENT>Tuscaloosa, AL.</ENT> </ROW> <ROW> <ENT I="01">Webco Southern Oil Inc</ENT> <ENT>Smyrna, CA.</ENT> </ROW> <ROW> <ENT I="01">Wellen Oil Co</ENT> <ENT>Jersey City, NJ</ENT> </ROW> <ROW> <ENT I="01">Wiesehan Oil Co</ENT> </ROW> <ROW> <ENT I="01">Willis Distributing Company</ENT> <ENT>Erie, PA.</ENT> </ROW> <ROW> <ENT I="01">Winston Refining Company</ENT> <ENT>Fort Worth, TX.</ENT> </ROW> <ROW> <ENT I="01">Witco Chemical Corporation</ENT> <ENT>New York, NY.</ENT> </ROW> <ROW> <ENT I="01">World Oil Company</ENT> <ENT>Los Angeles, CA.</ENT> </ROW> <ROW> <ENT I="01">Worldwide Energy Corp</ENT> <ENT>Denver, CO.</ENT> </ROW> <ROW> <ENT I="01">Young Refining Corporation</ENT> <ENT>Douglasville, GA.</ENT> </ROW> <ROW> <ENT I="01">Zia Fuels (G.G.C. Corp.)</ENT> <ENT>Hobbs, NM.</ENT> </ROW> </GPOTABLE> <APPRO>(Approved by the Office of Management and Budget under control number 1903-0073)</APPRO> <CITA>[50 FR 4962, Feb. 5, 1985]</CITA> </SECTION> </SUBPART> <SUBPART> <RESERVED>Subparts B-D [Reserved]</RESERVED> </SUBPART> </PART> <PART> <EAR>Pt. 212</EAR> <HD SOURCE="HED">PART 212—MANDATORY PETROLEUM PRICE REGULATIONS</HD> <CONTENTS> <SUBPART> <RESERVED>Subparts A-C [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Producers of Crude Oil</HD> <SECHD>Sec.</SECHD> <SECTNO>212.78</SECTNO> <SUBJECT>Tertiary incentive crude oil.</SUBJECT> </SUBPART> <SUBPART> <RESERVED>Subparts E-I [Reserved]</RESERVED> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>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.</P> </AUTH> <SUBPART> <RESERVED>Subparts A-C [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Producers of Crude Oil</HD> <SECTION> <SECTNO>§ 212.78</SECTNO> <SUBJECT>Tertiary incentive crude oil.</SUBJECT> <P> <E T="03">Annual prepaid expenses report.</E> 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.</P> <APPRO>(Approved by the Office of Management and Budget under OMB Control No.: 1903-0069)</APPRO> <CITA>[46 FR 43654, Aug. 31, 1981, as amended at 46 FR 63209, Dec. 31, 1981]</CITA> </SECTION> </SUBPART> <SUBPART> <RESERVED>Subparts E-I [Reserved]</RESERVED> </SUBPART> </PART> <PART> <EAR>Pt. 215</EAR> <HD SOURCE="HED">PART 215—COLLECTION OF FOREIGN OIL SUPPLY AGREEMENT INFORMATION</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>215.1</SECTNO> <SUBJECT>Purpose.</SUBJECT> <SECTNO>215.2</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>215.3</SECTNO> <SUBJECT>Supply reports.<PRTPAGE P="65"/> </SUBJECT> <SECTNO>215.4</SECTNO> <SUBJECT>Production of contracts and documents.</SUBJECT> <SECTNO>215.5</SECTNO> <SUBJECT>Pricing and volume reports.</SUBJECT> <SECTNO>215.6</SECTNO> <SUBJECT>Notice of negotiations.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>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.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>42 FR 48330, Sept. 23, 1977, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 215.1</SECTNO> <SUBJECT>Purpose.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 215.2</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>As used in this subpart:</P> <P> <E T="03">Administrator</E> means the Federal Energy Administrator or his delegate.</P> <P> <E T="03">DOE</E> means the Department of Energy.</P> <P> <E T="03">Host government</E> means the government of the country in which crude oil is produced and includes any entity which it controls, directly or indirectly.</P> <P> <E T="03">Person</E> 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.</P> </SECTION> <SECTION> <SECTNO>§ 215.3</SECTNO> <SUBJECT>Supply reports.</SUBJECT> <P>(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.</P> <P>(1) Parties (including partners and percentage interest, where applicable).</P> <P>(2) Grade or grades available; loading terminal or terminals.</P> <P>(3) Government imposed production limits, if any.</P> <P>(4) Minimum lifting obligation and maximum lifting rights.</P> <P>(5) Details of lifting options within the above limits.</P> <P>(6) Expiration and renegotiation dates.</P> <P>(7) Price terms including terms of rebates, discounts, and number of days of credit calculated from the date of loading.</P> <P>(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.</P> <P>(9) Related service or other fees and cost of providing services.</P> <P>(10) Restrictions on shipping or disposition.</P> <P>(11) Other material contract terms.</P> <P>(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 <E T="04">Federal Register,</E> (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.</P> <P>(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 <PRTPAGE P="66"/>such designation shall be signed by a duly authorized representative of each participant, and shall specify:</P> <P>(1) The precise rights, obligations, or limitations to be covered by the designation; and</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 215.4</SECTNO> <SUBJECT>Production of contracts and documents.</SUBJECT> <P>Whenever the Administrator determines that certain foreign crude oil supply information is necessary to assist in the formulation of energy policy or to carry out any other function of the Administrator, he may require the production by any person of any agreement or document relating to foreign oil supply arrangements or reports related thereto. Such material shall be provided pursuant to the conditions prescribed by the Administrator at the time of such order or subsequently. As used in this section, the term “agreement” includes proposed or draft agreements, and agreements in which the parties have tentatively concurred but have not yet signed, between or among persons and a host country.</P> </SECTION> <SECTION> <SECTNO>§ 215.5</SECTNO> <SUBJECT>Pricing and volume reports.</SUBJECT> <P>To the extent not reported pursuant to § 215.3, any person lifting for export crude oil from a country shall report to the DOE within 30 days of the date on which he receives actual notice:</P> <P>(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</P> <P>(b) Any changes in restrictions on lifting, production, or disposition.</P> </SECTION> <SECTION> <SECTNO>§ 215.6</SECTNO> <SUBJECT>Notice of negotiations.</SUBJECT> <P>Any person conducting negotiations with a host government which may reasonably lead to the establishment of any supply arrangement subject to reporting pursuant to § 215.3(a), or may reasonably have a significant effect on the terms and conditions of an arrangement subject to § 215.3(a), shall notify DOE of such negotiations. Such notice shall be made no later than the later of 30 days after the effective date of this regulation or within 14 days after such negotiations meet the conditions of this section, and shall specify all persons involved and the host government affected. Notice must be in writing to the Assistant Administrator for International Energy Affairs. Where this notice pertains to negotiations to modify a supply agreement previously reported to the Department of Energy under this part, such notice shall include the agreement serial number assigned to the basic agreement.</P> </SECTION> </PART> <PART> <EAR>Pt. 216</EAR> <HD SOURCE="HED">PART 216—MATERIALS ALLOCATION AND PRIORITY PERFORMANCE UNDER CONTRACTS OR ORDERS TO MAXIMIZE DOMESTIC ENERGY SUPPLIES</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>216.1</SECTNO> <SUBJECT>Introduction.</SUBJECT> <SECTNO>216.2</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>216.3</SECTNO> <SUBJECT>Requests for assistance.</SUBJECT> <SECTNO>216.4</SECTNO> <SUBJECT>Evaluation by DOE of applications.</SUBJECT> <SECTNO>216.5</SECTNO> <SUBJECT>Notification of findings.</SUBJECT> <SECTNO>216.6</SECTNO> <SUBJECT>Petition for reconsideration.</SUBJECT> <SECTNO>216.7</SECTNO> <SUBJECT>Conflict in priority orders.</SUBJECT> <SECTNO>216.8</SECTNO> <SUBJECT>Communications.</SUBJECT> <SECTNO>216.9</SECTNO> <SUBJECT>Violations.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>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.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>43 FR 6212, Feb. 14, 1978, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 216.1</SECTNO> <SUBJECT>Introduction.</SUBJECT> <P>(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 <PRTPAGE P="67"/>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.</P> <P>(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.</P> <P>(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.</P> <CITA>[73 FR 10983, Feb. 29, 2008]</CITA> </SECTION> <SECTION> <SECTNO>§ 216.2</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>As used in these regulations:</P> <P>(a) <E T="03">Secretary</E> means the Secretary of the Department of Energy.</P> <P>(b) <E T="03">Applicant</E> means a person requesting priorities or allocation assistance in connection with an energy program or project.</P> <P>(c) <E T="03">Application</E> means the written request of an applicant for assistance.</P> <P>(d) <E T="03">Assistance</E> means use of the authority vested in the President by DPA section 101(c) to implement priorities and allocation support.</P> <P>(e) <E T="03">DHS</E> means the Department of Homeland Security.</P> <P>(f) <E T="03">DOC</E> means the Department of Commerce.</P> <P>(g) <E T="03">DOE</E> means the Department of Energy.</P> <P>(h) <E T="03">Defense Priorities and Allocations System Coordination Office</E> means the Department of Energy, Office of Electricity and Energy Assurance, OE-30.</P> <P>(i) <E T="03">Eligible energy program or project</E> 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.</P> <P>(j) <E T="03">Facilities</E> 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.<PRTPAGE P="68"/> </P> <P>(k) <E T="03">Materials and equipment</E> means: (1) Any raw materials (including minerals, metals, and advanced processed materials), commodities, articles, components (including critical components), products, and items of supply; and</P> <P>(2) Any technical information or services ancillary to the use of such raw materials, commodities, articles, components, products, or items.</P> <P>(l) <E T="03">National Defense</E> 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, <E T="03">et seq.</E>) and critical infrastructure protection and restoration.</P> <P>(m) <E T="03">Person</E> 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.</P> <P>(n) <E T="03">Services</E> include any effort that is needed for or incidental to:</P> <P>(1) The development, production, processing, distribution, delivery, or use of an industrial resource, or critical technology item; or</P> <P>(2) The construction of facilities.</P> <CITA>[43 FR 6212, Feb. 14, 1978, as amended at 51 FR 8311, Mar. 11, 1986; 73 FR 10983, Feb. 29, 2008]</CITA> </SECTION> <SECTION> <SECTNO>§ 216.3</SECTNO> <SUBJECT>Requests for assistance.</SUBJECT> <P>(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:</P> <P>(1) The name and address of the applicant and of its duly authorized representative.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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).</P> <P>(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.</P> <P>(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.</P> <P>(8) Evidence of the applicant's unsuccessful efforts to obtain on a timely basis the materials and equipment, services, or facilities in question <PRTPAGE P="69"/>through normal business channels from current or other known suppliers.</P> <P>(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.</P> <P>(10) Any known conflicts with rated orders already issued pursuant to the DPA for supplies of the described materials and equipment, services, or facilities.</P> <P>(b) DOE, on consultation with the DOC, may prescribe standard forms of application or letters of instruction for use by all persons seeking assistance.</P> <P>(c) In addition to the information described above, DOE may from time to time request whatever additional information it reasonably believes is relevant to the discharge of its functions pursuant to DPA section 101(c).</P> <CITA>[43 FR 6212, Feb. 14, 1978, as amended at 51 FR 8311, Mar. 11, 1986; 73 FR 10983, Feb. 29, 2008]</CITA> </SECTION> <SECTION> <SECTNO>§ 216.4</SECTNO> <SUBJECT>Evaluation by DOE of applications.</SUBJECT> <P>(a) Based on the information provided by the applicant and other available information, DOE will:</P> <P>(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</P> <P>(2) Find whether the described supplies of materials and equipment, services, or facilities are critical and essential to the eligible energy program or project.</P> <P>(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:</P> <P>(1) Quantity of energy involved;</P> <P>(2) Benefits of timely energy program furtherance or project completion;</P> <P>(3) Socioeconomic impact;</P> <P>(4) The need for the end product for which the materials and equipment, services, or facilities are allegedly required; and</P> <P>(5) Established national energy policies.</P> <P>(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:</P> <P>(1) Availability and utility of substitute materials and equipment, services, or facilities; and</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <CITA>[43 FR 6212, Feb. 14, 1978, as amended at 73 FR 10984, Feb. 29, 2008]</CITA> </SECTION> <SECTION> <SECTNO>§ 216.5</SECTNO> <SUBJECT>Notification of findings.</SUBJECT> <P>(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.</P> <P>(b) If DOC notifies DOE that DOC has found that supplies of materials and equipment, services, or facilities for <PRTPAGE P="70"/>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.</P> <CITA>[73 FR 10984, Feb. 29, 2008]</CITA> </SECTION> <SECTION> <SECTNO>§ 216.6</SECTNO> <SUBJECT>Petition for reconsideration.</SUBJECT> <P>If DOE, after evaluating an application in accordance with § 216.4, does not determine that the energy program or project maximizes domestic energy supplies or does not find that the supplies of materials and equipment, services, or facilities described in the application are critical and essential to an eligible energy program or project, it will so notify the applicant and the applicant may petition DOE for reconsideration. If DOE concludes at any time that findings previously made are no longer valid and should be withdrawn, DOE will so notify the affected applicant(s), and such applicant(s) may petition DOE for reconsideration of the withdrawal decision. A petition is deemed accepted when received by DOE at the address stated in § 216.8. DOE will consider the petition for reconsideration and either grant or deny the relief requested. Written notice of the decision and of the reasons for the decision will be provided to the applicant. There has not been an exhaustion of administrative remedies until a petition for reconsideration has been submitted and the review procedure completed by grant or denial of the relief requested. The denial of relief requested in a petition for reconsideration is a final administrative decision.</P> <CITA>[43 FR 6212, Feb. 14, 1978, as amended at 51 FR 8312, Mar. 11, 1986; 73 FR 10984, Feb. 29, 2008]</CITA> </SECTION> <SECTION> <SECTNO>§ 216.7</SECTNO> <SUBJECT>Conflict in priority orders.</SUBJECT> <P>If it appears that the use of assistance pursuant to DPA section 101(c) creates or threatens to create a conflict with priorities and allocation support provided in connection with the national defense pursuant to DPA section 101(a), DOE will work with the DOC and other claimant agencies affected by the conflict to reschedule deliveries or otherwise accommodate the competing demands. If acceptable solutions cannot be agreed upon by the claimant agencies DHS will attempt to resolve theconflicts.</P> <CITA>[43 FR 6212, Feb. 14, 1978, as amended at 51 FR 8312, Mar. 11, 1986; 73 FR 10984, Feb. 29, 2008]</CITA> </SECTION> <SECTION> <SECTNO>§ 216.8</SECTNO> <SUBJECT>Communications.</SUBJECT> <P>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.</P> <CITA>[73 FR 10984, Feb. 29, 2008]</CITA> </SECTION> <SECTION> <SECTNO>§ 216.9</SECTNO> <SUBJECT>Violations.</SUBJECT> <P>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.</P> </SECTION> </PART> <PART> <EAR>Pt. 218</EAR> <HD SOURCE="HED">PART 218—STANDBY MANDATORY INTERNATIONAL OIL ALLOCATION</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General Provisions</HD> <SECHD>Sec.</SECHD> <SECTNO>218.1</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <SECTNO>218.2</SECTNO> <SUBJECT>Activation/Deactivation.</SUBJECT> <SECTNO>218.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Supply Orders</HD> <SECTNO>218.10</SECTNO> <SUBJECT>Rule.</SUBJECT> <SECTNO>218.11</SECTNO> <SUBJECT>Supply orders.</SUBJECT> <SECTNO>218.12</SECTNO> <SUBJECT>Pricing.</SUBJECT> </SUBPART> <SUBPART> <RESERVED>Subpart C [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Procedures</HD> <SECTNO>218.30</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <SECTNO>218.31</SECTNO> <SUBJECT>Incorporated procedures.</SUBJECT> <SECTNO>218.32</SECTNO> <SUBJECT>Review.</SUBJECT> <SECTNO>218.33</SECTNO> <SUBJECT>Stay.</SUBJECT> <SECTNO>218.34</SECTNO> <SUBJECT>Addresses.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Investigations, Violations, Sanctions and Judicial Actions</HD> <SECTNO>218.40</SECTNO> <SUBJECT>Investigations.</SUBJECT> <SECTNO>218.41</SECTNO> <SUBJECT>Violations.<PRTPAGE P="71"/> </SUBJECT> <SECTNO>218.42</SECTNO> <SUBJECT>Sanctions.</SUBJECT> <SECTNO>218.43</SECTNO> <SUBJECT>Injunctions.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>15 U.S.C. 751 <E T="03">et seq.</E>; 15 U.S.C. 787 <E T="03">et seq.</E>; 42 U.S.C. 6201 <E T="03">et seq.</E>; 42 U.S.C. 7101 <E T="03">et seq.</E>; E.O. 11790, 39 FR 23185; E.O. 12009, 42 FR 46267; 28 U.S.C. 2461 note.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>44 FR 27972, May 14, 1979, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General Provisions</HD> <SECTION> <SECTNO>§ 218.1</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <P>(a) This part implements section 251 of the Energy Policy and Conservation Act (Pub. L. 94-163) (42 U.S.C. 6271), as amended, which authorizes the President to take such action as he determines to be necessary for performance of the obligations of the United States under chapters III and IV of the Agreement on an International Energy Program (TIAS 8278), insofar as such obligations relate to the mandatory international allocation of oil by International Energy Program participating countries.</P> <P>(b) <E T="03">Applicability.</E> 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.</P> </SECTION> <SECTION> <SECTNO>§ 218.2</SECTNO> <SUBJECT>Activation/Deactivation.</SUBJECT> <P>(a) This rule shall take effect providing:</P> <P>(1) The International Energy Program has been activated; and,</P> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 218.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P> <E T="03">DOE</E> 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.</P> <P> <E T="03">EPCA</E> means the Energy Policy and Conservation Act (Pub. L. 94-163), as amended.</P> <P> <E T="03">Firm</E> 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.</P> <P> <E T="03">IEA</E> means the International Energy Agency established to implement the IEP.</P> <P> <E T="03">IEP</E> 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.</P> <P> <E T="03">International energy supply emergency</E> 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.</P> <P> <E T="03">Oil</E> 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, <E T="03">et seq.,</E> of the Energy Policy and Conservation Act (Pub. L. 94-163).<PRTPAGE P="72"/> </P> <P> <E T="03">Person</E> 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.</P> <P> <E T="03">Supply order</E> 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.</P> <P> <E T="03">United States</E> 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.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Supply Orders</HD> <SECTION> <SECTNO>§ 218.10</SECTNO> <SUBJECT>Rule.</SUBJECT> <P>(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.</P> <P>(b) Any actions required in accordance with paragraph (a) of this section shall be stated in supply orders issued by DOE.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 218.11</SECTNO> <SUBJECT>Supply orders.</SUBJECT> <P>(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.</P> <P>(b) The DOE shall serve a copy of the supply order on the firm directed to act as stated therein.</P> <P>(c) The DOE may modify or rescind a supply order on its own motion or pursuant to an application filed in accordance with § 218.32 of this part.</P> <P>(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.</P> <P>(e) Any firm issued a supply order pursuant to this subpart may seek modification or rescission of the supply order in accordance with procedures provided in § 218.32 of this part.</P> </SECTION> <SECTION> <SECTNO>§ 218.12</SECTNO> <SUBJECT>Pricing.</SUBJECT> <P>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.</P> </SECTION> </SUBPART> <SUBPART> <RESERVED>Subpart C [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Procedures</HD> <SECTION> <SECTNO>§ 218.30</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <PRTPAGE P="73"/> <SECTNO>§ 218.31</SECTNO> <SUBJECT>Incorporated procedures.</SUBJECT> <P>The following subparts of part 205 of this chapter are, as appropriate, hereby made applicable to this part:</P> <P>(a) <E T="03">Subpart A—</E> General Provisions; <E T="03">Provided,</E> that § 205.11 shall not apply; <E T="03">and Provided further,</E> that in addition to the methods of service specified in § 205.7 of this chapter, service shall be effective if a supply order is transmitted by telex, telecopies or other similar means of electronic transmission of a writing and received by the firm to which the supply order is addressed.</P> <P>(b) <E T="03">Subpart F—</E> Interpretation.</P> <P>(c) <E T="03">Subpart K—</E> Rulings.</P> <P>(d) <E T="03">Subpart M—</E> Conferences, Hearings and Public Hearings.</P> </SECTION> <SECTION> <SECTNO>§ 218.32</SECTNO> <SUBJECT>Review.</SUBJECT> <P>(a) <E T="03">Purpose and scope.</E> 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.</P> <P>(b) <E T="03">What to file.</E> (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.</P> <P>(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.</P> <P>(c) <E T="03">When to file.</E> 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.</P> <P>(d) <E T="03">Where to file.</E> The application for review shall be filed with DOE Office of Hearings and Appeals (OHA), 2000 M Street, NW., Washington, DC 20461.</P> <P>(e) <E T="03">Notice.</E> 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.</P> <P>(f) <E T="03">Contents.</E> (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.</P> <P>(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.</P> <P>(g) <E T="03">DOE evaluation</E>—(1) <E T="03">Processing.</E> (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 <PRTPAGE P="74"/>conference will advance its evaluation of the application.</P> <P>(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.</P> <P>(iii) An order dismissing an application for any of the reasons specified in paragraph (g)(1)(ii) of this section shall contain a statement of the grounds for the dismissal. The order shall become final within 5 days of its service upon the applicant, unless within such 5-day period the applicant files an amendment correcting the deficiencies identified in the order. Within 5 days of the filing of such amendment, the DOE shall notify the applicant whether the amendment corrects the specified deficiencies. If the amendment does not correct the deficiencies specified in the order, the order shall become a final order of the DOE of which the applicant may seek judicial review.</P> <P>(2) An application for review of an order shall be processed only if the applicant demonstrates that—</P> <P>(i) There is probable cause to believe that the supply order is erroneous, inequitable, or unduly burdensome; or</P> <P>(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</P> <P>(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.</P> <P>(h) <E T="03">Decision.</E> (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.</P> <P>(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.</P> <P>(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.</P> <P>(4) The DOE shall serve a copy of the order upon the applicant and any other party who participated in the proceeding.</P> </SECTION> <SECTION> <SECTNO>§ 218.33</SECTNO> <SUBJECT>Stay.</SUBJECT> <P>(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.</P> <P>(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 <PRTPAGE P="75"/>that period the DOE for good cause shown, extends the time during which the applicant may file an application for review.</P> <P>(c) The order granting or denying a stay is not an order of the DOE subject to administrative review.</P> </SECTION> <SECTION> <SECTNO>§ 218.34</SECTNO> <SUBJECT>Addresses.</SUBJECT> <P>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.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Investigations, Violations, Sanctions and Judicial Actions</HD> <SECTION> <SECTNO>§ 218.40</SECTNO> <SUBJECT>Investigations.</SUBJECT> <P>(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.</P> <P>(b) Any duly designated and authorized representative of DOE has the authority to conduct an investigation and to take such action as he deems necessary and appropriate to the conduct of the investigation including any action pursuant to § 205.8.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 218.41</SECTNO> <SUBJECT>Violations.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 218.42</SECTNO> <SUBJECT>Sanctions.</SUBJECT> <EXT-XREF HREF="20091214" REFID="3">Link to an amendment published at 74 FR 66032, Dec. 14, 2009.</EXT-XREF> <P>(a) <E T="03">General.</E> 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.</P> <P>(1) The provisions herein for penalties and sanctions shall be deemed cumulative and not mutually exclusive.</P> <P>(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.</P> <P>(b) <E T="03">Penalties.</E> (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.<PRTPAGE P="76"/> </P> <P>(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.</P> <P>(3) Any person who knowingly and willfully violates any provision of this part 218 or any order issued pursuant thereto with respect to the sale, offer of sale, or distribution in commerce of oil in commerce after having been subject to a sanction under paragraph (b)(1) or (2) of this section for a prior violation of the provisions of this part 218 or any order issued pursuant thereto with respect to the sale, offer of sale, or distribution in commerce of oil shall be subject to a fine of not more than $50,000 or imprisonment for not more than six months, or both, for each violation.</P> <P>(4) Actions for penalties under this section are prosecuted by the Department of Justice upon referral by the DOE.</P> <P>(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.</P> <P>(c) <E T="03">Other Penalties.</E> 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).</P> <CITA>[44 FR 27972, May 14, 1979, as amended at 62 FR 46183, Sept. 2, 1997]</CITA> <EFFDNOTP> <HD SOURCE="HED">Effective Date Note:</HD> <P>At 74 FR 66032, Dec. 14, 2009, § 218.42 was amended by revising paragraph (b)(1), effective Jan. 13, 2010. For the convenience of the user, the revised text is set forth as follows:</P> <REVTXT> <SECTION> <SECTNO>§ 218.42</SECTNO> <SUBJECT>Sanctions.</SUBJECT> <STARS/> <P>(b) <E T="03">Penalties.</E> (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 $8,000 for each violation.</P> <STARS/> </SECTION> <SECTION> <SECTNO>§ 218.43</SECTNO> <SUBJECT>Injunctions.</SUBJECT> <P>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.</P> </SECTION> <PART> <RESERVED>PART 220 [RESERVED]</RESERVED> </PART> <PART> <EAR>Pt. 221</EAR> <HD SOURCE="HED">PART 221—PRIORITY SUPPLY OF CRUDE OIL AND PETROLEUM PRODUCTS TO THE DEPARTMENT OF DEFENSE UNDER THE DEFENSE PRODUCTION ACT</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>221.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <SECTNO>221.2</SECTNO> <SUBJECT>Applicability.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Exclusions</HD> <SECTNO>221.11</SECTNO> <SUBJECT>Natural gas and ethane.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Definitions</HD> <SECTNO>221.21</SECTNO> <SUBJECT>Definitions.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Administrative Procedures and Sanctions</HD> <SECTNO>221.31</SECTNO> <SUBJECT>Requests by DOD.</SUBJECT> <SECTNO>221.32</SECTNO> <SUBJECT>Evaluation of DOD request.</SUBJECT> <SECTNO>221.33</SECTNO> <SUBJECT>Order.</SUBJECT> <SECTNO>221.34</SECTNO> <SUBJECT>Effect of order.</SUBJECT> <SECTNO>221.35</SECTNO> <SUBJECT>Contractual requirements.</SUBJECT> <SECTNO>221.36</SECTNO> <SUBJECT>Records and reports.</SUBJECT> <SECTNO>221.37</SECTNO> <SUBJECT>Violations and sanctions.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>Defense Production Act, 50 U.S.C. App. 2061 <E T="03">et seq.,</E> 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).</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>45 FR 76433, Nov. 19, 1980, unless otherwise noted.</P> </SOURCE> <SUBPART> <PRTPAGE P="77"/> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 221.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 221.2</SECTNO> <SUBJECT>Applicability.</SUBJECT> <P>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.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Exclusions</HD> <SECTION> <SECTNO>§ 221.11</SECTNO> <SUBJECT>Natural gas and ethane.</SUBJECT> <P>The supply of natural gas and ethane are excluded from this part.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Definitions</HD> <SECTION> <SECTNO>§ 221.21</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>For purposes of this part—</P> <P> <E T="03">Directive</E> means an official action taken by ERA which requires a named person to take an action in accordance with its provisions.</P> <P> <E T="03">DOD</E> means the Department of Defense, including Military Departments and Defense Agencies, acting through either the Secretary of Defense or the designee of the Secretary.</P> <P> <E T="03">ERA</E> means the Economic Regulatory Administration of the Department of Energy.</P> <P> <E T="03">National defense</E> 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.</P> <P> <E T="03">Person</E> 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.</P> <P> <E T="03">Priority-rated supply order</E> means any delivery order for crude oil or petroleum products issued by DOD bearing a priority rating issued by ERA under this part.</P> <P> <E T="03">Supplier</E> 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.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Administrative Procedures and Sanctions</HD> <SECTION> <SECTNO>§ 221.31</SECTNO> <SUBJECT>Requests by DOD.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(c) Requests from DOD shall set forth the following:</P> <P>(1) The quantity and quality of crude oil or petroleum products determined by DOD to be required to meet national defense requirements;</P> <P>(2) The required delivery dates;</P> <P>(3) The defense-related activity and the supply location for which the crude oil or petroleum product is to be delivered;</P> <P>(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;</P> <P>(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;<PRTPAGE P="78"/> </P> <P>(6) The period during which the shortage of crude oil or petroleum products is expected to exist;</P> <P>(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</P> <P>(8) Certification that DOD has made each of the findings required by paragraph (a) of this section.</P> </SECTION> <SECTION> <SECTNO>§ 221.32</SECTNO> <SUBJECT>Evaluation of DOD request.</SUBJECT> <P>(a) Upon receipt of a request from DOD for a priority rating as provided in § 221.31, it shall be reviewed promptly by ERA. The ERA will assess the request in terms of:</P> <P>(1) The information provided under § 221.31;</P> <P>(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;</P> <P>(3) The capability of the proposed supplier to supply the crude oil or petroleum product in the amounts required;</P> <P>(4) The known capabilities of alternative suppliers;</P> <P>(5) The feasibility to DOD of converting to and using a product other than that requested; and</P> <P>(6) Any other relevant information.</P> <P>(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.</P> <P>(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.</P> <P>(d) ERA may waive some or all of the requirements of § 221.31 or this section where the Secretary of Defense or his designee certifies, and has so notified the Federal Emergency Management Agency, that a fuel shortage for DOD exists or is imminent and that compliance with such requirements would have a substantial negative impact on the national defense.</P> </SECTION> <SECTION> <SECTNO>§ 221.33</SECTNO> <SUBJECT>Order.</SUBJECT> <P>(a) <E T="03">Issuance.</E> 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.</P> <P>(b) <E T="03">Compliance.</E> 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.</P> <P>(c) <E T="03">ERA directives.</E> 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.</P> <P>(d) <E T="03">Use of ratings by suppliers.</E> 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.</P> </SECTION> <SECTION> <SECTNO>§ 221.34</SECTNO> <SUBJECT>Effect of order.</SUBJECT> <P> <E T="03">Defense against claims for damages.</E> 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-<PRTPAGE P="79"/>rated supply order or directive thereafter be declared by judicial or other competent authority to be invalid.</P> </SECTION> <SECTION> <SECTNO>§ 221.35</SECTNO> <SUBJECT>Contractual requirements.</SUBJECT> <P>(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.</P> <P>(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).</P> </SECTION> <SECTION> <SECTNO>§ 221.36</SECTNO> <SUBJECT>Records and reports.</SUBJECT> <P>(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.</P> <P>(b) All records required to be maintained shall be made available upon request for inspection and audit by duly authorized representatives of the ERA.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1903-0073)</APPRO> <CITA>[45 FR 76433, Nov. 19, 1980, as amended at 46 FR 63209, Dec. 31, 1981]</CITA> </SECTION> <SECTION> <SECTNO>§ 221.37</SECTNO> <SUBJECT>Violations and sanctions.</SUBJECT> <P>(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.</P> <P>(b) <E T="03">Criminal penalties.</E> 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.</P> <P>(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.</P> </SECTION> </SUBPART> </PART> </REVTXT> </EFFDNOTP> </SECTION> </SUBPART> </PART> </REVTXT> </EFFDNOTP> </SECTION> </SUBPART> </PART> </SUBCHAP> <SUBCHAP TYPE="P"> <PRTPAGE P="80"/> <HD SOURCE="HED">SUBCHAPTER B—CLIMATE CHANGE</HD> <PART> <EAR>Pt. 300</EAR> <HD SOURCE="HED">PART 300—VOLUNTARY GREENHOUSE GAS REPORTING PROGRAM: GENERAL GUIDELINES</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>300.1</SECTNO> <SUBJECT>General.</SUBJECT> <SECTNO>300.2</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>300.3</SECTNO> <SUBJECT>Guidance for defining and naming the reporting entity.</SUBJECT> <SECTNO>300.4</SECTNO> <SUBJECT>Selecting organizational boundaries.</SUBJECT> <SECTNO>300.5</SECTNO> <SUBJECT>Submission of an entity statement.</SUBJECT> <SECTNO>300.6</SECTNO> <SUBJECT>Emissions inventories.</SUBJECT> <SECTNO>300.7</SECTNO> <SUBJECT>Net emission reductions.</SUBJECT> <SECTNO>300.8</SECTNO> <SUBJECT>Calculating emission reductions.</SUBJECT> <SECTNO>300.9</SECTNO> <SUBJECT>Reporting and recordkeeping requirements.</SUBJECT> <SECTNO>300.10</SECTNO> <SUBJECT>Certification of reports.</SUBJECT> <SECTNO>300.11</SECTNO> <SUBJECT>Independent verification.</SUBJECT> <SECTNO>300.12</SECTNO> <SUBJECT>Acceptance of reports and registration of entity emission reductions.</SUBJECT> <SECTNO>300.13</SECTNO> <SUBJECT>Incorporation by reference.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>42 U.S.C. 7101, <E T="03">et seq.,</E> and 42 U.S.C. 13385(b).</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>71 FR 20805, Apr. 21, 2006, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 300.1</SECTNO> <SUBJECT>General.</SUBJECT> <P>(a) <E T="03">Purpose.</E> The General Guidelines in this part and the Technical Guidelines incorporated by reference in § 300.13 govern the Voluntary Reporting of Greenhouse Gases Program authorized by section 1605(b) of the Energy Policy Act of 1992 (42 U.S.C. 13385(b)). The purpose of the guidelines is to establish the procedures and requirements for filing voluntary reports, and to encourage corporations, government agencies, non-profit organizations, households and other private and public entities to submit annual reports of their greenhouse gas emissions, emission reductions, and sequestration activities that are complete, reliable and consistent. Over time, it is anticipated that these reports will provide a reliable record of the contributions reporting entities have made toward reducing their greenhouse gas emissions.</P> <P>(b) <E T="03">Reporting under the program.</E> (1) Each reporting entity, whether or not it intends to register emissions as described in paragraph (c) of this section, must:</P> <P>(i) File an entity statement that meets the appropriate requirements in § 300.5(d) through (f) of this part;</P> <P>(ii) Use appropriate emission inventory and emission reduction calculation methods specified in the Technical Guidelines (incorporated by reference, see § 300.13), and calculate and report the weighted average quality rating of any emission inventories it reports;</P> <P>(iii) Comply with the record keeping requirements in § 300.9 of this part; and</P> <P>(iv) Comply with the certification requirements in § 300.10 of this part;</P> <P>(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.</P> <P>(3) An entity that intends to register emissions and emission reductions must meet the additional requirements referenced in paragraph (c) of this section.</P> <P>(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.</P> <P>(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.</P> <P>(c) <E T="03">Registration requirements.</E> 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.</P> <P>(1) To be eligible for registration, a reduction must have been achieved after 2002, unless the entity has committed under the Climate Leaders or <PRTPAGE P="81"/>Climate VISION programs to reduce its entity-wide emissions relative to a base period that ends earlier 2002, but no earlier than 2000.</P> <P>(2) A large emitter must submit an entity-wide emission inventory that meets or exceeds the minimum quality requirements specified in § 300.6(b) and the Technical Guidelines (incorporated by reference, see § 300.13). Registered reductions of a large emitter must be based on an entity-wide assessment of net emission reductions, determined in accordance with § 300.8 and the Technical Guidelines.</P> <P>(3) A small emitter must also submit an emission inventory that meets minimum quality requirements specified in § 300.6(b) and the Technical Guidelines (incorporated by reference, see § 300.13) and base its registered reductions on an assessment of annual changes in net emissions. A small emitter, however, may restrict its inventory and assessment to a single type of activity, such as forest management, building operations or agricultural tillage.</P> <P>(4) Reporting entities may, under certain conditions, register reductions achieved by other entities:</P> <P>(i) Reporting entities that have met the requirements for registering their own reductions may also register offset reductions achieved by other entities if:</P> <P>(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</P> <P>(B) They were the result of qualified demand management or other programs and are calculated in accordance with the action-specific method identified in § 300.8(h)(5).</P> <P>(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.</P> <P>(d) <E T="03">Forms.</E> 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).</P> <P>(e) <E T="03">Status of reports under previous guidelines.</E> 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 <E T="03">http://www.eia.doe.gov/oiaf/1605/guidelns.html.</E> </P> <P>(f) <E T="03">Periodic review and updating of General and Technical Guidelines.</E> DOE intends periodically to review the General Guidelines and the Technical Guidelines (incorporated by reference, see § 300.13) to determine whether any changes are warranted; DOE anticipates these reviews will occur approximately once every three years. These reviews will consider any new developments in climate science or policy, the participation rates of large and small emitters in the 1605(b) program, the general quality of the data submitted by different participants, and any changes to other emissions reporting protocols. Possible changes may include, but are not limited to:</P> <P>(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;</P> <P>(2) Changes to the minimum, quantity-weighted quality rating for emission inventories;</P> <P>(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;</P> <P>(4) Modifications to the benchmarks or emission conversion factors used to calculate avoided and indirect emissions; and</P> <P>(5) Changes in the minimum requirements for registered emission reductions.</P> </SECTION> <SECTION> <SECTNO>§ 300.2</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>This section provides definitions for commonly used terms in this part.</P> <P> <E T="03">Activity of a small emitter</E> means, with respect to a small emitter, any single category of anthropogenic production, <PRTPAGE P="82"/>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.</P> <P> <E T="03">Aggregator</E> 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.</P> <P> <E T="03">Anthropogenic</E> 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.</P> <P> <E T="03">Avoided emissions</E> 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.</P> <P> <E T="03">Base period</E> 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.</P> <P> <E T="03">Base value</E> 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.</P> <P> <E T="03">Biogenic emissions</E> mean emissions that are naturally occurring and are not significantly affected by human actions or activity.</P> <P> <E T="03">Boundary</E> 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 <E T="03">de minimis</E> 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.</P> <P> <E T="03">Carbon dioxide equivalent</E> 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.</P> <P> <E T="03">Carbon stocks</E> 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.</P> <P> <E T="03">Climate Leaders</E> 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.</P> <P> <E T="03">Climate VISION</E> 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.</P> <P> <E T="03">De minimis emissions</E> 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 (CO<E T="52">2</E>) equivalent emissions of a reporting entity.</P> <P> <E T="03">Department</E> or <E T="03">DOE</E> means the U.S. Department of Energy.</P> <P> <E T="03">Direct emissions</E> are emissions from sources within the organizational boundaries of an entity.</P> <P> <E T="03">Distributed energy</E> 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.<PRTPAGE P="83"/> </P> <P> <E T="03">EIA</E> means the Energy Information Administration within the U.S. Department of Energy.</P> <P> <E T="03">Emissions</E> 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.</P> <P> <E T="03">Emissions intensity</E> 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.</P> <P> <E T="03">Entity</E> means the whole or part of any business, institution, organization, government agency or corporation, or household that:</P> <P>(1) Is recognized under any U.S. Federal, State or local law that applies to it;</P> <P>(2) Is located and operates, at least in part, in the United States; and</P> <P>(3) The emissions of such operations are released, at least in part, in the United States.</P> <P> <E T="03">First reduction year</E> means the first year for which an entity intends to register emission reductions; it is the year that immediately follows the start year.</P> <P> <E T="03">Fugitive emissions</E> 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).</P> <P> <E T="03">Greenhouse gases</E> means the gases that may be reported to the Department of Energy under this program. They are:</P> <P>(1) Carbon dioxide (CO<E T="52">2</E>)</P> <P>(2) Methane (CH<E T="52">4</E>)</P> <P>(3) Nitrous oxide (N<E T="52">2</E>O)</P> <P>(4) HydrofluorocarbonsHFC-23 [trifluoromethane-(CHF<E T="52">3</E>]HFC-32 [trifluoromethane-CH<E T="52">2</E>F<E T="52">2</E>], CH<E T="52">2</E>CF<E T="52">3</E>, CH<E T="52">3</E>F, CHF<E T="52">2</E>CF<E T="52">3</E>, CH<E T="52">2</E>FCF<E T="52">3</E>, CH<E T="52">3</E>FCF<E T="52">3</E>, CHF<E T="52">2</E>CH<E T="52">2</E>F, CF<E T="52">3</E>CH<E T="52">3</E>, CH<E T="52">2</E>FCH<E T="52">2</E>F, CH<E T="52">3</E>CHF<E T="52">2</E>, CH<E T="52">3</E>CH<E T="52">2</E>F, CF<E T="52">3</E>CHFCF<E T="52">3</E>, CH<E T="52">2</E>FCF<E T="52">3</E>CF<E T="52">3</E>, CHF<E T="52">2</E>CHFCF<E T="52">3</E>, CF<E T="52">3</E>CH<E T="52">2</E>CF<E T="52">3</E>, CH<E T="52">2</E>FCF<E T="52">2</E>CHF<E T="52">2</E>, CHF<E T="52">2</E>CH<E T="52">2</E>CF<E T="52">3</E>, CF<E T="52">3</E>CH<E T="52">2</E>CF<E T="52">2</E>CH<E T="52">3</E>, CH<E T="52">3</E> CHFCHFCF<E T="52">2</E>)</P> <P>(5) Perfluorocarbons (perfluoromethane-CF<E T="52">4</E>, perfluoroethane-C<E T="52">2</E>F<E T="52">6</E>, C<E T="52">3</E>F<E T="52">8</E>, C<E T="52">4</E>F<E T="52">10</E>, c-C<E T="52">4</E>F<E T="52">8</E>, C<E T="52">5</E>F<E T="52">12</E>, C<E T="52">6</E>F<E T="52">14</E>)</P> <P>(6) Sulfur hexafluoride (SF<E T="52">6</E>)</P> <P>(7) Chlorofluorocarbons (CFC-11 [trichlorofluoromethane-CCl<E T="52">3</E>F], CCl<E T="52">2</E>F<E T="52">2</E>, CClF<E T="52">3</E>, CCl<E T="52">2</E>FCClF<E T="52">2</E>, CClF<E T="52">2</E>CClF<E T="52">2</E>, ClF<E T="52">3</E>CClF<E T="52">2</E>,)</P> <P>(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. (<E T="04">Note:</E> As provided in § 300.6(i), chlorofluorcarbons and other gases with quantifiable climate forcing effects may be reported to the 1605(b) program if DOE has established an appropriate emission inventory or emission reduction calculation method, but reductions of these gases may not be registered.)</P> <P> <E T="03">Incidental lands</E> 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:</P> <P>(1) Transmission, pipeline, or transportation right of ways that are not managed for timber production;</P> <P>(2) Land surrounding commercial enterprises or facilities; and</P> <P>(3) Land where carbon stock changes are determined by natural factors.</P> <P> <E T="03">Indirect emissions</E> 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.</P> <P> <E T="03">Large emitter</E> means an entity whose annual emissions are more than 10,000 metric tons of CO<E T="52">2</E> equivalent, as determined in accordance with § 300.5(c).</P> <P> <E T="03">Net emission reductions</E> means the sum of all annual changes in emissions, eligible avoided emissions and sequestration of the greenhouse gases specifically identified in § 300.6(i), and determined to be in conformance with §§ 300.7 and 300.8 of this part.</P> <P> <E T="03">Offset</E> means an emission reduction that is included in a 1605(b) report and <PRTPAGE P="84"/>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.</P> <P> <E T="03">Registration</E> means the reporting of emission reductions that the EIA has determined meet the qualifications for registered emission reductions set forth in the guidelines.</P> <P> <E T="03">Reporting entity</E> means an entity that has submitted a report under the 1605(b) program that has been accepted by the Energy Information Administration.</P> <P> <E T="03">Reporting year</E> means the year that is the subject of a report to DOE.</P> <P> <E T="03">Sequestration</E> means the process by which CO<E T="52">2</E> is removed from the atmosphere, either through biologic processes or physical processes.</P> <P> <E T="03">Simplified Emission Inventory Tool (SEIT)</E> 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.</P> <P> <E T="03">Sink</E> means an identifiable discrete location, set of locations, or area in which CO<E T="52">2</E> or some other greenhouse gas is sequestered.</P> <P> <E T="03">Small emitter</E> means an entity whose annual emissions are less than or equal to 10,000 metric tons of CO<E T="52">2</E> equivalent, as determined in accordance with § 300.5(c), and that chooses to be treated as a small emitter under the guidelines.</P> <P> <E T="03">Source</E> means any land, facility, process, vehicle or activity that releases a greenhouse gas.</P> <P> <E T="03">Start year</E> means the year upon which the initial entity statement is based and the last year of the initial base period(s).</P> <P> <E T="03">Subentity</E> 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.</P> <P> <E T="03">Total emissions</E> 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.</P> <P> <E T="03">United States</E> or <E T="03">U.S.</E> 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.</P> </SECTION> <SECTION> <SECTNO>§ 300.3</SECTNO> <SUBJECT>Guidance for defining and naming the reporting entity.</SUBJECT> <P>(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.</P> <P>(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 T="03">e.g.</E>, the holding <PRTPAGE P="85"/>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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 300.4</SECTNO> <SUBJECT>Selecting organizational boundaries.</SUBJECT> <P>(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:</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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 <PRTPAGE P="86"/>States and those that occur within the United States.</P> <P>(c) An entity that intends to register its entity-wide emissions reductions must document and maintain its organizational boundary for accounting and reporting purposes.</P> </SECTION> <SECTION> <SECTNO>§ 300.5</SECTNO> <SUBJECT>Submission of an entity statement.</SUBJECT> <P>(a) <E T="03">Determining the type of reporting entity</E>. The entity statement requirements vary by type of reporting entity. For the purposes of these guidelines, there are three types of entities:</P> <P>(1) Large emitters that intend to register emission reductions;</P> <P>(2) Small emitters that intend to register emission reductions; and</P> <P>(3) Emitters that intend to report, but not register emission reductions.</P> <P>(b) <E T="03">Choosing a start year.</E> The first entity statement describes the make-up, operations and boundaries of the entity, as they existed in the start year.</P> <P>(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).</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(3) For entities not intending to register reductions, the start year may be no earlier than 1990.</P> <P>(c) <E T="03">Determining and maintaining large or small emitter reporting status.</E> (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 CO<E T="52">2</E> equivalent may participate as a small emitter. To demonstrate that its annual emissions are less than or equal to 10,000 metric tons of CO<E T="52">2</E> 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.</P> <P>(2) An entity must estimate its total emissions using methods specified in Chapter 1 of the Technical Guidelines (incorporated by reference, see § 300.13) or by using the Simplified Emission Inventory Tool (SEIT) provided by EIA and also discussed in Chapter 1. The results of this estimate must be reported to EIA. [<E T="04">Note:</E> 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.]</P> <P>(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 CO<E T="52">2</E> 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.</P> <P>(d) <E T="03">Entity statements for large emitters intending to register reductions.</E> When a large emitter intending to register emission reductions first reports under these guidelines, it must provide the <PRTPAGE P="87"/>following information in its entity statement:</P> <P>(1) The name to be used to identify the participating entity;</P> <P>(2) The legal basis of the named entity;</P> <P>(3) The criteria used to determine:</P> <P>(i) The organizational boundaries of the entity, if other than financial control; and</P> <P>(ii) The sources of emissions included or excluded from the entity's reports, such as sources excluded as <E T="03">de minimis</E> emissions;</P> <P>(4) The names of any parent or holding companies the activities of which will not be covered comprehensively by the entity's reports;</P> <P>(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;</P> <P>(6) A list of each country where operations occur, if the entity is including any non-U.S. operations in its report;</P> <P>(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.</P> <P>(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;</P> <P>(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</P> <P>(10) Identification of the start year.</P> <P>(e) <E T="03">Entity statements for small emitters intending to register reductions.</E> When a small emitter intending to register emission reductions first reports under these guidelines, it must provide the following information in its entity statement:</P> <P>(1) The name to be used to identify the participating entity;</P> <P>(2) The legal basis of the named entity;</P> <P>(3) An identification of the entity's control over the activities covered by the entity's reports, if other than financial control;</P> <P>(4) The names of any parent or holding companies the activities of which will not be covered comprehensively by the entity's reports;</P> <P>(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;</P> <P>(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;</P> <P>(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</P> <P>(8) Identification of the start year.</P> <P>(f) <E T="03">Entity statements for reporting entities not registering reductions.</E> 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:</P> <P>(1) The name to be used to identify the reporting entity;</P> <P>(2) The legal basis of the entity;</P> <P>(3) An identification of the entity's control over the activities covered by the entity's reports, if other than financial control;</P> <P>(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 <PRTPAGE P="88"/>outside the United States, a listing of each country in which such activities occur; and</P> <P>(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.</P> <P>(g) <E T="03">Changing entity statements.</E> (1) Reporting entities are required to annually review and, if necessary, update their entity statements.</P> <P>(2) From time to time, a reporting entity may choose to change the scope of activities included within the entity's reports or the level at which the entity wishes to report. A reporting entity may also choose to change its organizational boundaries, its base period, or other elements of its entity statement. For example, companies buy and sell business units, or equity share arrangements may change. In general, DOE encourages changes in the scope of reporting that expand the coverage of an entity's report and discourages changes that reduce the coverage of such reports unless they are caused by divestitures or plant closures. Any such changes should be reported in amendments to the entity statement, and major changes may warrant or require changes in the base values used to calculate emission reductions and, in some cases, the entity's base periods. Changes in the scope of reporting made on or before May 31 of a given calendar year must be reflected in the report submitted covering emissions and reductions for the following calendar year. Reporting entities may choose to postpone incorporating changes in the scope of reporting made after May 31 until submitting the report covering emissions and reductions for the year after the following calendar year. However, in no case should there be an interruption in the annual reports of entities registering emission reductions. Chapter 2 of the Technical Guidelines (incorporated by reference, see § 300.13) provides more specific guidance on how such changes should be reflected in entity statements, reports, and emission reduction calculations.</P> <P>(h) <E T="03">Documenting changes in amended entity statements.</E> 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:</P> <P>(1) For significant changes in the reporting entity's scope or organizational boundaries, the entity should document:</P> <P>(i) The acquisition or divestiture of discrete business units, subsidiaries, facilities, and plants;</P> <P>(ii) The closure or opening of significant facilities;</P> <P>(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;</P> <P>(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);</P> <P>(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</P> <P>(vi) Changes in its activities or operations (<E T="03">e.g.</E>, 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.</P> </SECTION> <SECTION> <SECTNO>§ 300.6</SECTNO> <SUBJECT>Emissions inventories.</SUBJECT> <P>(a) <E T="03">General.</E> The objective of an emission inventory is to provide a full accounting of an entity's emissions for a particular year, including direct emissions of the first six categories of gases listed in the definition of “greenhouse gases” in § 300.2, indirect emissions specified in paragraph (e) of this section, and all sequestration or other changes in carbon stocks. An emission <PRTPAGE P="89"/>inventory must be prepared in accordance with Chapter 1 of the Technical Guidelines (incorporated by reference, see § 300.13). An inventory does not include avoided emissions or any offset reductions, and is not subsequently adjusted to reflect future acquisitions, divestitures or other changes to the reporting entity (although a reporting entity often makes these types of adjustments when calculating emission reductions under the guidelines). Entity-wide inventories are a prerequisite for the registration of emission reductions by entities with average annual emissions of more than 10,000 metric tons of CO<E T="52">2</E> equivalent. Entities that have average annual emissions of less than or equal to 10,000 metric tons of CO<E T="52">2</E> 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.</P> <P>(b) <E T="03">Quality requirements for emission inventories.</E> The Technical Guidelines (incorporated by reference, see § 300.13) usually identify more than one acceptable method of measuring or estimating greenhouse gas emissions. Each acceptable method is rated A, B, C or D, with A methods usually corresponding to the highest quality method available and D methods representing the lowest quality method that may be used. Each letter is assigned a numerical rating reflecting its relative quality, 4 for A methods, 3 for B methods, 2 for C methods and 1 for D methods. Entities that intend to register emission reductions must use emission inventory methods that result in a quantity-weighted average quality rating of at least 3.0.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(c) <E T="03">Using estimation methods not included in the Technical Guidelines.</E> An entity may obtain DOE approval for the use of an estimation method not included in the Technical Guidelines (incorporated by reference, see § 300.13) if the method covers sources not described in the Technical Guidelines, or if the method provides more accurate results for the entity's specific circumstances than the methods described in the Technical Guidelines. If an entity wishes to propose the use of a method that is not described in the Technical Guidelines, the entity must provide a written description of the method, an explanation of how the method is implemented (including data requirements), empirical evidence of the method's validity and accuracy, and a suggested rating for the method to DOE's Office of Policy and International Affairs (with a copy to EIA). DOE reserves the right to deny the request, or to assign its own rating to the method. By submitting this information, the entity grants permission to DOE to incorporate the method in a future revision of the Technical Guidelines.</P> <P>(d) <E T="03">Direct emissions inventories.</E> 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 T="03">e.g.</E>, PFC emissions from aluminum production) must be reported along with fugitive emissions (<E T="03">e.g.</E>, leakage of greenhouse gases from equipment).</P> <P>(e) <E T="03">Inventories of indirect emissions associated with purchased energy.</E> (1) To provide a clear incentive for the users <PRTPAGE P="90"/>of electricity and other forms of purchased energy to reduce demand, an entity must include the indirect emissions from the consumption of purchased electricity, steam, and hot or chilled water in the entity's inventory as indirect emissions. To avoid double counting among entities, the entity must report all indirect emissions separately from its direct emissions. Entities should use the methods for quantifying indirect emissions specified in the Technical Guidelines (incorporated by reference, see § 300.13).</P> <P>(2) Entities may choose to report other forms of indirect emissions, such as emissions associated with employee commuting, materials consumed or products produced, although such other indirect emissions may not be included in the entity's emission inventory and may not be the basis for registered emission reductions. All such reports of other forms of indirect emissions must be distinct from reports of indirect emissions associated with purchased energy and must be based on emission measurement or estimation methods identified in the Technical Guidelines (incorporated by reference, see § 300.13) or approved by DOE.</P> <P>(f) <E T="03">Entity-level inventories of changes in terrestrial carbon stocks.</E> Annual changes in managed terrestrial carbon stocks should be comprehensively assessed and reported across the entity, and the net emissions resulting from such changes included in the entity's emissions inventory. Entities should use the methods for estimating changes in managed terrestrial carbon stocks specified in the Technical Guidelines (incorporated by reference, see § 300.13).</P> <P>(g) <E T="03">Treatment of de minimis emissions and sequestration.</E> (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 CO<E T="52">2</E> equivalent emissions of the entity. The entity must identify the types of emissions excluded and provide an estimate of the annual quantity of such emissions using methods specified in the Technical Guidelines (incorporated by reference, see § 300.13) or by using the Simplified Emissions Inventory Tool (SEIT). The results of this estimate of the entity's total excluded annual emissions must be reported to DOE together with the entity's initial entity statement.</P> <P>(2) After starting to report, each reporting entity that excludes from its annual reports any <E T="03">de minimis</E> emissions must re-estimate the quantity of excluded emissions after any significant increase in such emissions, or every five years, whichever occurs sooner.</P> <P>(h) <E T="03">Separate reporting of domestic and international emissions.</E> 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.</P> <P>(i) <E T="03">Covered gases.</E> Entity-wide emissions inventories must include the emissions of the first six categories of named gases listed in the definition of “greenhouse gases” in § 300.2. Entities may report chlorofluorocarbons and other greenhouse gases with quantifiable climate forcing effects as long as DOE has established a method for doing so, but such gases must be reported separately and emission reductions, if any, associated with such other gases are not eligible for registration.</P> <P>(j) <E T="03">Units for reporting.</E> Emissions and sequestration should be reported in terms of the mass (not volume) of each gas, using metric units (<E T="03">e.g.</E>, metric tons of methane). Entity-wide and subentity summations of emissions and reductions from multiple sources must be converted into CO<E T="52">2</E> equivalent units using the global warming potentials for each gas in the International Panel on Climate Change's Third Assessment (or most recent) Report, as specified in the Technical Guidelines (incorporated by reference, see § 300.13). Entities should specify the units used (<E T="03">e.g.</E>, kilograms, or metric tons). Entities may need to use the standard conversion factors specified in the Technical Guidelines to <PRTPAGE P="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 CO<E T="52">2</E> 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.</P> </SECTION> <SECTION> <SECTNO>§ 300.7</SECTNO> <SUBJECT>Net emission reductions.</SUBJECT> <P>(a) Entities that intend to register emission reductions achieved must comply with the requirements of this section. Entities may voluntarily follow these procedures if they want to demonstrate the achievement of net, entity-wide reductions for years prior to the earliest year permitted for registration. Only large emitters must follow the requirements of paragraph (b) of this section, but small emitters may do so voluntarily. Only entities that qualify as small emitters may use the special procedures in paragraph (c) of this section. Entities seeking to register emission reductions achieved by other entities (offsets) must certify that these emission reductions were calculated in a manner consistent with the requirements of paragraph (d) of this section and use the emission reduction calculation methods identified in § 300.8. All entities seeking to register emission reductions must comply with the requirements of paragraph (e) of this section. Only reductions in the emissions of the first six categories of gases listed in the definition of “greenhouse gases” in § 300.2 are eligible for registration.</P> <P>(b) <E T="03">Assessing net emission reductions for large emitters.</E> (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 CO<E T="52">2</E> equivalent. Net annual entity-wide emission reductions must be based, to the maximum extent practicable, on a full assessment and sum total of all changes in an entity's emissions, eligible avoided emissions and sequestration relative to the entity's established base period(s). This assessment must include all entity emissions, including the emissions associated with any non-U.S. operations covered by the entity statement, although the reductions achieved by non-U.S. operations must be separately totaled prior to being integrated with the net emission reductions achieved by U.S. operations. It must include the annual changes in the total emissions of the entity, including the total emissions of each of the subentities identified in its entity statement. All changes in emissions, avoided emissions, and sequestration must be determined using methods that are consistent with the guidelines described in § 300.8 of this part.</P> <P>(2) If it is not practicable to assess the changes in net emissions resulting from certain entity activities using at least one of the methods described in § 300.8 of this part, the entity may exclude them from its estimate of net emission reductions. The entity must identify as one or more distinct subentities the sources of emissions excluded for this reason and describe the reasons why it was not practicable to assess the changes that had occurred. DOE believes that few emission sources will be excluded for this reason, but has identified at least two situations where such an exclusion would be warranted. For example, it is likely to be impossible to assess the emission changes associated with a new manufacturing plant that produces a product for which the entity has no historical record of emissions or emissions intensity (emissions per unit of product output). However, once the new plant has been operational for at least a full year, a base period and base value(s) for the new plant could be established and its emission changes assessed in the following year. Until the emission changes of this new subentity can be assessed, it should be identified in the entity's report as a subentity for which no assessment of emission changes is practicable. The other example involves a subentity that has reduced its <PRTPAGE P="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.</P> <P>(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 <E T="03">de minimis</E> and biogenic emissions that are excluded from the entity's inventory of greenhouse gas emissions from its assessments of emission changes.</P> <P>(c) <E T="03">Assessing emission reductions for entities with small emissions.</E> (1) Entities with average annual emissions of less than or equal to 10,000 metric tons of CO<E T="52">2</E> 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:</P> <P>(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</P> <P>(ii) Determine the changes in the emissions, eligible avoided emissions or sequestration associated with each of these activities.</P> <P>(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.</P> <P>(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.</P> <P>(d) <E T="03">Net emission reductions achieved by other entities (offset reductions or emission reductions submitted by aggregators).</E> 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 <PRTPAGE P="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.</P> <P>(e) <E T="03">Net emission reductions to be reported by other entities as offset reductions.</E> 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;</P> <P>(f) <E T="03">Adjusting for year-to-year increases in net emissions.</E> (1) Normally, net annual emission reductions for an entity are calculated by summing the net annual changes in emissions, eligible avoided emissions and sequestration, as determined using the calculation methods identified in § 300.8 and according to the procedures described in paragraph (b) of this section for large emitters, paragraph (c) for small emitters of this section for small emitters, and paragraph (d) of this section for offsets. However, if the entity experienced a net increase in emissions for one or more years, these increases must be reported and taken into account in calculating any future year reductions. If the entity subsequently achieves net annual emission reductions, the net increases experienced in the preceding year(s) must be more than offset by these reductions before the entity can once again register emission reductions. For example, if an entity achieved a net emission reduction of 5,000 metric tons of CO<E T="52">2</E> 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.</P> <P>(2) [Reserved]</P> </SECTION> <SECTION> <SECTNO>§ 300.8</SECTNO> <SUBJECT>Calculating emission reductions.</SUBJECT> <P>(a) <E T="03">Choosing appropriate emission reduction calculation methods.</E> (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:</P> <P>(i) How the entity's subentities are defined;</P> <P>(ii) How the reporter will gather and report emissions data; and</P> <P>(iii) The availability of other types of data that might be needed, such as production or output data.</P> <P>(2) For some entities, a single calculation method will be sufficient, but many entities may need to apply more than one method because discrete components of the entity require different calculation methods. In such a case, the entity will need to select a method for each subentity (or discrete component of the entity with identifiable emission or reductions). The emissions and output measure (generally a physical measure) of each subentity must be clearly distinguished and reported separately. Guidance on the selection and specification of calculation methods is provided in Chapter 2 of the Technical Guidelines (incorporated by reference, see § 300.13).<PRTPAGE P="94"/> </P> <P>(b) <E T="03">Identifying subentities for calculating reductions.</E> 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.</P> <P>(c) <E T="03">Choosing a base period for calculating reductions.</E> 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.</P> <P>(d) <E T="03">Establishing base values.</E> To calculate emission reductions, an entity must establish a base value against which to compare reporting year performance. The minimum requirements for base values for each type of calculation method are specified in Chapter 2 of the Technical Guidelines (incorporated by reference, see § 300.13). In most cases, an historic base value, derived from emissions or other data gathered during the base period, is the minimum requirement specified. Entities may, however, choose to establish base values that are more stringent than the base values derived from the methods specified in Chapter 2 of the Technical Guidelines as long as their report indicates the rationale for the alternative base value and demonstrates that it would result in a smaller quantity of emission reductions.</P> <P>(e) <E T="03">Emission reduction and subentity statements.</E> For each subentity, an entity must submit to EIA the following information:</P> <P>(1) An identification and description of the method used to calculate emission reductions, including:</P> <P>(i) The type of calculation method;</P> <P>(ii) The measure of output used (if any); and</P> <P>(iii) The method-specific base period for which any required base value will be calculated.</P> <P>(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.</P> <P>(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</P> <P>(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.</P> <P>(f) <E T="03">Changes in calculation methods, base periods and base values.</E> When significant changes occur in the composition or output of reporting entities, a reporting entity may need to change previously specified calculation methods, base periods or base values. A reporting entity should make such changes only if necessary and it should fully document the reasons for any changes. The Technical Guidelines (incorporated by reference, see § 300.13) describe when such changes should be made and what information on such changes must be provided to DOE. In general, such changes should not result in any alterations to previously reported or registered emission reductions. A reporting entity may alter previously reported or registered emission reductions only if necessary to correct significant errors.</P> <P>(g) <E T="03">Continuous reporting.</E> 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.<PRTPAGE P="95"/> </P> <P>(h) <E T="03">Calculation methods.</E> An entity must calculate any change in emissions, avoided emissions or sequestration using one or more of the methods described in this paragraph and in the Technical Guidelines (incorporated by reference, see § 300.13).</P> <P>(1) <E T="03">Changes in emissions intensity.</E> 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:</P> <P>(i) A reasonable indicator of the output produced by the entity;</P> <P>(ii) A reliable indicator of changes in the entity's activities;</P> <P>(iii) Related to emissions levels; and</P> <P>(iv) Any appropriate adjustments for acquisitions, divestitures, insourcing, outsourcing, or changes in products have been made, as described in the Technical Guidelines (incorporated by reference, see § 300.13).</P> <P>(2) <E T="03">Changes in absolute emissions.</E> An entity may use changes in the absolute (actual) emissions (direct and/or indirect) as a basis for determining net emission reductions as long as the entity makes only those adjustments required by the Technical Guidelines (incorporated by reference, see § 300.13). An entity intending to register emission reductions may use this method only if the entity demonstrates in its report that any reductions derived from such changes were not achieved as a result of reductions in the output of the entity, and certifies that emission reductions are not the result of major shifts in the types of products or services produced. Entities may report, but not register, such reductions even if the output associated with such emissions is declining.</P> <P>(3) <E T="03">Changes in carbon storage (for actions within entity boundaries).</E> An entity may use changes in carbon storage as a basis for determining net emission reductions as long as the entity uses estimation and measurement methods that comply with the Technical Guidelines (incorporated by reference, see § 300.13), and has included an assessment of the net changes in all sinks in its inventory.</P> <P>(4) <E T="03">Changes in avoided emissions (for actions within entity boundaries).</E> 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:</P> <P>(i) The measurement and calculation methods used comply with the Technical Guidelines (incorporated by reference, see § 300.13);</P> <P>(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</P> <P>(iii) Generators of distributed energy that have net emissions in their base period and intend to report reductions resulting from changes in eligible avoided emissions, use a method specified in the Technical Guidelines (incorporated by reference, see § 300.13) that integrates the calculation of reductions resulting from both changes in emissions intensity and changes in avoided emissions.</P> <P>(5) <E T="03">Action-specific emission reductions (for actions within entity boundaries).</E> 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:<PRTPAGE P="96"/> </P> <P>(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;</P> <P>(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</P> <P>(iii) Uses methods that are in compliance with the Technical Guidelines (incorporated by reference, see § 300.13).</P> <P>(i) <E T="03">Summary description of actions taken to reduce emissions.</E> 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.</P> <P>(j) <E T="03">Emission reductions associated with plant closings, voluntary actions and government (including non-U.S. regulatory regimes) requirements</E>. (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.</P> <P>(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.</P> <P>(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.</P> <P>(k) <E T="03">Determining the entity responsible for emission reductions</E>. 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.</P> </SECTION> <SECTION> <SECTNO>§ 300.9</SECTNO> <SUBJECT>Reporting and recordkeeping requirements.</SUBJECT> <P>(a) <E T="03">Starting to report under the guidelines</E>. An entity may report emissions and sequestration on an annual basis beginning in any year, but no earlier than the base period of 1987-1990 specified in the Energy Policy Act of 1992. To be recognized under these guidelines, all reports must conform to the measurement methods established by the Technical Guidelines (incorporated by reference, see § 300.13).</P> <P>(b) <E T="03">Revisions to reports submitted under the guidelines</E>. (1) Once EIA has accepted a report under this part, it may be revised by the reporting entity only under the circumstances specified in this paragraph and related provisions of the Technical Guidelines (incorporated by reference, see § 300.13). In general:</P> <P>(i) Revised reports may be submitted to correct errors that have a significant effect on previously estimated emissions or emission reductions; and</P> <P>(ii) Emission inventories may be revised in order to create a consistent time series based on improvements in <PRTPAGE P="97"/>the emission estimation or measurement techniques used.</P> <P>(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.</P> <P>(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.</P> <P>(c) <E T="03">Definition and deadline for annual reports</E>. 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.</P> <P>(d) <E T="03">Recordkeeping</E>. 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:</P> <P>(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;</P> <P>(2) Information on the identification and assessment of changes in entity boundaries, processes or products that might have to be reported to EIA;</P> <P>(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;</P> <P>(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;</P> <P>(5) Information on the methods used to calculate emission reductions, including the basis for:</P> <P>(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;</P> <P>(ii) The selection and modification of all base years, base periods and baselines used in the calculation of emission reductions;</P> <P>(iii) Any baseline adjustments made to reflect acquisitions, divestitures or other changes;</P> <P>(iv) Any models or other estimation methods used; and</P> <P>(v) Any internal or independent verification procedures undertaken.</P> <P>(e) <E T="03">Confidentiality</E>. DOE will protect trade secret and commercial or financial information that is privileged or confidential as provided in 5 U.S.C. 552(b)(4). An entity must clearly indicate in its 1605(b) report the information for which it requests confidentiality. DOE will handle requests for confidentiality of information submitted in 1605(b) reports in accordance with the process established in DOE's Freedom of Information regulations at 10 CFR § 1004.11.</P> </SECTION> <SECTION> <SECTNO>§ 300.10</SECTNO> <SUBJECT>Certification of reports.</SUBJECT> <P>(a) <E T="03">General requirement and certifying official</E>: 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.</P> <P>(b) <E T="03">Certification statement requirements</E>. All entities, whether reporting or registering reductions, must certify the following:</P> <P>(1) The information reported is accurate and complete;<PRTPAGE P="98"/> </P> <P>(2) The information reported has been compiled in accordance with this part; and</P> <P>(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.</P> <P>(c) <E T="03">Additional requirements for registering</E>. The certification statement of an entity registering reductions must also certify that:</P> <P>(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;</P> <P>(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:</P> <P>(i) The other entity does not intend to report or register theses reductions directly;</P> <P>(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</P> <P>(iii) The information reported on the other entity would meet the requirements of this part if the entity were reporting directly to DOE;</P> <P>(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;</P> <P>(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;</P> <P>(5) The entity maintains records documenting the analysis and calculations underpinning the data reported on this form and records documenting the analysis and calculations underpinning the base values used in calculating annual reductions are maintained in accordance with § 300.9(d) of this part; and</P> <P>(6) The entity has, or has not, obtained independent verification of the report, as described in § 300.11.</P> </SECTION> <SECTION> <SECTNO>§ 300.11</SECTNO> <SUBJECT>Independent verification.</SUBJECT> <P>(a) <E T="03">General</E>. 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.</P> <P>(b) <E T="03">Qualifications of verifiers</E>. (1) DOE envisions that independent verification will be performed by professional verifiers (<E T="03">i.e.,</E> individuals or companies that provide verification or “attestation” services). EIA will consider a report to the program to be independently verified if:</P> <P>(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;</P> <P>(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</P> <P>(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.</P> <P>(2) As further guidance, all members of the verification team should be familiar with:</P> <P>(i) The subject matter covered by the scope of the verification;</P> <P>(ii) The requirements of this part;<PRTPAGE P="99"/> </P> <P>(iii) Greenhouse gas emission and emission reduction quantification;</P> <P>(iv) Data and information auditing sampling methods; and</P> <P>(v) Risk assessment and methodologies and materiality analysis procedures outlined by other domestic and international standards.</P> <P>(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.</P> <P>(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.</P> <P>(c) <E T="03">Qualifications of organizations accrediting verifiers</E>. 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.</P> <P>(d) <E T="03">Scope of verification</E>. (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:</P> <P>(i) The content of entity statements, annual reports and the supporting records maintained by the entity;</P> <P>(ii) The representation in entity statements (or lack thereof) of any significant changes in entity boundaries, products, or processes;</P> <P>(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);</P> <P>(iv) Relevant personnel training and management systems; and</P> <P>(v) Relevant quality assurance/quality control procedures.</P> <P>(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.</P> <P>(e) <E T="03">Verification statement</E>. 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:</P> <P>(1) The verifier has examined all components listed in paragraph (d) of this section;</P> <P>(2) The information reported in the verified entity report and this verification statement is accurate and complete;</P> <P>(3) The information reported by the entity has been compiled in accordance with this part;</P> <P>(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;</P> <P>(5) The verifier used due diligence to assure that direct emissions, emission reductions, and/or sequestration reported are not reported by any other entity;</P> <P>(6) Any emissions, emission reductions, or sequestration that were <PRTPAGE P="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;</P> <P>(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;</P> <P>(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;</P> <P>(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</P> <P>(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.</P> <P>(f) <E T="03">Qualifying as an independent verifier</E>. 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.</P> </SECTION> <SECTION> <SECTNO>§ 300.12</SECTNO> <SUBJECT>Acceptance of reports and registration of entity emission reductions.</SUBJECT> <P>(a) <E T="03">Acceptance of reports</E>. EIA will review all reports to ensure they are consistent with this part and with the Technical Guidelines (incorporated by reference, see § 300.13). EIA will also review all reports for completeness, internal consistency, arithmetic accuracy and plausibility. Subject to the availability of adequate resources, EIA intends to notify entities of the acceptance or rejection of any report within six months of its receipt.</P> <P>(b) <E T="03">Registration of emission reductions</E>. 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.</P> <P>(c) <E T="03">Rejection of reports</E>. 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.</P> <P>(d) <E T="03">EIA database and summary reports</E>. 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.</P> </SECTION> <SECTION> <PRTPAGE P="101"/> <SECTNO>§ 300.13</SECTNO> <SUBJECT>Incorporation by reference.</SUBJECT> <P>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 <E T="04">Federal Register</E> 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: <E T="03">http://www.policy.energy.gov/enhancingGHGregistry/technicalguidelines/</E>. 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: <E T="03">http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html</E>.</P> <CITA>[71 FR 20805, Apr. 21, 2006, as amended at 72 FR 4413, Jan. 31, 2007]</CITA> </SECTION> </PART> </SUBCHAP> <SUBCHAP> <RESERVED>SUBCHAPTER C [RESERVED]</RESERVED> </SUBCHAP> <SUBCHAP TYPE="P"> <PRTPAGE P="102"/> <HD SOURCE="HED">SUBCHAPTER D—ENERGY CONSERVATION</HD> <PART> <RESERVED>PARTS 400-417 [RESERVED]</RESERVED> </PART> <PART> <EAR>Pt. 420</EAR> <HD SOURCE="HED">PART 420—STATE ENERGY PROGRAM</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General Provisions for State Energy Program Financial Assistance</HD> <SECHD>Sec.</SECHD> <SECTNO>420.1</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <SECTNO>420.2</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>420.3</SECTNO> <SUBJECT>Administration of financial assistance.</SUBJECT> <SECTNO>420.4</SECTNO> <SUBJECT>Technical assistance.</SUBJECT> <SECTNO>420.5</SECTNO> <SUBJECT>Reports.</SUBJECT> <SECTNO>420.6</SECTNO> <SUBJECT>Reference standards.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Formula Grant Procedures</HD> <SECTNO>420.10</SECTNO> <SUBJECT>Purpose.</SUBJECT> <SECTNO>420.11</SECTNO> <SUBJECT>Allocation of funds among the States.</SUBJECT> <SECTNO>420.12</SECTNO> <SUBJECT>State matching contribution.</SUBJECT> <SECTNO>420.13</SECTNO> <SUBJECT>Annual State applications and amendments to State plans.</SUBJECT> <SECTNO>420.14</SECTNO> <SUBJECT>Review and approval of annual State applications and amendments to State plans.</SUBJECT> <SECTNO>420.15</SECTNO> <SUBJECT>Minimum criteria for required program activities for plans.</SUBJECT> <SECTNO>420.16</SECTNO> <SUBJECT>Extensions for compliance with required program activities.</SUBJECT> <SECTNO>420.17</SECTNO> <SUBJECT>Optional elements of State Energy Program plans.</SUBJECT> <SECTNO>420.18</SECTNO> <SUBJECT>Expenditure prohibitions and limitations.</SUBJECT> <SECTNO>420.19</SECTNO> <SUBJECT>Administrative review.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Implementation of Special Projects Financial Assistance</HD> <SECTNO>420.30</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <SECTNO>420.31</SECTNO> <SUBJECT>Notice of availability.</SUBJECT> <SECTNO>420.32</SECTNO> <SUBJECT>Program guidance/solicitation.</SUBJECT> <SECTNO>420.33</SECTNO> <SUBJECT>Application requirements.</SUBJECT> <SECTNO>420.34</SECTNO> <SUBJECT>Matching contributions or cost-sharing.</SUBJECT> <SECTNO>420.35</SECTNO> <SUBJECT>Application evaluation.</SUBJECT> <SECTNO>420.36</SECTNO> <SUBJECT>Evaluation criteria.</SUBJECT> <SECTNO>420.37</SECTNO> <SUBJECT>Selection.</SUBJECT> <SECTNO>420.38</SECTNO> <SUBJECT>Special projects expenditure prohibitions and limitations.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>Title III, part D, as amended, of the Energy Policy and Conservation Act (42 U.S.C. 6321 <E T="03">et seq.</E>); Department of Energy Organization Act (42 U.S.C. 7101 <E T="03">et seq.</E>)</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>61 FR 35895, July 8, 1996, unless otherwise noted.</P> </SOURCE> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> <P>Nomenclature changes to part 420 appear at 64 FR 46114, Aug. 24, 1999.</P> </EDNOTE> <SUBPART> <HD SOURCE="HED">Subpart A—General Provisions for State Energy Program Financial Assistance</HD> <SECTION> <SECTNO>§ 420.1</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 420.2</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>As used in this part:</P> <P> <E T="03">Act</E> means title III, part D, as amended, of the Energy Policy and Conservation Act, 42 U.S.C. 6321 et seq.</P> <P> <E T="03">Alternative transportation fuel</E> 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).</P> <P> <E T="03">ASHRAE/IESNA 90.1-1989,</E> as amended means the building design standard published in December 1989 by the American Society of Heating, Refrigerating and Air-Conditioning Engineers, and the Illuminating Engineering Society of North America titled “Energy Efficient Design of New Buildings Except Low-Rise Residential Buildings,” with Addenda 90.1b-1992; Addenda 90.1d-1992; Addenda 90.1e-1992; Addenda 90.1g-1993; and Addenda 90.1i-1993, which is incorporated by reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. The availability of this incorporation by reference is given in § 420.6(b).</P> <P> <E T="03">Assistant Secretary</E> means the Assistant Secretary for Energy Efficiency and Renewable Energy or any official to whom the Assistant Secretary's <PRTPAGE P="103"/>functions may be redelegated by the Secretary.</P> <P> <E T="03">British thermal unit (Btu)</E> 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.</P> <P> <E T="03">Building</E> means any structure which includes provision for a heating or cooling system, or both, or for a hot water system.</P> <P> <E T="03">Carpool</E> means the sharing of a ride by two or more people in an automobile.</P> <P> <E T="03">Carpool matching and promotion campaign</E> means a campaign to coordinate riders with drivers to form carpools and/or vanpools.</P> <P> <E T="03">Commercial building</E> means any building other than a residential building, including any building constructed for industrial or public purposes.</P> <P> <E T="03">Commercially available</E> means available for purchase by the general public or target audience in the State.</P> <P> <E T="03">Deputy Assistant Secretary</E> 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.</P> <P> <E T="03">Director, Office of State and Community Programs</E> 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.</P> <P> <E T="03">DOE</E> means the Department of Energy.</P> <P> <E T="03">Energy audit</E> 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.</P> <P> <E T="03">Energy efficiency measure</E> 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.</P> <P> <E T="03">Environmental residual</E> means any pollutant or pollution causing factor which results from any activity.</P> <P> <E T="03">Exterior envelope physical characteristics</E> 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.</P> <P> <E T="03">Governor</E> 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.</P> <P> <E T="03">Grantee</E> means the State or other entity named in the notice of grant award as the recipient.</P> <P> <E T="03">HVAC</E> means heating, ventilating and air-conditioning.</P> <P> <E T="03">IBR</E> means incorporation by reference.</P> <P> <E T="03">Industrial facility</E> 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.</P> <P> <E T="03">Institution of higher education</E> 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)).</P> <P> <E T="03">Manufactured home</E> means any dwelling covered by the Federal Manufactured Home Construction and Safety Standards, 24 CFR part 3280.</P> <P> <E T="03">Metropolitan Planning Organization</E> 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.</P> <P> <E T="03">Model Energy Code, 1993,</E> including Errata, means the model building code published by the Council of American Building Officials, which is incorporated by reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. The availability of this incorporation by reference is given in § 420.6(b).</P> <P> <E T="03">Park-and-ride lot</E> means a parking facility generally located at or near the trip origin of carpools, vanpools and/or mass transit.</P> <P> <E T="03">Petroleum violation escrow funds.</E> For purposes both of exempting petroleum violation escrow funds from the matching requirements of § 420.12 and of applying the limitations specified under § 420.18(b), this term means any funds <PRTPAGE P="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.</P> <P> <E T="03">Plan</E> means a State Energy Program plan including required program activities in accordance with § 420.15 and otherwise meeting the applicable provisions of this part.</P> <P> <E T="03">Political subdivision</E> 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.</P> <P> <E T="03">Preferential traffic control</E> 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.</P> <P> <E T="03">Program activity</E> means one or more State actions, in a particular area, designed to promote energy efficiency, renewable energy and alternative transportation fuel.</P> <P> <E T="03">Public building</E> means any building which is open to the public during normal business hours, including:</P> <P>(1) Any building which provides facilities or shelter for public assembly, or which is used for educational office or institutional purposes;</P> <P>(2) Any inn, hotel, motel, sports arena, supermarket, transportation terminal, retail store, restaurant, or other commercial establishment which provides services or retail merchandise;</P> <P>(3) Any general office space and any portion of an industrial facility used primarily as office space;</P> <P>(4) Any building owned by a State or political subdivision thereof, including libraries, museums, schools, hospitals, auditoriums, sport arenas, and university buildings; and</P> <P>(5) Any public or private non-profit school or hospital.</P> <P> <E T="03">Public transportation</E> means any scheduled or nonscheduled transportation service for public use.</P> <P> <E T="03">Regional Office Director</E> means the director of a DOE Regional Office with responsibility for grants administration or any official to whom that function may be redelegated.</P> <P> <E T="03">Renewable energy</E> means a non-depletable source of energy.</P> <P> <E T="03">Renewable energy measure</E> 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.</P> <P> <E T="03">Residential building</E> means any building which is constructed for residential occupancy.</P> <P> <E T="03">Secretary mean the Secretary of DOE.</E> </P> <P> <E T="03">SEP</E> means the State Energy Program under this part.</P> <P> <E T="03">Small business</E> 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.</P> <P> <E T="03">Start-up business</E> means a small business which has been in existence for 5 years or less.</P> <P> <E T="03">State</E> means a State, the District of Columbia, Puerto Rico, or any territory or possession of the United States.</P> <P> <E T="03">State or local government building</E> 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.</P> <P> <E T="03">Transit level of service</E> means characteristics of transit service provided which indicate its quantity, geographic area of coverage, frequency and quality (comfort, travel, time, fare and image).</P> <P> <E T="03">Urban area traffic restriction</E> means a setting aside of certain portions of an urban area as restricted zones where <PRTPAGE P="105"/>varying degrees of limitation are placed on general traffic usage and/or parking.</P> <P> <E T="03">Vanpool</E> 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.</P> <P> <E T="03">Variable working schedule</E> means a flexible working schedule to facilitate activities such as carpools, vanpools, public transportation usage, and/or telecommuting.</P> <CITA>[61 FR 35895, July 8, 1996, as amended at 62 FR 26726, May 14, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 420.3</SECTNO> <SUBJECT>Administration of financial assistance.</SUBJECT> <P>(a) Financial assistance under this part shall comply with applicable laws and regulations including, but without limitation, the requirements of:</P> <P>(1) Executive Order 12372, Intergovernmental Review of Federal Programs, as implemented by 10 CFR part 1005.</P> <P>(2) DOE Financial Assistance Rules (10 CFR part 600); and</P> <P>(3) Other procedures which DOE may from time to time prescribe for the administration of financial assistance under this part.</P> <P>(b) The budget period(s) covered by the financial assistance provided to a State according to § 420.11(b) or § 420.33 shall be consistent with 10 CFR part 600.</P> <P>(c) Subawards are authorized under this part and are subject to the requirements of this part and 10 CFR part 600.</P> </SECTION> <SECTION> <SECTNO>§ 420.4</SECTNO> <SUBJECT>Technical assistance.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 420.5</SECTNO> <SUBJECT>Reports.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(c) The reports shall be submitted within 30 days following the end of each calendar year quarter.</P> </SECTION> <SECTION> <SECTNO>§ 420.6</SECTNO> <SUBJECT>Reference standards.</SUBJECT> <P>(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: <E T="03">http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.</E> </P> <P>(b) The following standards are incorporated by reference in this part:</P> <P>(1) The American Society of Heating, Refrigerating and Air-Conditioning Engineers (ASHRAE), 1791 Tullie Circle, N.E., Atlanta, Georgia 30329, (404) 636-8400/The Illuminating Engineering Society of North America (IESNA), 345 East 47th Street, New York, New York 10017, (212) 705-7913: (i) ASHRAE/IESNA 90.1-1989, entitled “Energy Efficient Design of New Buildings Except Low-Rise Residential Buildings,” with Addenda 90.1b-1992; Addenda 90.1d-1992; Addenda 90.1e-1992; Addenda 90.1g-1993; and Addenda 90.1i-1993, IBR approved for § 420.2 and § 420.15.</P> <P>(2) The Council of American Building Officials (CABO), 5203 Leesburg Pike, Suite 708, Falls Church, Virginia 22041, (703) 931-4533: (i) The Model Energy Code, 1993, including Errata, IBR approved for § 420.2 and § 420.15.</P> <CITA>[61 FR 35895, July 8, 1996, as amended at 69 FR 18803, Apr. 9, 2004]</CITA> </SECTION> </SUBPART> <SUBPART> <PRTPAGE P="106"/> <HD SOURCE="HED">Subpart B—Formula Grant Procedures</HD> <SECTION> <SECTNO>§ 420.10</SECTNO> <SUBJECT>Purpose.</SUBJECT> <P>This subpart specifies the procedures that apply to the Formula Grant part of the State Energy Program, which allows States to apply for financial assistance to undertake a wide range of required and optional energy-related activities provided for under § 420.15 and § 420.17. Funding for these activities is allocated to the States based on funds available for any fiscal year, as described under § 420.11.</P> </SECTION> <SECTION> <SECTNO>§ 420.11</SECTNO> <SUBJECT>Allocation of funds among the States.</SUBJECT> <P>(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.</P> <P>(b) DOE shall allocate financial assistance to develop, implement or modify plans among the States from funds available for any fiscal year, as follows:</P> <P>(1) If the available funds equal $25.5 million, such funds shall be allocated to the States according to Table 1 of this section.</P> <P>(2) The base allocation for each State is listed in Table 1.</P> <GPOTABLE CDEF="s25,12" COLS="2" OPTS="L2"> <TTITLE>Table 1—Base Allocation by State</TTITLE> <BOXHD> <CHED H="1">State/Territory</CHED> <CHED H="1"/> </BOXHD> <ROW> <ENT I="01">Alabama</ENT> <ENT>$381,000</ENT> </ROW> <ROW> <ENT I="01">Alaska</ENT> <ENT>180,000</ENT> </ROW> <ROW> <ENT I="01">Arizona</ENT> <ENT>344,000</ENT> </ROW> <ROW> <ENT I="01">Arkansas</ENT> <ENT>307,000</ENT> </ROW> <ROW> <ENT I="01">California</ENT> <ENT>1,602,000</ENT> </ROW> <ROW> <ENT I="01">Colorado</ENT> <ENT>399,000</ENT> </ROW> <ROW> <ENT I="01">Connecticut</ENT> <ENT>397,000</ENT> </ROW> <ROW> <ENT I="01">Delaware</ENT> <ENT>164,000</ENT> </ROW> <ROW> <ENT I="01">District of Columbia</ENT> <ENT>158,000</ENT> </ROW> <ROW> <ENT I="01">Florida</ENT> <ENT>831,000</ENT> </ROW> <ROW> <ENT I="01">Georgia</ENT> <ENT>534,000</ENT> </ROW> <ROW> <ENT I="01">Hawaii</ENT> <ENT>170,000</ENT> </ROW> <ROW> <ENT I="01">Idaho</ENT> <ENT>190,000</ENT> </ROW> <ROW> <ENT I="01">Illinois</ENT> <ENT>1,150,000</ENT> </ROW> <ROW> <ENT I="01">Indiana</ENT> <ENT>631,000</ENT> </ROW> <ROW> <ENT I="01">Iowa</ENT> <ENT>373,000</ENT> </ROW> <ROW> <ENT I="01">Kansas</ENT> <ENT>327,000</ENT> </ROW> <ROW> <ENT I="01">Kentucky</ENT> <ENT>411,000</ENT> </ROW> <ROW> <ENT I="01">Louisiana</ENT> <ENT>446,000</ENT> </ROW> <ROW> <ENT I="01">Maine</ENT> <ENT>231,000</ENT> </ROW> <ROW> <ENT I="01">Maryland</ENT> <ENT>486,000</ENT> </ROW> <ROW> <ENT I="01">Massachusetts</ENT> <ENT>617,000</ENT> </ROW> <ROW> <ENT I="01">Michigan</ENT> <ENT>973,000</ENT> </ROW> <ROW> <ENT I="01">Minnesota</ENT> <ENT>584,000</ENT> </ROW> <ROW> <ENT I="01">Mississippi</ENT> <ENT>279,000</ENT> </ROW> <ROW> <ENT I="01">Missouri</ENT> <ENT>518,000</ENT> </ROW> <ROW> <ENT I="01">Montana</ENT> <ENT>182,000</ENT> </ROW> <ROW> <ENT I="01">Nebraska</ENT> <ENT>246,000</ENT> </ROW> <ROW> <ENT I="01">Nevada</ENT> <ENT>196,000</ENT> </ROW> <ROW> <ENT I="01">New Hampshire</ENT> <ENT>216,000</ENT> </ROW> <ROW> <ENT I="01">New Jersey</ENT> <ENT>783,000</ENT> </ROW> <ROW> <ENT I="01">New Mexico</ENT> <ENT>219,000</ENT> </ROW> <ROW> <ENT I="01">New York</ENT> <ENT>1,633,000</ENT> </ROW> <ROW> <ENT I="01">North Carolina</ENT> <ENT>564,000</ENT> </ROW> <ROW> <ENT I="01">North Dakota</ENT> <ENT>172,000</ENT> </ROW> <ROW> <ENT I="01">Ohio</ENT> <ENT>1,073,000</ENT> </ROW> <ROW> <ENT I="01">Oklahoma</ENT> <ENT>352,000</ENT> </ROW> <ROW> <ENT I="01">Oregon</ENT> <ENT>325,000</ENT> </ROW> <ROW> <ENT I="01">Pennsylvania</ENT> <ENT>1,090,000</ENT> </ROW> <ROW> <ENT I="01">Rhode Island</ENT> <ENT>199,000</ENT> </ROW> <ROW> <ENT I="01">South Carolina</ENT> <ENT>340,000</ENT> </ROW> <ROW> <ENT I="01">South Dakota</ENT> <ENT>168,000</ENT> </ROW> <ROW> <ENT I="01">Tennessee</ENT> <ENT>476,000</ENT> </ROW> <ROW> <ENT I="01">Texas</ENT> <ENT>1,322,000</ENT> </ROW> <ROW> <ENT I="01">Utah</ENT> <ENT>242,000</ENT> </ROW> <ROW> <ENT I="01">Vermont</ENT> <ENT>172,000</ENT> </ROW> <ROW> <ENT I="01">Virginia</ENT> <ENT>571,000</ENT> </ROW> <ROW> <ENT I="01">Washington</ENT> <ENT>438,000</ENT> </ROW> <ROW> <ENT I="01">West Virginia</ENT> <ENT>286,000</ENT> </ROW> <ROW> <ENT I="01">Wisconsin</ENT> <ENT>604,000</ENT> </ROW> <ROW> <ENT I="01">Wyoming</ENT> <ENT>155,000</ENT> </ROW> <ROW> <ENT I="01">American Samoa</ENT> <ENT>115,000</ENT> </ROW> <ROW> <ENT I="01">Guam</ENT> <ENT>120,000</ENT> </ROW> <ROW> <ENT I="01">Northern Marianas</ENT> <ENT>114,000</ENT> </ROW> <ROW> <ENT I="01">Puerto Rico</ENT> <ENT>322,000</ENT> </ROW> <ROW RUL="s"> <ENT I="01">U.S. Virgin Islands</ENT> <ENT>122,000</ENT> </ROW> <ROW> <ENT I="04">Total</ENT> <ENT>25,500,000</ENT> </ROW> </GPOTABLE> <P>(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.</P> <P>(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:</P> <P>(i) One-third of the available funds is divided among the States equally;</P> <P>(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</P> <P>(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.</P> <P>(c) The budget period covered by the financial assistance provided to a State <PRTPAGE P="107"/>according to § 420.11(b) shall be consistent with 10 CFR part 600.</P> </SECTION> <SECTION> <SECTNO>§ 420.12</SECTNO> <SUBJECT>State matching contribution.</SUBJECT> <P>(a) Each State shall provide cash, in kind contributions, or both for SEP activities in an amount totaling not less than 20 percent of the financial assistance allocated to the State under § 420.11(b).</P> <P>(b) Cash and in-kind contributions used to meet this State matching requirement are subject to the limitations on expenditures described in § 420.18(a), but are not subject to the 20 percent limitation in § 420.18(b).</P> <P>(c) Nothing in this section shall be read to require a match for petroleum violation escrow funds used under this subpart.</P> <CITA>[61 FR 35895, July 8, 1996, as amended at 64 FR 46114, Aug. 24, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 420.13</SECTNO> <SUBJECT>Annual State applications and amendments to State plans.</SUBJECT> <P>(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.</P> <P>(b) An application shall include:</P> <P>(1) A face sheet containing basic identifying information, on Standard Form (SF) 424;</P> <P>(2) A description of the energy efficiency, renewable energy, and alternative transportation fuel goals to be achieved, including wherever practicable:</P> <P>(i) An estimate of the energy to be saved by implementation of the State plan;</P> <P>(ii) Why the goals were selected;</P> <P>(iii) How the attainment of the goals will be measured by the State; and</P> <P>(iv) How the program activities included in the State plan represent a strategy to achieve these goals;</P> <P>(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;</P> <P>(4) For the budget period for which financial assistance will be provided:</P> <P>(i) A total program budget with supporting justification, broken out by object category and by source of funding;</P> <P>(ii) The source and amount of State matching contribution;</P> <P>(iii) A narrative statement detailing the nature of State plan amendments and of new program activities.</P> <P>(iv) For each program activity, a budget and listing of milestones; and</P> <P>(v) An explanation of how the minimum criteria for required program activities prescribed in § 420.15 have been implemented and are being maintained.</P> <P>(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.</P> <P>(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.</P> <P>(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;</P> <P>(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<PRTPAGE P="108"/> </P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 420.14</SECTNO> <SUBJECT>Review and approval of annual State applications and amendments to State plans.</SUBJECT> <P>(a) After receipt of an application for financial assistance under this subpart and for approval of an amendment, if any, to a State plan, the cognizant Regional Office Director may request the State to submit within a reasonable period of time any revisions necessary to make the application complete and to bring the application into compliance with the requirements of subparts A and B of this part. The cognizant Regional Office Director shall attempt to resolve any dispute over the application informally and to seek voluntary compliance. If a State fails to submit timely appropriate revisions to complete an application or to bring it into compliance, the cognizant Regional Office Director may reject the application in a written decision, including a statement of reasons, which shall be subject to administrative review under § 420.19 of subparts A and B of this part.</P> <P>(b) On or before 60 days from the date that a timely filed application is complete, the cognizant Regional Office Director shall—</P> <P>(1) Approve the application in whole or in part to the extent that—</P> <P>(i) The application conforms to the requirements of subparts A and B of this part;</P> <P>(ii) The proposed program activities are consistent with a State's achievement of its energy conservation goals in accordance with § 420.13; and</P> <P>(iii) The provisions of the application regarding program activities satisfy the minimum requirements prescribed by § 420.15 and § 420.17 as applicable;</P> <P>(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</P> <P>(3) Disapprove the application if it does not conform to the requirements of subparts A and B of this part.</P> <CITA>[61 FR 35895, July 8, 1996, as amended at 62 FR 26727, May 14, 1997; 64 FR 46114, Aug. 24, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 420.15</SECTNO> <SUBJECT>Minimum criteria for required program activities for plans.</SUBJECT> <P>A plan shall satisfy all of the following minimum criteria for required program activities.</P> <P>(a) Mandatory lighting efficiency standards for public buildings shall:</P> <P>(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;</P> <P>(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;</P> <P>(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/<PRTPAGE P="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 § 420.6; and</P> <P>(4) For existing public buildings, contain the elements deemed appropriate by the State.</P> <P>(b) Program activities to promote the availability and use of carpools, vanpools, and public transportation shall:</P> <P>(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:</P> <P>(i) A carpool/vanpool matching and promotion campaign;</P> <P>(ii) Park-and-ride lots;</P> <P>(iii) Preferential traffic control for carpoolers and public transportation patrons;</P> <P>(iv) Preferential parking for carpools and vanpools;</P> <P>(v) Variable working schedules;</P> <P>(vi) Improvement in transit level of service for public transportation;</P> <P>(vii) Exemption of carpools and vanpools from regulated carrier status;</P> <P>(viii) Parking taxes, parking fee regulations or surcharge on parking costs;</P> <P>(ix) Full-cost parking fees for State and/or local government employees;</P> <P>(x) Urban area traffic restrictions;</P> <P>(xi) Geographical or time restrictions on automobile use; or</P> <P>(xii) Area or facility tolls; and</P> <P>(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.</P> <P>(c) Mandatory standards and policies affecting the procurement practices of the State and its political subdivisions to improve energy efficiency shall—</P> <P>(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</P> <P>(2) Contain the elements deemed appropriate by the State to improve energy efficiency through the procurement practices of the State and its political subdivisions.</P> <P>(d) Mandatory thermal efficiency standards for new and renovated buildings shall—</P> <P>(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;</P> <P>(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;</P> <P>(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</P> <P>(4) For all new single-family and multifamily low-rise residential buildings, be no less stringent than the Model Energy Code, 1993, and should be updated by enactment of, or support for the enactment into local codes or standards, which, at a minimum, are comparable to the Model Energy Code, 1993, which is incorporated by reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. The availability of this incorporation by reference is given in § 420.6;</P> <P>(5) For renovated buildings:</P> <P>(i) Apply to those buildings determined by the State to be renovated buildings; and</P> <P>(ii) Contain the elements deemed appropriate by the State regarding thermal efficiency standards for renovated buildings.</P> <P>(e) A traffic law or regulation which permits the operator of a motor vehicle <PRTPAGE P="110"/>to make a turn at a red light after stopping shall:</P> <P>(1) Be in a State's motor vehicle code and under implementation throughout all political subdivisions of the State;</P> <P>(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</P> <P>(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.</P> <P>(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.</P> <CITA>[61 FR 35895, July 8, 1996, as amended at 62 FR 26727, May 14, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 420.16</SECTNO> <SUBJECT>Extensions for compliance with required program activities.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 420.17</SECTNO> <SUBJECT>Optional elements of State Energy Program plans.</SUBJECT> <P>(a) Other appropriate activities or programs may be included in the State plan. These activities may include, but are not limited to, the following:</P> <P>(1) Program activities of public education to promote energy efficiency, renewable energy, and alternative transportation fuels;</P> <P>(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;</P> <P>(3) Program activities for financing energy efficiency measures and renewable energy measures—</P> <P>(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</P> <P>(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;</P> <P>(4) Program activities for encouraging and for carrying out energy audits with respect to buildings and industrial facilities (including industrial processes) within the State;</P> <P>(5) Program activities to promote the adoption of integrated energy plans which provide for:</P> <P>(i) Periodic evaluation of a State's energy needs, available energy resources (including greater energy efficiency), and energy costs; and</P> <P>(ii) Utilization of adequate and reliable energy supplies, including greater energy efficiency, that meet applicable safety, environmental, and policy requirements at the lowest cost;<PRTPAGE P="111"/> </P> <P>(6) Program activities to promote energy efficiency in residential housing, such as:</P> <P>(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</P> <P>(ii) Program activities for the adoption of incentives for builders, utilities, and mortgage lenders to build, service, or finance energy efficient housing;</P> <P>(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;</P> <P>(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;</P> <P>(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;</P> <P>(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;</P> <P>(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;</P> <P>(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;</P> <P>(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</P> <P>(14) In accordance with paragraph (b) of this section, program activities to implement the Energy Technology Commercialization Services Program.</P> <P>(b) This section prescribes requirements for establishing State-level Energy Technology Commercialization Services Program as an optional element of State plans.</P> <P>(1) The program activities to implement the functions of the Energy Technology Commercialization Services Program shall:</P> <P>(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;</P> <P>(ii) Encourage the application of such information in order to solve energy technology product development and manufacturing problems;</P> <P>(iii) Establish an Energy Technology Commercialization Services Program affiliated with an existing entity in each State;</P> <P>(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;</P> <P>(v) Assist small and start-up businesses in preparing the technical portions of proposals seeking financial assistance for new energy technology commercialization; and</P> <P>(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.</P> <P>(2) Each State Energy Technology Commercialization Services Program shall develop and maintain a data base of engineering and scientific experts in <PRTPAGE P="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.</P> <P>(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.</P> <CITA>[61 FR 35895, July 8, 1996, as amended at 62 FR 26727, May 14, 1997; 64 FR 46114, Aug. 24, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 420.18</SECTNO> <SUBJECT>Expenditure prohibitions and limitations.</SUBJECT> <P>(a) No financial assistance provided to a State under this subpart shall be used:</P> <P>(1) For construction, such as construction of mass transit systems and exclusive bus lanes, or for construction or repair of buildings or structures;</P> <P>(2) To purchase land, a building or structure or any interest therein;</P> <P>(3) To subsidize fares for public transportation;</P> <P>(4) To subsidize utility rate demonstrations or State tax credits for energy conservation measures or renewable energy measures; or</P> <P>(5) To conduct, or purchase equipment to conduct, research, development or demonstration of energy efficiency or renewable energy techniques and technologies not commercially available.</P> <P>(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.</P> <P>(c) Demonstrations of commercially available energy efficiency or renewable energy techniques and technologies are permitted, and are not subject to the prohibitions of § 420.18(a)(1), or to the limitation on equipment purchases of § 420.18(b).</P> <P>(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.</P> <P>(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:</P> <P>(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;</P> <P>(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.</P> <P>(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;</P> <P>(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;</P> <P>(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 <PRTPAGE P="113"/>buy-downs, performance contracting, rebates and grants.</P> <P>(f) The following mechanisms are not allowed for funding the purchase and installation of materials and equipment under paragraph (e) of this section:</P> <P>(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</P> <P>(2) Loan guarantees.</P> <CITA>[61 FR 35895, July 8, 1996, as amended at 62 FR 26727, May 14, 1997; 64 FR 46114, Aug. 24, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 420.19</SECTNO> <SUBJECT>Administrative review.</SUBJECT> <P>(a) A State shall have 20 days from the date of receipt of a decision under § 420.14 to file a notice requesting administrative review in accordance with paragraph (b) of this section. If an applicant does not timely file such a notice, the decision under § 420.14 shall become final for DOE.</P> <P>(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.</P> <P>(c) A notice or any other document shall be deemed filed under this section upon receipt.</P> <P>(d) On or before 15 days from receipt of a notice requesting administrative review which is timely filed, the cognizant Regional Office Director shall forward to the Deputy Assistant Secretary, the notice requesting administrative review, the decision under § 420.14 as to which administrative review is sought, a draft recommended final decision for concurrence, and any other relevant material.</P> <P>(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 <E T="04">Federal Register</E> 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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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 <E T="04">Federal Register</E> 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.</P> <CITA>[61 FR 35895, July 8, 1996, as amended at 64 FR 46114, Aug. 24, 1999]</CITA> </SECTION> </SUBPART> <SUBPART> <PRTPAGE P="114"/> <HD SOURCE="HED">Subpart C—Implementation of Special Projects Financial Assistance</HD> <SECTION> <SECTNO>§ 420.30</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <P>(a) This subpart sets forth DOE's policies and procedures for implementing special projects financial assistance under this part.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(e) The purposes of the special project activities are:</P> <P>(1) To utilize States to accelerate deployment of energy efficiency, renewable energy, and alternative transportation fuel technologies;</P> <P>(2) To facilitate the commercialization of emerging and underutilized energy efficiency and renewable energy technologies; and</P> <P>(3) To increase the responsiveness of Federally funded technology development efforts to the needs of the marketplace.</P> </SECTION> <SECTION> <SECTNO>§ 420.31</SECTNO> <SUBJECT>Notice of availability.</SUBJECT> <P>(a) If in any fiscal year DOE has funds available for special projects, DOE shall publish in the <E T="04">Federal Register</E> one or more notice(s) of availability of SEP special projects financial assistance.</P> <P>(b) Each notice of availability shall cite this part and shall include:</P> <P>(1) Brief descriptions of the activities for which funding is available;</P> <P>(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;</P> <P>(3) The program official to contact for additional information, application forms, and the program guidance/solicitation document; and</P> <P>(4) The dates when:</P> <P>(i) The program guidance/solicitation will be available; and</P> <P>(ii) The applications for financial assistance must be received by DOE.</P> </SECTION> <SECTION> <SECTNO>§ 420.32</SECTNO> <SUBJECT>Program guidance/solicitation.</SUBJECT> <P>After the publication of the notice of availability in the <E T="04">Federal Register,</E> 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:</P> <P>(a) The control number of the program;</P> <P>(b) The expected duration of DOE support or period of performance;</P> <P>(c) An application form or the format to be used, location for application submission, and number of copies required;</P> <P>(d) The name of the DOE program office contact from whom to seek additional information;</P> <P>(e) Detailed descriptions of each type of program activity for which financial assistance is being offered;</P> <P>(f) The amount of money available for award, together with any limitations as to maximum or minimum amounts expected to be awarded;</P> <P>(g) Deadlines for submitting applications;</P> <P>(h) Evaluation criteria that DOE will apply in the selection and ranking process for applications for each program activity;</P> <P>(i) The evaluation process to be applied to each type of program activity;</P> <P>(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:</P> <P>(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</P> <P>(2) Geographical diversity;</P> <P>(k) Reporting requirements;</P> <P>(l) References to:</P> <P>(1) Statutory authority for the program;</P> <P>(2) Applicable rules; and<PRTPAGE P="115"/> </P> <P>(3) Other terms and conditions applicable to awards made under the program guidance/solicitation; and</P> <P>(m) A statement that DOE reserves the right to fund in whole or in part, any, all, or none of the applications submitted.</P> </SECTION> <SECTION> <SECTNO>§ 420.33</SECTNO> <SUBJECT>Application requirements.</SUBJECT> <P>(a) Consistent with § 420.32 of this part, DOE shall set forth general and special project activity-specific requirements for applications for special projects financial assistance in the program guidance/solicitation.</P> <P>(b) In addition to any other requirements, all applications shall provide:</P> <P>(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;</P> <P>(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</P> <P>(3) An implementation schedule for carrying out the project.</P> <P>(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.</P> <P>(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.</P> <CITA>[61 FR 35895, July 8, 1996, as amended at 64 FR 46114, Aug. 24, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 420.34</SECTNO> <SUBJECT>Matching contributions or cost-sharing.</SUBJECT> <P>DOE may require (as set forth in the program guidance/solicitation) States to provide either:</P> <P>(a) A matching contribution of at least a specified percentage of the Federal financial assistance award; or</P> <P>(b) A specified share of the total cost of the project for which financial assistance is provided.</P> </SECTION> <SECTION> <SECTNO>§ 420.35</SECTNO> <SUBJECT>Application evaluation.</SUBJECT> <P>(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.</P> <P>(b) DOE shall group, and technically evaluate according to program activity, all applications determined to be complete and satisfactory.</P> <P>(c) DOE shall select evaluators on the basis of their professional qualifications and expertise relating to the particular program activity being evaluated.</P> <P>(1) DOE anticipates that evaluators will primarily be DOE employees; but</P> <P>(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.</P> <CITA>[61 FR 35895, July 8, 1996, as amended at 64 FR 46114, Aug. 24, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 420.36</SECTNO> <SUBJECT>Evaluation criteria.</SUBJECT> <P>The evaluation criteria, including program activity-specific criteria, will be set forth in the program guidance/solicitation document.</P> </SECTION> <SECTION> <SECTNO>§ 420.37</SECTNO> <SUBJECT>Selection.</SUBJECT> <P>(a) DOE may make selection of applications for award based on:</P> <P>(1) The findings of the technical evaluations;</P> <P>(2) The priorities of DOE, SEP, and the participating program offices;</P> <P>(3) The availability of funds for the various special project activities; and</P> <P>(4) Any program policy factors set forth in the program guidance/solicitation.</P> <P>(b) The Director, Office of State and Community Programs makes the final selections of projects to be awarded financial assistance.</P> </SECTION> <SECTION> <SECTNO>§ 420.38</SECTNO> <SUBJECT>Special projects expenditure prohibitions and limitations.</SUBJECT> <P>(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.<PRTPAGE P="116"/> </P> <P>(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.</P> <CITA>[64 FR 46114, Aug. 24, 1999]</CITA> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 430</EAR> <HD SOURCE="HED">PART 430—ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General Provisions</HD> <SECHD>Sec.</SECHD> <SECTNO>430.1</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <SECTNO>430.2</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>430.3</SECTNO> <SUBJECT>Materials incorporated by reference.</SUBJECT> <SECTNO>430.4</SECTNO> <SUBJECT>Sources for information and guidance.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Test Procedures</HD> <SECTNO>430.21</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <SECTNO>430.23</SECTNO> <SUBJECT>Test procedures for the measurement of energy and water consumption.</SUBJECT> <SECTNO>430.24</SECTNO> <SUBJECT>Units to be tested.</SUBJECT> <SECTNO>430.25</SECTNO> <SUBJECT>Laboratory Accreditation Program.</SUBJECT> <SECTNO>430.27</SECTNO> <SUBJECT>Petitions for waiver and applications for interim waiver.</SUBJECT> <APP>Appendix A1 to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Electric Refrigerators and Electric Refrigerator-Freezers</APP> <APP>Appendix B1 (Alternative) to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Freezers</APP> <APP>Appendix C to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Dishwashers</APP> <APP>Appendix D to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Clothes Dryers</APP> <APP>Appendix E to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Water Heaters</APP> <APP>Appendix F to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Room Air Conditioners</APP> <APP>Appendix G to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Unvented Home Heating Equipment</APP> <APP>Appendix H to Subpart B of Part 430 [Reserved]</APP> <APP>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</APP> <APP>Appendix J to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Automatic and Semi-Automatic Clothes Washers</APP> <APP>Appendix J1 to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Automatic and Semi-Automatic Clothes Washers</APP> <APP>Appendixes K-L to Subpart B of Part 430 [Reserved]</APP> <APP>Appendix M to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Central Air Conditioners</APP> <APP>Appendix N to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Furnaces and Boilers</APP> <APP>Appendix O to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Vented Home Heating Equipment</APP> <APP>Appendix P to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Pool Heaters</APP> <APP>Appendix Q to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Fluorescent Lamp Ballasts</APP> <APP>Appendix R to Subpart B of Part 430—Uniform Test Method for Measuring Average Lamp Efficacy (LE), Color Rendering Index (CRI), and Correlated Color Temperature (CCT) of Electric Lamps</APP> <APP>Appendix S to Subpart B of Part 430—Uniform Test Method for Measuring the Water Consumption of Faucets and Showerheads</APP> <APP>Appendix T to Subpart B of Part 430—Uniform Test Method for Measuring the Water Consumption of Water Closets and Urinals</APP> <APP>Appendix U to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Ceiling Fans</APP> <APP>Appendix V to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Ceiling Fan Light Kits</APP> <APP>Appendix W to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Medium Base Compact Fluorescent Lamps</APP> <APP>Appendix X to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Dehumidifiers</APP> <APP>Appendix Y to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Battery Chargers</APP> <APP>Appendix Z to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of External Power Supplies</APP> </SUBPART> <SUBPART> <PRTPAGE P="117"/> <HD SOURCE="HED">Subpart C—Energy and Water Conservation Standards</HD> <SECTNO>430.31</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <SECTNO>430.32</SECTNO> <SUBJECT>Energy and water conservation standards and their effective dates.</SUBJECT> <SECTNO>430.33</SECTNO> <SUBJECT>Preemption of State regulations.</SUBJECT> <SECTNO>430.34</SECTNO> <SUBJECT>Energy and water conservation standards amendments.</SUBJECT> <SECTNO>430.35</SECTNO> <SUBJECT>Petitions with respect to general service lamps.</SUBJECT> <APP>Appendix A to Subpart C of Part 430—Procedures, Interpretations and Policies for Consideration of New or Revised Energy Conservation Standards for Consumer Products</APP> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Petitions To Exempt State Regulation From Preemption; Petitions To Withdraw Exemption of State Regulation</HD> <SECTNO>430.40</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <SECTNO>430.41</SECTNO> <SUBJECT>Prescriptions of a rule.</SUBJECT> <SECTNO>430.42</SECTNO> <SUBJECT>Filing requirements.</SUBJECT> <SECTNO>430.43</SECTNO> <SUBJECT>Notice of petition.</SUBJECT> <SECTNO>430.44</SECTNO> <SUBJECT>Consolidation.</SUBJECT> <SECTNO>430.45</SECTNO> <SUBJECT>Hearing.</SUBJECT> <SECTNO>430.46</SECTNO> <SUBJECT>Disposition of petitions.</SUBJECT> <SECTNO>430.47</SECTNO> <SUBJECT>Effective dates of final rules.</SUBJECT> <SECTNO>430.48</SECTNO> <SUBJECT>Request for reconsideration.</SUBJECT> <SECTNO>430.49</SECTNO> <SUBJECT>Finality of decision.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Small Business Exemptions</HD> <SECTNO>430.50</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <SECTNO>430.51</SECTNO> <SUBJECT>Eligibility.</SUBJECT> <SECTNO>430.52</SECTNO> <SUBJECT>Requirements for applications.</SUBJECT> <SECTNO>430.53</SECTNO> <SUBJECT>Processing of applications.</SUBJECT> <SECTNO>430.54</SECTNO> <SUBJECT>Referral to the Attorney General.</SUBJECT> <SECTNO>430.55</SECTNO> <SUBJECT>Evaluation of application.</SUBJECT> <SECTNO>430.56</SECTNO> <SUBJECT>Decision and order.</SUBJECT> <SECTNO>430.57</SECTNO> <SUBJECT>Duration of temporary exemption.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—Certification and Enforcement</HD> <SECTNO>430.60</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <SECTNO>430.61</SECTNO> <SUBJECT>Prohibited acts.</SUBJECT> <SECTNO>430.62</SECTNO> <SUBJECT>Submission of data.</SUBJECT> <SECTNO>430.63</SECTNO> <SUBJECT>Sampling.</SUBJECT> <SECTNO>430.64</SECTNO> <SUBJECT>Imported products.</SUBJECT> <SECTNO>430.65</SECTNO> <SUBJECT>Exported products.</SUBJECT> <SECTNO>430.70</SECTNO> <SUBJECT>Enforcement.</SUBJECT> <SECTNO>430.71</SECTNO> <SUBJECT>Cessation of distribution of a basic model.</SUBJECT> <SECTNO>430.72</SECTNO> <SUBJECT>Subpoena.</SUBJECT> <SECTNO>430.73</SECTNO> <SUBJECT>Remedies.</SUBJECT> <SECTNO>430.74</SECTNO> <SUBJECT>Hearings and Appeals.</SUBJECT> <SECTNO>430.75</SECTNO> <SUBJECT>Confidentiality.</SUBJECT> <APP>Appendix A to Subpart F of Part 430—Compliance Statement and Certification Report.</APP> <APP>Appendix B to Subpart F of Part 430—Sampling Plan for Enforcement Testing.</APP> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>42 U.S.C. 6291-6309; 28 U.S.C. 2461 note.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>42 FR 27898, June 1, 1977, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General Provisions</HD> <SECTION> <SECTNO>§ 430.1</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <P>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.</P> <CITA>[62 FR 29237, May 29, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 430.2</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>For purposes of this part, words shall be defined as provided for in section 321 of the Act and as follows—</P> <P> <E T="03">3-Way incandescent lamp</E> means an incandescent lamp that—</P> <P>(1) Employs two filaments, operated separately and in combination, to provide three light levels; and</P> <P>(2) Is designated on the lamp packaging and marketing materials as being a 3-way incandescent lamp.</P> <P> <E T="03">Act</E> 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).</P> <P> <E T="03">Active mode</E> means the condition in which an energy-using product—</P> <P>(1) Is connected to a main power source;</P> <P>(2) Has been activated; and</P> <P>(3) Provides one or more main functions.</P> <P> <E T="03">Annual fuel utilization efficiency</E> means the efficiency descriptor for furnaces and boilers, determined using test procedures prescribed under section 323 and based on the assumption that all—</P> <P>(a) Weatherized warm air furnaces or boilers are located out-of-doors;</P> <P>(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 <PRTPAGE P="118"/>outdoors and does not communicate with air in the conditioned space;</P> <P>(c) Boilers which are not weatherized are located within the heated space.</P> <P> <E T="03">ANSI</E> means the American National Standards Institute.</P> <P> <E T="03">Appliance lamp</E> means any lamp that—</P> <P>(1) Is specifically designed to operate in a household appliance, has a maximum wattage of 40 watts, is sold at retail (including an oven lamp, refrigerator lamp, and vacuum cleaner lamp); and</P> <P>(2) Is designated and marketed for the intended application, with</P> <P>(i) The designation on the lamp packaging; and</P> <P>(ii) Marketing materials that identify the lamp as being for appliance use.</P> <P> <E T="03">ARM/simulation adjustment factor</E> 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 using the ARM and a split-system combination tested in accordance with § 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).</P> <P> <E T="03">ASME</E> means the American Society of Mechanical Engineers.</P> <P> <E T="03">Automatic clothes washer</E> 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.</P> <P> <E T="03">Ballast</E> means a device used with an electric discharge lamp to obtain necessary circuit conditions (voltage, current, and waveform) for starting and operating.</P> <P> <E T="03">Ballast efficacy factor</E> 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.</P> <P> <E T="03">Baseboard electric heater</E> 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.</P> <P> <E T="03">Basic model</E> means all units of a given type of covered product (or class thereof) manufactured by one manufacturer and—</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(6) With respect to room air conditioners, having essentially identical <PRTPAGE P="119"/>functional physical and electrical characteristics.</P> <P>(7) With respect to unvented home heating equipment, having essentially identical functional physical and electrical characteristics.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(12) With respect to furnaces, having the same primary energy source and essentially identical functional, physical and electrical characteristics.</P> <P>(13) With respect to vented home heating equipment, having the same primary energy source and essentially identical functional, physical and electrical characteristics.</P> <P>(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.</P> <P>(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.</P> <P>(16) With respect to general service incandescent 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.</P> <P>(17) 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.</P> <P>(18) 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.</P> <P>(19) 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.</P> <P>(20) 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.</P> <P>(21) 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.</P> <P>(22) 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.</P> <P>(23) 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.</P> <P>(24) With respect to medium base compact fluorescent lamps, which have <PRTPAGE P="120"/>electrical characteristics that are essentially identical, and which do not have any differing physical or functional characteristics that affect energy consumption.</P> <P>(25) 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.</P> <P>(26) 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.</P> <P>(27) 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.</P> <P> <E T="03">Batch</E> means a collection of production units of a basic model from which a batch sample is selected.</P> <P> <E T="03">Batch sample</E> means the collection of units of the same basic model from which test units are selected.</P> <P> <E T="03">Batch sample size</E> means the number of units in a batch sample.</P> <P> <E T="03">Batch size</E> means the number of units in a batch.</P> <P> <E T="03">Battery charger</E> means a device that charges batteries for consumer products, including battery chargers embedded in other consumer products.</P> <P> <E T="03">Blowout</E> has the meaning given such a term in ASME A112.19.2M-1995. (see § 430.22)</P> <P> <E T="03">BPAR incandescent reflector lamp</E> means a reflector lamp as shown in figure C78.21-278 on page 32 of ANSI C78.21-2003 (incorporated by reference; <E T="03">see</E> § 430.3).</P> <P> <E T="03">BR30</E> means a BR incandescent reflector lamp with a diameter of 30/8ths of an inch.</P> <P> <E T="03">BR40</E> means a BR incandescent reflector lamp with a diameter of 40/8ths of an inch.</P> <P> <E T="03">BR incandescent reflector lamp</E> means a reflector lamp that has—</P> <P>(1) A bulged section below the major diameter of the bulb and above the approximate baseline of the bulb, as shown in figure 1 (RB) on page 7 of ANSI C79.1-1994, (incorporated by reference, see § 430.3); and</P> <P>(2) A finished size and shape shown in ANSI C78.21-1989 (incorporated by reference; see § 430.3), including the referenced reflective characteristics in part 7 of ANSI C78.21-1989.</P> <P> <E T="03">BR incandescent reflector lamp</E> means a reflector lamp that has a bulged section below the bulb's major diameter and above its approximate base line as shown in Figure 1 (RB) on page 7 of ANSI C79.1-1994. A BR30 lamp has a lamp wattage of 85 or less than 66 and a BR40 lamp has a lamp wattage of 120 or less.</P> <P> <E T="03">Btu</E> means British thermal unit, which is the quantity of heat required to raise the temperature of one pound of water one degree Fahrenheit.</P> <P> <E T="03">Candelabra base incandescent lamp</E> means a lamp that uses a candelabra screw base as described in ANSI C81.61, Specifications for Electric Bases, common designations E11 and E12 (incorporated by reference; see § 430.3).</P> <P> <E T="03">Casement-only</E> 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.</P> <P> <E T="03">Casement-slider</E> 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.</P> <P> <E T="03">Ceiling electric heater</E> 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).</P> <P> <E T="03">Ceiling fan</E> means a nonportable device that is suspended from a ceiling for circulating air via the rotation of fan blades.</P> <P> <E T="03">Ceiling fan light kit</E> means equipment designed to provide light from a ceiling fan that can be—</P> <P>(1) Integral, such that the equipment is attached to the ceiling fan prior to the time of retail sale; or</P> <P>(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.</P> <P> <E T="03">Central air conditioner</E> means a product, other than a packaged terminal <PRTPAGE P="121"/>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.</P> <P> <E T="03">Central system humidifier</E> means a class of humidifier designed to add moisture into the air stream of a heating system.</P> <P> <E T="03">Class A external power supply</E>—</P> <P>(1) Means a device that—</P> <P>(i) Is designed to convert line voltage AC input into lower voltage AC or DC output;</P> <P>(ii) Is able to convert to only one AC or DC output voltage at a time;</P> <P>(iii) Is sold with, or intended to be used with, a separate end-use product that constitutes the primary load;</P> <P>(iv) Is contained in a separate physical enclosure from the end-use product;</P> <P>(v) Is connected to the end-use product via a removable or hard-wired male/female electrical connection, cable, cord, or other wiring; and</P> <P>(vi) Has nameplate output power that is less than or equal to 250 watts;</P> <P>(2) But, does not include any device that—</P> <P>(i) Requires Federal Food and Drug Administration listing and approval as a medical device in accordance with section 513 of the Federal Food, Drug, and Cosmetic Act (21 U.S.C. 360(c)); or</P> <P>(ii) Powers the charger of a detachable battery pack or charges the battery of a product that is fully or primarily motor operated.</P> <P> <E T="03">Clothes washer</E> 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.</P> <P> <E T="03">Coil family</E> 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.”</P> <P> <E T="03">Cold temperature fluorescent lamp</E> means a fluorescent lamp specifically designed to start at −20 °F when used with a ballast conforming to the requirements of ANSI C78.81 (incorporated by reference; see § 430.3) and ANSI C78.901 (incorporated by reference; see § 430.3), and is expressly designated as a cold temperature lamp both in markings on the lamp and in marketing materials, including catalogs, sales literature, and promotional material.</P> <P> <E T="03">Colored fluorescent lamp</E> means a fluorescent lamp designated and marketed as a colored lamp and not designed or marketed for general illumination applications with either of the following characteristics:</P> <P>(1) A CRI less than 40, as determined according to the method set forth in CIE Publication 13.3 (incorporated by reference; <E T="03">see</E> § 430.3); or</P> <P>(2) A correlated color temperature less than 2,500K or greater than 7,000K as determined according to the method set forth in IESNA LM-9 (incorporated by reference; <E T="03">see</E> § 430.3).</P> <P> <E T="03">Colored incandescent lamp</E> means an incandescent lamp designated and marketed as a colored lamp that has—</P> <P>(1) A color rendering index of less than 50, as determined according to the test method given in CIE 13.3 (incorporated by reference; see § 430.3); or</P> <P>(2) A correlated color temperature of less than 2,500K, or greater than 4,600K, where correlated temperature is computed according to the “Computation of Correlated Color Temperature and Distribution Temperature,” Journal of the Optical Society of America, (incorporated by reference; see § 430.3).</P> <P> <E T="03">Color Rendering Index or CRI</E> 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.</P> <P> <E T="03">Color television set</E> means an electrical device designed to convert incoming broadcast signals into color television pictures and associated sound.<PRTPAGE P="122"/> </P> <P> <E T="03">Compact refrigerator/refrigerator-freezer/freezer</E> 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.</P> <P> <E T="03">Condenser-evaporator coil combination</E> 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.</P> <P> <E T="03">Condensing unit</E> 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.</P> <P> <E T="03">Consumer product</E> means any article (other than an automobile, as defined in Section 501(1) of the Motor Vehicle Information and Cost Savings Act):</P> <P>(1) Of a type—</P> <P>(i) Which in operation consumes, or is designed to consume, energy or, with respect to showerheads, faucets, water closets, and urinals, water; and</P> <P>(ii) Which, to any significant extent, is distributed in commerce for personal use or consumption by individuals;</P> <P>(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.</P> <P> <E T="03">Conventional cooking top</E> 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.</P> <P> <E T="03">Conventional oven</E> 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.</P> <P> <E T="03">Conventional range</E> 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.</P> <P> <E T="03">Convertible cooking appliance</E> 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.</P> <P> <E T="03">Cooking products</E> 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.</P> <P> <E T="03">Correlated color temperature</E> means the absolute temperature of a blackbody whose chromaticity most nearly resembles that of the light source.</P> <P> <E T="03">Covered product</E> means a consumer product:</P> <P>(1) Of a type specified in section 322 of the Act, or</P> <P>(2) That is a ceiling fan, ceiling fan light kit, medium base compact fluorescent lamp, dehumidifier, battery charger, external power supply, or torchiere.</P> <P> <E T="03">Dehumidifier</E> means a self-contained, electrically operated, and mechanically refrigerated encased assembly consisting of—</P> <P>(1) A refrigerated surface (evaporator) that condenses moisture from the atmosphere;</P> <P>(2) A refrigerating system, including an electric motor;</P> <P>(3) An air-circulating fan; and<PRTPAGE P="123"/> </P> <P>(4) Means for collecting or disposing of the condensate.</P> <P> <E T="03">Design voltage</E> with respect to an incandescent lamp means:</P> <P>(1) The voltage marked as the intended operating voltage;</P> <P>(2) The mid-point of the voltage range if the lamp is marked with a voltage range; or</P> <P>(3) 120 V if the lamp is not marked with a voltage or voltage range.</P> <P> <E T="03">Detachable battery</E> means a battery that is—</P> <P>(1) Contained in a separate enclosure from the product; and</P> <P>(2) Intended to be removed or disconnected from the product for recharging.</P> <P> <E T="03">Direct vent system</E> 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.</P> <P> <E T="03">Dishwasher</E> 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.</P> <P> <E T="03">DOE</E> means the Department of Energy.</P> <P> <E T="03">Electric boiler</E> means an electrically powered furnace designed to supply low pressure steam or hot water for space heating application. A low pressure steam boiler operates at or below 15 pounds per square inch gauge (psig) steam pressure; a hot water boiler operates at or below 160 psig water pressure and 250 °F. water temperature.</P> <P> <E T="03">Electric central furnace</E> 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.</P> <P> <E T="03">Electric clothes dryer</E> 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).</P> <P> <E T="03">Electric heater</E> 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.</P> <P> <E T="03">Electric refrigerator</E> means a cabinet designed for the refrigerated storage of food at temperatures above 32° F and below 39° 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° F, but does not provide a separate low temperature compartment designed for the freezing and storage of food at temperatures below 8 °F.</P> <P> <E T="03">Electric refrigerator-freezer</E> 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 °F. and with at least one of the compartments designed for the freezing and storage of food at temperatures below 8 °F. which may be adjusted by the user to a temperature of 0 °F. or below. The source of refrigeration requires single phase, alternating current electric energy input only.</P> <P> <E T="03">Electromechanical hydraulic toilet</E> 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.</P> <P> <E T="03">Electronic ballast</E> means a device that uses semiconductors as the primary means to control lamp starting and operation.</P> <P> <E T="03">Energy conservation standard</E> means:</P> <P>(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</P> <P>(2) A design requirement for the products specified in paragraphs (6), (7), (8), <PRTPAGE P="124"/>(10), (15), (16), (17), and (19) of Section 322(a) of EPCA (42 U.S.C. 6292(a)); and</P> <P>(3) Includes any other requirements which the Secretary may prescribe under Section 325(r) of EPCA (42 U.S.C. 6295(r)).</P> <P> <E T="03">ER incandescent reflector lamp</E> means a reflector lamp that has—</P> <P>(1) An elliptical section below the major diameter of the bulb and above the approximate baseline of the bulb, as shown in figure 1 (RE) on page 7 of ANSI C79.1-1994, (incorporated by reference; see § 430.3); and</P> <P>(2) A finished size and shape shown in ANSI C78.21-1989, (incorporated by reference; see § 430.3).</P> <P> <E T="03">ER30</E> means an ER incandescent reflector lamp with a diameter of 30/8ths of an inch.</P> <P> <E T="03">ER40</E> means an ER incandescent reflector lamp with a diameter of 40/8ths of an inch.</P> <P> <E T="03">Estimated annual operating cost</E> 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).</P> <P> <E T="03">Evaporator coil</E> 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.</P> <P> <E T="03">External power supply</E> 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.</P> <P> <E T="03">External power supply design family</E> means a set of external power supply basic models, produced by the same manufacturer, which share the same circuit layout, output power, and output cord resistance, but differ in output voltage.</P> <P> <E T="03">Faucet</E> means a lavatory faucet, kitchen faucet, metering faucet, or replacement aerator for a lavatory or kitchen faucet.</P> <P> <E T="03">Floor electric heater</E> 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).</P> <P> <E T="03">Fluorescent lamp</E> 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:</P> <P>(1) Any straight-shaped lamp (commonly referred to as 4-foot medium bipin lamps) with medium bipin bases of nominal overall length of 48 inches and rated wattage of 25 or more;</P> <P>(2) Any U-shaped lamp (commonly referred to as 2-foot U-shaped lamps) with medium bipin bases of nominal overall length between 22 and 25 inches and rated wattage of 25 or more;</P> <P>(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;</P> <P>(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;</P> <P>(5) Any straight-shaped lamp (commonly referred to as 4-foot miniature bipin standard output lamps) with miniature bipin bases of nominal overall length between 45 and 48 inches and rated wattage of 26 or more; and</P> <P>(6) Any straight-shaped lamp (commonly referred to 4-foot miniature bipin high output lamps) with miniature bipin bases of nominal overall length between 45 and 48 inches and rated wattage of 49 or more.</P> <P> <E T="03">Fluorescent lamp ballast</E> 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.</P> <P> <E T="03">Flushometer tank</E> 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.</P> <P> <E T="03">Flushometer valve</E> 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 <PRTPAGE P="125"/>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.</P> <P> <E T="03">Forced air central furnace</E> 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.</P> <P> <E T="03">Freezer</E> means a cabinet designed as a unit for the freezing and storage of food at temperatures of 0 °F. or below, and having a source of refrigeration requiring single phase, alternating current electric energy input only.</P> <P> <E T="03">Furnace</E> means a product which utilizes only single-phase electric current, or single-phase electric current or DC current in conjunction with natural gas, propane, or home heating oil, and which—</P> <P>(a) Is designed to be the principal heating source for the living space of a residence;</P> <P>(b) Is not contained within the same cabinet with a central air conditioner whose rated cooling capacity is above 65,000 Btu per hour;</P> <P>(c) Is an electric central furnace, electric boiler, forced-air central furnace, gravity central furnace, or low pressure steam or hot water boiler; and</P> <P>(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.</P> <P> <E T="03">Gas</E> means either natural gas or propane.</P> <P> <E T="03">Gas clothes dryer</E> 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).</P> <P> <E T="03">General lighting application</E> means lighting that provides an interior or exterior area with overall illumination.</P> <P> <E T="03">General service fluorescent lamp</E> means any fluorescent lamp which can be used to satisfy the majority of fluorescent lighting applications, but does not include any lamp designed and marketed for the following nongeneral application:</P> <P>(1) Fluorescent lamps designed to promote plant growth;</P> <P>(2) Fluorescent lamps specifically designed for cold temperature applications;</P> <P>(3) Colored fluorescent lamps;</P> <P>(4) Impact-resistant fluorescent lamps;</P> <P>(5) Reflectorized or aperture lamps;</P> <P>(6) Fluorescent lamps designed for use in reprographic equipment;</P> <P>(7) Lamps primarily designed to produce radiation in the ultra-violet region of the spectrum; and</P> <P>(8) Lamps with a Color Rendering Index of 87 or greater.</P> <P> <E T="03">General service incandescent lamp</E> means a standard incandescent or halogen type lamp that is intended for general service applications; has a medium screw base; has a lumen range of not less than 310 lumens and not more than 2,600 lumens; and is capable of being operated at a voltage range at least partially within 110 and 130 volts; however this definition does not apply to the following incandescent lamps—</P> <P>(1) An appliance lamp;</P> <P>(2) A black light lamp;</P> <P>(3) A bug lamp;</P> <P>(4) A colored lamp;</P> <P>(5) An infrared lamp;</P> <P>(6) A left-hand thread lamp;</P> <P>(7) A marine lamp;</P> <P>(8) A marine signal service lamp;</P> <P>(9) A mine service lamp;</P> <P>(10) A plant light lamp;</P> <P>(11) A reflector lamp;</P> <P>(12) A rough service lamp;</P> <P>(13) A shatter-resistant lamp (including a shatter-proof lamp and a shatter-protected lamp);</P> <P>(14) A sign service lamp;</P> <P>(15) A silver bowl lamp;</P> <P>(16) A showcase lamp;</P> <P>(17) A 3-way incandescent lamp;</P> <P>(18) A traffic signal lamp;</P> <P>(19) A vibration service lamp;<PRTPAGE P="126"/> </P> <P>(20) A G shape lamp (as defined in ANSI C78.20) (incorporated by reference; <E T="03">see</E> § 430.3) and ANSI C79.1-2002 (incorporated by reference; <E T="03">see</E> § 430.3) with a diameter of 5 inches or more;</P> <P>(21) A T shape lamp (as defined in ANSI C78.20) (incorporated by reference; <E T="03">see</E> § 430.3) and ANSI C79.1-2002 (incorporated by reference; <E T="03">see</E> § 430.3) and that uses not more than 40 watts or has a length of more than 10 inches; and</P> <P>(22) A B, BA, CA, F, G16-1/2, G-25, G30, S, or M-14 lamp (as defined in ANSI C79.1-2002) (incorporated by reference; <E T="03">see</E> § 430.3) and ANSI C78.20 (incorporated by reference; <E T="03">see</E> § 430.3) of 40 watts or less.</P> <P> <E T="03">General service lamp</E> includes general service incandescent lamps, compact fluorescent lamps, general service light-emitting diode lamps, organic light-emitting diode lamps, and any other lamps that the Secretary determines are used to satisfy lighting applications traditionally served by general service incandescent lamps; however, this definition does not apply to any lighting application or bulb shape excluded from the “general service incandescent lamp” definition, or any general service fluorescent lamp or incandescent reflector lamp.</P> <P> <E T="03">Gravity central furnace</E> 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.</P> <P> <E T="03">Heat pump</E> 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.</P> <P> <E T="03">Home heating equipment, not including furnaces</E> means vented home heating equipment and unvented home heating equipment.</P> <P> <E T="03">Immersed heating element</E> 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.</P> <P> <E T="03">Import</E> means to import into the customs territory of the United States.</P> <P> <E T="03">Incandescent lamp</E> means a lamp in which light is produced by a filament heated to incandescence by an electric current, including only the following:</P> <P>(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.</P> <P>(2) Any incandescent reflector lamp.</P> <P>(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).</P> <P> <E T="03">Incandescent reflector lamp</E> (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, ER, BR, BPAR, or similar bulb shapes with an E26 medium screw base; has a rated voltage or voltage range that lies at least partially in the range of 115 and 130 volts; has a diameter that exceeds 2.25 inches; and has a rated wattage that is 40 watts or higher.</P> <P> <E T="03">Indoor unit</E> 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.</P> <P> <E T="03">Intermediate base incandescent lamp</E> means a lamp that uses an intermediate screw base as described in ANSI C81.61, Specifications for Electric Bases, common designation E17 (incorporated by reference; see § 430.3).</P> <P> <E T="03">Kerosene</E> 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.<PRTPAGE P="127"/> </P> <P> <E T="03">Lamp Efficacy (LE)</E> 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).</P> <P> <E T="03">Light-emitting diode</E> or <E T="03">LED</E> means a p-n junction solid state device of which the radiated output, either in the infrared region, the visible region, or the ultraviolet region, is a function of the physical construction, material used, and exciting current of the device.</P> <P> <E T="03">Low consumption</E> has the meaning given such a term in ASME A112.19.2M-1995. (see § 430.22)</P> <P> <E T="03">Low pressure steam or hot water boiler</E> means an electric, gas or oil burning furnace designed to supply low pressure steam or hot water for space heating application. A low pressure steam boiler operates at or below 15 pounds psig steam pressure; a hot water boiler operates at or below 160 psig water pressure and 250 °F. water temperature.</P> <P> <E T="03">LP-gas</E> means liquified petroleum gas, and includes propane, butane, and propane/butane mixtures.</P> <P> <E T="03">Major cooking component</E> means either a conventional cooking top, a conventional oven or a microwave oven.</P> <P> <E T="03">Manufacture</E> means to manufacture, produce, assemble, or import.</P> <P> <E T="03">Manufacturer</E> means any person who manufactures a consumer product.</P> <P> <E T="03">Medium base compact fluorescent lamp</E> 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—</P> <P>(1) Any lamp that is—</P> <P>(i) Specifically designed to be used for special purpose applications; and</P> <P>(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</P> <P>(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—</P> <P>(i) Designed for special applications; and</P> <P>(ii) Unlikely to be used in general purpose applications.</P> <P> <E T="03">Medium screw base</E> 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.</P> <P> <E T="03">Microwave/conventional range</E> 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.</P> <P> <E T="03">Microwave oven</E> means a class of kitchen ranges and ovens which is a household cooking appliance consisting of a compartment designed to cook or heat food by means of microwave energy.</P> <P> <E T="03">Mobile home furnace</E> means a direct vent furnace that is designed for use only in mobile homes.</P> <P> <E T="03">Modified spectrum</E> means, with respect to an incandescent lamp, an incandescent lamp that—</P> <P>(1) Is not a colored incandescent lamp; and</P> <P>(2) When operated at the rated voltage and wattage of the incandescent lamp—</P> <P>(A) Has a color point with (x,y) chromaticity coordinates on the C.I.E. 1931 chromaticity diagram, figure 2, page 3 of IESNA LM-16 (incorporated by reference; <E T="03">see</E> § 430.3) that lies below the black-body locus; and</P> <P>(B) Has a color point with (x,y) chromaticity coordinates on the C.I.E. 1931 chromaticity diagram, figure 2, page 3 of IESNA LM-16 (incorporated by reference; <E T="03">see</E> § 430.3) that lies at least 4 MacAdam steps, as referenced in IESNA LM-16, distant from the color point of a clear lamp with the same filament and bulb shape, operated at the same rated voltage and wattage.</P> <P> <E T="03">Monochrome television set</E> means an electrical device designed to convert incoming broadcast signals into monochrome television pictures and associated sound.</P> <P> <E T="03">Natural gas</E> means natural gas as defined by the Federal Power Commission.</P> <P> <E T="03">Off mode</E> means the condition in which an energy using product—</P> <P>(1) Is connected to a main power source; and</P> <P>(2) Is not providing any stand-by or active mode function.<PRTPAGE P="128"/> </P> <P> <E T="03">Oil</E> means heating oil grade No. 2 as defined in American Society for Testing and Materials (ASTM) D396-71.</P> <P> <E T="03">Organic light-emitting diode</E> or O<E T="03">LED</E> means a thin-film light-emitting device that typically consists of a series of organic layers between 2 electrical contacts (electrodes).</P> <P> <E T="03">Other clothes washer</E> means a class of clothes washer which is not an automatic or semi-automatic clothes washer.</P> <P> <E T="03">Other cooking products</E> means any class of cooking products other than the conventional range, conventional cooking top, conventional oven, microwave oven, and microwave/conventional range classes.</P> <P> <E T="03">Outdoor furnace or boiler</E> 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).</P> <P> <E T="03">Outdoor unit</E> 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.</P> <P> <E T="03">Packaged terminal air conditioner</E> 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.</P> <P> <E T="03">Packaged terminal heat pump</E> 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.</P> <P> <E T="03">Person</E> 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.</P> <P> <E T="03">Pin-based</E> 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.</P> <P> <E T="03">Pool heater</E> means an appliance designed for heating nonpotable water contained at atmospheric pressure, including heating water in swimming pools, spas, hot tubs and similar applications.</P> <P> <E T="03">Portable electric heater</E> 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).</P> <P> <E T="03">Primary heater</E> 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.</P> <P> <E T="03">Private labeler</E> 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:</P> <P>(1) Such product (or its container) is labeled with the brand or trademark of a person other than a manufacturer of such product;</P> <P>(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</P> <P>(3) The brand or trademark of a manufacturer of such product does not appear on such label.</P> <P> <E T="03">Propane</E> means a hydrocarbon whose chemical composition is predominantly C<E T="52">3</E>H<E T="52">8</E>, whether recovered from natural gas or crude oil.</P> <P> <E T="03">R20 incandescent reflector lamp</E> means a reflector lamp that has a face diameter of approximately 2.5 inches, as shown in figure 1(R) on page 7 of ANSI C79.1-1994 (incorporated by reference; <E T="03">see</E> § 430.3).</P> <P> <E T="03">Rated voltage</E> with respect to incandescent lamps means:</P> <P>(1) The design voltage if the design voltage is 115 V, 130 V or between 115V and 130 V:</P> <P>(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</P> <P>(3) 130 V if the design voltage is greater than 130 V and less than or <PRTPAGE P="129"/>equal to 150 V and the lamp can operate at 130 V.</P> <P> <E T="03">Rated wattage</E> means:</P> <P>(1) With respect to fluorescent lamps and general service fluorescent lamps:</P> <P>(i) If the lamp is listed in ANSI C78.81 (incorporated by reference; <E T="03">see</E> § 430.3) or ANSI C78.901 (incorporated by reference; <E T="03">see</E> § 430.3), the rated wattage of a lamp determined by the lamp designation of Clause 11.1 of ANSI C78.81 or ANSI C78.901;</P> <P>(ii) If the lamp is a residential straight-shaped lamp, and not listed in ANSI C78.81 (incorporated by reference; <E T="03">see</E> § 430.3), the wattage of a lamp when operated on a reference ballast for which the lamp is designed; or</P> <P>(iii) If the lamp is neither listed in one of the ANSI standards referenced in (1)(i) of this definition, nor a residential straight-shaped lamp, the electrical power of a lamp when measured according to the test procedures outlined in appendix R to subpart B of this part.</P> <P>(2) With respect to general service incandescent lamps and incandescent reflector lamps, the electrical power measured according to the test procedures outlined in Appendix R to subpart B of this part.</P> <P> <E T="03">Refrigerator</E> means an electric refrigerator.</P> <P> <E T="03">Refrigerator-freezer</E> means an electric refrigerator-freezer.</P> <P> <E T="03">Replacement ballast</E> means a ballast that—</P> <P>(1) Is designed for use to replace an existing fluorescent lamp ballast in a previously installed luminaire;</P> <P>(2) Is marked “FOR REPLACEMENT USE ONLY”;</P> <P>(3) Is shipped by the manufacturer in packages containing not more than 10 fluorescent lamp ballasts; and</P> <P>(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.</P> <P> <E T="03">Residential straight-shaped lamp</E> 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.</P> <P>(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.</P> <P>(2) A lamp is designed primarily and marketed exclusively for residential applications if it:</P> <P>(i) Is permanently and clearly marked as being for residential use only;</P> <P>(ii) Has a life of 6,000 hours or less when used with a commercial high-power-factor ballast;</P> <P>(iii) Is not labeled or represented as a replacement for a fluorescent lamp that is a covered product; and</P> <P>(iv) Is marketed and distributed in a manner designed to minimize use of the lamp with commercial high-power-factor ballasts.</P> <P>(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:</P> <P>(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</P> <P>(ii) Using other comparably effective measures to minimize use with commercial high-power-factor ballasts.</P> <P> <E T="03">Room air conditioner</E> 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.</P> <P> <E T="03">Rough or vibration service incandescent reflector lamp</E> means a reflector lamp: <PRTPAGE P="130"/>in which a C-11 (5 support), C-17 (8 support), or C-22 (16 support) filament is mounted (the number of support excludes lead wires); in which the filament configuration is as shown in Chapter 6 of the 1993 <E T="03">Illuminating Engineering Society of North America Lighting Handbook,</E> 8th Edition (see 10 CFR 430.22); and that is designated and marketed specifically for rough or vibration service applications.</P> <P> <E T="03">Rough service lamp</E> means a lamp that—</P> <P>(1) Has a minimum of 5 supports with filament configurations that are C-7A, C-11, C-17, and C-22 as listed in Figure 6-12 of the IESNA Lighting Handbook (incorporated by reference; <E T="03">see</E> § 430.3), or similar configurations where lead wires are not counted as supports; and</P> <P>(2) Is designated and marketed specifically for ‘rough service’ applications, with</P> <P>(i) The designation appearing on the lamp packaging; and</P> <P>(ii) Marketing materials that identify the lamp as being for rough service.</P> <P> <E T="03">Secretary</E> means the Secretary of the Department of Energy.</P> <P> <E T="03">Semi-automatic clothes washer</E> 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.</P> <P> <E T="03">Shatter-resistant lamp, shatter-proof lamp,</E> or <E T="03">shatter-protected lamp</E> means a lamp that—</P> <P>(1) Has a coating or equivalent technology that is compliant with NSF/ANSI 51 (incorporated by reference; <E T="03">see</E> § 430.3) and is designed to contain the glass if the glass envelope of the lamp is broken; and</P> <P>(2) Is designated and marketed for the intended application, with</P> <P>(i) The designation on the lamp packaging; and</P> <P>(ii) Marketing materials that identify the lamp as being shatter-resistant, shatter-proof, or shatter-protected.</P> <P> <E T="03">Showerhead</E> means any showerhead (including a hand held showerhead), except a safety shower showerhead.</P> <P> <E T="03">Small duct, high velocity system</E> means a heating and cooling product that contains a blower and indoor coil combination that:</P> <P>(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</P> <P>(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.</P> <P> <E T="03">Space constrained product</E> means a central air conditioner or heat pump:</P> <P>(1) That has rated cooling capacities no greater than 30,000 BTU/hr;</P> <P>(2) That has an outdoor or indoor unit having at least two overall exterior dimensions or an overall displacement that:</P> <P>(i) Is substantially smaller than those of other units that are:</P> <P>(A) Currently usually installed in site-built single family homes; and</P> <P>(B) Of a similar cooling, and, if a heat pump, heating capacity; and</P> <P>(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</P> <P>(3) Of a product type that was available for purchase in the United States as of December 1, 2000.</P> <P> <E T="03">Specialty application mercury vapor lamp ballast</E> means a mercury vapor lamp ballast that—</P> <P>(1) Is designed and marketed for operation of mercury vapor lamps used in quality inspection, industrial processing, or scientific use, including fluorescent microscopy and ultraviolet curing; and</P> <P>(2) In the case of a specialty application mercury vapor lamp ballast, the label of which—</P> <P>(i) Provides that the specialty application mercury vapor lamp ballast is ‘For specialty applications only, not for general illumination’; and</P> <P>(ii) Specifies the specific applications for which the ballast is designed.</P> <P> <E T="03">Standby mode</E> means the condition in which an energy-using product—</P> <P>(1) Is connected to a main power source; and</P> <P>(2) Offers one or more of the following user-oriented or protective functions:<PRTPAGE P="131"/> </P> <P>(i) To facilitate the activation or deactivation of other functions (including active mode) by remote switch (including remote control), internal sensor, or timer; or</P> <P>(ii) Continuous functions, including information or status displays (including clocks) or sensor-based functions.</P> <P> <E T="03">State</E> means a State, the District of Columbia, Puerto Rico, or any territory or possession of the United States.</P> <P> <E T="03">State regulation</E> means a law or regulation of a State or political subdivision thereof.</P> <P> <E T="03">Supplementary heater</E> 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.</P> <P> <E T="03">Surface unit</E> 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.</P> <P> <E T="03">Television set</E> means a color television set or a monochrome television set.</P> <P> <E T="03">Tested combination</E> means a multi-split system with multiple indoor coils having the following features:</P> <P>(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.</P> <P>(2) The indoor units shall—</P> <P>(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);</P> <P>(ii) Together, have a nominal capacity that is between 95% and 105% of the nominal capacity of the outdoor unit;</P> <P>(iii) Not, individually, have a capacity that is greater than 50% of the nominal capacity of the outdoor unit;</P> <P>(iv) Operate at fan speeds that are consistent with the manufacturer's specifications; and</P> <P>(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.</P> <P> <E T="03">Through-the-wall air conditioner and heat pump</E> 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:</P> <P>(1) Is manufactured prior to January 23, 2010;</P> <P>(2) Is not weatherized;</P> <P>(3) Is clearly and permanently marked for installation only through an exterior wall;</P> <P>(4) Has a rated cooling capacity no greater than 30,000 Btu/hr;</P> <P>(5) Exchanges all of its outdoor air across a single surface of the equipment cabinet; and</P> <P>(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.</P> <P> <E T="03">Torchiere</E> means a portable electric lamp with a reflector bowl that directs light upward to give indirect illumination.</P> <P> <E T="03">Unvented gas heater</E> means an unvented, self-contained, free-standing, nonrecessed gas-burning appliance which furnishes warm air by gravity or fan circulation.</P> <P> <E T="03">Unvented home heating equipment</E> 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.</P> <P> <E T="03">Unvented oil heater</E> means an unvented, self-contained, free-standing, nonrecessed oil-burning appliance which furnishes warm air by gravity or fan circulation.</P> <P> <E T="03">Urinal</E> 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.</P> <P> <E T="03">Vented floor furnace</E> means a self-contained vented heater suspended from <PRTPAGE P="132"/>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.</P> <P> <E T="03">Vented home heating equipment</E> or <E T="03">vented heater</E> 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.</P> <P> <E T="03">Vented room heater</E> 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.</P> <P> <E T="03">Vented wall furnace</E> 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.</P> <P> <E T="03">Vibration service lamp</E> means a lamp that—</P> <P>(1) Has filament configurations that are C-5, C-7A, or C-9, as listed in Figure 6-12 of the IESNA Lighting Handbook (incorporated by reference; <E T="03">see</E> § 430.3) or similar configurations;</P> <P>(2) Has a maximum wattage of 60 watts;</P> <P>(3) Is sold at retail in packages of 2 lamps or less; and</P> <P>(4) Is designated and marketed specifically for vibration service or vibration-resistant applications, with—</P> <P>(i) The designation appearing on the lamp packaging; and</P> <P>(ii) Marketing materials that identify the lamp as being vibration service only.</P> <P> <E T="03">Voltage range</E> 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.</P> <P> <E T="03">Wall electric heater</E> 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.</P> <P> <E T="03">Water closet</E> 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.</P> <P> <E T="03">Water heater</E> means a product which utilizes oil, gas, or electricity to heat potable water for use outside the heater upon demand, including—</P> <P>(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 Btu per hour or less, and electric storage water heaters with an input of 12 kilowatts or less;</P> <P>(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</P> <P>(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.</P> <P> <E T="03">Water use</E> 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.<PRTPAGE P="133"/> </P> <P> <E T="03">Weatherized warm air furnace or boiler</E> means a furnace or boiler designed for installation outdoors, approved for resistance to wind, rain, and snow, and supplied with its own venting system.</P> <CITA>[42 FR 27898, June 1, 1977]</CITA> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> <P>For <E T="04">Federal Register</E> citations affecting § 430.2, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.</P> </EDNOTE> </SECTION> <SECTION> <SECTNO>§ 430.3</SECTNO> <SUBJECT>Materials incorporated by reference.</SUBJECT> <P>(a) <E T="03">General.</E> We incorporate by reference the following standards into Part 430. The material listed has been approved for incorporation by reference by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Any subsequent amendment to a standard by the standard-setting organization will not affect the DOE regulations unless and until amended by DOE. Material is incorporated as it exists on the date of the approval and a notice of any change in the material will be published in the <E T="04">Federal Register.</E> All approved material is available for inspection at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202-741-6030, or go to: <E T="03">http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.</E> Also, this material is available for inspection at U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Program, 6th Floor, 950 L'Enfant Plaza, SW., Washington, DC 20024, (202) 586-2945, or go to: <E T="03">http://www1.eere.energy.gov/buildings/appliance_standards/.</E> Standards can be obtained from the sources below.</P> <P>(b) <E T="03">AHRI.</E> Air-Conditioning, Heating, and Refrigeration Institute, 2111 Wilson Blvd, Suite 500, Arlington, VA 22201, 703-524-8800, or go to <E T="03">http://www.ahrinet.org.</E> </P> <P>(1) ARI 210/240-2006, Unitary Air-Conditioning and Air-Source Heat Pump Equipment, approved March 26, 1998, IBR approved for Appendix M to Subpart B.</P> <P>(2) [Reserved]</P> <P>(c) <E T="03">ANSI.</E> American National Standards Institute, 25 W. 43rd Street, 4th Floor, New York, NY 10036, 212-642-4900, or go to <E T="03">http://www.ansi.org.</E> </P> <P>(1) ANSI C78.3-1991 (“ANSI C78.3”), American National Standard for Fluorescent Lamps-Instant-start and Cold-Cathode Types-Dimensional and Electrical Characteristics, approved July 15, 1991; IBR approved for § 430.32.</P> <P>(2) ANSI C78.20-2003, Revision of ANSI C78.20-1995 (“ANSI C78.20”), American National Standard for electric lamps—A, G, PS, and Similar Shapes with E26 Medium Screw Bases, approved October 30, 2003; IBR approved for § 430.2.</P> <P>(3) ANSI C78.21-1989, American National Standard for Electric Lamps—PAR and R Shapes, approved March 3, 1989, IBR approved for § 430.2.</P> <P>(4) ANSI C78.21-2003, Revision of ANSI C78.21-1995 with all supplements, American National Standard for Electric Lamps—PAR and R Shapes, approved October 30, 2003, IBR approved for § 430.2.</P> <P>(5) ANSI_IEC C78.81-2005, Revision of ANSI C78.81-2003 (“ANSI C78.81”), American National Standard for Electric Lamps—Double-Capped Fluorescent Lamps—Dimensional and Electrical Characteristics, approved August 11, 2005; IBR approved for § 430.2, 430.32 and Appendix R of subpart B.</P> <P>(6) ANSI C78.375-1997, Revision of ANSI C78.375-1991 (“ANSI C78.375”), American National Standard for Fluorescent Lamps—Guide for Electrical Measurements, first edition, approved September 25, 1997; IBR approved for Appendix R to Subpart B.</P> <P>(7) ANSI_IEC C78.901-2005, Revision of ANSI C78.901-2001 (“ANSI C78.901”), American National Standard for Electric Lamps—Single-Based Fluorescent Lamps—Dimensional and Electrical Characteristics, approved March 23, 2005; IBR approved for § 430.2 and Appendix R to Subpart B.</P> <P>(8) ANSI C79.1-1994, American National Standard for Nomenclature for Glass Bulbs—Intended for Use with Electric Lamps, approved March 24, 1994, IBR approved for § 430.2.</P> <P>(9) ANSI C79.1-2002, American National Standard for Electric Lamps—Nomenclature for Glass Bulbs Intended for Use with Electric Lamps, approved <PRTPAGE P="134"/>September 16, 2002, IBR approved for § 430.2.</P> <P>(10) ANSI_ANSLG_ C81.61-2006, Revision of ANSI C81.61-2005, (“ANSI C81.61”), American National Standard for electrical lamp bases—Specifications for Bases (Caps) for Electric Lamps, approved August 25, 2006, IBR approved for § 430.2.</P> <P>(11) ANSI C82.3-2002, Revision of ANSI C82.3-1983 (R 1995) (“ANSI C82.3”), American National Standard for Reference Ballasts for Fluorescent Lamps, approved September 4, 2002; IBR approved for Appendix R to Subpart B.</P> <P>(12) ANSI Standard C82.2-2002, Revision of ANSI C82.2-1994 (R1995), American National Standard for Lamp Ballasts—Method of Measurement of Fluorescent Lamp Ballasts, approved June 6, 2002, IBR approved for Appendix Q to Subpart B.</P> <P>(13) ANSI Z21.56-1994, Gas-Fired Pool Heaters, section 2.9, approved December 5, 1994, IBR approved for Appendix P to Subpart B.</P> <P>(d) <E T="03">ANSI Reseller.</E> Global Engineering Documents, 15 Inverness Way, East Englewood, CO 80112, Phone: 800.854.7179 or 303.397.7956, <E T="03">http://www.global.ihs.com</E>, E-mail: <E T="03">global@ihs.com</E>. DOE does not endorse any particular reseller and notes that other resellers may also have the superseded standard for sale. Consult <E T="03">http://webstore.ansi.org/</E> for more information on additional resellers.</P> <P>(1) ANSI C82.2-1984, Revision of ANSI C82.2-1977, American National Standard for Fluorescent Lamp Ballasts—Method of Measurement, approved October 21, 1983, IBR approved for Appendix Q to Subpart B.</P> <P>(2) [Reserved]</P> <P>(e) <E T="03">ASHRAE.</E> American Society of Heating, Refrigerating and Air-Conditioning Engineers, Inc., Publication Sales, 1791 Tullie Circle, NE., Atlanta, GA 30329, 800-527-4723 or 404-636-8400, or go to <E T="03">http://www.ashrae.org.</E> </P> <P>(1) ASHRAE 23-2005, Methods of Testing for Rating Positive Displacement Refrigerant Compressors and Condensing Units, approved February 10, 2005, IBR approved for Appendix M to Subpart B.</P> <P>(2) ASHRAE 37-2005, Methods of Testing for Rating Unitary Air-Conditioning and Heat Pump Equipment, approved March 11, 2005, IBR approved for Appendix M to Subpart B.</P> <P>(3) ASHRAE 41.1-1986 (Reaffirmed 2001), Standard Method for Temperature Measurement, approved February 18, 1987, IBR approved for Appendix E and Appendix M to Subpart B.</P> <P>(4) ASHRAE 41.2-1987 (Reaffirmed 1992), Standard Methods for Laboratory Airflow Measurement, approved October 1, 1987, IBR approved for Appendix M to Subpart B.</P> <P>(5) ASHRAE 41.6-1994 (Reaffirmed 2001), Standard Method for Measurement of Moist Air Properties, approved August 30, 1994, IBR approved for Appendix M to Subpart B.</P> <P>(6) ASHRAE 41.9-2000, Calorimeter Test Methods for Mass Flow Measurements of Volatile Refrigerants, approved October 6, 2000, IBR approved for Appendix M to Subpart B.</P> <P>(7) ASHRAE/AMCA 51-1999/210-1999, Laboratory Methods of Testing Fans for Aerodynamic Performance Rating, approved December 2, 1999, IBR approved for Appendix M to Subpart B.</P> <P>(8) ASHRAE 103-1993, Methods of Testing for Annual Fuel Utilization Efficiency of Residential Central Furnaces and Boilers, (with Errata of October 24, 1996) except for sections 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, approved October 4, 1993, IBR approved for § 430.23 and Appendix N to Subpart B.</P> <P>(9) ASHRAE 116-1995 (RA 2005), Methods of Testing for Rating Seasonal Efficiency of Unitary Air Conditioners and Heat Pumps, approved July 24, 1995, IBR approved for Appendix M to Subpart B.</P> <P>(f) <E T="03">ASME.</E> American Society of Mechanical Engineers, Service Center, 22 Law Drive, P.O. Box 2900, Fairfield, NJ 07007, 973-882-1170, or go to <E T="03">http://www.asme.org.</E> </P> <P>(1) ASME/ANSI A112.18.1M-1996, Plumbing Fixture Fittings, approved April 4, 1996, IBR approved for Appendix S to Subpart B.</P> <P>(2) ASME/ANSI A112.19.6-1995, Hydraulic Requirements for Water Closets and Urinals, approved April 6, 1995, IBR approved for § 430.2 and Appendix T to Subpart B.<PRTPAGE P="135"/> </P> <P>(g) <E T="03">AHAM.</E> Association of Home Appliance Manufacturers, 1111 19th Street, NW., Suite 402, Washington, DC 20036, 202-872-5955, or go to <E T="03">http://www.aham.org.</E> </P> <P>(1) ANSI/AHAM DW-1-1992, American National Standard, Household Electric Dishwashers, approved February 6, 1992, IBR approved for Appendix C to Subpart B and § 430.32.</P> <P>(2) [Reserved]</P> <P>(h) <E T="03">CEC.</E> California Energy Commission, 1516 Ninth Street, MS-25, Sacramento, CA 95814, 916-654-4091, or go to <E T="03">http://www.energy.ca.gov.</E> </P> <P>(1) CEC Test Method for Calculating the Energy Efficiency of Single-Voltage External Ac-Dc and Ac-Ac Power Supplies, August 11, 2004, IBR approved for Appendix Z to Subpart B.</P> <P>(2) [Reserved]</P> <P>(i) <E T="03">CIE.</E> Commission Internationale de l'Eclairage (CIE), Central Bureau, Kegelgasse 27, A-1030, Vienna, Austria, 011+43 1 714 31 87 0, or go to <E T="03">http://www.cie.co.at.</E> </P> <P>(1) CIE 13.3-1995 (“CIE 13.3”), Technical Report: Method of Measuring and Specifying Colour Rendering Properties of Light Sources, 1995, ISBN 3 900 734 57 7; IBR approved for § 430.2 and Appendix R to Subpart B.</P> <P>(2) CIE 15:2004 (“CIE 15”), Technical Report: Colorimetry, 3rd edition, 2004, ISBN 978 3 901906 33 6; IBR approved for Appendix R to Subpart B.</P> <P>(j) <E T="03">Environmental Protection Agency (EPA),</E> ENERGY STAR documents published by the Environmental Protection Agency are available online at <E T="03">http://www.energystar.gov</E> or by contacting the Energy Star hotline at 1-888-782-7937.</P> <P>(1) ENERGY STAR Testing Facility Guidance Manual: Building a Testing Facility and Performing the Solid State Test Method for ENERGY STAR Qualified Ceiling Fans, Version 1.1, approved December 9, 2002, IBR approved for Appendix U to Subpart B.</P> <P>(2) ENERGY STAR Program Requirements for Residential Light Fixtures, Version 4.0, approved January 10, 2005, IBR approved for Appendix V to Subpart B.</P> <P>(3) ENERGY STAR Program Requirements for Dehumidifiers, approved January 1, 2001, IBR approved for Appendix X to Subpart B.</P> <P>(4) Energy Star Program Requirements for Single Voltage External Ac-Dc and Ac-Ac Power Supplies, Eligibility Criteria (Version 2.0), effective date for EPS Manufacturers November 1, 2008, IBR approved for Subpart C, § 430.32.</P> <P>(5) Test Methodology for Determining the Energy Performance of Battery Charging Systems, approved December 2005, IBR approved for Appendix Y to Subpart B.</P> <P>(k) <E T="03">IESNA.</E> Illuminating Engineering Society of North America, 120 Wall Street, Floor 17, New York, NY 10005-4001, 212-248-5000, or go to <E T="03">http://www.iesna.org.</E> </P> <P>(1) <E T="03">The IESNA Lighting Handbook, Reference & Application,</E> (“The IESNA Lighting Handbook”), 9th ed., Chapter 6, “Light Sources,” July 2000, IBR approved for § 430.2.</P> <P>(2) IESNA LM-9-99, (“LM-9”), IESNA Approved Method for the Electrical and Photometric Measurements of Fluorescent Lamps, 1999. IBR approved for § 430.2 and Appendix R to Subpart B.</P> <P>(3) IESNA LM-16-1993 (“IESNA LM-16”), IESNA Practical Guide to Colorimetry of Light Sources, December 1993, IBR approved for § 430.2.</P> <P>(4) IES LM-20-1994, IESNA Approved Method for Photometric Testing of Reflector-Type Lamps, approved December 3, 1994, IBR approved for Appendix R to Subpart B.</P> <P>(5) IESNA LM-45-00, (“LM-45”), IESNA Approved Method for Electrical and Photometric Measurements of General Service Incandescent Filament Lamps, approved May 8, 2000; IBR approved for Appendix R to Subpart B.</P> <P>(6) IES LM-58-1994, IESNA Guide to Spectroradiometric Measurements, approved December 3, 1994, IBR approved for Appendix R to Subpart B.</P> <P>(l) <E T="03">IEC.</E> International Electrotechnical Commission, available from the American National Standards Institute, 11 W. 42nd Street, New York, NY 10036, 212-642-4936 or go to <E T="03">http://www.iec.ch.</E> </P> <P>(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, approved December 14, 1988, <PRTPAGE P="136"/>IBR approved for Appendix I to Subpart B.</P> <P>(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, approved September 21, 1993, IBR approved for Appendix I to Subpart B to Subpart B.</P> <P>(m) <E T="03">NSF International.</E> NSF International, P.O. Box 130140, 789 North Dixboro Road, Ann Arbor, MI 48113-0140, 1-800-673-6275, or go to <E T="03">http://www.nsf.org.</E> </P> <P>(1) NSF/ANSI 51-2007 (“NSF/ANSI 51”), Food equipment materials, revised and adopted April 2007, IBR approved for § 430.2.</P> <P>(2) [Reserved]</P> <P>(n) <E T="03">Optical Society of America. Optical Society of America,</E> 2010 Massachusetts Ave., NW., Washington, DC 20036-1012, 202-223-8130, or go to <E T="03">http://www.opticsinfobase.org;</E> </P> <P>(1) “Computation of Correlated Color Temperature and Distribution Temperature,” A.R. Robertson, Journal of the Optical Society of America, Volume 58, Number 11, November 1968, pages 1528-1535, IBR approved for § 430.2.</P> <P>(2) [Reserved]</P> <P>(o) <E T="03">U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy,</E> Resource Room of the Building Technologies Program, 950 L'Enfant Plaza, SW., 6th Floor, Washington, DC 20024, 202-586-2945, or go to <E T="03">http://www.energystar.gov.</E> </P> <P>(1) ENERGY STAR Program Requirements for [Compact Fluorescent Lamps] CFLs, Version 3.0, approved October 30, 2003, IBR approved for Appendix V to Subpart B.</P> <P>(2) ENERGY STAR Program Requirements for [Compact Fluorescent Lamps] CFLs, approved August 9, 2001, IBR approved for Appendix W to Subpart B.</P> <CITA>[74 FR 12066, Mar. 23, 2009, as amended at 74 FR 31840, July 6, 2009; 74 FR 34177, July 14, 2009; 74 FR 54455, Oct. 22, 2009]</CITA> </SECTION> <SECTION> <SECTNO>§ 430.4</SECTNO> <SUBJECT>Sources for information and guidance.</SUBJECT> <P>(a) <E T="03">General.</E> The standards listed in this paragraph are referred to in the DOE test procedures and elsewhere in this part but are not incorporated by reference. These sources are given here for information and guidance.</P> <P>(b) <E T="03">IESNA.</E> Illuminating Engineering Society of North America, 120 Wall Street, Floor 17, New York, NY 10005-4001, 212-248-5000, or go to <E T="03">http://www.iesna.org.</E> </P> <P>(1) <E T="03">Illuminating Engineering Society of North America Lighting Handbook,</E> 8th Edition, 1993.</P> <P>(2) [Reserved]</P> <P>(c) <E T="03">IEEE.</E> Institute of Electrical and Electronics Engineers, Inc., 3 Park Avenue, 17th Floor, New York, NY, 10016-5997, 212-419-7900, or go to <E T="03">http://www.ieee.org.</E> </P> <P>(1) IEEE 1515-2000, IEEE Recommended Practice for Electronic Power Subsystems: Parameter Definitions, Test Conditions, and Test Methods, March 30, 2000.</P> <P>(2) IEEE 100, Authoritative Dictionary of IEEE Standards Terms, 7th Edition, January 1, 2006.</P> <P>(d) <E T="03">IEC.</E> International Electrotechnical Commission, available from the American National Standards Institute, 11 W. 42nd Street, New York, NY 10036, 212-642-4936, or go to <E T="03">http://www.iec.ch.</E> </P> <P>(1) IEC 62301, Household electrical appliances—Measurement of standby power, First Edition, June 13, 2005.</P> <P>(2) IEC 60050, International Electrotechnical Vocabulary.</P> <P>(e) National Voluntary Laboratory Accreditation Program, Standards Services Division, NIST, 100 Bureau Drive, Stop 2140, Gaithersburg, MD 20899-2140, 301-975-4016, or go to <E T="03">http://ts.nist.gov/standards/accreditation.</E> </P> <P>(1) National Voluntary Laboratory Accreditation Program Handbook 150-01, Energy Efficient Lighting Products, Lamps and Luminaires, August 1993.</P> <P>(2) [Reserved]</P> <CITA>[74 FR 12066, Mar. 23, 2009]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Test Procedures</HD> <SECTION> <SECTNO>§ 430.21</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <P>This subpart contains test procedures required to be prescribed by DOE pursuant to section 323 of the Act.</P> </SECTION> <SECTION> <PRTPAGE P="137"/> <SECTNO>§ 430.23</SECTNO> <SUBJECT>Test procedures for the measurement of energy and water consumption.</SUBJECT> <P>(a) <E T="03">Refrigerators and refrigerator-freezers.</E> (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.</P> <P>(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 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.</P> <P>(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.</P> <P>(4) The energy factor for electric refrigerators and electric refrigerator-freezers, expressed in cubic feet per kilowatt-hour per cycle, shall be—</P> <P>(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</P> <P>(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.</P> <P>(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.</P> <P>(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.<PRTPAGE P="138"/> </P> <P>(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:</P> <P>(i) The representative average-use cycle of 365 cycles per year,</P> <P>(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</P> <P>(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.</P> <P>(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:</P> <P>(i) The representative average-use cycle of 365 cycles per year,</P> <P>(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 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</P> <P>(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.</P> <P>(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:</P> <P>(i) The representative average-use cycle of 365 cycles per year,</P> <P>(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</P> <P>(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.</P> <P>(b) <E T="03">Freezers.</E> (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.</P> <P>(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.</P> <P>(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.</P> <P>(4) The energy factor for freezers, expressed in cubic feet per kilowatt-hour per cycle, shall be—</P> <P>(i) For freezers not having an anti-sweat heater switch, the quotient of <PRTPAGE P="139"/>(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</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(c) <E T="03">Dishwashers.</E> (1) The Estimated Annual Operating Cost (EAOC) for dishwashers must be rounded to the nearest dollar per year and is defined as follows:</P> <P>(i) When cold water (50 °F) is used,</P> <P>(A) For dishwashers having a truncated normal cycle as defined in section 1.15 of appendix C to this subpart, </P> <FP SOURCE="FP-1">EAOC = (D<E T="52">e</E>×S) + ( D<E T="52">e</E>×N×(M−(E<E T="52">D</E>/2))).</FP> <P>(B) For dishwashers not having a truncated normal cycle, </P> <FP SOURCE="FP-1">EAOC = (D<E T="52">e</E>×S) + ( D<E T="52">e</E>×N×M)</FP> <EXTRACT> <FP>Where,</FP> <FP SOURCE="FP-1">D<E T="52">e</E> = the representative average unit cost of electrical energy, in dollars per kilowatt-hour, as provided by the Secretary,</FP> <FP SOURCE="FP-1">S = the annual standby electrical energy in kilowatt-hours per year and determined according to section 5.6 of Appendix C to this subpart,</FP> <FP SOURCE="FP-1">N = the representative average dishwasher use of 215 cycles per year,</FP> <FP SOURCE="FP-1">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,</FP> <FP SOURCE="FP-1">E<E T="52">D</E> = 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.</FP> </EXTRACT> <P>(ii) When electrically-heated water (120 °F or 140 °F) is used,</P> <P>(A) For dishwashers having a truncated normal cycle as defined in section 1.15 of appendix C to this subpart, </P> <FP SOURCE="FP-1">EAOC = (D<E T="52">e</E>×S) + (D<E T="52">e</E>×N×(M−(E<E T="52">D</E>/2)))+ (D<E T="52">e</E>×N×W)</FP> <P>(B) For dishwashers not having a truncated normal cycle, </P> <FP SOURCE="FP-1">EAOC = (D<E T="52">e</E>×S) + (D<E T="52">e</E>×N×M)+ (D<E T="52">e</E>×N×W)</FP> <EXTRACT> <FP>Where,</FP> <FP SOURCE="FP-1">D<E T="52">e</E>, S, N, M, and E<E T="52">D</E>, are defined in paragraph (c)(1)(i) of this section, and</FP> <FP SOURCE="FP-1">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.</FP> </EXTRACT> <P>(iii) When gas-heated or oil-heated water is used,</P> <P>(A) For dishwashers having a truncated normal cycle as defined in section 1.15 of appendix C to this subpart, </P> <FP SOURCE="FP-1">EAOC<E T="52">g</E> = (D<E T="52">e</E>×S) + (D<E T="52">e</E>×N×(M−(E<E T="52">D</E>/2)))+ (D<E T="52">g</E>×N×W<E T="52">g</E>)</FP> <P>(B) For dishwashers not having a truncated normal cycle, </P> <P>(B) For dishwashers not having a truncated normal cycle, </P> <FP SOURCE="FP-1">EAOC<E T="52">g</E> = (D<E T="52">e</E>×S) + (D<E T="52">e</E>×N×M)+ (D<E T="52">g</E>×N×W<E T="52">g</E>)</FP> <EXTRACT> <FP>Where,</FP> <FP SOURCE="FP-1">D<E T="52">e</E>, S, N, M, and E<E T="52">D</E> are defined in paragraph (c)(1)(i) of this section,</FP> <FP SOURCE="FP-1">D<E T="52">g</E> = the representative average unit cost of gas or oil, as appropriate, in dollars per Btu, as provided by the Secretary, and<PRTPAGE P="140"/> </FP> <FP SOURCE="FP-1">W<E T="52">g</E> = 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.</FP> </EXTRACT> <P>(2) The energy factor for dishwashers, EF, expressed in cycles per kilowatt-hour is defined as follows:</P> <P>(i) When cold water (50 °F) is used,</P> <P>(A) For dishwashers having a truncated normal cycle as defined in section 1.15 of appendix C to this subpart, </P> <FP SOURCE="FP-1">EF = 1/(M−(E<E T="52">D</E>/2))</FP> <P>(B) For dishwashers not having a truncated normal cycle, </P> <FP SOURCE="FP-1">EF = 1/M</FP> <FP>Where,</FP> <EXTRACT> <FP SOURCE="FP-1">M, and E<E T="52">D</E> are defined in paragraph (c)(1)(i) of this section.</FP> </EXTRACT> <P>(ii) When electrically-heated water (120 °F or 140 °F) is used,</P> <P>(A) For dishwashers having a truncated normal cycle as defined in section 1.15 of appendix C to this subpart, </P> <FP SOURCE="FP-1">EF = 1/(M−(E<E T="52">D</E>/2)+W)</FP> <P>(B) For dishwashers not having a truncated normal cycle, </P> <FP SOURCE="FP-1">EF = 1/(M+W)</FP> <EXTRACT> <FP>Where,</FP> <FP SOURCE="FP-1">M, and E<E T="52">D</E> are defined in paragraph (c)(1)(i) of this section, and W is defined in paragraph (c)(1)(ii)of this section.</FP> </EXTRACT> <P>(3) The estimated annual energy use, EAEU, expressed in kilowatt-hours per year is defined as follows:</P> <P>(i) For dishwashers having a truncated normal cycle as defined in section 1.15 of appendix C to this subpart, </P> <FP SOURCE="FP-1">EAEU = (M−(E<E T="52">D</E>/2)+W)×N+S</FP> <EXTRACT> <FP>Where,</FP> <FP SOURCE="FP-1">M, E<E T="52">D</E>, 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.</FP> </EXTRACT> <P>(ii) For dishwashers not having a truncated normal cycle, </P> <FP SOURCE="FP-1">EAEU = (M+W)×N+S</FP> <EXTRACT> <FP>Where,</FP> <FP SOURCE="FP-1">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.</FP> </EXTRACT> <P>(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.</P> <P>(d) <E T="03">Clothes dryers.</E> (1) The estimated annual operating cost for clothes dryers shall be—</P> <P>(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</P> <P>(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.</P> <P>(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).</P> <P>(3) Other useful measures of energy consumption for clothes dryers shall be those measures of energy consumption for clothes dryers which the Secretary <PRTPAGE P="141"/>determines are likely to assist consumers in making purchasing decisions and which are derived from the application of appendix D to this subpart.</P> <P>(e) <E T="03">Water Heaters.</E> (1) The estimated annual operating cost for water heaters shall be—</P> <P>(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.</P> <P>(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.</P> <P>(2) The energy factor for the water heaters shall be—</P> <P>(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.</P> <P>(ii) For an electric 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.</P> <P>(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.</P> <P>(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.</P> <P>(f) <E T="03">Room air conditioners.</E> (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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(g) <E T="03">Unvented home heating equipment.</E> (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.<PRTPAGE P="142"/> </P> <P>(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.</P> <P>(3) The estimated operating cost per million Btu output shall be—</P> <P>(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</P> <P>(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: (<E T="03">1</E>) The product of the maximum fuel input in Btu's per hour as determined in 2.2. of this appendix times the representative unit cost in dollars per Btu for natural gas, propane, or oil, as appropriate, as provided pursuant to section 323(b)(2) of the Act, plus (<E T="03">2</E>) 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.</P> <P>(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.</P> <P>(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.</P> <P>(h) [Reserved]</P> <P>(i) <E T="03">Kitchen ranges and ovens.</E> (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.</P> <P>(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 <PRTPAGE P="143"/>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.</P> <P>(3) [Reserved]</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(j) <E T="03">Clothes washers.</E> (1) The estimated annual operating cost for automatic and semi-automatic clothes washers shall be—</P> <P>(i) When electrically heated water is used, the product of the following three factors:</P> <P>(A) The representative average-use of 392 cycles per year,</P> <P>(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</P> <P>(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<PRTPAGE P="144"/> </P> <P>(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:</P> <P>(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</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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:</P> <P>(A) The representative average-use of 392 cycles per year, and</P> <P>(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.</P> <P>(k)-(l) [Reserved]</P> <P>(m) <E T="03">Central Air Conditioners and heat pumps.</E> (1) The estimated annual operating cost for cooling-only units and air-source heat pumps shall be one of the following:</P> <P>(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:</P> <P>(A) The quotient of the cooling capacity, in Btu's per hour, determined from the steady-state wet-coil test (A or A<E T="52">2</E> 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;</P> <P>(B) The representative average use cycle for cooling of 1,000 hours per year;</P> <P>(C) A conversion factor of 0.001 kilowatt per watt; and</P> <P>(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.</P> <P>(ii) For air-source heat pumps which provide only heating or the heating <PRTPAGE P="145"/>portion of the estimated annual operating cost for air-source heat pumps which provide both heating and cooling, the product of:</P> <P>(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;</P> <P>(B) The representative average use cycle for heating of 2,080 hours per year;</P> <P>(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;</P> <P>(D) A conversion factor of 0.001 kilowatt per watt; and</P> <P>(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.</P> <P>(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.</P> <P>(2) The estimated regional annual operating cost for cooling-only units and for air-source heat pumps shall be one of the following:</P> <P>(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:</P> <P>(A) The quotient of the cooling capacity, in Btu's per hour, determined from the steady-state wet-coil test (A or A<E T="52">2</E> 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;</P> <P>(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;</P> <P>(C) A conversion factor of 0.001 kilowatts per watt; and</P> <P>(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.</P> <P>(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:</P> <P>(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;</P> <P>(B) The quotient of the standardized design heating requirement, in Btu's per hour, for the appropriate generalized climatic region of interest (<E T="03">i.e.</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;</P> <P>(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;</P> <P>(D) A conversion factor of 0.001 kilowatts per watt; and</P> <P>(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.</P> <P>(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.<PRTPAGE P="146"/> </P> <P>(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:</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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 § 430.24(m)(4) as approved by the Assistant Secretary for Energy Efficiency and Renewable Energy in accordance with § 430.24(m)(5).</P> <P>(n) <E T="03">Furnaces.</E> (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.)</P> <P>(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.</P> <P>(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.<PRTPAGE P="147"/> </P> <P>(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.</P> <P>(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.</P> <P>(o) <E T="03">Vented home heating equipment.</E> (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.</P> <P>(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.</P> <P>(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: (<E T="03">1</E>) 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 (<E T="03">2</E>) 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: (<E T="03">1</E>) 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 (<E T="03">2</E>) 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.</P> <P>(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> <P>(p) <E T="03">Pool heaters.</E> (1) The estimated annual operating cost for pool heaters is the sum of:</P> <P>(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</P> <P>(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 <PRTPAGE P="148"/>resulting sum then being rounded off to the nearest dollar per year.</P> <P>(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.</P> <P>(q) <E T="03">Fluorescent Lamp Ballasts.</E> (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.</P> <P>(2) Ballast Efficacy Factor (BEF) shall be as determined in section 4.2 of appendix Q of this subpart.</P> <P>(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.</P> <P>(4) Standby power consumption of certain fluorescent lamp ballasts shall be measured in accordance with section 3.5 of appendix Q to Subpart B of Part 430.</P> <P>(5) Other useful measures which may be applicable. [Reserved]</P> <P>(r) <E T="03">General service fluorescent lamps, general service incandescent lamps, and incandescent reflector lamps.</E> (1) The estimated annual energy consumption for general service fluorescent lamps, general service incandescent lamps, and incandescent reflector lamps, expressed in kilowatt-hours per year, shall be the product of the input power in kilowatts as determined in accordance with section 4 of Appendix R to this subpart and an average annual use specified by the manufacturer, with the resulting product rounded off to the nearest kilowatt-hour per year. Manufacturers must provide a clear and accurate description of the assumptions used for the estimated annual energy consumption.</P> <P>(2) The lamp efficacy for general service fluorescent lamps shall be equal to the average lumen output divided by the average lamp wattage as determined in section 4 of Appendix R of this subpart, with the resulting quotient rounded off to the nearest tenth of a lumen per watt.</P> <P>(3) The lamp efficacy for general service incandescent lamps shall be equal to the average lumen output divided by the average lamp wattage as determined in section 4 of Appendix R of this subpart, with the resulting quotient rounded off to the nearest tenth of a lumen per watt.</P> <P>(4) The lamp efficacy for incandescent reflector lamps shall be equal to the average lumen output divided by the average lamp wattage as determined in section 4 of Appendix R of this subpart, with the resulting quotient rounded off to the nearest tenth of a lumen per watt.</P> <P>(5) The color rendering index of a general service fluorescent lamp shall be tested and determined in accordance with section 4.4 of Appendix R of this subpart and rounded off to the nearest unit.</P> <P>(s) <E T="03">Faucets.</E> 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.</P> <P>(t) <E T="03">Showerheads.</E> 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.</P> <P>(u) <E T="03">Water closets.</E> 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.<PRTPAGE P="149"/> </P> <P>(v) <E T="03">Urinals.</E> 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.</P> <P>(w) <E T="03">Ceiling fans.</E> 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.</P> <P>(x) <E T="03">Ceiling fan light kits.</E> The efficacy, expressed in lumens per watt (lumens/watt), for ceiling fan light kits with 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.</P> <P>(y) <E T="03">Medium Base Compact Fluorescent Lamps.</E> 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.</P> <P>(z) <E T="03">Dehumidifiers.</E> 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.</P> <P>(aa) <E T="03">Battery Chargers</E>. The energy consumption of a battery charger, expressed as the nonactive energy ratio, shall be measured in accordance with section 4(a) of appendix Y of this subpart. The energy consumption of a battery charger in standby mode and off mode shall be measured in accordance with sections 4(c) and 4(d), respectively, of appendix Y of this subpart.</P> <P>(bb) <E T="03">External Power Supplies</E>. The energy consumption of an external power supply, including active-mode efficiency expressed as a percentage and the no-load, off, and standby mode energy consumption levels expressed in watts, shall be measured in accordance with section 4 of appendix Z of this subpart.</P> <CITA>[42 FR 27898, June 1, 1977]</CITA> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> <P>For <E T="04">Federal Register</E> citations affecting § 430.23, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.</P> </EDNOTE> </SECTION> <SECTION> <SECTNO>§ 430.24</SECTNO> <SUBJECT>Units to be tested.</SUBJECT> <P>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.</P> <P>(a)(1) For each basic model <SU>1</SU> <FTREF/> of electric refrigerators and electric refrigerator-freezers, a sample of sufficient size shall be tested to insure that—</P> <FTNT> <P> <SU>1</SU> 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.</P> </FTNT> <P>(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</P> <P>(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.</P> <P>(b)(1) For each basic model <SU>1</SU> of freezers, a sample of sufficient size shall be tested to insure that—</P> <P>(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</P> <P>(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.<PRTPAGE P="150"/> </P> <P>(c)(1) For each basic model <SU>1</SU> of dishwashers, a sample of sufficient size shall be tested to insure that—</P> <P>(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<FR>1/2</FR> percent confidence limit of the true mean divided by 1.05, and</P> <P>(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<FR>1/2</FR> percent confidence limit of the true mean divided by .95.</P> <P>(d)(1) For each basic model <SU>1</SU> of clothes dryers a sample of sufficient size shall be tested to insure that—</P> <P>(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<FR>1/2</FR> percent confidence limit of the true mean divided by 1.05, and</P> <P>(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<FR>1/2</FR> percent confidence limit of the true mean divided by .95.</P> <P>(e)(1) For each basic model <SU>1</SU> of water heaters, a sample of sufficient size shall be tested to insure that—</P> <P>(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</P> <P>(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.</P> <P>(f)(1) For each basic model <SU>1</SU> of room air conditioners, a sample of sufficient size shall be tested to insure that—</P> <P>(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<FR>1/2</FR> percent confidence limit of the true mean divided by 1.05, and</P> <P>(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<FR>1/2</FR> percent confidence limit of the true mean divided by .95.</P> <P>(g)(1) For each basic model <SU>1</SU> <FTREF/> of unvented home heating equipment (not including furnaces), a sample of sufficient size shall be tested to insure that—</P> <FTNT> <P> <SU>1</SU> 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.</P> </FTNT> <P>(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<FR>1/2</FR> percent confidence limit of the true mean divided by 1.075, and</P> <P>(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<FR>1/2</FR> percent confidence limit of the true mean divided by .925.</P> <P>(h) [Reserved]</P> <P>(i)(1) Except as provided in paragraph (i)(2) of this section, for each basic model <SU>1</SU> of conventional cooking tops, conventional ovens and microwave ovens a sample of sufficient size shall be tested to insure that—</P> <P>(i) Any represented value of estimated annual operating cost, energy <PRTPAGE P="151"/>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<FR>1/2</FR> percent confidence limit of the true mean divided by 1.05, and</P> <P>(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<FR>1/2</FR> percent confidence limit of the true mean divided by .95.</P> <P>(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.</P> <P>(j)(1) For each basic model <SU>1</SU> of clothes washers, a sample of sufficient size shall be tested to insure that—</P> <P>(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<FR>1/2</FR> percent confidence limit of the true mean divided by 1.05, and</P> <P>(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<FR>1/2</FR> percent confidence limit of the true mean divided by .95.</P> <P>(k)-(l) [Reserved]</P> <P>(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 —</P> <P>(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:</P> <P>(A) The mean of the sample; or</P> <P>(B) The upper 90-percent confidence limit of the true mean divided by 1.05;</P> <P>(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:</P> <P>(A) The mean of the sample; or</P> <P>(B) The lower 90-percent confidence limit of the true mean divided by 0.95;</P> <P>(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.</P> <P>(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 <PRTPAGE P="152"/>having a single-speed compressor, the condenser-evaporator coil combination selected for tests pursuant to paragraph (m)(1) of this section shall include the indoor <E T="03">coil-only</E> unit that is likely to have the largest volume of retail sales with the particular model of outdoor unit. This <E T="03">coil-only</E> requirement does not apply to split-system air conditioners that are only sold and installed with <E T="03">blower-coil</E> 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—</P> <P>(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</P> <P>(ii) The representative values of the measures of energy efficiency must be assigned as follows,</P> <P>(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</P> <P>(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;</P> <P>(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</P> <P>(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.</P> <P>(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.</P> <P>(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.<PRTPAGE P="153"/> </P> <P>(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).</P> <P>(6) Each request to DOE for approval of an alternative rating method must include:</P> <P>(i) The name, mailing address, telephone number, and e-mail address of the official representing the manufacturer.</P> <P>(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.</P> <P>(iii) Complete test data from laboratory tests on four mixed (i.e., non-highest-sales-volume combination) systems per each ARM.</P> <P>(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 § 430.32(c) in effect at the time of the rating.</P> <P>(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.</P> <P>(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.</P> <P>(iv) All product information on each mixed system indoor unit, each matched system indoor unit, and each outdoor unit needed to implement the <PRTPAGE P="154"/>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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(n)(1) For each basic model <SU>1</SU> 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—</P> <P>(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<FR>1/2</FR> percent confidence limit of the true mean divided by 1.05, and</P> <P>(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<FR>1/2</FR> percent confidence limit of the true mean divided by .95.</P> <P>(2) For the lowest capacity basic model <SU>1</SU> <FTREF/> 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—</P> <FTNT> <P> <SU>1</SU> 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.</P> </FTNT> <P>(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<FR>1/2</FR> percent confidence limit of the true mean divided by 1.05, and</P> <P>(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<FR>1/2</FR> percent confidence limit of the true mean divided by .95.</P> <P>(3) For the highest capacity basic model <SU>1</SU> 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—</P> <P>(i) Any represented value of estimated annual operating cost, energy <PRTPAGE P="155"/>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<FR>1/2</FR> percent confidence limit of the true mean divided by 1.05, and</P> <P>(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<FR>1/2</FR> percent confidence limit of the true mean divided by .05.</P> <P>(4) For basic model <SU>1</SU> or capacity other than the highest or lowest of the group of basic models <SU>1</SU> of sectional cast-iron boilers having identical intermediate sections and combustion chambers, represented values of measures of energy consumption shall be determined by either—</P> <P>(i) A linear interpolation of data obtained for the smallest and largest capacity units of the family, or</P> <P>(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 (<E T="03">1</E>) the mean of the sample, or (<E T="03">2</E>) the upper 97<FR>1/2</FR> 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 (<E T="03">1</E>) the mean of the sample, or (<E T="03">2</E>) the lower 97<FR>1/2</FR> percent confidence limit of the true mean divided by .95.</P> <P>(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.</P> <P>(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.</P> <P>(o)(1) For each basic model <SU>1</SU> of vented home heating equipment (not including furnaces) a sample of sufficient size shall be tested to insure that—</P> <P>(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<FR>1/2</FR> percent confidence limit of the true mean divided by 1.05, and</P> <P>(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<FR>1/2</FR> percent confidence limit of the true mean divided by .95.</P> <P>(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> <P>(p)(1) For each basic model <SU>1</SU> <FTREF/> of pool heater a sample of sufficient size shall be tested to insure that—</P> <FTNT> <P> <SU>1</SU> 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.</P> </FTNT> <P>(i) [Reserved]</P> <P>(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<FR>1/2</FR> percent confidence limit of the true mean divided by .95.</P> <P>(q)(1) For each basic model of fluorescent lamp ballasts, as defined in paragraph (14) of § 430.2, a sample of sufficient size, no less than four, shall be tested to insure that—</P> <P>(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</P> <P>(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 <PRTPAGE P="156"/>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.</P> <P>(r)(1) For each basic model of general service fluorescent lamp, general service incandescent 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.</P> <P>(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 (X<E T="52">L</E>) divided by 0.97, i.e.,</P> <GPH DEEP="40" SPAN="1"> <GID>ER29MY97.002</GID> </GPH> <EXTRACT> <FP>where:</FP> <FP SOURCE="FP-1">x<AC T="8"/> = the mean color rendering index of the sample</FP> <FP SOURCE="FP-1">s = the sample standard deviation</FP> <FP SOURCE="FP-1">t<E T="52">0.95</E> = the t statistic for a 95-percent confidence limit for n-1 degrees of freedom (from statistical tables)</FP> <FP SOURCE="FP-1">n=sample size</FP> </EXTRACT> <P>(s) For each basic model of faucet, <SU>1</SU> <FTREF/> 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:</P> <FTNT> <P> <SU>1</SU> 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.</P> </FTNT> <P>(1) The mean of the sample or</P> <P>(2) The upper 95 percent confidence limit of the true mean divided by 1.05.</P> <P>(t) For each basic model <SU>1</SU> 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:</P> <P>(1) The mean of the sample or</P> <P>(2) The upper 95 percent confidence limit of the true mean divided by 1.05.</P> <P>(u) For each basic model <SU>1</SU> 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:</P> <P>(1) The mean of the sample or</P> <P>(2) The upper 90 percent confidence limit of the true mean divided by 1.1.</P> <P>(v) For each basic model <SU>1</SU> 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:</P> <P>(1) The mean of the sample or</P> <P>(2) The upper 90 percent confidence limit of the true mean divided by 1.1.</P> <SECAUTH>(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)</SECAUTH> <CITA>[44 FR 22416, Apr. 13, 1979] </CITA> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> <P>For <E T="04">Federal Register</E> citations affecting § 430.24, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.</P> </EDNOTE> </SECTION> <SECTION> <SECTNO>§ 430.25</SECTNO> <SUBJECT>Laboratory Accreditation Program.</SUBJECT> <P>The testing for general service fluorescent lamps, general service incandescent lamps, and incandescent reflector lamps shall be performed in accordance with Appendix R to this subpart. The testing for medium base compact fluorescent lamps shall be performed in accordance with Appendix W of this subpart. This testing 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 set forth in 15 CFR <PRTPAGE P="157"/>part 285. A manufacturer's or importer's own laboratory, if accredited, may conduct the applicable testing.</P> <CITA>[74 FR 31841, July 6, 2009]</CITA> </SECTION> <SECTION> <SECTNO>§ 430.27</SECTNO> <SUBJECT>Petitions for waiver and applications for interim waiver.</SUBJECT> <P>(a)(1) Any interested person may submit a petition to waive for a particular basic model any requirements of § 430.23, or of any appendix to this subpart, upon the grounds that the basic model contains one or more design characteristics which either prevent testing of the basic model according to the prescribed test procedures, or 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.</P> <P>(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.</P> <P>(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:</P> <P>(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;</P> <P>(ii) Identify manufacturers of all other basic models marketed in the United States and known to the petitioner to incorporate similar design characteristic(s);</P> <P>(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</P> <P>(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 <E T="04">Federal Register</E> 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 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.</P> <P>(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.</P> <P>(c)(1) Each petitioner, after filing a Petition for Waiver with DOE, and after the Petition for Waiver has been published in the <E T="04">Federal Register,</E> 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 <E T="04">Federal Register</E> on a certain <PRTPAGE P="158"/>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.</P> <P>(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.</P> <P>(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.</P> <P>(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 <E T="04">Federal Register.</E> </P> <P>(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.</P> <P>(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.</P> <P>(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 days. Notice of such extension and/or any modification of the terms or duration of the interim waiver shall be published in the <E T="04">Federal Register,</E> and shall be based on relevant information contained in the record and any comments received subsequent to issuance of the interim waiver.</P> <P>(i) Following publication of the Petition for Waiver in the <E T="04">Federal Register,</E> 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.</P> <P>(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.</P> <P>(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.</P> <P>(l) Waivers will be granted by the Assistant Secretary for Conservation and Renewable Energy, if it is determined <PRTPAGE P="159"/>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 <E T="04">Federal Register</E> notice of each waiver granted or denied, and any limiting conditions of each waiver granted.</P> <P>(m) Within one year of the granting of any waiver, the Department of Energy will publish in the <E T="04">Federal Register</E> 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 <E T="04">Federal Register</E> a final rule. Such waiver will terminate on the effective date of such final rule.</P> <P>(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.</P> <CITA>[51 FR 42826, Nov. 26, 1986, as amended at 60 FR 15017, Mar. 21, 1995; 63 FR 13316, Mar. 18, 1998]</CITA> </SECTION> <APPENDIX> <EAR>Pt. 430, Subpt. B, App. A1</EAR> <HD SOURCE="HED">Appendix A1 to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Electric Refrigerators and Electric Refrigerator-Freezers</HD> <HD SOURCE="HD2">1. Definitions</HD> <P>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.</P> <P>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.</P> <P>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.</P> <P>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 °F. (0.0 °C.). It may include a compartment of 0.50 cubic feet capacity (14.2 liters) or less for the freezing and storage of ice.</P> <P>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 so that the desired compartment temperatures were maintained.</P> <P>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.</P> <P>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.</P> <P>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.</P> <P>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.</P> <P>1.10“Stabilization Period” means the total period of time during which steady-state conditions are being attained or evaluated.</P> <P>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.<PRTPAGE P="160"/> </P> <P>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 °F or the room air temperature; and may have a thermostatically actuated exterior air fan.</P> <HD SOURCE="HD2">2. Test Conditions</HD> <P>2.1Ambient temperature. The ambient temperature shall be 90.0 ±1 °F. (32.3±0.6 °C.) during the stabilization period and during the test period. The ambient temperature shall be 80±2 °F dry bulb and 67 °F wet bulb during the stabilization period and during the test period when the unit is tested in accordance with section 3.3.</P> <P>2.2Operational 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.</P> <P>2.3Conditions 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 1.12±0.25 inches (2.9±0.6 cm) in diameter and height shall be attached in good thermal contact with each temperature sensor within the refrigerated compartments. All temperature measuring sensor masses shall be supported by 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.</P> <P>2.4Conditions for all-refrigerators. There shall be no load in the freezer compartment during the test.</P> <P>2.5Steady 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 °F. (0.023 °C.) per hour as determined by the applicable condition of A or B.</P> <P>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.</P> <P>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.</P> <P>2.6Exterior 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 35±1 °F (1.7±0.6 °C) to 90±1 °F (32.2±0.6 °C).</P> <P>2.6.1Air duct. The exterior air shall pass from the exterior air source to the test unit through an insulated air duct.</P> <P>2.6.2Air temperature measurement. The air temperature entering the condenser or condenser/compressor compartment shall be maintained to ±3 °F (1.7 °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 °F (0.6 °C) during the test period. The temperature measuring devices shall have an error not greater than ±0.5 °F (±0.3 °C). Measurements of the air temperature during the test period shall be taken at regular intervals not to exceed four minutes.<PRTPAGE P="161"/> </P> <P>2.6.3Exterior air static pressure. The exterior air static pressure at the inlet point of the unit shall be adjusted to maintain a negative pressure of 0.20″±0.05″ water column (62 Pa±12.5 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°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).</P> <HD SOURCE="HD2">3. Test Control Settings</HD> <P>3.1Model 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.</P> <P>3.2Model with user operable temperature control. Testing shall be performed in accordance with one of the following sections using the standardized temperatures of: </P> <FP SOURCE="FP-1">All-refrigerator: 38 °F. (3.3 °C.) fresh food compartment temperature</FP> <FP SOURCE="FP-1">Refrigerator: 15 °F. (−9.4 °C.) freezer compartment temperature</FP> <FP SOURCE="FP-1">Refrigerator-freezer: 5 °F. (−15 °C.) freezer compartment temperature</FP> <FP SOURCE="FP-1">Variable defrost control models: 5 °F (−15 °C) freezer compartment temperature and 38 ±2 °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 38±2 °F and the freezer compartment as close to 5 °F as possible.</FP> <P>3.2.1A 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 °F. (7.22 °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.</P> <P>3.2.2Alternatively, 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 °F. (7.22 °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.</P> <P>3.2.3Alternatively, 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.</P> <P>3.3Variable defrost control optional test. After a steady-state condition is achieved, the optional test requires door-openings for 12±2 seconds every 60 minutes on the fresh food compartment door and a simultaneous 12±2 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° to 90°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.</P> <HD SOURCE="HD2">4. Test Period</HD> <P>4.1Test 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.</P> <P>4.1.1Nonautomatic Defrost. If the model being tested has no automatic defrost system, the test time period shall start after steady state conditions have been achieved <PRTPAGE P="162"/>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.</P> <P>4.1.2Automatic 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.</P> <P>4.1.2.1Long-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.</P> <GPH DEEP="332" SPAN="2"> <GID>ER07MR03.019</GID> </GPH> <PRTPAGE P="163"/> <P>4.1.2.2Variable 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.</P> <P>4.1.2.3Variable 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.</P> <P>4.1.2.4Dual 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 each system and the energy consumption measured during each test.</P> <HD SOURCE="HD2">5. Test Measurements</HD> <P>5.1Temperature 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 °F. (0.3 °C.) of true value. No freezer temperature measurements need be taken in an all-refrigerator model.</P> <P>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.</P> <P>5.1.1Measured 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.</P> <P>5.1.2Compartment 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.</P> <P>5.1.2.1The 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.</P> <P>5.1.2.2If 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.</P> <P>5.1.2.3If 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.</P> <P>5.2Energy Measurements</P> <P>5.2.1Per-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:</P> <P>5.2.1.1Nonautomatic and automatic defrost models. The energy consumption in kilowatt-hours per day shall be calculated equivalent to: </P> <FP>ET=EP×1440/T</FP> <FP>where</FP> <FP SOURCE="FP-1">ET=test cycle energy expended in kilowatt-hours per day,</FP> <FP SOURCE="FP-1">EP=energy expended in kilowatt-hours during the test period,</FP> <FP SOURCE="FP-1">T=length of time of the test period in minutes, and</FP> <FP SOURCE="FP-1">1440=conversion factor to adjust to a 24 hour period in minutes per day.</FP> <P>5.2.1.2Long-time Automatic Defrost. If the two part test method is used, the energy consumption in kilowatt-hours per day shall be calculated equivalent to: </P> <FP SOURCE="FP-1">ET=(1440×EP1/T1)+((EP2−(EP1×T2/T1))×12/CT)</FP> <PRTPAGE P="164"/> <FP>where</FP> <FP SOURCE="FP-1">ET and 1440 are defined in 5.2.1.1,</FP> <FP SOURCE="FP-1">EP1=energy expended in kilowatt-hours during the first part of the test,</FP> <FP SOURCE="FP-1">EP2=energy expended in kilowatt-hours during the second part of the test,</FP> <FP SOURCE="FP-1">T1 and T2=length of time in minutes of the first and second test parts respectively,</FP> <FP SOURCE="FP-1">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</FP> <FP SOURCE="FP-1">12=factor to adjust for a 50% run time of the compressor in hours per day.</FP> <P>5.2.1.3Variable defrost control. The energy consumption in kilowatt-hours per day shall be calculated equivalent to: </P> <FP SOURCE="FP-1">ET=(1440×EP1/T1)+(EP2−(EP1×T2/T1))×(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.</FP> <FP SOURCE="FP-1">CT=CT<E T="52">L</E>×CT<E T="52">M</E>)/(F×(CT<E T="52">M</E>−CT<E T="52">L</E>)+CT<E T="52">L</E>)</FP> <FP SOURCE="FP-1">CT<E T="52">L</E>=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)</FP> <FP SOURCE="FP-1">CT<E T="52">M</E>=maximum time between defrost cycles in tenths of an hour (greater than CT<E T="52">L</E> but not more than 96 hours)</FP> <FP SOURCE="FP-1">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</FP> <FP SOURCE="FP-1">F = (1/CT − 1/CT<E T="52">M</E>)/(1/CT<E T="52">L</E> − 1/CT<E T="52">M</E> = (ET−ET<E T="52">L</E>)/ET<E T="52">M</E> − ET<E T="52">L</E>) or 0.20 in lieu of testing to find CT.</FP> <FP SOURCE="FP-1">ET<E T="52">L</E> = least electrical energy used (kilowatt hours)</FP> <FP SOURCE="FP-1">ET<E T="52">M</E>=maximum electrical energy used (kilowatt hours). For demand defrost models with no values for CT<E T="52">L</E> and CT<E T="52">M</E> in the algorithm the default values of 12 and 84 shall be used, respectively.</FP> <P>5.2.1.4Optional test method for variable defrost controls. </P> <FP SOURCE="FP-1">CT = MTBD×0.5</FP> <FP>where:</FP> <FP SOURCE="FP-1">MTBD = mean time between defrosts</FP> <MATH DEEP="24" SPAN="1"> <MID>EC14NO91.027</MID> </MATH> <FP>where:</FP> <FP SOURCE="FP-1">X=in time between defrost cycles</FP> <FP SOURCE="FP-1">N=number of defrost cycles</FP> <P>5.2.1.5Dual 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: </P> <FP SOURCE="FP-1">ET=(1440 × EP1/T1) + (EP2<E T="52">F</E> − (EP<E T="52">F</E> × T2/T1)) × 12/CT<E T="52">F</E> + (EP2<E T="52">R</E> − (EP<E T="52">R</E> × T3/T1)) × 12/CT<E T="52">R</E> </FP> <FP>Where 1440, EP1, T1, EP2, 12, and CT are defined in 5.2.1.2</FP> <FP SOURCE="FP-1">EP<E T="52">F</E> = energy expended in kilowatt-hours during the second part of the test for the freezer system by the freezer system.</FP> <FP SOURCE="FP-1">EP2<E T="52">F</E> = total energy expended during the second part of the test for the freezer system.</FP> <FP SOURCE="FP-1">EP<E T="52">R</E> = energy expended in kilowatt-hours during the second part of the test for the refrigerator system by the refrigerator system.</FP> <FP SOURCE="FP-1">EP2<E T="52">R</E> = total energy expended during the second part of the test for the refrigerator system.</FP> <FP SOURCE="FP-1">T2 and T3 = length of time in minutes of the second test part for the freezer and refrigerator systems respectively.</FP> <FP SOURCE="FP-1">CT<E T="52">F</E> = compressor “on” time between freezer defrosts (tenths of an hour).</FP> <FP SOURCE="FP-1">CT<E T="52">R</E> = compressor “on” time between refrigerator defrosts (tenths of an hour).</FP> <P>5.3Volume 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: </P> <FP>VT=VF+VFF</FP> <FP>where</FP> <FP SOURCE="FP-1">VT=total refrigerated volume in cubic feet,</FP> <FP SOURCE="FP-1">VF=freezer compartment volume in cubic feet, and</FP> <FP SOURCE="FP-1">VFF=fresh food compartment volume in cubic feet.</FP> <P>5.4Externally 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.</P> <P>5.4.1Operability 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 °F must be verified. The operability of such controls shall be verified by operating the unit under ambient air temperature of 90 °F and exterior air temperature of 45 °F. If the inlet air entering the condenser or condenser/compressor compartment is maintained at 60 °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 °F, plus or minus three degrees, energy consumption of the unit shall also be measured under 5.4.2.4.</P> <P>5.4.2Energy consumption tests.</P> <P>5.4.2.1Correction factor test. To enable calculation of a correction factor, K, two full <PRTPAGE P="165"/>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 °F (32.2 °C) and 80 °F (26.7 °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 ec<E T="52">90</E> and ec<E T="52">80</E>, in kWh/day.</P> <P>5.4.2.2Energy consumption at 90 °F. The unit shall be tested at 90 °F (32.2 °C) exterior air temperature to record the energy consumptions (e<E T="52">90</E>)<E T="52">i</E> 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.</P> <P>5.4.2.3Energy consumption at 60 °F. The unit shall be tested at 60 °F (26.7 °C) exterior air temperature to record the energy consumptions (e<E T="52">60</E>)<E T="52">i</E> 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.</P> <P>5.4.2.4Energy 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 °F (10.0 °C) and 30 °F (−1.1 °C) exterior air temperatures to record the energy consumptions (e<E T="52">50</E>)<E T="52">i</E> and (e<E T="52">30</E>)<E T="52">i</E>. For a given setting of the anti-sweat heater, i corresponds to each of the two states of the compartment temperature control positions. </P> <HD SOURCE="HD2">6. Calculation of Derived Results from Test Measurements</HD> <P>6.1Adjusted Total Volume.</P> <P>6.1.1Electric refrigerators. The adjusted total volume, VA, for electric refrigerators under test shall be defined as: </P> <FP>VA=(VF×CR)+VFF</FP> <FP>where</FP> <FP SOURCE="FP-1">VA=adjusted total volume in cubic feet,</FP> <FP SOURCE="FP-1">VF and VFF are defined in 5.3, and</FP> <FP SOURCE="FP-1">CR=adjustment factor of 1.44 for refrigerators other than all-refrigerators, or 1.0 for all-refrigerators, dimensionless,</FP> <P>6.1.2Electric refrigerator-freezers. The adjusted total volume, VA, for electric refrigerator-freezers under test shall be calculated as follows: </P> <FP>VA=(VF×CRF)+VFF</FP> <FP>where</FP> <FP SOURCE="FP-1">VF and VFF are defined in 5.3 and VA is defined in 6.1.1,</FP> <FP SOURCE="FP-1">CRF=adjustment factor of 1.63, dimensionless,</FP> <P>6.2Average Per-Cycle Energy consumption.</P> <P>6.2.1All-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.</P> <P>6.2.1.1If the fresh food compartment temperature is always below 38.0 °F. (3.3 °C.), the average per-cycle energy consumption shall be equivalent to: </P> <FP>E=ET1</FP> <FP>where</FP> <FP SOURCE="FP-1">E=Total per-cycle energy consumption in kilowatt-hours per day,</FP> <FP SOURCE="FP-1">ET is defined in 5.2.1, and Number 1 indicates the test period during which the highest fresh food compartment temperature is measured.</FP> <P>6.2.1.2If one of the fresh food compartment temperatures measured for a test period is greater than 38.0 °F. (3.3 °C.), the average per-cycle energy consumption shall be equivalent to: </P> <FP SOURCE="FP-1">E=ET1+((ET2−ET1)×(38.0−TR1)/(TR2−TR1))</FP> <FP>where</FP> <FP SOURCE="FP-1">E is defined in 6.2.1.1,</FP> <FP SOURCE="FP-1">ET is defined in 5.2.1,</FP> <FP SOURCE="FP-1">TR=Fresh food compartment temperature determined according to 5.1.2 in degrees F,</FP> <FP SOURCE="FP-1">Number 1 and 2 indicates measurements taken during the first and second test period as appropriate, and</FP> <FP SOURCE="FP-1">38.0=Standardized fresh food compartment temperature in degrees F.</FP> <P>6.2.2Refrigerators 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.</P> <P>6.2.2.1If the fresh food compartment temperature is always at or below 45 °F. (7.2 °C.) in both of the tests and the freezer compartment temperature is always at or below 15 °F. (−9.4 °C.) in both tests of a refrigerator or at or below 5 °F. (−15 °C.) in both tests of a refrigerator-freezer, the per-cycle energy consumption shall be: </P> <FP SOURCE="FP-1">E=ET1</FP> <FP SOURCE="FP-1">where</FP> <FP SOURCE="FP-1">E is defined in 6.2.1.1,</FP> <FP SOURCE="FP-1">ET is defined in 5.2.1, and</FP> <FP SOURCE="FP-1">Number 1 indicates the test period during which the highest freezer compartment temperature was measured.</FP> <P>6.2.2.2If 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: </P> <FP SOURCE="FP-1">E=ET1+((ET2−ET1)×(45.0−TR1)/(TR2−TR1))</FP> <FP>and</FP> <FP SOURCE="FP-1">E=ET1+((ET2−ET1)×(k−TF1)/(TF2−TF1))</FP> <PRTPAGE P="166"/> <FP>where</FP> <FP SOURCE="FP-1">E is defined in 6.2.1.1,</FP> <FP SOURCE="FP-1">ET is defined in 5.2.1,</FP> <FP SOURCE="FP-1">TR and number 1 and 2 are defined in 6.2.1.2,</FP> <FP SOURCE="FP-1">TF=Freezer compartment temperature determined according to 5.1.2 in degrees F,</FP> <FP SOURCE="FP-1">45.0 is a specified fresh food compartment temperature in degree F, and</FP> <FP SOURCE="FP-1">k is a constant 15.0 for refrigerators or 5.0 for refrigerator-freezers each being standardized freezer compartment temperature in degrees F.</FP> <P>6.3Externally 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.</P> <P>6.3.1Correction factor. A correction factor, K, shall be calculated as: </P> <FP SOURCE="FP-1">K = ec<E T="52">90</E>/ec<E T="52">80</E> </FP> <FP>where ec<E T="52">90</E> and ec<E T="52">80</E> = the energy consumption test results as determined under 5.4.2.1.</FP> <P>6.3.2Combining 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, (e<E T="52">90</E>)<E T="52">i</E>, (e<E T="52">60</E>)<E T="52">i</E>, (e<E T="52">50</E>)<E T="52">i</E>, and (e<E T="52">30</E>)<E T="52">i</E>. The combined values are ε<E T="52">90</E>, ε<E T="52">60</E>, ε<E T="52">50</E>, and ε<E T="52">30</E>, where applicable, in kWh/day.</P> <P>6.3.3Energy consumption corrections. For a given setting of the anti-sweat heater, the energy consumptions ε<E T="52">90</E>, ε<E T="52">60</E>, ε<E T="52">50</E>, and ε<E T="52">30</E> calculated in 6.3.2 shall be adjusted by multiplying the correction factor K to obtain the corrected energy consumptions per day, in kWh/day: </P> <FP SOURCE="FP-1">E<E T="52">90</E> = K × ε<E T="52">90</E>,</FP> <FP SOURCE="FP-1">E<E T="52">60</E> = K × ε<E T="52">60</E> </FP> <FP SOURCE="FP-1">E<E T="52">50</E> = K × ε<E T="52">50</E>, and</FP> <FP SOURCE="FP-1">E<E T="52">30</E> = K × ε<E T="52">30</E> </FP> <FP>where,</FP> <FP SOURCE="FP-1">K is determined under section 6.3.1, and ε<E T="52">90</E>, ε<E T="52">60</E>, ε<E T="52">50</E>, and ε<E T="52">30</E> are determined under section 6.3.2.</FP> <P>6.3.4Energy profile equation. For a given setting of the anti-sweat heater, the energy consumption E<E T="52">X</E>, in kWh/day, at a specific exterior air temperature between 80 °F (26.7 °C) and 60 °F (26.7 °C) shall be calculated by the following equation: </P> <FP SOURCE="FP-1">E<E T="52">X</E> = a + bT<E T="52">X</E>,</FP> <FP>where,</FP> <FP SOURCE="FP-1">T<E T="52">X</E> = exterior air temperature in °F;</FP> <FP SOURCE="FP-1">a = 3E<E T="52">60</E>−2E<E T="52">90</E>, in kWh/day;</FP> <FP SOURCE="FP-1">b = (E<E T="52">90</E>−E<E T="52">60</E>)/30, in kWh/day per °F.</FP> <P>6.3.5Energy consumption at 80 °F (26.7 °C), 75 °F (23.9 °C) and 65 °F (18.3 °C). For a given setting of the anti-sweat heater, calculate the energy consumptions at 80 °F (26.7 °C), 75 °F (23.9 °C) and 65 °F (18.3 °C) exterior air temperatures, E<E T="52">80</E>, E<E T="52">75</E> and E<E T="52">65</E>, respectively, in kWh/day, using the equation in 6.3.4.</P> <P>6.3.6National average per cycle energy consumption. For a given setting of the anti-sweat heater, calculate the national average energy consumption, E<E T="52">N</E>, in kWh/day, using one of the following equations: </P> <FP SOURCE="FP-1">E<E T="52">N</E> = 0.523 × E<E T="52">60</E> + 0.165 × E<E T="52">65</E> + 0.181 × E<E T="52">75</E> + 0.131 × E<E T="52">80</E>, for units not tested under 5.4.2.4,</FP> <FP SOURCE="FP-1">E<E T="52">N</E> = 0.257 × E<E T="52">30</E> + 0.266 × E<E T="52">50</E> + 0.165 × E<E T="52">65</E> + 0.181 × E<E T="52">75</E> + 0.131 × E<E T="52">80</E>, for units tested under 5.4.2.4,</FP> <FP>where,</FP> <FP SOURCE="FP-1">E<E T="52">30</E>, E<E T="52">50</E>, and E<E T="52">60</E> are defined in 6.3.3,</FP> <FP SOURCE="FP-1">E<E T="52">65</E>, E<E T="52">75</E>, and E<E T="52">80</E> are defined in 6.3.5, and</FP> <FP SOURCE="FP-1">the coefficients are weather associated weighting factors.</FP> <P>6.3.7Regional 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, E<E T="52">R</E>, in kWh/day, for the regions in figure 1 using one of the following equations and the coefficients in the table A: </P> <FP SOURCE="FP-1">E<E T="52">R</E> = a<E T="52">1</E> × E<E T="52">60</E> + c × E<E T="52">65</E> + d × E<E T="52">75</E> + e × E<E T="52">80</E>, for a unit that is not required to be tested under 5.4.2.4,</FP> <FP SOURCE="FP-1">E<E T="52">R</E> = a × E<E T="52">30</E> + b × E<E T="52">50</E> + c × E<E T="52">65</E> + d × E<E T="52">75</E> + e × E<E T="52">80</E>, for a unit tested under 5.4.2.4,</FP> <FP>where:</FP> <FP SOURCE="FP-1">E<E T="52">30</E>, E<E T="52">50</E>, and E<E T="52">60</E> are defined in 6.3.3,</FP> <FP SOURCE="FP-1">E<E T="52">65</E>, E<E T="52">75</E>, and E<E T="52">80</E> are defined in 6.3.5, and</FP> <FP SOURCE="FP-1">a<E T="52">1</E>, a, b, c, d, e are weather associated weighting factors for the Regions, as specified in Table A:</FP> <GPOTABLE CDEF="s10,5,5,5,5,5,5" COLS="7" OPTS="L2"> <TTITLE>Table A—Coefficients for Calculating Regional Average per Cycle Energy Consumption</TTITLE> <TDESC>[Weighting Factors]</TDESC> <BOXHD> <CHED H="1">Regions</CHED> <CHED H="1">a<E T="52">1</E> </CHED> <CHED H="1">a</CHED> <CHED H="1">b</CHED> <CHED H="1">c</CHED> <CHED H="1">d</CHED> <CHED H="1">e</CHED> </BOXHD> <ROW> <ENT I="01">I</ENT> <ENT>0.282</ENT> <ENT>0.039</ENT> <ENT>0.244</ENT> <ENT>0.194</ENT> <ENT>0.326</ENT> <ENT>0.198</ENT> </ROW> <ROW> <ENT I="01">II</ENT> <ENT>0.486</ENT> <ENT>0.194</ENT> <ENT>0.293</ENT> <ENT>0.191</ENT> <ENT>0.193</ENT> <ENT>0.129</ENT> </ROW> <ROW> <ENT I="01">III</ENT> <ENT>0.584</ENT> <ENT>0.302</ENT> <ENT>0.282</ENT> <ENT>0.178</ENT> <ENT>0.159</ENT> <ENT>0.079</ENT> </ROW> <ROW> <ENT I="01">IV</ENT> <ENT>0.664</ENT> <ENT>0.420</ENT> <ENT>0.244</ENT> <ENT>0.161</ENT> <ENT>0.121</ENT> <ENT>0.055</ENT> </ROW> </GPOTABLE> <GPH DEEP="251" SPAN="2"> <PRTPAGE P="167"/> <GID>ER09SE97.000</GID> </GPH> <CITA>[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]</CITA> </APPENDIX> <APPENDIX> <EAR>Pt. 430, Subpt. B, App. B1</EAR> <HD SOURCE="HED">Appendix B1 to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Freezers</HD> <HD SOURCE="HD2">1. Definitions.</HD> <P>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.</P> <P>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.</P> <P>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.</P> <P>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.</P> <P>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.</P> <P>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.</P> <P>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.</P> <P>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.</P> <P>1.9“Stabilization Period” means the total period of time during which steady-state conditions are being attained or evaluated.</P> <P>1.10“Variable defrost control” means a long-time automatic defrost system (except the 14-hour defrost qualification does not <PRTPAGE P="168"/>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.</P> <P>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.</P> <HD SOURCE="HD2">2. Test Conditions.</HD> <P>2.1Ambient temperature. The ambient temperature shall be 90.0±1.0 °F. (32.2±0.6 °C.) during the stabilization period and during the test period. The ambient temperature shall be 80±2 °F dry bulb and 67 °F wet bulb during the stabilization period and during the test period when the unit is tested in accordance with section 3.3.</P> <P>2.2Operational 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.</P> <P>2.3Steady 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 °F. (0.023 °C.) per hour as determined by the applicable condition of A or B.</P> <FP SOURCE="FP-1">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.</FP> <FP SOURCE="FP-1">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.</FP> <HD SOURCE="HD2">3. Test Control Settings.</HD> <P>3.1Model 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.</P> <P>3.2Model with user operable temperature control. Testing shall be performed in accordance with one of the following sections using the standardized temperature of 0.0 °F. (−17.8 °C.). Variable defrost control models shall achieve 0±2 °F during the steady-state conditions prior to the optional test with no door openings.</P> <P>3.2.1A 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.</P> <P>3.2.2Alternatively, 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.</P> <P>3.2.3Alternatively, 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 <PRTPAGE P="169"/>the above condition is not met, then the unit shall be tested in accordance with 3.2.1 above.</P> <P>3.3 Variable defrost control optional test. After a steady-state condition is achieved, the door-opening sequence is initiated with an 18±2 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°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.</P> <HD SOURCE="HD2">4. Test Period.</HD> <P>4.1Test 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.</P> <P>4.1.1Nonautomatic 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.</P> <P>4.1.2Automatic 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.</P> <P>4.1.2.1Long-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.</P> <P>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.</P> <P>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.</P> <HD SOURCE="HD2">5. Test Measurements.</HD> <P>5.1Temperature 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 °F. (0.3 °C.) of true value.</P> <P>5.1.1Measured 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.</P> <P>5.1.2Compartment 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.</P> <P>5.1.2.1The 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.</P> <P>5.1.2.2If no compressor motor cycling occurs, the compartment temperature shall be the average of the measured temperatures <PRTPAGE P="170"/>taken during the last thirty-two minutes of the test period.</P> <P>5.1.2.3If 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.</P> <P>5.2Energy Measurements:</P> <P>5.2.1Per-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.</P> <P>The adjustment shall be determined as follows:</P> <P>5.2.1.1Nonautomatic and automatic defrost models. The energy consumption in kilowatt-hours per day shall be calculated equivalent to: </P> <FP SOURCE="FP-1">ET=(EP×1440× K)/T where</FP> <FP SOURCE="FP-1">ET=test cycle energy expended in kilowatt-hours per day,</FP> <FP SOURCE="FP-1">EP=energy expended in kilowatt-hours during the test period.</FP> <FP SOURCE="FP-1">T=length of time of the test period in minutes,</FP> <FP SOURCE="FP-1">1440=conversion factor to adjust to a 24 hour period in minutes per day, and</FP> <FP SOURCE="FP-1">K=correction factor of 0.7 for chest freezers and 0.85 for upright freezers to adjust for average household usage, dimensionless.</FP> <P>5.2.1.2Long-time Automatic Defrost. If the two part test method is used, the energy consumption in kilowatt-hours per day shall be calculated equivalent to: </P> <FP SOURCE="FP-1">ET=(1440× K× EP1/T1) + ((EP2−(EP1× T2/T1))× K×12/CT)</FP> <FP>where</FP> <FP SOURCE="FP-1">ET, 1440, and K are defined in 5.2.1.1</FP> <FP SOURCE="FP-1">EP1=energy expended in kilowatt-hours during the first part of the test.</FP> <FP SOURCE="FP-1">EP2=energy expended in kilowatt-hours during the second part of the test,</FP> <FP SOURCE="FP-1">CT=Defrost timer run time in hours required to cause it to go through a complete cycle, to the nearest tenth hour per cycle,</FP> <FP SOURCE="FP-1">12=conversion factor to adjust for a 50% run time of the compressor in hours per day, and</FP> <FP SOURCE="FP-1">T1 and T2=length of time in minutes of the first and second test parts respectively.</FP> <P>5.2.1.3 Variable defrost control. The energy consumption in kilowatt-hours per day shall be calculated equivalent to: </P> <FP SOURCE="FP-1">ET=(1440 × EP1/T1) + (EP2 − (EP1 × T2/T1) × (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.</FP> <FP SOURCE="FP-1">CT=(CT<E T="52">L</E> × CT<E T="52">M</E>)/(Fx (CT<E T="52">M</E> − CT<E T="52">L</E>) + CT<E T="52">L</E>)</FP> <FP>where:</FP> <FP SOURCE="FP-1">CT<E T="52">L</E>=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 ≤ <E T="52">L</E> ≤ 12)</FP> <FP SOURCE="FP-1">CT<E T="52">M</E>=maximum time between defrost cycles in tenths of an hour (greater than CT<E T="52">L</E> but not more than 96 hours, CT<E T="52">L</E> ≤ CT<E T="52">M</E> ≤ 96)</FP> <FP SOURCE="FP-1">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</FP> <FP SOURCE="FP-1">F=(1/CT − 1/CT<E T="52">M</E>)/(1/CT<E T="52">L</E> − 1/CT<E T="52">M</E>) = (ET − ET<E T="52">L</E>)/(ET<E T="52">M</E> − ET<E T="52">L</E>) or 0.20 in lieu of testing to find CT</FP> <FP SOURCE="FP-1">ET<E T="52">L</E>=least electrical energy consumed, in kilowatt hours</FP> <FP SOURCE="FP-1">ET<E T="52">M</E>=maximum electrical energy consumed, in kilowatt hours</FP> <P>For demand defrost models with no values for CT<E T="52">L</E> and CT<E T="52">M</E> in the algorithm the default values of 12 and 84 shall be used, respectively.</P> <P>5.2.1.4 Variable defrost control optional test. Perform the optional test for variable defrost control models to find CT.</P> <FP SOURCE="FP-1">CT=MTBD × 0.5</FP> <FP SOURCE="FP-1">MTBD=mean time between defrost</FP> <MATH DEEP="24" SPAN="1"> <MID>EC14NO91.028</MID> </MATH> <FP SOURCE="FP-1">X=time between defrost cycles</FP> <FP SOURCE="FP-1">N=number of defrost cycles</FP> <P>5.3Volume 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.</P> <HD SOURCE="HD2">6. Calculation of Derived Results From Test Measurements.</HD> <P>6.1Adjusted Total Volume. The adjusted total volume, VA, for freezers under test shall be defined as: </P> <FP SOURCE="FP-1">VA=VT× CF</FP> <FP>where</FP> <FP SOURCE="FP-1">VA=adjusted total volume in cubic feet,</FP> <FP SOURCE="FP-1">VT=total refrigerated volume in cubic feet, and</FP> <FP SOURCE="FP-1">CF=Correction factor of 1.73, dimensionless.</FP> <P>6.2Average Per Cycle Energy Consumption:</P> <P>6.2.1The 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.</P> <P>6.2.1.1If the compartment temperature is always below 0.0 °F. (−17.8 °C.), the average per-cycle energy consumption shall be equivalent to: </P> <FP SOURCE="FP-1">E=ET1</FP> <FP SOURCE="FP-1">where</FP> <FP SOURCE="FP-1">E=Total per-cycle energy consumption in kilowatt-hours per day.<PRTPAGE P="171"/> </FP> <FP SOURCE="FP-1">ET is defined in 5.2.1, and</FP> <FP SOURCE="FP-1">Number 1 indicates the test period during which the highest compartment temperature is measured.</FP> <P>6.2.1.2If one of the compartment temperatures measured for a test period is greater than 0.0 °F. (17.8 °C.), the average per-cycle energy consumption shall be equivalent to: </P> <FP SOURCE="FP-1">E=ET1+((ET2−ET1)×(0.0−TF1)/(TF2−TF1))</FP> <FP SOURCE="FP-1">where</FP> <FP SOURCE="FP-1">E is defined in 6.2.1.1</FP> <FP SOURCE="FP-1">ET is defined in 5.2.1</FP> <FP SOURCE="FP-1">TF=compartment temperature determined according to 5.1.2 in degrees F.</FP> <FP SOURCE="FP-1">Numbers 1 and 2 indicate measurements taken during the first and second test period as appropriate, and</FP> <FP SOURCE="FP-1">0.0=Standardized compartment temperature in degrees F.</FP> <CITA>[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]</CITA> </APPENDIX> <APPENDIX> <EAR>Pt. 430, Subpt. B, App. C</EAR> <HD SOURCE="HED">Appendix C to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Dishwashers</HD> <P>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.</P> <HD SOURCE="HD2">1.Definitions</HD> <P>1.1<E T="03">AHAM</E> means the Association of Home Appliance Manufacturers.</P> <P>1.2<E T="03">Compact dishwasher</E> means a dishwasher that has a capacity of less than eight place settings plus six serving pieces as specified in ANSI/AHAM DW-1 (<E T="03">see</E> § 430.22), using the test load specified in section 2.7 of this Appendix.</P> <P>1.3<E T="03">Cycle</E> 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.</P> <P>1.4<E T="03">Cycle type</E> means any complete sequence of operations capable of being preset on the dishwasher prior to the initiation of machine operation.</P> <P>1.5<E T="03">Non-soil-sensing dishwasher</E> 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.</P> <P>1.6<E T="03">Normal cycle</E> means the cycle type recommended by the manufacturer for completely washing a full load of normally soiled dishes including the power-dry feature.</P> <P>1.7<E T="03">Power-dry feature</E> means the introduction of electrically generated heat into the washing chamber for the purpose of improving the drying performance of the dishwasher.</P> <P>1.8<E T="03">Preconditioning cycle</E> means any cycle that includes a fill, circulation, and drain to ensure that the water lines and sump area of the pump are primed.</P> <P>1.9<E T="03">Sensor heavy response</E> 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, <E T="03">see</E> § 430.22). For compact dishwashers, this definition is the same, except that two soiled place settings are used instead of four.</P> <P>1.10<E T="03">Sensor light response</E> 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, <E T="03">see</E> § 430.22).</P> <P>1.11<E T="03">Sensor medium response</E> 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 § 430.22). For compact dishwashers, this definition is the same, except that one soiled place setting is used instead of two.</P> <P>1.12<E T="03">Soil-sensing dishwasher</E> 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.</P> <P>1.13<E T="03">Standard dishwasher</E> 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 § 430.22), using the test load specified in section 2.7 of this Appendix.</P> <P>1.14<E T="03">Standby mode</E> 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.</P> <P>1.15<E T="03">Truncated normal cycle</E> means the normal cycle interrupted to eliminate the power-dry feature after the termination of the last rinse operation.</P> <P>1.16<E T="03">Truncated sensor heavy response</E> means the sensor heavy response interrupted to eliminate the power-dry feature after the termination of the last rinse operation.</P> <P>1.17<E T="03">Truncated sensor light response</E> means the sensor light response interrupted to eliminate the power-dry feature after the termination of the last rinse operation.</P> <P>1.18<E T="03">Truncated sensor medium response</E> means the sensor medium response interrupted to eliminate the power-dry feature <PRTPAGE P="172"/>after the termination of the last rinse operation.</P> <P>1.19<E T="03">Water-heating dishwasher</E> means a dishwasher which, as recommended by the manufacturer, is designed for heating cold inlet water (nominal 50 °F) or designed for heating water with a nominal inlet temperature of 120 °F. Any dishwasher designated as water-heating (50 °F or 120 °F inlet water) must provide internal water heating to above 120 °F in at least one wash phase of the normal cycle.</P> <HD SOURCE="HD2">2.Testing conditions:</HD> <P>2.1<E T="03">Installation Requirements.</E> 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.</P> <P>2.2<E T="03">Electrical energy supply.</E> </P> <P>2.2.1<E T="03">Dishwashers that operate with an electrical supply of 115 volts.</E> 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.</P> <P>2.2.2<E T="03">Dishwashers that operate with an electrical supply of 240 volts.</E> 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.</P> <P>2.3<E T="03">Water temperature.</E> Measure the temperature of the water supplied to the dishwasher using a temperature measuring device as specified in section 3.1 of this Appendix.</P> <P>2.3.1<E T="03">Dishwashers to be tested at a nominal 140 °F inlet water temperature.</E> Maintain the water supply temperature at 140° ±2 °F.</P> <P>2.3.2<E T="03">Dishwashers to be tested at a nominal 120 °F inlet water temperature.</E> Maintain the water supply temperature at 120° ±2 °F.</P> <P>2.3.3<E T="03">Dishwashers to be tested at a nominal 50 °F inlet water temperature.</E> Maintain the water supply temperature at 50° ±2 °F.</P> <P>2.4<E T="03">Water pressure.</E> 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.</P> <P>2.5<E T="03">Ambient and machine temperature.</E> Using a temperature measuring device as specified in section 3.1 of this Appendix, maintain the room ambient air temperature at 75° ±5 °F, and ensure that the dishwasher and the test load are at room ambient temperature at the start of each test cycle.</P> <P>2.6<E T="03">Test Cycle and Load.</E> </P> <P>2.6.1<E T="03">Non-soil-sensing dishwashers to be tested at a nominal inlet temperature of 140 °F.</E> 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.</P> <P>2.6.2<E T="03">Non-soil-sensing dishwashers to be tested at a nominal inlet temperature of 50 °F or 120 °F.</E> 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.</P> <P>2.6.3<E T="03">Soil-sensing dishwashers to be tested at a nominal inlet temperature of 50 °F, 120 °F, or 140 °F.</E> 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.</P> <P>2.6.3.1For tests of the sensor heavy response, as defined in section 1.9 of this Appendix:</P> <P>(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, <E T="03">see</E> § 430.22) while the remaining place settings, serving pieces, and all flatware are not soiled.</P> <P>(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, <E T="03">see</E> § 430.22) while the remaining place settings, serving pieces, and all flatware are not soiled.</P> <P>2.6.3.2For tests of the sensor medium response, as defined in section 1.11 of this Appendix:</P> <P>(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, <E T="03">see</E> § 430.22) while the remaining place settings, serving pieces, and all flatware are not soiled.</P> <P>(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, <E T="03">see</E> § 430.22) while the remaining place settings, serving pieces and all flatware are not soiled.</P> <P>2.6.3.3For tests of the sensor light response, as defined in section 1.10 of this Appendix:<PRTPAGE P="173"/> </P> <P>(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, <E T="03">see</E> § 430.22) while the remaining place settings, serving pieces, and all flatware are not soiled.</P> <P>(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, <E T="03">see</E> § 430.22) while the remaining place settings, serving pieces, and all flatware are not soiled.</P> <P>2.7<E T="03">Test Load.</E> </P> <GPOTABLE CDEF="s55,r57,r54,xls30,xs29,10" COLS="6" OPTS="L2"> <BOXHD> <CHED H="1">Dishware/glassware/flatware item</CHED> <CHED H="1">Primary source</CHED> <CHED H="1">Description</CHED> <CHED H="1">Primary No.</CHED> <CHED H="1">Alternate source</CHED> <CHED H="1">Alternate source No.</CHED> </BOXHD> <ROW> <ENT I="01">Dinner Plate</ENT> <ENT>Corning Comcor <E T="51">®</E>/Corelle <E T="51">®</E> </ENT> <ENT>10 inch Dinner Plate</ENT> <ENT>6003893</ENT> </ROW> <ROW> <ENT I="01">Bread and Butter Plate</ENT> <ENT>Corning Comcor <E T="51">®</E>/Corelle <E T="51">®</E> </ENT> <ENT>6.75 inch Bread & Butter</ENT> <ENT>6003887</ENT> <ENT>Arzberg</ENT> <ENT>8500217100</ENT> </ROW> <ROW> <ENT I="01">Fruit Bowl</ENT> <ENT>Corning Comcor <E T="51">®</E>/Corelle <E T="51">®</E> </ENT> <ENT>10 oz. Dessert Bowl</ENT> <ENT>6003899</ENT> <ENT>Arzberg</ENT> <ENT>3820513100</ENT> </ROW> <ROW> <ENT I="01">Cup</ENT> <ENT>Corning Comcor <E T="51">®</E>/Corelle <E T="51">®</E> </ENT> <ENT>8 oz. Ceramic Cup</ENT> <ENT>6014162</ENT> <ENT>Arzberg</ENT> <ENT>3824732100</ENT> </ROW> <ROW> <ENT I="01">Saucer</ENT> <ENT>Corning Comcor <E T="51">®</E>/Corelle <E T="51">®</E> </ENT> <ENT>6 inch Saucer</ENT> <ENT>6010972</ENT> <ENT>Arzberg</ENT> <ENT>3824731100</ENT> </ROW> <ROW> <ENT I="01">Serving Bowl</ENT> <ENT>Corning Comcor <E T="51">®</E>/Corelle <E T="51">®</E> </ENT> <ENT>1 qt. Serving Bowl</ENT> <ENT>6003911</ENT> </ROW> <ROW> <ENT I="01">Platter</ENT> <ENT>Corning Comcor <E T="51">®</E>/Corelle <E T="51">®</E> </ENT> <ENT>9.5 inch Oval Platter</ENT> <ENT>6011655</ENT> </ROW> <ROW> <ENT I="01">Glass-Iced Tea</ENT> <ENT>Libbey</ENT> <ENT/> <ENT>551 HT</ENT> </ROW> <ROW> <ENT I="01">Flatware—Knife</ENT> <ENT>Oneida <E T="51">®</E>—Accent</ENT> <ENT/> <ENT>2619KPVF</ENT> </ROW> <ROW> <ENT I="01">Flatware—Dinner Fork</ENT> <ENT>Oneida <E T="51">®</E>—Accent</ENT> <ENT/> <ENT>2619FRSF</ENT> </ROW> <ROW> <ENT I="01">Flatware—Salad Fork</ENT> <ENT>Oneida <E T="51">®</E>—Accent</ENT> <ENT/> <ENT>2619FSLF</ENT> </ROW> <ROW> <ENT I="01">Flatware—Teaspoon</ENT> <ENT>Oneida <E T="51">®</E>—Accent</ENT> <ENT/> <ENT>2619STSF</ENT> </ROW> <ROW> <ENT I="01">Flatware—Serving Fork</ENT> <ENT>Oneida <E T="51">®</E>—Flight</ENT> <ENT/> <ENT>2865FCM</ENT> </ROW> <ROW> <ENT I="01">Flatware—Serving Spoon</ENT> <ENT>Oneida <E T="51">®</E>—Accent</ENT> <ENT/> <ENT>2619STBF</ENT> </ROW> </GPOTABLE> <P>2.8<E T="03">Detergent.</E> Use half the quantity of detergent specified according to ANSI/AHAM DW-1 (Incorporated by reference, <E T="03">see</E> § 430.22).</P> <P>2.9<E T="03">Testing requirements.</E> Provisions in this Appendix pertaining to dishwashers that operate with a nominal inlet temperature of 50 °F or 120 °F apply only to water-heating dishwashers as defined in section 1.19 of this Appendix.</P> <P>2.10<E T="03">Preconditioning requirements.</E> 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.</P> <HD SOURCE="HD2">3.Instrumentation</HD> <P>Test instruments must be calibrated annually.</P> <P>3.1<E T="03">Temperature measuring device.</E> The device must have an error no greater than ±1 °F over the range being measured.</P> <P>3.2<E T="03">Timer.</E> Time measurements for each monitoring period shall be accurate to within 2 seconds.</P> <P>3.3<E T="03">Water meter.</E> 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.</P> <P>3.4<E T="03">Water pressure gauge.</E> 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.</P> <P>3.5<E T="03">Watt-hour meter.</E> 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.</P> <P>3.6<E T="03">Standby wattmeter.</E> 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.</P> <P>3.7<E T="03">Standby watt-hour meter.</E> 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.</P> <HD SOURCE="HD2">4.Test Cycle and Measurements</HD> <P>4.1<E T="03">Test cycle.</E> 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.</P> <P>4.2<E T="03">Machine electrical energy consumption.</E> 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-<PRTPAGE P="174"/>hour meter as specified in section 3.5 of this Appendix.</P> <P>4.3<E T="03">Water consumption.</E> 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.</P> <P>4.4<E T="03">Standby power.</E> 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, S<E T="52">m</E>, 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, S<E T="52">m</E>, expressed in watts by dividing the accumulated energy consumption by the duration of the measurement period.</P> <HD SOURCE="HD2">5.Calculation of Derived Results From Test Measurements</HD> <P>5.1<E T="03">Machine energy consumption.</E> </P> <P>5.1.1<E T="03">Machine energy consumption for non-soil-sensing electric dishwashers.</E> 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.</P> <P>5.1.2<E T="03">Machine energy consumption for soil-sensing electric dishwashers.</E> The machine energy consumption for the sensor normal cycle, M, is defined as: </P> <FP SOURCE="FP-1">M = (M<E T="52">hr</E>×F<E T="52">hr</E>) + (M<E T="52">mr</E>×F<E T="52">mr</E>) + (M<E T="52">lr</E>×F<E T="52">lr</E>)</FP> <FP>where,</FP> <FP SOURCE="FP-1">M<E T="52">hr</E> = the value recorded in section 4.2 of this Appendix for the test of the sensor heavy response, expressed in kilowatt-hours per cycle,</FP> <FP SOURCE="FP-1">M<E T="52">mr</E> = the value recorded in section 4.2 of this Appendix for the test of the sensor medium response, expressed in kilowatt-hours per cycle,</FP> <FP SOURCE="FP-1">M<E T="52">lr</E> = the value recorded in section 4.2 of this Appendix for the test of the sensor light response, expressed in kilowatt-hours per cycle,</FP> <FP SOURCE="FP-1">F<E T="52">hr</E> = the weighting factor based on consumer use of heavy response = 0.05,</FP> <FP SOURCE="FP-1">F<E T="52">mr</E> = the weighting factor based on consumer use of medium response = 0.33,</FP> <FP SOURCE="FP-1">F<E T="52">lr</E> = the weighting factor based on consumer use of light response = 0.62.</FP> <P>5.2Drying energy.</P> <P>5.2.1<E T="03">Drying energy consumption for non-soil-sensing electric dishwashers.</E> 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, E<E T="52">D</E>, in kilowatt-hours per cycle.</P> <P>5.2.2<E T="03">Drying energy consumption for soil-sensing electric dishwashers.</E> The drying energy consumption, E<E T="52">D</E>, for the sensor normal cycle is defined as: </P> <FP SOURCE="FP-1">E<E T="52">D</E> = (E<E T="52">Dhr</E> + E<E T="52">Dmr</E> + E<E T="52">Dlr</E>)/3</FP> <FP>Where,</FP> <FP SOURCE="FP-1">E<E T="52">Dhr</E> = 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,</FP> <FP SOURCE="FP-1">E<E T="52">Dmr</E> = 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,</FP> <FP SOURCE="FP-1">E<E T="52">Dlr</E> = 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.</FP> <P>5.3<E T="03">Water consumption.</E> </P> <P>5.3.1<E T="03">Water consumption for non-soil-sensing dishwashers using electrically heated, gas-heated, or oil-heated water.</E> </P> <P>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.</P> <P>5.3.2<E T="03">Water consumption for soil-sensing dishwashers using electrically heated, gas-heated, or oil-heated water.</E> </P> <P>The water consumption for the sensor normal cycle, V, is defined as: </P> <FP SOURCE="FP-1">V = (V<E T="52">hr</E>×F<E T="52">hr</E>) + (V<E T="52">mr</E>×F<E T="52">mr</E>) + (V<E T="52">lr</E>×F<E T="52">lr</E>)</FP> <FP>Where,</FP> <FP SOURCE="FP-1">V<E T="52">hr</E> = the value recorded in section 4.3 of this Appendix for the test of the sensor heavy response, expressed in gallons per cycle,</FP> <FP SOURCE="FP-1">V<E T="52">mr</E> = the value recorded in section 4.3 of this Appendix for the test of the sensor medium response, expressed in gallons per cycle,</FP> <FP SOURCE="FP-1">V<E T="52">lr</E> = the value recorded in section 4.3 of this Appendix for the test of the sensor light response, expressed in gallons per cycle,</FP> <FP SOURCE="FP-1">F<E T="52">hr</E> = the weighting factor based on consumer use of heavy response = 0.05,</FP> <FP SOURCE="FP-1">F<E T="52">mr</E> = the weighting factor based on consumer use of medium response = 0.33,</FP> <FP SOURCE="FP-1">F<E T="52">lr</E> = the weighting factor based on consumer use of light response = 0.62.</FP> <P>5.4<E T="03">Water energy consumption for non-soil-sensing or soil-sensing dishwashers using electrically heated water.</E> </P> <P>5.4.1<E T="03">Dishwashers that operate with a nominal 140 °F inlet water temperature, only.</E> For <PRTPAGE P="175"/>the normal and truncated normal test cycle, calculate the water energy consumption, W, expressed in kilowatt-hours per cycle and defined as: </P> <FP SOURCE="FP-1">W = V×T×K</FP> <FP>Where,</FP> <FP SOURCE="FP-1">V = water consumption in gallons per cycle, as determined in section 5.3.1 of this Appendix,</FP> <FP SOURCE="FP-1">T = nominal water heater temperature rise = 90 °F,</FP> <FP SOURCE="FP-1">K = specific heat of water in kilowatt-hours per gallon per degree Fahrenheit = 0.0024.</FP> <P>5.4.2<E T="03">Dishwashers that operate with a nominal inlet water temperature of 120 °F.</E> For the normal and truncated normal test cycle, calculate the water energy consumption, W, expressed in kilowatt-hours per cycle and defined as: </P> <FP SOURCE="FP-1">W = V×T×K</FP> <FP>Where,</FP> <FP SOURCE="FP-1">V = water consumption in gallons per cycle, as determined in section 5.3.1 of this Appendix,</FP> <FP SOURCE="FP-1">T = nominal water heater temperature rise = 70 °F,</FP> <FP SOURCE="FP-1">K = specific heat of water in kilowatt-hours per gallon per degree Fahrenheit = 0.0024.</FP> <P>5.5<E T="03">Water energy consumption per cycle using gas-heated or oil-heated water.</E> </P> <P>5.5.1<E T="03">Dishwashers that operate with a nominal 140 °F inlet water temperature, only.</E> </P> <P>For each test cycle, calculate the water energy consumption using gas-heated or oil-heated water, W<E T="52">g</E>, expressed in Btu's per cycle and defined as: </P> <FP SOURCE="FP-1">W<E T="52">g</E> = V×T×C/e</FP> <FP>Where,</FP> <FP SOURCE="FP-1">V = reported water consumption in gallons per cycle, as determined in section 5.3.2 of this Appendix,</FP> <FP SOURCE="FP-1">T = nominal water heater temperature rise = 90 °F,</FP> <FP SOURCE="FP-1">C = specific heat of water in Btu's per gallon per degree Fahrenheit = 8.2,</FP> <FP SOURCE="FP-1">e = nominal gas or oil water heater recovery efficiency = 0.75.</FP> <P>5.5.2<E T="03">Dishwashers that operate with a nominal inlet water temperature of 120 °F.</E> For each test cycle, calculate the water energy consumption using gas heated or oil heated water, W<E T="52">g</E>, expressed in Btu's per cycle and defined as: </P> <FP SOURCE="FP-1">W<E T="03">g</E> = V×T×C/e</FP> <FP>Where,</FP> <FP SOURCE="FP-1">V = reported water consumption in gallons per cycle, as determined in section 5.3.2 of this Appendix,</FP> <FP SOURCE="FP-1">T = nominal water heater temperature rise = 70 °F,</FP> <FP SOURCE="FP-1">C = specific heat of water in Btu's per gallon per degree Fahrenheit = 8.2,</FP> <FP SOURCE="FP-1">e = nominal gas or oil water heater recovery efficiency = 0.75.</FP> <P>5.6<E T="03">Annual standby energy consumption.</E> Calculate the estimated annual standby energy consumption. First determine the number of standby hours per year, H<E T="52">s</E>, defined as: </P> <FP SOURCE="FP-1">H<E T="52">s</E> = H−(N×L).</FP> <FP>Where,</FP> <FP SOURCE="FP-1">H = the total number of hours per year = 8766 hours per year,</FP> <FP SOURCE="FP-1">N = the representative average dishwasher use of 215 cycles per year,</FP> <FP SOURCE="FP-1">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.</FP> <P>Then calculate the estimated annual standby power use, S, expressed in kilowatt-hours per year and defined as: </P> <FP SOURCE="FP-1">S = S<E T="52">m</E>×((H<E T="52">s</E>)/1000)</FP> <FP>Where,</FP> <FP SOURCE="FP-1">S<E T="52">m</E> = the average standby power in watts as determined in section 4.4 of this Appendix.</FP> <CITA>[68 FR 51900, Aug. 29, 2003]</CITA> </APPENDIX> <APPENDIX> <EAR>Pt. 430, Subpt. B, App. D</EAR> <HD SOURCE="HED">Appendix D to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Clothes Dryers</HD> <HD SOURCE="HD2">1. Definitions</HD> <P>1.1“AHAM” means the Association of Home Appliance Manufacturers.</P> <P>1.2“Bone dry” means a condition of a load of test clothes which has been dried in a dryer at maximum temperature for a minimum of 10 minutes, removed and weighed before cool down, and then dried again for 10-minute periods until the final weight change of the load is 1 percent or less.</P> <P>1.3“Compact” or compact size” means a clothes dryer with a drum capacity of less than 4.4 cubic feet.</P> <P>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.</P> <P>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.<PRTPAGE P="176"/> </P> <P>1.6“Drum capacity” means the volume of the drying drum in cubic feet.</P> <P>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.</P> <P>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.</P> <P>1.9“Standard size” means a clothes dryer with a drum capacity of 4.4 cubic feet or greater.</P> <P>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.</P> <P>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.</P> <P>1.12“Temperature sensing control” means a system which monitors dryer exhaust air temperature and automatically terminates the dryer cycle.</P> <P>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.</P> <HD SOURCE="HD2">2. Testing Conditions</HD> <P>2.1<E T="03">Installation.</E> 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.</P> <P>2.2<E T="03">Ambient temperature and humidity.</E> Maintain the room ambient air temperature at 75 ±3 °F and the room relative humidity at 50±10 percent relative humidity.</P> <P>2.3Energy supply.</P> <P>2.3.1<E T="03">Electrical supply.</E> 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.</P> <P>2.3.2<E T="03">Gas supply.</E> </P> <P>2.3.2.1<E T="03">Natural gas.</E> 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, <E T="03">H</E> <E T="52">n</E>2, 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.</P> <P>2.3.2.2<E T="03">Propane gas.</E> 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, <E T="03">H</E> <E T="52">p</E>, 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.</P> <P>2.4<E T="03">Instrumentation.</E> Perform all test measurements using the following instruments as appropriate.</P> <P>2.4.1<E T="03">Weighing scale for test cloth.</E> 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.</P> <P>2.4.1.2<E T="03">Weighing scale for drum capacity measurements.</E> 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.<PRTPAGE P="177"/> </P> <P>2.4.2<E T="03">Kilowatt-hour meter.</E> 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.</P> <P>2.4.3<E T="03">Gas meter.</E> 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.</P> <P>2.4.4<E T="03">Dry and wet bulb psychrometer.</E> The dry and wet bulb psychrometer shall have an error no greater than ±1 °F.</P> <P>2.4.5<E T="03">Temperature.</E> The temperature sensor shall have an error no greater than ±1 °F.</P> <P>2.4.6<E T="03">Standard Continuous Flow Calorimeter.</E> 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.</P> <P>2.5<E T="03">Lint trap.</E> Clean the lint trap thoroughly before each test run.</P> <P>2.6<E T="03">Test cloths.</E> </P> <P>2.6.1<E T="03">Energy test cloth.</E> The energy test cloth shall be clean and consist of the following:</P> <P>(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.</P> <P>(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.</P> <P>(c) The number of test runs on the same energy test cloth shall not exceed 25 runs.</P> <P>2.6.2<E T="03">Energy stuffer cloths.</E> 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.</P> <P>2.6.3<E T="03">Test Cloth Preconditioning.</E> </P> <P>A new test cloth load and energy stuffer cloths shall be treated as follows:</P> <P>(1) Bone dry the load to a weight change of ±1 percent, or less, as prescribed in Section 1.2.</P> <P>(2) Place test cloth load in a standard clothes washer set at the maximum water fill level. Wash the load for 10 minutes in soft water (17 parts per million hardness or less), using 6.0 grams of AHAM Standard Test Detergent, IIA, per gallon of water. Wash water temperature is to controlled at 140°±5 °F (60°±2.7 °C). Rinse water temperature is to be controlled at 100°±5 °F (37.7±2.7 °C).</P> <P>(3) Rinse the load again at the same water temperature.</P> <P>(4) Bone dry the load as prescribed in Section 1.2 and weigh the load.</P> <P>(5) This procedure is repeated until there is a weight change of one percent or less.</P> <P>(6) A final cycle is to be a hot water wash with no detergent, followed by two warm water rinses.</P> <P>2.7<E T="03">Test loads.</E> </P> <P>2.7.1<E T="03">Compact size dryer load.</E> Prepare a bone-dry test load of energy cloths which weighs 3.00 pounds ±.03 pounds. Adjustments to the test load to achieve the proper weight can be made by the use of energy stuffer cloths, with no more than five stuffer cloths per load. Dampen the load by agitating it in water whose temperature is 100° ±5 °F and consists of 0 to 17 parts per million hardness for approximately two minutes in order to saturate the fabric. Then, extract water from the wet test load by spinning the load until the moisture content of the load is between 66.5 percent to 73.5 percent of the bone-dry weight of the test load.</P> <P>2.7.2<E T="03">Standard size dryer load.</E> Prepare a bone-dry test load of energy cloths which weighs 7.00 pounds ±.07 pounds. Adjustments to the test load to achieve the proper weight can be made by the use of energy stuffer cloths, with no more than five stuffer cloths per load. Dampen the load by agitating it in water whose temperature is 100° ±5 °F and consists of 0 to 17 parts per million hardness for approximately two minutes in order to saturate the fabric. Then, extract water from the wet test load by spinning the load until the moisture content of the load is between 66.5 percent to 73.5 percent of the bone-dry weight of the test load.</P> <P>2.7.3<E T="03">Method of loading.</E> 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.</P> <P>2.8<E T="03">Clothes dryer preconditioning.</E> Before any test cycle, operate the dryer without a test load in the non-heat mode for 15 minutes or until the discharge air temperature is varying less than 1 °F for 10 minutes, which ever is longer, in the test installation location with the ambient conditions within the specified rest condition tolerances of 2.2.</P> <HD SOURCE="HD2">3. Test Procedures and Measurements</HD> <P>3.1<E T="03">Drum capacity.</E> 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 <PRTPAGE P="178"/>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: </P> <FP> <E T="03">C=w/d</E> </FP> <FP SOURCE="FP1-2"> <E T="03">C=</E> capacity in cubic feet.</FP> <FP SOURCE="FP1-2"> <E T="03">w=</E> weight of water in pounds.</FP> <FP SOURCE="FP1-2"> <E T="03">d=</E> density of water at the measured temperature in pounds per cubic feet.</FP> <P>3.2<E T="03">Dryer loading.</E> Load the dryer as specified in 2.7.</P> <P>3.3<E T="03">Test cycle.</E> 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.</P> <P>3.4<E T="03">Data recording.</E> Record for each test cycle:</P> <P>3.4.1Bone-dry weight of the test load described in 2.7.</P> <P>3.4.2Moisture content of the wet test load before the test, as described in 2.7.</P> <P>3.4.3Moisture content of the dry test load obtained after the test described in 3.3.</P> <P>3.4.4Test room conditions, temperature and percent relative humidity described in 2.2.</P> <P>3.4.5For electric dryers—the total kilowatt-hours of electric energy, E<E T="52">t</E>, consumed during the test described in 3.3.</P> <P>3.4.6For gas dryers:</P> <P>3.4.6.1Total kilowatt-hours of electrical energy, E<E T="52">te</E>, consumed during the test described in 3.3.</P> <P>3.4.6.2Cubic feet of gas per cycle, E<E T="52">tg</E>, consumed during the test described in 3.3.</P> <P>3.4.6.3On gas dryers using a continuously burning pilot light—the cubic feet of gas, E<E T="52">pg</E>, consumed by the gas pilot light in one hour.</P> <P>3.4.6.4Correct 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.</P> <P>3.5<E T="03">Test for automatic termination field use factor credits.</E> 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.</P> <HD SOURCE="HD2">4. Calculation of Derived Results From Test Measurements</HD> <P>4.1<E T="03">Total per-cycle electric dryer energy consumption.</E> Calculate the total electric dryer energy consumption per cycle, E<E T="52">ce</E> expressed in kilowatt-hours per cycle and defined as: </P> <FP SOURCE="FP-1"> <E T="03">E</E> <E T="52">ce</E>=[66/<E T="03">W</E> <E T="54">w</E>−<E T="03">W</E> <E T="54">d</E>)]×<E T="03">E</E> <E T="54">tt</E>×<E T="03">FU</E> </FP> <FP SOURCE="FP1-2"> <E T="03">E</E> <E T="54">t</E>=the energy recorded in 3.4.5.</FP> <FP SOURCE="FP1-2">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.</FP> <FP SOURCE="FP1-2">FU=Field use factor.</FP> <FP SOURCE="FP1-2">=1.18 for time termination control systems.</FP> <FP SOURCE="FP1-2">=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.</FP> <FP SOURCE="FP1-2">W<E T="52">w</E>=the moisture content of the wet test load as recorded in 3.4.2.</FP> <FP SOURCE="FP1-2">W<E T="52">d</E>=the moisture content of the dry test load as recorded in 3.4.3.</FP> <P>4.2<E T="03">Per-cycle gas dryer electrical energy consumption.</E> Calculate the gas dryer electrical energy consumption per cycle, <E T="03">E</E> <E T="52">ge</E>, expressed in kilowatt-hours per cycle and defined as: </P> <FP SOURCE="FP-1"> <E T="03">E</E> <E T="04">ge</E>=[<E T="03">66/(W</E> <E T="54">w</E> <E T="03">−W</E> <E T="54">d</E>)]×<E T="03">E</E> <E T="54">te</E> <E T="03">×FU</E> </FP> <FP SOURCE="FP1-2"> <E T="03">E</E> <E T="04">te</E>=the energy recorded in 3.4.6.1</FP> <FP SOURCE="FP-1"> <E T="03">FU</E>, 66, <E T="03">W</E> <E T="54">w</E>, <E T="03">W</E> <E T="54">d</E> as defined in 4.1</FP> <P>4.3<E T="03">Per-cycle gas dryer gas energy consumption.</E> Calculate the gas dryer gas energy consumption per cycle, <E T="03">E</E> <E T="54">ge.</E> expressed in Btu's per cycle as defined as: </P> <FP SOURCE="FP-1"> <E T="03">E</E> <E T="04">gg</E>=[<E T="03">66/(W</E> <E T="54">w</E> <E T="03">−W</E> <E T="54">d</E>)]×<E T="03">E</E> <E T="54">tg</E> <E T="03">×FU×GEF</E> </FP> <FP SOURCE="FP1-2"> <E T="03">E</E> <E T="04">tg</E>=the energy recorded in 3.4.6.2</FP> <FP SOURCE="FP1-2"> <E T="03">GEF</E>=corrected gas heat value (Btu per cubic feet) as defined in 3.4.6.4</FP> <FP SOURCE="FP1-2"> <E T="03">FU</E>, 66, <E T="03">W</E> <E T="54">w</E> <E T="03">W</E> <E T="54">d</E> as defined in 4.1</FP> <P>4.4<E T="03">Per-cycle gas dryer continuously burning pilot light gas energy consumption.</E> Calculate the gas dryer continuously burning pilot light gas energy consumption per cycle, <E T="03">E</E> <E T="54">up</E> expressed in Btu's per cycle and defined as: </P> <FP SOURCE="FP-1"> <E T="03">E</E> <E T="54">up</E> <E T="03">=E</E> <E T="54">pg</E> <E T="03">×(8760−140/416)×GEF</E> </FP> <FP SOURCE="FP1-2"> <E T="03">E</E> <E T="54">pg</E>=the energy recorded in 3.4.6.3</FP> <FP SOURCE="FP1-2">8760=number of hours in a year</FP> <FP SOURCE="FP1-2">416=representative average number of clothes dryer cycles in a year</FP> <FP SOURCE="FP1-2">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)</FP> <FP SOURCE="FP1-2"> <E T="03">GEF</E> as defined in 4.3</FP> <P>4.5<E T="03">Total per-cycle gas dryer gas energy consumption expressed in Btu's.</E> Calculate the total gas dryer energy consumption per cycle, <E T="03">E</E> <E T="54">g</E>, expressed in Btu's per cycle and defined as: </P> <FP SOURCE="FP-1"> <E T="03">E</E> <E T="54">g</E> <E T="03">=E</E> <E T="54">gg</E> <E T="03">+E</E> <E T="54">up</E> </FP> <FP SOURCE="FP1-2"> <E T="03">E</E> <E T="54">gg</E> as defined in 4.3</FP> <FP SOURCE="FP1-2"> <E T="03">E</E> <E T="54">up</E> as defined in 4.4<PRTPAGE P="179"/> </FP> <P>4.6<E T="03">Total per-cycle gas dryer energy consumption expressed in kilowatt-hours.</E> Calculate the total gas dryer energy consumption per cycle, <E T="03">E</E> <E T="54">cg</E>, expressed in kilowatt-hours per cycle and defined as: </P> <FP SOURCE="FP-1"> <E T="03">E</E> <E T="54">cg</E> <E T="03">=E</E> <E T="54">ge</E> <E T="03">+(E</E> <E T="54">g</E> <E T="03">/3412 Btu/k Wh)</E> </FP> <FP SOURCE="FP1-2"> <E T="03">E</E> <E T="54">ge</E> as defined in 4.2</FP> <FP SOURCE="FP1-2"> <E T="03">E</E> <E T="54">g</E> as defined in 4.5</FP> <CITA>[46 FR 27326, May 19, 1981]</CITA> </APPENDIX> <APPENDIX> <EAR>Pt. 430, Subpt. B, App. E</EAR> <HD SOURCE="HED">Appendix E to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Water Heaters</HD> <HD SOURCE="HD2">1. Definitions</HD> <P>1.1<E T="03">Cut-in</E> 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.</P> <P>1.2<E T="03">Cut-out</E> 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.</P> <P>1.3<E T="03">Design Power Rating</E> 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.</P> <P>1.4<E T="03">Energy Factor</E> means a measure of water heater overall efficiency.</P> <P>1.5<E T="03">First-Hour Rating</E> 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.</P> <P>1.6<E T="03">Heat Trap</E> 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.</P> <P>1.7<E T="03">Instantaneous Water Heaters</E> </P> <P>1.7.1<E T="03">Electric Instantaneous Water Heater</E> Reserved.</P> <P>1.7.2<E T="03">Gas Instantaneous Water Heater</E> 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 °F (82 °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.</P> <P>1.8<E T="03">Maximum gpm (L/min) Rating</E> 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 °F (42.8 °C) during steady state operation.</P> <P>1.9<E T="03">Rated Storage Volume</E> means the water storage capacity of a water heater, in gallons (liters), as specified by the manufacturer.</P> <P>1.10<E T="03">Recovery Efficiency</E> means the ratio of energy delivered to the water to the energy content of the fuel consumed by the water heater.</P> <P>1.11<E T="03">Standby</E> 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: τ<E T="52">stby,1</E> 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; τ<E T="52">stby,2</E> represents the total time during the 24-hour simulated use test when water is not being withdrawn from the water heater.</P> <P>1.12<E T="03">Storage-type Water Heaters</E> </P> <P>1.12.1<E T="03">Electric Storage-type Water Heater</E> 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 °F (82 °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).</P> <P>1.12.2<E T="03">Gas Storage-type Water Heater</E> 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 °F (82 °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).</P> <P>1.12.3<E T="03">Heat Pump Water Heater</E> 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 °F (82 °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 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.</P> <P>a. Heat Pump Water Heater with Storage Tank means an air-to-water heat pump sold <PRTPAGE P="180"/>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.</P> <P>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.</P> <P>1.12.4<E T="03">Oil Storage-type Water Heater</E> 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 °F (82 °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.</P> <P>1.12.5<E T="03">Storage-type Water Heater of More than 2 Gallons (7.6 Liters) and Less than 20 Gallons (76 Liters).</E> Reserved.</P> <P>1.13<E T="03">ASHRAE Standard 41.1-86</E> 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.</P> <P>1.14<E T="03">ASTM-D-2156-80</E> 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”.</P> <P>1.15<E T="03">Symbol Usage</E> The following identity relationships are provided to help clarify the symbology used throughout this procedure: </P> <FP SOURCE="FP-1"> <E T="03">C</E> <E T="52">p</E> specific heat capacity of water</FP> <FP SOURCE="FP-1"> <E T="03">E</E> <E T="52">annual</E> annual energy consumption of a water heater</FP> <FP SOURCE="FP-1"> <E T="03">E</E> <E T="52">f</E> energy factor of a water heater</FP> <FP SOURCE="FP-1"> <E T="03">F</E> <E T="52">hr</E> first-hour rating of a storage-type water heater</FP> <FP SOURCE="FP-1"> <E T="03">F</E> <E T="52">max</E> maximum gpm (L/min) rating of an instantaneous water heater rated at a temperature rise of 77 °F (42.8 °C) across the heater</FP> <FP SOURCE="FP-1"> <E T="03">i</E> a subscript to indicate an <E T="03">i</E>th draw during a test</FP> <FP SOURCE="FP-1"> <E T="03">M</E> <E T="52">i</E> mass of water removed during the <E T="03">i</E>th draw (i=1 to 6) of the 24-hr simulated use test</FP> <FP SOURCE="FP-1"> <E T="03">M*</E> <E T="52">i</E> for storage-type water heaters, mass of water removed during the <E T="03">i</E>th draw (i=1 to n) during the first-hour rating test</FP> <FP SOURCE="FP-1"> <E T="03">M</E> <E T="52">10m</E> for instantaneous water heaters, mass of water removed continuously during a 10-minute interval in the maximum gpm (L/min) rating test</FP> <FP SOURCE="FP-1"> <E T="03">n</E> for storage-type water heaters, total number of draws during the first-hour rating test</FP> <FP SOURCE="FP-1"> <E T="03">Q</E> total fossil fuel and/or electric energy consumed during the entire 24-hr simulated use test</FP> <FP SOURCE="FP-1"> <E T="03">Q</E> <E T="52">d</E> daily water heating energy consumption adjusted for net change in internal energy</FP> <FP SOURCE="FP-1"> <E T="03">Q</E> <E T="52">da</E> adjusted daily water heating energy consumption with adjustment for variation of tank to ambient air temperature difference from nominal value</FP> <FP SOURCE="FP-1"> <E T="03">Q</E> <E T="52">dm</E> overall adjusted daily water heating energy consumption including Q<E T="52">da</E> and Q<E T="52">HWD</E> </FP> <FP SOURCE="FP-1"> <E T="03">Q</E> <E T="52">hr</E> hourly standby losses</FP> <FP SOURCE="FP-1"> <E T="03">Q</E> <E T="52">HW</E> daily energy consumption to heat water over the measured average temperature rise across the water heater</FP> <FP SOURCE="FP-1"> <E T="03">Q</E> <E T="52">HWD</E> adjustment to daily energy consumption, Q<E T="52">hw</E>, due to variation of the temperature rise across the water heater not equal to the nominal value of 77 °F (42.8 °C)</FP> <FP SOURCE="FP-1"> <E T="03">Q</E> <E T="52">r</E> 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</FP> <FP SOURCE="FP-1"> <E T="03">Q</E> <E T="52">r, max</E> 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</FP> <FP SOURCE="FP-1"> <E T="03">Q</E> <E T="52">r, min</E> 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</FP> <FP SOURCE="FP-1"> <E T="03">Q</E> <E T="52">stby</E> total energy consumed by the water heater during the standby time interval τ<E T="52">stby, 1</E> </FP> <FP SOURCE="FP-1"> <E T="03">Q</E> <E T="52">su</E> 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</FP> <FP SOURCE="FP-1"> <E T="03">T</E> <E T="52">min</E> for modulating instantaneous water heaters, steady state outlet water temperature at the minimum fuel input rate</FP> <FP SOURCE="FP-1"> <E T="03">T<AC T="8"/> </E> <E T="52">0</E> mean tank temperature at the beginning of the 24-hr simulated use test</FP> <FP SOURCE="FP-1"> <E T="03">T<AC T="8"/> </E> <E T="52">24</E> mean tank temperature at the end of the 24-hr simulated use test</FP> <FP SOURCE="FP-1"> <E T="03">T<AC T="8"/> </E> <E T="52">a, stby</E> average ambient air temperature during standby periods of the 24-hr use test</FP> <FP SOURCE="FP-1"> <E T="03">T<AC T="8"/> </E> <E T="52">del</E> for instantaneous water heaters, average outlet water temperature during a 10-minute continuous draw interval in the maximum gpm (L/min) rating test</FP> <FP SOURCE="FP-1"> <E T="03">T<AC T="8"/> </E> <E T="52">del, i</E> average outlet water temperature during the <E T="03">i</E>th draw of the 24-hr simulated use test</FP> <FP SOURCE="FP-1">T<AC T="8"/> <E T="52">in</E> for instantaneous water heaters, average inlet water temperature during a 10-minute continuous draw interval in the maximum gpm (L/min) rating test</FP> <FP SOURCE="FP-1"> <E T="03">T<AC T="8"/> </E> <E T="52">in, i</E> average inlet water temperature during the <E T="03">i</E>th draw of the 24-hr simulated use test</FP> <FP SOURCE="FP-1"> <E T="03">T<AC T="8"/> </E> <E T="52">max, 1</E> maximum measured mean tank temperature after cut-out following the first draw of the 24-hr simulated use test</FP> <FP SOURCE="FP-1"> <E T="03">T<AC T="8"/> </E> <E T="52">stby</E> average storage tank temperature during the standby period τ<E T="52">stby, 2</E> of the 24-hr use test</FP> <FP SOURCE="FP-1"> <E T="03">T<AC T="8"/> </E> <E T="52">su</E> maximum measured mean tank temperature after cut-out following the sixth draw of the 24-hr simulated use test<PRTPAGE P="181"/> </FP> <FP SOURCE="FP-1"> <E T="03">T<AC T="8"/> </E> <E T="52">t, stby</E> average storage tank temperature during the standby period τ<E T="52">stby</E>, 1 of the 24-hr use test</FP> <FP SOURCE="FP-1"> <E T="03">T<AC T="8"/>*</E> <E T="52">del, i</E> for storage-type water heaters, average outlet water temperature during the <E T="03">i</E>th draw (i=1 to n) of the first-hour rating test</FP> <FP SOURCE="FP-1"> <E T="03">T*</E> <E T="52">max, i</E> for storage-type water heaters, maximum outlet water temperature observed during the <E T="03">i</E>th draw (i=1 to n) of the first-hour rating test</FP> <FP SOURCE="FP-1"> <E T="03">T*</E> <E T="52">min, i</E> for storage-type water heaters, minimum outlet water temperature to terminate the <E T="03">i</E>th draw during the first-hour rating test</FP> <FP SOURCE="FP-1"> <E T="03">UA</E> standby loss coefficient of a storage-type water heater</FP> <FP SOURCE="FP-1"> <E T="03">V</E> <E T="52">i</E> volume of water removed during the <E T="03">i</E>th draw (i=1 to 6) of the 24-hr simulated use test</FP> <FP SOURCE="FP-1"> <E T="03">V*</E> <E T="52">i</E> volume of water removed during the <E T="03">i</E>th draw (i=1 to n) during the first-hour rating test</FP> <FP SOURCE="FP-1"> <E T="03">V</E> <E T="52">10m</E> for instantaneous water heaters, volume of water removed continuously during a 10-minute interval in the maximum gpm (L/min) rating test</FP> <FP SOURCE="FP-1"> <E T="03">V</E> <E T="52">max</E> steady state water flow rate of an instantaneous water heater at the rated input to give a discharge temperature of 135 °F ±5 °F (57.2 °C ±2.8 °C)</FP> <FP SOURCE="FP-1"> <E T="03">V</E> <E T="52">min</E> steady state water flow rate of a modulating instantaneous water heater at the minimum input to give a discharge temperature of T<E T="52">min</E> up to 135 °F ±5 °F (57.2 °C ±2.8 °C)</FP> <FP SOURCE="FP-1"> <E T="03">V</E> <E T="52">st</E> measured storage volume of the storage tank</FP> <FP SOURCE="FP-1"> <E T="03">W</E> <E T="52">f</E> weight of storage tank when completely filled with water</FP> <FP SOURCE="FP-1"> <E T="03">W</E> <E T="52">t</E> tare weight of storage tank when completely empty of water</FP> <FP SOURCE="FP-1"> <E T="51">n</E> <E T="52">r</E> recovery efficiency</FP> <FP SOURCE="FP-1"> <E T="51">p</E> density of water</FP> <FP SOURCE="FP-1">τ<E T="52">stby, 1</E> 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</FP> <FP SOURCE="FP-1">τ<E T="52">stby, 2</E> overall standby periods when no water is withdrawn during the 24-hr simulated use test</FP> <P>1.16 <E T="03">Tabletop water heater</E> 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.</P> <HD SOURCE="HD2">2. Test Conditions</HD> <P>2.1<E T="03">Installation Requirements.</E> Tests shall be performed with the water heater and instrumentation installed in accordance with Section 4 of this appendix.</P> <P>2.2<E T="03">Ambient Air Temperature.</E> The ambient air temperature shall be maintained between 65.0 °F and 70.0 °F (18.3 °C and 21.1 °C) on a continuous basis. For heat pump water heaters, the dry bulb temperature shall be maintained at 67.5 °F ±1 °F (19.7 °C ±0.6 °C) and, in addition, the relative humidity shall be maintained between 49% and 51%.</P> <P>2.3<E T="03">Supply Water Temperature.</E> The temperature of the water being supplied to the water heater shall be maintained at 58 °F ±2 °F (14.4 °C ±1.1 °C) throughout the test.</P> <P>2.4<E T="03">Storage Tank Temperature.</E> The average temperature of the water within the storage tank shall be set to 135 °F ±5 °F (57.2 °C ±2.8 °C).</P> <P>2.5<E T="03">Supply Water Pressure.</E> 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.</P> <P>2.6<E T="03">Electrical and/or Fossil Fuel Supply.</E> </P> <P>2.6.1<E T="03">Electrical.</E> 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.</P> <P>2.6.2<E T="03">Natural Gas.</E> 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).</P> <P>2.6.3<E T="03">Propane Gas.</E> 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).</P> <P>2.6.4<E T="03">Fuel Oil Supply.</E> 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).</P> <HD SOURCE="HD2">3. Instrumentation</HD> <P>3.1<E T="03">Pressure Measurements.</E> Pressure-measuring instruments shall have an error no greater than the following values:</P> <GPOTABLE CDEF="s80,r100,r120" COLS="3" OPTS="L2"> <BOXHD> <CHED H="1">Item measured</CHED> <CHED H="1">Instrument accuracy</CHED> <CHED H="1">Instrument precision</CHED> </BOXHD> <ROW> <ENT I="01">Gas pressure</ENT> <ENT>±0.1 inch of water column (±0.025 kPa)</ENT> <ENT>±0.05 inch of water column (±0.012 kPa).</ENT> </ROW> <ROW> <PRTPAGE P="182"/> <ENT I="01">Atmospheric pressure</ENT> <ENT>±0.1 inch of mercury column (±0.34 kPa)</ENT> <ENT>±0.05 inch of mercury column (±0.17 kPa).</ENT> </ROW> <ROW> <ENT I="01">Water pressure</ENT> <ENT>±1.0 pounds per square inch (±6.9 kPa)</ENT> <ENT>±0.50 pounds per square inch (±3.45 kPa).</ENT> </ROW> </GPOTABLE> <P>3.2<E T="03">Temperature Measurement</E> </P> <P>3.2.1<E T="03">Measurement.</E> Temperature measurements shall be made in accordance with the Standard Measurement Guide: Section on Temperature Measurements, ASHRAE Standard 41.1-86.</P> <P>3.2.2<E T="03">Accuracy and Precision.</E> The accuracy and precision of the instruments, including their associated readout devices, shall be within the following limits:</P> <GPOTABLE CDEF="s100,r100,xs100" COLS="3" OPTS="L2"> <BOXHD> <CHED H="1">Item measured</CHED> <CHED H="1">Instrument accuracy</CHED> <CHED H="1">Instrument precision</CHED> </BOXHD> <ROW> <ENT I="01">Air dry bulb temperature</ENT> <ENT>±0.2 °F (±0.1 °C)</ENT> <ENT>±0.1 °F (±0.06 °C)</ENT> </ROW> <ROW> <ENT I="01">Air wet bulb temperature</ENT> <ENT>±0.2 °F (±0.1 °C)</ENT> <ENT>±0.1 °F (±0.06 °C)</ENT> </ROW> <ROW> <ENT I="01">Inlet and outlet water temperatures</ENT> <ENT>±0.2 °F (±0.1 °C)</ENT> <ENT>±0.1 °F (±0.06 °C)</ENT> </ROW> <ROW> <ENT I="01">Storage tank temperatures</ENT> <ENT>±0.5 °F (±0.3 °C)</ENT> <ENT>±0.25 °F (±0.14 °C)</ENT> </ROW> </GPOTABLE> <P>3.2.3<E T="03">Scale Division.</E> In no case shall the smallest scale division of the instrument or instrument system exceed 2 times the specified precision.</P> <P>3.2.4<E T="03">Temperature Difference.</E> Temperature difference between the entering and leaving water may be measured with any of the following: </P> <FP SOURCE="FP-1">a. A thermopile</FP> <FP SOURCE="FP-1">b. Calibrated resistance thermometers</FP> <FP SOURCE="FP-1">c. Precision thermometers</FP> <FP SOURCE="FP-1">d. Calibrated thermistors</FP> <FP SOURCE="FP-1">e. Calibrated thermocouples</FP> <FP SOURCE="FP-1">f. Quartz thermometers</FP> <P>3.2.5<E T="03">Thermopile Construction.</E> 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.</P> <P>3.2.6<E T="03">Time Constant.</E> The time constant of the instruments used to measure the inlet and outlet water temperatures shall be no greater than 5 seconds.</P> <P>3.3<E T="03">Liquid Flow Rate Measurement.</E> 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.</P> <P>3.4<E T="03">Electric Energy.</E> The electrical energy used shall be measured with an instrument and associated readout device that is accurate within ±1% of the reading.</P> <P>3.5<E T="03">Fossil Fuels.</E> 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.</P> <P>3.6<E T="03">Mass Measurements.</E> 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).</P> <P>3.7<E T="03">Heating Value.</E> 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.</P> <P>3.8<E T="03">Time.</E> The elapsed time measurements shall be measured with an instrument that is accurate within ±0.5 seconds per hour.</P> <P>3.9<E T="03">Volume.</E> Volume measurements shall be measured with an accuracy of ±2% of the total volume.</P> <HD SOURCE="HD2">4. Installation</HD> <P>4.1<E T="03">Water Heater Mounting.</E> A water heater designed to be freestanding shall be placed on a <FR>3/4</FR> inch (2 cm) thick plywood platform supported by three 2 × 4 inch (5 cm × 10 cm) runners. If the water heater is not approved for installation on combustible flooring, suitable non-combustible material shall be placed between the water heater and the platform. Counter-top water heaters shall be placed against a simulated wall section. Wall-mounted water heaters shall be supported on a simulated wall in accordance with the manufacturer-published installation instructions. When a simulated wall is used, the recommended construction is 2 × 4 inch (5 cm × 10 cm) studs, faced with <FR>3/4</FR> 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 <FR>5/8</FR> inch (1.6 cm) shall be used to connect the <PRTPAGE P="183"/>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.</P> <P>4.2<E T="03">Water Supply.</E> 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.</P> <P>4.3<E T="03">Water Inlet and Outlet Configuration.</E> 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.</P> <P>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 T<E T="52">IN</E> and T<E T="52">OUT</E> 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.</P> <GPH DEEP="470" SPAN="2"> <PRTPAGE P="184"/> <GID>ER20JY98.005</GID> </GPH> <GPH DEEP="337" SPAN="2"> <PRTPAGE P="185"/> <GID>ER20JY98.006</GID> </GPH> <GPH DEEP="426" SPAN="2"> <PRTPAGE P="186"/> <GID>ER20JY98.007</GID> </GPH> <GPH DEEP="415" SPAN="2"> <PRTPAGE P="187"/> <GID>ER20JY98.008</GID> </GPH> <P>4.4<E T="03">Fuel and/or Electrical Power and Energy Consumption.</E> 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).</P> <P>4.5<E T="03">Internal Storage Tank Temperature Measurements.</E> 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 <PRTPAGE P="188"/>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 h<E T="71">÷</E>ft<E T="51">2÷</E> °F/Btu (0.7 and 1.4 m<E T="51">2÷</E> °C/W).</P> <P>4.6<E T="03">Ambient Air Temperature Measurement.</E> 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.</P> <P>4.7<E T="03">Inlet and Outlet Water Temperature Measurements.</E> 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.</P> <P>4.8<E T="03">Flow Control.</E> 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.</P> <P>4.9<E T="03">Flue Requirements.</E> </P> <P>4.9.1<E T="03">Gas-Fired Water Heaters.</E> 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.</P> <P>4.9.2<E T="03">Oil-Fired Water Heaters.</E> 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.</P> <P>4.10<E T="03">Heat Pump Water Heater Storage Tank.</E> 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.</P> <HD SOURCE="HD2">5. Test Procedures</HD> <P>5.1<E T="03">Storage-type Water Heaters, Including Heat Pump Water Heaters.</E> </P> <P>5.1.1<E T="03">Determination of Storage Tank Volume.</E> Determine the storage capacity, V<E T="52">st</E>, 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.</P> <P>5.1.2<E T="03">Setting the Thermostat.</E> </P> <P>5.1.2.1<E T="03">Single Thermostat Tanks.</E> 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 °F±5 °F (57.2 °C±2.8 °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 <PRTPAGE P="189"/>tank temperature after cut-out is 135 °F±5 °F (57.2 °C±2.8 °C).</P> <P>5.1.2.2<E T="03">Tanks with Two or More Thermostats.</E> 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 °F±5 °F (57.2 °C±2.8 °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 °F±5 °F (57.2 °C±2.8 °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 °F±5 °F (57.2 °C±2.8 °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 °F±5 °F (57.2 °C±2.8 °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.</P> <P>For heat pump water heaters that control an auxiliary resistive element, the thermostat shall be set in accordance with the manufacturer's installation instructions.</P> <P>5.1.3<E T="03">Power Input Determination.</E> 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 CO<E T="52">2</E> 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.</P> <P>5.1.4<E T="03">First-Hour Rating Test.</E> </P> <P>5.1.4.1<E T="03">General.</E> During hot water draws, remove water at a rate of 3.0±0.25 gallons per minute (11.4±0.95 liters per minute). Collect the water in a container that is large enough to hold the volume removed during an individual draw and suitable for weighing at the termination of each draw. Alternatively, a water meter may be used to directly measure the water volume(s) withdrawn.</P> <P>5.1.4.2<E T="03">Draw Initiation Criteria.</E> 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 °F±5 °F (57.2 °C±2.8 °C).</P> <P>5.1.4.3<E T="03">Test Sequence.</E> 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.</P> <P>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 (τ* = 0). (The superscript * is used to denote variables pertaining to the first-hour rating test.) Record the outlet water temperature beginning 15 seconds after the draw is initiated and at 5-second intervals thereafter until the draw is terminated. Determine the maximum outlet temperature that occurs during this first draw and record it as T*<E T="52">max, 1</E>. For the duration of this first draw and all successive draws, in addition, monitor the inlet temperature to the water heater to ensure that the required 58 °F±2 °F (14.4 °C±1.1 °C) test condition is met. Terminate the hot water draw when the outlet temperature decreases to T*<E T="52">max,1</E>−25 °F (T*<E T="52">max,1</E>−13.9 °C). Record this temperature as <PRTPAGE P="190"/>T*<E T="52">min,1</E>. Following draw termination, determine the average outlet water temperature and the mass or volume removed during this first draw and record them as T<AC T="8"/>*<E T="52">del,1</E> and M*<E T="52">1</E> or V*<E T="52">1</E>, respectively.</P> <P>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*<E T="52">max, i</E>, where the subscript i refers to the draw number. Terminate each hot water draw when the outlet temperature decreases to T*<E T="52">max, i</E>−25 °F (T*<E T="52">max, i</E>−13.9 °C). Record this temperature as T*<E T="52">min, i</E>. Calculate and record the average outlet temperature and the mass or volume removed during each draw (T<AC T="8"/>*<E T="52">del, i</E> and M*<E T="52">i</E> or V*<E T="52">i</E>, 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.</P> <P>If a draw is occurring at an elapsed time of one hour, continue this draw until the outlet temperature decreases to T*<E T="52">max, n</E>−25 °F (T*<E T="52">max, n</E> −13.9 °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*<E T="52">min, n</E>−1). For cases where the outlet temperature is close to T*<E T="52">min, n</E>−1, the final draw shall proceed for a minimum of 30 seconds. If an outlet temperature greater than T*<E T="52">min, n</E>−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*<E T="52">n</E> = 0 or V*<E T="52">n</E> = 0). After the final draw is terminated, calculate and record the average outlet temperature and the mass or volume removed during the draw (T<AC T="8"/>*<E T="52">del, n</E> and M*<E T="52">n</E> or V*<E T="52">n</E>, respectively).</P> <P>5.1.5<E T="03">24-Hour Simulated Use Test.</E> During the simulated use test, a total of 64.±3 1.0 gallons (243±3.8 liters) shall be removed. This value is referred to as the daily hot water usage in the following text.</P> <P>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.</P> <P>At this time, record the mean tank temperature (T<AC T="8"/> <E T="52">o</E>), 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 (τ) 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 τ = 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).</P> <P>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 (T<AC T="8"/> <E T="52">del, i</E> and T<AC T="8"/> <E T="52">in, i</E>). Determine and record the net mass or volume removed (M<E T="52">i</E> or V<E T="52">i</E> ), as appropriate, after each draw.</P> <P>At the end of the recovery period following the first draw, record the maximum mean tank temperature observed after cut-out, T<AC T="8"/> <E T="52">max, 1</E>, and the energy consumed by an electric resistance, gas or oil-fired water heater, Q<E T="52">r</E>. 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 Q<E T="52">r</E>.</P> <P>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, Q<E T="52">su</E>. 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 T<AC T="8"/> <E T="52">su</E>. 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 <PRTPAGE P="191"/>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, T<AC T="8"/> <E T="52">24</E>, 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 <E T="52">stby, 1</E>. Record the time during which water is not being withdrawn from the water heater during the entire 24-hour period as <E T="52">stby, 2</E>.</P> <P>5.2<E T="03">Instantaneous Gas and Electric Water Heaters</E> </P> <P>5.2.1<E T="03">Setting the Outlet Discharge Temperature.</E> 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 °F ±5 °F (57.2 °C ±2.8 °C) in accordance with the manufacturer's instructions. If the water heater is not capable of providing this discharge temperature when the flow rate is 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 V<E T="52">max</E>.</P> <P>5.2.2<E T="03">Additional Requirements for Variable Input Instantaneous Gas Water Heaters.</E> 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 °F ±5 °F (57.2 °C ±2.8 °C) while maintaining the minimum input rate. Record the corresponding flow rate as V<E T="52">min</E>. If an outlet temperature of 135 °F ±5 °F (57.2 °C ±2.8 °C) cannot be achieved at the minimum flow rate permitted by the instantaneous water heater, record the flow rate as V<E T="52">min</E> and the corresponding outlet temperature as T<E T="52">min</E>.</P> <P>5.2.3<E T="03">Maximum GPM Rating Test for Instantaneous Water Heaters.</E> 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.</P> <P>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, M<E T="52">10m</E>, in pounds (kilograms), or the volume of water, V<E T="52">10m</E>, in gallons (liters).</P> <P>5.2.4 <E T="03">24-hour Simulated Use Test for Gas Instantaneous Water Heaters.</E> </P> <P>5.2.4.1<E T="03">Fixed Input Instantaneous Water Heaters.</E> Establish normal operation with the discharge water temperature and flow rate set to values of 135 °F ±5 °F (57.2 °C ±2.8 °C) and V<E T="52">max</E> 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, τ, of 0. At elapsed time intervals of one, two, three, four, and five hours from τ = 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).</P> <P>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, Q<E T="52">r</E>. 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 τ = 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.</P> <P>5.2.4.2<E T="03">Variable Input Instantaneous Water Heaters.</E> 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, V<E T="52">max</E>, 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). <PRTPAGE P="192"/>The second three draws shall be conducted at V<E T="52">min</E>. If an outlet temperature of 135 °F ±5 °F (57.2 °C ±2.8 °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: </P> <GPH DEEP="33" SPAN="1"> <GID>ER11MY98.001</GID> </GPH> <FP>or</FP> <GPH DEEP="33" SPAN="1"> <GID>ER11MY98.002</GID> </GPH> <FP>where T<E T="52">min</E> is the outlet water temperature at the flow rate V<E T="52">min</E> 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<E T="52">÷</E>V<E T="52">4,5,6</E>) ±1.0 gallons</FP> <FP>((121.7 + 3 ÷ V<E T="52">4,5,6</E>) ±3.8 liters).</FP> <P>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, Q<E T="52">r, max</E>. 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 Q<E T="52">r,min</E>. 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 τ=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.</P> <HD SOURCE="HD2">6. Computations</HD> <P>6.1<E T="03">Storage Tank and Heat Pump Water Heaters.</E> </P> <P>6.1.1<E T="03">Storage Tank Capacity.</E> The storage tank capacity is computed using the following:</P> <GPH DEEP="30" SPAN="1"> <GID>ER11MY98.003</GID> </GPH> <FP>Where:</FP> <FP SOURCE="FP-1">V<E T="52">st</E> = the storage capacity of the water heater, gal (L).</FP> <FP SOURCE="FP-1">W<E T="52">f</E> = the weight of the storage tank when completely filled with water, lb (kg).</FP> <FP SOURCE="FP-1">W<E T="52">t</E> = the (tare) weight of the storage tank when completely empty, lb (kg).</FP> <FP SOURCE="FP-1">ρ = the density of water used to fill the tank measured at the temperature of the water, lb/gal (kg/L).</FP> <P>6.1.2.<E T="03">First-Hour Rating Computation.</E> 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,</P> <GPH DEEP="29" SPAN="1"> <GID>ER11MY98.004</GID> </GPH> <FP>Where:</FP> <FP SOURCE="FP-1">n = the number of draws that are completed during the first-hour rating test.</FP> <FP SOURCE="FP-1">V*<E T="52">i</E> = the volume of water removed during the <E T="03">ith</E> draw of the first-hour rating test, gal (L)</FP> <FP SOURCE="FP-1">or, if the mass of water is being measured,</FP> <GPH DEEP="29" SPAN="1"> <GID>ER11MY98.005</GID> </GPH> <FP>Where:</FP> <FP SOURCE="FP-1">M*<E T="52">i</E> = the mass of water removed during the ith draw of the first-hour rating test, lb (kg).</FP> <FP SOURCE="FP-1">ρ = the water density corresponding to the average outlet temperature measured during the <E T="03">ith</E> draw, (T<AC T="8"/>*<E T="52">del, I</E>), lb/gal (kg/L).</FP> <P>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</P> <GPH DEEP="35" SPAN="1"> <GID>ER11MY98.006</GID> </GPH> <FP>where <E T="03">n</E> and V*<E T="52">i</E> are the same quantities as defined above, and</FP> <FP SOURCE="FP-1">V*<E T="52">n</E> = the volume of water drawn during the nth (final) draw of the first-hour rating test, gal (L)</FP> <FP SOURCE="FP-1">T<AC T="8"/>*<E T="52">del,n−1</E> = the average water outlet temperature measured during the (<E T="03">n−1</E>)th draw of the first-hour rating test, °F (°C).</FP> <FP SOURCE="FP-1">T<AC T="8"/>*<E T="52">del,n</E> = the average water outlet temperature measured during the <E T="03">n</E>th (final) draw of the first-hour rating test, °F (°C).<PRTPAGE P="193"/> </FP> <FP SOURCE="FP-1">T<AC T="8"/>*<E T="52">min,n−1</E> = the minimum water outlet temperature measured during the (<E T="03">n−1</E>)th draw of the first-hour rating test, °F (°C).</FP> <P>6.1.3<E T="03">Recovery Efficiency.</E> The recovery efficiency for gas, oil, and heat pump storage-type water heaters is computed as:</P> <GPH DEEP="33" SPAN="2"> <GID>ER11MY98.007</GID> </GPH> <FP>Where:</FP> <FP SOURCE="FP-1">M<E T="52">1</E> = 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,</FP> <FP SOURCE="FP-1">M<E T="52">1</E> = V<E T="52">1</E> ρ<E T="52">1</E> </FP> <FP>Where:</FP> <FP SOURCE="FP-1">V<E T="52">1</E> = total volume removed during the first draw of the 24-hour simulated use test, gal (L).</FP> <FP SOURCE="FP-1">ρ<E T="52">1</E> = density of the water at the water temperature measured at the point where the flow volume is measured, lb/gal (kg/L).</FP> <FP SOURCE="FP-1">C<E T="52">p1</E> = specific heat of the withdrawn water, (T<AC T="8"/> <E T="52">del,1</E> + T<AC T="8"/> <E T="52">in,1</E>) 2, Btu/lb °F (kJ/kg °C).</FP> <FP SOURCE="FP-1">T<AC T="8"/> <E T="52">del,1</E> = average water outlet temperature measured during the first draw of the 24-hour simulated use test, °F (°C).</FP> <FP SOURCE="FP-1">T<AC T="8"/> <E T="52">in,1</E> = average water inlet temperature measured during the first draw of the 24-hour simulated use test, °F (°C).</FP> <FP SOURCE="FP-1">V<E T="52">st</E> = as defined in section 6.1.1.</FP> <FP SOURCE="FP-1">ρ<E T="52">2</E> = density of stored hot water, (T<AC T="8"/> <E T="52">max,1</E> + T<AC T="8"/> <E T="52">o</E>)/2, lb/gal (kg/L).</FP> <FP SOURCE="FP-1">C<E T="52">p2</E> = specific heat of stored hot water evaluated at (T<AC T="8"/> <E T="52">max,1</E> + T<AC T="8"/> <E T="52">o</E>) / 2, Btu/lb °F (kJ/kg<E T="52">2</E> °C).</FP> <FP SOURCE="FP-1">T<AC T="8"/> <E T="52">max,1</E> = maximum mean tank temperature recorded after cut-out following the first draw of the 24-hour simulated use test, °F (°C).</FP> <FP SOURCE="FP-1">T<AC T="8"/> <E T="52">o</E> = maximum mean tank temperature recorded prior to the first draw of the 24-hour simulated use test, °F (°C).</FP> <FP SOURCE="FP-1">Q<E T="52">r</E> = 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.)</FP> <P>The recovery efficiency for electric water heaters with immersed heating elements is assumed to be 98%.</P> <P>6.1.4<E T="03">Hourly Standby Losses.</E> The hourly standby energy losses are computed as:</P> <GPH DEEP="47" SPAN="1"> <GID>ER11MY98.008</GID> </GPH> <FP>Where:</FP> <P>Q<E T="52">hr</E> = the hourly standby energy losses of the water heater, Btu/h (kJ/h). </P> <FP SOURCE="FP-1">Q<E T="52">stby</E> = 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).</FP> <FP SOURCE="FP-1">V<E T="52">st</E> = as defined in section 6.1.1.</FP> <FP SOURCE="FP-1">ρ = density of stored hot water, (T<AC T="8"/> <E T="52">24</E> + T<AC T="8"/> <E T="52">su</E>) / 2, lb/gal (kg/L).</FP> <FP SOURCE="FP-1">C<E T="52">p</E> = specific heat of the stored water, (T<AC T="8"/> <E T="52">24</E> + T<AC T="8"/> <E T="52">su</E>) / 2, Btu/lb÷°F (kJ/kg÷°C).</FP> <FP SOURCE="FP-1">T<AC T="8"/> <E T="52">24</E> = the mean tank temperature at the end of the 24-hour simulated use test, °F (°C).</FP> <FP SOURCE="FP-1">T<AC T="8"/> <E T="52">su</E> = the maximum mean tank temperature observed after the sixth draw, °F (°C).</FP> <FP SOURCE="FP-1">η<E T="52">r</E> = as defined in section 6.1.3.</FP> <FP SOURCE="FP-1">τ<E T="52">stby, 1</E> = 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.</FP> <P>The standby heat loss coefficient for the tank is computed as:</P> <GPH DEEP="28" SPAN="1"> <GID>ER11MY98.009</GID> </GPH> <FP>Where:</FP> <FP SOURCE="FP-1">UA = standby heat loss coefficient of the storage tank, Btu/h÷°F (kJ/h÷°C).</FP> <FP SOURCE="FP-1">Q<E T="52">hr</E> = as defined in this section.</FP> <FP SOURCE="FP-1">T<AC T="8"/> <E T="52">t, stby,1</E>= 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, °F (°C).</FP> <FP SOURCE="FP-1">T<AC T="8"/> <E T="52">a, stby,1</E>= 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, °F (°C).</FP> <P>6.1.5<E T="03">Daily Water Heating Energy Consumption.</E> The daily water heating energy consumption, Q<E T="52">d</E>, is computed as:</P> <GPH DEEP="32" SPAN="1"> <GID>ER11MY98.010</GID> </GPH> <FP>Where:</FP> <PRTPAGE P="194"/> <FP SOURCE="FP-1">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.)</FP> <FP SOURCE="FP-1">V<E T="52">st</E> = as defined in section 6.1.1.</FP> <FP SOURCE="FP-1">ρ= density of the stored hot water, (T<AC T="8"/> <E T="52">24</E> + T<AC T="8"/> <E T="52">o</E>) / 2, lb/gal (kg/L).</FP> <FP SOURCE="FP-1">C<E T="52">p</E> = specific heat of the stored water, (T<AC T="8"/> <E T="52">24</E> + T<AC T="8"/> <E T="52">o</E>) / 2, Btu/lb÷°F (kJ/kg÷°C).</FP> <FP SOURCE="FP-1">T<AC T="8"/> <E T="52">24</E> = mean tank temperature at the end of the 24-hour simulated use test, °F (°C).</FP> <FP SOURCE="FP-1">T<AC T="8"/> <E T="52">o</E> = mean tank temperature at the beginning of the 24-hour simulated use test, recorded one minute before the first draw is initiated, °F (°C).</FP> <FP SOURCE="FP-1">η<E T="52">r</E> = as defined in section 6.1.3.</FP> <P>6.1.6<E T="03">Adjusted Daily Water Heating Energy Consumption.</E> The adjusted daily water heating energy consumption, Q<E T="52">da</E>, takes into account that the temperature difference between the storage tank and surrounding ambient air may not be the nominal value of 67.5 °F (135 °F-67.5 °F) or 37.5 °C (57.2 °C-19.7 °C) due to the 10 °F (5.6 °C) allowable variation in storage tank temperature, 135 °F ±5 °F (57.2 °C ±2.8 °C), and the 5 °F (2.8 °C) allowable variation in surrounding ambient temperature 65 °F (18.3 °C) to 70 °F (21.1 °C). The adjusted daily water heating energy consumption is computed as: </P> <FP SOURCE="FP-1"> <E T="03">Q</E> <E T="54">da</E> = <E T="03">Q</E> <E T="54">D</E> − <E T="03">[(T<AC T="8"/> </E> <E T="54">stby, 2</E> − <E T="03">T<AC T="8"/> </E> <E T="54">a, stby,2</E> <E T="03">) − (135 °F − 67.5 °F)] UA</E>τ<E T="54">stby, 2</E> </FP> <FP SOURCE="FP-1"> <E T="03">or Q</E> <E T="54">da</E> = <E T="03">Q</E> <E T="54">D</E> − <E T="03">[(T<AC T="8"/> </E> <E T="54">stby, 2</E> − <E T="03">T<AC T="8"/> </E> <E T="54">a, stby, 2</E> <E T="03">) − (57.2 °C − 19.7 °C)] UA</E>τ<E T="54">stby, 2</E> </FP> <FP>Where:</FP> <FP SOURCE="FP-1">Q<E T="52">da</E> = the adjusted daily water heating energy consumption, Btu (kJ).</FP> <FP SOURCE="FP-1">Q<E T="52">d</E> = as defined in section 6.1.5.</FP> <FP SOURCE="FP-1">T<AC T="8"/> <E T="52">stby, 2</E> = the mean tank temperature during the total standby portion, τ<E T="52">stby, 2</E>, of the 24-hour test, °F (°C).</FP> <FP SOURCE="FP-1">T<AC T="8"/> <E T="52">a, stby, 2</E> = the average ambient temperature during the total standby portion, τ<E T="54">stby, 2</E>, of the 24-hour test, °F (°C).</FP> <FP SOURCE="FP-1">UA = as defined in section 6.1.4.</FP> <FP SOURCE="FP-1">τ<E T="52">stby, 2</E> = the number of hours during the 24-hour simulated test when water is not being withdrawn from the water heater.</FP> <P>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 °F (135 °F-58 °F) or 42.8 °C (57.2 °C-14.4 °C). The following equations adjust the experimental data to a nominal 77 °F (42.8 °C) temperature rise.</P> <P>The energy used to heat water, Btu/day (kJ/day), may be computed as:</P> <GPH DEEP="32" SPAN="1"> <GID>ER11MY98.011</GID> </GPH> <FP>Where:</FP> <FP SOURCE="FP-1">M<E T="52">i</E> = the mass withdrawn for the <E T="03">i</E>th draw (i = 1 to 6), lb (kg).</FP> <FP SOURCE="FP-1">C<E T="52">pi</E> = the specific heat of the water of the <E T="03">i</E>th draw, Btu/lb÷ °F (kJ/kg÷ °C).</FP> <FP SOURCE="FP-1">T<AC T="8"/> <E T="52">del, i</E> = the average water outlet temperature measured during the <E T="03">i</E>th draw (i=1 to 6), °F (°C).</FP> <FP SOURCE="FP-1">T<AC T="8"/> <E T="52">in, i</E> = the average water inlet temperature measured during the <E T="03">i</E>th draw (i=1 to 6), °F (°C).</FP> <FP SOURCE="FP-1">η<E T="52">r</E> = as defined in section 6.1.3.</FP> <P>The energy required to heat the same quantity of water over a 77 °F (42.8 °C) temperature rise, Btu/day (kJ/day), is:</P> <GPH DEEP="59" SPAN="1"> <GID>ER11MY98.012</GID> </GPH> <P>The difference between these two values is: </P> <FP SOURCE="FP-1"> <E T="03">Q</E> <E T="52">HWD</E> = <E T="03">Q</E> <E T="52">HW, 77°−F</E> −<E T="03">Q</E> <E T="52">HW</E> </FP> <FP SOURCE="FP-1"> <E T="03">or Q</E> <E T="52">HWD</E> = <E T="03">Q</E> <E T="52">HW,42.8°−F</E> −<E T="03">Q</E> <E T="52">HW</E> </FP> <FP>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 °F (37.5 °C) and that the temperature rise across the storage tank may not be 77 °F (42.8 °C) is:</FP> <FP SOURCE="FP-1"> <E T="03">Q</E> <E T="52">dm</E> = <E T="03">Q</E> <E T="52">da</E> + <E T="03">Q</E> <E T="52">HWD</E> </FP> <P>6.1.7Energy Factor. The energy factor, Ef, is computed as:</P> <GPH DEEP="29" SPAN="1"> <GID>ER11MY98.013</GID> </GPH> <FP SOURCE="FP-1">or</FP> <GPH DEEP="29" SPAN="1"> <GID>ER11MY98.014</GID> </GPH> <FP>Where:</FP> <FP SOURCE="FP-1"> <E T="03">Q</E> <E T="52">dm</E> = the modified daily water heating energy consumption as computed in accordance with section 6.1.6, Btu (kJ).</FP> <FP SOURCE="FP-1">M<E T="52">i</E> = the mass withdrawn for the ith draw (i = 1 to 6), lb (kg).</FP> <FP SOURCE="FP-1">C<E T="52">pi</E> = the specific heat of the water of the ith draw, Btu/lb °F (kJ/kg °C).</FP> <P>6.1.8<E T="03">Annual Energy Consumption.</E> The annual energy consumption for storage-type and heat pump water heaters is computed as: </P> <FP SOURCE="FP-1"> <E T="03">E</E> <E T="52">annual</E> = 365 × <E T="03">Q</E> <E T="52">dm</E> </FP> <FP>Where:</FP> <FP SOURCE="FP-1"> <E T="03">Q</E> <E T="52">dm</E> = the modified daily water heating energy consumption as computed in accordance with section 6.1.6, Btu (kJ).</FP> <FP SOURCE="FP-1">365 = the number of days in a year.</FP> <PRTPAGE P="195"/> <P>6.2<E T="03">Instantaneous Water Heaters.</E> </P> <P>6.2.1<E T="03">Maximum GPM (L/min) Rating Computation.</E> Compute the maximum gpm (L/min) rating as:</P> <GPH DEEP="69" SPAN="1"> <GID>ER11MY98.015</GID> </GPH> <FP>which may be expressed as:</FP> <GPH DEEP="69" SPAN="1"> <GID>ER11MY98.016</GID> </GPH> <FP>Where:</FP> <FP SOURCE="FP-1">M<E T="52">10m</E> = the mass of water collected during the 10-minute test, lb (kg).</FP> <FP SOURCE="FP-1">T<AC T="8"/> <E T="52">del</E> = the average delivery temperature, °F (°C).</FP> <FP SOURCE="FP-1">T<AC T="8"/> <E T="52">in</E> = the average inlet temperature, °F (°C).</FP> <FP SOURCE="FP-1">ρ = the density of water at the average delivery temperature, lb/gal (kg/L).</FP> <P>If a water meter is used the maximum gpm (L/min) rating is computed as:</P> <GPH DEEP="67" SPAN="1"> <GID>ER11MY98.017</GID> </GPH> <FP>Where:</FP> <FP SOURCE="FP-1">V<E T="52">10m</E> = the volume of water measured during the 10-minute test, gal (L).</FP> <FP SOURCE="FP-1">T<AC T="8"/> <E T="52">del</E> = as defined in this section.</FP> <FP SOURCE="FP-1">T<AC T="8"/> <E T="52">in</E> = as defined in this section.</FP> <P>6.2.2<E T="03">Recovery Efficiency</E> </P> <P>6.2.2.1<E T="03">Fixed Input Instantaneous Water Heaters.</E> The recovery efficiency is computed as:</P> <GPH DEEP="33" SPAN="1"> <GID>ER11MY98.018</GID> </GPH> <FP>Where:</FP> <FP SOURCE="FP-1">M<E T="52">1</E> = 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,</FP> <FP SOURCE="FP-1">M<E T="52">1</E> = V<E T="52">1.</E> ρ</FP> <FP>Where:</FP> <FP SOURCE="FP-1">V<E T="52">1</E> = total volume removed during the first draw of the 24-hour simulated use test, gal (L).</FP> <FP SOURCE="FP-1">ρ= density of the water at the water temperature measured at the point where the flow volume is measured, lb/gal (kg/L).</FP> <FP SOURCE="FP-1">C<E T="52">p1</E> = specific heat of the withdrawn water, (T<AC T="8"/> <E T="52">del,1</E> + T<E T="52">in,1</E>) / 2, Btu/lb °F (kJ/kg °C).</FP> <FP SOURCE="FP-1">T<AC T="8"/> <E T="52">del, 1</E> = average water outlet temperature measured during the first draw of the 24-hour simulated use test, °F (°C).</FP> <FP SOURCE="FP-1">T<AC T="8"/> <E T="52">in, 1</E> = average water inlet temperature measured during the first draw of the 24-hour simulated use test, °F (°C).</FP> <FP SOURCE="FP-1">Q<E T="52">r</E> = 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.)</FP> <P>6.2.2.2<E T="03">Variable Input Instantaneous Water Heaters.</E> 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:</P> <GPH DEEP="34" SPAN="1"> <GID>ER11MY98.019</GID> </GPH> <FP>Where:</FP> <FP SOURCE="FP-1">M<E T="52">1</E> = as defined in section 6.2.2.1.</FP> <FP SOURCE="FP-1">C<E T="52">p1</E> = as defined in section 6.2.2.1.</FP> <FP SOURCE="FP-1">T<AC T="8"/> <E T="52">del, 1</E> = as defined in section 6.2.2.1.</FP> <FP SOURCE="FP-1">T<AC T="8"/> <E T="52">in, 1</E> = as defined in section 6.2.2.1.</FP> <FP SOURCE="FP-1">Q<E T="52">r, max</E> = 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).</FP> <P>The minimum recovery efficiency is computed as:</P> <GPH DEEP="34" SPAN="1"> <GID>ER11MY98.020</GID> </GPH> <FP>Where:</FP> <FP SOURCE="FP-1">M<E T="52">4</E> = the mass withdrawn during the fourth draw, lb (kg), or, if the volume of water is being measured,</FP> <FP SOURCE="FP-1">M<E T="52">4</E> = V<E T="52">4</E> ρ</FP> <FP>Where:</FP> <FP SOURCE="FP-1">V<E T="52">4</E> = total volume removed during the first draw of the 24-hour simulated use test, gal (L).</FP> <FP SOURCE="FP-1">ρ = as defined in 6.2.2.1</FP> <FP SOURCE="FP-1">C<E T="52">p4</E> = the specific heat of water, Btu/lb °F (kJ/kg °C).<PRTPAGE P="196"/> </FP> <FP SOURCE="FP-1">T<AC T="8"/> <E T="52">del, 4</E> = the average delivery temperature for the fourth draw, °F (°C).</FP> <FP SOURCE="FP-1">T<AC T="8"/> <E T="52">in, 4</E> = the average inlet temperature for the fourth draw, °F (°C).</FP> <FP SOURCE="FP-1">Q<E T="52">r, min</E> = 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).</FP> <P>The recovery efficiency is computed as:</P> <GPH DEEP="25" SPAN="1"> <GID>ER11MY98.021</GID> </GPH> <FP>Where:</FP> <FP SOURCE="FP-1">η<E T="52">r,max</E> = as calculated above.</FP> <FP SOURCE="FP-1">η<E T="52">r,min</E> = as calculated above.</FP> <P>6.2.3<E T="03">Daily Water Heating Energy Consumption.</E> The daily water heating energy consumption, Q<E T="52">d</E>, is computed as: </P> <FP SOURCE="FP-1"> <E T="03">Q</E> <E T="54">d</E> = <E T="03">Q</E> </FP> <FP>Where:</FP> <FP SOURCE="FP-1">Q = the energy used by the instantaneous water heater during the 24-hr simulated use test.</FP> <P>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 °F (135 °F−58 °F) or 42.8 °C (57.2 °C−14.4 °C). The following equations adjust the experimental data to a nominal 77 °F (42.8 °C) temperature rise.</P> <P>The energy used to heat water may be computed as:</P> <GPH DEEP="33" SPAN="1"> <GID>ER11MY98.022</GID> </GPH> <FP>Where:</FP> <FP SOURCE="FP-1">M<E T="52">i</E> = the mass withdrawn during the ith draw, lb (kg).</FP> <FP SOURCE="FP-1">C<E T="52">pi</E> = the specific heat of water of the ith draw, Btu/lb °F (kJ/kg (°C).</FP> <FP SOURCE="FP-1">T<AC T="8"/> <E T="52">del,i</E> = the average delivery temperature of the ith draw, °F (°C).</FP> <FP SOURCE="FP-1">T<AC T="8"/> <E T="52">in,i</E> = the average inlet temperature of the ith draw, °F (°C).</FP> <FP SOURCE="FP-1">η<E T="52">r</E> = as calculated in section 6.2.2.2.</FP> <P>The energy required to heat the same quantity of water over a 77 °F (42.8 °C) temperature rise is:</P> <GPH DEEP="59" SPAN="1"> <GID>ER11MY98.023</GID> </GPH> <FP>Where:</FP> <FP SOURCE="FP-1">M<E T="52">i</E> = the mass withdrawn during the <E T="03">i</E>th draw, lb (kg).</FP> <FP SOURCE="FP-1">C<E T="52">pi</E> = the specific heat of water of the ith draw, Btu/lb °F (kJ/kg (°C).</FP> <FP SOURCE="FP-1">η<E T="52">r</E> = as calculated above.</FP> <P>The difference between these two values is: </P> <FP SOURCE="FP-1"> <E T="03">Q</E> <E T="54">HWD</E> = <E T="03">Q</E> <E T="54">HW, 77 °F</E> − <E T="03">Q</E> <E T="54">HW</E> </FP> <FP SOURCE="FP-1">or <E T="03">Q</E> <E T="54">HWD</E> = <E T="03">Q</E> <E T="54">HW, 42.8 °C</E> − <E T="03">Q</E> <E T="54">HW</E> </FP> <FP>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 °F (42.8 °C) is:</FP> <FP SOURCE="FP-1"> <E T="03">Q</E> <E T="54">dm</E> = <E T="03">Q</E> <E T="54">d</E> + <E T="03">Q</E> <E T="54">HWD</E> </FP> <P>6.2.4<E T="03">Energy Factor.</E> The energy factor, E<E T="52">f</E>, is computed as:</P> <GPH DEEP="63" SPAN="1"> <GID>ER11MY98.024</GID> </GPH> <FP>Where:</FP> <FP SOURCE="FP-1">Q<E T="52">dm</E> = the daily water heating energy consumption as computed in accordance with section 6.2.3, Btu (kJ).</FP> <FP SOURCE="FP-1">M<E T="52">i</E> = the mass associated with the <E T="03">i</E>th draw, lb (kg).</FP> <FP SOURCE="FP-1">C<E T="52">pi</E> = the specific heat of water computed at a temperature of (58 °F + 135 °F) / 2, Btu/lb °F [(14.4 °C + 57.2 °C) / 2, kJ/kg °C].</FP> <P>6.2.5<E T="03">Annual Energy Consumption.</E> The annual energy consumption for instantaneous type water heaters is computed as: </P> <FP SOURCE="FP-1"> <E T="03">E</E> <E T="54">annual</E> = 365 × <E T="03">Q</E> <E T="54">dm</E> </FP> <FP>Where:</FP> <FP SOURCE="FP-1">Q<E T="52">dm</E> = the modified daily energy consumption, Btu/day (kJ/day).</FP> <FP SOURCE="FP-1">365 = the number of days in a year.</FP> <HD SOURCE="HD2">7. Ratings for Untested Models</HD> <P>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.</P> <P>7.1<E T="03">Gas Water Heaters.</E> 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%.</P> <P>7.2<E T="03">Electric Water Heaters</E> </P> <P>7.2.1<E T="03">First-Hour Rating.</E> If an electric storage-type water heater is available with more than one input rating, the manufacturer <PRTPAGE P="197"/>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.</P> <P>7.2.2<E T="03">Energy Factor.</E> 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.</P> <CITA>[63 FR 26008, May 11, 1998; 63 FR 38738, July 20, 1998, as amended at 66 FR 4497, Jan. 17, 2001]</CITA> </APPENDIX> <APPENDIX> <EAR>Pt. 430, Subpt. B, App. F</EAR> <HD SOURCE="HED">Appendix F to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Room Air Conditioners</HD> <P>1. <E T="03">Test method.</E> 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.”</P> <P>2. <E T="03">Test conditions.</E> Establish the test conditions described in sections 4 and 5 of ANS Z234.1-1972 and in accordance with ASHRAE Standard 16-69.</P> <P>3. <E T="03">Measurements.</E> Measure the quantities delineated in section 5 of ANS Z234.1-1972.</P> <P>4. <E T="03">Calculations.</E> 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.</P> <P>4.2Determine 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.</P> <CITA>[42 FR 27898, June 1, 1977. Redesignated and amended at 44 FR 37938, June 29, 1979]</CITA> </APPENDIX> <APPENDIX> <EAR>Pt. 430, Subpt. B, App. G</EAR> <HD SOURCE="HED">Appendix G to Subpart B of Part 430—Uniform Test Method for Measuring the Energy Consumption of Unvented Home Heating Equipment</HD> <HD SOURCE="HD2">1. Testing conditions.</HD> <P>1.1<E T="03">Installation.</E> </P> <P>1.1.1<E T="03">Electric heater.</E> 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.</P> <P>1.1.2<E T="03">Unvented gas heater.</E> 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.</P> <P>1.1.3<E T="03">Unvented oil heater.</E> 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 wattmete