Title III, part D, as amended, of the Energy Policy and Conservation Act (42 U.S.C. 6321
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.
As used in this part:
(1) Any building which provides facilities or shelter for public assembly, or which is used for educational office or institutional purposes;
(2) Any inn, hotel, motel, sports arena, supermarket, transportation terminal, retail store, restaurant, or other commercial establishment which provides services or retail merchandise;
(3) Any general office space and any portion of an industrial facility used primarily as office space;
(4) Any building owned by a State or political subdivision thereof, including libraries, museums, schools, hospitals, auditoriums, sport arenas, and university buildings; and
(5) Any public or private non-profit school or hospital.
(a) Financial assistance under this part shall comply with applicable laws and regulations including, but without limitation, the requirements of:
(1) Executive Order 12372, Intergovernmental Review of Federal Programs, as implemented by 10 CFR part 1005.
(2) DOE Financial Assistance Rules (10 CFR part 600); and
(3) Other procedures which DOE may from time to time prescribe for the administration of financial assistance under this part.
(b) The budget period(s) covered by the financial assistance provided to a State according to § 420.11(b) or § 420.33 shall be consistent with 10 CFR part 600.
(c) Subawards are authorized under this part and are subject to the requirements of this part and 10 CFR part 600.
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.
(a) Each State receiving financial assistance under this part shall submit to the cognizant Regional Support Office Director a quarterly program performance report and a quarterly financial status report.
(b) Reports under this section shall contain such information as the Secretary may prescribe in order to monitor effectively the implementation of a State's activities under this part.
(c) The reports shall be submitted within 30 days following the end of each calendar year quarter.
(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 Office of the Federal Register
(b) The following standards are incorporated by reference in this part:
(1) The American Society of Heating, Refrigerating and Air-Conditioning Engineers (ASHRAE), 1791 Tullie Circle, N.E., Atlanta, Georgia 30329, (404) 636-8400/The Illuminating Engineering Society of North America (IESNA), 345 East 47th Street, New York, New York 10017, (212) 705-7913: (i) ASHRAE/IESNA 90.1-1989, entitled “Energy Efficient Design of New Buildings Except Low-Rise Residential Buildings,” with Addenda 90.1b-1992; Addenda 90.1d-1992; Addenda 90.1e-1992; Addenda 90.1g-1993; and Addenda 90.1i-1993, IBR approved for § 420.2 and § 420.15.
(2) The Council of American Building Officials (CABO), 5203 Leesburg Pike, Suite 708, Falls Church, Virginia 22041, (703) 931-4533: (i) The Model Energy Code, 1993, including Errata, IBR approved for § 420.2 and § 420.15.
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.
(a) The cognizant Regional Support Office Director shall provide financial assistance to each State having an approved annual application from funds available for any fiscal year to develop, modify, or implement a plan.
(b) DOE shall allocate financial assistance to develop, implement or modify plans among the States from funds available for any fiscal year, as follows:
(1) If the available funds equal $25.5 million, such funds shall be allocated to the States according to Table 1 of this section.
(2) The base allocation for each State is listed in Table 1.
(3) If the available funds for any fiscal year are less than $25.5 million, then the base allocation for each State shall be reduced proportionally.
(4) If the available funds exceed $25.5 million, $25.5 million shall be allocated as specified in Table 1 and any in excess of $25.5 million shall be allocated as follows:
(i) One-third of the available funds is divided among the States equally;
(ii) One-third of the available funds is divided on the basis of the population of the participating States as contained in the most recent reliable census data available from the Bureau of the Census, Department of Commerce, for all participating States at the time DOE needs to compute State formula shares; and
(iii) One-third of the available funds is divided on the basis of the energy consumption of the participating States as contained in the most recent State Energy Data Report available from DOE's Energy Information Administration.
(c) The budget period covered by the financial assistance provided to a State
(a) Each State shall provide cash, in kind contributions, or both for SEP activities in an amount totalling not less than 20 percent of the financial assistance allocated to the State under § 420.11(b).
(b) Cash and in-kind contributions used to meet this State matching requirement are subject to the limitations on expenditures described in § 420.18(a), but are not subject to the 20 percent limitation in § 420.18(b).
(c) Nothing in this section shall be read to require a match for petroleum violation escrow funds used under this part.
(a) To be eligible for financial assistance under subpart B of this part, a State shall submit to the cognizant Regional Support Office Director an original and two copies of the annual application executed by the Governor, including an amended State plan or any amendments to the State plan needed to reflect changes in the activities the State is planning to undertake for the fiscal year concerned. The date for submission of the annual State application shall be set by DOE.
(b) An application shall include:
(1) A face sheet containing basic identifying information, on Standard Form (SF) 424;
(2) A description of the energy efficiency, renewable energy, and alternative transportation fuel goals to be achieved, including wherever practicable:
(i) An estimate of the energy to be saved by implementation of the State plan;
(ii) Why the goals were selected;
(iii) How the attainment of the goals will be measured by the State; and
(iv) How the program activities included in the State plan represent a strategy to achieve these goals;
(3) With respect to financial assistance under subpart B of this part, a goal, consisting of an improvement of 10 percent or more in the efficiency of use of energy in the State concerned in the calendar year 2000, as compared to the calendar year 1990, and may contain interim goals;
(4) For the budget period for which financial assistance will be provided:
(i) A total program budget with supporting justification, broken out by object category and by source of funding;
(ii) The source and amount of State matching contribution;
(iii) A narrative statement detailing the nature of State plan amendments and of new program activities.
(iv) For each program activity, a budget and listing of milestones; and
(v) An explanation of how the minimum criteria for required program activities prescribed in § 420.15 have been implemented and are being maintained.
(5) If any of the activities being undertaken by the State in its plan have environmental impacts, a detailed description of the increase or decrease in environmental residuals expected from implementation of a plan defined insofar as possible through the use of information to be provided by DOE and an indication of how these environmental factors were considered in the selection of program activities.
(6) If a State is undertaking program activities involving purchase or installation of materials or equipment for weatherization of low-income housing, an explanation of how these activities would supplement and not supplant the existing DOE program under 10 CFR part 440.
(7) A reasonable assurance to DOE that it has established policies and procedures designed to assure that Federal financial assistance under subpart B of this part 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 part;
(8) An assurance that the State shall comply with all applicable statutes and regulations in effect with respect to the periods for which it receives grant funding; and
(9) For informational purposes only, and not subject to DOE review, an energy emergency plan for an energy supply disruption, as designed by the State consistent with applicable Federal and State law including an implementation strategy or strategies (including regional coordination) for dealing with energy emergencies.
(c) The Governor may request an extension of the annual submission date by submitting a written request to the cognizant Regional Support Office Director not less than 15 days prior to the annual submission date. The extension shall be granted only if, in the cognizant Regional Support Office Director's judgment, acceptable and substantial justification is shown, and the extension would further objectives of the Act.
(a) After receipt of an application for financial assistance under subpart B of this part and for approval of an amendment, if any, to a State plan, the cognizant Regional Support 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 this part. The cognizant Regional Support 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 Support 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 this part.
(b) On or before 60 days from the date that a timely filed application is complete, the cognizant Regional Support Office Director shall—
(1) Approve the application in whole or in part to the extent that—
(i) The application conforms to the requirements of this part;
(ii) The proposed program activities are consistent with a State's achievement of its energy conservation goals in accordance with § 420.13; and
(iii) The provisions of the application regarding program activities satisfy the minimum requirements prescribed by § 420.15 and § 420.17 as applicable;
(2) Approve the application in whole or in part subject to special conditions designed to ensure compliance with the requirements of this part; or
(3) Disapprove the application if it does not conform to the requirements of this part.
A plan shall satisfy all of the following minimum criteria for required program activities.
(a) Mandatory lighting efficiency standards for public buildings shall:
(1) Be implemented throughout the State, except that the standards shall be adopted by the State as a model code for those local governments of the State for which the State's constitution reserves the exclusive authority to adopt and implement building standards within their jurisdictions;
(2) Apply to all public buildings (except for public buildings owned or leased by the United States), above a certain size, as determined by the State;
(3) For new public buildings, be no less stringent than the provisions of ASHRAE/IESNA 90.1-1989, and should be updated by enactment of, or support for the enactment into local codes or standards, which, at a minimum, are comparable to provisions of ASHRAE/IESNA 90.1-1989 which is incorporated by reference in accordance with 5 U.S.C. 552 (a) and 1 CFR part 51. The availability of this incorporation by reference is given in § 420.6; and
(4) For existing public buildings, contain the elements deemed appropriate by the State.
(b) Program activities to promote the availability and use of carpools, vanpools, and public transportation shall:
(1) Have at least one of the following actions under implementation in at
(i) A carpool/vanpool matching and promotion campaign;
(ii) Park-and-ride lots;
(iii) Preferential traffic control for carpoolers and public transportation patrons;
(iv) Preferential parking for carpools and vanpools;
(v) Variable working schedules;
(vi) Improvement in transit level of service for public transportation;
(vii) Exemption of carpools and vanpools from regulated carrier status;
(viii) Parking taxes, parking fee regulations or surcharge on parking costs;
(ix) Full-cost parking fees for State and/or local government employees;
(x) Urban area traffic restrictions;
(xi) Geographical or time restrictions on automobile use; or
(xii) Area or facility tolls; and
(2) Be coordinated with the relevant Metropolitan Planning Organization, unless no Metropolitan Planning Organization exists in the urbanized area, and not be inconsistent with any applicable Federal requirements.
(c) Mandatory standards and policies affecting the procurement practices of the State and its political subdivisions to improve energy efficiency shall—
(1) With respect to all State procurement and with respect to procurement of political subdivisions to the extent determined feasible by the State, be under implementation; and
(2) Contain the elements deemed appropriate by the State to improve energy efficiency through the procurement practices of the State and its political subdivisions.
(d) Mandatory thermal efficiency standards for new and renovated buildings shall—
(1) Be implemented throughout the State, with respect to all buildings (other than buildings owned or leased by the United States, buildings whose peak design rate of energy usage for all purposes is less than one watt (3.4 Btu's per hour) per square foot of floor space for all purposes, or manufactured homes), except that the standards shall be adopted by the State as a model code for those local governments of the State for which the State's law reserves the exclusive authority to adopt and implement building standards within their jurisdictions;
(2) Take into account the exterior envelope physical characteristics, HVAC system selection and configuration, HVAC equipment performance and service water heating design and equipment selection;
(3) For all new commercial and multifamily high-rise buildings, be no less stringent than provisions of sections 7-12 of ASHRAE/IESNA 90.1-1989, and should be updated by enactment of, or support for the enactment into local codes or standards, which, at a minimum, are comparable to provisions of ASHRAE/IESNA 90.1-1989; and
(4) For all new single-family and multifamily low-rise residential buildings, be no less stringent than the Model Energy Code, 1993, and should be updated by enactment of, or support for the enactment into local codes or standards, which, at a minimum, are comparable to the Model Energy Code, 1993, which is incorporated by reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. The availability of this incorporation by reference is given in § 420.6;
(5) For renovated buildings:
(i) Apply to those buildings determined by the State to be renovated buildings; and
(ii) Contain the elements deemed appropriate by the State regarding thermal efficiency standards for renovated buildings.
(e) A traffic law or regulation which permits the operator of a motor vehicle to make a turn at a red light after stopping shall:
(1) Be in a State's motor vehicle code and under implementation throughout all political subdivisions of the State;
(2) Permit the operator of a motor vehicle to make a right turn (left turn with respect to the Virgin Islands) at a red traffic light after stopping except where specifically prohibited by a traffic sign for reasons of safety or except where generally prohibited in an urban enclave for reasons of safety; and
(3) Permit the operator of a motor vehicle to make a left turn from a one-
(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.
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 Support 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.
(a) Other appropriate activities or programs may be included in the State plan. These activities may include, but are not limited to, the following:
(1) Program activities of public education to promote energy efficiency, renewable energy, and alternative transportation fuels;
(2) Program activities to increase transportation energy efficiency, including programs to accelerate the use of alternative transportation fuels for government vehicles, fleet vehicles, taxis, mass transit, and privately owned vehicles;
(3) Program activities for financing energy efficiency measures and renewable energy measures—
(i) Which may include loan programs and performance contracting programs for leveraging of additional public and private sector funds and program activities which allow rebates, grants, or other incentives for the purchase of energy efficiency measures and renewable energy measures; or
(ii) In addition to or in lieu of program activities described in paragraph (a)(3)(i) of this section, which may be used in connection with public or nonprofit buildings owned and operated by a State, a political subdivision of a State or an agency or instrumentality of a State, or an organization exempt from taxation under section 501(c)(3) of the Internal Revenue Code of 1986 including public and private non-profit schools and hospitals, and local government buildings;
(4) Program activities for encouraging and for carrying out energy audits with respect to buildings and industrial facilities (including industrial processes) within the State;
(5) Program activities to promote the adoption of integrated energy plans which provide for:
(i) Periodic evaluation of a State's energy needs, available energy resources (including greater energy efficiency), and energy costs; and
(ii) Utilization of adequate and reliable energy supplies, including greater energy efficiency, that meet applicable safety, environmental, and policy requirements at the lowest cost;
(6) Program activities to promote energy efficiency in residential housing, such as:
(i) Program activities for development and promotion of energy efficiency rating systems for newly constructed housing and existing housing so that consumers can compare the energy efficiency of different housing; and
(ii) Program activities for the adoption of incentives for builders, utilities, and mortgage lenders to build,
(7) Program activities to identify unfair or deceptive acts or practices which relate to the implementation of energy efficiency measures and renewable energy measures and to educate consumers concerning such acts or practices;
(8) Program activities to modify patterns of energy consumption so as to reduce peak demands for energy and improve the efficiency of energy supply systems, including electricity supply systems;
(9) Program activities to promote energy efficiency as an integral component of economic development planning conducted by State, local, or other governmental entities or by energy utilities;
(10) Program activities (enlisting appropriate trade and professional organizations in the development and financing of such programs) to provide training and education (including, if appropriate, training workshops, practice manuals, and testing for each area of energy efficiency technology) to building designers and contractors involved in building design and construction or in the sale, installation, and maintenance of energy systems and equipment to promote building energy efficiency;
(11) Program activities for the development of building retrofit standards and regulations, including retrofit ordinances enforced at the time of the sale of a building;
(12) Program activities to provide support for prefeasibility and feasibility studies for projects that utilize renewable energy and energy efficiency resource technologies in order to facilitate access to capital and credit for such projects;
(13) Program activities to facilitate and encourage the voluntary use of renewable energy technologies for eligible participants in Federal agency programs, including the Rural Electrification Administration and the Farmers Home Administration; and
(14) In accordance with paragraph (b) of this section, program activities to implement the Energy Technology Commercialization Services Program.
(b) This section prescribes requirements for establishing State-level Energy Technology Commercialization Services Program as an optional element of State plans.
(1) The program activities to implement the functions of the Energy Technology Commercialization Services Program shall:
(i) Aid small and start-up businesses in discovering useful and practical information relating to manufacturing and commercial production techniques and costs associated with new energy technologies;
(ii) Encourage the application of such information in order to solve energy technology product development and manufacturing problems;
(iii) Establish an Energy Technology Commercialization Services Program affiliated with an existing entity in each State;
(iv) Coordinate engineers and manufacturers to aid small and start-up businesses in solving specific technical problems and improving the cost effectiveness of methods for manufacturing new energy technologies;
(v) Assist small and start-up businesses in preparing the technical portions of proposals seeking financial assistance for new energy technology commercialization; and
(vi) Facilitate contract research between university faculty and students and small start-up businesses, in order to improve energy technology product development and independent quality control testing.
(2) Each State Energy Technology Commercialization Services Program shall develop and maintain a data base of engineering and scientific experts in energy technologies and product commercialization interested in participating in the service. Such data base shall, at a minimum, include faculty of institutions of higher education, retired manufacturing experts, and National Laboratory personnel.
(3) The services provided by the Energy Technology Commercialization Services Program established under this part 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
(a) No financial assistance provided to a State under this part shall be used:
(1) For construction, such as construction of mass transit systems and exclusive bus lanes, or for construction or repair of buildings or structures;
(2) To purchase land, a building or structure or any interest therein;
(3) To subsidize fares for public transportation;
(4) To subsidize utility rate demonstrations or State tax credits for energy conservation measures or renewable energy measures; or
(5) To conduct, or purchase equipment to conduct, research, development or demonstration of energy efficiency or renewable energy techniques and technologies not commercially available.
(b) No more than 20 percent of the financial assistance awarded to the State for this program shall be used to purchase office supplies, library materials, or other equipment whose purchase is not otherwise prohibited by this section. Nothing in this paragraph shall be read to apply this 20 percent limitation to petroleum violation escrow funds used under this part.
(c) Demonstrations of commercially available energy efficiency or renewable energy techniques and technologies are permitted, and are not subject to the prohibitions of § 420.18(a)(1), or to the limitation on equipment purchases of § 420.18(b).
(d) A State may use regular or revolving loan mechanisms to fund SEP services which are consistent with this part 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 part and which are included in the State's approved SEP plan.
(e) A State may use funds under this part for the purchase and installation of equipment and materials for energy efficiency measures and renewable energy measures, including reasonable design costs, subject to the following terms and conditions:
(1) Such use must be included in the State's approved plan and, if funded by petroleum violation escrow funds, must be consistent with any judicial or administrative terms and conditions imposed upon State use of such funds;
(2) A State may use for these purposes no more than 50 percent of all funds allocated by the State to SEP in a given year, regardless of source, except that this limitation shall not include regular and revolving loan programs funded with petroleum violation escrow funds, and is subject to waiver by DOE for good cause. Loan documents shall ensure repayment of principal and interest within a reasonable period of time, and shall not include provisions of loan forgiveness.
(3) Buildings owned or leased by the United States are not eligible for energy efficiency measures or renewable energy measures under this paragraph;
(4) Funds must be used to supplement and no funds may be used to supplant weatherization activities under the Weatherization Assistance Program for Low-Income Persons, under 10 CFR part 440;
(5) Subject to paragraph (f) of this section, a State may use a variety of financial incentives to fund purchases and installation of materials and equipment under this paragraph including, but not limited to, regular loans, revolving loans, loan buy-downs, performance contracting, rebates and grants.
(f) The following mechanisms are not allowed for funding the purchase and installation of materials and equipment under this paragraph:
(1) Rebates for more than 50 percent of the total cost of purchasing and installing materials and equipment (States shall set appropriate restrictions and limits to insure the most efficient use of rebates); and
(2) Loan guarantees.
(a) A State shall have 20 days from the date of receipt of a decision under § 420.14 to file a notice requesting administrative review in accordance with paragraph (b) of this section. If an applicant does not timely file such a notice, the decision under § 420.14 shall become final for DOE.
(b) A notice requesting administrative review shall be filed with the cognizant Regional Support Office Director and shall be accompanied by a written statement containing supporting arguments. If the cognizant Regional Support Office Director has disapproved an entire application for financial assistance, the State may request a public hearing.
(c) A notice or any other document shall be deemed filed under this section upon receipt.
(d) On or before 15 days from receipt of a notice requesting administrative review which is timely filed, the cognizant Regional Support Office Director shall forward to the Deputy Assistant Secretary, the notice requesting administrative review, the decision under § 420.14 as to which administrative review is sought, a draft recommended final decision for concurrence, and any other relevant material.
(e) If the State requests a public hearing on the disapproval of an entire application for financial assistance, the Deputy Assistant Secretary, within 15 days, shall give actual notice to the State and
(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 Support Office Director.
(g) On or before 15 days from the date of receipt of the determination under paragraph (f) of this section, the Governor may file an application for discretionary review by the Assistant Secretary. On or before 15 days from filing, the Assistant Secretary shall send a notice to the Governor stating whether the Deputy Assistant Secretary's determination will be reviewed. If the Assistant Secretary grants a review, a decision shall be issued no later than 60 days from the date review is granted. The Assistant Secretary may not issue a notice or decision under this paragraph without the concurrence of the DOE Office of General Counsel.
(h) A decision under paragraph (f) of this section shall be final for DOE if there is no review under paragraph (g) of this section. If there is review under paragraph (g) of this section, the decision thereunder shall be final for DOE and no appeal shall lie elsewhere in DOE.
(i) Prior to the effective date of the termination or suspension of a grant award for failure to implement an approved State plan in compliance with the requirements of this part, 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
(a) This subpart sets forth DOE's policies and procedures for implementing special projects financial assistance under this part.
(b) For years in which such funding is available, States may apply for financial assistance to undertake a variety of State-oriented energy-related special projects activities in addition to the funds provided under the regular SEP grants.
(c) The types of funded activities may vary from year to year, and from State to State, depending upon funds
(d) A number of end-use sector programs in the Office of Energy Efficiency and Renewable Energy participate in the funding of these activities, and the projects must meet the requirements of those programs.
(e) The purposes of the special project activities are:
(1) To utilize States to accelerate deployment of energy efficiency, renewable energy, and alternative transportation fuel technologies;
(2) To facilitate the commercialization of emerging and underutilized energy efficiency and renewable energy technologies; and
(3) To increase the responsiveness of Federally funded technology development efforts to the needs of the marketplace.
(a) If in any fiscal year DOE has funds available for special projects, DOE shall publish in the
(b) Each notice of availability shall cite this part and shall include:
(1) Brief descriptions of the activities for which funding is available;
(2) The amount of money DOE has available or estimates it will have available for award for each type of activity, and the total amount available;
(3) The program official to contact for additional information, application forms, and the program guidance/solicitation document; and
(4) The dates when:
(i) The program guidance/solicitation will be available; and
(ii) The applications for financial assistance must be received by DOE.
After the publication of the notice of availability in the
(a) The control number of the program;
(b) The expected duration of DOE support or period of performance;
(c) An application form or the format to be used, location for application submission, and number of copies required;
(d) The name of the DOE program office contact from whom to seek additional information;
(e) Detailed descriptions of each type of program activity for which financial assistance is being offered;
(f) The amount of money available for award, together with any limitations as to maximum or minimum amounts expected to be awarded;
(g) Deadlines for submitting applications;
(h) Evaluation criteria that DOE will apply in the selection and ranking process for applications for each program activity;
(i) The evaluation process to be applied to each type of program activity;
(j) A listing of program policy factors if any that DOE may use in the final selection process, in addition to the results of the evaluations, including:
(1) The importance and relevance of the proposed applications to SEP and the participating programs in the Office of Energy Efficiency and Renewable Energy; and
(2) Geographical diversity;
(k) Reporting requirements;
(l) References to:
(1) Statutory authority for the program;
(2) Applicable rules; and
(3) Other terms and conditions applicable to awards made under the program guidance/solicitation; and
(m) A statement that DOE reserves the right to fund in whole or in part, any, all, or none of the applications submitted.
(a) Consistent with § 420.32 of this part, DOE shall set forth general and special project activity-specific requirements for applications for special projects financial assistance in the program guidance/solicitation.
(b) In addition to any other requirements, all applications shall provide:
(1) A detailed description of the proposed project, including the objectives of the project in relationship to DOE's
(2) A detailed budget for the entire proposed period of support, with written justification sufficient to evaluate the itemized list of costs provided on the entire project; and
(3) An implementation schedule for carrying out the project.
(c) DOE may, subsequent to receipt of an application, request additional budgetary information from a State when necessary for clarification or to make informed preaward determinations.
(d) DOE may return an application which does not include all information and documentation required by this part, 10 CFR part 600, or the program guidance/solicitation, when the nature of the omission precludes review of the application.
DOE may require (as set forth in the program guidance/solicitation) States to provide either:
(a) A matching contribution of at least a specified percentage of the Federal financial assistance award; or
(b) A specified share of the total cost of the project for which financial assistance is provided.
(a) DOE staff at the cognizant Regional Support Office shall perform an initial review of all applications to ensure that the State has provided the information required by this part, 10 CFR part 600, and the program guidance/solicitation.
(b) DOE shall group, and technically evaluate according to program activity, all applications determined to be complete and satisfactory.
(c) DOE shall select evaluators on the basis of their professional qualifications and expertise relating to the particular program activity being evaluated.
(1) DOE anticipates that evaluators will primarily be DOE employees; but
(2) If DOE uses non-DOE evaluators, DOE shall require them to comply with all applicable DOE rules or directives concerning the use of outside evaluators.
The evaluation criteria, including program activity-specific criteria, will be set forth in the program guidance/solicitation document.
(a) DOE may make selection of applications for award based on:
(1) The findings of the technical evaluations;
(2) The priorities of DOE, SEP, and the participating program offices;
(3) The availability of funds for the various special project activities; and
(4) Any program policy factors set forth in the program guidance/solicitation.
(b) The Director, Office of State and Community Programs makes the final selections of projects to be awarded financial assistance.
42 U.S.C. 6291-6309; 28 U.S.C. 2461 note.
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.
For purposes of this part, words shall be defined as provided for in section 321 of the Act and as follows—
(a) Weatherized warm air furnaces or boilers are located out-of-doors;
(b) Warm air furnaces which are not weatherized are located indoors and all combustion and ventilation air is admitted through grill or ducts from the outdoors and does not communicate with air in the conditioned space;
(c) Boilers which are not weatherized are located within the heated space.
(1) With respect to refrigerators and refrigerator-freezers, which have the same primary energy source, which have electrical characteristics that are essentially identical, and which do not have any differing physical or functional characteristics that affect energy consumption.
(2) With respect to freezers, which have the same primary energy source, which have electrical characteristics that are essentially identical, and which do not have any differing physical or functional characteristics that affect energy consumption.
(3) With respect to dishwashers, which have electrical characteristics which are essentially identical and which do not have any differing physical or functional characteristics which affect energy consumption.
(4) With respect to clothes dryers, which have the same primary energy source, which have electrical characteristics that are essentially identical, and which do not have any differing physical or functional characteristics that affect energy consumption.
(5) With respect to water heaters, which have the same primary energy source and which, with the exception of immersed heating elements, do not have any differing electrical, physical,
(6) With respect to room air conditioners, having essentially identical functional physical and electrical characteristics.
(7) With respect to unvented home heating equipment, having essentially identical functional physical and electrical characteristics.
(8) With respect to television sets, which have identical screen size, which have electrical characteristics that are essentially identical, and which do not have any differing physical or functional characteristics that affect energy consumption.
(9) With respect to kitchen ranges and ovens, whose major cooking components have the same primary energy source, which have electrical characteristics that are essentially identical, and which do not have any differing physical or functional characteristics that affect energy consumption.
(10) With respect to clothes washers, which have the same primary energy source, which have electrical characteristics that are essentially identical, and which do not have any differing physical or functional characteristics that affect energy consumption.
(11) With respect to central air conditioners, which have electrical characteristics which are essentially identical and which do not have any differing physical or functional characteristics that affect energy consumption.
(12) With respect to furnaces, having the same primary energy source and essentially identical functional, physical and electrical characteristics.
(13) With respect to vented home heating equipment, having the same primary energy source and essentially identical functional, physical and electrical characteristics.
(14) With respect to fluorescent lamp ballasts, which have electrical characteristics, including a Power Factor (P.F.) of equal value, which are essentially identical, and which do not have any differing physical or functional characteristics that affect energy consumption.
(15) With respect to general service fluorescent lamps, means lamps that have essentially identical light output and electrical characteristics—including lumens per watt and color rendering index (CRI)—and that do not have any differing physical or functional characteristics that affect energy consumption or efficacy.
(16) With respect to incandescent reflector lamps, means lamps that have essentially identical light output and electrical characteristics—including lumens per watt—and that do not have any differing physical or functional characteristics that affect energy consumption or efficacy.
(17) With respect to faucets, which have the identical flow control mechanism attached to or installed within the fixture fittings, or the identical water-passage design features that use the same path of water in the highest-flow mode.
(18) With respect to showerheads, which have the identical flow control mechanism attached to or installed within the fixture fittings, or the identical water-passage design features that use the same path of water in the highest-flow mode.
(19) With respect to water closets, which have hydraulic characteristics that are essentially identical, and which do not have any differing physical or functional characteristics that affect water consumption.
(20) With respect to urinals, which have hydraulic characteristics that are essentially identical, and which do not have any differing physical or functional characteristics that affect water consumption.
(1) Of a type—
(i) Which in operation consumes, or is designed to consume, energy or, with respect to showerheads, faucets, water closets, and urinals, water; and
(ii) Which, to any significant extent, is distributed in commerce for personal use or consumption by individuals;
(2) Without regard to whether such article of such type is in fact distributed in commerce for personal use or consumption by an individual, except that such term includes fluorescent lamp ballasts, general service fluorescent lamps, incandescent reflector lamps, showerheads, faucets, water closets, and urinals distributed in commerce for personal or commercial use or consumption.
(1) The voltage marked as the intended operating voltage;
(2) The mid-point of the voltage range if the lamp is marked with a voltage range; or
(3) 120 V if the lamp is not marked with a voltage or voltage range.
(1) A performance standard which prescribes a minimum level of energy efficiency or a maximum quantity of energy use, or, in the case of showerheads, faucets, water closets, and urinals, water use, for a covered product, determined in accordance with test procedures prescribed under Section 323 of EPCA (42 U.S.C. 6293); or
(2) A design requirement for the products specified in paragraphs (6), (7), (8), (10), (15), (16), (17), and (19) of Section 322(a) of EPCA (42 U.S.C. 6292(a)); and
(3) Includes any other requirements which the Secretary may prescribe under Section 325(r) of EPCA (42 U.S.C. 6295(r)).
(1) Any straight-shaped lamp (commonly referred to as 4-foot medium bi-pin lamps) with medium bi-pin bases of nominal overall length of 48 inches and rated wattage of 28 or more.
(2) Any U-shaped lamp (commonly referred to as 2-foot U-shaped lamps) with medium bi-pin bases of nominal overall length between 22 and 25 inches and rated wattage of 28 or more.
(3) Any rapid start lamp (commonly referred to as 8-foot high output lamps) with recessed double contact bases of nominal overall length of 96 inches and 0.800 nominal amperes, as defined in ANSI C78.1-1991.
(4) Any instant start lamp (commonly referred to as 8-foot slimline lamps) with single pin bases of nominal overall length of 96 inches and rated wattage of 52 or more, as defined in ANSI C78.3-1991.
(a) Is designed to be the principal heating source for the living space of a residence;
(b) Is not contained within the same cabinet with a central air conditioner whose rated cooling capacity is above 65,000 Btu per hour;
(c) Is an electric central furnace, electric boiler, forced-air central furnace, gravity central furnace, or low pressure steam or hot water boiler; and
(d) Has a heat input rate of less than 300,000 Btu per hour for electric boilers and low pressure steam or hot water boilers and less than 225,000 Btu per hour for forced-air central furnaces, gravity central furnaces, and electric central furnaces, gravity central furnaces, and electric central furnaces.
(1) Fluorescent lamps designed to promote plant growth.
(2) Fluorescent lamps specifically designed for cold temperature applications.
(3) Colored fluorescent lamps.
(4) Impact-resistant fluorescent lamps.
(5) Reflectorized or aperture lamps.
(6) Fluorescent lamps designed for use in reprographic equipment.
(7) Lamps primarily designed to produce radiation in the ultra-violet region of the spectrum.
(8) Lamps with a Color Rendering Index of 82 or greater.
(1) Traffic signal, or street lighting service;
(2) Airway, airport, aircraft, or other aviation service;
(3) Marine, or marine signal service;
(4) Photo, projection, sound reproduction, or film viewer service;
(5) Stage, studio, or television service;
(6) Mill, saw mill, or other industrial process service;
(7) Mine service;
(8) Headlight, locomotive, street railway, or other transportation service;
(9) Heating service;
(10) Code beacon, marine signal, lighthouse, reprographic, or other communication service;
(11) Medical or dental service;
(12) Microscope, map, microfilm, or other specialized equipment service;
(13) Swimming pool, or other underwater service;
(14) Decorative or showcase service;
(15) Producing colored light;
(16) Shatter resistance which has an external protective coating; or
(17) Appliance service.
(1) Any lamp (commonly referred to as lower wattage non-reflector general service lamps, including any tungsten halogen lamp) that has a rated wattage between 30 and 199, has an E26 medium screw base, has a rated voltage or voltage range that lies at least partially in the range of 115 and 130 volts, and is not a reflector lamp.
(2) Any incandescent reflector lamp.
(3) Any general service incandescent lamp (commonly referred to as a high-or higher-wattage lamp) that has a rated wattage above 199 (above 205 for a high wattage reflector lamp).
(1) The design voltage if the design voltage is 115 V, 130 V or between 115V and 130 V:
(2) 115 V if the design voltage is less than 115 V and greater than or equal to 100 V and the lamp can operate at 115 V; and
(3) 130 V if the design voltage is greater than 130 V and less than or equal to 150 V and the lamp can operate at 130 V.
(1) If the lamp is listed in ANSI C78.1-1991, the nominal wattage of a lamp determined by the lamp designation in Annex A.2 of ANSI C78.1-1991; or
(2) If the lamp is a residential straight-shaped lamp, the wattage a lamp consumes when operated on a reference ballast for which the lamp is designed; or
(3) If the lamp is neither listed in ANSI C78.1-1991 nor a residential straight-shaped lamp, the wattage a lamp consumes when using reference ballast characteristics of 236 volts, 0.43 amps and 439 ohms for T10 or T12 lamps or reference ballast characteristics of 300 volts, 0.265 amps and 910 ohms for T8 lamps.
(1) A lamp is designed exclusively for residential applications if it will not function for more than 100 hours with a commercial high-power-factor ballast.
(2) A lamp is designed primarily and marketed exclusively for residential applications if it:
(i) Is permanently and clearly marked as being for residential use only;
(ii) Has a life of 6,000 hours or less when used with a commercial high-power-factor ballast;
(iii) Is not labeled or represented as a replacement for a fluorescent lamp that is a covered product; and
(iv) Is marketed and distributed in a manner designed to minimize use of the lamp with commercial high-power-factor ballasts.
(3) A manufacturer may market and distribute a lamp in a manner designed to minimize use of the lamp with commercial high-power-factor ballasts by:
(i) Packaging and labeling the lamp in a manner that clearly indicates the lamp is for residential use only and includes appropriate instructions concerning proper and improper use; if the lamp is included in a catalog or price list that also includes commercial/industrial lamps, listing the lamp in a separate residential section accompanied by notes about proper use on the same page; and providing as part of any express warranty accompanying the lamp that improper use voids such warranty; or
(ii) Using other comparably effective measures to minimize use with commercial high-power-factor ballasts.
(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;
(b) Instantaneous type units which heat water but contain no more than one gallon of water per 4,000 Btu per hour of input, including gas instantaneous water heaters with an input of 200,000 Btu per hour or less, oil instantaneous water heaters with an input of 210,000 Btu per hour or less, and electric instantaneous water heaters with an input of 12 kilowatts or less; and
(c) Heat pump type units, with a maximum current rating of 24 amperes at a voltage no greater than 250 volts, which are products designed to transfer thermal energy from one temperature level to a higher temperature level for the purpose of heating water, including all ancillary equipment such as fans, storage tanks, pumps, or controls necessary for the device to perform its function.
For Federal Register citations affecting § 430.2, see the List of CFR Sections Affected in the Finding Aids section of this volume.
At 62 FR 23115, Apr. 28, 1997, § 430.2 was amended by adding a definition for
At 62 FR 50148, Sept. 24, 1997, § 430.2 was amended by adding definitions for
This subpart contains test procedures required to be prescribed by DOE pursuant to section 323 of the Act.
(a)
(2)
(i) Office of the Federal Register Information Center, 800 North Capitol Street, NW., Suite 700, Washington, DC.
(ii) U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Hearings and Dockets, Forrestal Building, 1000 Independence Ave, SW, Washington, DC 20585.
(b)
(1) American National Standards Institute (ANSI). The ANSI standards listed in this paragraph may be obtained from the American National Standards Institute, 1430 Broadway, New York, NY 10018, (212) 642-4900.
(2) Illuminating Engineering Society of North America (IESNA). The IESNA standards listed in this paragraph may be obtained from the Illuminating Engineering Society of North America, 120 Wall Street, Floor 17, New York, NY 10005-4001, (212) 248-5000.
(3) International Commission on Illumination (CIE). The CIE standards listed in this paragraph may be obtained from the International Commission on Illumination, CIE Bureau Central, Kegelgasse 27, A-1030, Vienna, Austria. CIE publications are also available from TLA Lighting Consultants, 7 Pond Street, Salem, MA 10970, (508) 745-6870.
(4) International Electrotechnical Commission. Copies of the International Electrotechnical Commission Publications can be obtained from the American National Standards Institute, 11 West 42nd Street, New York, New York 10036, (212) 642-4936.
(5) American Society of Heating, Refrigerating and Air-Conditioning Engineers, Inc., Publication Sales, 1791 Tullie Circle, NE, Atlanta, GA 30329, (1-800-5-ASHRAE).
(6) American Society of Mechanical Engineers (ASME). The ASME standards listed in this paragraph may be obtained from the American Society of Mechanical Engineers, Service Center, 22 Law Drive, P.O. Box 2900, Fairfield, NJ 07007.
(c)
(2)
1. National Voluntary Laboratory Accreditation Program Handbook 150-01, “Energy Efficient Lighting Products, Lamps and Luminaires, August 1993.” National Voluntary Laboratory Accreditation Program, NIST, Gaithersburg, MD.
2. “Illuminating Engineering Society Lighting Handbook,” 8th Edition, New York, NY 1993.
(a)
(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.
(3) The estimated annual operating cost for any other specified cycle type for electric refrigerators and electric refrigerator-freezers shall be the product of the following three factors: (i) The representative average-use cycle of 365 cycles per year, (ii) the average per-cycle energy consumption for the specified cycle type, determined according to 6.2 (6.3.6 for externally vented units) of appendix A1 to this subpart, and (iii) the representative average unit cost of electricity in dollars per kilowatt-hour as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year.
(4) The energy factor for electric refrigerators and electric refrigerator-freezers, expressed in cubic feet per kilowatt-hour per cycle, shall be—
(i) For electric refrigerators and electric refrigerator-freezers not having an anti-sweat heater switch, the quotient of (A) the adjusted total volume in cubic feet, determined according to 6.1 of appendix A1 of this subpart, divided by (B) the average per-cycle energy consumption for the standard cycle in kilowatt-hours per cycle, determined according to 6.2 (6.3.6 for externally vented units) of appendix A1 of this subpart, the resulting quotient then being rounded off to the second decimal place, and
(ii) For electric refrigerators and electric refrigerator-freezers having an anti-sweat heater switch, the quotient of (A) the adjusted total volume in cubic feet, determined according to 6.1 of appendix A1 of this subpart, divided by (B) half the sum of the average per-cycle energy consumption for the standard cycle and the average per-cycle energy consumption for a test cycle type with the anti-sweat heater switch in the position set at the factory just prior to shipping, each in kilowatt-hours per cycle, determined according to 6.2 (6.3.6 for externally vented units) of appendix A1 of this subpart, the resulting quotient then being rounded off to the second decimal place.
(5) The annual energy use of electric refrigerators and electric refrigerator-freezers equals the representative average use cycle of 365 cycles per year times the average per-cycle energy consumption for the standard cycle in kilowatt-hours per cycle, determined according to 6.2 (6.3.6 for externally vented units) of appendix A1 of this subpart.
(6) Other useful measures of energy consumption for electric refrigerators and electric refrigerator-freezers shall be those measures of energy consumption for electric refrigerators and electric refrigerator-freezers which the
(7) The estimated regional annual operating cost for externally vented electric refrigerators and externally vented electric refrigerator-freezers without an anti-sweat heater switch shall be the product of the following three factors:
(i) The representative average-use cycle of 365 cycles per year,
(ii) The regional average per-cycle energy consumption for the standard cycle in kilowatt-hours per cycle, determined according to 6.3.7 of appendix A1 of this subpart and
(iii) The representative average unit cost of electricity in dollars per kilowatt-hour as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year.
(8) The estimated regional annual operating cost for externally vented electric refrigerators and externally vented electric refrigerator-freezers with an anti-sweat heater switch shall be the product of the following three factors:
(i) The representative average-use cycle of 365 cycles per year,
(ii) Half the sum of the average per-cycle energy consumption for the standard cycle and the regional average per-cycle energy consumption for a test cycle with the anti-sweat heater switch in the position set at the factory just prior to shipping, each in kilowatt-hours per cycle, determined according to 6.3.7 of appendix A1 of this subpart, and
(iii) The representative average unit cost of electricity in dollars per kilowatt-hour as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year.
(9) The estimated regional annual operating cost for any other specified cycle for externally vented electric refrigerators and externally vented electric refrigerator-freezers shall be the product of the following three factors:
(i) The representative average-use cycle of 365 cycles per year,
(ii) The regional average per-cycle energy consumption for the specified cycle, in kilowatt-hours per cycle, determined according to 6.3.7 of appendix A1 of this subpart, and
(iii) The representative average unit cost of electricity in dollars per kilowatt-hour as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year.
(b)
(2) The estimated annual operating cost for freezers with an anti-sweat heater switch shall be the product of the following three factors: (i) The representative average-use cycle of 365 cycles per year, (ii) half the sum of the average per-cycle energy consumption for the standard cycle and the average per-cycle energy consumption for a test cycle type with the anti-sweat heater switch in the position set at the factory just prior to shipping, each in kilowatt-hours per cycle, determined according to 6.2 of appendix B1 of this subpart, and (iii) the representative average unit cost of electricity in dollars per kilowatt-hour as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year.
(3) The estimated annual operating cost for an other specified cycle type for freezers shall be the product of the following three factors: (i) The representative average-use cycle of 365 cycles per year, (ii) the average per-cycle energy consumption for the specified cycle type, determined according to 6.2 of appendix B1 of this subpart and (iii) the representative average unit cost of electricity in dollars per kilowatt-hour as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year.
(4) The energy factor for freezers, expressed in cubic feet per kilowatt-hour per cycle, shall be—
(i) For freezers not having an anti-sweat heater switch, the quotient of (A) the adjusted net refrigerated volume in cubic feet, determined according to 6.1 of appendix B1 of this subpart, divided by (B) the average per-cycle energy consumption for the standard cycle in kilowatt-hours per cycle, determined according to or 6.2 of appendix B1 of this subpart, the resulting quotient then being rounded off to the second decimal place, and
(ii) For freezers having an anti-sweat heater switch, the quotient of (A) the adjusted net refrigerated volume in cubic feet, determined according to 6.1 of appendix B1 of this subpart, divided by (B) half the sum of the average per-cycle energy consumption for the standard cycle and the average per-cycle energy consumption for a test cycle type with the anti-sweat switch in the position set at the factory just prior to shipping, each in kilowatt-hours per cycle, determined according to or 6.2 of appendix B1 of this subpart, the resulting quotient then being rounded off to the second decimal place.
(5) The annual energy use of all freezers equals the representative average-use cycle of 365 cycles per year times the average per-cycle energy consumption for the standard cycle in kilowatt-hours per cycle, determined according to 6.2 of appendix B1 of this subpart.
(6) Other useful measures of energy consumption for freezers shall be those measures of energy consumption for freezers which the Secretary determines are likely to assist consumers in making purchasing decisions and which are derived from the application of appendix B1 of this subpart.
(c)
(i) When electrically-heated water is used, the product of the following three factors: (A) The representative average-use cycle of 322 cycles per year, (B) the total per-cycle energy consumption for the normal cycle as defined in 1.3 of appendix C to this subpart in kilowatt-hours per cycle, determined according to 4.4 of appendix C to this subpart, and (C) the representative average unit cost in dollars per kilowatt-hour as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year, and
(ii) When gas-heated or oil-heated water is used, the product of: The representative average use cycle of 322 cycles per year times the sum of (A) the product of the per-cycle machine electrical energy consumption for the normal cycle in kilowatt-hours per cycle, determined according to 4.3 of appendix C to this subpart, times the representative average unit cost in dollars per kilowatt-hours as provided by the Secretary plus (B) the product of the per-cycle water energy consumption for gas-heated or oil-heated water for the normal cycle, in Btu's per cycle, determined according to 4.2 of appendix C to this subpart, times the representative average unit cost in dollars per Btu for gas or oil, as appropriate, as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year.
(iii) When cold water (50
(A) The representative average use cycle of 322 cycles per year times,
(B) The product of the per-cycle machine electrical energy consumption for the normal cycle in kilowatt-hours per cycle, determined according to 4.3 of appendix C to this subpart, and
(C) The representative average unit cost in dollars per kilowatt-hours as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year.
(2) The estimated annual operating cost for dishwashers having a truncated normal cycle as defined in 1.5 of appendix C to this subpart shall be—
(i) When electrically-heated water is used, the product of the following three factors: (A) The representative average use cycle of 322 cycles per year, (B) one-half the sum of (
(ii) When gas-heated or oil-heated water is used, the product of: The representative average use cycle of 322 cycles per year times the sum of (A) one-half the product of the per-cycle machine electrical energy consumption for the normal cycle as defined in 1.3 of appendix C to this subpart, determined according to 4.3 of appendix C to this subpart, times the representative average unit cost in dollars per kilowatt-hour as provided by the Secretary, plus one-half the product of the per-cycle machine electrical energy consumption for the truncated normal cycle as defined in 1.5 of appendix C to this subpart, determined according to 4.3 of appendix C to this subpart, times the representative average unit cost in dollars per kilowatt-hour as provided by the Secretary plus (B) one-half the product of the per-cycle water energy consumption for gas-heated or oil-heated water for the normal cycle as defined in 1.3 of appendix C to this subpart, in Btu's per cycle, determined according to 4.2 of appendix C to this subpart, times the representative average unit cost in dollars per Btu for gas or oil, as appropriate, as provided by the Secretary, plus one-half the product of the per-cycle water energy consumption for gas-heated or oil-heated water for the truncated normal cycle as defined in 1.5 of appendix C to this subpart, in Btu's per cycle, determined according to 4.2 of appendix C to this subpart, times the representative average unit cost in dollars per Btu for gas or oil, as appropriate, as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year.
(iii) When cold water (50
(A) The representative average use cycle of 322 cycles per year,
(B) One-half the sum of (1) the total per-cycle energy consumption for the normal cycle as defined in 1.3 of appendix C to this subpart plus (2) the truncated normal cycle as defined in 1.5 of appendix C to this subpart, each in kilowatt-hours and determined according to 4.4 of appendix C 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.
(3) The energy factor for dishwashers, expressed in cycles per kilowatt-hour shall be—
(i) For dishwashers not having a truncated normal cycle, as defined in 1.5 of appendix C to this subpart, capable of being preset, the reciprocal of the total per cycle energy consumption for the normal cycle in kilowatt-hours per cycle, determined according to 4.4 of appendix C to this subpart, and
(ii) For dishwashers having a truncated normal cycle, as defined in 1.5 of appendix C to this subpart, capable of being preset, the reciprocal of one-half the sum of (A) the total per-cycle energy consumption for the normal cycle plus (B) the total per-cycle energy consumption for the truncated normal cycle, each in kilowatt-hours per cycle and determined according to 4.4 of appendix C to this subpart.
(4) Other useful measures of energy consumption for dishwashers shall be those measures of energy consumption for dishwashers which the Secretary determines are likely to assist consumers in making purchasing decisions and which are derived from the application of appendix C to this subpart.
(d)
(i) For an electric clothes dryer, the product of the following three factors: (A) The representative average-use cycle of 416 cycles per year, (B) the total per-cycle energy consumption in kilowatt-hours per-cycle, determined according to 4.1 of appendix D to this subpart, and (C) the representative average unit cost in dollars per kilowatt-hour as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year, and
(ii) For a gas clothes dryer, the product of the representative average-use cycle of 416 cycles per year times the sum of (A) the product of the gas dryer
(2) The energy factor, expressed in pounds of clothes per kilowatt-hour, for clothes dryers shall be either the quotient of a 3-pound bone-dry test load for compact dryers, as defined by 2.6.1 of appendix D to this subpart or the quotient of a 7 pound bone-dry test load for standard dryers, as defined by 2.6.2 of appendix D to this subpart, as applicable, divided by the clothes dryer energy consumption per cycle, as determined according to 4.1 for electric clothes dryers and 4.6 for gas clothes dryers of appendix D to this subpart, the resulting quotient then being rounded off to the nearest hundredth (.01).
(3) Other useful measures of energy consumption for clothes dryers shall be those measures of energy consumption for clothes dryers which the Secretary determines are likely to assist consumers in making purchasing decisions and which are derived from the application of appendix D to this subpart.
(e)
(i) For a gas or oil water heater, the product of the annual energy consumption, determined according to section 6.1.8 or 6.2.5 of appendix E of this subpart, times the representative average unit cost of gas or oil, as appropriate, in dollars per Btu as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year.
(ii) For an electric water heater, the product of the annual energy consumption, determined according to section 6.1.8 or 6.2.5 of appendix E of this subpart, times the representative average unit cost of electricity in dollars per kilowatt-hour as provided by the Secretary, divided by 3412 Btu per kilowatt-hour, the resulting quotient then being rounded off to the nearest dollar per year.
(2) The energy factor for the water heaters shall be—
(i) For a gas or oil water heater, as determined by section 6.1.7 or 6.2.4 of appendix E of this subpart rounded off to the nearest 0.01.
(ii) For an electric water heater, as determined by section 6.1.7 or 6.2.4 of appendix E of this subpart rounded off to the nearest 0.01.
(3) Other useful measures of energy consumption for water heaters shall be those measures of energy consumption for water heaters which the Secretary determines are likely to assist consumers in making purchasing decisions and which are derived from the application of appendix E of this subpart.
(4) The alternative uniform test method for measuring the energy consumption of untested water heaters shall be that set forth in section 7.0 of appendix E of this subpart.
(f)
(2) The energy efficiency ratio for room air conditioners, expressed in Btu's per watt-hour, shall be the quotient of: (i) The cooling capacity in Btu's per hour as determined in accordance with 4.1 of appendix F to this subpart divided by: (ii) The electrical input power in watts as determined in accordance with 4.2 of appendix F to this subpart the resulting quotient then being rounded off to the nearest 0.1 Btu per watt-hour.
(3) The average annual energy consumption for room air conditioners, expressed in kilowatt-hours per year,
(4) Other useful measures of energy consumption for room air conditioners shall be those measures of energy consumption which the Secretary determines are likely to assist consumers in making purchasing decisions and which are derived from the application of appendix F to this subpart.
(g)
(2) The estimated regional annual operating cost for primary electric heaters, shall be the product of: (i) The regional annual electric energy consumption in kilowatt-hours per year for primary heaters determined according to section 3.2 of appendix G of this subpart and (ii) the representative average unit cost in dollars per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act, the resulting product then being rounded off to the nearest dollar per year.
(3) The estimated operating cost per million Btu output shall be—
(i) For primary and supplementary electric heaters and unvented gas and oil heaters without an auxiliary electric system, the product of: (A) One million; and (B) the representative unit cost in dollars per Btu for natural gas, propane, or oil, as provided pursuant to section 323(b)(2) of the Act as appropriate, or the quotient of the representative unit cost in dollars per kilowatt-hour, as provided pursuant to section 323(b)(2) of the Act, divided by 3,412 Btu per kilowatt hour, the resulting product then being rounded off to the nearest 0.01 dollar per million Btu output; and
(ii) For unvented gas and oil heaters with an auxiliary electric system, the product of: (A) The quotient of one million divided by the rated output in Btu's per hour as determined in 3.4 of appendix G of this subpart; and (B) the sum of: (
(4) The rated output for unvented heaters is the rated output as determined according to either sections 3.3 or 3.4 of appendix G of this subpart, as appropriate, with the result being rounded to the nearest 100 Btu per hour.
(5) Other useful measures of energy consumption for unvented home heating equipment shall be those measures of energy consumption for unvented home heating equipment which the Secretary determines are likely to assist consumers in making purchasing decisions and which are derived from the application of appendix G of this subpart.
(h)
(i) The average annual energy consumed by the television set in kilowatt-hours per year, determined according to 3.0 of appendix H of this subpart, and
(ii) The representative average unit cost of energy in dollars per kilowatt-hour as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year.
(2) The receiver energy efficiency factor for television sets shall be:
(i) For color television sets, the product of the estimated minimum power
(ii) For monochrome television sets, the product of the estimated minimum power requirement (.040 kilowatts) and the average annual hours of use (2,200 hr/yr.), divided by the average annual energy consumed by the television set in kilowatt-hours per year determined according to 3.0 of appendix H of this subpart. The result is then multiplied by 100 and expressed as a percent.
(3) Other useful measures of energy consumption for televison sets shall be those measures of energy consumption for television sets which the Secretary determines are likely to assist consumers in making purchasing decisions and which are derived from the application of appendix H of this subpart.
(i)
(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 input for the test, as determined according to 4.2.1, 4.1.3, and 4.4.4, respectively, of appendix I to this subpart. The final cooking efficiency values shall be rounded off to three significant digits.
(3) [Reserved]
(4) The energy factor for conventional ranges, conventional cooking tops, conventional ovens, microwave ovens, and microwave/conventional ranges shall be the ratio of the annual useful cooking energy output to the total annual energy input, as determined according to 4.3, 4.2.3, 4.1.4, 4.4.5, respectively, of Appendix I to this subpart. The final energy factor values shall be rounded off to three significant digits.
(5) There shall be two estimated annual operating costs, two cooking efficiencies, and two energy factors for convertible cooking appliances—(i) an estimated annual operating cost, a cooking efficiency and an energy factor which represent values for those three measures of energy consumption for the operation of the appliance with natural gas; and (ii) an estimated annual operating cost, a cooking efficiency and an energy factor which represent values for those three measures of energy consumption for the operation of the appliance with LP-gas.
(6) The estimated annual operating cost for convertible cooking appliances which represents natural gas usage, as described in paragraph (i)(5)(i) of this section, shall be determined according to paragraph (i)(1) of this section using the total annual gas energy consumption for natural gas times the representative average unit cost for natural gas.
(7) The estimated annual operating cost for convertible cooking appliances
(8) The cooking efficiency for convertible cooking appliances which represents natural gas usage, as described in paragraph (i)(5)(i) of this section, shall be determined according to paragraph (i)(2) of this section when the appliance is tested with natural gas.
(9) The cooking efficiency for convertible cooking appliances which represents LP-gas usage, as described in paragraph (i)(5)(ii) of this section, shall be determined according to paragraph (i)(2) of this section, when the appliance is tested with either natural gas or propane.
(10) The energy factor for convertible cooking appliances which represents natural gas usage, as described in paragraph (i)(5)(i) of this section, shall be determined according to paragraph (i)(4) of this section when the appliance is tested with natural gas.
(11) The energy factor for convertible cooking appliances which represents LP-gas usage, as described in paragraph (i)(5)(ii) of this section, shall be determined according to paragraph (i)(4) of this section when the appliance is tested with either natural gas or propane.
(12) Other useful measures of energy consumption for conventional ranges, conventional cooking tops, conventional ovens, microwave ovens and microwave/conventional ranges shall be those measures of energy consumption which the Secretary determines are likely to assist consumers in making purchasing decisions and which are derived from the application of appendix I to this subpart.
(j)
(i) When electrically heated water is used, the product of the following three factors:
(A) The representative average-use of 392 cycles per year,
(B) The total per-cycle energy consumption in kilowatt-hours per cycle determined according to 4.1.6 of appendix J before appendix J1 becomes mandatory and 4.1.7 of appendix J1 when appendix J1 becomes mandatory, (see the note at the beginning of appendix J1), and
(C) The representative average unit cost in dollars per kilowatt-hour as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year, and
(ii) When gas-heated or oil-heated water is used, the product of: the representative average-use of 392 cycles per year and the sum of both:
(A) The product of the per-cycle machine electrical energy consumption in kilowatt-hours per cycle, determined according to 4.1.5 of appendix J before the date that appendix J1 to the subpart becomes mandatory or 4.1.6 of appendix J1 upon the date that appendix J1 to this subpart becomes mandatory, and the representative average unit cost in dollars per kilowatt-hours as provided by the Secretary, and
(B) The product of the per-cycle water energy consumption for gas-heated or oil-heated water in BTU per cycle, determined according to 4.1.4 of appendix J before the date that appendix J1 becomes mandatory or 4.1.4 of appendix J1 upon the date that appendix J1 to this subpart becomes mandatory, and the representative average unit cost in dollars per Btu for oil or gas, as appropriate, as provided by the Secretary, the resulting product then being rounded off to the nearest dollar per year.
(2)(i) The energy factor for automatic and semi-automatic clothes washers is determined in accordance with 4.5 of appendix J before the date that appendix J1 becomes mandatory or 4.5 of appendix J1 upon the date that appendix J1 to this subpart becomes mandatory. The result shall be rounded off to the nearest 0.01 cubic foot per kilowatt-hours.
(ii) The modified energy factor for automatic and semi-automatic clothes washers is determined in accordance with 4.4 of appendix J before the date that appendix J1 becomes mandatory or 4.4 of appendix J1 upon the date that appendix J1 to this subpart becomes
(3) Other useful measures of energy consumption for automatic or semi-automatic clothes washers shall be those measures of energy consumption which the Secretary determines are likely to assist consumers in making purchasing decisions and which are derived from the application of appendix J before the date that appendix J1 becomes mandatory or appendix J1 upon the date that appendix J1 to this subpart becomes mandatory. In addition, the annual water consumption of a clothes washer can be determined by the product of:
(A) The representative average-use of 392 cycles per year, and
(B) The total weighted per-cycle water consumption in gallons per cycle determined according to 4.3.2 of appendix J before the date that appendix J1 becomes mandatory or 4.2.2 of appendix J1 upon the date that appendix J1 to this subpart becomes mandatory. The water consumption factor can be determined in accordance with 4.3.3 of appendix J before the date that appendix J1 becomes mandatory or 4.2.3 of appendix J1 upon the date that appendix J1 to this subpart becomes mandatory. The remaining moisture content can be determined in accordance with 3.3 of appendix J before the date that appendix J1 becomes mandatory or 3.8 of appendix J1 upon the date that appendix J1 to this subpart becomes mandatory.
(k)—(l) [Reserved]
(m)
(i) For cooling-only units or the cooling portion of the estimated annual operating cost for air-source heat pumps which provide both heating and cooling, the product of: (A) The quotient of the cooling capacity, in Btu's per hour, determined from the steady-state wet-coil test (Test A) measured at the highest compressor speed, as described in section 3.1 of appendix M to this subpart, divided by the seasonal energy efficiency ratio, in Btu's per watt-hour, determined from section 5.1 of appendix M to this subpart; (B) the representative average use cycle for cooling of 1,000 hours per year; (C) a conversion factor of 0.001 kilowatt per watt; and (D) the representative average unit cost of electricity in dollars per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act, the resulting product then being rounded off to the nearest dollar per year;
(ii) For air-source heat pumps which provide only heating or the heating portion of the estimated annual operating cost for air-source heat pumps which provide both heating and cooling, the product of: (A) The quotient of the standardized design heating requirement, in Btu's per hour, nearest to the capacity measured in the high temperature test, determined in sections 5.2 and 6.2.6 of appendix M to this subpart, divided by the heating seasonal performance factor, in Btu's per watt-hour, calculated for heating region IV corresponding to the above mentioned standardized design heating requirement determined from section 5.2 of appendix M to this subpart; (B) the representative average use cycle for heating of 2,080 hours per year; (C) the adjustment factor of 0.77 which serves to adjust the calculated design heating requirement and heating load hours to the actual load experienced by a heating system; (D) a conversion factor of 0.001 kilowatt per watt; and (E) the representative average unit cost of electricity in dollars per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act, the resulting product then being rounded off to the nearest dollar per year; or
(iii) For air-source heat pumps which provide both heating and cooling, the estimated annual operating cost is the sum of the quantity determined in paragraph (m)(1)(i) of this section added to the quantity determined in paragraph (m)(1)(ii) of this section.
(2) The estimated regional annual operating cost for cooling-only units and for air-source heat pumps shall be one of the following:
(i) For cooling-only units or the cooling portion of the estimated regional annual operating cost for air-source heat pumps which provide both heating and cooling, the product of: (A) The quotient of the cooling capacity, in Btu's per hour, determined from the steady-state wet-coil test (Test A)
(ii) For air-source heat pumps which provide only heating or the heating portion of the estimated regional annual operating cost for air-source heat pumps which provide both heating and cooling, the product of: (A) The quotient of the standardized design heating requirement, in Btu's per hour, nearest to the capacity measured in the high temperature test (Test A), determined in sections 5.2 and 6.2.6 of appendix M to this subpart, divided by the heating seasonal performance factor, in Btu's per watt-hour, calculated for the appropriate region of interest and corresponding to the above mentioned standardized design heating requirement determined from section 5.2 of appendix M to this subpart; (B) the estimated number of regional heating load hours per year determined from section 6.2.5 of appendix M to this subpart; (C) the adjustment factor of 0.77 which serves to adjust the calculated design heating requirement and heating load hours to the actual load experienced by a heating system; (D) a conversion factor of 0.001 kilowatts per watt; and (E) the representative average unit cost of electricity in dollars per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act, the resulting product then being rounded off to the nearest dollar per year; or
(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.
(3) The measure(s) of efficiency for cooling-only units and air-source heat pumps shall be one or more of the following:
(i) The seasonal energy efficiency ratio for cooling-only units and air-source heat pumps which provide cooling shall be the seasonal energy efficiency ratio, in Btu's per watt-hour, determined according to section 5.1 of appendix M to this subpart, rounded off to the nearest 0.05.
(ii) The heating seasonal performance factors for air-source heat pumps shall be the heating seasonal performance factors, in Btu's per watt-hour, determined according to section 5.2 of appendix M to this subpart for each applicable standardized design heating requirement within each climatic region, rounded off to the nearest 0.05.
(iii) The annual performance factors for air-source heat pumps which provide heating and cooling, shall be the annual performance factors, in Btu's per watt-hour, determined according to section 5.3 of appendix M to this subpart for each standardized design heating requirement within each climatic region, rounded off to the nearest 0.05.
(4) Other useful measures of energy consumption for central air conditioners shall be those measures of energy consumption which the Secretary of Energy determines are likely to assist consumers in making purchasing decisions and which are derived from the application of appendix M to this subpart.
(5) After September 12, 1988, all measures of energy consumption shall be determined by the test method as set forth in appendix M to this subpart; or by an alternate rating method set forth in § 430.23(m)(4) as approved by the Assistant Secretary for Conservation and Renewable Energy in accordance with § 430.23(m)(5).
(n)
(2) The annual fuel utilization efficiency for furnaces, expressed in percent, is the ratio of annual fuel output of useful energy delivered to the heated space to the annual fuel energy input to the furnace determined according to section 10.1 of appendix N of this subpart for gas and oil furnaces and determined in accordance with section 11.1 of American National Standards Institute/American Society of Heating, Refrigerating, and Air-Conditioning Engineers (ANSI/ASHRAE) Standard 103-1993 for electric furnaces.
(3) The estimated regional annual operating cost for furnaces is the sum of: (i) The product of the regional annual fuel energy consumption in Btu's per year for gas or oil furnaces or in kilowatt-hours per year for electric furnaces, determined according to section 10.5.1 or 10.5.3 of appendix N of this subpart, respectively, and the representative average unit cost in dollars per Btu for gas or oil, or dollars per kilowatt-hour for electric, as appropriate, as provided pursuant to section 323(b)(2) of the Act, plus (ii) the product of the regional annual auxiliary electrical energy consumption in kilowatt-hours per year, determined according to section 10.5.2 of appendix N of this subpart, and the representative average unit cost in dollars per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act, the resulting sum then being rounded off to the nearest dollar per year.
(4) The energy factor for furnaces, expressed in percent, is the ratio of annual fuel output of useful energy delivered to the heated space to the total annual energy input to the furnace determined according to section 10.4 of appendix N of this subpart.
(5) Other useful measures of energy consumption for furnaces shall be those measures of energy consumption which the Secretary determines are likely to assist consumers in making purchasing decisions and which are derived from the application of appendix N of this subpart.
(o)
(1) The annual fuel utilization efficiency for vented home heating equipment, expressed in percent, which is the ratio of the annual fuel output of useful energy delivered to the heated space to the annual fuel energy input to the vented heater, shall be determined either according to section 4.1.17 of appendix O of this subpart for vented heaters without either manual controls or thermal stack dampers; according to section 4.2.6 of appendix O of this subpart for vented heaters equipped with manual controls; or according to section 4.3.7 of appendix O of this subpart for vented heaters equipped with thermal stack dampers.
(2) The estimated annual operating cost for vented home heating equipment is the sum of: (i) The product of the average annual fuel energy consumption, in Btu's per year for natural gas, propane, or oil fueled vented home heating equipment, determined according to section 4.6.2 of appendix O of this subpart, and the representative average unit cost in dollars per Btu for natural gas, propane, or oil, as appropriate, as provided pursuant to section 323(b)(2) of the Act; plus (ii) The product of the average annual auxiliary electric energy consumption in kilowatt-hours per year determined according to section 4.6.3 of appendix O of this subpart, and the representative average unit cost in dollars per kilowatt-hours as provided pursuant to section 323(b)(2) of the Act, the resulting sum then being rounded off to the nearest dollar per year.
(3) The estimated operating cost per million Btu output for gas or oil vented home heating equipment with an auxiliary electric system shall be the product of: (A) The quotient of one million
(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)
(i) The product of the average annual fuel energy consumption, in Btu's per year, of natural gas or oil fueled pool heaters, determined according to section 4.2 of appendix P of this subpart, and the representative average unit cost in dollars per Btu for natural gas or oil, as appropriate, as provided pursuant to section 323(b)(2) of the Act; plus
(ii) The product of the average annual auxiliary electric energy consumption in kilowatt-hours per year determined according to section 4.3 of appendix P of this subpart, and the representative average unit cost in dollars per kilowatt-hours as provided pursuant to section 323(b)(2) of the Act, the resulting sum then being rounded off to the nearest dollar per year.
(2) The thermal efficiency of pool heaters, expressed as a percent, shall be determined in accordance with section 4 of appendix P to this subpart.
(q)
(2) Ballast Efficacy Factor (BEF) shall be as determined in section 4.2 of appendix Q of this subpart.
(3) The Estimated Annual Operating Cost (EAOC) for fluorescent lamp ballasts, expressed in dollars per year, shall be the product of: (i) The representative average unit energy cost of electricity in dollars per kilowatt-hour as provided by the Secretary, (ii) the representative average use cycle of 1,000 hours per year, and (iii) the input power in kilowatts as determined in accordance with section 3.3.1 of appendix Q to this subpart, the resulting product then being rounded off to the nearest dollar per year.
(4) Other useful measures which may be applicable. [Reserved]
(r)
(1) The estimated annual energy consumption for general service fluorescent lamps and incandescent reflector lamps, expressed in kilowatt-hours per year, shall be the product of the input power in kilowatts as determined in accordance with section 4 of Appendix R to this subpart and an average annual use specified by the manufacturer, with the resulting product rounded off to the nearest kilowatt-hour per year. Manufacturers must provide a clear and accurate description of the assumptions used for the estimated annual energy consumption.
(2) The lamp efficacy for general service fluorescent lamps shall be equal to the average lumen output divided by the average lamp wattage as determined in section 4 of Appendix R of this subpart, with the resulting
(3) The lamp efficacy for incandescent reflector lamps shall be equal to the average lumen output divided by the average lamp wattage as determined in section 4 of Appendix R of this subpart, with the resulting quotient rounded off to the nearest tenth of a lumen per watt.
(4) The color rendering index of a general service fluorescent lamp shall be tested and determined in accordance with section 4.5 of Appendix R of this subpart and rounded off to the nearest unit.
(s)
(t)
(u)
(v)
For
When testing of a covered product is required to comply with section 323(c) of the Act, or to comply with rules prescribed under sections 324 or 325 of the Act, a sample shall be selected and tested comprised of units which are production units, or are representative of production units of the basic model being tested, and shall meet the following applicable criteria.
(a)(1) For each basic model
(i) Any represented value of estimated annual operating cost, energy consumption or other measure of energy consumption of a basic model for which consumers would favor lower values shall be no less than the higher of (A) the mean of the sample or (B) the upper 95 percent confidence limit of the true mean divided by 1.10, and
(ii) Any represented value of the energy factor or other measure of energy consumption of a basic model for which consumer would favor higher values shall be no greater than the lower of (A) the mean of the sample or (B) the lower 95 percent confidence limit of the true mean divided by .90.
(b)(1) For each basic model
(i) Any represented value of estimated annual operating cost, energy consumption or other measure of energy consumption of a basic model for which consumers would favor lower values shall be no less than the higher of (A) the mean of the sample or (B) the upper 95 percent confidence limit of the true mean divided by 1.10, and
(ii) Any represented value of the energy factor or other measure of energy consumption of a basic model for which consumers would favor higher values shall be no greater than the lower of (A) the mean of the sample or (B) the lower 95 percent confidence limit of the true mean divided by .90.
(c)(1) For each basic model
(i) Any represented value of estimated annual operating cost, energy consumption or other measure of energy consumption of a basic model for
(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
(d)(1) For each basic model
(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
(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
(e)(1) For each basic model
(i) Any represented value of estimated annual operating cost, energy consumption or other measure of energy consumption of a basic model for which consumers would favor lower values shall be no less than the higher of (A) the mean of the sample or (B) the upper 95 percent confidence limit of the true mean divided by 1.10, and
(ii) Any represented value of the energy factor or other measure of energy consumption of a basic model for which consumers would favor higher values shall be no greater than the lower of (A) the mean of the sample or (B) the lower 95 percent confidence limit of the true mean divided by .90.
(f)(1) For each basic model
(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
(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
(g)(1) For each basic model
(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
(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
(h)(1) For each basic model
(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
(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
(i)(1) Except as provided in paragraph (i)(2) of this section, for each basic model
(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
(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
(2) Basic models need not be tested which differ from other tested basic models by only the design of oven doors the use of which leads to improved efficiency and decreased energy consumption and estimated annual operating cost. Any represented values of measures of energy consumption for basic models not tested shall be the same as for the tested basic model.
(j)(1) For each basic model
(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
(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
(k)—(l) [Reserved]
(m)(1) For central air conditioners, each condensing unit shall have a condenser-evaporator coil combination selected and a sample of sufficient size tested in accordance with applicable provisions of this subpart such that—
(i) Any represented value of estimated annual operating cost, energy consumption or other measure of energy consumption of the condenser-evaporator coil combination 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 90 percent confidence limit of the true mean divided by 1.05, and
(ii) Any represented value of the energy efficiency or other measure of energy consumption of the condenser-evaporator coil combination for which consumers would favor higher values shall be no greater than the lower of (A) the mean of the sample or (B) the lower 90 percent confidence limit of the true mean divided by 0.95.
(2) The condenser-evaporator coil combination selected for tests pursuant to paragraph (m)(1) of this section shall be that combination manufactured by the condensing unit manufacturer likely to have the largest volume of retail sales. Components of similar design may be substituted without requiring additional testing if the represented measures of energy consumption continue to satisfy the applicable sampling provisions of paragraphs (m)(1)(i) and (m)(1)(ii) of this section. For every other condenser-evaporator coil combination manufactured by the same manufacturer or in part by a component manufacturer using that same condensing unit, either—
(i) A sample of sufficient size, comprised of production units or representing production units, shall be tested to ensure that the requirements of paragraphs (m)(1)(i) and (m)(1)(ii) of this section are met for such other condenser-evaporator coil combinations; or
(ii) The representative values of the measures of energy consumption shall be based on an alternative rating method that has been approved by DOE in accordance with the provisions of paragraphs (m)(4) and (m)(5) of this section.
(3) Whenever the representative values of the measures of energy consumption, as determined by the provisions of paragraph (m)(2)(ii) of this section,
(4) The basis of the alternative rating method referred to in paragraph (m)(2)(ii) of this section shall be a representation of the test data and calculations of a mechanical vapor compression refrigeration cycle. The major components in the refrigeration cycle shall be modeled as “fits” to manufacturer performance data or by graphic or tabular performance data. Heat transfer characteristics of coils may be modeled as a 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 degradation coefficient.
(5) Manufacturers who elect to use an alternative rating method for determining measures of energy consumption under paragraphs (m)(2)(ii) and (m)(4) of this section must submit a request to DOE for reviewing the alternative rating method to the Assistant Secretary of Conservation and Renewable Energy, 1000 Independence Avenue, SW., Washington, DC 20585, and receive approval to use the alternative method by the Assistant Secretary before the alternative method may be used for rating central air conditioners.
(6) Each request to DOE for reviewing an alternative rating method shall include:
(i) The name, address and telephone number of the official representing the manufacturer.
(ii) Complete documentation of the alternative rating procedure, including the computer code when a computer model is used.
(iii) Test data for two coils from two different coil families for two different condensing units. The tested capacities for the matched systems for the two condensing units shall differ by at least a factor of two. Rating information for the mixed systems shall include the ratings from testing, and from the alternative rating method.
(iv) Complete test data, product information, and related information to allow DOE to verify the rating information submitted by the manufacturer.
(7) Manufacturers that elect to use an alternative rating method for determining measures of energy consumption under paragraphs (m)(2)(ii) and (m)(4) of this section must either subject a sample of their units to independent testing on a regular basis, e.g., voluntary certification program, or have the representations reviewed and certified by an independent state-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 change to be made to the alternative rating method, must be approved by DOE prior to its use for rating.
(8) Manufacturers who choose to use computer simulation or engineering analysis for determining measures of energy consumption under paragraphs (m)(2)(ii) and (m)(5) of this section shall permit representatives of the Department of Energy to inspect for verification purposes the simulation method or methods used. This inspection may include conducting simulations to predict the performance of particular condenser-evaporator coil combinations specified by DOE, analysis of previous simulations conducted by a manufacturer, or both.
(n)(1) For each basic model
(i) Any represented value of estimated annual operating cost, energy
(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
(2) For the lowest capacity basic model
(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
(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
(3) For the highest capacity basic model
(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 be no less than the higher of (A) the mean of the sample, or (B) the upper 97
(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
(4) For basic model
(i) A linear interpolation of data obtained for the smallest and largest capacity units of the family, or
(ii) Testing a sample of sufficient size to insure that (A) any represented value of estimated annual operating cost, energy consumption or other measure of energy consumption of a basic model for which consumers would favor lower values shall be no less than the higher of (
(5) Whenever measures of energy consumption determined by linear interpolation do not agree with measures of energy consumption determined by actual testing, the values determined by testing will be assumed to be the more reliable values.
(6) In calculating the measures of energy consumption for each unit tested, use the design heating requirement corresponding to the mean of the capacities of the units of the sample.
(o)(1) For each basic model
(i) Any represented value of estimated annual operating cost, energy consumption or other measure of energy consumption of a basic model for
(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
(2) In calculating the measures of energy consumption for each unit tested use the design heating requirement corresponding to the mean of the capacities of the units of the sample.
(p)(1) For each basic model
(i) [Reserved]
(ii) Any represented value of the fuel utilization efficiency or other measure of energy consumption of a basic model for which consumers would favor higher values shall be no greater than the lower of (A) the mean of the sample or (B) the lower 97
(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—
(i) Any represented value of estimated annual energy operating costs, energy consumption, or other measure of energy consumption of a basic model for which consumers would favor lower values shall be no less than the higher of (A) the mean of the sample or (B) the upper 99 percent confidence limit of the true mean divided by 1.01, and
(ii) Any represented value of the ballast efficacy factor or other measure of the energy consumption of a basic model for which consumers would favor a higher value shall be no greater than the lower of (A) the mean of the sample or (B) the lower 99 percent confidence limit of the true mean divided by 0.99.
(r)(1) For each basic model of general service fluorescent lamp and incandescent reflector lamp, samples of production lamps shall be tested and the results for all samples shall be averaged for a 12-month period. A minimum sample of 21 lamps shall be tested. The manufacturer shall randomly select a minimum of three lamps from each month of production for a minimum of 7 out of the 12-month period. In the instance where production occurs during fewer than 7 of such 12 months, the manufacturer shall randomly select a 3 or more lamps from each month of production, where the number of lamps selected for each month shall be distributed as evenly as practicable among the months of production to attain a minimum sample of 21 lamps. Any represented value of lamp efficacy of a basic model shall be based on the sample and shall be no greater than the lower of the mean of the sample or the lower 95-percent confidence limit of the true mean (X
(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
(s) For each basic model of faucet,
(1) The mean of the sample or
(2) The upper 95 percent confidence limit of the true mean divided by 1.05.
(t) For each basic model
(1) The mean of the sample or
(2) The upper 95 percent confidence limit of the true mean divided by 1.05.
(u) For each basic model
(1) The mean of the sample or
(2) The upper 90 percent confidence limit of the true mean divided by 1.1.
(v) For each basic model
(1) The mean of the sample or
(2) The upper 90 percent confidence limit of the true mean divided by 1.1.
The testing for general service fluorescent lamps, general service incandescent lamps, incandescent reflector lamps, and medium base compact fluorescent lamps, shall be performed in accordance with Appendix R to this subpart and shall be conducted by test laboratories accredited by the National Voluntary Laboratory Accreditation Program (NVLAP) or by an accrediting organization recognized by NVLAP. NVLAP is a program of the National Institute of Standards and Technology, U. S. Department of Commerce. NVLAP standards for accreditation of laboratories that test for compliance with standards for lamp efficacy and CRI are given in 15 CFR part 285 as supplemented by
(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,
(2) Any interested person who has submitted a Petition for Waiver as provided in this subpart may also file an Application for Interim Waiver of the applicable test procedure requirements.
(b)(1) A Petition for Waiver shall be submitted, in triplicate, to the Assistant Secretary for Conservation and Renewable Energy, United States Department of Energy. Each Petition for Waiver shall:
(i) Identify the particular basic model(s) for which a waiver is requested, the design characteristic(s) constituting the grounds for the petition, and the specific requirements sought to be waived and shall discuss in detail the need for the requested waiver;
(ii) Identify manufacturers of all other basic models marketed in the United States and known to the petitioner to incorporate similar design characteristic(s);
(iii) Include any alternate test procedures known to the petitioner to evaluate in a manner representative of the energy consumption characteristics, or water consumption characteristics (in the case of faucets, showerheads, water closets, and urinals) of the basic model; and
(iv) Be signed by the petitioner or by an authorized representative. In accordance with the provisions set forth in 10 CFR 1004.11, any request for confidential treatment of any information contained in a Petition for Waiver or in supporting documentation must be accompanied by a copy of the petition, application or supporting documentation from which the information claimed to be confidential has been deleted. DOE shall publish in the
(2) An Application for Interim Waiver shall be submitted in triplicate, with the required three copies of the Petition for Waiver, to the Assistant Secretary for Conservation and Renewable Energy, U.S. Department of Energy. Each Application for Interim Waiver shall reference the Petition for Waiver by identifying the particular basic model(s) for which a waiver and temporary exception are being sought. Each Application for Interim Waiver shall demonstrate likely success of the Petition for Waiver and shall address what economic hardship and/or competitive disadvantage is likely to result absent a favorable determination on the Application for Interim Waiver. Each Application for Interim Waiver shall be signed by the applicant or by an authorized representative.
(c)(1) Each petitioner, after filing a Petition for Waiver with DOE, and after the Petition for Waiver has been published in the
(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
(d) Any person submitting written comments to DOE with respect to an Application for Interim Waiver shall also send a copy of the comments to the applicant.
(e) If administratively feasible, applicant shall be notified in writing of the disposition of the Application for Interim Waiver within 15 business days of receipt of the application. Notice of DOE's determination on the Application for Interim Waiver shall be published in the
(f) The filing of an Application for Interim Waiver shall not constitute grounds for noncompliance with any requirements of this subpart, until an Interim Waiver has been granted.
(g) An Interim Waiver from test procedure requirements will be granted by the Assistant Secretary for Conservation and Renewable Energy if it is determined that the applicant will experience economic hardship if the Application for Interim Waiver is denied, if it appears likely that the Petition for Waiver will be granted, and/or the Assistant Secretary determines that it would be desirable for public policy reasons to grant immediate relief pending a determination on the Petition for Waiver.
(h) An interim waiver will terminate 180 days after issuance or upon the determination on the Petition for Waiver, whichever occurs first. An interim waiver may be extended by DOE for 180 days. Notice of such extension and/or any modification of the terms or duration of the interim waiver shall be published in the
(i) Following publication of the Petition for Waiver in the
(j) The petitioner shall be notified in writing as soon as practicable of the disposition of each Petition for Waiver. The Assistant Secretary for Conservation and Renewable Energy shall issue a decision on the petition as soon as is practicable following receipt and review of the Petition for Waiver and other applicable documents, including, but not limited to, comments and rebuttal statements.
(k) The filing of a Petition for Waiver shall not constitute grounds for noncompliance with any requirements of this subpart, until a waiver or interim waiver has been granted.
(l) Waivers will be granted by the Assistant Secretary for Conservation and Renewable Energy, if it is determined that the basic model for which the waiver was requested contains a design characteristic which either prevents testing of the basic model according to the prescribed test procedures, or the prescribed test procedures may evaluate the basic model in a manner so unrepresentative of its true energy consumption characteristics, or water consumption characteristics (in the case of faucets, showerheads, water closets, and urinals) as to provide materially inaccurate comparative data. Waivers may be granted subject to conditions, which may include adherence to alternate test procedures specified by the Assistant Secretary for Conservation and Renewable Energy. The Assistant Secretary shall consult with the Federal Trade Commission prior to granting any waiver, and shall promptly publish in the
(m) Within one year of the granting of any waiver, the Department of Energy will publish in the
(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.
1.1 “HRF-1-1979” means the Association of Home Appliance Manufacturers standard for household refrigerators, combination refrigerator-freezers, and household freezers, also approved as an American National Standard as a revision of ANSI B 38.1-1970.
1.2 “Adjusted total volume” means the sum of (i) the fresh food compartment volume as defined in HRF-1-1979 in cubic feet, and (ii) the product of an adjustment factor and the net freezer compartment volume as defined in HRF-1-1979, in cubic feet.
1.3 “Anti-sweat heater” means a device incorporated into the design of a refrigerator or refrigerator-freezer to prevent the accumulation of moisture on exterior surfaces of the cabinet under conditions of high ambient humidity.
1.4 “All-refrigerator” means an electric refrigerator which does not include a compartment for the freezing and long time storage of food at temperatures below 32° 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.
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.
1.6 “Cycle type” means the set of test conditions having the calculated effect of operating an electric refrigerator or electric refrigerator-freezer for a period of 24 hours, with the consumer activated controls other than those that control compartment temperatures set to establish various operating characteristics.
1.7 “Standard cycle” means the cycle type in which the anti-sweat heater control, when provided, is set in the highest energy consuming position.
1.8 “Automatic defrost” means a system in which the defrost cycle is automatically initiated and terminated, with resumption of normal refrigeration at the conclusion of the defrost operation. The system automatically prevents the permanent formation of frost on all refrigerated surfaces. Nominal refrigerated food temperatures are maintained during the operation of the automatic defrost system.
1.9 “Long-time Automatic Defrost” means an automatic defrost system where successive defrost cycles are separated by 14 hours or more of compressor-operating time.
1.10 “Stabilization Period” means the total period of time during which steady-state conditions are being attained or evaluated.
1.11 “Variable defrost control” means a long-time automatic defrost system (except the 14-hour defrost qualification does not apply) where successive defrost cycles are determined by an operating condition variable or variables other than solely compressor operating time. This includes any electrical or mechanical device. Demand defrost is a type of variable defrost control.
1.12 “Externally vented refrigerator or refrigerator-freezer” means an electric refrigerator or electric refrigerator-freezer that: has an enclosed condenser or an enclosed condenser/compressor compartment and a set of air ducts for transferring the exterior air from outside the building envelope into, through and out of the refrigerator or refrigerator-freezer cabinet; is capable of mixing exterior air with the room air before discharging into, through, and out of the condenser or condenser/compressor compartment; includes thermostatically controlled dampers or controls that enable the mixing of the exterior and room air at low outdoor temperatures, and the exclusion of exterior air when the outdoor air temperature is above 80 °F or the room air temperature; and may have a thermostatically actuated exterior air fan.
2.1 Ambient temperature. The ambient temperature shall be 90.0
2.2 Operational conditions. The electric refrigerator or electric refrigerator-freezer shall be installed and its operating conditions maintained in accordance with HRF-1-1979, section 7.2 through section 7.4.3.3, except that the vertical ambient temperature gradient at locations 10 inches (25.4 cm) out from the centers of the two sides of the unit being tested is to be maintained during the test. Unless the area is obstructed by shields or baffles, the gradient is to be maintained from 2 inches (5.1 cm) above the floor or supporting platform to a height one foot (30.5 cm) above the unit under test. Defrost controls are to be operative and the anti-sweat heater switch is to be “on” during one test and “off” during a second test. Other exceptions are noted in 2.3, 2.4, and 5.1 below.
2.3 Conditions for automatic defrost refrigerator-freezers. For automatic defrost refrigerator-freezers, the freezer compartments shall not be loaded with any frozen food packages. Cylindrical metallic masses of dimensions 1.12
2.4 Conditions for all-refrigerators. There shall be no load in the freezer compartment during the test.
2.5 Steady State Condition. Steady state conditions exist if the temperature measurements in all measured compartments taken at four minute intervals or less during a stabilization period are not changing at a rate greater than 0.042° F. (0.023° C.) per hour as determined by the applicable condition of A or B.
A. The average of the measurements during a two hour period if no cycling occurs or during a number of complete repetitive compressor cycles through a period of no less than two hours is compare to the average over an equivalent time period with three hours elapsed between the two measurement periods.
B. If A above cannot be used, the average of the measurements during a number of complete repetitive compressor cycles through a period of no less than two hours and including the last complete cycle prior to a defrost period, or if no cycling occurs, the average of the measurements during the last two hours prior to a defrost period; are compared to the same averaging period prior to the following defrost period.
2.6 Exterior air for externally vented refrigerator or refrigerator-freezer. An exterior air source shall be provided with adjustable temperature and pressure capabilities. The exterior air temperature shall be adjustable from 35
2.6.1 Air duct. The exterior air shall pass from the exterior air source to the test unit through an insulated air duct.
2.6.2 Air temperature measurement. The air temperature entering the condenser or condenser/compressor compartment shall be maintained to
2.6.3 Exterior air static pressure. The exterior air static pressure at the inlet point of the unit shall be adjusted to maintain a negative pressure of 0.20″
3.1 Model with no user operable temperature control. A test shall be performed during which the compartment temperatures and energy use shall be measured. A second test shall be performed with the temperature control electrically short circuited to cause the compressor to run continuously.
3.2 Model with user operable temperature control. Testing shall be performed in accordance with one of the following sections using the standardized temperatures of:
Variable defrost control models: 5
3.2.1 A first test shall be performed with all compartment temperature controls set at their median position midway between their warmest and coldest settings. Knob detents shall be mechanically defeated if necessary to attain a median setting. A second test shall be performed with all controls set at either their warmest or their coldest setting (not electrically or mechanically bypassed), whichever is appropriate, to attempt to achieve compartment temperatures measured during the two tests which bound (i.e., one is above and one is below) the standardized temperature for the type of product being tested. If the compartment temperatures measured during these two tests bound the appropriate standardized temperature, then these test results shall be used to determine energy consumption. If the compartment temperature measured with all controls set at their coldest setting is above the standardized temperature, a third test shall be performed with all controls set at their warmest setting and the result of this test shall be used with the result of the test performed with all controls set at their coldest setting to determine energy consumption. If the compartment temperature measured with all controls set at their warmest setting is below the standardized temperature; and the fresh food compartment temperature is below 45° 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.
3.2.2 Alternatively, a first test may be performed with all temperature controls set at their warmest setting. If the compartment temperature is below the appropriate standardized temperature, and the fresh food compartment temperature is below 45° 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.
3.2.3 Alternatively, a first test may be performed with all temperature controls set at their coldest setting. If the compartment temperature is above the appropriate standardized temperature, a second test shall be performed with all controls set at their warmest control setting and the results of these two tests shall be used to determine energy consumption. If the above condition is not met, then the unit shall be tested in accordance with 3.2.1 above.
3.3 Variable defrost control optional test. After a steady-state condition is achieved, the optional test requires door-openings for 12
4.1 Test Period. Tests shall be performed by establishing the conditions set forth in Section 2, and using control settings as set forth in Section 3, above.
4.1.1 Nonautomatic Defrost. If the model being tested has no automatic defrost system, the test time period shall start after steady state conditions have been achieved and be of not less than three hours in duration. During the test period, the compressor motor shall complete two or more whole compressor cycles (a compressor cycle is a complete “on” and a complete “off” period of the motor). If no “off” cycling will occur, as determined during the stabilization period, the test period shall be three hours. If incomplete cycling (less than two compressor cycles) occurs during a 24 hour period, the results of the 24 hour period shall be used.
4.1.2 Automatic Defrost. If the model being tested has an automatic defrost system, the test time period shall start after steady state conditions have been achieved and be from one point during a defrost period to the same point during the next defrost period. If the model being tested has a long-time automatic defrost system, the alternative provisions of 4.1.2.1 may be used.If the model being tested has a variable defrost control, the provisions of section 4.1.2.2 or 4.1.2.3 shall apply. If the model has a dual compressor system the provisions of 4.1.2.4 shall apply.
4.1.2.1 Long-time Automatic Defrost. If the model being tested has a long-time automatic defrost system, the test time period may consist of two parts. A first part would be the same as the test for a unit having no defrost provisions (section 4.1.1). The second part would start when a defrost period is initiated during a compressor “on” cycle and terminate at the second turn “on” of the compressor motor or after four hours, whichever comes first.
4.1.2.2 Variable defrost control. If the model being tested has a variable defrost control system, the test shall consist of three parts. Two parts shall be the same as the test for long-time automatic defrost (section 4.1.2.1). The third part is the optional test to determine the time between defrosts (section 5.2.1.3). The third part is used by manufacturers that choose not to accept the default value of F of 0.20, to calculate CT.
4.1.2.3 Variable defrost control optional test. After steady-state conditions with no door openings are achieved in accordance with section 3.3 above, the test is continued using the above daily door-opening sequence until stabilized operation is achieved. Stabilization is defined as a minimum of three consecutive defrost cycles with times between defrosts that will allow the calculation of a Mean Time Between Defrosts (MTBD1) that satisfies the statistical relationship of 90 percent confidence. The test is repeated on at least one more unit of the model and until the Mean Time Between Defrosts for the multiple unit tests (MTBD2) satisfies the statistical relationship. If the time between defrosts is greater than 96 hours (compressor “on” time) and this defrost period can be repeated on a second unit, the test may be terminated at 96 hours (CT) and the absolute time value used for MTBD for each unit.
4.1.2.4 Dual compressor systems with automatic defrost. If the model being tested has separate compressor systems for the refrigerator and freezer sections, each with its own automatic defrost system, then the two-part method in 4.1.2.1 shall be used. The second part of the method will be conducted separately for each automatic defrost system. The auxiliary components (fan motors, anti-sweat heaters, etc.) will be identified for each system and the energy consumption measured during each test.
5.1 Temperature Measurements. Temperature measurements shall be made at the locations prescribed in Figures 7.1 and 7.2 of HRF-1-1979 and shall be accurate to within
If the interior arrangements of the cabinet do not conform with those shown in Figure 7.1 and 7.2 of HRF-1-1979, measurements shall be taken at selected locations chosen to represent approximately the entire refrigerated compartment. The locations selected shall be a matter of record.
5.1.1 Measured Temperature. The measured temperature of a compartment is to be the average of all sensor temperature readings taken in that compartment at a particular time. Measurements shall be taken at regular intervals not to exceed four minutes.
5.1.2 Compartment Temperature. The compartment temperature for each test period shall be an average of the measured temperatures taken in a compartment during a complete cycle or several complete cycles of the compressor motor (one compressor cycle is one complete motor “on” and one complete motor “off” period). For long-time automatic defrost models, compartment temperatures shall be those measured in the first part of the test period specified in 4.1.1. For models equipped with variable defrost controls, compartment temperatures shall be those measured in the first part of the test period specified in 4.1.2.2 above.
5.1.2.1 The number of complete compressor motor cycles over which the measured temperatures in a compartment are to be averaged to determine compartment temperature shall be equal to the number of minutes between measured temperature readings, rounded up to the next whole minute or a number of complete cycles over a time period exceeding one hour. One of the cycles shall be the last complete compressor motor cycle during the test period.
5.1.2.2 If no compressor motor cycling occurs, the compartment temperature shall be the average of the measured temperatures taken during the last thirty-two minutes of the test period.
5.1.2.3 If incomplete cycling occurs, the compartment temperatures shall be the average of the measured temperatures taken during the last three hours of the last complete “on” period.
5.2 Energy Measurements
5.2.1 Per-day Energy Consumption. The energy consumption in kilowatt-hours per day for each test period shall be the energy expended during the test period as specified in section 4.1 adjusted to a 24 hour period. The adjustment shall be determined as follows:
5.2.1.1 Nonautomatic and automatic defrost models. The energy consumption in kilowatt-hours per day shall be calculated equivalent to:
5.2.1.2 Long-time Automatic Defrost. If the two part test method is used, the energy consumption in kilowatt-hours per day shall be calculated equivalent to:
5.2.1.3 Variable defrost control. The energy consumption in kilowatt-hours per day shall be calculated equivalent to:
5.2.1.4 Optional test method for variable defrost controls.
5.2.1.5 Dual compressor systems with dual automatic defrost. The two-part test method in section 4.1.2.2 must be used, the energy consumption in kilowatt per day shall be calculated equivalent to:
5.3 Volume measurements. The electric refrigerator or electric refrigerator-freezer total refrigerated volume, VT, shall be measured in accordance with HRF-1-1979, section 3.20 and sections 4.2 through 4.3 and be calculated equivalent to:
5.4 Externally vented refrigerator or refrigerator-freezer units. All test measurements for the externally vented refrigerator or refrigerator-freezer shall be made in accordance with the requirements of other sections of this appendix, except as modified in this section 5.4 or other sections expressly applicable to externally vented refrigerators or refrigerator-freezers.
5.4.1 Operability of thermostatic and mixing of air controls. Prior to conducting energy consumption tests, the operability of thermostatic controls that permit the mixing of exterior and ambient air when exterior air temperatures are less than 60 °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
5.4.2 Energy consumption tests.
5.4.2.1 Correction factor test. To enable calculation of a correction factor, K, two full cycle tests shall be conducted to measure energy consumption of the unit with air mixing controls disabled and the condenser inlet air temperatures set at 90 °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
5.4.2.2 Energy consumption at 90 °F. The unit shall be tested at 90 °F (32.2 °C) exterior air temperature to record the energy consumptions (e
5.4.2.3 Energy consumption at 60 °F. The unit shall be tested at 60 °F (26.7 °C) exterior air temperature to record the energy consumptions (e
5.4.2.4 Energy consumption if mixing controls do not operate properly. If the operability of temperature and mixing controls has not been verified as required under 5.4.1, the unit shall be tested at 50 °F (10.0 °C) and 30 °F (−1.1 °C) exterior air temperatures to record the energy consumptions (e
6.1 Adjusted Total Volume.
6.1.1 Electric refrigerators. The adjusted total volume, VA, for electric refrigerators under test shall be defined as:
6.1.2 Electric refrigerator-freezers. The adjusted total volume, VA, for electric refrigerator-freezers under test shall be calculated as follows:
6.2 Average Per-Cycle Energy consumption.
6.2.1 All-refrigerator Models. The average per-cycle energy consumption for a cycle type is expressed in kilowatt-hours per cycle to the nearest one hundredth (0.01) kilowatt-hour and shall depend upon the temperature attainable in the fresh food compartment as shown below.
6.2.1.1 If the fresh food compartment temperature is always below 38.0° F. (3.3° C.), the average per-cycle energy consumption shall be equivalent to:
6.2.1.2 If 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:
6.2.2 Refrigerators and refrigerator-freezers. The average per-cycle energy consumption for a cycle type is expressed in kilowatt-hours per-cycle to the nearest one hundredth (0.01) kilowatt-hour and shall be defined in the applicable following manner.
6.2.2.1 If the fresh food compartment temperature is always at or below 45° 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:
6.2.2.2 If the conditions of 6.2.2.1 do not exist, the per-cycle energy consumption shall be defined by the higher of the two values calculated by the following two formulas:
6.3 Externally vented refrigerator or refrigerator-freezers. Per-cycle energy consumption measurements for the externally vented refrigerator or refrigerator-freezer shall be calculated in accordance with the requirements of this Appendix, as modified in sections 6.3.1-6.3.7.
6.3.1 Correction factor. A correction factor, K, shall be calculated as:
6.3.2 Combining test results of different settings of compartment temperature controls. For a given setting of the anti-sweat heater, follow the calculation procedures of 6.2 to combine the test results for energy consumption of the unit at different temperature control settings for each condenser inlet air temperature tested under 5.4.2.2, 5.4.2.3, and 5.4.2.4, where applicable, (e
6.3.3 Energy consumption corrections. For a given setting of the anti-sweat heater, the energy consumptions
6.3.4 Energy profile equation. For a given setting of the anti-sweat heater, the energy consumption E
6.3.5 Energy 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
6.3.6 National average per cycle energy consumption. For a given setting of the anti-sweat heater, calculate the national average energy consumption, E
6.3.7 Regional average per cycle energy consumption. If regional average per cycle energy consumption is required to be calculated, for a given setting of the anti-sweat heater, calculate the regional average per cycle energy consumption, E
1.1 “HRF-1-1979” means the Association of Home Appliance Manufacturers standard for household refrigerators, combination refrigerators-freezers, and household freezers, also approved as an American National Standard as a revision of ANSI B38.1-1970.
1.2 “Anti-sweat heater” means a device incorporated into the design of a freezer to prevent the accumulation of moisture on exterior surfaces of the cabinet under conditions of high ambient humidity.
1.3 “Cycle” means the period of 24 hours for which the energy use of a freezer is calculated as though the consumer-activated compartment temperature controls were preset so that the desired compartment temperatures were maintained.
1.4 “Cycle type” means the set of test conditions having the calculated effect of operating a freezer for a period of 24 hours with the consumer-activated controls other than the compartment temperature control set to establish various operating characteristics.
1.5 “Standard cycle” means the cycle type in which the anti-sweat heater switch, when provided, is set in the highest energy consuming position.
1.6 “Adjusted total volume” means the product of, (1) the freezer volume as defined in HRF-1-1979 in cubic feet, times (2) an adjustment factor.
1.7 “Automatic Defrost” means a system in which the defrost cycle is automatically initiated and terminated, with resumption of normal refrigeration at the conclusion of defrost operation. The system automatically prevents the permanent formation of frost on all refrigerated surfaces. Nominal refrigerated food temperatures are maintained during the operation of the automatic defrost system.
1.8 “Long-time Automatic Defrost” means an automatic defrost system where successive defrost cycles are separated by 14 hours or more of compressor-operating time.
1.9 “Stabilization Period” means the total period of time during which steady-state conditions are being attained or evaluated.
1.10 “Variable defrost control” means a long-time automatic defrost system (except the 14-hour defrost qualification does not
1.11 “Quick freeze” means an optional feature on freezers which is initiated manually and shut off manually. It bypasses the thermostat control and places the compressor in a steady-state operating condition until it is shut off.
2.1 Ambient temperature. The ambient temperature shall be 90.0
2.2 Operational conditions. The freezer shall be installed and its operating conditions maintained in accordance with HRF-1-1979, section 7.2 through section 7.4.3.3, except that the vertical ambient gradient at locations 10 inches (25.4 cm) out from the the centers of the two sides of the unit being tested is to be maintained during the test. Unless the area is obstructed by shields or baffles, the gradient is to be maintained from 2 inches (5.1 cm) above the floor or supporting platform to a height one foot (30.5 cm) above the unit under test. Defrost controls are to be operative and the anti-sweat heater switch is to be “on” during one test and “off” during a second test. The quick freeze option shall be switched off unless specified.
2.3 Steady State Condition. Steady state conditions exist if the temperature measurements taken at four minute intervals or less during a stabilization period are not changing at a rate greater than 0.042° F. (0.023° C.) per hour as determined by the applicable condition of A or B.
3.1 Model with no user operable temperature control. A test shall be performed during which the compartment temperature and energy use shall be measured. A second test shall be performed with the temperature control electrically short circuited to cause the compressor to run continuously. If the model has the quick freeze option, it is to be used to bypass the temperature control.
3.2 Model with user operable temperature control. Testing shall be performed in accordance with one of the following sections using the standardized temperature of 0.0° F. (−17.8° C.). Variable defrost control models shall achieve 0
3.2.1 A first test shall be performed with all temperature controls set at their median position midway between their warmest and coldest settings. Knob detents shall be mechanically defeated if necessary to attain a median setting. A second test shall be performed with all controls set at either their warmest or their coldest setting (not electrically or mechanically bypassed), whichever is appropriate, to attempt to achieve compartment temperatures measured during the two tests which bound (i.e., one is above and one is below) the standardized temperature. If the compartment temperatures measured during these two tests bound the standardized temperature, then these test results shall be used to determine energy consumption. If the compartment temperature measured with all controls set at their coldest setting is above the standardized temperature, a third test shall be performed with all controls set at their warmest setting and the result of this test shall be used with the result of the test performed with all controls set at their coldest setting to determine energy consumption. If the compartment temperature measured with all controls set at their warmest setting is below the standardized temperature; then the result of this test alone will be used to determine energy consumption.
3.2.2 Alternatively, a first test may be performed with all temperature controls set at their warmest setting. If the compartment temperature is below the standardized temperature, then the result of this test alone will be used to determine energy consumption. If the above condition is not met, then the unit shall be tested in accordance with 3.2.1 above.
3.2.3 Alternatively, a first test may be performed with all temperature controls set at their coldest setting. If the compartment temperature is above the standardized temperature, a second test shall be performed with all controls set at their warmest setting and the results of these two tests shall be used to determine energy consumption. If
3.3 Variable defrost control optional test. After a steady-state condition is achieved, the door-opening sequence is initiated with an 18
4.1 Test Period. Tests shall be performed by establishing the conditions set forth in Section 2 and using control settings as set forth in Section 3 above.
4.1.1 Nonautomatic Defrost. If the model being tested has no automatic defrost system, the test time period shall start after steady state conditions have been achieved, and be of not less than three hours’ duration. During the test period the compressor motor shall complete two or more whole cycles (a compressor cycle is a complete “on” and a complete “off” period of the motor). If no “off” cycling will occur, as determined during the stabilization period, the test period shall be three hours. If incomplete cycling (less than two compressor cycles) occurs during a 24 hour period, the results of the 24 hour period shall be used.
4.1.2 Automatic Defrost. If the model being tested has an automatic defrost system, the test time period shall start after steady state conditions have been achieved and be from one point during a defrost period to the same point during the next defrost period. If the model being tested has a long-time automatic defrost system, the alternate provisions of 4.1.2.1 may be used. If the model being tested has a variable defrost control the provisions of 4.1.2.2. shall apply.
4.1.2.1 Long-time Automatic Defrost. If the model being tested has a long-time automatic defrost system, the test time period may consist of two parts. A first part would be the same as the test for a unit having no defrost provisions (section 4.1.1). The second part would start when a defrost period is initiated during a compressor “on” cycle and terminate at the second turn “on” of the compressor motor or after four hours, whichever comes first.
4.1.2.2 Variable defrost control. If the model being tested has a variable defrost control system, the test shall consist of three parts. Two parts shall be the same as the test for long-time automatic defrost in accordance with section 4.1.2.1 above. The third part is the optional test to determine the time between defrosts (5.2.1.3). The third part is used by manufacturers that choose not to accept the default value of F of 0.20, to calculate CT.
4.1.2.3 Variable defrost control optional test. After steady-state conditions with no door-openings are achieved in accordance with section 3.3 above, the test is continued using the above daily door-opening sequence until stabilized operation is achieved. Stabilization is defined as a minimum of three consecutive defrost cycles with times between defrost that will allow the calculation of a Mean Time Between Defrosts (MTBD1) that satisfies the statistical relationship of 90 percent confidence. The test is repeated on at least one more unit of the model and until the Mean Time Between Defrosts for the multiple unit test (MTBD2) satisfies the statistical relationship. If the time between defrosts is greater than 96 hours (compressor “on” time) and this defrost period can be repeated on a second unit, the test may be terminated at 96 hours (CT) and the absolute time value used for MTBD for each unit.
5.1 Temperature Measurements. Temperature measurements shall be made at the locations prescribed in Figure 7-2 of HRF-1-1979 and shall be accurate to within
5.1.1 Measured Temperature. The measured temperature is to be the average of all sensor temperature readings taken at a particular time. Measurements shall be taken at regular intervals not to exceed four minutes.
5.1.2 Compartment Temperature. The compartment temperature for each test period shall be an average of the measured temperatures taken during a complete cycle or several complete cycles of the compressor motor (one compressor cycle is one complete motor “on” and one complete motor “off” period). For long-time automatic defrost models, compartment temperature shall be that measured in the first part of the test period specified in 4.1.1. For models equipped with variable defrost controls, compartment temperatures shall be those measured in the first part of the test period specified in 4.1.2.2.
5.1.2.1 The number of complete compressor motor cycles over which the measured temperatures in a compartment are to be averaged to determine compartment temperature shall be equal to the number of minutes between measured temperature readings rounded up to the next whole minute or a number of complete cycles over a time period exceeding one hour. One of the cycles shall be the last complete compressor motor cycles during the test period.
5.1.2.2 If no compressor motor cycling occurs, the compartment temperature shall be the average of the measured temperatures
5.1.2.3 If incomplete cycling occurs (less than one cycle) the compartment temperature shall be the average of all readings taken during the last three hours of the last complete “on” period.
5.2 Energy Measurements:
5.2.1 Per-day Energy Consumption. The energy consumption in kilowatt-hours per day for each test period shall be the energy expended during the test period as specified in section 4.1 adjusted to a 24 hour period.
The adjustment shall be determined as follows:
5.2.1.1 Nonautomatic and automatic defrost models. The energy consumption in kilowatt-hours per day shall be calculated equivalent to:
5.2.1.2 Long-time Automatic Defrost. If the two part test method is used, the energy consumption in kilowatt-hours per day shall be calculated equivalent to:
5.2.1.3 Variable defrost control. The energy consumption in kilowatt-hours per day shall be calculated equivalent to:
For demand defrost models with no values for CT
5.2.1.4 Variable defrost control optional test. Perform the optional test for variable defrost control models to find CT.
5.3 Volume measurements. The total refrigerated volume, VT, shall be measured in accordance with HRF-1-1979, section 3.20 and section 5.1 through 5.3.
6.1 Adjusted Total Volume. The adjusted total volume, VA, for freezers under test shall be defined as:
6.2 Average Per Cycle Energy Consumption:
6.2.1 The average per-cycle energy consumption for a cycle type is expressed in kilowatt-hours per cycle to the nearest one hundredth (0.01) kilowatt-hour and shall depend upon the compartment temperature attainable as shown below.
6.2.1.1 If the compartment temperature is always below 0.0
6.2.1.2 If one of the compartment temperatures measured for a test period is greater than 0.0
1.
1.2 “Cycle type” means any complete sequence of operations capable of being preset on the dishwasher prior to the initiation of machine operation.
1.3 “Normal cycle” means the cycle type recommended by the manufacturer for completely washing a full load of normally soiled dishes including the power-dry feature.
1.4 “Power-dry feature” means that function in a cycle in which electrically generated heat is introduced into the washing chamber for the purpose of improving the drying performance of the dishwasher.
1.5 “Truncated normal cycle” means the normal cycle interrupted to eliminate the power-dry feature after the termination of the last rinse operation.
1.6 “Water Heating Dishwasher” means a dishwasher which is designed for hearing cold inlet water (nominal 50
2.
2.2
2.2.1
2.2.2
2.3
2.3.1
2.3.2 Dishwashers to be tested at a nominal 120°F inlet water temperature. Maintain the water supply temperature between 118°F and 122°F.
2.3.3
2.4
2.5
2.6
2.6.1
2.6.2
2.7
3.
3.1
3.2
3.2.1
3.2.2
3.2.3
3.3
3.4
4.
4.1.1
4.1.2
4.2
4.2.1
4.2.2
4.3
4.3.1
4.3.2
4.3.3
4.4
1.1 “AHAM” means the Association of Home Appliance Manufacturers.
1.2 “Bone dry” means a condition of a load of test clothes which has been dried in a dryer at maximum temperature for a minimum of 10 minutes, removed and weighed before cool down, and then dried again for 10-minute periods until the final weight change of the load is 1 percent or less.
1.3 “Compact” or compact size” means a clothes dryer with a drum capacity of less than 4.4 cubic feet.
1.4 “Cool down” means that portion of the clothes drying cycle when the added gas or electric heat is terminated and the clothes continue to tumble and dry within the drum.
1.5 “Cycle” means a sequence of operation of a clothes dryer which performs a clothes drying operation, and may include variations or combinations of the functions of heating, tumbling and drying.
1.6 “Drum capacity” means the volume of the drying drum in cubic feet.
1.7 “HLD-1” means the test standard promulgated by AHAM and titled “AHAM Performance Evaluation Procedure for Household Tumble Type Clothes Dryers”, June 1974, and designated as HLD-1.
1.8 “HLD-2EC” means the test standard promulgated by AHAM and titled “Test Method for Measuring Energy Consumption of Household Tumble Type Clothes Dryers,” December 1975, and designated as HLD-2EC.
1.9 “Standard size” means a clothes dryer with a drum capacity of 4.4 cubic feet or greater.
1.10 “Moisture content” means the ratio of the weight of water contained by the test load to the bone-dry weight of the test load, expressed as a percent.
1.11 “Automatic termination control” means a dryer control system with a sensor which monitors either the dryer load temperature or its moisture content and with a controller which automatically terminates the drying process. A mark or detent which indicates a preferred automatic termination control setting must be present if the dryer is to be classified as having an “automatic termination control.” A mark is a visible single control setting on one or more dryer controls.
1.12 “Temperature sensing control” means a system which monitors dryer exhaust air temperature and automatically terminates the dryer cycle.
1.13 “Moisture sensing control” means a system which utilizes a moisture sensing element within the dryer drum that monitors the amount of moisture in the clothes and automatically terminates the dryer cycle.
2.1
2.2
2.3 Energy supply.
2.3.1
2.3.2
2.3.2.1
2.3.2.2
2.4
2.4.1
2.4.1.2
2.4.2
2.4.3
2.4.4
2.4.5
2.4.6
2.5
2.6
2.6.1
(a) Pure finished bleached cloth, made with a momie or granite weave, which is a blended fabric of 50 percent cotton and 50 percent polyester and weighs within +10 percent of 5.75 ounces per square yard after test cloth preconditioning and has 65 ends on the warp and 57 picks on the fill. The individual warp and fill yarns are a blend of 50 percent cotton and 50 percent polyester fibers.
(b) Cloth material that is 24 inches by 36 inches and has been hemmed to 22 inches by 34 inches before washing. The maximum shrinkage after five washes shall not be more than four percent on the length and width.
(c) The number of test runs on the same energy test cloth shall not exceed 25 runs.
2.6.2
2.6.3
A new test cloth load and energy stuffer cloths shall be treated as follows:
(1) Bone dry the load to a weight change of
(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°
(3) Rinse the load again at the same water temperature.
(4) Bone dry the load as prescribed in Section 1.2 and weigh the load.
(5) This procedure is repeated until there is a weight change of one percent or less.
(6) A final cycle is to be a hot water wash with no detergent, followed by two warm water rinses.
2.7
2.7.1
2.7.2
2.7.3
2.8
3.1
3.2
3.3
3.4
3.4.1 Bone-dry weight of the test load described in 2.7.
3.4.2 Moisture content of the wet test load before the test, as described in 2.7.
3.4.3 Moisture content of the dry test load obtained after the test described in 3.3.
3.4.4 Test room conditions, temperature and percent relative humidity described in 2.2.
3.4.5 For electric dryers—the total kilowatt-hours of electric energy, E
3.4.6 For gas dryers:
3.4.6.1 Total kilowatt-hours of electrical energy, E
3.4.6.2 Cubic feet of gas per cycle, E
3.4.6.3 On gas dryers using a continuously burning pilot light—the cubic feet of gas, E
3.4.6.4 Correct the gas heating value, GEF, as measured in 2.3.2.1 and 2.3.2.2, to standard pressure and temperature conditions in accordance with U.S. Bureau of Standards, circular C417, 1938. A sample calculation is illustrated in Appendix E of HLD-1.
3.5
4.1
4.2
4.3
4.4
4.5
4.6
1.1
1.2
1.3
1.4
1.5
1.6
1.7
1.7.1
1.7.2
1.8
1.9
1.10
1.11
1.12
1.12.1
1.12.2
1.12.3
a. Heat Pump Water Heater with Storage Tank means an air-to-water heat pump sold by the manufacturer with an insulated storage tank as a packaged unit. The tank and heat pump can be an integral unit or they can be separated.
b. Heat Pump Water Heater without Storage Tank (also called Add-on Heat Pump Water Heater) means an air-to-water heat pump designed for use with a storage-type water heater or a storage tank that is not specified or supplied by the manufacturer.
1.12.4
1.12.5
1.13
1.14
1.15
2.1
2.2
2.3
2.4
2.5
2.6
2.6.1
2.6.2
2.6.3
2.6.4
3.1
3.2
3.2.1
3.2.2
3.2.3
3.2.4
3.2.5
3.2.6
3.3
3.4
3.5
3.6
3.7
3.8
3.9
4.1
4.2
4.3
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
4.4
4.5
4.6
4.7
4.8
4.9
4.9.1
4.9.2
4.10
5.1
5.1.1
5.1.2
5.1.2.1
5.1.2.2
For heat pump water heaters that control an auxiliary resistive element, the thermostat shall be set in accordance with the manufacturer's installation instructions.
5.1.3
5.1.4
5.1.4.1
5.1.4.2
5.1.4.3
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 (
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*
If a draw is occurring at an elapsed time of one hour, continue this draw until the outlet temperature decreases to T*
5.1.5
With the water heater turned off, fill the water heater with supply water and apply pressure as described in section 2.5. Turn on the water heater and associated heat pump unit, if present. After the cut-out occurs, the water heater may be operated for up to three cycles of drawing until cut-in, and then operating until cut-out, prior to the start of the test.
At this time, record the mean tank temperature (T
All draws during the simulated use test shall be made at flow rates of 3.0 gallons
At the end of the recovery period following the first draw, record the maximum mean tank temperature observed after cut-out, T
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
5.2
5.2.1
5.2.2
5.2.3
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
5.2.4
5.2.4.1
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
5.2.4.2
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
6.1
6.1.1
6.1.2.
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
6.1.3
The recovery efficiency for electric water heaters with immersed heating elements is assumed to be 98%.
6.1.4
Q
The standby heat loss coefficient for the tank is computed as:
6.1.5
6.1.6
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.
The energy used to heat water, Btu/day (kJ/day), may be computed as:
The energy required to heat the same quantity of water over a 77°F (42.8°C) temperature rise, Btu/day (kJ/day), is:
The difference between these two values is:
6.1.7 Energy Factor. The energy factor, Ef, is computed as:
6.1.8
6.2
6.2.1
If a water meter is used the maximum gpm (L/min) rating is computed as:
6.2.2
6.2.2.1
6.2.2.2
The minimum recovery efficiency is computed as:
The recovery efficiency is computed as:
6.2.3
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.
The energy used to heat water may be computed as:
The energy required to heat the same quantity of water over a 77°F (42.8°C) temperature rise is:
The difference between these two values is:
6.2.4
6.2.5
In order to relieve the test burden on manufacturers who offer water heaters which differ only in fuel type or power input, ratings for untested models may be established in accordance with the following procedures. In lieu of the following procedures a manufacturer may elect to test the unit for which a rating is sought.
7.1
7.2
7.2.1
7.2.2
1.
2.
3.
4.
4.2 Determine the electrical power input (expressed in watts) as required by section 6.5 of ANS Z234.1-1972 and in accordance with ASHRAE Standard 16-69.
1.1
1.1.1
1.1.2
1.1.3
1.2
1.3
1.4
1.4.1
1.4.2
1.4.3
1.4.4
1.5
2.1
Allow the auxiliary electrical system of a forced air unvented gas, propane, or oil heater to operate for at least five minutes before recording the maximum auxiliary electric power measurement from the wattmeter. Record the maximum auxiliary electric power (P
2.2
3.1
3.2
3.3
3.4
For unvented heaters using either natural gas, propane, or oil equipped with auxiliary electrical systems, calculate the rated output (Q
1.1 “IRE-unit flat field” means a specific video electrical signal which results in a particular level of brightness of the television screen as established by the Institute of Radio Engineers.
1.2 “Filament keep-warm” means a feature that provides a voltage to keep vacuum tube and/or picture tube filaments warm for the purpose of allowing almost instantaneous response to the power control swtich.
1.3 “Operating time” (
1.4 “Remote control” means an optional feature which allows the user to control the
1.5 “Standby power consumption” (
1.6 “Standby time” (
1.7 “Vacation switch or master on-off switch” means an optional energy saving feature incorporated into the design of a television set that permits the user to disconnect the filament keep-warm circuit(s).
1.8 “Remote control defeat switch” means a switch which permits the user to disconnect all standby power to a television set.
2.1
2.1.1 Regulated power source capable of supplying 120 volts (
2.1.2 Signal generator capable of producing radio frequency (RF) television test signals, at a convenient very high frequency (VHF) channel, modulated with, National Television System Committee composite video as follows:
2.1.2.1 Standard White Pattern, RF signal modulated to 87 percent with a 100 IRE-unit flat field.
2.1.2.2 Standard Black Pattern, all adjustments as for 2.1.2.1 except modulated with a zero IRE-unit flat field.
2.1.2.3 The test signals in 2.1.2.1 and 2.1.2.2, supplied by a source whose impedance equals the design antenna impedance of the television set under test, shall be adjusted to a level of 70 decibels (dB)
2.1.3 Wattmeter capable of measuring the average power consumption of the television set under test. The wattmeter shall be accurate to within 1 percent of the full scale value. All measurements shall be made on the upper half of the scale of the wattmeter.
2.2
2.2.1 Remove all batteries from television sets designed for both battery and alternating current operation. Deactivate all present or automatic controls affecting brightness which are customer options. Adjust all non-customer controls according to the manufacturer's service procedure.
2.2.2 Apply power to the television set under test from the power source specified in 2.1.1 through the wattmeter specified in 2.1.3. Adjust the volume control to the lowest possible setting.
2.2.3 Connect the output of the signal generator as specified in 2.1.2 to the VHF antenna terminals of the television set. Tune the television set to the channel of the RF signal.
2.3
2.3.1 Turn on the television set and allow at least five minutes warm-up time. With the synchronization controls adjusted for a stable test pattern, apply the standard white pattern specified in 2.1.2.1 to the television set. Adjust any customer controls other than the volume or synchronization controls for maximum power consumption as indicated by the wattmeter specified in 2.1.3. Illuminate any room illuminance sensor which has not been deactivated, to produce maximum power consumption. Record the white pattern consumption (
2.3.2 Change the signal source to the standard black pattern specified in 2.1.2.2. Adjust any customer controls, other than the volume or synchronization controls, for the minimum power consumption as indicated by the wattmeter. Cover any room illuminance sensor which has not been deactivated. Record the black pattern power consumption (
2.3.3 Compute the operating power consumption (
2.2
2.4.1 For television sets without either a vacation switch or a remote control defeat switch, turn the power switch off and after two minutes measure the standby power consumption (
2.4.2 For a television set equipped with a remote control defeat switch, a vacation switch or both, turn the power switch, any vacation switch, and any remote er consumptions, (
3.0
P
1.1
1.2
1.3
1.4
1.5
1.6
1.7
1.8
1.9
1.10
1.11
2.1
2.1.1
2.1.2
2.1.3
2.2
2.2.1
2.2.2
2.2.2.1
2.2.2.2
2.2.2.3
2.2.2.4
2.3
2.4
2.4.1
2.4.2
2.5
2.6
2.7
The bottom of each block shall be flat to within 0.002 inch (0.051 mm) TIR (total indicator reading). Determine the actual weight of each test block with a scale with an accuracy as indicated in Section 2.9.5.
2.7.1
2.7.2
2.7.3
2.7.4
2.7.5
2.8
2.8.1
2.8.2
2.8.2.1
2.9
2.9.1
2.9.1.1
2.9.1.2
2.9.2
2.9.2.1
2.9.2.2
2.9.3
2.9.3.1
2.9.3.2
2.9.3.3
2.9.3.4
2.9.3.5
2.9.4
2.9.5
3.1
3.1.1
3.1.1.1
3.1.1.2
3.1.2
3.1.2.1
3.1.3
3.1.3.1
3.2
3.2.1
3.2.1.1
3.2.1.2
3.2.1.3
3.2.1.4
3.2.2
3.2.2.1
3.2.3
3.3
3.3.1 Record the test room temperature, T
3.3.2 Record measured test block weights W
3.3.3 Record the initial temperature, T
3.3.4 For a conventional oven with a thermostat which operates by cycling on and off, record the conventional oven test measurements T
3.3.5 For a conventional oven that can be operated with or without forced convection and the oven thermostat controls the oven temperature without cycling on and off, measure the energy consumed with the forced convection mode, (E
3.3.6 Record the measured energy consumption, E
3.3.7 Record the gas flow rate, Q
3.3.8 Record the clock power measurement or rating, P
3.3.9 For the surface unit under test, record the electric energy consumption, E
3.3.10 Record the gas flow rate, Q
3.3.11 Record the heating value, H
3.3.12 Record the heating value, H
3.3.13 Record the electrical input energy and power input, E
4.1
4.1.1
H = either H
The energy consumed by a continuously operating clock that cannot be disconnected during the test may be subtracted from the oven test energy to obtain the oven test energy consumption, E
4.1.1.1
The energy consumed by a continuously operating clock that cannot be disconnected during the test may be subtracted from the oven test energy to obtain the average test energy consumption E
4.1.2
4.1.2.1.
4.1.2.1.1.
4.1.2.1.2
4.1.2.2
4.1.2.3
4.1.2.3.1
The energy consumed by a continuously operating clock that cannot be disconnected during the self-cleaning test procedure may be subtracted from the test energy to obtain the test energy consumption, E
4.1.2.3.2
4.1.2.4
4.1.2.5
4.1.2.5.1
4.1.2.5.2
If the conventional gas oven uses electrical energy, calculate the total annual electrical energy consumption, E
4.1.2.6.
4.1.2.6.1
If the oven also uses electrical energy, calculate the total annual electrical energy consumption, E
4.1.3
4.1.3.1
For electric ovens:
For gas ovens:
4.1.3.2
4.1.4
For electric ovens,
For gas ovens:
4.2
4.2.1
4.2.1.1
The energy consumed by a continuously operating clock that cannot be disconnected during the cooktop test may be subtracted from the energy consumption, E
4.2.1.2
4.2.1.3
4.2.2
4.2.2.1
4.2.2.2
4.2.2.2.1
4.2.2.2.3
4.2.3
For an electric cooking top, the energy factor is the same as the cooking efficiency as determined according to Section 4.2.1.3.
For gas cooking tops,
4.3
4.4
4.4.1
4.4.2
4.4.3
The procedures and calculations in sections 3.3, 4.3, and 4.4 of this Appendix need not be performed to determine compliance
1.1
Appendix J does not provide a means for determining the energy consumption of a clothes washer with an adaptive control system. Therefore, pursuant to 10 CFR 430.27, a waiver must be obtained to establish an acceptable test procedure for each such clothes washer.
1.2
1.3
1.4
1.5
1.6
1.7
1.8
1.9
1.10
1.11
1.12
1.13
1.14
1.15
1.16
1.17
1.18
1.19
1.20
1.21
1.22
1.23
1.24
1.25
1.26
2.1
2.2
2.3
2.4
2.5
2.5.1
2.5.1.1
2.5.1.2
2.5.2
2.5.3
2.5.4
2.5.5
2.6
2.6.1
2.6.1.1 Pure finished bleached cloth, made with a momie or granite weave, which is 50 percent cotton and 50 percent polyester and weighs 5.75 oz/yd
2.6.1.2 Cloth material that is 24 in by 36 in (61.0 cm by 91.4 cm) and has been hemmed to 22 in by 34 in (55.9 cm by 86.4 cm) before washing. The maximum shrinkage after five washes shall not be more than four percent on the length and width.
2.6.1.3 The number of test runs on the same energy test cloth shall not exceed 25 runs.
2.6.2
2.7
2.7.1
2.7.2
2.8
2.8.1 For a standard size clothes washer, a seven pound load, as described in section 2.7.1, shall be used to test the maximum water fill and a three pound test load, as described in section 2.7.2, shall be used to test the minimum water fill.
2.8.2 For a compact size clothes washer, a three pound test load as described in section 2.7.2 shall be used to test the maximum and minimum water fill levels.
2.8.3 A vertical-axis clothes washer without adaptive water fill control system also shall be tested without a test load for purposes of calculating the energy factor.
2.8.4 The test load sizes to be used to measure remaining moisture content (RMC) are specified in section 3.3.2.
2.8.5 Load the energy test cloths by grasping them in the center, shaking them to hang loosely and then dropping them into the clothes container prior to activating the clothes washer.
2.9
2.10
2.11
2.11.1 For energy and water consumption tests, set at the normal cycle settings. If settings at the normal cycle are not offered, set the control settings to the maximum levels permitted on the clothes washer.
2.11.2 For remaining moisture content tests, see section 3.3.
3.1
3.1.1 Place the clothes washer in such a position that the uppermost edge of the clothes container opening is leveled horizontally, so that the container will hold the maximum amount of water.
3.1.2 Line the inside of the clothes container with 2 mil (0.051 mm) plastic sheet. All clothes washer components which occupy space within the clothes container and which are recommended for use with the energy test cycle shall be in place and shall be lined with 2 mil (0.051 mm) plastic sheet to prevent water from entering any void space.
3.1.3 Record the total weight of the machine before adding water.
3.1.4 Fill the clothes container manually with either 60°F
3.1.5 The clothes container capacity is calculated as follows:
3.2
3.2.1 A clothes washer that has infinite temperature selections shall be tested at the following temperature settings: hottest setting available on the machine, hot (a minimum of 140°F (60.0°C) and a maximum of 145°F (62.8°C)), warm (a minimum of 100°F (37.8°C) and a maximum of 105°F (40.6°C)), and coldest setting available on the machine. These temperatures must be confirmed by measurement using a temperature measuring device. If the measured final water temperature is not within the specified range, stop testing, adjust the temperature selector accordingly, and repeat the procedure.
3.2.2
3.2.2.1
3.2.2.2
3.2.2.2.1 If a clothes washer's temperature combination selections are such that the temperature of each warm wash setting that is above the mean warm wash temperature (the mean temperature of the coldest and warmest warm settings) is matched by a warm wash setting that is an equal distance below the mean, then the energy test shall be conducted at the mean warm wash temperature if such a selection is provided, or if there is no position on the control that permits selection of the mean temperature, the energy test shall be conducted with the temperature selection set at the next hotter temperature setting that is available above the mean.
3.2.2.2.2 If the multiple warm wash temperature combination selections do not meet criteria in section 3.2.2.2.1, the energy test shall be conducted with the temperature selection set at the warm wash temperature setting that gives the next higher water temperature than the mean temperature of the coldest and warmest warm settings.
3.2.2.3
3.2.3
3.2.3.1
3.2.3.1.1 For automatic clothes washers, set the wash/rinse temperature selector to the hottest temperature combination setting. For semi-automatic clothes washers, open the hot water faucet valve completely and close the cold water faucet valve completely to achieve the hottest temperature combination setting.
3.2.3.1.2 Measure the electrical energy consumption of the clothes washer for the complete cycle.
3.2.3.1.3 Measure the respective number of gallons (or liters) of hot and cold water used to fill the tub for the wash cycle.
3.2.3.1.4 Measure the respective number of gallons (or liters) of hot and cold water used for all deep rinse cycles.
3.2.3.1.5 Measure the respective gallons (or liters) of hot and cold water used for all spray rinse cycles.
3.2.3.1.6 For non-water-heating automatic clothes washers repeat sections 3.2.3.1.3 through 3.2.3.1.5 for each of the other wash/rinse temperature selections available that uses heated water and is required to be tested. For water-heating clothes washers, repeat sections 3.2.3.1.2 through 3.2.3.1.5 for each of the other wash/rinse temperature selections available that uses heated water and is required to be tested. (When calculating water consumption under section 4.3 for any machine covered by the previous two sentences, also test the cold wash/cold rinse selection.) For semi-automatic clothes washers, repeat sections 3.2.3.1.3 through 3.2.3.1.5 for the other wash/rinse temperature settings in section 6 with the following water faucet valve adjustments:
3.2.3.1.7 If the clothes washer is equipped with a suds-saver cycle, repeat sections 3.2.3.1.2 to 3.2.3.1.5 with suds-saver switch set to suds return for the Warm/Cold temperature setting.
3.2.3.2
3.2.3.3
3.2.4
3.2.4.1 Set the cycle selector to a non-normal cycle which has the wash/rinse temperature combination selection that is locked out. Set the water level selector at maximum fill and insert the appropriate test load, if applicable. Activate the cycle of the clothes washer and also any suds-saver switch. Set the wash/rinse temperature selector to the temperature combination setting that is locked out in the normal cycle and repeat sections 3.2.3.1.2 through 3.2.3.1.5.
3.2.4.2 Repeat section 3.2.4.1 under the same temperature combination setting for all other untested non-normal cycles on the machine that have the wash/rinse temperature combination selection that is locked out.
3.2.4.3 Total the measured hot water consumption of the wash, deep rinse, and spray rinse of each non-normal cycle tested in sections 3.2.4.1 through 3.2.4.2 and compare the total for each cycle. The cycle that has the highest hot water consumption shall be the most energy intensive cycle for that particular wash/rinse temperature combination setting.
3.2.4.4 Set the water level selector at minimum fill and insert the appropriate test load, if applicable. Activate the most energy intensive cycle, as determined in section 3.2.4.3, of the clothes washer and also any suds-saver switch. Repeat tests as described in section 3.2.4.1.
3.3
3.3.1 The wash temperature shall be the same as the rinse temperature for all testing.
3.3.2 Determine the test load as shown in the following table:
3.3.3 For clothes washers with cold rinse only.
3.3.3.1 Record the actual bone dry weight of the test load (WI), then place the test load in the clothes washer.
3.3.3.2 Set water level selector to maximum fill.
3.3.3.3 Run the normal cycle.
3.3.3.4 Record the weight of the test load immediately after completion of the normal cycle (WC).
3.3.3.5 Calculate the remaining moisture content of the test load, RMC, expressed as a percentage and defined as:
3.3.4 For clothes washers with cold and warm rinse options.
3.3.4.1 Complete steps 3.3.3.1 through 3.3.3.4 for the cold rinse. Calculate the remaining moisture content of the test load for cold rinse, RMC
3.3.4.2 Complete steps 3.3.3.1 through 3.3.3.4 for the warm rinse. Calculate the remaining moisture content of the test load for warm rinse, RMC
3.3.4.3 Calculate the remaining moisture content of the test load, RMC, expressed as a percentage and defined as:
3.3.5 Clothes washers which have options that result in different RMC values, such as multiple selection of spin speeds or spin times that are available in the normal cycle, shall be tested at the maximum and minimum settings of the available options, excluding any “no spin” (zero spin speed) settings, in accordance with requirements in 3.3.3 or 3.3.4. The calculated RMC
3.4
3.4.1 For non-water-heating clothes washers, record the kilowatt-hours of electrical energy, M
3.4.2 Record the individual gallons (or liters) of hot and cold water consumption, Vh
3.4.3 Record the individual gallons (or liters) of hot and cold water consumption, Vh
3.4.4 Record the individual gallons (or liters) of hot and cold water, Sh
3.4.5 Record the individual gallons (or liters) of hot and cold water, Sh
3.4.6 Data recording requirements for RMC tests are listed in sections 3.3.3 through 3.3.5.
4.1
4.1.1
For clothes washers equipped with the suds-saver feature:
For clothes washers not equipped with the suds-saver feature:
4.1.2
4.1.3
4.1.4
4.1.5
4.1.5.1
4.1.5.2
4.1.5.2.1 Calculate for the cycle under test the per-cycle temperature weighted electrical energy consumption for the maximum water fill level, Eh
4.1.5.2.2
4.1.6
4.2
4.3
4.3.1
For clothes washers equipped with suds-saver feature:
For clothes washers not equipped with suds-saver feature:
4.3.2
4.3.3
4.4
4.5
5.1
5.1.1
5.1.2
5.1.3
5.1.4
5.1.5
5.2
6.1
7.1
7.2
7.3
Calculate:
The percentage weighting factors:
Energy consumption values, E
Appendix J1 to Subpart B of part 430 is informational. It will not be used for determining compliance with standards, or as a basis for representations, until amended energy conservation standards for clothes washers at 10 CFR 430.32(g) become effective.
1.1
Appendix J1 does not provide a means for determining the energy consumption of a clothes washer with an adaptive control system. Therefore, pursuant to 10 CFR 430.27, a waiver must be obtained to establish an acceptable test procedure for each such clothes washer.
1.2
1.3
1.4
1.5
1.6
1.7
1.8
1.9
1.10
1.11
1.12
1.13
1.14
1.15
1.16
1.17
1.18
1.19
1.20
1.21
The following examples are provided to show how the above symbols can be used to define variables:
2.1
2.2
2.3
2.3.1
2.3.2
2.4
2.5
2.5.1
2.5.1.1
2.5.1.2
2.5.2
2.5.3
2.5.4
2.5.5
2.6
2.6.1
2.6.1.1 The energy test cloth shall not be used for more than 25 test runs and shall be clean and consist of the following:
(A) Pure finished bleached cloth, made with a momie or granite weave, which is 50 percent cotton and 50 percent polyester and weighs 5.75 ounces per square yard (195.0 g/m
(B) Cloth material that is 24 inches by 36 inches (61.0 cm by 91.4 cm) and has been hemmed to 22 inches by 34 inches (55.9 cm by 86.4 cm) before washing. The maximum shrinkage after five washes shall not be more than four percent on the length and width.
2.6.1.2 The new test cloths, including energy test cloths and energy stuffer cloths, shall be pre-conditioned in a clothes washer in the following manner:
2.6.1.2.1 Wash the test cloth using a commercially available clothes washing detergent that is suitable for 135°F (57.2°C) wash water as recommended by the manufacturer, with the washer set on maximum water level. Place detergent in washer and then place the new load to be conditioned in the washer. Wash the load for ten minutes in soft water (17ppm or less). Wash water is to be hot, and controlled at 135°F
2.6.1.2.2 Dry the load.
2.6.1.2.3 A final cycle is to be hot water wash with no detergent followed by two cold water rinses.
2.6.1.2.4 Dry the load.
2.6.2
2.7
2.8
2.8.1 The test load sizes to be used to measure RMC are specified in section 3.8.1.
2.8.2 Test loads for energy and water consumption measurements shall be bone dry prior to the first cycle of the test, and dried to a maximum of 104 percent of bone dry weight for subsequent testing.
2.8.3 Load the energy test cloths by grasping them in the center, shaking them to hang loosely and then put them into the clothes container prior to activating the clothes washer.
2.9
2.9.1
2.9.2
2.10
2.11
3.1
3.1.1 Place the clothes washer in such a position that the uppermost edge of the clothes container opening is leveled horizontally, so that the container will hold the maximum amount of water.
3.1.2 Line the inside of the clothes container with 2 mil (0.051 mm) plastic sheet. All clothes washer components which occupy space within the clothes container and which are recommended for use with the energy test cycle shall be in place and shall be lined with 2 mil (0.051 mm) plastic sheet to prevent water from entering any void space.
3.1.3 Record the total weight of the machine before adding water.
3.1.4 Fill the clothes container manually with either 60°F
3.1.5 The clothes container capacity is calculated as follows:
3.2
3.2.1
3.2.1.1 For automatic clothes washers set the wash/rinse temperature selection control to obtain the wash water temperature desired (extra hot, hot, warm, or cold) and cold rinse, and open both the hot and cold water faucets.
3.2.1.2 For semi-automatic washers: (1) For hot water temperature, open the hot water faucet completely and close the cold water faucet; (2) for warm inlet water temperature, open both hot and cold water faucets completely; (3) for cold water temperature, close the hot water faucet and open the cold water faucet completely.
3.2.1.3
For non-water-heating clothes washers, calculate Tw as follows:
For water-heating clothes washers, measure and record the temperature of each warm wash selection after fill.
3.2.2 Total water consumption during the energy test cycle shall be measured, including hot and cold water consumption during wash, deep rinse, and spray rinse.
3.2.3
3.2.3.1
3.2.3.2
3.2.3.2.1. Not user adjustable. The maximum, minimum, and average water levels as defined in the following sections shall be interpreted to mean that amount of water fill which is selected by the control system when the respective test loads are used, as defined in Table 2.8. The load usage factors which shall be used when calculating energy consumption values are defined in Table 4.1.3.
3.2.3.2.2 User adjustable. Four tests shall be conducted on clothes washers with user adjustable adaptive water fill controls which affect the relative wash water levels. The first test shall be conducted with the maximum test load and with the adaptive water fill control system set in the setting that will give the most energy intensive result. The second test shall be conducted with the minimum test load and with the adaptive water fill control system set in the setting that will give the least energy intensive result. The third test shall be conducted with the average test load and with the adaptive water fill control system set in the setting that will give the most energy intensive result for the given test load. The fourth test shall be conducted with the average test load and with the adaptive water fill control system set in the setting that will give the least energy intensive result for the given test load. The energy and water consumption for the average test load and water level, shall be the average of the third and fourth tests.
3.2.3.3
3.3
3.3.1
3.3.2
3.3.3
3.4
3.4.1
3.4.2
3.4.3
3.5
3.5.1
3.5.2
3.5.2.1
3.5.2.2
3.5.2.3
3.6
3.6.1
3.6.2
3.6.3
3.7
3.7.1 For the rinse only, measure the amount of hot water consumed by the clothes washer including all deep and spray rinses, for the maximum (R
3.7.2 Measure the amount of electrical energy consumed by the clothes washer to heat the rinse water only, including all deep and spray rinses, for the maximum (ER
3.8
3.8.1 The wash temperature will be the same as the rinse temperature for all testing. Use the maximum test load as defined in Table 5.1 and section 3.1 for testing.
3.8.2
3.8.2.1 Record the actual ‘bone dry’ weight of the test load (WI
3.8.2.2 Set water level selector to maximum fill.
3.8.2.3 Run the energy test cycle.
3.8.2.4 Record the weight of the test load immediately after completion of the energy test cycle (WC
3.8.2.5 Calculate the remaining moisture content of the maximum test load, RMC
3.8.3
3.8.3.1 Complete steps 3.8.2.1 through 3.8.2.4 for cold rinse. Calculate the remaining moisture content of the maximum test load for cold rinse, RMC
3.8.3.2 Complete steps 3.8.2.1 through 3.8.2.4 for warm rinse. Calculate the remaining moisture content of the maximum test load for warm rinse, RMC
3.8.3.3 Calculate the remaining moisture content of the maximum test load, RMC
3.8.4 Clothes washers which have options that result in different RMC values, such as multiple selection of spin speeds or spin times, that are available in the energy test cycle, shall be tested at the maximum and minimum extremes of the available options, excluding any “no spin” (zero spin speed) settings, in accordance with requirements in 3.8.2 or 3.8.3. The calculated RMC
4.1
4.1.1
4.1.2
4.1.3
4.1.4
4.1.5
4.1.6
4.1.7
4.2
4.2.1
4.2.2
4.2.3
4.3
4.4
4.5
6.1
6.2
The field test results would be used to determine the best method to correlate the rating of the test clothes washer to the rating of the base clothes washer. If the base clothes washer is rated at A kWh per year, but field tests at B kWh per year, and the test clothes washer field tests at D kWh per year, the test unit would be rated as follows:
6.3
Calculate:
The percentage weighting factors:
Energy consumption (HE
1.1 “Annual performance factor” means the total heating and cooling done by a heat pump in a particular region in one year divided by the total electric power used in one year.
1.2 “ARI” means Air-Conditioning and Refrigeration Institute.
1.3 “ARI Standard 210-79” means the test standard published in 1979 by the ARI and titled “Standard for Unitary Air-Conditioning Equipment”.
1.4 “ARI Standard 240-77” means the test standard published in 1977 by the ARI and titled “Standard for Air-Source Unitary Heat Pump Equipment”.
1.5 “ARI Standard 320-76” means the test standard published in 1976 by the ARI and titled “Standard for Water-Source Heat Pumps”. The single number HSPF energy conservation standard for central air conditioning heat pumps specified in section 325(d)(2) (A) and (B) is based on Region IV and the standardized DHR found in section 6 of this appendix, nearest the capacity measured in the 47
1.6 “ASHRAE” means the American Society of Heating, Refrigeration and Air-Conditioning Engineers, Inc.
1.7 “ASHRAE Standard 37-78” means the test standard published by ASHRAE in 1978 and titled “Methods of Testing for Rating Unitary Air-Conditioning and Heat Pump Equipment.”
1.8 “Continuously recorded” means a method of recording measurements in intervals no greater than 5 seconds.
1.9 “Cooling load factor (CLF)” means the ratio of the total cooling done in a complete cycle of a specified time period, consisting of an “on” time and “off” time, to the steady-state cooling done over the same period at constant ambient conditions.
1.10 “Cyclic Test” means a test where the indoor and outdoor conditions are held constant, but the unit is manually turned “on” and “off” for specific time periods to simulate part-load operation.
1.11 “Degradation coefficient (C
1.12 “Demand-defrost control system” means a system which is designed to perform the defrost function on the outdoor coil of the heat pump only when a predetermined degradation of performance is measured.
1.13 “Design heating requirement (DHR)” is the amount of heating required to maintain a given indoor temperature at a particular outdoor design temperature.
1.14 “Dry-coil test” means a test conducted at a wet-bulb temperature and a dry-bulb temperature such that moisture will not condense on the evaporator coil of the unit.
1.15 “Heating seasonal performance factor (HSPF)” means the total heating output of a heat pump during its normal annual usage period for heating divided by the total electric power input during the same period.
1.16 “Heating load factor (HLF)” means the ratio of the total heating done in a complete cycle of a specified time period, consisting of an “on” time “off” time, to the steady state heating done over the same period at constant ambient conditions.
1.17 “Latent cooling” means the amount of cooling in Btu's necessary to remove water vapor from the air passing over the indoor coil by condensation during a period of time.
1.18 “Part-load factor (PLF)” means the ratio of the cyclic energy efficiency ratio to the steady-state energy efficiency ratio at identical ambient conditions.
1.19 “Seasonal energy efficiency ratio (SEER)” means the total cooling of a central air conditioner in Btu's during its normal annual usage period for cooling divided by the total electric power input in watt-hours during the same period.
1.20 “Sensible cooling” means the amount of cooling in Btu's performed by a unit over a period of time, excluding latent cooling.
1.21 “Single package unit” means any central air conditioner in which all the major assemblies are enclosed in one cabinet.
1.22 “Split system” means any central air conditioner in which one or more of the major assemblies are separate from the others.
1.23 “Steady-state test” means a test in which all indoor and outdoor conditions are held constant and the unit is in non-changing operating mode.
1.24 “Temperature bin” means a 5° F increment over a dry-bulb temperature range of 65° F through 104° F for the cooling cycle and −25° F through 64° F for the heating cycle.
1.25 “Time-temperature defrost control system” means a system which automatically provides the defrost function at a predetermined time interval whenever the outdoor temperature drops below a level where frosting will occur.
1.26 “Test condition tolerance” means the maximum permissible variation of the average of the test observations from the standard or desired test condition as provided in 6.1.1, 6.2.1, 6.2.2, and 6.2.3 of this Appendix.
1.27 “Test operating tolerance” means the maximum permissible difference between the maximum and the minimum instrument observation during a test as provided in 6.1.1, 6.2.1, 6.2.2, and 6.2.3 of this Appendix.
1.28 “Wet-coil test” means a test conducted at a wet-bulb temperature and a dry-bulb temperature such that moisture will condense on the test unit evaporator coil.
2.1
2.1.1
2.1.2
2.1.3
2.1.4
2.1.5
2.1.6
2.1.7
2.2
2.2.1
2.2.2
With the unit operating: at the low compressor speed (two-speed compressor), with the single compressor which normally operates at low loads (two compressors), or at the low compressor capacity (cylinder unloading); the following tests are required to be performed on all units: the High Temperature Test at 47° F, the High Temperature Test at 62° F, and the Cyclic Test. Additional tests, (Frost Accumulation Test and Low Temperature Test) are required, with the unit operating: on low compressor speed (two-speed compressor), with the single compressor which normally operates at low loads (two compressors) or at the low compressor capacity (cylinder unloading), if the unit's low speed, one compressor or low capacity performance at and below 40° F is needed to calculate its seasonal performance.
2.2.3
2.2.4
In lieu of the maximum speed frost accumulation test, two equations are provided in section 4.2 of this Appendix. In lieu of the cyclic test an assigned value of 0.25 may be used for the coefficient of degradation C
2.2.5
2.3
3.1
The following conditions listed in ARI Standard 210.79 shall apply to all tests performed in Section 3.1 of this Appendix:
3.1.1.1
3.1.1.2
3.1.2
3.1.3
In lieu of conducting tests C and D, an assigned value of 0.25 may be used for the degradation coefficient, C
In the case of units with cylinder unloading, the loaded and the unloaded conditions correspond to high and low compressor speed on two-speed units respectively.
3.1.4
In the case of units with cylinder unloading, the loaded and unloaded conditions correspond to high and low compressor speed on two-speed units respectively.
3.1.5
3.1.6
3.1.6.1
3.1.6.2
3.1.7
3.1.7.1
3.1.7.2
3.1.7.3
3.2
3.2.1
3.2.1.1
3.2.1.2
3.2.1.3
3.2.1.4
3.2.1.5
3.2.3
3.2.4
3.2.5
3.2.2
3.3
4.0
4.1
4.1.1
4.1.1.1
4.1.1.2
Cooling cyclic tests for variable-speed units shall be conducted by cycling the compressor 12 minutes “on” and 48 minutes “off”. The capacity shall be measured for the integration time (
4.1.1.3
4.1.1.4
4.1.1.5
4.1.2
4.1.3
4.1.3.1 The indoor and outdoor average dry-bulb temperature for the cyclic dry coil test D shall both be within 1.0° F of the indoor and outdoor average dry bulb temperature for the steady-state dry coil test C, respectively.
4.1.3.2 The test condition and test operating tolerances for conducting test D are stated in 6.1.1 of this Appendix. Variation in the test conditions greater than the tolerances prescribed in 6.1.1 of this Appendix shall invalidate the test. It is suggested that an electric resistance heater having a heating capacity approximately equal to the sum of the cooling capacity and compressor and condenser fan power should be installed in the outdoor test room and cycled “off” and “on” as the unit cycles “on” and “off” respectively to improve control in the outdoor test room. Similarly, an electric resistance heater having a heating capacity approximately equal to the cooling capacity of the unit could be installed in the indoor test room, and cycled “on” and “off” as the test unit cycles “on” and “off” to improve indoor room control.
4.2
4.2.1
4.2.1.1
4.2.1.2
The cycle times for variable-speed units is the same as the cyclic time in the cooling mode as specified in section 4.1.1.2 of this Appendix. Cyclic tests of split-type ductless units will be conducted without dampers, and the data cycle shall be preceded by a minimum of two cycles in which the indoor fan cycles on and off with the compressor. During the data cycle for the split type ductless units, the indoor fan will operate three minutes prior to compressor “cut-on” and remain on for three minutes after compressor “cut-off”. The integration time for capacity and power will be from compressor “cut-on” time to indoor fan “cut-off” time. The fan power for the three minutes after compressor “cut-off” shall be subtracted from the integrated heating capacity. For split-type ductless systems which turn the indoor fan off during defrost, the indoor supply duct shall not be blocked.
4.2.1.3
For units with variable-speed compressors, the frost accumulation test at the intermediate speed shall be conducted such that the unit will operate at a constant, intermediate compressor speed (k=i) as determined in section 4.1.1.4 of this Appendix. The following two equations may be used in lieu of the frost accumulation test for variable-speed.
4.2.1.4
4.2.2
4.2.2.1
4.2.2.2
4.2.2.3
4.2.2.4
4.2.3
4.2.3.1
4.2.3.2
4.2.3.3
4.2.3.4
4.3
5.0
5.1
The testing data and results required to calculate the seasonal energy efficiency ratio (SEER) in Btu's per watt-hour shall include the following:
(i) Cooling capacities (Btu/hr) from tests A and B and, if applicable, the cooling capacity (Btu/hr) from test C and the total cooling done from test D (Btu's).
(ii) Electrical power input to all components and controls (watts) from tests A, B, and if applicable the electrical power input to all components and controls (watts) from test C and the electrical usage (watt-hour) from test D.
(iii) Indoor air flow rate (SCFM) and external resistance to indoor air flow (inches of water).
(iv) Air temperature (° F)
Where the cooling capacities Q
Units which do not have indoor air circulating fans furnished as part of the model shall have their measured total cooling capacities adjusted by subtracting 1250 Btu/hr per 1,000 CFM of measured indoor air flow and adding to the total steady-state electrical power input 365 watts per 1,000 CFM of measured indoor air flow.
Energy efficiency ratios from tests A, B, and C, EER
Units which do not have indoor air circulating fans furnished as part of the model shall adjust their total cooling done and energy used in one complete cycle for the effect of circulating indoor air equipment power. The value to be used for the circulating indoor air equipment power shall be 1250 Btu/hr per 1,000 CFM of circulating indoor air. The energy usage required in one complete cycle required for indoor air circulation is the product of the circulating indoor air equipment power and the duration of time in one cycle that the circulating indoor air equipment is on. The total cooling done shall then be the measured cooling in one complete cycle minus the energy usage required for indoor air circulation in one complete cycle. The total electrical energy usage shall be the sum of the energy usage required for indoor air circulation in one complete cycle and the energy used by the remaining equipment components (compressor(s), outdoor fan, crankcase heater, transformer(s), etc.) in one complete test cycle.
Energy efficiency ratio from tests D, EER
6.0
6.1
6.1.1
6.1.2
6.2
6.2.1
6.2.2
6.2.3
6.2.4
6.2.6
6.3
6.4
1.0
2.0
2.1
2.2
2.3
2.4
3.0
4.0
5.0
6.0
6.1
7.0
7.1
8.0
8.1
8.2
8.3
8.4
For boilers that employ post purge, measure the length of the post-purge period with a stopwatch. The time from burner OFF to combustion blower OFF (electrically de-energized) shall be recorded as t
8.5
9.0
10.0
10.1
10.2
10.2.1
10.2.1.1 For furnaces and boilers equipped with two stage or step modulating controls the average annual energy used during the heating season, E
10.2.1.2 For furnaces and boilers equipped with two stage or step modulating controls the national average number of burner operating hours at the reduced operating mode is defined as:
10.2.1.3 For furnaces and boilers equipped with two stage controls the national average number of burner operating hours at the maximum operating mode (BOH
10.2.1.4 For furnaces and boilers equipped with step modulating controls the national average number of burner operating hours at the modulating operating mode (BOH
10.2.2
10.2.2.1 For furnaces or boilers equipped with either two stage or step modulating controls E
10.2.3
10.2.3.1 For furnaces or boilers equipped with two stage controls E
10.2.3.2 For furnaces or boilers equipped with step modulating controls E
10.3
10.4
10.4.1
indoor installation, for non-weatherized boilers; or
10.4.2
10.5
10.5.1
10.5.2
10.5.3
10.6
10.6.1
10.6.2
10.6.3
10.7
10.7.1 For mobile home furnaces the sales weighted average annual fossil fuel energy consumption is expressed in Btu per year and defined as:
10.7.2 For mobile home furnaces the sales weighted average annual auxiliary electrical energy consumption is expressed in kilowatt-hours and defined as:
10.8
1.0
1.1 “Air shutter” means an adjustable device for varying the size of the primary air
1.2 “Air tube” means a tube which carries combustion air from the burner fan to the burner nozzle for combustion.
1.3 “Barometic draft regulator or barometric damper” means a mechanical device designed to maintain a constant draft in a vented heater.
1.4 “Draft hood” means an external device which performs the same function as an integral draft diverter, as defined in section 1.17 of this appendix.
1.5 “Electro-mechanical stack damper” means a type of stack damper which is operated by electrical and/or mechanical means.
1.6 “Excess air” means air which passes through the combustion chamber and the vented heater flues in excess of that which is theoretically required for complete combustion.
1.7 “Flue” means a conduit between the flue outlet of a vented heater and the integral draft diverter, draft hood, barometric damper or vent terminal through which the flue gases pass prior to the point of draft relief.
1.8 “Flue damper” means a device installed between the furnace and the integral draft diverter, draft hood, barometric draft regulator, or vent terminal which is not equipped with a draft control device, designed to open the venting system when the appliance is in operation and to close the venting system when the appliance is in a standby condition.
1.9 “Flue gases” means reaction products resulting from the combustion of a fuel with the oxygen of the air, including the inerts and any excess air.
1.10 “Flue losses” means the sum of sensible and latent heat losses above room temperature of the flue gases leaving a vented heater.
1.11 “Flue outlet” means the opening provided in a vented heater for the exhaust of the flue gases from the combustion chamber.
1.12 “Heat input” (Q
1.13 “Heating capacity” (Q
1.14 “Higher heating value” (HHV) means the heat produced per unit of fuel when complete combustion takes place at constant pressure and the products of combustion are cooled to the initial temperature of the fuel and air and when the water vapor formed during combustion is condensed. The higher heating value is usually expressed in Btu's per pound, Btu's per cubic foot for gaseous fuel, or Btu's per gallon for liquid fuel.
1.15 “Induced draft” means a method of drawing air into the combustion chamber by mechanical means.
1.16 “Infiltration parameter” means that portion of unconditioned outside air drawn into the heated space as a consequence of loss of conditioned air through the exhaust system of a vented heater.
1.17 “Integral draft diverter” means a device which is an integral part of a vented heater, designed to: (1) Provide for the exhaust of the products of combustion in the event of no draft, back draft, or stoppage beyond the draft diverter, (2) prevent a back draft from entering the vented heater, and (3) neutralize the stack action of the chimney or gas vent upon the operation of the vented heater.
1.18 “Manually controlled vented heaters” means either gas or oil fueled vented heaters equipped without thermostats.
1.19 “Modulating control” means either a step-modulating or two-stage control.
1.20 “Power burner” means a vented heater burner which supplies air for combustion at a pressure exceeding atmospheric pressure, or a burner which depends on the draft induced by a fan incorporated in the furnace for proper operation.
1.21 “Reduced heat input rate” means the factory adjusted lowest reduced heat input rate for vented home heating equipment equipped with either two stage thermostats or step-modulating thermostats.
1.22 “Single stage thermostat” means a thermostat that cycles a burner at the maximum heat input rate and off.
1.23 “Stack” means the portion of the exhaust system downstream of the integral draft diverter, draft hood or barometric draft regulator.
1.24 “Stack damper” means a device installed downstream of the integral draft diverter, draft hood, or barometric draft regulator, designed to open the venting system when the appliance is in operation and to close off the venting system when the appliance is in the standby condition.
1.25 “Stack gases” means the flue gases combined with dilution air that enters at the integral draft diverter, draft hood or barometric draft regulator.
1.26 “Steady-state conditions for vented home heating equipment” means equilibrium conditions as indicated by temperature variations of not more than 5° F (2.8C) in the flue gas temperature for units equipped with draft hoods, barometric draft regulators or direct vent systems, in three successive readings taken 15 minutes apart or not more than 3° F (1.7C) in the stack gas temperature for units equipped with integral draft diverters in three successive readings taken 15 minutes apart.
1.27 “Step-modulating control” means a control that either cycles off and on at the low input if the heating load is light, or gradually, increases the heat input to meet any higher heating load that cannot be met with the low firing rate.
1.28 “Thermal stack damper” means a type of stack damper which is dependent for operation exclusively upon the direct conversion of thermal energy of the stack gases into movement of the damper plate.
1.29 “Two stage control” means a control that either cycles a burner at the reduced heat input rate and off or cycles a burner at the maximum heat input rate and off.
1.30 “Vaporizing-type oil burner” means a device with an oil vaporizing bowl or other receptacle designed to operate by vaporizing liquid fuel oil by the heat of combustion and mixing the vaporized fuel with air.
1.31 “Vent/air intake terminal” means a device which is located on the outside of a building and is connected to a vented heater by a system of conduits. It is composed of an air intake terminal through which the air for combustion is taken from the outside atmosphere and a vent terminal from which flue gases are discharged.
1.32 “Vent limiter” means a device which limits the flow of air from the atmospheric diaphragm chamber of a gas pressure regulator to the atmosphere. A vent limiter may be a limiting orifice or other limiting device.
1.33 “Vent pipe” means the passages and conduits in a direct vent system through which gases pass from the combustion chamber to the outdoor air.
2.0
2.1
2.1.1
2.1.2
2.1.3
2.2
2.2.1
Attach to the outlet of vented heaters having a horizontally discharging draft diverter or draft hood outlet a 90 degree elbow, and a five (5) foot long vertical test stack. A horizontal section of pipe may be used on the floor furnace between the diverter and the elbow if necessary to clear any framing used in the installation. Use the minimum length of pipe possible for this section. Use stack, elbow, and horizontal section with same cross sectional area as the diverter outlet.
2.2.2
2.2.3
2.3
2.3.1
2.3.2
2.3.3
2.3.4
2.3.5
2.4
2.4.1
If a vent limiting means is provided on a gas pressure regulator, have it in place during all tests.
For gas fueled heaters with modulating controls adjust the controls to operate the heater at the maximum fuel input rate. Set the thermostat control to the maximum setting. Start the heater by turning the safety control valve to the “on” position. In order to prevent modulation of the burner at maximum input, place the thermostat sensing element in a temperature control bath which is held at a temperature below the maximum set point temperature of the control.
For gas fueled heaters with modulating controls adjust the controls to operate the heater at the reduced fuel input rate. Set the thermostat control to the minimum setting. Start the heater by turning the safety control valve to the “on” position. If ambient test room temperature is above the lowest control set point temperature, initiate burner operation by placing the thermostat sensing element in a temperature control bath that is held at a temperature below the minimum set point temperature of the control.
2.4.2
2.5
2.5.1
2.5.2
2.6
2.6.1
For units which employ a direct vent system, locate at least one thermocouple at the center of each flue way exiting the heat exchanger. Provide radiation shields if the thermocouples are exposed to burner radiation.
For units which employ a draft hood or units which employ a direct vent system which does not significantly preheat the incoming combustion air, install nine thermocouples, wired in parallel, in a horizontal plane located within 12 inches (304.8 mm) of the heater outlet and upstream of the draft hood on units so equipped. Locate one thermocouple in the center of the pipe and eight thermocouples along imaginary lines intersecting at right angles in this horizontal plane at points one third and two thirds of the distance between the center of the pipe and the pipe wall.
For units which employ direct vent systems that significantly preheat the incoming combustion air, install nine thermocouples, wired in parallel, in a plane parallel to and located within 6 inches (152.4 mm) of the vent/air intake terminal. Equalize the length of all thermocouple leads before paralleling. Locate one thermocouple in the center of the vent pipe and eight thermocouples along imaginary lines intersecting at right angles in this plane at points one third and two thirds of the distance between the center of the flue pipe and the pipe wall.
Use bead-type thermocouples having wire size not greater than No. 24 American Wire Gauge (AWG). If there is a possibility that the thermocouples could receive direct radiation from the fire, install radiation shields on the fire side of the thermocouples only and position the shields so that they do not touch the thermocouple junctions.
Install thermocouples for measuring conditioned warm air temperature as described in ANSI Z21.49-1975, section 2.14. Establish the temperature of the inlet air by means of single No. 24 AWG bead-type thermocouple, suitably shielded from direct radiation and located in the center of the plane of each inlet air opening.
2.6.2
Use bead-type thermocouples having a wire size not greater than No. 24 AWG. If there is a possibility that the thermocouples could receive direct radiation from the fire, install radiation shields on the fire side of the thermocouples only and position the shields so that they do not touch the thermocouple junctions.
Install thermocouples for measuring the conditioned warm air temperature as described in sections 35.12 through 35.17 of UL 730-1974. Establish the temperature of the inlet air by means of a single No. 24 AWG bead-type thermocouple, suitably shielded from direct radiation and located in the center of the plane of each inlet air opening.
2.7
2.8
2.9
Temperature (T
2.10
3.0
3.1
3.1.1
On units employing draft diverters, measure the room temperature (T
On units employing draft hoods or direct vent systems, measure the room temperature (T
Determine the steady-state heat input rate (Q
After the above test measurements have been completed on units employing draft diverters, secure a sample of the flue gases at the exit of the heat exchanger(s) and determine the concentration of CO
For heaters with single stage thermostat control (wall mounted electric thermostats), determine the steady-state efficiency at the maximum fuel input rate as specified in section 2.4 of this appendix.
For gas fueled vented heaters equipped with either two stage thermostats or step-modulating thermostats, determine the steady-state efficiency at the maximum fuel input rate, as specified in section 2.4.1 of this appendix, and at the reduced fuel input rate, as specified in section 2.4.1 of this appendix.
For manually controlled gas fueled vented heaters, with various input rates determine the steady-state efficiency at a fuel input rate that is within
3.1.2
Do not allow smoke in the flue, for units equipped with power burners, to exceed a No. 1 smoke during the steady-state performance test as measured by the procedure described in ANSI standard Z11.182-1965 (R1971) (ASTM D 2156-65 (1970)). Maintain the average draft over the fire and in the breeching during the
Measure the room temperature (T
For manually controlled oil fueled vented heaters, determine the steady-state efficiency at a fuel input rate that is within
3.1.3
3.2
3.3
For vented heaters equipped with single stage thermostats, measure the off-cycle losses at the maximum fuel input rate. For vented heaters equipped with two stage thermostats, measure the off-cycle losses at the maximum fuel input rate and at the reduced fuel input rate. For vented heaters equipped with step-modulating thermostats, measure the off-cycle losses at the reduced fuel input rate.
Let the vented heater heat up to a steady-state condition. Feed a tracer gas at a constant metered rate into the stack directly above and within one foot above the stack damper. Record tracer gas flow rate and temperature. Measure the tracer gas concentration in the stack at several locations in a horizontal plane through a cross section of the stack at a point sufficiently above the stack damper to ensure that the tracer gas is well mixed in the stack.
Continuously measure the tracer gas concentration and temperature during a 10 minute cool down period. Shut the burner off and immediately begin measuring tracer gas concentration in the stack, stack temperature, room temperature, and barometric pressure. Record these values as the midpoint of each one-minute interval between burner shut down and ten minutes after burner shut down. Meter response time and sampling delay time shall be considered in timing these measurements.
3.4
3.5
3.5.1 Measure the energy input rate to the pilot light (Q
3.5.2 For manually controlled heaters where the pilot light is designed to be turned off by the user when the heater is not in use, that is, turning the control to the OFF position will shut off the gas supply to the burner(s) and to the pilot light, the measurement of Q
3.6
Conduct a cool down test by letting the unit heat up until steady-state conditions are reached, as indicated by temperature variation of not more than 5°F (2.8°C) in the flue gas temperature in three successive readings taken 15 minutes apart, and then shutting the unit off with the stack or flue damper controls by-passed or adjusted so that the stack or flue damper remains open during the resulting cool down period. If a draft was maintained on oil fueled units in the flue pipe during the steady-state performance test described in section 3.1 of this appendix, maintain the same draft (within a range of
Measure the flue gas mass flow rate (m
Within one minute after the unit is shut off to start the cool down test for determining D
Between 5 and 6 minutes after the unit is shut off to start the cool down test, measure at the exit of the heat exchanger the average flue gas temperature, T*
The rate of the flue gas mass flow through the vented heater and the factors D
4.0
4.1
4.1.1
4.1.2
4.1.3
4.1.4
4.1.5
4.1.6
4.1.7
4.1.8
4.1.9
For vented heaters equipped without an integral draft diverter, determine (L
4.1.10
For vented heaters equipped with either two stage thermostats or with step-modulating thermostats, calculate the steady-state efficiency at the reduced fuel input rate,
For vented heaters equipped with two stage thermostats, calculate the steady-state efficiency at the maximum fuel input rate,
For vented heaters equipped with step-modulating thermostats, calculate the weighted-average steady-state efficiency in the modulating mode,
4.1.11
4.1.12
4.1.13
4.1.14
4.1.15
4.1.16
For vented heaters equipped with step-modulating thermostats,
4.1.17
4.2
4.2.1
4.2.2
4.2.3
4.2.4
4.2.4.1 For manually controlled heaters with various input rates the weighted average steady-state efficiency (
(1) at 50 percent of the maximum fuel input rate as measured in either section 3.1.1 of this appendix for manually controlled gas vented heaters or section 3.1.2 of this appendix for manually controlled oil vented heaters, or
(2) at the minimum fuel input rate as measured in either section 3.1.1 to this appendix for manually controlled gas vented heaters or section 3.1.2 to this appendix for manually controlled oil vented heaters if the design of the heater is such that the
4.2.4.2 For manually controlled heater with one single firing rate the weighted average steady-state efficiency is the steady-state efficiency measured at the single firing rate.
4.2.5
4.2.6
4.2.6.1 For manually controlled vented heaters, calculate the AFUE expressed as a percent and defined as:
4.2.6.2 For manually controlled vented heaters where the pilot light can be turned off by the user when the heater is not in use as described in section 3.5.2, calculate the AFUE expressed as a percent and defined as:
4.3
4.3.1
For vented heaters equipped with two stage thermostats, calculate L
For vented heaters with step-modulating thermostats, calculate L
4.3.2
For vented heaters equipped with two stage thermostats, calculate L
For vented heaters equipped with step-modulating thermostats, calculate L
4.3.3
For vented heaters equipped with two stage thermostats, calculate L
Calculate the off-cycle sensible heat loss (L
4.3.4
For vented heaters equipped with two stage thermostats, calculate L
Calculate the off-cycle infiltration heat loss (L
4.3.6
4.3.7 Annual Fuel Utilization Efficiency.
Calculate the AFUE expressed as a percent and defined as:
4.4
4.5
4.5.1
For vented heaters in which no draft is maintained during the steady-state or cool down tests, M
For oil fueled vented heaters in which an imposed draft is maintained, as described in section 3.6 of this appendix, M
4.5.2
For systems numbered 11 or 12: D
4.5.3
4.6
4.6.1
4.6.1.1 For vented heaters equipped with two stage or step modulating controls the national average number of burner operating hours at the reduced operating mode is defined as:
4.6.1.2 For vented heaters equipped with two stage or step modulating controls the national average number of burner operating hours at the maximum operating mode (BOH
4.6.2
4.6.2.1 For vented heaters equipped with either two stage or step modulating controls E
4.6.3
4.6.3.1 For vented heaters equipped with two stage or modulating controls E
4.6.4
4.6.4.1
4.6.4.2
4.1
4.2
4.3
4.4
4.4.1 Calculate the seasonal useful output of the pool heater as:
4.4.2 Calculate the seasonal input to the pool heater as:
4.4.3
4.4.3.1 For pool heaters employing a continuous pilot light:
4.4.3.2 For pool heaters without a continuous pilot light:
1.1
1.2
1.3
1.4
1.5
1.6
1.7
1.8
1.9
1.10
1.11
1.12
1.13
2.
3.
3.1. The test method for testing fluorescent lamp ballasts shall be done in accordance with ANSI Standard C82.2-1984.
3.2
3.3
3.3.1.
3.3.2
3.3.3
3.4
3.4.1 Measure the light output of the reference lamp with the reference ballast in accordance with ANSI Standard C82.2-1984, section 16.
3.4.2 Measure the light output of the reference lamp with the test ballast in accordance with ANSI Standard C82.2-1984, section 16.
4.
4.1 Calculate relative light output:
4.2. Determine the Ballast Efficacy Factor (BEF) using the following equations:
4.3 Determine Ballast Power Factor (PF):
1.
2.
3.
4.
All lumen measurements made with instruments calibrated to the devalued NIST lumen after January 1, 1996, shall be multiplied by 1.011.
1.
2.
a. Faucets—The test procedures to measure the water flow rate for faucets, expressed in gallons per minute (gpm) and liters per minute (L/min), or gallons per cycle (gal/cycle) and liters per cycle (L/cycle), shall be conducted in accordance with the test requirements specified in section 6.5, Flow Capacity Test, of the ASME/ANSI Standard A112.18.1M-1996 (see § 430.22). Measurements shall be recorded at the resolution of the test instrumentation. Calculations shall be rounded off to the same number of significant digits as the previous step. The final water consumption value shall be rounded to one decimal place for non-metered faucets, or two decimal places for metered faucets.
b. Showerheads—The test conditions to measure the water flow rate for showerheads, expressed in gallons per minute (gpm) and liters per minute (L/min), shall be conducted in accordance with the test requirements specified in section 6.5, Flow Capacity Test, of the ASME/ANSI Standard A112.18.1M-1996 (see § 430.22). Measurements shall be recorded at the resolution of the test instrumentation. Calculations shall be rounded off to the same number of significant digits as the previous step. The final water consumption value shall be rounded to one decimal place.
1.
2.
a. The test apparatus and instructions for testing water closets shall conform to the requirements specified in section 7.1.2, Test Apparatus and General Requirements, subsections 7.1.2.1, 7.1.2.2, and 7.1.2.3 of the ASME/ANSI Standard A112.19.6-1995 (see § 430.22). Measurements shall be recorded at
b. The test apparatus and instructions for testing urinals shall conform to the requirements specified in section 8.2, Test Apparatus and General Requirements, subsections 8.2.1, 8.2.2, and 8.2.3 of the ASME/ANSI Standard A112.19.6-1995 (see § 430.22). Measurements shall be recorded at the resolution of the test instrumentation. Calculations shall be rounded off to the same number of significant digits as the previous step. The final water consumption value shall be rounded to one decimal place.
3.
a. Water closets—The measurement of the water flush volume for water closets, expressed in gallons per flush (gpf) and liters per flush (Lpf), shall be conducted in accordance with the test requirements specified in section 7.1.6, Water Consumption and Hydraulic Characteristics, of the ASME/ANSI Standard A112.19.6-1995 (see § 430.22).
b. Urinals—The measurement of water flush volume for urinals, expressed in gallons per flush (gpf) and liters per flush (Lpf), shall be conducted in accordance with the test requirements specified in section 8.5, Water Consumption, of the ASME/ANSI Standard A112.19.6-1995 (see § 430.22).
This subpart contains energy conservation standards and water conservation standards (in the case of faucets, showerheads, water closets, and urinals) for classes of covered products that are required to be administered by the Department of Energy pursuant to the Energy Conservation Program for Consumer Products Other Than Automobiles under the Energy Policy and Conservation Act, as amended (42 U.S.C. 6291
The energy and water (in the case of faucets, showerheads, water closets, and urinals) conservation standards for the covered product classes are:
(a)
(b)
(c)
(d)
The energy factor of water heaters shall not be less than the following products manufactured on or after the indicated dates:
(e)
(f)
(2) Dishwashers manufactured on or after May 14, 1994, shall have an energy factor no less than:
(g)
(2) Clothes washers manufactured on or after May 14, 1994, shall have an energy factor no less than:
(h)
(2) Clothes dryers manufactured on or after May 14, 1994, shall have an energy factor no less than;
(i)
(j)
(k)
(l)
(m)
(i)(A) Manufactured on or after January 1, 1990;
(B) Sold by the manufacturer on or after April 1, 1990; or
(C) Incorporated into a luminarie by a luminarie manufacturer on or after April 1, 1991; and
(ii) Designed—
(A) To operate at nominal input voltages of 120 or 277 volts;
(B) To operate with an input current frequency of 60 Hertz; and
(C) For use in connection with F40T12, F96T12, or F96T12HO lamps; shall have a power factor of 0.90 or greater and shall have a ballast efficacy factor not less than the following:
(2) The standards described in paragraph (m)(1) of this section do not apply to (i) a ballast which is designed for dimming or for use in ambient temperatures of 0°F or less, or (ii) a ballast which has a power factor of less than 0.90 and is designed for use only in residential building applications.
(n)
(2) Each of the following incandescent reflector lamps manufactured after November 1, 1995, shall meet or exceed the lamp efficacy standards shown in the table in this paragraph:
(o)
(p)
(q)
(2) The maximum water use allowed for flushometer valve toilets, other than blowout toilets, manufactured after January 1, 1997, shall be 1.6 gallons per flush (6.0 liters per flush).
(r)
(1) The maximum flow rate for a urinal and
(2) The length of the trough-type urinal in inches (millimeter) divided by 16 inches (406 millimeters).
At 62 FR 23116, Apr. 28, 1997, § 430.32 was amended by revising paragraph (a), effective July 1, 2001. For the convenience of the user, the revised text follows.
(a)
At 62 FR 50148, Sept. 24, 1997, § 430.32 was amended by revising paragraph (b), effective Oct. 1, 2000. For the convenience of the user, the revised text follows.
(b)
Any State regulation providing for any energy conservation standard, or water conservation standard (in the case of faucets, showerheads, water closets, and urinals), or other requirement with respect to the energy efficiency, energy use, or water use (in the case of faucets, showerheads, water closets, or urinals) of a covered product that is not identical to a Federal standard in effect under this subpart is preempted by that standard, except as provided for in sections 327 (b) and (c) of the Act.
This Appendix establishes procedures, interpretations and policies to guide the DOE in the consideration and promulgation of new or revised appliance efficiency standards under the Energy Policy and Conservation Act (EPCA). The Department's objectives in establishing these guidelines include:
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(h)
(i)
(j)
(a) The procedures, interpretations and policies described in this Appendix will be fully applicable to:
(1) Rulemakings concerning new or revised Federal energy conservation standards for consumer products initiated after August 14, 1996, and
(2) Rulemakings concerning new or revised Federal energy conservation standards for consumer products that have been initiated but for which a Notice of Proposed Rulemaking (NOPR) has not been published as of August 14, 1996.
(b) For rulemakings described in paragraph (a)(2) of this section, to the extent analytical work has already been done or public comment on an ANOPR has already been provided, such analyses and comment will be considered, as appropriate, in proceeding under the new process.
(c) With respect to incomplete rulemakings concerning new or revised Federal energy conservation standards for consumer products for which a NOPR was published prior to August 14, 1996, the Department will conduct a case-by-case review to decide whether any of the analytical or procedural steps already completed should be repeated. In any case, the approach described in this Appendix will be used to the extent possible to conduct any analytical or procedural steps that have not been completed.
(a)
(b)
(c)
(d)
(1) Potential energy savings.
(2) Potential economic benefits.
(3) Potential environmental or energy security benefits.
(4) Applicable deadlines for rulemakings.
(5) Incremental DOE resources required to complete rulemaking process.
(6) Other relevant regulatory actions affecting products.
(7) Stakeholder recommendations.
(8) Evidence of energy efficiency gains in the market absent new or revised standards.
(9) Status of required changes to test procedures.
(10) Other relevant factors.
This section describes the process to be used in developing efficiency standards and the factors to be considered in the process. The policies of the Department to guide the selection of standards and the decisions preliminary thereto are described in section 5.
(a)
(1)
(2)
(3)
(4)
(i) Technological feasibility. Technologies incorporated in commercial products or in working prototypes will be considered technologically feasible.
(ii) Practicability to manufacture, install and service. If mass production of a technology in commercial products and reliable installation and servicing of the technology could be achieved on the scale necessary to serve the relevant market at the time of the effective date of the standard, then that technology will be considered practicable to manufacture, install and service.
(iii) Adverse Impacts on Product Utility or Product Availability.
(iv) Adverse Impacts on Health or Safety.
(5)
(b)
(1)
(2)
(3)
(4)
(5)
(c)
(1)
(ii) If the preliminary analysis indicates that no candidate standard level is likely to meet the criteria specified in law, that conclusion will be announced. In such cases, the Department may decide to proceed with a rulemaking that proposes not to adopt new or amended standards, or it may suspend the rulemaking and conclude that further action on such standards should be assigned a low priority under section 3.
(2)
(3)
If major changes are required at this stage, interested parties and experts will be given an opportunity to review the revised analysis.
(d)
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(i) Consensus stakeholder recommendations.
(ii) Impacts on manufacturers. The analysis of manufacturer impacts will include: Estimated impacts on cash flow; assessment of impacts on manufacturers of specific categories of products and small manufacturers; assessment of impacts on manufacturers of multiple product-specific Federal regulatory requirements, including efficiency standards for other products and regulations of other agencies; and impact on manufacturing capacity, plant closures, and loss of capital investment.
(iii) Impacts on consumers. The analysis of consumer impacts will include: Estimated impacts on consumers based on national average energy prices and energy usage; assessments of impacts on subgroups of consumers based on major regional differences in usage or energy prices and significant variations in installation costs or performance; sensitivity analyses using high and low discount rates and high and low energy price forecasts; consideration of changes to product utility and other impacts of likely concern to all or some consumers, based to the extent practicable on direct input from consumers; estimated life-cycle cost with sensitivity analysis; and consideration of the increased first cost to consumers and the time required for energy cost savings to pay back these first costs.
(iv) Impacts on competition.
(v) Impacts on utilities. The analysis of utility impacts will include estimated marginal impacts on electric and gas utility costs and revenues.
(vi) National energy, economic and employment impacts. The analysis of national energy, economic and employment impacts will include: Estimated energy savings by fuel type; estimated net present value of benefits to all consumers; and estimates of the direct and indirect impacts on employment by appliance manufacturers, relevant service industries, energy suppliers and the economy in general.
(vii) Impacts on the environment and energy security. The analysis of environmental and energy security impacts will include estimated impacts on emissions of carbon and relevant criteria pollutants, impacts on pollution control costs, and impacts on oil use.
(viii) Impacts of non-regulatory approaches. The analysis of energy savings and consumer impacts will incorporate an assessment of the impacts of market forces and existing voluntary programs in promoting product efficiency, usage and related characteristics in the absence of updated efficiency standards.
(ix) New information relating to the factors used for screening design options.
(e)
(1)
(2)
(3)
(f)
(a)
These policies are intended to elaborate on the statutory criteria provided in section 325 of the EPCA, 42 U.S.C. 6295.
(2) The policies described below are intended to provide guidance for making the determinations required by EPCA. This statement of policy is not intended to preclude consideration of any information pertinent to the statutory criteria. The Department will consider all pertinent information in determining whether a new or revised standard is consistent with the statutory criteria. Moreover, the Department will not be guided by a policy in this section if, in the particular circumstances presented, such a policy would lead to a result inconsistent with the criteria in section 325 of EPCA.
(b)
(1)
(2)
(3)
(4)
(c)
(1)
(2)
(3)
(i) The range of candidate standard levels will typically include:
(A) The most energy efficient combination of design options;
(B) The combination of design options with the lowest life-cycle cost; and
(C) A combination of design options with a payback period of not more than three years.
(ii) Candidate standard levels that incorporate noteworthy technologies or fill in large gaps between efficiency levels of other candidate standard levels also may be selected.
(d)
(e)
(1)
(i) A candidate standard level will not be proposed or promulgated if the Department determines that it is not technologically feasible and economically justified. See EPCA section 325(o)(3)(B). A standard level is economically justified if the benefits exceed the burdens. See EPCA section 325(o)(2)(B)(i). A standard level is rebuttably presumed to be economically justified if the payback period is three years or less. See EPCA section 325(o)(2)(B)(iii).
(ii) If the Department determines that a standard level is likely to result in the unavailability of any covered product type with performance characteristics (including reliability), features, sizes, capacities, and volumes that are substantially the same as products generally available in the U.S. at
(iii) If the Department determines that a standard level would not result in significant conservation of energy, that standard level will not be proposed. See EPCA section 325(o)(3)(B).
(2)
(3)
(i) The following policies will guide the application of the economic justification criterion in selecting a proposed standard:
(A) If the Department determines that a candidate standard level would result in a negative return on investment for the industry, would significantly reduce the value of the industry, or would cause significant adverse impacts to a significant subgroup of manufacturers (including small manufacturing businesses), that standard level will be presumed not to be economically justified unless the Department determines that specifically identified expected benefits of the standard would outweigh this and any other expected adverse effects.
(B) If the Department determines that a candidate standard level would be the direct cause of plant closures, significant losses in domestic manufacturer employment, or significant losses of capital investment by domestic manufacturers, that standard level will be presumed not to be economically justified unless the Department determines that specifically identified expected benefits of the standard would outweigh this and any other expected adverse effects.
(C) If the Department determines that a candidate standard level would have a significant adverse impact on the environment or energy security, that standard level will be presumed not to be economically justified unless the Department determines that specifically identified expected benefits of the standard would outweigh this and any other expected adverse effects.
(D) If the Department determines that a candidate standard level would not result in significant energy conservation relative to non-regulatory approaches, that standard level will be presumed not to be economically justified unless the Department determines that other specifically identified expected benefits of the standard would outweigh the expected adverse effects.
(E) If the Department determines that a candidate standard level is not consistent with the policies relating to practicability to manufacture, consumer utility, or safety in paragraphs (b) (2), (3) and (4) of this section, that standard level will be presumed not to be economically justified unless the Department determines that specifically identified expected benefits of the standard would outweigh this and any other expected adverse effects.
(F) If the Department determines that a candidate standard level is not consistent with the policies relating to consumer costs in paragraph (c)(1) of this section, that standard level will be presumed not to be economically justified unless the Department determines that specifically identified expected benefits of the standard would outweigh this and any other expected adverse effects.
(G) If the Department determines that a candidate standard level will have significant adverse impacts on a significant subgroup of consumers (including low-income consumers), that standard level will be presumed not to be economically justified unless the Department determines that specifically identified expected benefits of the standard would outweigh this and any other expected adverse effects.
(H) If the Department or the Department of Justice determines that a candidate standard level would have significant anticompetitive effects, that standard level will be presumed not to be economically justified unless the Department determines that specifically identified expected benefits of the standard would outweigh this and any other expected adverse effects.
(ii) The basis for a determination that triggers any presumption in paragraph (e)(3)(i) of this section and the basis for a determination that an applicable presumption has been rebutted will be supported by substantial evidence in the record and the evidence and rationale for making these determinations will be explained in the NOPR.
(iii) If none of the policies in paragraph (e)(3)(i) of this section is found to be dispositive, the Department will determine whether the benefits of a candidate standard level exceed the burdens considering all the pertinent information in the record.
(f)
The effective date for new or revised standards will be established so that the period between the publication of the final rule and the effective date is not less than any period between the dates for publication and effective date provided for in EPCA. The effective date of any revised standard will be established so that the period between the effective date of the prior standard and the effective date of such revised standard is not less than period between the two effective dates provided for in EPCA.
(a)
(b)
(c)
(d)
(a)
(b)
(c)
(a) The purpose of the engineering analysis is to develop the relationship between efficiency and cost of the subject product. The Department will use the most appropriate means available to determine the efficiency/cost relationship, including an overall system approach or engineering modeling to predict the improvement in efficiency that can be expected from individual design options as discussed in the paragraphs below. From this efficiency/cost relationship, measures such as payback, life cycle cost, and energy savings can be developed. The Department, in consultation with interested parties, will identify issues that will be examined in the engineering analysis and the types of specialized expertise that may be required. With these specifications, DOE will select appropriate contractors, subcontractors, and expert consultants, as necessary, to perform the engineering analysis and the impact analysis. Also, the Department will consider data, information and analyses received from interested parties for use in the analysis wherever feasible.
(b) The engineering analysis begins with the list of design options developed in consultation with the interested parties as a result of the screening process. In consultation with the technology/industry expert peer review group, the Department will establish the likely cost and performance improvement of each design option. Ranges and uncertainties of cost and performance will be established, although efforts will be made to minimize uncertainties by using measures such as test data or component or material supplier information where available. Estimated uncertainties will be carried forward in subsequent analyses. The use of quantitative models will be supplemented by qualitative assessments as appropriate.
(c) The next step includes identifying, modifying or developing any engineering models necessary to predict the efficiency impact of any one or combination of design options on the product. A base case configuration or starting point will be established as well as the order and combination/blending of the design options to be evaluated. The DOE, utilizing expert consultants, will
(a)
(b)
(c)
(1) Manufacturers and their relative market shares;
(2) Manufacturer characteristics, such as whether manufacturers make a full line of models or serve a niche market;
(3) Trends in the number of manufacturers;
(4) Financial situation of manufacturers;
(5) Trends in product characteristics and retail markets; and
(6) Identification of other relevant regulatory actions and a description of the nature and timing of any likely impacts.
(d)
(1) Estimates of total cost impacts, including product-specific costs (based on cost impacts estimated for the engineering analysis) and front-end investment/conversion costs for the full range of product models.
(2) Range of uncertainties in estimates of average cost, considering alternative designs and technologies which may vary cost impacts and changes in costs of material, labor and other inputs which may vary costs.
(3) Variable cost impacts on particular types of manufacturers, considering factors such as atypical sunk costs or characteristics of specific models which may increase or decrease costs.
(e)
(f)
(1) Industry net present value, with sensitivity analyses based on uncertainty of costs, sales prices and sales volumes;
(2) Cash flows, by year;
(3) Other measures of impact, such as revenue, net income and return on equity, as appropriate;
The characteristics of atypical manufacturers worthy of special consideration will be determined in consultation with manufacturers and other interested parties and may include: manufacturers incurring higher or lower than average costs; and manufacturers experiencing greater or fewer adverse impacts on sales. Alternative scenarios based on other methods of estimating cost or sales impacts also will be performed, as needed.
(g)
(2) If the Department determines that a proposed standard would impose a significant impact on product manufacturers within three years of the effective date of another DOE standard that imposes significant impacts on the same manufacturers (or divisions thereof, as appropriate), the Department will, in addition to evaluating the impact on manufacturers of the proposed standard, assess the joint impacts of both standards on manufacturers.
(3) If the Department is directed to establish or revise standards for products that are components of other products subject to standards, the Department will consider the interaction between such standards in setting rulemaking priorities and assessing manufacturer impacts of a particular standard. The Department will assess, as part of the engineering and impact analyses, the cost of components subject to efficiency standards.
(h)
(i)
(a)
(b)
(c)
(d)
(e)
(2) If, in the analysis of consumer impacts, the Department determines that a candidate standard level would result in a substantial increase in the product first costs to consumers or would not pay back such additional first costs through energy cost savings in less than three years, Department will specifically assess the likely impacts of such a standard on low-income households, product sales and fuel switching.
(a) The Department recognizes that voluntary or other non-regulatory efforts by manufacturers, utilities and other interested parties can result in substantial efficiency improvements. The Department intends to consider fully the likely effects of non-regulatory initiatives on product energy use,
(b) DOE believes that non-regulatory approaches are valuable complements to the standards program. In particular, DOE will consider pursuing voluntary programs where it appears that highly efficient products can obtain a significant market share but less efficient products cannot be eliminated altogether because, for instance, of unacceptable adverse impacts on a significant subgroup of consumers. In making this assessment, the Department will consider the success more efficient designs have had in the market, their acceptance to date, and their potential market penetration.
In selecting values for certain crosscutting analytical assumptions, DOE expects to continue relying upon the following sources and general principles:
(a)
(b)
(c)
(d)
(e)
(a)
(b)
(c)
(a) This subpart prescribes the procedures to be followed in connection with petitions requesting a rule that a State regulation prescribing an energy conservation standard, water conservation standard (in the case of faucets, showerheads, water closets, and urinals), or other requirement respecting energy efficiency, energy use, or water use (in the case of faucets, showerheads, water closets, and urinals) of a type (or class) of covered product not be preempted.
(b) This subpart also prescribes the procedures to be followed in connection with petitions to withdraw a rule exempting a State regulation prescribing an energy conservation standard, water conservation standard (in the case of faucets, showerheads, water closets, and urinals), or other requirement respecting energy efficiency, energy use, or water use (in the case of faucets, showerheads, water closets, and urinals) of a type (or class) of covered product.
(a)
(1)
(i) The name, address, and telephone number of the petitioner;
(ii) A copy of the State standard for which a rule exempting such standard is sought;
(iii) A copy of the State's energy plan or water plan and forecast;
(iv) Specification of each type or class of covered product for which a rule exempting a standard is sought;
(v) Other information, if any, believed to be pertinent by the petitioner; and
(vi) Such other information as the Secretary may require.
(2) [Reserved]
(b)
(1)
(i) A description of the energy emergency condition or water emergency condition (in the case of faucets, showerheads, water closets, and urinals) which exists within the State, including causes and impacts.
(ii) A description of emergency response actions taken by the State and utilities within the State to alleviate the emergency condition;
(iii) An analysis of why the emergency condition cannot be alleviated substantially by importation of energy or water or the use of interconnection agreements; and
(iv) An analysis of how the State standard can alleviate substantially such emergency condition.
(2) [Reserved]
(c)
(1)
(i) The name, address and telephone number of the petitioner;
(ii) A statement of the interest of the petitioner for which a rule withdrawing an exemption is sought;
(iii) A copy of the State standard for which a rule withdrawing an exemption is sought;
(iv) Specification of each type or class of covered product for which a rule withdrawing an exemption is sought;
(v) A discussion of the factors contained in paragraph (a) of this section;
(vi) Such other information, if any, believed to be pertinent by the petitioner; and
(vii) Such other information as the Secretary may require.
(2) [Reserved]
(a)
(b)
(c)
(d)
(2) Saturdays, Sundays, and 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.
(3) When a submission is required to be made within a prescribed time, DOE may grant an extension of time upon good cause shown.
(4) Documents received after regular business hours are deemed to have been submitted on the next regular business day. Regular business hours for the DOE's National Office, Washington, DC, are 8:30 a.m. to 4:30 p.m.
(5) DOE reserves the right to refuse to accept, and not to consider, untimely submissions.
(e)
(2) A petition may be submitted on behalf of more than one person. A joint petition shall indicate each person participating in the submission. A joint petition shall provide the information required by § 430.41 for each person on whose behalf the petition is submitted.
(3) All petitions shall be signed by the person(s) submitting the petition or by a duly authorized representative. If submitted by a duly authorized representative, the petition shall certify this authorization.
(4) A petition for a rule to withdraw a rule exempting a State regulation, all supporting documents, and all future submissions shall be served on each State agency, department, or instrumentality whose regulation the petitioner seeks to supersede. The petition shall contain a certification of this service which states the name and mailing address of the served parties, and the date of service.
(f)
(2) For purposes of the Act and this subpart, a petition is deemed to be filed on the date it is accepted for filing.
(g)
(a) Promptly after receipt of a petition and its acceptance for filing, notice of such petition shall be published in the
(b) In addition to the material required under paragraph (a) of this section, each notice shall contain a summary of the State regulation at issue and the petitioner's reasons for the rule sought.
DOE may consolidate any or all matters at issue in two or more proceedings docketed where there exist common parties, common questions of fact and law, and where such consolidation would expedite or simplify consideration of the issues. Consolidation shall not affect the right of any party to raise issues that could have been raised if consolidation had not occurred.
The Secretary may hold a public hearing, and publish notice in the
(a) After the submission of public comments under § 430.42(a), the Secretary shall prescribe a final rule or deny the petition within 6 months after the date the petition is filed.
(b) The final rule issued by the Secretary or a determination by the Secretary to deny the petition shall include a written statement setting forth his findings and conclusions, and the reasons and basis therefor. A copy of the Secretary's decision shall be sent to the petitioner and the affected State agency. The Secretary shall publish in the
(c) If the Secretary finds that he cannot issue a final rule within the 6-month period pursuant to paragraph (a) of this section, he shall publish a notice in the
(a) A final rule exempting a State standard from Federal preemption will be effective:
(1) Upon publication in the
(2) Three years after such rule is published in the
(3) Five years after such rule is published in the
(b) A final rule withdrawing a rule exempting a State standard will be effective upon publication in the
(a) Any petitioner whose petition for a rule has been denied may request reconsideration within 30 days of denial. The request shall contain a statement of facts and reasons supporting reconsideration and shall be submitted in writing to the Secretary.
(b) The denial of a petition will be reconsidered only where it is alleged and demonstrated that the denial was based on error in law or fact and that evidence of the error is found in the record of the proceedings.
(c) If the Secretary fails to take action on the request for reconsideration within 30 days, the request is deemed denied, and the petitioner may seek such judicial review as may be appropriate and available.
(d) A petitioner has not exhausted other administrative remedies until a request for reconsideration has been filed and acted upon or deemed denied.
(a) A decision to prescribe a rule that a State energy conservation standard, water conservation standard (in the case of faucets, showerheads, water closets, and urinals) or other requirement not be preempted is final on the date the rule is issued, i.e., signed by the Secretary. A decision to prescribe such a rule has no effect on other regulations of a covered product of any other State.
(b) A decision to prescribe a rule withdrawing a rule exempting a State standard or other requirement is final on the date the rule is issued, i.e., signed by the Secretary. A decision to deny such a petition is final on the day a denial of a request for reconsideration is issued, i.e., signed by the Secretary.
(a) This subpart establishes procedures for the submission and disposition of applications filed by manufacturers of covered consumer products with annual gross revenues that do not exceed $8 million to exempt them temporarily from all or part of energy conservation standards or water conservation standards (in the case of faucets, showerheads, water closets, and urinals) established by this part.
(b) The purpose of this subpart is to provide content and format requirements for manufacturers of covered consumer products with low annual gross revenues who desire to apply for temporary exemptions from applicable energy conservation standards or water conservation standards (in the case of faucets, showerheads, water closets, and urinals) .
Any manufacturer of a covered product with annual gross revenues that do not exceed $8,000,000 from all its operations (including the manufacture and sale of covered products) for the 12-month period preceding the date of application may apply for an exemption. In determining the annual gross revenues of any manufacturer under this subpart, the annual gross revenue of any other person who controls, is controlled, by, or is under common control with, such manufacturer shall be taken into account.
(a) Each application filed under this subpart shall be submitted in triplicate to: U.S. Department of Energy, Small Business Exemptions, Appliance Efficiency Standards, Assistant Secretary for Conservation and Renewable Energy, Forrestal Building, 1000 Independence Avenue, SW., Washington, DC 20585.
(b) An application shall be in writing and shall include the following:
(1) Name and mailing address of applicant;
(2) Whether the applicant controls, is controlled by, or is under common control with another manufacturer, and if so, the nature of that control relationship;
(3) The text or substance of the standard or portion thereof for which the exemption is sought and the length of time desired for the exemption;
(4) Information showing the annual gross revenue of the applicant for the preceding 12-month period from all of its operations (including the manufacture and sale of covered products):
(5) Information to show that failure to grant an exemption is likely to result in a lessening of competition;
(6) Such other information, if any, believed to be pertinent by the petitioner; and
(7) Such other information as the Secretary may require.
(a) The applicant shall serve a copy of the application, all supporting documents and all subsequent submissions, or a copy from which confidential information has been deleted pursuant to 10 CFR 1004.11, to the Secretary, which may be made available for public review.
(b) Within fifteen (15) days of the receipt of an application, the Secretary will either accept it for filing or reject it, and the applicant will be so notified in writing. Only such applications which conform to the requirements of this subpart and which contain sufficient information for the purposes of a substantive decision will be accepted for filing. Applications which do not so conform will be rejected and an explanation provided to the applicant in writing.
(c) For the purpose of this subpart, an application is deemed to be filed on the date it is accepted for filing.
(d) Promptly after receipt of an application and its acceptance for filing, notice of such application shall be published in the
(e) The Secretary on his own initiative may convene a hearing if, in his discretion, he considers such hearing will advance his evaluation of the application.
Notice of the application for exemption under this subpart shall be transmitted to the Attorney General by the Secretary and shall contain (a) a statement of the facts and of the reasons for the exemption, and (b) copies of all documents submitted.
The Secretary shall grant an application for exemption submitted under this subpart if the Secretary finds, after obtaining the written views of the Attorney General, that a failure to allow an exemption would likely result in a lessening of competition.
(a) Upon consideration of the application and other relevant information received or obtained, the Secretary shall issue an order granting or denying the application.
(b) The order shall include a written statement setting forth the relevant facts and the legal basis of the order.
(c) The Secretary shall serve a copy of the order upon the applicant and upon any other person readily identifiable by the Secretary as one who is interested in or aggrieved by such order. The Secretary also shall publish in the
A temporary exemption terminates according to its terms but not later than twenty-four months after the affective date of the rule for which the exemption is allowed.
This subpart sets forth the procedures to be followed for certification and enforcement testing to determine whether a basic model of a covered product complies with the applicable energy conservation standard or water conservation standard (in the case of faucets, showerheads, water closets, and urinals) set forth in subpart C of this part. Energy conservation standards and water conservation standards (in the case of faucets, showerheads, water closets, and urinals) include minimum levels of efficiency and maximum levels of consumption (also referred to as performance standards), and prescriptive energy design requirements (also referred to as design standards).
(a) Each of the following is a prohibited act pursuant to section 332 of the Act:
(1) Failure to permit access to, or copying of records required to be supplied under the Act and this rule or failure to make reports or provide other information required to be supplied under this Act and this rule;
(2) Failure of a manufacturer to supply at his expense a reasonable number of covered products to a test laboratory designated by the Secretary;
(3) Failure of a manufacturer to permit a representative designated by the Secretary to observe any testing required by the Act and this rule and inspect the results of such testing; and
(4) Distribution in commerce by a manufacturer or private labeler of any new covered product which is not in compliance with an applicable energy efficiency standard or water conservation standard (in the case of faucets, showerheads, water closets, and urinals) prescribed under the Act and this rule.
(b) In accordance with section 333 of the Act, any person who knowingly violates any provision of paragraph (a) of this section may be subject to assessment of a civil penalty of no more than $110 for each violation. Each violation of paragraph (a) of this section shall constitute a separate violation
(a)
(2) Each manufacturer or private labeler of a basic model of a covered clothes washer, clothes dryer, dishwasher, faucet, showerhead, water closet, or urinal shall file a compliance statement and a certification report to DOE before [date 1 year after publication of the Final Rule].
(3) The compliance statement shall include all information specified in the format set forth in appendix A of this subpart and shall certify that:
(i) The basic model(s) complies with the applicable energy conservation standard or water conservation standard (in the case of faucets, showerheads, water closets, and urinals);
(ii) All required testing has been conducted in conformance with the applicable test requirements prescribed in subpart B of this part;
(iii) All information reported in the certification report(s) is true, accurate, and complete; and
(iv) The manufacturer or private labeler is aware of the penalties associated with violations of the Act, the regulations thereunder, and 18 U.S.C. 1001 which prohibits knowingly making false statements to the Federal Government.
(4) A certification report for all basic models of a covered product (a suggested format is set forth in appendix A of this subpart) shall be submitted to DOE. The certification report shall include for each basic model the product type, product class (as denoted in § 430.32), manufacturer's name, private labeler's name(s) (if applicable), the manufacturer's model number(s), and for:
(i) Central air conditioners, the seasonal energy efficiency ratio.
(ii) Central air conditioning heat pumps, the seasonal energy efficiency ratio and heating seasonal performance factor.
(iii) Clothes washers, the energy factor in ft
(iv) Clothes dryers, the energy factor in lbs/kWh, capacity in ft
(v) Direct heating equipment, the annual fuel utilization efficiency in percent and capacity in Btu/hour.
(vi) Dishwashers, the energy factor in cycles/kWh and exterior width in inches.
(vii) Faucets, the maximum water use in gpm (L/min) or gal/cycle (L/cycle) for each faucet; or the maximum water use in gpm (L/min) or gal/cycle (L/cycle) for each flow control mechanism, with a listing of accompanied faucets by manufacturer's model numbers.
(viii) Furnaces, the annual fuel utilization efficiency in percent.
(ix) General service fluorescent lamps, the testing laboratory's National Voluntary Laboratory Accreditation Program (NVLAP) identification number or other NVLAP-approved accreditation identification, production date codes (and accompanying decoding scheme), the 12-month average lamp efficacy in lumens per watt, lamp wattage, and the 12-month average Color Rendering Index.
(x) Incandescent reflector lamps, the laboratory's National Voluntary Accreditation Program (NVLAP) identification number or other NVLAP-approved accreditation identification, production date codes (and accompanying decoding scheme), the 12-month average lamp efficacy in lumens per watt, and lamp wattage.
(xi) Pool heaters, the thermal efficiency in percent.
(xii) Refrigerators, refrigerator-freezers, and freezers, the annual energy use in kWh/yr and total adjusted volume in ft
(xiii) Room air conditioners, the energy efficiency ratio and capacity in Btu/hour.
(xiv) Showerheads, the maximum water use in gpm (L/min) with a listing of accompanied showerheads by manufacturer's model numbers.
(xv) Urinals, the maximum water use in gpf (Lpf).
(xvi) Water closets, the maximum water use in gpf (Lpf).
(xvii) Water heaters, the energy factor and rated storage volume in gallons.
(5) Copies of reports to the Federal Trade Commission which include the information specified in paragraph (a)(4) could serve in lieu of the certification report.
(b)
(2) Prior to or concurrent with the distribution of a new model of general service fluorescent lamp or incandescent reflector lamp, each manufacturer and private labeler shall submit a statement signed by a company official stating how the manufacturer or private labeler determined that the lamp meets or exceeds the energy conservation standards, including a description of any testing or analysis the manufacturer or private labeler performed. This statement shall also list the model number or descriptor, lamp wattage and date of commencement of manufacture. Manufacturers and private labelers of general service fluorescent lamps and incandescent reflector lamps shall submit the certification report required by paragraph (a)(4) of this section within one year after the date manufacture of that new model commences.
(c)
(d)
(e)
At 63 FR 13319, Mar. 18, 1998, § 430.62 was revised effective Apr. 17, 1998, except for paragraphs (a)(4)(vii), (xiv), (xv), and (xvi), which become effective Mar. 18, 1999.
(a) For purposes of a certification of compliance, the determination that a basic model complies with the applicable energy performance standard or water performance standard (in the case of faucets, showerheads, water closets, and urinals) shall be based upon the sampling procedures set forth in § 430.24 of this part. For purposes of a certification of compliance, the determination that a basic model complies with the applicable design standard shall be based upon the incorporation of specific design requirements for clothes dryers, dishwashers, clothes washers and kitchen ranges and ovens specified in section 325 of the Act.
(b) A basic model which meets the following requirements may qualify as an “other than tested model” for purposes of the certification testing and sampling requirements:
(1) Central air conditioners: The condenser-evaporator coil combinations manufactured by the condensing unit manufacturer other than the combination likely to have the largest volume of retail sales or the condenser-coil combinations manufactured in part by a component manufacturer using the same condensing unit.
(2) For purposes of certification of “other than tested models,” as defined in paragraph (b)(1) of this section, a manufacturer may certify the basic model on the basis of computer simulation or engineering analysis as set forth in § 430.23(m) of this part.
(a) Pursuant to section 331 of the Act, any person importing any covered product into the United States shall comply with the provisions of the Act and of this part, and is subject to the remedies of this part.
(b) Any covered product offered for importation in violation of the Act and of this part shall be refused admission into the customs territory of the United States under rules issued by the Secretary of the Treasury, except that the Secretary of the Treasury may, by such rules, authorize the importation of such covered product upon such terms and conditions (including the furnishing of a bond) as may appear to the Secretary of Treasury appropriate to ensure that such covered product will not violate the Act and this part, or will be exported or abandoned to the United States.
Pursuant to section 330 of the Act, this part shall not apply to any covered product if (a) such covered product is manufactured, sold, or held for sale for export from the United States (or such product was imported for export), unless such product is, in fact, distributed in commerce for use in the United States, and (b) such covered product, when distributed in commerce, or any container in which it is enclosed when so distributed, bears a stamp or label stating that such covered product is intended for export.
(a)
(i) Such a procedure will only be followed after the Secretary or his designated representative has examined the underlying test data provided by the manufacturer and after the manufacturer has been offered the opportunity to meet with DOE to verify compliance with the applicable performance standard. A representative designated by the Secretary shall be permitted to observe any reverification procedures by this subpart, and to inspect the results of such reverification.
(ii) The test notice will be signed by the Secretary or his designee. The test notice will be mailed or delivered by DOE to the plant manager or other responsible official, as designated by the manufacturer.
(iii) The test notice will specify the model or basic model to be selected for testing, the method of selecting the test sample, the time at which testing shall be initiated, the date by which testing is scheduled to be completed and the facility at which testing will be conducted. The test notice may also provide for situations in which the selected basic model is unavailable for testing, and may include alternative basic models.
(iv) The Secretary may require in the test notice that the manufacturer of a covered product shall ship at his expense a reasonable number of units of a basic model specified in such test notice to a testing laboratory designated by the Secretary. The number of units of a basic model specified in a test notice shall not exceed twenty (20).
(v) Within 5 working days of the time units are selected, the manufacturer shall ship the specified test units of a basic model to the testing laboratory.
(2)
(3)
(4)
(i) The batch may be subdivided by DOE utilizing criteria specified in the test notice, e.g., date of manufacture, component-supplier, location of manufacturing facility, or other criteria which may differentiate one unit from another within a basic model.
(ii) A batch sample of up to 20 units will then be randomly selected from one or more subdivided groups within the batch. The manufacturer shall keep on hand all units in the batch sample until such time as the basic model is determined to be in compliance or noncompliance.
(iii) Individual test units comprising the test sample shall be randomly selected from the batch sample.
(iv) All random selection shall be achieved by sequentially numbering all of the units in a batch sample and then using a table of random numbers to select the units to be tested.
(5)
(ii) No quality control, testing or assembly procedures shall be performed on a test unit, or any parts and subassemblies thereof, that is not performed during the production and assembly of all other units included in the basic model.
(iii) A test unit shall be considered defective if such unit is inoperative or is found to be in noncompliance due to failure of the unit to operate according to the manufacturer's design and operating instructions. Defective units, including those damaged due to shipping or handling, shall be reported immediately to DOE. DOE shall authorize testing of an additional unit on a case-by-case basis.
(6)
(ii) All units tested under paragraph (a)(6) of this section shall be selected and tested in accordance with the provisions given in paragraphs (a) (1) through (5) of this section.
(iii) The manufacturer shall bear the cost of all testing conducted under paragraph (a)(6) of this section.
(iv) The manufacturer shall cease distribution of the basic model being tested under the provisions of paragraph (a)(6) of this section from the time the manufacturer elects to exercise the option provided in this paragraph until the basic model is determined to be in compliance. DOE may seek civil penalties for all units distributed during such period.
(v) If the additional testing results in a determination of compliance, a notice of allowance to resume distribution shall be issued by the Department.
(b)
(a) In the event that a model is determined noncompliant by DOE in accordance with § 430.70 of this part or if a manufacturer or private labeler determines a model to be in noncompliance, then the manufacturer or private labeler shall:
(1) Immediately cease distribution in commerce of the basic model;
(2) Give immediate written notification of the determination of noncompliance, to all persons to whom the manufacturer has distributed units of the basic model manufactured since the date of the last determination of compliance.
(3) Pursuant to a request made by the Secretary, provide DOE within 30 days of the request, records, reports and other documentation pertaining to the acquisition, ordering, storage, shipment, or sale of a basic model determined to be in noncompliance.
(4) The manufacturer may modify the noncompliant basic model in such manner as to make it comply with the applicable performance standard. Such modified basic model shall then be treated as a new basic model and must be certified in accordance with the provisions of this subpart; except that in addition satisfying all requirements of this subpart, the manufacturer shall also maintain records that demonstrate that modifications have been made to all units of the new basic model prior to distribution in commerce.
(b) If a basic model is not properly certified in accordance with the requirements of this subpart, the Secretary may seek, among other remedies, injunctive action to prohibit distribution in commerce of such basic model.
Pursuant to section 329(a) of the Act, for purposes of carrying out this part,
If DOE determines that a basic model of a covered product does not comply with an applicable energy conservation standard or water conservation standard (in the case of faucets, showerheads, water closets, and urinals):
(a) DOE will notify the manufacturer, private labeler or any other person as required, of this finding and of the Secretary's intent to seek a judicial order restraining further distribution in commerce of such basic model unless the manufacturer, private labeler or any other person as required, delivers to DOE within 15 calendar days a statement, satisfactory to DOE, of the steps he will take to insure that the noncompliant model will no longer be distributed in commerce. DOE will monitor the implementation of such statement.
(b) If the manufacturer, private labeler or any other person as required, fails to stop distribution of the noncompliant model, the Secretary may seek to restrain such violation in accordance with section 334 of the Act.
(c) The Secretary shall determine whether the facts of the case warrant the assessment of civil penalties for knowing violations in accordance with section 333 of the Act.
(a) Pursuant to section 333(d) of the Act, before issuing an order assessing a civil penalty against any person under this section, the Secretary shall provide to such person notice of the proposed penalty. Such notice shall inform such person of that person's opportunity to elect in writing within 30 days after the date of receipt of such notice to have the procedures of paragraph (c) of this section (in lieu of those in paragraph (b) of this section) apply with respect to such assessment.
(b)(1) Unless an election is made within 30 calendar days after receipt of notice under paragraph (a) of this section to have paragraph (c) of this section apply with respect to such penalty, the Secretary shall assess the penalty, by order, after a determination of violation has been made on the record after an opportunity for an agency hearing pursuant to section 554 of title 5, United States Code, before an administrative law judge appointed under section 3105 of such title 5. Such assessment order shall include the administrative law judge's findings and the basis for such assessment.
(2) Any person against whom a penalty is assessed under this section may, within 60 calendar days after the date of the order of the Secretary assessing such penalty, institute an action in the United States Court of Appeals for the appropriate judicial circuit for judicial review of such order in accordance with chapter 7 of title 5, United States Code. The court shall have jurisdiction to enter a judgment affirming, modifying, or setting aside in whole or in part, the order of the Secretary, or the court may remand the proceeding to the Secretary for such further action as the court may direct.
(c)(1) In the case of any civil penalty with respect to which the procedures of this section have been elected, the Secretary shall promptly assess such penalty, by order, after the date of the receipt of the notice under paragraph (a) of this section of the proposed penalty.
(2) If the civil penalty has not been paid within 60 calendar days after the assessment has been made under paragraph (c)(1) of this section, the Secretary shall institute an action in the appropriate District Court of the
(3) Any election to have this paragraph apply may not be revoked except with the consent of the Secretary.
(d) If any person fails to pay an assessment of a civil penalty after it has become a final and unappealable order under paragraph (b) of this section, or after the appropriate District Court has entered final judgment in favor of the Secretary under paragraph (c) of this section, the Secretary shall institute an action to recover the amount of such penalty in any appropriate District Court of the United States. In such action, the validity and appropriateness of such final assessment order or judgment shall not be subject to review.
(e)(1) In accordance with the provisions of section 333(d)(5)(A) of the Act and notwithstanding the provisions of title 28, United States Code, or section 502(c) of the Department of Energy Organization Act, the Secretary shall be represented by the General Counsel of the Department of Energy (or any attorney or attorneys within DOE designated by the Secretary) who shall supervise, conduct, and argue any civil litigation to which paragraph (c) of this section applies including any related collection action under paragraph (d) of this section in a court of the United States or in any other court, except the Supreme Court of the United States. However, the Secretary or the General Counsel shall consult with the Attorney General concerning such litigation and the Attorney General shall provide, on request, such assistance in the conduct of such litigation as may be appropriate.
(2) In accordance with the provisions of section 333(d)(5)(B) of the Act, and subject to the provisions of section 502(c) of the Department of Energy Organization Act, the Secretary shall be represented by the Attorney General, or the Solicitor General, as appropriate, in actions under this section, except to the extent provided in paragraph (e)(1) of this section.
(3) In accordance with the provisions of section 333(d)(5)(C) of the Act, section 402(d) of the Department of Energy Organization Act shall not apply with respect to the function of the Secretary under this section.
Pursuant to the provisions of 10 CFR 1004.11, any person submitting information or data which the person believes to be confidential and exempt law from public disclosure should submit one complete copy, and fifteen copies from which the information believed to be confidential has been deleted. In accordance with the procedures established at 10 CFR 1004.11, DOE shall make its own determination with regard to any claim that information submitted be exempt from public disclosure.
This compliance statement and all certification reports submitted are in accordance with 10 CFR Part 430 (Energy or Water Conservation Program for Consumer Products) and the Energy Policy and Conservation Act, as amended. The compliance statement is signed by a responsible official of the above named company. The basic model(s) listed in certification reports comply with the applicable energy conservation standard or water (in the case of faucets, showerheads, water closets, and urinals) conservation standard. All testing on which the certification reports are based was conducted in conformance with applicable test requirements prescribed in 10 CFR part 430 subpart B. All information reported in the certification report(s) is true, accurate, and complete. The company is aware of the penalties associated with violations of the Act, the regulations thereunder, and is also aware of the provisions contained in 18 U.S.C. 1001, which prohibits knowingly making false statements to the Federal Government.
For certification reports prepared and submitted by a third party organization under the provisions of § 430.62 of 10 CFR part 430, the company official who authorized said third party representation is:
The third party organization submitting the certification report on behalf of the company is:
For Existing, New, or Modified Models
For Discontinued Models
Step 1. The first sample size (
Step 2. Compute the mean (
Step 3. Compute the standard deviation (
Step 4. Compute the standard error (S
Step 5. Compute the upper control limit (UCL
Step 6(a). For an Energy Efficiency Standard, compare the mean of the first sample (
(1) If the mean of the first sample is below the lower control limit, then the basic model is in noncompliance and testing is at an end. (Do not go on to any of the steps below.)
(2) If the mean of the first sample is equal to or greater than the upper control limit, then the basic model is in compliance and testing is at an end. (Do not go on to any of the steps below.)
(3) If the sample mean is equal to or greater than the lower control limit but less than the upper control limit, then no determination of compliance or noncompliance can be made and a second sample size is determined by Step 7(a).
Step 6(b). For an Energy or Water Consumption Standard, compare the mean of the first sample (
(1) If the mean of the first sample is above the upper control limit, then the basic model is in noncompliance and testing is at an end. (Do not go on to any of the steps below.)
(2) If the mean of the first sample is equal to or less than the lower control limit, then the basic model is in compliance and testing is at an end. (Do not go on to any of the steps below.)
(3) If the sample mean is equal to or less than the upper control limit but greater than the lower control limit, then no determination of compliance or noncompliance can be made and a second sample size is determined by Step 7(b).
Step 7(a). For an Energy Efficiency Standard, determine the second sample size (
where
(1) If the value of
(2) If the value of
(3) If the value of
Step 7(b). For an Energy or Water Consumption Standard, determine the second sample size (
(1) If the value of
(2) If the value of
(3) If the value of
Step 8. Compute the combined mean (
Step 9. Compute the standard error (S
Step 10(a). For an Energy Efficiency Standard, compute the lower control limit (LCL
Step 10(b). For an Energy or Water Consumption Standard, compute the upper control limit (UCL
Step 11(a). For an Energy Efficiency Standard, compare the combined sample mean (
(1) If the mean of the combined sample (
(2) If the mean of the combined sample (
Step 11(b). For an Energy or Water Consumption Standard, compare the combined sample mean (
(1) If the mean of the combined sample (
(2) If the mean of the combined sample (
If a determination of non-compliance is made in Steps 6, 7 or 11, the manufacturer may request that additional testing be conducted, in accordance with the following procedures.
Step A. The manufacturer requests that an additional number,
Step B. Compute the mean energy or water performance, standard error, and lower or upper control limit of the new combined sample in accordance with the procedures prescribed in Steps 8, 9, and 10, above.
Step C. Compare the mean performance of the new combined sample to the revised lower or upper control limit to determine one of the following:
a.1. For an Energy Efficiency Standard, if the new combined sample mean is equal to or greater than the lower control limit or 95 percent of the applicable energy efficiency standard, whichever is greater, the basic model is in compliance and testing is at an end.
a.2. For an Energy or Water Consumption Standard, if the new combined sample mean is equal to or less than the upper control limit or 105 percent of the applicable energy or water consumption standard, whichever is less, the basic model is in compliance and testing is at an end.
b.1. For an Energy Efficiency Standard, if the new combined sample mean is less than the lower control limit or 95 percent of the applicable energy efficiency standard, whichever, is greater, and the value of
b.2. For an Energy or Water Consumption Standard, if the new combined sample mean is greater than the upper control limit or 105 percent of the applicable energy or water consumption standard, whichever is less, and the value of
c. Otherwise, the basic model is determined to be in noncompliance.
42 U.S.C. 6831-6870; 42 U.S.C. 8254; 42 U.S.C. 7101,
(a) This subpart establishes energy conservation voluntary performance standards for the design of new commercial and multi-family high rise residential buildings. The voluntary performance standards are designed to achieve the maximum practicable improvements in energy efficiency and increases in the use of non-depletable sources of energy.
(b) The voluntary performance standards will be used by Federal agencies for the design of new Federal commercial and multi-family high rise residential buildings.
(c) Except in the case of new commercial and multi-family high rise residential buildings, which are Federal buildings, voluntary performance standards prescribed under this subpart are developed solely as guidelines for the purpose of providing technical assistance for the design of energy efficient buildings.
(a) The voluntary performance standards for new commercial and multi-family high rise residential buildings apply to the design of a new commercial or multi-family high rise residential building, except for the following:
(1) A building constructed and developed for residential occupancy, unless the building is a multi-family high rise residential building with 3 or more stories;
(2) Heating, cooling, ventilating, or service hot water requirements for those spaces where processes occur for purposes other than occupant comfort and sanitation, and which impose thermal loads in excess of 5% of the loads that would otherwise be required for occupant comfort and sanitation without the process;
(3) Envelope requirements for those spaces where heating or cooling requirements are excepted in paragraph (a)(2) of this section;
(4) Lighting for tasks not listed or encompassed by areas or activities listed in Table 3.5-1; and
(5) Buildings that are composed entirely of spaces listed in paragraphs (a) (2), (3), and (4) of this section.
(a) For the purpose of this subpart:
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
(1) Type A—Jewelry Merchandising, where the minute display and examination of merchandise is critical.
(2) Type B—Fine Merchandising: Fine apparel and accessories, china, crystal and silver, art galleries, etc., where the detailed display and examination of merchandise is important.
(3) Type C—Mass Merchandising, where focused display and detailed examination of merchandise is important.
(4) Type D—General Merchandising: General apparel, variety, stationery, books, sporting goods, hobby, cameras, gift, luggage, etc., where general display and examination of merchandise are adequate.
(5) Type E—Food & Miscellaneous: Bakeries, hardware and housewares, grocery, appliances and furniture, etc., where appetizing appearance is important.
(6) Type F—Service Establishments, where functional performance is important.
(1)
(2)
(3)
(b) For definitions not found in paragraph (a) of this section, the 1986 edition of “Terminology of Heating and Ventilation, Air-Conditioning, and Refrigeration” as published by the American Society of Heating, Refrigeration, and Air-Conditioning Engineers, Inc. (ASHRAE) shall apply to these standards.
(c) For purposes of this subpart, the acronyms and abbreviations shall have the following meanings:
(a) For purposes of this subpart, a derivative of two different numbering systems will be used.
(1) For the purpose of designating a section, the system employed in the Code of Federal Regulations (CFR) will be employed. The number “435,” which signifies Part 435, Chapter II of Title 10, Code of Federal Regulations, is used as a prefix for all section headings. The suffix is a two or three digit number beginning with “.97.” For example, the lighting section of the standards is numbered § 435.103.
(2) Within each section, a numbering system common to many national voluntary consensus standards is used. This system was chosen because of its commonality among the buildings industry. A decimal system is used to denote sections and subsections. For example, § 9.4.2 refers to section 9, subsection 4, paragraph 2.
(b) The hybrid numbering system is used for two purposes:
(1) The use of the Code of Federal Regulation's numbering system allows the researcher using the CFR easy access to the standards.
(2) The use of the second system allows the builder, designer, architect or engineer easy access because they are used to the system employed.
(c) To avoid confusion in the use of the two systems, § 435.101 through § 435.112, the substantive technical sections of the standards, have been numbered so that the last two digits in the suffix designate the section. For example, once the reader enters the body of § 435.105: Building Envelope, the number “5” is used to designate the section. References throughout the standard do not employ the “435” prefix but rather refer to the section by the single or double digit numbers from 1-12.
Alternative methods of achieving compliance are illustrated in Figure 1.1-1.
1.1.1 The head of each Federal agency responsible for the construction of Federal buildings shall adopt such procedures as may be necessary to assure that the design of the building shall:
1.1.1.1 be undertaken in a manner that provides for appropriate consideration of the Principles of Effective Energy Building Design prescribed in §§ 2.0, 3.2, 4.2, 5.2, 6.2, 7.2, 8.2, 9.2 and 10.2;
1.1.1.2 comply with the minimum requirements of §§ 3.3, 4.3, 5.3, 6.3, 7.3, 8.3, 9.3 and 10.3; and
1.1.1.3 meet or exceed, based upon the analysis of life-cycle cost-effectiveness required by § 1.1.2 below, the following additional requirements:
1.1.1.3.1 the lighting design shall meet either the prescriptive requirements of § 3.4 or the system performance requirements of § 3.5,
1.1.1.3.2 the building envelope design shall meet either the prescriptive requirements of section 5.4 or the system performance requirements of section 5.5, and
1.1.1.3.3 the heating, ventilating and air conditioning systems design shall meet the prescriptive requirements of section 7.4, and
1.1.1.3.4 the service water heating systems design shall meet the prescriptive requirements of section 9.4.
1.1.2 In lieu of meeting the provisions of section 1.1.1 above, the building design shall meet the criteria of the building energy method of section 11.0 or 12.0, Building Energy Compliance Alternatives I and II.
1.1.3 The head of each Federal agency responsible for the construction of Federal buildings shall also assure that the decision-making process for the design of the building shall employ the methodology for estimating and comparing the life-cycle cost of Federal buildings and for determining life-cycle cost-effectiveness prescribed in subpart A of 10 C.F.R. part 436.
1.2.1 The standards, in addition to minimum requirements, establish three alternate methods to determine whether the design has achieved compliance.
1.2.2 There are several alternative methods of achieving compliance provided for in the standards:
1.2.2.1 Prescriptive (Sections 3.4, 5.4, 7.4 and 9.4),
1.2.2.2 System Performance (Sections 3.5 and 5.5), or
1.2.2.3 Building Energy (Section 11.0 or 12.0).
1.2.2.4 The criteria established for each of the methods allow for designs that are roughly equivalent in terms of energy conservation. The equivalency of the methods can be demonstrated by designing a building using the Prescriptive approach, then modeling the building using either the System Performance or Building Energy criteria calculation procedures and comparing results.
1.2.3 Compliance with these standards shall be demonstrated by meeting the set of minimum requirements defined in Sections 3.2, 3.3, 4.2, 4.3, 5.2, 5.3, 6.2, 6.3, 7.2, 7.3, 8.2, 8.3, 9.2, 9.3, 10.2, and 10.3 and one of the alternative methods.
1.3.1 Use the Prescriptive method when the minimum amount of calculation and effort to achieve compliance is of primary concern. Its requirements can be readily specified in construction documents and are easily reviewed by building code enforcement authorities. The Prescriptive method permits few trade-offs or optimization procedures, but does permit several energy-effective and cost-effective alternate construction options to be used. See Figure 1.1-2.
1.3.2 Use the System Performance method when more innovative design is required, or when the Prescriptive method does not provide the necessary design flexibility. It requires more manual calculations than the Prescriptive method. See Figure 1.1-2
1.3.3 Use either of the Building Energy methods (Sections 11.0 or 12.0) when the most innovative design concepts are being considered. The Building Energy methods allow the trade-off of energy among the building systems as long as the total calculated design annual energy consumption does not exceed the limit prescribed. It will, in general, require the use of a computer
2.1.1 This section complements the other sections of the standards by providing general principles of effective building design. The intention of this section is to provide ideas on how to improve the integration of the building's major energy using subsystems in a cost-effective manner without compromising the building's intended functional use or internal environmental conditions. In addition, more narrowly focused principles are included in sections 3.0 through 10.0.
2.1.2 To comply with the principles of effective design, designers shall use their professional judgment to identify the building's most significant energy requirements and select appropriate solutions from the general strategies found in this section and the more specific strategies found in sections 3.0 through 10.0.
2.2.1 Before energy design strategies can be developed for a commercial or multi-family high rise residential building, a clear picture of its most significant energy requirements must be developed. The basic approach to achieving an energy conscious design is to improve the energy efficiency of the building by shifting or reducing loads, improving transport systems, and providing efficient environmental systems and controls. This is accomplished by first determining which aspects of the building's energy requirements are the most significant, those that would result in the largest annual energy costs to the building owner if energy conserving strategies were otherwise not applied. For example, for a given building, the largest annual energy cost component may be lighting, followed by cooling, heating, and ventilation, respectively. In this example electricity would be the major energy source. Therefore, peak time-rates of energy use (i.e., peak power demands), as well as direct energy use, would have to be included in any energy analysis. Consideration of peak demands will reduce the requirement for oversizing of energy systems in the building and will also have the added impact of helping to reduce the need for additional, low utilization peak capacity on utility grids.
2.2.2 Once the most significant cost components of the building's energy requirements have been determined, apply the strategies and design solutions listed below and those that appear in each of the following sections of the standards. ln the example noted above, lighting solutions would be addressed first, followed by cooling, heating, and then ventilation.
2.2.3 Research results indicate that the most significant energy uses for any given commercial or multi-family high rise residential building are generally not accurately identifiable by professional intuition. Therefore, use shall be made of one of the several available analysis tools, some of which are microcomputer-based.
2.3.1 Consider energy efficiency from the initiation of the building design process, since design improvements are most easily and effectively made at that time. Seek the active participation of members of the design team early in the design process, including the owner, architect, engineer, and builder, if possible. Consider building attributes such as building function, form, orientation, window/wall ratio, and HVAC system types early in the design process. Each has major energy implications. These considerations most likely will result in solutions that minimize both construction and operation costs, including energy demand charges.
2.3.2 Address the building's energy requirements in the following sequence: minimize impact of the building functional requirements; minimize loads; improve the efficiency of distribution and conversion systems; and integrate building subsystems into an efficient whole. Each of these is discussed below.
2.3.2.1 Minimize impact of functional requirements by identifying major areas that offer energy efficiency opportunities based on the
2.3.2.2 Minimize loads by analyzing the external and internal loads to be imposed on building energy-using subsystems, both for peak-load and part-load conditions. Include a determination of how the building relates to its external environment in the analysis, either adaptively or defensively. Consider changes in building form, aspect ratio, and other attributes that reduce, redistribute, or delay (shift) loads.
2.3.2.3 Improve subsystems by analyzing the diversified energy and demand (power) requirements of each energy-using subsystem serving the functional requirements of the building. Consider static and dynamic efficiency of energy conversion and energy transport subsystems and include consideration of opportunities to reclaim, redistribute and store energy for later use.
2.3.2.4 Alternative ways to integrate systems into the building will be accomplished by considering both power and time components of energy use. Identify, evaluate, and design each of these components to control the overall design energy consumption. The following shall be considered when integrating major building subsystems:
2.3.2.4.1 Address more than one problem when developing design solutions, and make maximum use of building components already present for non-energy reasons (e.g., windows, structural mass);
2.3.2.4.2 Examine design solutions that consider time since sufficient energy may already be present from the environment (e.g., solar heat, night cooling) or from internal equipment (e.g., lights, computers) but available at different times than needed. Thus, active (heat pumps with water tanks) and passive (building mass) storage techniques may be considered;
2.3.2.4.3 Examine design solutions that consider anticipated space utilization. For example, in large but relatively unoccupied spaces, task or zone heating may be considered. Transporting energy (light and heat) from locations of production and availability to locations of need shall be considered instead of the purchase of additional energy;
2.3.2.4.4 Never reject waste energy at temperatures usable for space conditioning or other practical purposes, without calculating the economic benefit of energy recovery;
2.3.2.4.5 Consider design solutions that provide more comfortable surface temperatures or increase availability of controlled daylight in buildings in which human occupancy is a primary function;
2.3.2.4.6 Use design solutions that are easily understood as they have a greater probability of use by building occupants; and
2.3.2.4.7 Where the functional requirements of the building may change, the installed environmental system should be designed to be adaptable to meet functional changes that can be anticipated as well as providing flexibility to meet indeterminate future changes in use, occupancy or other functions.
3.1.1 This section contains principles of design, a set of minimum requirements, and two alternative compliance procedures, prescriptive and systems performance, for the design of building lighting and lighting control systems, and includes provisions for daylighting credit. The procedures in this section are solely for use in establishing lighting design budgets and are not intended for use as lighting design procedures.
3.1.2
3.1.2.1 Interior spaces of buildings;
3.1.2.2 Building exteriors and exterior areas, such as entrances, exits, and loading docks; and
3.1.2.3 Roads, grounds, parking, and other exterior areas where lighting is energized through the building electrical service.
3.1.3
3.1.3.1 Outdoor manufacturing, commercial greenhouses, and processing facilities;
3.1.3.2 Lighting power for theatrical production studios and stages, television broadcasting studios, audio-visual presentation, and entertainment facilities in spaces such as stages, hotel ballrooms, nightclubs, discos, and casinos, and where lighting is an essential technical element for the function performed;
3.1.3.3 Specialized luminaires for medical and dental purposes;
3.1.3.4 Outdoor athletic facilities;
3.1.3.5 Lighting power for display lighting required for art exhibits or displays in galleries, museums and monuments;
3.1.3.6 Exterior lighting for public monuments;
3.1.3.7 Special lighting needs for research;
3.1.3.8 Lighting power for lighting used solely for indoor plant growth during the hours of 10:00 p.m. to 6:00 a.m.;
3.1.3.9 Emergency lighting that is automatically “off” during normal operation;
3.1.3.10 High risk security areas or any area identified by local ordinances or regulations or by security or safety personnel as requiring additional lighting;
3.1.3.11 Lighting power densities for spaces with enhanced lighting specifically designed for primary use by the visually impaired, hard of hearing, or for senior citizens;
3.1.3.12 Lighting for signs;
3.1.3.13 Store-front exterior-enclosed display windows in retail facilities; and
3.1.3.14 Lighting for dwelling units.
3.1.4
3.1.4.1 The prescriptive criteria in section 3.4 provides a single compliance procedure based on calculating a lighting budget by building type or major area type within which a designer can flexibly design a lighting solution. To obtain credit for specific lighting energy conservation measures, use section 3.5, section 11.0, or section 12.0.
3.1.4.2 The systems performance criteria in section 3.5 provides a more complex compliance procedure based on calculating a lighting budget by activity or spaces within which the designer can flexibly design a lighting solution and receive credit for energy conserving controls and daylighting measures. To receive credit for more complex lighting conservation measures use section 11.0 or 12.0.
3.1.5
3.1.6
3.1.6.1 The minimum requirements of section 3.3 are met;
3.1.6.2 The exterior lighting power to be installed is not greater than the Exterior Lighting Power Allowance (ELPA), calculated using Equation 3.3-1;
3.1.6.3 The interior lighting power to be installed is not greater than the Interior Lighting Power Allowance (ILPA), based on either the Prescriptive Criteria in section 3.4 or the Systems Performance Criteria in section 3.5.
3.1.6.4 Tradeoffs between ILPA and ELPA are not allowed. Tradeoffs of the interior Lighting Power Budgets (LPB) among interior spaces are allowed as long as the total Connected Lighting Power (CLP) within the building does not exceed the Interior Lighting Power Allowance (ILPA) and Lighting Power Control Credits (LPCC) are used only for connected lighting power in those spaces for which credit is claimed.
3.1.7
3.2.1 The lighting system is designed to provide a productive, safe, and pleasing visual environment for the intended use of the space. However, lighting is both a major energy end use in commercial buildings (especially in office buildings) and a major contributor to internal loads by increasing cooling loads and decreasing heating loads. Therefore, it is important to produce a design that meets the lighting functional criteria of the space as well as one that minimizes energy use. Recommended maintained illuminance levels for visual tasks and surrounding lighted areas are included in the
3.2.2 The following Design Concepts shall be considered in the design of lighting that is both energy efficient and visually effective.
3.2.2.1 Energy use is determined by the lighting load (demand power) and its duration of use (time). Minimize the actual demand load rather than just the apparent connected load, and control the load rather than just switching, if switching may adversely affect the quality of the luminous environment.
3.2.2.2 Consider daylighting along with the proper use of controls so that the savings from electric lighting can be realized. Design should be sensitive to window glare, sudden changes in luminances, and general use acceptance of controls. Window treatment (blinds, drapes and shades) and glazing should be carefully selected to control direct solar penetration and luminance extremes while still maintaining view and daylight penetration.
3.2.2.3 Design lighting systems so that illumination required for tasks is primarily limited to the location of the task and from a direction that will minimize direct glare and veiling reflections on the task. For example, the ideal positioning of work stations is between the rows of ceiling-mounted luminaires with the direction of view parallel to the primary task. In densely-occupied work spaces, uniform distribution of general lighting may be most appropriate. Where supplementary task illumination is necessary, general or ambient illumination should not be lower than a third of the luminance required for the task. This will help maintain luminance rates that are visually comfortable.
3.2.2.4 Use task lighting, whenever possible, to accommodate the need for higher lighting levels due to task visual difficulty, glare, intermittently changing requirements, or individual visual differences (poor and aging eyesight).
3.2.2.5 Group similar activities so high illuminance or special lighting for particular tasks are localized in certain rooms or areas, and so that less efficient fixtures required for critical glare control do not have to be installed uniformly when they are only required sparsely.
3.2.2.6 When indirect lighting is appropriate, use schemes that create reasonably uniform ceiling luminances. If this is achieved, work spaces may be located anywhere and occupants may face in any direction without being subject to excessive veiling reflection on the tasks. The indirect system may allow more effective use of the space than other types of lighting systems. However, indirect lighting systems generally have lower utilization factors, and may require increased ceiling height to provide uniform ceiling luminance.
3.2.2.7 Use lighting controls throughout that maintain proper lighting levels when and where it is needed but also allow reductions in lighting when tasks are less critical, or spaces are not fully occupied. The designer must consider user acceptance of control strategies to maximize energy efficiency.
3.2.2.8 Use lower levels of ambient lighting in situations such as merchandising, where the contrast between accent lighting and ambient lighting is critical. Accent lighting shall not exceed five (5) times the ambient level. Consider fewer, more effectively-accented displays, rather than more ineffectively-accented ones.
3.2.3 The following guidelines identify Fixture and Lamp selection strategies to be considered in the selection of luminaires and lamps for inclusion in an energy efficient, visually-effective design:
3.2.3.1 Consider the use of more efficient equipment with appropriate distribution, glare control and visual characteristics. Utilize fixture designs that will provide high lighting efficiency while meeting the other lighting objectives of the installation.
3.2.3.2 Review visual comfort probability (VCP) data, available from manufacturers, for specific luminaires when minimizing discomfort glare is a criterion.
3.2.3.3 Consider luminaire construction that minimizes light loss due to dirt collection.
3.2.3.4 Investigate the use of dimmers to reduce energy consumption when the system is new and capable of providing more light than the average depreciated design value.
3.2.3.5 Use more efficient lamps with appropriate luminous efficacy, life expectancy and spectrum distribution and color rendering characteristics.
3.2.3.6 Use more efficient ballasts for fluorescent and HID lamps with appropriate ballast factors, power factor, noise rating, starting and restarting characteristics.
3.2.3.7 Use luminaires with heat removal and heat recovery capabilities, thereby allowing the lighting equipment to operate more efficiently at a lower ambient temperature.
3.2.3.8 Limit the use of lower efficiency lamps, such as incandescent, to only those applications where their color, lumens or distribution characteristics cannot be duplicated by other sources. Due to their lower efficiency, the use of “extended service” incandescent lamps should be limited to those applications where fixtures are difficult to reach and/or maintenance costs for revamping will be excessive.
3.2.4 Space Design
3.2.4.1 It is important to carry through on the lighting design when completing the interior design. Reduce light absorption by encouraging the use of lighter finishes, particularly on ceilings, walls and partitions. Select colors and surface materials so that their reflectance values are within the ranges recommended by the IES. This will aid the efficient use of light and help to provide comfortable luminance ratios.
3.2.4.2 In offices with visual display terminals (VDT) that are susceptible to reflections, it may be necessary to use reflectances for some room surfaces at the low end of the recommended ranges to reduce unwanted reflections on the screens. Where practical, treat the screens of VDTs with anti-glare materials to avoid veiling reflection.
3.3.1 Lighting Controls.
3.3.1.1 All lighting shall be provided with manual, automatic, or programmable controls.
3.3.1.1.1
(a) controls for emergency or exit lighting.
3.3.1.2
3.3.1.2.1 The minimum number of controls shall not be less than:
(a) One lighting control for each space; and
(b) One lighting control for each task or group of task locations within an area of 450 ft
3.3.1.2.2
3.3.1.2.3
(a) Lighting control requirements for spaces that must be used as a whole, such as public lobbies of office buildings, hotels, and hospitals; retail and department stores and warehouses, storerooms, and service corridors under centralized supervision, shall be controlled by a lesser number of controls, but not less than one control for each 1500 W of connected lighting power, or a total of three (3) controls, whichever is greater. Lighting in such spaces shall be controlled in accordance with the work activities.
(b) Hotel and motel guest rooms shall have one or more master controls at the main entry door that turn off all permanently wired lighting fixtures and lighting and television receptacles. For multiple room suites, controls at the entry of each room, in lieu of a master switch, will meet these requirements.
3.3.1.3 Controls provided for task areas, if readily accessible, may be mounted as part of the task lighting luminaire.
3.3.1.4 Control of the same load from more than one location shall not be credited as additional control points.
3.3.1.5 All lighting controls shall be readily accessible to personnel occupying or using the space. Exceptions are automatic controls, programmable controls, lighting for safety hazards and security, controls requiring trained operators, and those controls for spaces that must be used as a whole.
3.3.1.6 Exterior lighting shall be automatically controlled by timer, photocell, or combination of timer and photocell. Timers shall be of the automatic type or otherwise capable of adjustment for seven days and for seasonal daylight schedule variations. All time-controllers shall be equipped with back-up mechanisms to keep time during a four hour power outage.
3.3.1.7 When the building is served by an energy management system, programmable controls, shared tenant services that affect interior environments, or “intelligent building” systems, provisions shall be made to incorporate lighting controls into the system if a separate automatically-controlled lighting system is not provided.
3.3.2 Fluorescent Lamp Ballasts.
3.3.2.1 Fluorescent lamp ballasts shall have a ballast efficacy factor not less than that shown in Table 3.3-2.
3.3.2.1.1
3.3.2.2 The Ballast Efficacy Factor shall be calculated in accordance with Equation 3.3-1:
3.3.2.2.1 Tests for ballast factor and power input shall be in accordance with
3.3.2.3 One-lamp or three-lamp fluorescent luminaires shall be tandem-wired to eliminate unnecessary use of single lamp ballasts if they are: used for general lighting; recess mounted within ten feet center-to-center of each other; or pendant or surface mounted within 1 ft of each other, and within the same room. Tandem wiring consists of pairs of luminaires operating with one lamp in a luminaire powered from a single two-lamp ballast contained in a second luminaire.
3.3.2.3.1
(a) Three-lamp ballasts may be used.
3.3.2.4 Fluorescent lamp ballasts shall have a power factor equal to or greater than 80%.
3.3.2.4.1
3.4.1.1 This subsection provides a prescriptive procedure for determining an exterior lighting power allowance and the Interior Lighting Power Allowances for illumination systems installed in six types of new buildings. It is intended for use with buildings having simple lighting requirements and where the minimum amount of calculation and effort to achieve compliance is of primary concern. For other building types, to receive credit for switching, daylighting, or other trade-offs, or to receive credit for lighting optimization, use section 3.5, section 11.0, or section 12.0.
3.4.1.2 This section also serves as the basis for calculating the skylight area in section 5.3.9.6, and may be used for estimating the lighting heat gain for calculating the internal load density in Equation 5.4-1 and section 5.5.6.2.
3.4.2.1 This method for compliance prescribes a total allowable Unit Lighting Power Allowance (ULPA) for interior lighting for the building type/area as listed in Table 3.4-1. There is no recognition of specific makeup of spaces and activities within the building.
3.4.3.1 Building exteriors and exterior areas, as defined in section 3.1.2.2, and roads, grounds, parking, and other exterior areas, defined in section 3.1.2.3, shall have a lighting power density not to exceed the Exterior Lighting Power Allowance (ELPA), which is the sum of the allowances for each of the areas listed above, as calculated by Equation 3.4-1 using unit power densities from Table 3.4-2.
3.4.4.1 The Interior Lighting Power Allowance (ILPA) shall be calculated using the prescriptive Unit Lighting Power Allowances (ULPA) in Table 3.4-1. First, determine if the predominant function of the proposed building is one of the six building types listed in Table 3.4-1. If not, section 3.5, 11.0, or 12.0 must be used. Next, determine whether the proposed design has secondary functions that are 10% or more of the gross lighted area of the building and are listed in Table 3.4-1. If so, the designer has the option of using the predominant building function to calculate the ILPA or using the calculation method for multiple-use buildings in section 3.4.4.1.2 below.
3.4.4.1.1 If the proposed building has only one function, has no secondary functions with 10% or more of the gross lighted area, or the designer chooses to determine the ILPA based on only one function, Equation 3.4-2 shall be used to determine the building ILPA. First, select the appropriate building type in Table 3.4-1, and the appropriate column for the Gross Lighted Area (GLA) of the proposed building. This value is the Unit Lighting Power Allowance (ULPA). Determine the ILPA by multiplying the ULPA by the GLA as shown in Equation 3.4-2.
3.4.4.1.2 If a building design has more than one function listed in Table 3.4-1, such as an office building with parking and retail stores, with more than 10% of the gross lighted area, Equation 3.4-3 may be used to calculate the building Interior Lighting Power Allowance (ILPA). First, determine the gross lighted area of the building (GLA) and the gross lighted area for each qualifying secondary function (GLA
3.4.4.3
3.5.1.1 This subsection provides a procedure for determining the maximum lighting power allowance for buildings, roads and grounds. It allows the designer to take credit for the use
3.5.2.1 The total Connected Lighting Power (CLP) in a building, including permanently installed lighting plus supplemental or task related lighting provided by movable fixtures or plug-in luminaires, shall not exceed the Interior Lighting Power Allowance (ILPA). A Lighting Power Control Credit (LPCC), taken for individual spaces, may only be utilized for credit to connected lighting power in those spaces for which credit is claimed.
3.5.2.2
3.5.3 The Lighting Power Budget (LPB) of each interior space shall be determined in accordance with Equation 3.5-1.
3.5.3.1 The room area (A) shall be calculated from the inside dimensions of the room.
3.5.3.2 The Base Unit Power Density (UPD) shall be selected from Table 3.5-1. For applications to areas or activities other than those given, select values for similar areas or activities.
3.5.3.3 The Area Factor (AF) shall be determined from Figure 3.5-1 based on the floor area and ceiling height of the room. Rooms with identical ceiling height and activities, and with similar size may be treated as a group. The AF of such a group of rooms shall be determined from the average area of the rooms.
Equation 3.5-2 gives the formula used in developing Figure 3.5-1.
3.5.4 Special Spaces and Activities.
3.5.4.1 Multi-Function Rooms.
3.5.4.1.1 For rooms serving multi-functions, such as hotel banquet/meeting rooms and office conference/presentation rooms, an adjustment factor of 1.5 times the base UPD may be used if a supplementary lighting system is actually installed to serve the secondary function of the room and the design meets the following conditions:
(a) The installed power for the supplementary system shall not be greater than 33% of the adjusted LPB calculated for that room; and
(b) Independent controls shall be installed for the supplementary lighting system.
3.5.4.2 Simultaneous Activities.
3.5.4.2.1 In rooms containing multiple simultaneous activities, such as a large general office having separate accounting and drafting areas within the same room, the LPB for the rooms shall be the weighted average of the activities in proportion to the areas being served.
3.5.4.3 Indoor Sports.
3.5.4.3.1 The floor area of indoor sports activities areas shall be considered as the area within the playing boundaries of the sport, plus the floor area 10 ft beyond the playing boundaries, not to exceed the total floor area of the indoor room less the spectator seating area.
3.5.5
3.5.6 Lighting Power Controls Credit and Power Adjustment Factor
3.5.6.1 When calculating the ULPA in this section, the connected power for lights automatically controlled by daylighting sensors, occupancy sensor, programmable timing controls, or lumen maintenance controls may be reduced by factoring control credits on a specific area by area basis. This credit is termed the Lighting Power Controls Credit (LPCC) and shall be determined in accordance with Equation 3.5-4:
3.5.6.2 The Lighting Power Controls Credit is limited to the specific luminaires controlled by the automatic control device.
3.5.6.2.1 Only one adjustment factor may be used for each building space or luminaire, and 50% or more of the controlled luminaire shall be within the applicable space to qualify for the power adjustment factor.
3.5.6.2.2 Controls shall be installed in series with the lights and in series with all manual switching devices in order to qualify for an adjustment factor.
3.5.6.2.3 When sufficient daylight is available, daylight sensing controls shall be capable of reducing electrical power consumption for lighting, continuously or in steps, to 50% or less of maximum power consumption.
3.5.6.2.4 Daylight sensing controls shall control all luminaires to which the power adjustment factor is applied and that direct a minimum of 50% of their light output into the daylight zone.
3.5.6.2.5 Occupancy sensors located in daylighted spaces should be installed in conjunction with a manual ON switch, or photocell override for ON.
3.5.6.2.6 Programmable timing controls used for credit in conjunction with Table 3.5-2 shall be:
(a) Programmable for different schedules for occupied and unoccupied days;
(b) Accessible for temporary override by occupants of individual zones, spaces or tasks, with automatic return to the original schedules; and
(c) Capable of keeping time during power outages for a minimum of four hours.
This section contains a few minimum requirements for auxiliary systems and equipment. Because auxiliary systems and equipment vary greatly among buildings, the section is not more comprehensive.
4.2.1 Energy recovery should be used when coincident thermal and refrigeration loads of similar magnitude are expected.
4.2.2 Consideration shall be given to the use of waste heat, energy recovery or heat tape systems to conserve energy.
4.3.1 Transportation Systems.
4.3.1.1 Automatic elevator and/or conveyor systems shall incorporate schedule controls and efficient motor controls, such as solid state control devices.
4.3.2 Freeze Protection System.
4.3.2.1 Boilers or water heaters used for purposes such as freeze protection in fire protection storage vessels and defrosting sidewalks and driveways shall meet the efficiency requirements of sections 8.3 or 9.3 when they operate in excess of 750 hours per year.
4.3.3 Retail Food and Food Service Refrigeration.
4.3.3.1 Refrigeration systems containing multiple compressors shall have compressors sized to optimally match capacity with loads.
4.3.3.2 Variable speed shall be considered.
5.1.1 This section contains requirements for the energy conscious design of building envelopes. It sets principles of good envelope design, and provides a set of minimum requirements and two alternative compliance paths—prescriptive and system performance.
5.1.2
5.1.2.1 The minimum requirements of Section 5.3 are met;
5.1.2.2 The design of the building envelope complies with either the prescriptive criteria of section 5.4 or the system performance criteria of section 5.5. For the design of buildings with high internal heat gains, unusual operating schedules, or that incorporate innovative design strategies, consideration shall be given to using the compliance paths set forth in sections 11.0 or 12.0.
5.1.3 The prescriptive compliance alternative of section 5.4 provides requirements for buildings designed to take advantage of perimeter daylighting, thermal mass, high performance glazings, and fenestration shading. The designer is allowed to make trade-offs between thermal mass, wall insulation, amount of fenestration, shading coefficients, shading projections, thermal transmittance of the glazing, daylighting for several different climate locations.
5.1.4 The systems performance compliance alternative of section 3.5 provides calculation procedures that give credit for the benefits of more complex energy conserving envelope designs.
5.1.5 Information on thermal properties, performance of building envelope sections and components, and heat transfer shall be obtained from the
5.1.6
5.1.7 The requirements of this section are not intended to replace building loads calculation procedures.
5.2.1.1 Building loads result from sources external and internal to the building. (1) External loads, from outdoor temperature, humidity, wind, and insolation, fluctuate daily and seasonally. (2) Internal loads from the activities conducted within the building, including heating and moisture produced by the occupants, lights, and process equipment (e.g., appliances, computers) vary with internal activities. Improving energy efficiency in a building depends on achieving a balance between and among the internal and external loads. The building design should, therefore, offset gains and losses of heat, light, and moisture between the interior and exterior of the building, among interior spaces, and over-time, (daily, seasonally, and annually).
5.2.1.2 This balance of loads can be most efficiently achieved if the building envelope is viewed as, and designed to be, a controlled membrane rather than an immutable barrier. The typical design of a modern building has considered the building envelope to be a fixed barrier that restricts heat and air flow to the maximum extent possible. This will not usually yield the most energy efficient building.
5.2.1.3 The desired goal of the energy design of the building envelope shall be to produce a controlled membrane that allows or prevents heat, light, and moisture flow to achieve a balance between internal and external loads. Thus the envelope becomes an integral part of the building's environmental conditioning systems.
5.2.1.4 To achieve control of the building envelope as a membrane, and to simultaneously achieve occupant comfort in the perimeter zones, many of the traditional building skin components must be used (insulation, mass, caulking and weather stripping). However, other concepts shall also be considered to temper supply air or utilize waste heat in exhaust air to temper envelope conditions, such as operable solar shading devices, and the integration of glazing systems with the HVAC distribution system.
(a) Controlled conductivity may be considered through the careful use of insulation, sensible (mass) or phase-change storage and movable insulation at levels which minimizes net heating and cooling loads on a time integrated (annual) basis.
(b) Unintentional or uncontrolled thermal bridges shall be minimized and considered in energy related calculations since they can radically alter the conductivity of a building envelope. Examples include wall studs, balconies, ledges, and extensions of building slabs.
(a) Infiltration shall be minimized and all efforts to achieve a zero level shall be taken. This will minimize fan energy consumption in pressurized buildings during occupied periods and heat loss (or unwanted heat gain in warm climates) during unoccupied periods. Infiltration reduction shall be accomplished through design details that enhance the fit and integrity of building envelope joints in a way that may be readily achieved during building construction. This includes infiltration control by caulking, weather stripping, vestibule doors and/or revolving doors with construction meeting or exceeding accepted specifications.
(b) The quantity of mechanical ventilation must vary with the need, with recommended values at any given time equal to that required by ASHRAE Standard 62-1981. Higher levels of ventilation (e.g., economizers) shall be considered to substitute for mechanical cooling.
(c) Operable windows may be considered to allow for occupant controlled ventilation. When using operable windows, the design of the building's mechanical system must be carefully executed to minimize unnecessary HVAC energy consumption, and building operators must be cautioned about the improper use of the operable windows.
(d) Non-mechanical ventilation can be enhanced in the shape of the building as well as the physical elements of the building envelope, such as cupolas.
(e) For hotels and high rise dwelling units and other systems having exhaust totalling 3000 cfm or more, with annual operation in excess of 3000 hours and within 200 linear ft of simultaneous make-up air equipment, they shall incorporate energy recovery or treatment to ASHRAE 62-1981 quality levels and reuse exhaust air when allowed by code.
(a) Capability for occupant radiant comfort shall be maintained regardless of whether the building envelope is designed to be a static or dynamic membrane. Opaque surfaces shall be designed so that the
(b) In a building with time-varying internal heat generation, thermal mass may be considered for controlling radiant comfort. In the perimeter zone, thermal mass is more effective when it is positioned internal to the envelope insulation.
(c) The effective control of solar radiation is critical to the design of energy-efficient buildings due to the high level of internal heat production already present in most commercial building types. In some climates, the lighting energy consumption savings due to daylighting techniques can be greater than the heating and cooling energy penalties from additional glazed surface area, provided that the building envelope is properly designed for daylighting and lighting controls are installed and used. In other climates they may not. Daylighting designs are most effective if direct solar beam radiation is not allowed to cause glare in building spaces.
(d) The transparent portions of the building envelope shall be designed to prevent solar radiant gain above that necessary for effective daylighting and solar heating. On south-facing facades, the use of low shading coefficients is generally not as effective as external physical shading devices in achieving this balance. Light shelves offer a very effective means of admitting daylight while shading the view glazing and simultaneously allowing occupants to manipulate interior shading devices (draperies, blinds) without eliminating day light.
(e) The solar spectrum contains a range of wavelengths including visible and infrared (heat). Designers shall consider which portion of the spectrum to admit into the building. For example, low emissivity, high-visible-transmittance glazings may be considered for the effective control of radiant heat gains and losses. For shading control designers may consider the careful use of vegetation that can block excess
5.3.1.1 The overall thermal transmittance of the building envelope above grade assembly shall be calculated as follows:
5.3.2.1 In calculating the thermal resistance of all below grade components, the thermal performance of the adjacent ground shall be excluded.
5.3.2.2.1 The R-value required for slabs refers only to the insulation materials. Insulative continuity shall be maintained in the design of slab edge insulation systems. Continuity shall be maintained from the wall insulation through the slab/wall/footing intersection to the body of the slab edge insulation.
5.3.2.2.2 Slab-on-grade floors shall have insulation around the perimeter of the floor with the thermal resistance (R
5.3.2.2.3 Vertical insulation shall not be required to extend below the foundation footing. There are no insulation requirements for slabs in locations having less than 3,000 HDD65 or for footings extending less than 18 in. below grade.
5.3.2.2.4 The dimensional requirements for horizontal insulation refers to the insulation materials only. Horizontal applications shall have a thermal break in the slab edge that provides continuity between the wall insulation on the slab and the horizontal insulation.
5.3.2.3.1 The R-value required for Below Grade Walls refers to the overall R-value of the wall assembly excluding air film coefficients and the thermal performance of the adjacent ground.
5.3.3.1 The thermal transmittance of each envelope assembly shall be determined with due consideration of all major series and parallel heat flow paths through the elements of the assembly. Compression of insulation shall be considered in determining the thermal resistance.
5.3.3.2 The thermal transmittance of opaque assemblies U
5.3.3.2.1 For envelope assemblies containing metal framing, the U
(a) Results from laboratory or field test measurements, using one of the procedures specified in section 5.1.5.
(b) For non-metal surfaces attached to metal framing, where data from tests conducted using procedures specified in section 5.1.5, such as those provided in Tables 5.3-2 and 5.3-3, is available, the total resistance of the series path may be calculated using Equations 5.3-2a and 5.3-2b, and illustrated in Figure 5.3-1:
(c) For elements other than those covered in item (b) above, the zone method described in Chapter 23 of the
(d) For sheet metal construction, internally insulated with an internal metal structure bonded on one or both sides to a metal skin or covering (see Figure 5.3-2), the following steps shall be used to calculate the U-value of the envelope construction.
(1) First, calculate the resistance of the thermal bridge R
(i) Where R
(ii) And if it occurs, the resistance of insulation (R
(iii) And, the resistance of the structural member (R
(iv) And if it occurs, the resistance of insulation (R
(v) And finally, the effective mean flow path along the inner metal surface (R
(2) Then calculate the parallel path resistance of the homogeneous insulation R
(3) Then obtain the overall construction resistance R
(4) Then add the inside and outside surface resistances R
(5) The total area resistance m
(6) And finally, obtain the U-value by:
(7) Where additional resistances are introduced in the construction, introduce them in lieu of the above (R
(i) Where the resistance of the heads of number (N) of fasteners per length (L), adjusting for surface resistance in common with the sheet metal surface, is calculated by:
(ii) And, the resistance of the shank of the fastener is calculated by:
(iii) And, finally, the resistance of the connection to the internal structural member is calculated by:
(iv) Then calculate the resistance of the block of higher thermal conductivity material as follows:
(v) Then obtain the resistance to be used in lieu of the original R
5.3.3.2.2 For envelope assemblies containing Non-Metal Framing, the U
5.3.3.3 The thermal transmittance of fenestration assemblies shall be corrected to account for the presence of sash, frames, edge effects and spacers in multiple-glazed units.
If thermal transmittances of sash and frames are known, Equation 5.3-1 shall be used, otherwise the thermal transmittance offenestration assemblies shall be calculated as follows:
5.3.3.3.1 Values for U
5.3.4 Gross Area of Envelope Components
5.3.4.1 The gross area of a roof assembly consists of the total surface of the roof assembly exposed to outside air or unconditioned spaces. The roof assembly shall include all roof/ceiling components through which heat may flow between indoor and outdoor environments including skylight surfaces, but excluding service openings.
5.3.4.1.1 For thermal transmittance purposes, when return air ceiling plenums are employed, the roof/ceiling assembly shall not include the thermal resistance of the ceiling, or the plenum space, as part of the total thermal resistance of the assembly.
5.3.4.2 The gross area of a floor assembly over outside or unconditioned space consists of the total surface of the floor assembly exposed to the outside air or an unconditioned space. The floor assembly shall include all floor components through which heat may flow between indoor and outdoor or unconditioned space environments.
5.3.4.3 The gross area of exterior walls enclosing a heated or cooled space is measured on the exterior and consists of the opaque wall including between floor spandrels, peripheral edges of flooring, window areas including sash and door areas, but excluding vents, grilles and pipes.
5.3.5 Shading Coefficients
5.3.5.1 The Shading Coefficient (SC) for fenestration shall be obtained from Chapter 27 of the
5.3.6 Wall Heat Capacity
5.3.6.1 Heat capacity in Btu/
5.3.6.2 If the wall system is defined as having exterior insulation only the properties of the wall elements inside of the insulation layer shall be used in determining the wall heat capacity.
5.3.6.3 For walls with integral insulation, all of the elements of the entire wall system may be used in the calculation of the wall heat capacity.
5.3.7 Air Leakage and Moisture Migration
5.3.7.1 The requirements of this subsection apply only to those locations separating the outdoors from interior building conditioned space. Compliance with the criteria for air leakage through building components shall be determined by
5.3.7.2 Air Leakage Requirements for Fenestration and Doors
5.3.7.2.1 Fenestration meeting the following standards for air leakage is acceptable:
(a)
(b)
(c)
5.3.7.2.2 Sliding Doors shall meet one of the following standards for air leakage:
(a)
(b)
5.3.7.2.3 Commercial entrance swinging or revolving doors shall limit air leakage to a rate not to exceed 1.25 cfm/ft
5.3.7.2.4 Residential swinging doors shall limit air leakage to a rate not to exceed 0.5 cfm/ft
5.3.7.2.5 Where spaces have regular high volume traffic through the building envelope, such as retail store entrances and loading bays, estimates of air leakage for HVAC system design shall be based on air exchange by traffic flow.
5.3.7.2.6 To reduce infiltration due to stack-effect draft in multi-story buildings, the use of vestibules or revolving doors on all primary entries and exits shall be considered.
5.3.7.3 Air Leakage Requirements for Exterior Envelope Joints and Penetrations.
5.3.7.3.1 Exterior joints, cracks, and holes in the building envelope, such as those around window or door frames, between wall and foundation, between wall and roof, through wall panels at penetrations of utility services or other service entry through walls, floors, and roofs, between wall panels, particularly at corners and changes in orientation, between wall and floor, where floor penetrates wall, around penetrations of chimney, flue vents, or attic hatches, shall be caulked, gasketed, weather stripped, or otherwise sealed.
5.3.7.4 Moisture Migration Requirements for Exterior Envelopes
5.3.7.4.1 The building envelope shall be designed to prevent moisture migration that leads to deterioration in insulation performance of the building.
5.3.7.4.2 Vapor retarders shall be considered to prevent moisture from collecting within the envelope. Designs should incorporate the principles of
5.3.8 Shell Buildings
5.3.8.1 The following conditions shall be assumed if determination of
5.3.8.1.1
5.3.8.1.2
5.3.8.1.3
5.3.9 Buildings Located in Climates With Greater Than 15,000 HDD Base 65
5.3.9.1 For locations with a heating degree-day base (HDD) 65
5.3.10 Daylight Credits for Skylights.
5.3.10.1 Skylights used in conjunction with automatic lighting controls for daylighting can significantly reduce the lighting energy consumption, thereby more than offsetting the increase in envelope heat transfer.
5.3.10.2 When determining building roof compliance, daylight credits for skylights may be used if the criteria of this subsection are met.
5.3.10.3 Skylights for which daylight credit is taken may be excluded from the calculation of the overall thermal transmittance value (U
5.3.10.3.1 The opaque roof thermal transmittance U
5.3.10.3.2 Skylight areas, including framing, as a percentage of the roof area do not exceed the values specified in Tables 5.3-6A and 5.3-6B for building sites located within the climate ranges listed in the two Tables, where Visible Light Transmittance (VLT) is the transmittance of a particular glazing material over the visible portion of the solar spectrum. Skylight areas shall be interpolated between visible light transmittance values of 0.75 and 0.50, only.
5.3.10.3.3 The skylight area associated with daylight credit can be taken is the area under each skylight whose dimension in each direction (centered on the skylight) is equal to the skylight dimension in that direction plus a distance equal to the floor to ceiling height.
5.3.10.3.4 Skylight areas that overlap areas that have already taken daylight credit (perimeter window areas or other skylight areas) do not again take daylight credit.
5.3.10.3.5 All electric lighting fixtures within skylight areas are controlled by daylight-activated automatic lighting controls.
5.3.10.3.6 For buildings located in climates that have less than 8000 HDD65, the overall thermal transmittance of the skylight assembly, including framing, is less than or equal to 0.7 Btu/h
5.3.10.3.7 Skylight curbs have thermal transmittance (U) values no greater than 0.21 Btu/h
5.3.10.3.8 The infiltration coefficient of the skylights does not exceed 0.05 cfm/ft
5.3.10.4 Skylight areas in Tables 5.3-6A and 5.3-6B may be increased by 50% if a shading device is used that blocks over 50% of the solar gain during the peak cooling design condition.
5.3.10.5 Areas for vertical glazing in clerestories and roof monitors shall be included in the wall fenestration calculation.
5.3.10.6 For shell buildings, the permitted skylight area from Tables 5.3-6A and 5.3-6B shall be based on a light level of 30 fc and a lighting power density (LPD) of less than 1 W/ft
5.3.10.7 For speculative buildings, the permitted skylight area from Tables 5.3-6A and 5.3-6B shall be based on the unit lighting power allowance from Table 3.4-1 and an illuminance level as follows:
5.3.10.7.1 For LPD less than or equal to 1.0 W/ft
5.3.10.7.2 For LPD greater than 1.0 W/ft
5.3.10.7.3 For LPD greater than 2.5 W/ft
5.3.10.8 Buildings with roof assembly devices that cannot be evaluated under this subsection shall be evaluated using the Building Energy Compliance Methods of Section 11.0 or 12.0.
5.4.1 General.
5.4.1.1 This section provides a simple compliance path using precalculated prescriptive requirements for selected exterior envelope configurations of new buildings.
5.4.1.2 The Alternate Component Packages (ACP), found in this subsection, provide design criteria for use with the following options:
5.4.1.2.1 “Base Case”—buildings with envelopes designed without perimeter daylighting.
5.4.1.2.2 “Perimeter Daylighting”—buildings with envelopes that use additional fenestration area by incorporating automatic lighting controls in the perimeter zone to permit the use of daylighting in lieu of electric lighting. This ACP is not available for those climates that do not usually require space cooling by means of mechanical refrigeration.
(a) This daylighting credit is in addition to the increased lighting power allowance provided in section 3.5. Some perimeter daylighting options allow a greater proportion of fenestration area due to the increased visible and decreased thermal transmittances of high performance glazings in combination with automatic lighting controls.
5.4.1.3 Each ACP provides a limited number of complying combinations of building variables for a set of climate ranges. The criteria, such as maximum percent fenestration, were calculated using the system performance criteria of section 5.5. Values were chosen from within climate and other variable ranges for the most restrictive results, to ensure compliance of any combination of values within those ranges. Thus, for most climate locations and envelope parameters, the prescriptive criteria may be slightly more stringent than the system performance criteria of section 5.5.
5.4.1.4 Both the base and perimeter daylight cases have two or three fenestration U-value ranges depending on the climate.
5.4.2 Compliance.
5.4.2.1 The envelope design of the building being evaluated is in compliance with the prescriptive criteria of this section provided that:
5.4.2.1.1 The minimum requirements of section 5.3 are met.
5.4.2.1.2 All envelope thermal transmittance (U) values are less than or equal to those chosen from the ACP Table selected for roofs, opaque walls, walls next to unconditioned spaces, and floors over unconditioned spaces.
5.4.2.1.3 The percentage of fenestration of the combined gross wall area is less than or equal to the value permitted for internal load range and glazing in the selected ACP Table.
5.4.2.1.4 Slab-on-grade floors have insulation around the perimeter of the
(a) Vertical insulation shall not be required to extend below the foundation footing.
(b) There are no insulation requirements for slabs in locations having less than 3,000 HDD65 or for footings extending less than 18 in. below grade.
5.4.2.1.5 The thermal resistance of the below-grade wall assembly must be greater than or equal to that listed in the ACP table, or the heat loss calculated in accordance with Chapter 25 of the
5.4.3 Procedure for Using the Alternate Component Packages (ACP).
5.4.3.1 The prescriptive envelope criteria for each of 30 climate ranges are contained in Tables 5.4-2 through 5.4-31.
5.4.3.2 The following steps shall be used to determine compliance with these prescriptive envelope criteria.
5.4.3.2.1 Determine appropriate climate range using either (a) or (b) below.
(a) From Table 5.4-1, select the appropriate ACP Table based on the climate for the building site. The main climate variables that are needed for the proper selection of an ACP Table are cooling degree-days base 65 °F (CDD65), heating degree-days base 50 °F (HDD50), and annual average daily incident of solar radiation on the east or west vertical surface of the facade, Btu/ft
(1) This data, for a specific building location, may be acquired from the U.S. Weather Service of the National Oceanic and Atmospheric Administration or the local weather bureau. The column designated “ACP Table No.” in Table 5.4-1 contains the table number of the appropriate ACP Table.
(b) From the list of cities in Appendix 5A, “List of Cities and Climate Data”, which contains data for 234 cities, select the closest city climatologically to the building site. If the site is not one of the cities listed or if the climate at the site differs significantly from a listed adjacent city, obtain the information from the weather bureau or other reliable source and use (a) above. The column designated “ACP Table No.” contains the table number of the appropriate ACP Table.
(c) For information purposes only, the climate data used to develop the ACP tables for the above-grade wall section are shown in Table 5.4-32. The criteria for all other envelope sections was based on the most stringent level for the cities listed in the ACP Table.
5.4.3.2.2 Determination of Maximum Allowable Percent Fenestration.
(a) Using the appropriate ACP Table, determine the maximum allowable percent fenestration. The maximum allowable percent fenestration is the
(1) Based on the Internal Load Density (ILD) for the proposed design, select one of the three Internal Load Ranges as the point of entry to the tables. Note for ILD's greater than 3.5 W/ft
Where:
The Internal Lighting Power Allowance (ILPA) shall be:
1. The building average Internal Lighting Power Allowance (ILPA) of the design building in W/ft
2. The average of the Lighting Power Budgets (LPB) for all activity areas within 15 ft of each exterior wall based on the procedures specified by the Systems Performance Criteria of Section 3.5.3, or
3. The actual lighting power density of the proposed design in W/ft
The lighting prescriptive path, Section 3.4, does not provide lighting values for health, assembly, multi-family high rise, and hotel/motel buildings type occupancies. Use the 1.51 to 3.0 range of Internal Load Density for health and assembly buildings; and the 0 to 1.5 range for multi-family high rise and hotel/motel buildings.
The Equipment Power Density (EPD) shall be either:
1. The building average receptacle power density selected from Table 5.4-33 in W/ft
2. The actual average receptacle power density for all activity areas within 15 ft of each exterior wall in W/ft
The Occupant Load Adjustment (OLA) shall be either:
1. 0.0 W/ft
2. A positive or negative difference between the actual occupant load and 0.6 W/ft
(2)
(3) Select the Shading Coefficient of the fenestration (SC
(4) Select one of the daylighting options, either:
1. Base Case, no daylighting; or
2. Perimeter Daylighting (automatic daylight controls for lighting system must be used). This option is not available in some locations.
(5) Select appropriate fenestration type. For most options, this is determined by the thermal transmittance value (U
5.4.4.2.3
(a) For a lightweight wall assembly, heat capacity (HC) less than 5 Btu/ft
(b) To use the mass wall adjustment, the following additional steps are necessary:
(1) Select the same internal load range as that used in determining the maximum allowable percent fenestration.
(2) Select the mass wall heat capacity (HC) and insulation position. If the wall insulation is positioned internal to or integral with the wall mass, use the column headed Interior/Integral Insulation. If the wall insulation is positioned external to the wall mass use the column headed Exterior Insulation. For HC less than 5 Btu/ft
(3) Select or interpolate the appropriate maximum U
5.4.4.2.4
5.5.1 Roof Thermal Transmittance Criteria
5.5.1.1 Any building that is heated and/or mechanically cooled shall have an overall thermal transmittance value (U
5.5.1.2 Equation 5.5-1 applies only for climate locations with HDD65 less than or equal to 15,000. For climate locations with HDD65 greater than 15,000, see subsection 5.3.9, Table 5.3-5.
5.5.1.2.1
(a) any building that is only heated shall have an overall thermal transmittance value (U
(b) any building that is only mechanically cooled shall have an overall thermal transmittance value (U
5.5.2 Floor Thermal Transmittance Criteria
5.5.2.1 The floors of any building that is heated and/or mechanically cooled shall meet the following thermal criteria:
5.5.2.1.1 Floors of conditioned spaces over unconditioned spaces shall have a thermal transmittance (U
5.5.2.1.2 Slab-on-grade floors shall have insulation around the perimeter of the floor with the thermal resistance (R
(a) Vertical insulation is not required to extend below the foundation footing. There are no insulation requirements for slabs in locations having less than 3,000 HDD65 for footings extending less than 18 in. below grade.
5.5.3 Thermal Transmittance Criteria For Opaque Walls Enclosing Conditioned Spaces Exposed to Interior Unconditioned Spaces
5.5.3.1 All opaque walls enclosing conditioned spaces exposed to interior unconditioned spaces shall have an overall thermal transmittance (U
5.5.4.1 The thermal resistance (R) of the wall assembly shall be greater than, or equal to the insulation level specified in Figure 5.5-4, or the heat loss calculated in accordance with Chapter 25 of the
5.5.5.1 The external wall heating criteria (WC
5.5.6.1 The wall heating compliance value H
5.5.6.3.1 The wall criteria shall be applied as follows:
(a) For all buildings that are heated and mechanically cooled, the sum of the calculated wall heating and cooling compliance values, H
(b) For buildings that are only heated, the sum of the calculated wall heating compliance values, H
(c) For buildings that are only mechanically cooled, the sum of the calculated cooling compliance values, C
5.5.6.4.1 The compliance calculation procedure in section 5.5.6.3 allows great flexibility in selecting values for envelope components as long as the overall criteria are met. In calculating compliance, two constraints are imposed on thermal transmittance values for opaque wall assemblies and fenestration assemblies comprising the U
(a)
(b)
5.5.6.5.1 For a given orientation, daylight credit may be used in Equations 5.5-2 and 5.5-6 only for that portion of the fenestration that is less than or equal to 65% of the gross wall area of the orientation.
5.5.6.6.1 The Lighting Power Density used in calculating the compliance value shall be:
(a) The building average unit Interior Lighting Power Allowance of the proposed design in W/ft
(b) The average of the Lighting Power Budgets for all activity areas within 15 ft of each exterior wall based on the procedures set forth in section 5.3; or
(c) The actual lighting power density of the proposed design in W/ft
5.5.6.7.1 The equipment power density used in determining compliance shall be either:
(a) The “Average Receptacle Power Densities” from Table 5.4-32, or
(b) The actual average Equipment Unit Power Density, considering diversity, either building average or average in the activity areas within 15 ft of each exterior wall, not to exceed 1 W/ft
5.5.6.8.1 An occupancy load of 0.6 W/ft
1. Pacific Northwest Laboratory. October, 1983.
Volume 2: Description of the Development Process; Appendix A: Envelope Research Documentation.
Volume 3: Description of the Testing Process; Appendix B: Envelope Compliance Code Documentation.
Volume 4: Documentation of Test Results: (Each in 3 volumes): A: Small Office Building (Branch Bank); B: Medium Office Building; C: Large Office Building; D: Retail Store (Anchor Store); E: Strip Store; F: Apartment House; G: Hotel; H: Warehouse; I: Assembly Building (Church); J: School.
2. Jones, Jerold, W., Special Project 41: “Development of Recommendations to Upgrade ASHRAE Standard 90A-1980. ‘Energy Conservation in New Building Design’ ”,
3. Wilcox, B., A. Gumerlock, C. Barnaby, R. Mitchell, and C. Huizenga, Berkeley Solar Group. December 1985. “The Effects of Thermal Mass Exterior Walls on Heating and Cooling Loads in Commercial Buildings: A Procedure for Calculations in ASHRAE Standard 90.”
4. Hirsch, James J. December 1982. “Simulation of HVAC Equipment in the DOE-2 Program.” Energy and Environment Division, Lawrence Berkeley Laboratory, University of California. LBL-14026. DOE Contract DE-AC03-76SF00098.
5. Johnson, R., D. Arasteh, D. Connell and S. Selkowitz. “The Effect of Daylighting Strategies on Building Cooling Loads and Overall Energy Performance.” Windows and Daylighting Group, Lawrence Berkeley Laboratory, University of California. LBL-20374.
6. D. Arasteh, R. Johnson, S. Selkowitz and D. Connell. September 1985. “Cooling Energy and Cost Savings with Daylighting in a Hot and Humid Climate.” Applied Science Division, Lawrence Berkeley Laboratory, University of California. LBL-19734. DOE Contract DE-AC03-76SF00098.
7. Sullivan, R., Y.J. Huang, J. Bull, I. Turiel, R. Ritschard and S. Selkowitz. April 1985. “Thermal Analysis of Buildings—Configuration Perturbations and Observed Climate Interface.” Applied Science Division, Lawrence Berkeley Laboratory, University of California. LBL-19383. DOE Contract DE-AC03-76SF00098.
8. Johnson, R., D. Arasteh, and S. Selkowitz. March, 1985. “Energy Reduction Implications of Fenestration,” Applied Science Division, Lawrence Berkeley Laboratory, University of California. LBL-19304. DOE Contract DE-AC03-76SF00098.
9. Selkowitz, S. October 1984. “Influence of Windows on Building Energy Use.” Applied Science Division, Lawrence Berkeley Laboratory, University of California. LBL-18663. DOE Contract DE-AC03-76SF00098.
10. Johnson, R., R. Sullivan, S. Selkowitz, S. Nozaki, C. Conner and D. Arasteh. 1984. “Glazing Energy Performance and Design Optimization with Daylighting.”
11. Selkowitz, S., D. Arasteh, and R. Johnson. July 1984. “Peak Demand Savings from Daylighting in Commercial Buildings.” Applied Science Division, Lawrence Berkeley Laboratory, University of California. LBL-18126. DOE Contract DE-AC03-76SF00098.
12. Johnson, R., S. Selkowitz, and R. Sullivan. April 1984. “How Fenestration Can Significantly Affect Energy Use in Commercial Buildings.” Energy Efficient Buildings Program, Lawrence Berkeley Laboratory, University of California. LBL-17330. DOE Contract DE-AC03-76SF00098.
13. Sullivan, R., S. Nozaki, R. Johnson, and S. Selkowitz. October 1983. “Commercial Building Energy Performance Analysis Using Multiple Regression Procedures.” Applied Science Division, Lawrence Berkeley Laboratory, University of California. LBL-16645. DOE Contract DE-AC03-76SF00098.
14. September 1983. “Data Base Definition and Procedural Guidelines for Building Envelope Thermal and Daylighting Analysis in Support of Recommendation to Upgrade ASHRAE/IES Standard 90.” Applied Science Division, Lawrence Berkeley Laboratory, University of California. LBID-801. DOE Contract DE-AC03-76SF00098.
15. Johnson, R., R. Sullivan, S. Nozaki, S. Selkowitz, C. Conner, and D. Arasteh. September 1983.
16. Selkowitz, S., S. Choi, R. Johnson and R. Sullivan. 1983. “The Impact of Fenestration on Energy Use and Peak Loads in Daylighted Commercial Buildings.”
17. Choi, S., R. Johnson and S. Selkowitz. 1984. “The Impact of Daylighting on Peak Electrical Demand.”
18. Selkowitz, S. and F. Winkelmann. May 1983. “New Models for Analyzing the Thermal and Daylighting Performance of Fenestration.” Energy Efficient Buildings Program, Lawrence Berkeley Laboratory, University of California. LBL-14517. DOE Contract DE-AC03-76SF00098.
19. Selkowitz, S., J. J. Kim, M. Navvab and F. Winkelmann. June 1982. “The DOE-2 and Superlite Daylighting Programs.” Applied Science Division, Lawrence Berkeley Laboratory, University of California. LBL-14569. DOE Contract DE-AC03-76SF00098.
20. Johnson, R., S. Selkowitz, F. Winkelmann, and M. Zenter. October 1981. “Glazing Optimization Study for Energy Efficiency in Commercial Office Buildings.” Energy Efficient Buildings Program, Lawrence Berkeley Laboratory, University of California. LBL-12764. DOE Contract DE-AC03-76SF00098.
21. Arasteh, D., Johnson, R., Selkowitz, S., and Sullivan R. 1985. “Energy Performance and Savings Potential with Skylights.”
22. Arasteh, D., Johnson, R., and Selkowitz, S. May 1985.
23. Crawley, D.B., Briggs, R.S., December 1985.
6.1.1 This section contains minimum requirements for all building electrical systems, except required emergency systems.
6.1.2 A building shall be considered in compliance with this section if the minimum requirements of section 6.3 are met.
6.2.1 Electric Distribution Systems
6.2.1.1 Transformers and generating units shall be sized as close as possible to the actual anticipated load (i.e., oversizing is to be avoided so that fixed thermal losses are minimized).
6.2.1.2 Distribution of electric power at the highest practical voltage and load selection at the maximum power factor consistent with safety shall be considered. The use of distribution system transformers shall be minimized.
6.2.1.3 Tenant submetering can be one of the most cost-effective energy conservation measures available. A large portion of the energy use in tenant facilities occurs simply because there is no economic incentive to conserve.
6.3.1 Electrical Distribution System
6.3.1.1 All commercial or multi-family high rise residential buildings, having designed connected electric service over 250 kVA, shall have electrical energy consumption check metered on the basis of usage category or tenant occupancy, depending on conditions defined below. For buildings that are occupied by multiple tenants, the metering shall be per tenant, if the tenant has a connected load of 100 kVA or more. HVAC and service hot water systems, shared among tenants, need not meet this requirement but shall be separately metered.
6.3.1.2 The electrical power feeders for each facility for which check-metering is required shall be by tenant and shall be subdivided in accordance with the following categories:
6.3.1.2.1 Lighting and receptacle outlets;
6.3.1.2.2 HVAC and service water heating systems and equipment; and
6.3.1.2.3 Special occupant equipment or systems of more than 20 kW, such as elevators, computer rooms, kitchens, printing equipment, and baling presses.
6.3.1.2.4
(a) 10% or less of the loads on a feeder may be from another usage category.
6.3.1.3 The power feeders for each category shall contain portable or permanent submetering prior to or within any primary or secondary distribution panels. Such provisions shall include a separate compartment or panel of adequate size and design to house the necessary voltage and current transformers. An accessible means of attaching clamp-on meters or split-core current transformers shall be provided.
6.3.1.4 The locations of these points of measurement may be central or distributed throughout the building, as
6.3.1.5 In multiple-tenant buildings, where designed connected electrical service is over 250 kVA, each tenant space having a total connected load of more than 100 kVA shall have provision made to permit check-metering of the total tenant load. If the building is served by a common HVAC system, the HVAC loads need not be check metered for each tenant.
6.3.2.1 All permanently wired transformers, that are part of the building electrical distribution system, except utility-owned transformers, shall be selected to minimize the combination of no-load, part-load, and full-load losses, without compromising the electrical system operating and reliability requirements.
6.3.2.2 If the total capacity of the transformers exceeds 300 kVA, a calculation of total estimated annual operating costs of the transformer losses shall be made. This calculation shall be based on estimated hours of transformer operation at projected part-load and full-load conditions, and the associated transformer core and coil losses. If appropriate data for projecting this calculation is unavailable, use Form 6.3-1 “Transformer Loss Calculation Estimate” as a basis for making the estimate. The calculations made in accordance with this section shall be used to compare among types of transformers and configurations available to the designer to balance energy costs with necessary operating flexibility, reliability (redundancy), and safety. The projected annual energy costs for the losses of the selected arrangement shall be retained as part of the electrical design documentation.
6.3.3 Electric Motors
6.3.3.1 All permanently wired polyphase motors of 1 hp or more serving the building, shall meet the requirements of this section. Motors expected to operate more than 500 hours per year shall have a minimum acceptable nominal full-load motor efficiency no less than that shown in Table 6.3-1.
6.3.3.1.1 Table 6.3-1 applies to motors having nominal 1200, 1800, or 3600 RPM; with open, drip-proof, or TEFC enclosures. Other motor types are exempted from the minimum efficiency requirements of these standards.
6.3.3.1.2 Motor efficiency ratings shall be based on a statistically valid quality control procedure conforming
6.3.3.1.3 Values listed in Table 6.3-1 are nominal efficiencies. Minimum motor efficiencies shall not be less than the corresponding values provided in
6.3.3.1.4 Motor efficiency shall be tested using a statistically valid quality control procedure conforming with the
6.3.3.2 Motor nameplates shall list the minimum and the nominal full-load motor efficiencies and the full-load power factor.
6.3.3.3 Full-load motor power factor for three-phase motors can be calculated from nameplate data by Equation 6.3-1:
6.3.3.4 Motor horsepower rating shall not exceed 125% of the calculated maximum load being served, or the next larger standard motor size if a
6.3.4 Operation and Maintenance of Electrical Systems
6.3.4.1 The designer shall specify that building owners be provided with written information that provides basic data relating to the design, operation, and maintenance of the electrical distribution system for the building. This shall include:
6.3.4.1.1 a single-line diagram of the “as-built” building electrical system;
6.3.4.1.2 schematic diagrams of electrical control systems (other than HVAC, covered elsewhere);
6.3.4.1.3 manufacturers’ operating and maintenance manuals on active electrical equipment; and
6.3.4.1.4 the Transformer Loss Calculation Estimate if required by Section 6.3.2.2.
7.1.1 This section contains minimum and prescriptive requirements for the design of HVAC systems. It is recommended that the designer evaluate other energy conservation measures that may be applicable to the proposed design.
7.1.2 A building shall be considered in compliance with this section if the following conditions are met:
7.1.2.1 The minimum requirements of Section 7.3 are met; and
7.1.2.2 The HVAC system design complies with the prescriptive criteria of section 7.4. For the design of HVAC systems that incorporate innovative or alternate design strategies, the compliance paths set forth in Section 11.0 or 12.0 should be used.
7.2.1.1 The thermal impact of equipment and appliances shall be minimized by use of hoods, radiation shields, or other confining techniques, and by use of controls to assure that such equipment is turned off when not needed. In addition, major heat-generating equipment shall, where practical, be located where it can balance other heat losses. For example, computer centers or kitchen areas could be located in the north or northwest perimeter areas of buildings depending on climate and prevailing wind directions. In addition, heat recovery shall be specifically considered for this equipment.
7.2.2.1 Separate HVAC systems shall be considered to serve areas expected to operate on widely differing operating schedules or design conditions. For instance, systems serving office areas should generally be separate from those serving retail areas. When a single system serves a multi-tenant building, provisions shall be made to shut-off or set-back the heating and cooling to each area independently.
7.2.2.2 Spaces with relatively constant and weather-independent loads may be served with systems separate from those serving perimeter spaces. Areas with special temperature or humidity requirements, such as computer rooms, shall be served by systems separate from those serving areas that require comfort heating and cooling only, alternatively, these areas shall be served by supplementary or auxiliary systems.
7.2.2.3 The supply of zone cooling and heating shall be sequenced to prevent the simultaneous operation of heating and cooling systems for same space. Where this is not possible due to ventilation or air circulation requirements, air quantities shall be reduced as much as possible before reheating, recooling, or mixing hot and cold air streams. Finally, supply air temperature shall be reset to extend economizer operations and to reduce reheat, recool, or mixing losses.
7.2.2.4 Systems serving areas with significant internal heat gains (lighting, equipment, and people), especially interior zones with little or no exposure to outside air, shall be designed to take advantage of mild or cool weather conditions to reduce cooling energy if heat recovery systems are not used. These systems, called air or water economizers, shall be designed to provide a partial reduction in cooling loads even when mechanical cooling must be used to provide the remainder of the load. Economizer controls shall
7.2.2.5 Controls shall be provided to allow systems to operate in an occupied mode and an unoccupied mode. In the occupied mode, controls shall provide for a gradually changing control point as system demands change from cooling to heating. In the unoccupied mode, ventilation and exhaust systems shall be shut off if possible, and comfort heating and cooling systems shall be shut off except to maintain “setback” space conditions. The setback conditions shall be the minimum and maximum levels required to prevent damage to the building or its contents and provide for a reasonable morning pick-up period. Note however that night setback may not conserve energy in buildings with large amounts of thermal mass.
7.2.2.6 In areas where diurnal temperature swings and humidity levels permit, the judicious coupling of air distribution systems and building structural mass may be considered to allow the use of night-time precooling to reduce the use of day-time mechanical cooling.
7.2.2.7 High ventilation, such as in hospital operating rooms, can impose enormous heating and cooling loads on HVAC equipment. In these cases, consideration shall be given to the use of recirculating filtered and cleaned air, rather than 100% outside air, and pre-heating outside air with solar systems or reclaimed heat from other sources.
7.2.3.1 Energy shall be transported by the most energy efficient means possible. The following options, are listed in order of efficiency from the (most efficient) lowest energy transport burden to the highest:
7.2.3.1.1 Electric Wire or Fuel Pipe,
7.2.3.1.2 Two-Phase Fluid Transfer (Steam or Refrigerant),
7.2.3.1.3 Single-Phase Liquid Fluid (Water, Glycol, Etc.), and
7.2.3.1.4 Air.
7.2.3.2 The distribution system shall be selected to complement other system parameters such as control strategies, storage capabilities, and conversion and utilization system efficiencies.
7.2.3.3.1 Provisions for seasonal or “non-use time” shutdown shall be incorporated.
7.2.3.3.2 The venting of steam and ingestion of air shall be minimized with the design directed toward full vapor performance.
7.2.3.3.3 Subcooling shall generally be prevented.
7.2.3.3.4 Condensate shall be returned to boilers or source devices at the highest possible temperature.
7.2.3.4.1 Design flow quantity shall be minimized by designing for the maximum practical temperature differential.
7.2.3.4.2 Flow quantity shall be varied with load where possible.
7.2.3.4.3 Designs shall be for lowest practical pressure rise (or drop).
7.2.3.4.4 Operating and idle control modes shall be provided.
7.2.3.4.5 When locating equipment, the critical pressure path shall be identified and the runs sized for minimum practical pressure drop.
7.2.3.5.1 Air flow quantity shall be minimized by careful load analysis and an effective distribution system. If the psychometric nature of the application allows, the supply air quantity shall vary with the sensible load (i.e., VAV systems). The fan pressure requirement shall be held to the lowest practical value. Fan pressure shall be avoided as a source for control power.
7.2.3.5.2 Each fan system shall be designed and controlled to reduce mechanical cooling requirements by taking advantage of favorable weather conditions.
7.2.3.5.3 “Normal” and “idle” control modes shall be provided for the fan systems as well as the psychometric systems.
7.2.3.5.4 Duct run distances shall be as short as possible, and the runs on the critical pressure path sized for minimum practical pressure drop.
7.2.4.1 Radiant heating systems shall be considered in lieu of convective or all-air heating systems to heat areas which experience infiltration loads in excess of two (2) air changes per hour at design heating conditions.
7.2.4.2 Radiant heating systems should be considered for areas with high ceilings, for spot heating, and for other applications where radiant heating may be more energy efficient than convective or all-air heating systems.
7.2.5.1 Systems that recover energy should be considered when rejected fluid is of adequate temperature and a simultaneous need for energy exists for a significant number of operating hours.
7.3.1.1 Heating and cooling system design loads for the purpose of sizing systems and equipment shall be determined in accordance with the procedures described in the
7.3.1.2
7.3.1.2.1
(a) Health care institutions and similar facilities where the indoor conditions may not be appropriate for the health and safety of occupants; and
(b) Where special room temperature and/or humidity conditions are required by a process or procedure, other than comfort, such as rooms used for surgery or data processing.
7.3.1.3
7.3.1.3.1
(a) Where necessary to assure the prevention of damage to the building or to material and equipment within the building, the median of annual extremes for heating and 1% column for cooling may be used.
7.3.1.4
7.3.1.4.1
(a) Outdoor air quantities, exceeding those shown in
7.3.1.5
7.3.1.6
7.3.1.7
7.3.1.8
7.3.1.8.1 Actual information based on the intended use of the building;
7.3.1.8.2 Published data from manufacturers’ technical publications and from technical society publications such as the
7.3.1.8.3 Alereza, “Estimates of Recommended Heat Gains Due to Commercial Appliances and Equipment,”
7.3.1.8.4 Default values to be used in determining the design energy budget in section 11.0 or 12.0 taken from Tables 11-2, 11-3, 11-4 and 11-6; and
7.3.1.8.5 Other data based on designer's experience of expected loads and occupancy patterns.
7.3.1.8.6
(a) Internal heat gains may be ignored for heating load calculations.
7.3.1.9
7.3.1.10
7.3.2.1 HVAC systems and equipment shall be sized to provide no more than the space and system loads require, as calculated in accordance with section 7.3.1.
7.3.2.1.1
(a) Equipment capacity may exceed the design load if the equipment selected is the smallest size needed to meet the load within available options of equipment;
(b) Equipment whose capacity exceeds the design load may be specified if calculations demonstrate that oversizing can be shown not to increase annual energy use;
(c) Stand-by equipment may be installed if controls and devices are provided that allow stand-by equipment to operate automatically only when the primary equipment is not operating;
(d) Multiple units of the same equipment type, such as multiple chillers and boilers, with combined capacities exceeding the design load may be specified to operate concurrently only if controls are provided that sequence or otherwise optimally control the operation of each unit based on cooling or heating load;
(e) For unitary equipment with both heating and cooling capability, only one function, either the heating or the cooling, need meet the requirements of this subsection. Capacity for the other function shall be, within available equipment options, the smallest size necessary to meet the load; and
(f) For buildings complying with section 11.0 or 12.0, equipment of higher capacity than the design load may be specified if the oversized equipment is modeled in the building energy analysis of the proposed design and the proposed design complies with the standards.
7.3.3.1 Zones in a building that are expected to operate non-concurrently for 750 or more hours per year shall either be served by separate air distribution systems, or off-hour controls shall be provided in accordance with section 7.3.5.3.
7.3.3.2 Zones with special process temperature and/or humidity requirements shall be served by separate air distribution systems from those serving zones requiring only comfort heating and/or cooling, or supplementary provisions shall be included to allow the primary systems to be specifically controlled for comfort purposes only.
7.3.3.2.1
(a) Zones, requiring comfort heating and/or cooling, that are served by a system primarily used for process temperature and humidity control, need not be served by a separate system if the total supply air to these zones is no more than 25% of the total system supply air, or the zones total conditioned floor area is less than 1000 ft
7.3.3.3 Zones having substantially different heating or cooling load characteristics, such as perimeter zones in contrast to interior zones, shall not be served by a single multiple zone air distribution system.
7.3.4.1
7.3.4.2
7.3.4.2.1
(a) Independent perimeter systems may serve multiple zones of the primary/interior system with the following limitations:
(1) The perimeter system shall include at least one thermostatic control zone for each major building exposure having exterior walls facing only one orientation for 50 contiguous feet or more; and
(2) The perimeter system heating and/or cooling supply shall be controlled by thermostat controls located within the zone(s) served by the system; and
(b) A dwelling unit may be considered a single zone.
7.3.4.3 Zone thermostats used to control comfort heating shall be capable of being set, locally or remotely, by adjustment or selection of sensors, down to 55 °F.
7.3.4.4 Zone thermostats used to control comfort cooling shall be capable of being set, locally or remotely, by adjustment or selection of sensors, up to 85 °F.
7.3.4.5 Zone thermostats used to control both heating and cooling shall be capable of providing a temperavure range or dead band of at least 5 °F within which the supply of heating and cooling energy to the zone is shut off or reduced to a minimum.
7.3.4.5.1
(a) For buildings complying with Section 11.0 or 12.0, dead band controls are not required if, in the building energy analysis, heating and cooling thermostat setpoints are set to the same value between 70 °F and 75 °F and assumed to be constant throughout the year;
(b) Special occupancy, special usage or construction code requirements where dead band controls are not appropriate, adjustable single setpoint thermostats may be used; and
(c) Thermostats that require manual changeover between heating and cooling modes.
7.3.5.1 Each HVAC system shall have automatic control setback and/or shutdown of equipment during periods of non-use or alternate use of the spaces served by the system.
7.3.5.1.1
(a) Systems serving areas expected to operate continuously;
(b) Where equipment with a full load demand of 2kW (6826 Btu/h) or less may be controlled by readily accessible manual off-hour controls;
(c) Where setback or shutdown will not result in a decrease in overall building energy use.
7.3.5.2 Outside air supply and/or exhaust systems shall be equipped with motorized or gravity dampers or other means of automatic volume shutoff or reduction during periods of non-use or alternate use of the spaces served by the system.
7.3.5.2.1
(a) Individual ventilation systems when design air flow is 3000 cfm or less;
(b) Systems that operate continuously;
(c) When restricted by code, such as at combustion air intakes; or
(d) When gravity and other non-electrical ventilation systems may be controlled by readily accessible manual damper controls.
7.3.5.2.2 Dampers may be required in some climates to prevent equipment damage due to freezing and/or to provide proper warm-up control.
7.3.5.3 Systems that serve areas that operate non-concurrently for 750 or more hours per year shall have isolation devices and controls for shut off or set back of heating and cooling to each zone independently. Isolation is not required for zones expected to operate continuously or expected to be inoperative only when all other zones are inoperative.
7.3.5.3.1 For buildings where occupancy patterns are not known at the time of system design, isolation areas may be predesignated.
7.3.5.3.2 Zones may be grouped into a single isolation area providing the total conditioned floor area does not exceed 25,000 ft
7.3.6.1 If a system maintains specific relative humidities by adding moisture, a humidistat shall be provided.
7.3.6.2 If comfort humidification is provided, the system shall be designed to prevent the use of fossil fuel or electricity to maintain relative humidity in excess of 30%.
7.3.6.3 If comfort dehumidification is provided, the system shall be designed to prevent the use of fossil fuel or electricity to reduce relative humidity below 60%.
7.3.7.1 Insulation required by section 7.3.7.2 and 7.3.7.3 shall be suitably protected from damage. Insulation shall be installed in accordance with the
7.3.7.2
7.3.7.2.1
(a) For manufacturer installed piping within HVAC equipment tested and rated in accordance with Section 8.3;
(b) For piping conveying fluids at temperatures between 55 °F and 105 °F;
(c) For piping conveying fluids that have not been heated or cooled through the use of fossil fuels or electricity; and
(d) When calculations demonstrate that heat gain and/or heat loss to or from piping without insulation will not increase building energy use.
7.3.7.2.2
7.3.7.3
7.3.7.3.1
(a) Manufacturer installed plenums, casings or ductwork furnished as a part of HVAC equipment tested and rated in accordance with section 8.3; and
(b) When calculations demonstrate that heat gain and/or heat loss to or
7.3.7.4
7.3.7.4.1 Ductwork designed to operate at static pressure differences greater than 3 in. W.C. shall be leak tested and conform with the following requirements of the
7.3.7.4.2 Where supply ductwork designed to operate at static pressure differences from
7.3.8.1 An operating and maintenance manual shall be provided to the building owner. The manual shall include basic data relating to the operation and maintenance of HVAC systems and equipment. Required routine maintenance actions shall be clearly identified. Where applicable, HVAC controls information such as diagrams, schematics, control sequence descriptions, and maintenance and calibration information shall be included.
7.3.8.2 Air system balancing shall be accomplished in a manner to minimize throttling losses and then fan speed shall be adjusted to meet design flow conditions. Balancing procedures shall be in accordance with those established by the National Environmental Balancing Bureau (NEBB), the Association of Air Balancing Council (AABC), or similar procedures.
7.3.8.2.1
(a) Damper throttling may be used for air system balancing with fan motors of 1 hp or less, or if throttling results in no greater than
7.3.8.3 Hydronic system balancing shall be accomplished in a manner to minimize throttling losses and then the pump impeller shall be trimmed or pump speed shall be adjusted to meet design flow conditions.
7.3.8.3.1
(a) Pumps with pump motors of 10 hp and less;
(b) If throttling results in pump horsepower draw no greater than 3 hp above that required if the impeller were trimmed;
(c) To reserve additional pump pressure capability in open circuit piping systems subject to fouling. Valve throttling pressure drop shall not exceed that expected for future fouling; or
(d) Where it can be shown that throttling will not increase overall building energy use.
7.3.8.4 HVAC control systems shall be tested to assure that control elements are calibrated, adjusted, and in proper working condition.
7.4.1.1 Zone thermostatic and humidistatic controls shall be capable of operating in sequence, the supply of heating and cooling energy to the zone. The controls shall prevent:
7.4.1.1.1 Reheating (heating air that is cooler than system mixed air);
7.4.1.1.2 Recooling (cooling air that is warmer than system mixed air);
7.4.1.1.3 Mixing or the simultaneous supply of air that has been previously mechanically heated and air that has been previously cooled, either by mechanical refrigeration or by economizer systems; and
7.4.1.1.4 Other simultaneous operation of heating and cooling systems to one zone.
7.4.1.2
7.4.1.2.1 Variable air volume systems that, during periods of occupancy, are designed to reduce the air supply to each zone to a minimum before reheating, recooling, or mixing during periods of occupancy. The minimum volume setting shall be no greater than the larger of the following:
(a) 30% of the peak supply volume;
(b) The minimum volume required to meet the ventilation requirements of section 7.3.1.4; and
(c) 0.4 cfm/ft
7.4.1.2.2 Zones where special pressurization relationships or cross-contamination requirements are such that variable air volume systems are impractical, such as some areas of hospitals and laboratories. In these cases, systems shall include automatic supply air reset controls in accordance with section 7.4.1.2.1 above;
7.4.1.2.3 At least 75% of the energy for reheating or providing warm air in mixing systems is provided from site-recovered energy that would otherwise be wasted, or from non-depletable energy sources;
7.4.1.2.4 Zones where specific humidity levels are required to satisfy process needs, such as computer rooms and museums (see section 7.3.3.2); and
7.4.1.2.5 Zones with a peak supply air quantity of 300 cfm or less.
7.4.2.1 Each fan system shall be designed to take advantage of favorable weather conditions to reduce mechanical cooling requirements. The system shall include either of the following:
7.4.2.1.1 A temperature or enthalpy air economizer system that is capable of automatically modulating outside air and return air dampers to provide up to 85% outside air for cooling; or
7.4.2.1.2 A water economizer system that is capable of cooling supply air by direct and/or indirect evaporation. The system shall be designed and controlled to be able to provide 100% of the system cooling load at outside air temperatures of 50 °F dry-bulb/45 °F wet-bulb and below. Each economizer system shall be capable of providing partial cooling even when additional mechanical cooling is required to meet the remainder of the cooling load.
7.4.2.1.3
(a) individual fan/cooling units with supply capacity of less than 3,000 cfm or a total cooling capacity less than 90,000 Btu/h. The total capacity of such units per building complying by this exception shall not exceed 600,000 Btu/h per building or 10% of the total installed cooling capacity, whichever is larger;
(b) Systems with air or evaporatively cooled condensers and for which one of the following is true:
(1) The system is located where the quality of the air, as defined in
(2) Calculations indicate that the use of outdoor air cooling affects the operation of other systems, such as humidification, dehumidification, and supermarket refrigeration systems and will increase overall building energy use;
(c) Calculations demonstrate that the overall building energy use for alternative designs, such as internal/external zone heat recovery systems, are less than those for an economizer system;
(d) The system is located where the outdoor summer wet-bulb design condition (2.5% occurrence,
(e) Systems that serve envelope dominated spaces whose design space sensible cooling load, excluding transmission and infiltration loads, is less than or equal to transmission and infiltration losses at an outdoor temperature of 60 °F;
(f) Systems serving residential spaces including hotel/motel rooms;
(g) Cooling systems for which 75% of its annual energy consumption is provided by site-recovered energy that would otherwise be wasted, or from non-depletable energy sources; and
(h) The zone(s) served by the system each have operable openings (windows, doors, etc.), the openable area of which is greater than 5% of the conditioned floor area. This exception applies only to spaces open to and within 20 ft of the operable openings. Automatic controls shall be provided that lockout system mechanical cooling when outdoor air temperatures are less than 60 °F.
7.4.2.2 Economizer systems shall be capable of providing partial cooling even when additional mechanical cooling is required to meet the remainder of the cooling load.
7.4.2.2.1
(a) Direct expansion systems may include controls to reduce the quantity of outside air as required to prevent coil frosting at the lowest step of compressor unloading. Individual direct expansion units that have a cooling capacity of 180,000 Btu/h or less may use economizer controls that preclude economizer operation whenever mechanical cooling is required simultaneously; and
(b) Systems in climates with less than 750 average hours per year between 8 a.m. and 4 p.m. when the ambient dry bulb temperatures are between 55 °F and 69 °F inclusive. See Attachment 5A for climate data for 234 U.S. cities.
7.4.2.3 System design and economizer controls shall be such that economizer operation does not increase the building heating energy use during normal operation.
7.4.2.3.1
(a) At least 75% of the energy for heating is provided from site-recovered energy that would otherwise be wasted, or from non-depletable energy sources.
7.4.3.1 The following design criteria apply to all HVAC fan systems used for comfort heating, ventilating and/or cooling. For the purposes of this subsection, the energy demand of a fan is the sum of the demand of all fans that are required to operate at design conditions to supply air from the heating and/or cooling source to the conditioned space(s) and return it back to the source or exhaust it to the outdoors.
7.4.3.1.1
(a) Systems with total fan system motor horsepower of 10 hp or less;
(b) Unitary equipment for which the energy used by the fan is considered in the efficiency ratings of Section 8.0; and
(c) Total fan energy demand need not include the additional power required by air treatment or filtering systems with final pressure drops in excess of 1 in. W.C.
7.4.3.2.1 For supply and return fan systems that provide a constant air volume whenever the fans are operating, the power required for the combined fan system at design conditions shall not exceed 0.8 W/cfm of supply air.
7.4.3.3.1 For supply and return fan systems that vary system air volume automatically as a function of load, the power required by the motors for the combined system at design conditions shall not exceed 1.25 W/cfm.
7.4.3.3.2 Individual VAV fans with motors 75 hp and larger shall include controls and devices necessary for the fan motor to control demand to no more than 50% of design wattage at 50% of design air volume, based on manufacturer's test data.
7.4.4.1 The following design criteria apply to all HVAC pumping systems used for comfort heating and/or cooling. For the purposes of this section, the energy demand of a pumping system is the sum of the demand of all
7.4.4.1.1
(a) Systems with total pump system motor horsepower of 10 hp or less.
7.4.4.2
7.4.4.3
7.4.4.3.1
(a) Systems where a minimum flow greater than 50% of the design flow is required for the proper operation of equipment served by the system, such as chillers;
(b) Systems that serve no more than one control valve;
(c) Where the overall building energy use resulting from an alternative design, such as a constant flow/variable temperature pumping system, is no more than those from a variable flow system; and
(d) Systems that include supply temperature reset controls in accordance with section 7.4.5.2 without exception.
7.4.5.1
7.4.5.1.1
(a) Systems which comply with section 7.4.1 without using exceptions in sections 7.4.1.2.1 or 7.4.1.2.2; and
(b) Where it can be shown that supply air temperature reset increases overall building annual energy costs.
7.4.5.2
7.4.5.2.1
(a) Systems that comply with section 7.4.4.3 without exception;
(b) Where it can be shown that supply temperature reset increases overall building annual energy use;
(c) Systems for which supply temperature reset controls cannot be implemented without causing improper operation of heating, cooling, humidification, or dehumidification systems; or
(d) Systems with less than 600,000 Btu/h design capacity.
8.1.1 This section contains minimum requirements for fundamental to good practice and/or the minimum acceptable state-of-the-art in energy efficient HVAC equipment.
8.1.2 A building shall be considered in compliance with this section if the minimum requirements of Section 8.3 are met.
8.2.1 The rate of energy input(s) and the heating or cooling output(s) of all HVAC products shall be ascertained. This information shall be based on equipment in new condition, and shall cover full load, partial load, and standby conditions. The information shall also include performance data for modes of equipment operation and at ambient conditions as specified in the
8.2.2.1 To allow for HVAC equipment operation at the highest efficiencies, conversion devices shall be matched to load increments, and operation of modules shall be sequenced. Oversized or large scale systems shall never be used to serve small seasonal loads (e.g., a large heating boiler to serve a summer service water heating load). Specific “low load” units shall be incorporated in the design where prolonged use at minimal capacities is expected.
8.2.2.2 Storage techniques should be used to level or distribute loads that vary on a time or spatial basis to allow operation of a device at maximum (full-load) efficiency.
8.2.2.3 All equipment shall be the most efficient (or highest COP) practical, at both design and reduced capacity (part-load) operating conditions.
8.2.2.4 Fluid temperatures for heating equipment shall be as low as practical and for cooling equipment as high as practical, while meeting loads and minimizing flow quantities.
8.3.1.1
8.3.1.2 Data furnished by the equipment supplier or certified under a nationally-recognized certification program or rating procedure may be used to satisfy these requirements.
8.3.1.3 Integrated Part-Load Value (IPLV) is the descriptor for part-load efficiency for certain types of equipment. The IPLVs are found in the referenced ARI Standards. Compliance with minimum efficiency requirements specified for certain HVAC equipment shall include compliance with part-load requirements as well as standard or full-load requirements.
8.3.1.4 If nationally-recognized test procedures for combined equipment are not available, efficiencies for service water heating shall be determined using data provided by equipment and component manufacturers, employing reasonable assumptions concerning uncertain parameters.
8.3.1.5 Omission of minimum performance requirements for certain classes of HVAC equipment does not preclude use of such equipment where appropriate.
8.3.2.1 Where components, such as indoor or outdoor coils, from more than one manufacturer are used as parts of a cooling or heating unit, it shall be the responsibility of the system designer to specify component efficiencies, which when combined will provide equipment that is in compliance with the requirements of these standards, based on data provided by the component manufacturers.
8.3.2.2 Total on-site energy input to the equipment shall be determined by combining the energy inputs to all components, elements, and accessories including but not limited to compressor(s), internal circulating pump(s), condenser-air fan(s), evaporative-condenser cooling water pump(s), purge devices, viscosity control heaters, and controls.
8.3.2.3
8.3.3.3 Heat pumps equipped with supplementary resistance heaters for comfort heating shall be installed with a control to prevent heater operation when the heating load can be met by the heat pump. A two-stage room thermostat, that controls the supplementary heat on its second stage, will meet this requirement. Supplementary heater operation is permitted where it
8.3.3.3.1 Controls shall provide a means of activating the supplementary heat source on an emergency basis and a visible indicator shall be provided to indicate the emergency heat status.
8.3.3.4
8.3.4.1 The designer shall obtain data and information from the manufacturer of electric resistance comfort heating equipment regarding full-load and part-load energy consumption of the heating equipment over the range of voltages at which the equipment is intended to operate. All auxiliaries required for the operation of the heater equipment such as, but not limited to fans, pumps, viscosity control heaters, fuel handling equipment, and blowers shall be included in the energy input data provided by the manufacturer(s).
8.3.5.1 Provisions shall be made to provide necessary preventive maintenance information to maintain efficient operation of all HVAC equipment.
9.1.1 This section contains minimum and prescriptive requirements for the design of Service Water Heating Systems.
9.1.2 A building shall be considered in compliance with this section if the following conditions are met:
9.1.2.1 The minimum requirements of section 9.3 are met; and
9.1.2.2 The Service Water Heating System design complies with the prescriptive criteria of section 9.4.
9.2.1 Showerheads shall be designed to provide and maintain user comfort and energy savings. They should not use removable flow restricting inserts to meet flow limitation requirements.
9.2.2 Point of use water heaters shall be considered where their use will reduce energy consumption and is life cycle cost effective.
9.2.3 High temperature condensate, when returned to condensation pump tanks or other vented tanks, will have a certain portion flashed into steam, thus wasting energy. To conserve this energy, a heat exchanger shall be considered for use in the condensate return line to heat or preheat the service water, cool the condensate, and prevent flashing.
9.2.4 Storage may be used to optimize heat recovery when the flow of heat to be recovered is out of phase with the demand for heated water, or when energy use for water heating can be shifted to take advantage of off-peak rates.
9.3.1.1 Service water heating system design loads for the purpose of sizing and selecting systems shall be determined in accordance with the procedures described in chapter 54 of the
9.3.2.1 All water heaters and hot water storage tanks shall meet the criteria of Table 9.3-1. Where multiple criteria are listed, all criteria shall be met. Where no criteria are provided, no requirements need be met.
9.3.2.1.1
(a) storage water heaters and hot water storage tanks having more than 500 gallons of storage capacity need not meet the heat loss (HL) requirements of Table 9.3-1 if the tank surface area is thermally insulated to R-12.5 and if a standing pilot light is not used.
9.3.2.2
9.3.2.2.1 A heat trap may take the form of a bent piece of tubing that forms a loop of 360 degrees; an arrangement of pipe fittings, such as elbows, connected so that the inlet and outlet piping make vertically upward runs just before turning downward to connect to the water heater's inlet and outlet fittings; a commercially available heat trap; or any other type that effectively restricts the natural tendency of hot water to rise in the vertical pipe during standby periods.
9.3.2.2.2 When the water heater outlet is directly horizontal out of the tank, or is piped with an elbow on the vertical outlet and then downward, this piping arrangement itself is effectively a heat trap and a separate heat trap is not then needed.
9.3.3.1 For circulating systems, piping insulation shall conform to the requirements of Table 7.3-1 or an equivalent level as calculated in accordance with Equation 7.3-1.
9.3.3.2 For non-circulating systems, the first 8 ft of piping from a storage system that is maintained at a constant temperature shall be insulated in accordance with Table 7.3-1, or an equivalent level as calculated in accordance with Equation 7.3-1. Systems without a heat trap to prevent circulation due to natural convection shall be considered circulating systems.
9.3.4.1
9.3.4.1.1 Where temperatures higher than 120 °F are required at certain outlets for a particular intended use, separate remote heaters or booster heaters shall be installed for those outlets unless it can be shown by calculation that either energy is not saved by the application of this requirement or that the total cost over the life of the equipment is not reduced.
9.3.4.1.2
9.3.5.1 Showers used for other than safety reasons shall limit the maximum hot water discharge to 2.75 gpm when tested according to
9.3.5.2 Lavatories in public restrooms, with the exception of lavatories for physically handicapped persons, shall be equipped with devices that:
9.3.5.2.1 Limit the flow of hot water to either:
(a) A maximum of 0.5 gpm;
(b) 0.75 gpm if a device or fitting is used that limits the period of water discharge, such as a foot switch, fixture occupancy sensor; or
(c) 2.5 gpm if equipped with a self-closing valve;
9.3.5.2.2 Either be equipped with a foot switch or occupancy sensor or similar device or limit delivery with a self-closing valve or a foot switch to a maximum of 0.25 gallons of hot water for circulating systems;
9.3.5.2.3 Limits delivery with a self-closing valve or a foot switch to a maximum of 0.50 gallons for non-circulating systems; and
9.3.5.2.4 Limits the outlet temperature to a maximum 110 °F.
9.3.6.1
9.3.6.2
9.3.6.3
9.3.6.3.1
(a) Where public health standards require 24 hour operation of pumps; and
(b) Pumps are required to operate solar pool heating systems.
9.4.1.1 Water heaters used for combination service water and space heating shall meet the appropriate minimum efficiency requirements of both section 8.3 and 9.3.
9.4.1.2 Combination space heating and service water heating equipment shall only be used when at least one of the following conditions is met:
9.4.1.2.1 where the annual space heating energy use is less than 50% of the annual service water heating energy use;
9.4.1.2.2 where the energy input or storage volume of the combined boiler or water heater is less than twice the size of the smaller of the separate boilers or water heaters otherwise required;
9.4.1.2.3 where calculations show that the combined system uses no more energy than separate systems that meet the requirements of sections 8.3 and 9.3; or
9.4.1.2.4 where the input to the combined boiler is less than 150,000
9.4.1.3 Combination function equipment (space heating, service water heating, cooling, etc.) shall comply with minimum efficiency requirements in accordance with nationally recognized test procedures. Where such procedures are not available for particular equipment designs, compliance shall be determined based on the function representing the maximum annual energy consumption, using data provided by equipment and component manufacturers.
9.4.2.1
9.4.2.1.1
(a) Electric resistance water heaters used in conjunction with site-recovered or non-depletable energy sources or off-peak heating with thermal storage.
9.4.2.2
9.4.2.2.1
(a) where the cost of the damper exceeds the value of reduced energy costs over the damper's lifetime.
9.4.3.1 An evaluation shall be made of the potential for the use of condenser heat, waste energy, solar energy, or off-peak heating with thermal storage to reduce water heating energy cost.
9.4.3.2 Storage shall be used to optimize heat recovery when the flow of heat to be recovered is out of phase with the demand for heated water, or when energy use for water heating can be shifted to take advantage of off-peak rates.
10.1.1 This section contains minimum requirements for building energy management systems. It describes the energy measurement, control, testing and documentation that shall be provided to the building owner. The intent is to minimize energy use by providing the building operator with design, construction and equipment data, along with a means of testing the completed facility.
10.1.2 A building shall be considered in compliance with this section if the minimum requirements of Section 10.3 are met.
10.2.1.1 An energy management control system is critical to the effective management of building energy. Energy management systems require measurements at key points in the building system and must be capable of part-load operation recognition and be equipped with controls to match system capacity to load demands.
10.2.1.2 Controls cannot correct inadequate source equipment, poorly selected components, or mismatched systems. Energy efficiency requires a design that is optimized by realistic loads prediction, careful system selection, and full control provisions.
10.2.2.1 The building construction drawings and specifications must show system types, sizes, performance criteria, controls, and materials intended for use prior to construction. The system designer shall provide or specify that documentation be provided for the education and guidance of the building operator showing the actual elements that have been installed, how they have been installed, how they performed during testing, and how they operate as a system in the completed facility. Since minimum energy use is the ultimate goal, operating procedures are one of the major factors in controlling energy use in buildings. The activities of building occupants and operators can result in differences as great as two to one in the energy consumption of essentially similar buildings. While neither the designer nor these standards can control the way the building is actually operated, the designer shall contribute to
10.2.2.2 The building operator shall be provided with the following:
10.2.2.2.1 As-built drawings and specifications;
10.2.2.2.2 Operating manuals with a schematic diagram, sequence of operation and system operating criteria for each and all systems installed;
10.2.2.2.3 Where the building systems are complex, a comprehensive balancing and testing program and report to demonstrate the energy performance capabilities of the system; and
10.2.2.2.4 Maintenance manuals with complete information for all major components in the facility.
10.3.1 Each distinct utility-provided energy service shall be metered. This shall apply to central and individual tenant meters. Such meters shall be located, or arranged, so that the meter can be visually monitored.
10.3.2 Each distinct commercially-provided energy service shall have a system to measure and record the amount of energy being delivered, based on the energy content.
10.3.3 The energy delivery systems shall be arranged to allow individual measurement of occupant lighting and outlet services, production processes, auxiliary systems, service water heating, space heating, space cooling, and HVAC delivery systems.
10.3.4 Provisions shall be made for the measurement of energy inputs and outputs (flow, temperature, pressure, etc.) to determine equipment energy consumption and/or installed performance capabilities and efficiencies of all heating, cooling, and HVAC delivery systems equipment, greater than 20 kVA or 60,000 Btu/h energy input.
10.3.5.1 In buildings or tenant areas with electric service greater than 150 kVA or fuel use greater than 500,000 Btu/h, energy use shall be measured for electrical lighting, miscellaneous power outlets, HVAC systems and equipment, service hot water, and process loads and when the peak use of:
10.3.5.1.1 Production processes, including manufacturing, computers, laundries, kitchens, etc., is greater than 100 kVA or 300,000 Btu/h;
10.3.5.1.2 Auxiliary systems and service water heating is greater than 100 kVA or 300,000 Btu/h;
10.3.5.1.3 Space heating (including reheat) is greater than 100 kVA or 300,000 Btu/h;
10.3.5.1.4 Space cooling is greater than 100 kVA or 300,000 Btu/h; and
10.3.5.1.5 HVAC delivery systems is greater than 100 kVA or 300,000 Btu/h.
10.3.5.1.6
(a) When there is an energy service for only 2 of the 6 categories listed, a single measurement may be made for the larger of the two energy services and the second use determined by subtraction from the primary service measurements.
10.3.6.1 The designer shall designate, specify, or otherwise show in the construction documents the type of controls and control systems needed. This shall include a description or sequence of control of the system's operational procedures.
10.3.6.2 Controls may be electric, pneumatic, electronic, or direct digital. Control action may be “on/off”, or proportional that can use manual, automatic, or remote reset and can have rate of action or derivative action compensation as designated by the designer. Control devices may be provided by the manufacturers of equipment or by the field installers, but all shall be compatible with the design sequence of control. The designer shall designate accuracy and long term requirements for controls.
10.3.6.3 All primary energy conversion equipment such as boilers, heat exchangers, refrigeration units, furnaces and heat pumps shall have a load activated local control loop for each piece of equipment. Controls for multiple equipment shall integrate the individual control units or provide system control for all the units.
10.3.6.4 All energy delivery systems shall have a local control loop for each system.
10.3.6.5 Energy consuming systems or components with a peak use greater
10.3.6.6 The control equipment provided for local control loops except for “on/off” and self-contained sensor devices shall be arranged so that sensing, control action, and control setting variables can be read or tested at the device.
10.3.6.7 Control loops for terminal unit zones with less than 24 hours per day or 7 days per week occupancy shall have separate control points for day and night heating and cooling. The devices shall be capable of local resetting, and have provisions for remote management system selection of the occupied or unoccupied heating or cooling mode of operation.
10.3.7.1 A central monitoring and control system shall be provided in any building or submetered tenant space exceeding 40,000 ft
10.3.7.2 The minimum energy management requirements for such a system shall be to:
10.3.7.2.1 Read and retain daily totals for all energy measurement instruments;
10.3.7.2.2 Total all energy values weekly and record and retain values placed on a summary report;
10.3.7.2.3 Record and plot hourly outdoor and indoor temperatures against real time and summarize and report for each year in a format compatible with degree-days or bin temperature;
10.3.7.2.4 Based on time schedules, turn on or off any HVAC or service water heating system or equipment;
10.3.7.2.5 Based on time schedules, turn on or off major building lighting and occupancy power circuits;
10.3.7.2.6 Reset local loop control systems for HVAC equipment;
10.3.7.2.7 Monitor and verify operation of heating, cooling and energy delivery systems;
10.3.7.2.8 Monitor and verify operation of lighting and occupant power, auxiliary and service hot water systems;
10.3.7.2.9 Provide readily accessible override controls so that time-based HVAC and lighting controls may be temporarily overridden during off hours; and
10.3.7.2.10 Provide optimum start/stop for HVAC systems.
10.3.8.1 The building construction documents shall describe the requirements for placing all energy management systems in operation. This includes check-out procedures and all controls and metering equipment operational information.
10.3.8.2 The building construction documents shall describe the requirements for balancing and check-out procedures for all HVAC systems and equipment. All HVAC system balancing shall be required to be accomplished in a manner to minimize throttling losses. In air systems, fan speeds shall be required to be adjusted to meet design conditions. Water systems shall be required to be proportionally adjusted to minimize throttling losses and then corrected to design flow conditions by trimming the pump impeller or changing pump speed. The design specifications shall state that a pump shall not be brought to final flow conditions by valving.
10.3.8.3 The building construction documents shall describe the requirements for control system testing to assure that control elements are calibrated, ranges adjusted, set points ascertained, and full travel of moveable elements assured. All elements in the control system shall be tested with the system in operation.
10.3.9.1 The building construction documents shall describe the requirements for determining building energy performance in the completed, operational building.
10.3.9.2 The building energy performance testing shall be performed in winter for heating and in summer for cooling. These tests shall ascertain the in-site capabilities of all HVAC systems and equipment. Internal building loads shall be accounted for in assessing cooling performance. Heating performance shall be determined during
10.3.9.3 Energy use measurements shall be made for the overall building system while HVAC system performance is being tested. Each energy management and control system shall be used to determine energy use for:
10.3.9.3.1 Utility energy;
10.3.9.3.2 Commercial service energy:
10.3.9.3.3 Occupant lighting and receptacle power;
10.3.9.3.4 Production process energy;
10.3.9.3.5 Auxiliary systems and service water heating energy;
10.3.9.3.6 Space heating energy;
10.3.9.3.7 Space cooling energy; and
10.3.9.3.8 HVAC delivery system energy.
10.3.9.3.9 Test periods shall be at least six (6) hours in duration. Hourly outdoor and indoor temperatures, solar intensity during a day test, and wind speed during a night test shall be recorded.
10.3.9.4 The building energy performance test data shall, at minimum, measure energy use and outdoor temperatures hourly for each test period.
10.3.10.1 As-built information shall be provided for all the following energy-related features of the building:
10.3.10.1.1 Thermal and solar/optical transmission characteristics of the building envelope, including infiltration;
10.3.10.1.2 The operating characteristics of the HVAC, lighting, and service water heating equipment and systems;
10.3.10.1.3 Internal heat gain contributed by equipment and processes; and
10.3.10.1.4 The operating characteristics of controls.
10.3.10.2 A summary report shall be provided outlining the design basis data for the building envelope, the internal heat gains, the weather extremes, major heating/cooling equipment sizes and sequence of operation.
10.3.10.3 The construction documents shall require that shop drawings, schematic diagrams, control sequence, maintenance manuals, and operating instructions, with data on all HVAC, auxiliary equipment and service water heating systems be provided to the owner.
10.3.10.4 A system balancing report shall be provided that follows National Environmental Balancing Bureau or the Association of Air Balancing Council formats with an extra section summarizing the energy-related values gathered during balancing.
10.3.10.5 An energy performance test report shall be provided showing all the data gathered during the energy performance tests. The results shall be presented in a format that provides convenient comparison with design values.
11.1.1 This section provides an alternative compliance path that allows greater flexibility in the design of energy efficient buildings using an annual energy cost method. Energy cost is used as the common denominator in determining compliance. Using unit costs rather than units of energy or power such as Btu, kWh or kW allows the energy use contribution of different fuel sources at different times to be added and compared. This path allows for innovation in designs, materials, and equipment, such as daylighting, passive solar heating, heat recovery, better zonal temperature control, thermal storage, and other applications of off-peak electrical energy, that cannot be adequately evaluated by the prescriptive or system performance alternatives found in sections 3.4, 3.5, 5.4, 5.5, and 7.4. This compliance path is intended for design comparisons only and is not intended to be used to either predict, document, or verify annual energy consumption or annual energy costs.
11.1.2 The Building Energy Cost Compliance Alternative is to be used in lieu of the prescriptive or system performance methods and in conjunction with the minimum requirements found in sections 3.3, 4.3, 5.3, 6.3, 7.3, 8.3, 9.3 and 10.3.
11.1.3
11.1.4 Designers are encouraged to employ the Building Energy Cost Budget compliance method set forth in this section for evaluating proposed design alternatives in preference to using the prescriptive/system methods. The Building Energy Cost Budget establishes the relative effectiveness of each design alternative in energy cost savings, providing an energy cost basis upon which the building owner and designer may select one design over another. This Energy Cost Budget is the highest allowable calculated Energy Cost Budget for a specific building design. Other alternative designs are likely to have lower annual energy costs and life cycle costs than those that minimally meet the Energy Cost Budget.
11.1.5 The Energy Cost Budget is a numerical target for annual energy cost. It is intended to assure neutrality with respect to choices of HVAC system type, architectural design, fuel choice, etc., by providing a fixed, repeatable budget target that is independent of any of these choices wherever possible (i.e., for the prototype buildings). The Energy Cost Budget for a given building size and type will vary only with climate, the number of stories, and the choice of simulation tool. The specifications of the prototypes are necessary to assure repeatability, but have no other significance. They are not recommended energy conserving practice, or even physically reasonable practice for some climates or buildings, but represent a reasonable worst case of energy cost resulting from compliance with the spirit and the letter of sections 3.0 through 10.0.
11.2.1 The annual Energy Cost Budgets shall be determined in accordance with the Prototype Building Method in section 11.2.5, or the Reference Building Method in section 11.2.5. Both methods calculate an annual Energy Cost by summing the 12 monthly Energy Cost Budgets. Each monthly Energy Cost Budget is the product of the monthly Building Energy Consumption of each type of energy used multiplied by the monthly Energy Cost per unit of energy for each type of energy used.
11.2.2 The Energy Cost Budget shall be determined in accordance with Equation 11-1 as follows:
11.2.3 The monthly Energy Cost Budget shall be determined using current rate schedules or contract prices available at the building site for all non-depletable types of energy purchased. These costs shall include demand charges, rate blocks, time of use rates, interruptable service rates, delivery charges, taxes, and all other applicable rates for the type, location, operation, and size of the proposed design. The monthly Budget Energy Consumption shall be calculated from the first day through the last day of each month, inclusive.
11.2.4 The Energy Cost Budget, Design Energy Consumption and Design Energy Cost calculations are applicable only for determining compliance with these standards. They are not predictions of actual energy consumption or costs of the proposed building after construction. Actual experience will differ from these calculations due to variations such as occupancy, building operation and maintenance, weather, energy use not covered by these standards, changes in energy rates between design of the building and occupancy, and precision of the calculation tool.
11.2.5.1 The Prototype Building procedure shall be used for all building types listed below. For mixed-use buildings the Energy Cost Budget is derived by allocating the floor space of each building type within the floor space of the prototype building. For buildings not listed below, the Reference Building procedure of section 11.2.5 shall be used.
11.2.5.1.1 Prototype buildings include:
(a) Assembly;
(b) Office (Business);
(c) Retail (Mercantile);
(d) Warehouse (Storage);
(e) School (Educational);
(f) Hotel/Motel;
(g) Restaurant;
(h) Health/Institutional; and
(i) Multi-Family.
11.2.5.2.1 Determine the building type of the Proposed Design using the categories in section 11.2.5.1. Using the appropriate Prototype Building characteristics from Tables 11-1 through 11-8,
11.2.5.2.3 The form, orientation, occupancy and use profiles for the Prototype Building shall be fixed as described in section 11.5.3. Envelope, lighting, other internal loads and HVAC systems and equipment shall meet the prescriptive or system requirements of section 3.0 through 10.0 and are standardized inputs.
11.2.6.1 The Reference Building procedure shall be used only when the Proposed Design cannot be represented by one or a combination of the Prototype Building listed in section 11.2.5.1 or the assumptions for the Prototype Building in section 11.5, such as occupancy and use-profiles, do not reasonably represent the Proposed Design.
11.2.6.2.1 Each floor shall be oriented in the same manner for the Reference Building as in the Proposed Design. The form, gross and conditioned floor areas of each floor and the number of floors shall be the same as in the Proposed Design. All other characteristics, such as lighting, envelope and HVAC systems and equipment, shall meet the prescriptive/system requirements of section 3.0 through 10.0.
11.2.7.1 The Prototype or Reference Buildings shall be modeled using the criteria of section 11.5 and section 11.6. The modeling shall use a climate data set appropriate for both the site and the complexity of the energy conserving features of the design. ASHRAE Weather Year for Energy Calculations (WYEC) data or bin weather data shall be a default choice.
11.3.1 The Design Energy Consumption shall be calculated by modeling the Proposed Design using the same methods, assumptions, climate data, and simulation tool as were used to establish the Energy Cost Budget, except as explicitly stated in 11.5. The Design Energy Cost shall be calculated per Equation 11-3. If the Proposed Design includes cogeneration or non-depletable energy sources designed for the sale of energy off-site, then energy cost and income resulting from outside sales shall not be used to reduce the Design Energy Costs. Such systems shall be modeled as operating to supply energy needs of the Proposed Design only.
The DECON
11.4.1 If the Design Energy Cost is less than or equal to the Energy Cost Budget, and all of the minimum requirements of sections 3.0 through 10.0 are met, the Proposed Design complies with the standards.
11.5.1 The Standard Calculation Procedure consists of methods and assumptions for calculating the Energy Cost Budget for the Prototype or Reference Building and the Design Energy Consumption and Design Energy Cost of the Proposed Design. In order to maintain consistency between the Energy Cost Budget and the Design Energy Cost, the input assumptions to be used are stated below. These inputs shall be used to determine the Energy Cost Budget and the Design Energy Consumption.
11.5.2 Prescribed assumptions shall be used without variation. Default assumptions shall be used unless the designer can demonstrate that a different assumption better characterizes the building's energy use over its expected life. No modified default assumptions shall be used in modeling both the Prototype or Reference Building and the Proposed Design unless the designer demonstrates clear cause to do otherwise. Special procedures for speculative buildings are discussed in section 11.5.9. Shell buildings may not use section 11.0.
11.5.3.1 The Prototype Building shall consist of the same number of stories, and gross and conditioned floor area as the Proposed Design, with equal area per story. The building shape shall be rectangular, with a 2.5:1 aspect ratio. The long dimensions of the building shall face East and West. This is intended to provide an energy budget that can be met even if there are unfavorable site constraints. The fenestration shall be uniformly distributed in proportion to exterior wall area.
11.5.3.2 Floor-to-floor height for the Prototype Building shall be 13 ft except for dwelling units in hotels/motels and multi-family high rise residential buildings where floor-to-floor height shall be 9.5 ft.
11.5.3.3 The Reference Building shall consist of the same number of stories, and gross floor area for each story as the Proposed Design. Each floor shall be oriented in the same manner as the Proposed Design. The geometric form shall be the same as the Proposed Design.
11.5.4.1 The systems and types of energy specified in this section are intended only as constraints in calculating the Energy Cost Budget. They are not intended as either requirements or recommendations for either systems or the type of energy to be used in the Proposed Design or for calculation of Design Energy Cost.
11.5.4.2 Internal loads for multi-family high rise residential buildings are presented in Table 11-1. These assumptions shall be prescribed assumptions. Internal loads for other building types shall be modeled as noted in this subsection.
(a) Occupancy schedules shall be Default Assumptions. The same assumptions shall be made in computing Design Energy Consumption as were used in calculating the Energy Cost Budget.
(b) Table 11-2, Occupancy Density, establishes the density, in ft
(a) Interior Lighting Power Allowance (ILPA), for calculating the Energy Cost Budget shall be determined from section 3.0. The lighting power used to calculate the Design Energy Consumption shall be the actual adjusted power for lighting in the Proposed Design. If the lighting controls in the Proposed Design are more effective at saving energy than those required by section 3.3, the actual installed lighting power shall be used along with the schedules reflecting the action of the controls to calculate the Design Energy Consumption. This actual installed lighting power shall not be adjusted by the Power Adjustment Factors listed in Table 3.5-2.
(b) Lighting energy profiles are shown in Table 11-3 that establish the percentage of the lighting load switched-on in each Prototype or Reference Building by hour of the day. These profiles are default assumptions and can be changed when calculating the Energy Cost Budget to provide, for example, a 12 hour rather than an 8 hour work day.
(a) Receptacle loads and profiles are default assumptions. The same assumptions shall be made in calculating Design Energy Consumption as were used in calculating the Energy Cost Budget.
(b) Receptacle loads include all general service loads that are typical in a
11.5.5.1.1 The insulation and glazing characteristics of the Prototype and Reference Building envelope shall be determined by using the first column under “Base Case”, with no assumed overhangs for the appropriate Alternate Component Tables (ACP) in section 5.0, as defined by climate range. The insulation and glazing characteristics from this ACP are Prescribed Assumptions for Prototype and Reference Buildings for calculating the Energy Cost Budget. In calculating the Design Energy Consumption of the Proposed Design, the envelope characteristics of the Proposed Design shall be used.
11.5.5.2.1 For Prototype and Reference Buildings, infiltration assumptions shall be prescribed assumptions for calculating the Energy Cost Budget and default assumptions for the Design Energy Consumption. Infiltration shall impact perimeter zones only.
11.5.5.2.2 When the HVAC system is switched “on”, no infiltration shall be assumed. When the HVAC system is switched “off”, the infiltration rate for buildings with or without operable windows shall be assumed to be 0.038 cfm/ft
11.5.5.3.1 For Prototype and Reference Buildings, absorptivity assumptions shall be prescribed assumptions for computing the Energy Cost Budget and default assumptions for computing the Design Energy Consumption. The solar absorptivity of opaque elements of the building envelope is assumed to be 70%. The solar absorptivity of ground surfaces is assumed to be 80% (20% reflectivity).
11.5.5.4.1 For the Prototype and Reference Building, window management drapery assumptions shall be prescribed assumptions for setting the Energy Cost Budget. No draperies shall be the default assumption for computing the Design Energy Consumption. Glazing is assumed to be internally shaded by medium-weight draperies, closed one-half time. The draperies shall be modeled by assuming that one-half the area in each zone is draped and one-half is not. If manually-operated draperies, shades, or blinds are to be used in the Proposed Design, the Design Energy Consumption shall be calculated by assuming they are effective over one-half the glazing area in each zone.
11.5.5.5.1 For Prototype and Reference buildings and the Proposed Design, shading by permanent structures, terrain, and vegetation shall be taken into account for computing energy consumption, whether or not these features are located on the building site. A permanent fixture is one that is likely to remain for the life of the Proposed Design.
11.5.6.1 The specifications and requirements for the HVAC systems of the Prototype and Reference Buildings shall be those in Table 11-5, HVAC Systems for Prototype and Reference Buildings. For the calculation of the Design Energy Consumption, the HVAC systems and equipment of the Proposed Design shall be used.
11.5.6.2 The systems and types of energy presented in Table 11-5 are intended only as constraints in calculating the Energy Cost Budget. They are not intended as either requirements or recommendations for either systems or the type of energy to be used in the
11.5.6.3.1 HVAC zones for calculating the Energy Cost Budget of the Prototype or Reference Building shall consist of at least four perimeter and one interior zones per floor. Prototype Buildings shall have one perimeter zone facing each cardinal direction. The perimeter zones of Prototype and Reference Buildings shall be 15 ft in width, or one-third the narrow dimension of the building, when this dimension is between 30 ft and 45 ft inclusive, or one-half the narrow dimension of the building when this dimension is less than 30 ft. Zoning requirements shall be a default assumption for calculating the Energy Cost Budget. For multi-family high rise residential buildings, the prototype building shall have one zone per dwelling unit. The proposed design shall have one zone per unit unless zonal thermostatic controls are provided within units; in this case, two zones per unit shall be modeled. Building types such as assembly or warehouse may be modeled as a single zone if there is only one space.
11.5.6.3.2 For calculating the Design Energy Consumption, no fewer zones shall be used than were in the Prototype and Reference Buildings. The zones in the simulation shall correspond to the zones provided by the controls in the Proposed Design. Thermally similar zones, such as those facing one orientation on different floors, may be grouped together for the purposes of either the Design Energy Consumption or Energy Cost Budget simulation.
11.5.6.4.1 For calculating the Energy Cost Budget of Prototype or Reference Buildings, HVAC equipment shall be sized to meet the requirements of section 7.3.2, without using any of the exceptions. The size of equipment shall be that required for the building without process loads considered. The designer shall determine the final equipment sizing including the process loads by separate calculations. Redundant and/or emergency equipment need not be simulated if it is controlled so that it will not be operated during normal operations of the building. The designer shall document the installation of process equipment and the size of process loads.
11.5.6.4.2 For calculating the Design Energy Consumption, actual air flow rates and installed equipment size shall be used in the simulation, except that excess capacity provided to meet process loads need not be modeled if the process load was not modeled in setting Energy Cost Budget. Equipment sizing in the simulation of the Proposed Design shall correspond to the equipment actually selected for the design and the designer shall not use equipment sized automatically by the simulation tool.
11.5.6.4.3 Redundant and/or emergency equipment need not be simulated if it is controlled to not be operated during normal operations of the building.
11.5.7.1 The service water loads for Prototype and Reference Buildings are defined in terms of Btu/h per person in Table 11-6. The service water heating loads from Table 11-6 are prescribed assumptions for multi-family high rise residential buildings and default assumptions for all other buildings. The same service water heating load assumptions shall be made in calculating Design Energy Consumption as were used in calculating the Energy Cost Budget.
11.5.7.2 The service water heating system, including piping losses for the Prototype Building, shall be modeled using the methods of the
11.5.7.3
11.5.7.3.1 If electric resistance service water heating is preferable to an electric heat pump when analyzed according to the criteria of section 9.3.7.1
11.5.8.1 All occupied conditioned spaces in the Prototype, Reference and Proposed Design Buildings in all climates shall be simulated as being both heated and cooled. The assumptions in this subsection are prescribed assumptions. If the Proposed Design does not include equipment for cooling or heating, the Design Energy Consumption shall be determined by the specifications for calculating the Energy Cost Budget as described in Table 11-7.
11.5.8.2
11.5.8.2.1 If a building is to be provided with only heating or cooling, both the Prototype or Reference Building and the Proposed Design shall be simulated, using the same assumptions. If such an assumption is made, the analysis shall show that the building interior temperature meets the comfort criteria of
11.5.8.2.2 If warehouses are not intended to be mechanically cooled, both the Energy Cost Budget and Design Energy Consumption shall be modeled assuming no mechanical cooling; and
11.5.8.2.3 In climates where winter design temperature (97.5% occurrence) is greater than 59 °F, space heating need not be modeled.
11.5.8.3 Space temperature controls for the Prototype or Reference Building, except multi-family high rise residential buildings shall be set at 70 °F for space heating and 75 °F for space cooling with a deadband per section 7.3.4.5. The system shut off during off-hours shall be according to the schedule in Table 11-3, except that the heating system shall cycle on if any space should drop below the night setback setting of 55 °F. There shall be no similar setpoint during the cooling season. Lesser deadband ranges may be used in calculating the Design Energy Consumption.
11.5.8.3.1
(a) Setback shall not be modeled in determining either the Energy Cost Budget or Design Energy Cost if setback is not realistic for the Proposed Design, such as 24 hour/day operations. Health facilities need not have night setback during the heating season;
(b) Hotel/motels and multi-family high rise residential buildings shall have a night setback temperature of 60 °F from 11:00 p.m. to 6:00 a.m. during the heating season; and
(c) If deadband controls are not to be installed, the Design Energy Cost shall be calculated with both heating and cooling thermostat setpoints set to the same value between 70 °F and 75 °F inclusive, assumed to be constant for the year.
11.5.8.3.2 For multi-family buildings, the thermostat schedule for the dwelling units shall be as in Table 11-8.
(a) The Prototype Building shall use the single zone schedule. The Proposed Design shall use the two-zone schedule only if zonal thermostatic controls are provided. For Proposed Designs that use heat pumps employing supplementary heat, the controls used to switch on the auxiliary heat source during morning warm-up periods shall be simulated accurately. The thermostat assumptions for multi-family high-rise buildings are prescribed assumptions.
11.5.8.4 When providing for outdoor air ventilation in calculating the Energy Cost Budget, controls shall be assumed to close the outside air intake to reduce the flow of outside air to 0 cfm during setback and unoccupied periods. Ventilation using inside air may still be required to maintain scheduled setback temperature. Outside air ventilation, during occupied periods, shall be as required by
11.5.8.5 If humidification is to be used in the Proposed Design, the same level of humidification and system type shall be used in the Prototype or Reference Building. If dehumidification requires subcooling of supply air, then reheat for the Prototype or Reference Building shall be from recovered waste heat such as condenser waste heat.
11.5.9.1.1 The interior lighting power allowance (ILPA) for calculating the Energy Cost Budget shall be determined from Table 3.4-1. The Design Energy Consumption may be based on an assumed adjusted lighting power for future lighting improvements.
(a) The assumption about future lighting power used to calculate the Design Energy Consumption must be documented so that the future installed lighting systems may be in compliance with these standards. Documentation must be provided to enable future lighting systems to use either the Prescriptive method of section 3.4 or the Systems Performance method of section 3.5.
(b) Documentation for future lighting systems that use the Prescriptive method of section 3.4 shall be stated as a maximum adjusted lighting power for the tenant spaces. The adjusted lighting power allowance for tenant spaces shall account for the lighting power provided for the common areas of the building.
(c) Documentation for future lighting systems that use the System Performance method of section 3.5 shall be stated as a required lighting adjustment. The required lighting adjustment is the whole building lighting power assumed in order to calculate the Design Energy Consumption minus the ILPA value from Table 3.4-1 that was used to calculate the Energy Cost Budget. When the required lighting adjustment is less than zero, a complete lighting design must be developed for one or more representative tenant spaces, demonstrating acceptable lighting within the limits of the assumed lighting power allowance.
11.5.9.2.1 If the HVAC system is not completely specified in the plans, the Design Energy Consumption shall be based on reasonable assumptions about the construction of future HVAC systems and equipment. These assumptions shall be documented so that future HVAC systems and equipment may be in compliance with these standards.
11.6.1 Annual energy consumption shall be simulated with a multi-zone, 8760 hours per year building energy model. The model shall account for:
11.6.1.1 The dynamic heat transfer of the building envelope such as solar and internal gains;
11.6.1.2 Equipment efficiencies as a function of load and climate;
11.6.1.3 Lighting and HVAC system controls and distribution systems by simulating the whole building;
11.6.1.4 The operating schedule of the building including night setback during various times of the year; and
11.6.1.5 Energy consumption information at a level necessary to determine the Energy Cost Budget and Design Energy Cost through the appropriate utility rate schedules.
11.6.2 While the simulation tool should simulate an entire year on an hour by hour basis (8760 hours), programs that approximate this dynamic analysis procedure and provide equivalent results are acceptable.
11.6.3 Simulation tools shall be selected for their ability to simulate accurately the relevant features of the building in question, as shown in the tool's documentation. For example, a single zone model shall not be used to simulate a large, multi-zone building, and a steady-state model such as the degree-day method shall not be used to simulate buildings when equipment efficiency or performance is significantly affected by the dynamic patterns of weather, solar radiation, and occupancy. Relevant energy-related features shall be addressed by a model such as daylighting, atriums or sunspaces, night ventilation or thermal storage, chilled water storage or heat recovery, active or passive solar systems, zoning and controls of heating and cooling systems, and ground-coupled buildings. In addition, models shall be capable of translating the Design Energy Consumption into energy cost using actual utility rate schedules with the coincidental electrical demand of a building. Examples of public domain models capable of handling such complex building systems and energy cost translations available in the United States are DOE-2.1C and
11.6.4 All simulation tools shall use scientifically justifiable documented techniques and procedures for modeling building loads, systems, and equipment. The algorithms used in the program shall have been verified by comparison with experimental measurements, loads, systems, and equipment.
12.1 This section provides an alternative path for compliance with the standards that allow for greater flexibility in the design of energy efficient buildings using an annual energy target method. This path, as does the path used in section 11.0, provides an opportunity for the use of innovative designs, materials, and equipment such as daylighting, passive solar heating, heat recovery, and thermal storage as well as other applications of off-peak electrical energy where they cannot be adequately evaluated by the prescriptive or system performance methods found in sections 3.4, 3.5, 5.4, 5.5, 7.4., and 9.4.
12.1.2 The Building Energy Use Budget Target alternative may be used as an option to the Building Energy Cost Budget method in section 11.0 and is to be used in lieu of the prescriptive and system performance methods and in conjunction with sections 3.3, 4.3, 5.3, 6.3, 7.3, 8.3, 9.3 and 10.3.
12.1.3 Compliance under this section is demonstrated by showing that the calculated annual energy usage for the Proposed Design is less than or equal to a calculated Energy Use Budget. (See Figure 12-1). A life-cycle cost economic analysis is required to evaluate alternative fuel sources and energy reduction strategies. The procedures in this chapter are intended only for establishing design compliance, and are not intended to be used either to predict, document or verify annual energy consumption or annual energy costs.
12.1.4 Compliance under the Building Energy Use Budget method requires a detailed energy analysis, using a conventional simulation tool, of the Proposed Design. A life-cycle cost analysis shall be used to select the fuel source for the HVAC systems, service hot water, and process loads from available alternatives. The Annual Energy Consumption of the Proposed Design with the life-cycle cost-effective fuel selection is calculated to determine the modeled energy consumption, called the Design Energy Use.
12.1.5 The Design Energy Use is defined as the energy that is consumed within the five foot line of a proposed building per ft
12.1.6
12.1.7 This section provides instructions for determining the Design Energy Use and for calculating the Energy Use Budget. The Energy Use Budget is the highest allowable calculated annual energy consumption for a specified building design. Designers are encouraged to design buildings whose Design Energy Use is lower than the Energy Use Budget. Incorporated in this section is an optional life-cycle cost economic analysis procedure that may be used by the designer to examine the economic feasibility of all energy design alternatives and to produce a more optimum design.
12.2.1 The Energy Use Budget shall be calculated for the appropriate Prototype or Reference Building in accordance with the procedures prescribed in section 11.2 with the following exceptions: The Energy Use Budget shall be stated in units of Btu/ft
12.2.2 The Energy Use Budget (EUB) is calculated similarly for the Reference or Prototype Building using the following equation:
12.3.1 The Design Energy Use shall be calculated by modeling the Proposed Design using the same methods, assumptions, climate data, and simulation tool as were used to establish the Energy Use Budget, but with the design features that will be used in the final building design. The simulation tool
12.3.2.1 Fuel sources selected for the Proposed Design and Prototype or Reference buildings shall be determined by considering the energy cost and other costs and benefits that occur during the expected economic life of the alternative.
12.3.2.2 The designer shall use the procedures set forth in subpart A of 10 CFR part 436 to make this determination. The fuel selection life cycle cost analysis shall include the following steps:
12.3.2.2.1 Determine the feasible alternatives for energy sources of the Proposed Design's HVAC systems, service hot water, and process loads.
12.3.2.2.2 Model the Proposed Design including the alternative HVAC and service water systems and conduct an annual energy analysis for each fuel source alternative using the simulation tool specified in this section. The annual energy analysis shall be computed on a monthly basis in conformance with section 11.0 of these standards with the exception that all process loads shall be included in the calculation. Separate the output of the analysis by fuel type.
12.3.2.2.3 Determine the unit price of each fuel using information from the utility or other reliable local source. During rapid changes in fuel prices it is recommended that an average fuel price for the previous twelve months be used in lieu of the current price. Calculate the annual energy cost of each energy source alternative in accordance with procedures in section 11.0 for the Design Energy Cost. Estimate the initial cost of the HVAC and service water systems and other initial costs such as energy distribution lines and service connection fees associated with each fuel source alternative. Estimate other costs and benefits for each alternative including, but not necessarily limited to, annual maintenance and repair, periodic and one time major repairs and replacements and salvage of the energy and service water systems. Cost estimates shall be prepared using professionally recognized cost estimating tools, guides and techniques.
12.3.2.2.4 Perform a life cycle cost analysis using the procedure specified in section 12.3.2.
12.3.2.2.5 Compare the total life cycle cost of each energy source alternative. The alternative with the lowest total life-cycle cost shall be chosen as the energy source for the proposed design.
12.4.1 Compliance with this section is demonstrated if the Design Energy Use is equal to or less than the Energy Use Budget.
12.4.2 The energy consumption shall be measured at the building five foot line for all fuels. Energy consumed from non-depletable energy sources and heat recovery systems shall not be included in the Design Energy Use calculations. The thermal efficiency of fixtures, equipment, systems or plants in the proposed design shall be simulated by the selected calculation tool.
12.5.1 The Standard Calculation Procedure consists of methods and assumptions for calculating the Energy Use Budgets for Prototype and Reference Buildings and the Design Energy Use for the Proposed Design. In order to maintain consistency between the Energy Use Budgets and the Design Energy Use, the input assumptions stated in section 11.5 are to be used.
12.5.2 The terms Energy Cost Budget and Design Energy Cost or Consumption used in section 11.0 correlate to Energy Use Budget and Design Energy Use, respectively, in section 12.0.
12.6.1 The criteria established in section 11.0 for the selection of a simulation tool shall be followed when using the compliance path prescribed in section 12.0.
12.7.1 The following life cycle cost criteria applies to the fuel selection requirements of this chapter and to option life cycle cost analyses performed to evaluate energy conservation design alternatives. The fuel source(s) selection shall be made in accordance with the requirements of subpart A of 10 CFR part 436. The implementation calculations for the methodology of subpart A of 10 CFR part 436 is provided in
12.7.1.1 The economic life of the Prototype Building and Proposed Design shall be 25 years. Anticipated replacements or renovations of energy related features and systems in the Prototype or Reference Building and Proposed Design during this period shall be included in their respective life cycle cost calculations.
12.7.1.2 The designer shall follow established professional cost estimating practices when determining the costs and benefits associated with the energy related features of the Prototype or Reference Building and Proposed Design.
12.7.1.3 All costs shall be expressed in current dollars. General inflation shall be disregarded. Differential escalation of prices (prices estimated to rise faster or slower than general inflation) for energy used in the life cycle cost calculations shall be those in effect at the time of the life cycle cost calculations as published by the Department of Energy's Energy Information Administration.
12.7.1.4 The economic effects of taxes, depreciation and other factors not consistent with the practices of
(a) This subpart establishes voluntary energy conservation performance standards for new residential buildings. The voluntary energy conservation performance standards are designed to achieve the maximum practicable improvements in energy efficiency and increases in the use of non-depletable sources of energy.
(b) Voluntary energy conservation performance standards prescribed under this subpart shall be developed solely as guidelines for the purpose of providing technical assistance for the design of energy conserving buildings, and shall be mandatory only for the design of Federal buildings.
(c) The energy conservation performance standards will direct Federal policies and practices to ensure that cost-effective energy conservation features will be incorporated into the designs of all new residential buildings designed and constructed by and for Federal agencies.
(a) The energy conservation performance standards for new Federal residential buildings will apply to the design of all new residential buildings except multifamily buildings more than three stories above grade.
(b) The primary types of buildings built by or for the Federal agencies, to which the energy conservation performance standards will apply, are:
(1) Single-story single-family residences;
(2) Split-level single-family residences;
(3) Two-story single-family residences;
(4) End-unit townhouses;
(5) Middle-unit townhouses;
(6) End-units in multifamily buildings (of three stories above grade or less);
(7) Middle-units in multifamily buildings (of three stories above grade or less);
(8) Single-section mobile homes; and
(9) Multi-section mobile homes.
(a)
(b)
(c)
(d)
(e)
(1) That includes or will include a heating or cooling system, or both, or a domestic hot water system, and
(2) For which a building design is created after the effective date of this rule.
(f)
(g)
(h)
(i)
(j)
(k)
(l)
(m)
(n)
(o)
(p)
(q)
(r)
(s)
(t)
(u)
(v)
(w)
(a) The head of each Federal agency responsible for the construction of Federal residential buildings shall establish an energy consumption goal for each building to be designed or constructed by or for the agency.
(b) The energy consumption goal for a Federal residential building shall be a total point score derived by using the micro-computer program and user manual entitled “Conservation Optimization Standard for Savings in Federal Residences (COSTSAFR),” unless the head of the Federal agency shall establish more stringent requirements for that agency.
(c) The head of each Federal agency shall adopt such procedures as may be necessary to ensure that the design of a Federal residential building is not less energy conserving than the energy consumption goal established for the building.
(a) The COSTSAFR Program (Version 3.0) provides a computerized calculation procedure to determine the most effective set of energy conservation measures, selected from among the measures included within the Program that will produce the practicable optimum life cycle cost for a type of residential building in a specific geographic location. The most effective set of energy conservation measures is expressed as a total point score that serves as the energy consumption goal.
(b) The COSTSAFR Program (Version 3.0) also prints out a point system that identifies a wide array of different energy conservation measures indicating how many points various levels of each measure would contribute to reaching the total point score of the energy consumption goal. This enables a Federal agency to use the energy consumption goal and the point system in the design and procurement procedures so that designers and builders can pick and choose among different combinations of energy conservation measures to meet or exceed the total point score required to meet the energy consumption goal.
(c) The COSTSAFR Program (Version 3.0) operates on a micro-computer system that uses the MS DOS operating system and is equipped with an 8087 co-processor.
(d) The COSTSAFR Program (Version 3.0) may be obtained from:
(a) If a proposed building design includes unusual or innovative energy conservation measures which are not covered by the COSTSAFR program, the Federal agency shall determine whether that design meets or exceeds the applicable energy consumption goal in compliance with the procedures set forth in this section.
(b) The Federal agency shall determine the estimated discounted energy cost for the COSTSAFR prototype building design, which is the most similar of the COSTSAFR prototypes to the proposed building design, by—
(1) Printing out the COSTSAFR compliance forms for the prototype showing the points attributable to levels of various energy conservation measures;
(2) Calculating the estimated unit energy cost on the compliance forms, on
(3) Multiplying the estimated unit energy cost by 100.
(c) The Federal agency shall determine the estimated discounted energy cost for the proposed building design by—
(1) Estimating the heating and cooling total annual coil loads of the proposed building design with the DOE 2.1C computer program on the basis of input assumptions including—
(i) Shading coefficients of 0.6 for summer and 0.8 for winter;
(ii) Thermostat setpoints of 78 degrees Fahrenheit for cooling, 70 degrees Fahrenheit for heating (6 am to 12 midnight), and 60 degrees Fahrenheit for Night Setback (12 midnight to 6 am, except for houses with heat pumps);
(iii) The infiltration rate measured in air changes per hour as calculated using appendix B of the COSTSAFR User's Manual;
(iv) Natural venting with a constant air change rate of 10 air changes per hour—
(A) When the outdoor temperature is lower than the indoor temperature, but not above 78 degrees Fahrenheit; and
(B) When the enthalpy of the outdoor air is lower than the indoor air.
(v) Internal gains in accordance with the following table for a house with 1540 square feet of floor area, adjusted by 0.35 Btu/ft
(vi) Thermal transmittances for building envelope materials measured in accordance with applicable ASTM procedures or from the ASHRAE Handbook;
(vii) Proposed heating and cooling equipment types included in COSTSAFR or having a certified seasonal efficiency rating;
(viii) Weather Year for Energy Calculations (WYEC) weather year data (WYEC data are on tapes available from ASHRAE, 1791 Tullie Circle, N.E., Atlanta, Georgia 30329), or if unavailable, Test Reference Year (TRY) weather data (obtainable from National Climatic Data Center, 1983
(2) Estimating the discounted energy cost for the heating and cooling energy loads, respectively, according to the following equation—
(3) Estimating the discounted energy cost for water heating and refrigerator/freezer energy consumption—
(i) For equipment types covered by the COSTSAFR compliance forms, by multiplying the estimated unit energy cost by 100; or
(ii)For equipment types not covered by COSTSAFR—
(iii) [Reserved]
(4) Adding together the discounted energy costs calculated under paragraphs (c)(2) and (c)(3) of this section;
(d) If the discounted energy cost of the proposed building design calculated under paragraph (c)(4) of this section is equal to or less than the discounted energy cost of the COSTSAFR prototype building design calculated under paragraph (b) of this section, then the proposed building design is in compliance with the applicable energy consumption goal under this part.
In selecting between or among proposed building designs which comply with the applicable energy consumption goal under this part, each Federal agency shall select the design which, in comparison to the applicable COSTSAFR prototype, has the highest Net Savings or lowest total life cycle costs calculated in compliance with subpart A of 10 CFR part 436.
42 U.S.C. § 6361; 42 U.S.C. 8251-8263; 42 U.S.C. 8287-8287c.
This part sets forth the rules for Federal energy management and planning programs to reduce Federal energy consumption and to promote life cycle cost effective investments in building energy systems, building water systems and energy and water conservation measures for Federal buildings.
The objectives of Federal energy management and planning programs are:
(a) To apply energy conservation measures to, and improve the design for construction of Federal buildings such that the energy consumption per gross square foot of Federal buildings in use during the fiscal year 1995 is at least 10 percent less than the energy consumption per gross square foot in 1985;
(b) To promote the methodology and procedures for conducting life cycle cost analyses of proposed investments in building energy systems, building water systems and energy and water conservation measures;
(c) To promote the use of energy savings performance contracts by Federal agencies for implementation of privately financed investment in building and facility energy conservation measures for existing Federally owned buildings; and
(d) To promote efficient use of energy in all agency operations through general operations plans.
This subpart establishes a methodology and procedures for estimating and comparing the life cycle costs of Federal buildings, for determining the life cycle cost effectiveness of energy conservation measures and water conservation measures, and for rank ordering life cycle cost effective measures in order to design a new Federal building or to retrofit an existing Federal building. It also establishes the method by which efficiency shall be considered when entering into or renewing leases of Federal building space.
As used in this subpart—
The life cycle cost methodology for this part is a systematic analysis of relevant costs, excluding sunk costs, over a study period, relating initial costs to future costs by the technique of discounting future costs to present values.
(a) If the investment and other costs for an energy or water conservation measure considered for retrofit to an existing Federal building or a building
(b) A Federal agency may presume that an investment in an energy or water conservation measure retrofit to an existing Federal building is not life cycle cost-effective for Federal investment if the Federal building is—
(1) Occupied under a short-term lease with a remaining term of one year or less, and without a renewal option or with a renewal option which is not likely to be exercised;
(2) Occupied under a lease which includes the cost of utilities in the rent and does not provide a pass-through of energy or water savings to the government; or
(3) Scheduled to be demolished or retired from service within one year or less.
(a) Each Federal Agency shall discount to present values the future cash flows established in either current or constant dollars consistent with the nominal or real discount rate, and related tables, published in the annual supplement to the Life Cycle Costing Manual for the Federal Energy Management Program (NIST 85-3273) and determined annually by DOE as follows—
(1) The nominal discount rate shall be a 12 month average of the composite yields of all outstanding U.S. Treasury bonds neither due nor callable in less than ten years, as most recently reported by the Federal Reserve Board; and
(2) Subject to a ceiling of 10 percent and a floor of three percent the real discount rate shall be a 12 month average of the composite yields of all outstanding U.S. Treasury bonds neither due nor callable in less than ten years, as most recently reported by the Federal Reserve Board, adjusted to exclude estimated increases in the general level of prices consistent with projections of inflation in the most recent Economic Report of the President's Council of Economic Advisors.
(b) Each Federal agency shall assume that energy prices will change at rates projected by DOE's Energy Information Administration and published by NIST annually no later than the beginning of the fiscal year in the Annual Supplement to the Life Cycle Costing Manual for the Federal Energy Management Program, in tables consistent with the discount rate determined by DOE under paragraph (a) of this section, except that—
(1) If the Federal agency is using component prices under § 436.14(c), that agency may use corresponding component escalation rates provided by the energy or water supplier.
(2) For Federal buildings in foreign countries, the Federal agency may use a “reasonable” escalation rate.
(c) Each Federal agency shall assume that the price of energy or water in the base year is the actual price charged for energy or water delivered to the Federal building and may use actual component prices as provided by the energy or water supplier.
(d) Each Federal agency shall assume that the appropriate study period is as follows:
(1) For evaluating and ranking alternative retrofits for an existing Federal building, the study period is the expected life of the retrofit, or 25 years from the beginning of beneficial use, whichever is shorter.
(2) For determining the life cycle costs or net savings of mutually exclusive alternatives for a given building energy system or building water system (e.g., alternative designs for a particular system or size of a new or retrofit building energy system or building water system), a uniform study period for all alternatives shall be assumed which is equal to—
(i) The estimated life of the mutually exclusive alternative having the longest life, not to exceed 25 years from the beginning of beneficial use with appropriate replacement and salvage values for each of the other alternatives; or
(ii) The lowest common multiple of the expected lives of the alternative, not to exceed 25 from the beginning of
(3) For evaluating alternative designs for a new Federal building, the study period extends from the base year through the expected life of the building or 25 years from the beginning of beneficial use, whichever is shorter.
(e) Each Federal agency shall assume that the expected life of any building energy system or building water system is the period of service without major renewal or overhaul, as estimated by a qualified engineer or architect, as appropriate, or any other reliable source except that the period of service of a building energy or water system shall not be deemed to exceed the expected life of the owned building, or the effective remaining term of the leased building (taking into account renewal options likely to be exercised).
(f) Each Federal agency may assume that investment costs are a lump sum occurring at the beginning of the base year, or may discount future investment costs to present value using the appropriate present worth factors under paragraph (a) of this section.
(g) Each Federal agency may assume that energy or water costs and non-fuel or non-water operation and maintenance costs begin to accrue at the beginning of the base year or when actually projected to occur.
(h) Each Federal agency may assume that costs occur in a lump sum at any time within the year in which they are incurred.
(i) This section shall not apply to calculations of estimated simple payback time under § 436.22 of this part.
In establishing cost data under §§ 436.16 and 436.17 and measuring cost effectiveness by the modes of analysis described by § 436.19 through § 436.22, a format for accomplishing the analysis which includes all required input data and assumptions shall be used. Subject to § 436.18(b), Federal agencies are encouraged to use worksheets or computer software referenced in the Life Cycle Cost Manual for the Federal Energy Management Program.
(a) The relevant non-fuel cost categories are—
(1) Investment costs;
(2) Non-fuel operation and maintenance cost;
(3) Replacement cost; and
(4) Salvage value.
(b) The relevant non-water cost categories are—
(1) Investment costs;
(2) Non-water operation and maintenance cost;
(3) Replacement cost; and
(4) Salvage value.
(c) The present value of recurring costs is the product of the base year value of recurring costs as multiplied by the appropriate uniform present worth factor under § 436.14, or as calculated by computer software indicated in § 436.18(b) and used with the official discount rate and escalation rate assumptions under § 436.14. When recurring costs begin to accrue at a later time, subtract the present value of recurring costs over the delay, calculated using the appropriate uniform present worth factor for the period of the delay, from the present value of recurring costs over the study period or, if using computer software, indicate a delayed beneficial occupancy date.
(d) The present value of non-recurring cost under § 436.16(a) is the product of the non-recurring costs as multiplied by appropriate single present worth factors under § 436.14 for the respective years in which the costs are expected to be incurred, or as calculated by computer software provided or approved by DOE and used with the official discount rate and escalation rate assumptions under § 436.14.
(a) Each Federal agency shall establish energy costs in the base year by multiplying the total units of energy used in the base year by the price per unit of energy in the base year as determined in accordance with § 436.14(c).
(b) When energy costs begin to accrue in the base year, the present value of energy costs over the study period is
(c) Each Federal agency shall establish water costs in the base year by multiplying the total units of water used in the base year by the price per unit of water in the base year as determined in accordance with § 436.14(c).
(d) When water costs begin to accrue in the base year, the present value of water costs over the study period is the product of water costs in the base year as established under § 436.17(a), or as calculated by computer software provided or approved by DOE and used with the official discount rate and assumptions under § 436.14. When water costs begin to accrue at a later time, subtract the present value of water costs over the delay, calculated using the uniform present worth factor for the period of delay, from the present value of water costs over the study period or, if using computer software, indicate a delayed beneficial occupancy date.
(a) In accordance with this section, each Federal agency shall measure cost-effectiveness by combining cost data established under §§ 436.16 and 436.17 in the appropriate mode of analysis as described in § 436.19 through § 436.22.
(b) Federal agencies performing LCC analysis on computers shall use either the Federal Buildings Life Cycle Costing (FBLCC) software provided by DOE or software consistent with this subpart.
(c) Replacement of a building energy or water system with an energy or water conservation measure by retrofit to an existing Federal building or by substitution in the design for a new Federal building shall be deemed cost-effective if—
(1) Life cycle costs, as described by § 436.19, are estimated to be lower; or
(2) Net savings, as described by § 436.20, are estimated to be positive; or
(3) The savings-to-investment ratio, as described by § 436.21, is estimated to be greater than one; or
(4) The adjusted internal rate of return, as described by § 436.22, is estimated to be greater than the discount rate as set by DOE.
(d) As a rough measure, each Federal agency may determine estimated simple payback time under § 436.23, which indicates whether a retrofit is likely to be cost effective under one of the four calculation methods referenced in § 436.18(c). An energy or water conservation measure alternative is likely to be cost-effective if estimated payback time is significantly less than the useful life of that system, and of the Federal building in which it is to be installed.
(e) Mutually exclusive alternatives for a given building energy or water system, considered in determining such matters as the optimal size of a solar energy system, the optimal thickness of insulation, or the best choice of double-glazing or triple-glazing for windows, shall be compared and evaluated on the basis of life cycle costs or net savings over equivalent study periods. The alternative which is estimated to result in the lowest life cycle costs or the highest net savings shall be deemed the most cost-effective because it tends to minimize the life cycle cost of Federal building.
(f) When available appropriations will not permit all cost-effective energy or water conservation measures to be undertaken, they shall be ranked in descending order of their savings-to-investment ratios, or their adjusted internal rate of return, to establish priority. If available appropriations cannot be fully exhausted for a fiscal year
(g) Alternative building designs for new Federal buildings shall be evaluated on the basis of life cycle costs. The alternative design which results in the lowest life cycle costs for a given new building shall be deemed the most cost-effective.
Life cycle costs are the sum of the present values of—
(a) Investment costs, less salvage values at the end of the study period;
(b) Non-fuel operation and maintenance costs:
(c) Replacement costs less salvage costs of replaced building systems; and
(d) Energy and/or water costs.
For a retrofit project, net savings may be found by subtracting life cycle costs based on the proposed project from life cycle costs based on not having it. For a new building design, net savings is the difference between the life cycle costs of an alternative design and the life cycle costs of the basic design.
The savings-to-investment ratio is the ratio of the present value savings to the present value costs of an energy or water conservation measure. The numerator of the ratio is the present value of net savings in energy or water and non-fuel or non-water operation and maintenance costs attributable to the proposed energy or water conservation measure. The denominator of the ratio is the present value of the net increase in investment and replacement costs less salvage value attributable to the proposed energy or water conservation measure.
The adjusted internal rate of return is the overall rate of return on an energy or water conservation measure. It is calculated by subtracting 1 from the nth root of the ratio of the terminal value of savings to the present value of costs, where n is the number of years in the study period. The numerator of the ratio is calculated by using the discount rate to compound forward to the end of the study period the yearly net savings in energy or water and non-fuel or non-water operation and maintenance costs attributable to the proposed energy or water conservation measure. The denominator of the ratio is the present value of the net increase in investment and replacement costs less salvage value attributable to the proposed energy or water conservation measure.
The estimated simple payback time is the number of years required for the cumulative value of energy or water cost savings less future non-fuel or non-water costs to equal the investment costs of the building energy or water system, without consideration of discount rates.
If particular items of cost data or timing of cash flows are uncertain and are not fixed under § 436.14, Federal agencies may examine the impact of uncertainty on the calculation of life cycle cost effectiveness or the assignment of rank order by conducting additional analyses using any standard engineering economics method such as sensitivity and probabilistic analysis. If additional analysis casts substantial doubt on the life cycle cost analysis results, a Federal agency should consider obtaining more reliable data or eliminating the building energy or water system alternative.
(a)
(b)
(1) Participating in programs to increase energy efficiency, conserve water, or manage electricity demand conducted by gas, water, or electric utilities and generally available to customers of such utilities;
(2) Accepting financial incentives, goods, or services generally available from any such utility to increase energy efficiency or to conserve water or manage electricity demand; or
(3) Entering into negotiations with electric, water, and gas utilities to design cost-effective demand management and conservation incentive programs to address the unique needs of each Federal agency.
(c)
(d)
As used in this subpart—
(1) The lease or purchase of operating equipment, improvements, altered operation and maintenance, or technical services; or
(2) The increased efficient use of existing energy sources by cogeneration or heat recovery, excluding any cogeneration process for other than a federally owned building or buildings or other federally owned facilities.
(a) DOE shall prepare a list, to be updated annually, or more often as necessary, of firms qualified to provide energy cost savings performance services and grouped by technology. The list shall be prepared from statements of qualifications by or about firms engaged in providing energy savings performance contract services on questionnaires obtained from DOE. Such statements shall, at a minimum, include prior experience and capabilities of firms to perform the proposed energy cost savings services by technology and financial and performance information. DOE shall issue a notice annually, for publication in the Commerce Business Daily, inviting submission of new statements of qualifications and requiring listed firms to update their statements of qualifications for changes in the information previously provided.
(b) On the basis of statements of qualifications received under paragraph (a) of this section and any other relevant information, DOE shall select a firm for inclusion on the qualified list if—
(1) It has provided energy savings performance contract services or services that save energy or reduce utility costs for not less than two clients, and the firm possesses the appropriate project experience to successfully implement the technologies which it proposes to provide;
(2) Previous project clients provide ratings which are “fair” or better;
(3) The firm or any principal of the firm has neither been insolvent nor declared bankruptcy within the last five years;
(4) The firm or any principal of the firm is not on the list of parties excluded from procurement programs under 48 CFR part 9, subpart 9.4; and
(5) There is no other adverse information which warrants the conclusion that the firm is not qualified to perform energy savings performance contracts.
(c) DOE may remove a firm from DOE's list of qualified contractors after notice and an opportunity for comment if—
(1) There is a failure to update its statement of qualifications;
(2) There is credible information warranting disqualification; or
(3) There is other good cause.
(d) A Federal agency shall use DOE's list unless it elects to develop its own list of qualified firms consistent with
(e) A firm not designated by DOE or a Federal agency pursuant to the procedures in paragraphs (a) and (b) of this section as qualified to provide energy cost savings performance services shall receive a written decision and may request a debriefing.
(f) Any firm receiving an adverse final decision under this section shall apply to the Board of Contract Appeals of the General Services Administration in order to exhaust administrative remedies.
(a)
(1) With respect to a particular proposed energy cost savings performance project, Federal agencies shall publish a Commerce Business Daily notice which synopsizes the proposed contract action.
(2) Each competitive solicitation—
(i) Shall request technical and price proposals and the text of any third-party financing agreement from interested firms;
(ii) Shall consider DOE model solicitations and should use them to the maximum extent practicable;
(iii) May provide for a two-step selection process which allows Federal agencies to make an initial selection based, in part, on proposals containing estimated energy cost savings and energy unit savings, with contract award conditioned on confirmation through a detailed energy survey that the guaranteed energy cost savings are within a certain percentage (specified in the solicitation) of the estimated amount; and
(iv) May state that if the Federal agency requires a detailed energy survey which identifies life cycle cost effective energy conservation measures not in the initial proposal, the contract may include such measures.
(3) Based on its evaluation of the technical and price proposals submitted, any applicable financing agreement (including lease-acquisitions, if any), statements of qualifications submitted under § 436.32 of this subpart, and any other information determines to be relevant, the Federal agency may select a firm on a qualified list to conduct the project.
(4) If a proposed energy cost savings project involves a large facility with too many contiguously related buildings and other structures at one site for proposing firms to assume the costs of a preliminary energy survey of all such structures, the Federal agency—
(i) May request technical and price proposals for a representative sample of buildings and other structures and may select a firm to conduct the proposed project; and
(ii) After selection of a firm, but prior to award of an energy savings performance contract, may request the selected firm to submit technical and price proposals for all or some of the remaining buildings and other structures at the site and may include in the award for all or some of the remaining buildings and other structures.
(5) After selection under paragraph (a)(3) or (a)(4) of this section, but prior to award, a Federal agency may require the selectee to conduct a detailed energy survey to confirm that guaranteed energy cost savings are within a certain percentage (specified in the solicitation) of estimated energy cost savings in the selectee's proposal. If the detailed energy survey does not confirm that guaranteed energy savings are within the fixed percentage of estimated savings, the Federal agency may select another firm from those within the competitive range.
(b)
(1) Consider unsolicited energy savings performance contract proposals from firms on a qualified contractor list under this subpart which include technical and price proposals and the text of any financing agreement (including a lease-acquisition) without regard to the requirements of 48 CFR 15.503 (a) and (c); 48 CFR 15.506-2(a)(1); and 48 CFR 15.507(a), (b)(2), (b)(3), (b)(4) and (b)(5).
(2) Reject an unsolicited proposal that is too narrow because it does not
(3) After requiring a detailed energy survey, if appropriate, and determining that technical and price proposals are adequate, award a contract to a firm on a qualified contractor list under this subpart on the basis of an unsolicited proposal, provided that the Federal agency complies with the following procedures—
(i) An award may not be made to the firm submitting the unsolicited proposal unless the Federal agency first publishes a notice in the Commerce Business Daily acknowledging receipt of the proposal and inviting other firms on the qualified list to submit competing proposals.
(ii) Except for unsolicited proposals submitted in response to a published general statement of agency needs, no award based on such an unsolicited proposal may be made in instances in which the Federal agency is planning the acquisition of an energy conservation measure through an energy savings performance contract.
(c)
(1) Energy savings performance contracts under this part are firm fixed-price contracts.
(2) Pursuant to the authority provided under section 304A(b)(1)(B) of the Federal Property and Administrative Services Act of 1049, the heads of procuring activities shall waive the requirement for submission of certified cost or pricing data. However, this does not exempt offerors from submitting information (including pricing information) required by the Federal agency to ensure the impartial and comprehensive evaluation of proposals.
(a) Subject to paragraph (b) of this section, Federal agencies may enter into a multiyear energy savings performance contract for a period not to exceed 25 years, as authorized by 42 U.S.C. 8287, without funding of cancellation charges, if:
(1) The multiyear energy savings performance contract was awarded in a competitive manner using the procedures and methods established by this subpart;
(2) Funds are available and adequate for payment of the scheduled energy cost for the first fiscal year of the multiyear energy savings performance contract;
(3) Thirty days before the award of any multiyear energy savings performance contract that contains a clause setting forth a cancellation ceiling in excess of $750,000, the head of the awarding Federal agency gives written notification of the proposed contract and the proposed cancellation ceiling for the contract to the appropriate authorizing and appropriating committees of the Congress; and
(4) Except as otherwise provided in this section, the multiyear energy savings performance contract is subject to 48 CFR part 17, subpart 17.1, including the requirement that the contracting officer establish a cancellation ceiling.
(b) Neither this subpart nor any provision of the Act requires, prior to contract award or as a condition of a contract award, that a Federal agency have appropriated funds available and adequate to pay for the total costs of an energy savings performance contract for the term of such contract.
(a)
(1) Authorizing modification, replacement, or changes of equipment, at no cost to the Federal agency, with the prior approval of the contracting officer who shall consider the expected level of performance after such modification, replacement or change;
(2) Providing for the disposition of title to systems and equipment;
(3) Requiring prior approval by the contracting officer of any financing agreements (including lease-acquisitions) and amendments to such an agreement entered into after contract award for the purpose of financing the acquisition of energy conservation measures;
(4) Providing for an annual energy audit and identifying who shall conduct such an audit, consistent with § 436.37 of this subpart; and
(5) Providing for a guarantee of energy cost savings to the Federal agency, and establishing payment schedules reflecting such guarantee.
(b)
(1) Permitting the financing source to perfect a security interest in the installed energy conservation measures, subject to and subordinate to the rights of the Federal agency; and
(2) Protecting the interests of a Federal agency and a financing source, by authorizing a contracting officer in appropriate circumstances to require a contractor who defaults on an energy savings performance contract or who does not cure the failure to make timely payments, to assign to the financing source, if willing and able, the contractor's rights and responsibilities under an energy savings performance contract;
(a) Any amount paid by a Federal agency pursuant to any energy savings performance contract entered into under this subpart may be paid only from funds appropriated or otherwise made available to the agency for the payment of energy expenses and related operation and maintenance expenses which would have been incurred without an energy savings performance contract. The amount the agency would have paid is equal to:
(1) The energy baseline under the energy savings performance contract (adjusted if appropriate under § 436.37), multiplied by the unit energy cost; and
(2) Any related operations and maintenance cost prior to implementation of energy conservation measures, adjusted for increases in labor and material price indices.
(b) Federal agencies may incur obligations pursuant to energy savings performance contracts to finance energy conservation measures provided guaranteed energy cost savings exceed the contractor's debt service requirements.
(a) After contractor implementation of energy conservation measures and annually thereafter during the contract term, an annual energy audit shall be conducted by the Federal agency or the contractor as determined by the contract. The annual energy audit shall verify the achievement of annual energy cost savings performance guarantees provided by the contractor.
(b) The energy baseline is subject to adjustment due to changes beyond the contractor's control, such as—
(1) Physical changes to building;
(2) Hours of use or occupancy;
(3) Area of conditioned space;
(4) Addition or removal of energy consuming equipment or systems;
(5) Energy consuming equipment operating conditions;
(6) Weather (i.e., cooling and heating degree days); and
(7) Utility rates.
(c) In the solicitation or in the contract, Federal agencies shall specify requirements for annual energy audits, the energy baseline, and baseline adjustment procedures.
(a) Except as otherwise provided by this subpart, termination of energy savings performance contracts shall be subject to the termination procedures of the Federal Acquisition Regulation in 48 CFR part 49.
(b) In the event an energy savings performance contract is terminated for the convenience of a Federal agency, the termination liability of the Federal agency shall not exceed the cancellation ceiling set forth in the contract, for the year in which the contract is terminated.
Energy Policy and Conservation Act, as amended, 42 U.S.C. 6361; Executive Order 11912, as amended, 42 FR 37523 (July 20, 1977); National Energy Conservation Policy Act, title V, part 3, 42 U.S.C. 8251
(a)
(b)
As used in this subpart—
(a) Each Federal agency shall prepare and submit to the Under Secretary, DOE, within six months from the effective date of these guidelines, a general operations 10-year plan which shall consist of two parts, an executive summary and a text. Subsequent agency revisions to plans shall be included in each agency's annual report on progress which shall be forwarded to DOE by July 1 annually.
(b) The following information shall be included in each Federal agency general operations 10-year plan for the period of fiscal years 1980-1990:
(1) An Executive Summary which includes—
(i) A brief description of agency missions, and applicable functional categories pursuant to § 436.106(a)(2);
(ii) A Goals and Objectives Section which summarizes what energy savings or avoidance will be achieved during the plan period, and what actions will be taken to achieve those savings, and the costs and benefits of measures planned for reducing energy consumption, increasing energy efficiencies, and shifting to a more favorable fuel mix. Assumptions of environmental, safety and health effects of the goals should be included;
(iii) A chart depicting the agency organizational structure for energy management, showing energy management program organization for headquarters and for major subordinate elements of the agency;
(iv) A schedule for completion of requirements directed in this subpart, including phase-out of any procedures made obsolete by these guidelines; and
(v) Identification of any significant problem which may impede the agency from meeting its energy management goals.
(2) A Text which includes—
(i) A Goals and Objectives Section developed pursuant to § 436.103 describing agency conservation goals; these goals will be related to primary mission goals;
(ii) An Investment Section describing the agency planned investment program by fiscal year, pursuant to appendix B of this subpart, all measures selected pursuant to § 436.104, and the estimated costs and benefits of the measures planned for reducing energy consumption and increasing energy efficiencies;
(iii) An Organization Section which includes: (A) Designation of the principal energy conservation officer, such as an Assistant Secretary or Assistant Administrator, who is responsible for supervising the preparation, updating and execution of the Plan, for planning and implementation of agency energy conservation programs, and for coordination with DOE with respect to energy matters; (B) designation of a middle-level staff member as a point of contact to interface with the DOE Federal Programs Office at the staff level; and (C) designation of key staff members within the agency who are responsible for technical inputs to the plan or monitoring progress toward meeting the goals of the plan;
(iv) An Issues Section addressing problems, alternative courses of action for resolution, and agency recommendations that justify any decisions not to plan for or implement measures contained in appendix C of this subpart, and identifying any special projects, programs, or administrative procedures which may be beneficial to other Federal agency energy management programs:
(v) An implementing Instructions Section which includes a summary of implementing instructions issued by agency headquarters, and attachments of appropriate documents such as:
(A) Specific tasking resulting from development of the Plan;
(B) Guidance for the development of emergency conservation plans;
(C) Task milestones;
(D) Listing of responsible sub-agencies and individuals at both agency headquarters and subordinate units;
(E) Reporting and administrative procedures for headquarters and subordinate organizations;
(F) Report schedules pursuant to § 436.106(c);
(G) Schedules for feedback in order to facilitate plan updating, to include reviews of emergency conservation plans developed pursuant to § 436.105;
(H) Schedules for preparing and submitting the annual report on energy management pursuant to § 436.106(a);
(I) Schedules of plan preparation and publication;
(J) Communication, implementation, and control measures such as inspections, audits, and others; and
(vi) An Emergency Conservation Plan Summary Section pursuant to the requirements of § 436.105(d).
(3) Appendices which are needed to discuss and evaluate any innovative energy conserving technologies or methods, not included in this part, which the agency has identified for inclusion in its plan.
(c) Each plan must be approved and signed by the principal energy conservation officer designated pursuant to paragraph (b)(2) of this section.
(a) In developing and revising plans for a projected 10-year plan each agency shall establish and maintain energy conservation goals in accordance with the requirements of this section.
(b) Agencies shall establish three types of conservation goals:
(1) Energy consumption goals, by fuel type by functional category (see appendix B).
(2) Energy efficiency goals by fuel type by functional category (see appendix B).
(3) Fuel switching goals for shifting energy use from oil and natural gas to other fuels in more plentiful supply from domestic sources (see appendix B).
(c) General operations energy conservation goals shall be established by each Federal agency with the broad purpose of achieving reductions in total energy consumption and increased efficiency without serious mission degradation or unmitigated negative environmental impacts. Within the broad framework, each agency should seek first to reduce energy consumption per unit of output in each applicable functional category. In evaluating energy efficiency, each agency should select and use standards of measurement which are consistent throughout the planning period. Particular attention should be given to increased energy use efficiency in nonrenewable fuel consumption. The second focus of attention should be on initiatives which shift energy use from oil and natural gas to other fuels in more plentiful supply from domestic sources.
(a) Each agency shall consider for inclusion in its plan the measures identified in appendix C of this subpart.
(b) The following questions should be considered in the evaluation of each measure:
(1) Does this measure provide an incentive or disincentive?
(2) What is the estimate of savings by fuel type?
(3) What are the direct and indirect impacts of this measure?
(4) Is this measure to be mandatory throughout the agency?
(5) If not mandatory, under what circumstances will it be implemented, and who will be responsible for determining specific applicability?
(6) Who will be the direct participants in the implementation of this measure?
(7) What incentives (if any) are to be provided for the participants?
(8) When will this measure be implemented?
(9) Will this measure be implemented in a single step or will it be phased in? If it will be phased in, over what period of time?
(10) Will performance of the measure be evaluated and reported?
(11) By what criterion will performance be determined?
(12) Who will prepare performance reports?
(13) What is the reporting chain?
(14) What is the reporting period?
(c) Each agency will take all necessary steps to implement the energy conservation standards for general operations listed in appendix A (reserved).
(a) Each agency shall establish an emergency conservation plan, a summary of which shall be included in the general operations plan, for assuaging the impact of a sudden disruption in the supply of oil-based fuels, natural gas or electricity. Priorities for temporarily reducing missions, production, services, and other programmatic or functional activities shall be developed in accordance with paragraph (b) of this section. Planning for emergencies is to address both buildings and general operations. Provisions shall be made for testing emergency actions to ascertain that they are effective.
(b) Federal agencies shall prepare emergency conservation plans for 10 percent, fifteen percent, and 20 percent reduction compared to the previous fiscal year in gasoline, other oil-based fuels, natural gas, or electricity for periods of up to 12 months. In developing these plans, agencies shall consider the potential for emergency reductions in energy use in buildings and facilities which the agency owns, leases, or has under contract and by employees through increased use of car and van pooling, preferential parking for multipassenger vehicles, and greater use of mass transit. Agencies may formulate whatever additional scenarios they consider necessary to plan for various energy emergencies.
(c) In general, Federal agencies’ priorities shall go to those activities which directly support the agencies’ primary missions. Secondary mission activities which must be curtailed or deferred will be reported to DOE as mission impacts. The description of mission impacts shall include estimates of the associated resources and time required to mitigate the effects of the reduction in energy. Other factors or assumptions to be used in energy conservation emergency planning are as follows:
(1) Agencies will be given 15-30 days notice to implement any given plan.
(2) Substitution of fuels in plentiful supply for fuels in short supply is authorized, if the substitution can be completed within a 3-month period and the cost is within the approval authority of the executive branch.
(3) All costs and increases in manpower or other resources associated with activities or projects to assuage mission impacts will be clearly defined in respective agency plans. One-time costs will be identified separately.
(4) Confronting the emergency situation will be considered a priority effort and all projects and increases in operating budgets within the approval authority of the executive branch will be expeditiously considered and approved if justified.
(d) Summary plans for agency-wide emergency conservation management shall be provided to DOE pursuant to § 436.102(b)(2)(vi). Such summaries shall include:
(1) Agency-wide impacts of energy reductions as determined in accordance with paragraph (b) of this section.
(2) Actions to be taken agency-wide to alleviate the energy shortfalls as they occur.
(3) An assessment of agency services or production that may need to be curtailed or limited after corrective actions have been taken.
(4) A summation of control and feedback mechanisms for managing an energy emergency situation.
(a) By July 1 of each year each Federal agency shall submit an “Annual Report on Energy Management” based on fiscal year data to the Secretary of DOE. The general operations portion of this report will encompass all agency energy use not reported in the buildings portion and shall include:
(1) A summary evaluation of progress toward the achievement of energy consumption, energy efficiency, and fuel switching goals established by the agency in its plans;
(2) Energy consumption reported by functional categories. Reports must include General Transportation and one
(i) Total energy consumption goal;
(ii) Total energy consumed;
(iii) Total energy use avoidance;
(iv) Variance between actual consumption and consumption goal;
(v) Cost saved;
(vi) Status of planned investments, and if different from the investment program upon which existing goals are based, the expected impact on meeting goals; and
(vii) Summary of any other benefits realized.
(3) The energy efficiencies as calculated in accordance with appendix B of this subpart, or by an equivalent method, for the appropriate functional categories identified in paragraph (a)(2) of this section. The following information is to be reported for the energy efficiency for each fuel type by functional category:
(i) Energy efficiency goal;
(ii) Efficiency for the reporting period;
(iii) Summary of any other benefits realized.
(4) A summary of fuel switching progress including:
(i) Description and cost of investments in fuel switching;
(ii) Avoidance in use of oil-based fuels and natural gas;
(iii) Increased use of solar, wood, gasohol and other renewable energy sources;
(iv) Increased use of coal and coal derivatives, and
(v) Use of all other alternative fuels.
(b) Each agency's annual report shall be developed in accordance with a format to be provided by DOE and will include agency revisions to 10-year plans.
(c) Agencies whose annual total energy consumption exceeds one hundred billion Btu's, shall, in addition to the annual report required under paragraph (a) of this section, submit quarterly reports of the energy usage information specified in paragraph (a)(2) of this section.
(d) Agencies who consume energy in operations in foreign countries will include data on foreign operations if foreign consumption is greater than 10% of that consumed by the agency in the United States, its territories and possessions. If an agency's estimated foreign consumption is less than 10% of its total domestic energy use, reporting of foreign consumption is optional. Reports should be annotated if foreign consumption is not included.
(a) Each plan or revision of a plan shall be submitted to DOE and DOE will evaluate the sufficiency of the plan in accordance with the requirements of this subpart. Written notification of the adequacy of the plan including a critique, will be made by DOE and sent to the agency submitting the plan or revision within 60 days of submission. Agencies shall be afforded an opportunity to modify and return the plan within an appropriate period of time for review by DOE.
(b) A general operations plan under the guidelines will be evaluated with respect to:
(1) Adequacy of information or plan content required to be included by § 436.102;
(2) Adequacy of goal setting methodology or baseline justification as stated in § 436.103;
(3) Adequacy of a well-justified investment program which considers all measures included in appendix C of this subpart; and
(4) Other factors as appropriate.
(c) After reviewing agency plans or revisions of plans, the Under Secretary of DOE, may submit to the “656” Committee for its recommendation, major problem areas or common deficiencies.
(d) Status of the plan review, the Under Secretary's decisions, and “656” Committee recommendations, will be published as appropriate in the DOE annual report to the President, titled “Energy Management in the Federal Government.”
(a) Any Federal agency may submit a written request to the Under Secretary for a waiver from the procedures and requirements of this subpart. The request for a waiver must identify the specific requirements and procedures of this subpart from which a waiver is sought and provide a detailed explanation, including appropriate information or documentation, as to why a waiver should be granted.
(b) A request for a waiver under this section must be submitted at least 60 days prior to the due date for the required submission.
(c) A written response to a request for a waiver will be issued by the Under Secretary no later than 30 days from receipt of the request. Such a response will either (1) grant the request with any conditions determined to be necessary to further the purposes of this subpart, (2) deny the request based on a determination that the reasons given in the request for a waiver do not establish a need that takes precedence over the futherance of the purposes of this subpart, or (3) deny the request based on the failure to submit adequate information upon which to grant a waiver.
(d) A requested waiver may be submitted by the Under Secretary to the “656” Committee for its review and recommendation. The agency official that submitted the request may attend any scheduled meeting of the “656” Committee at which the request is planned to be discussed. The determination to approve or disapprove a request for a waiver shall be made by the Under Secretary.
(e) Status of the requests for a waiver, the Under Secretary's decisions, and “656” Committee recommendations, will be published, as appropriate, in the DOE annual report to the President, entitled “Energy Management in the Federal Government.”
In establishing and updating agency goals for energy conservation, the following methodology or an equivalent method should be utilized:
(a) For overall energy consumption—
(1) An analysis shall be made to determine what factors have the most significant impact upon the amount of each fuel type used by the agency in performing functions in support of its overall mission. Consideration is to be given, but not limited to, the following factors: Number of people using energy; number of vehicles using gasoline; amounts of other equipment using energy; tempo of operations (one, two, or three shifts); the type of operations (degree of equipment or labor intensity); equipment fuel limitations; environmental conditions (tropical versus arctic, etc.); budget levels for fuel, operations, maintenance, and equipment acquisition; and phase-out schedule (of older equipment or plants which may be inefficient). After identifying these factors, a further analysis shall be made to identify any projected workload changes in the quality or quantity of these factors on a yearly basis up to 1990.
(2) Based upon the analysis in (a)(1) and an evaluation of available information on past energy usage, a baseline of energy use by fuel type by functional category shall be established beginning with FY 1975. In addition to “General Transportation,” other functional categories should be selected to enhance energy management. Total fuel use for a particular activity may be allocated to the functional category for which the preponderance of fuel is used. Figure B-1 is an example of one such baseline.
This example shows an increase in energy use, for a specific fuel type, during the period 1975-1981, with a further increase from 1981 to 1984 and a leveling off and no growth from 1984-1990. A justification, based on factors as discussed above, shall accompany each baseline.
(3) Thereafter, analyses should be made of the measures available for reducing the energy consumption profiles without adverse impact on mission accomplishment. Finding viable opportunities for reducing energy use, increasing energy efficiency and switching energy sources, will require consultation with specialists in the fields of operations, maintenance, engineering, design, and economics, and consideration of the measures identified in Appendix C. The DOE Federal Energy Management Programs Office can, upon request, provide information on where such resources can be located. Once these measures are identified, they are to be incorporated into a time-phased investment program, (using where appropriate, the life cycle costing factors and methodology in subpart A of this part). If investment and other costs for implementing a measure are insignificant, a Federal agency may presume that a measure is cost-effective without further analysis. An estimate must then be made as to the lead time required to implement the program and realize energy reductions.
Figure B-2 shows a summarized investment program, which should be accompanied by a detailed description of the measures, projects, and programs making up the total planned investments for each year. This summary need not be by function or fuel type.
These analyses should enable the agency to project an energy consumption goal, with the assumption that funds for executing the planned projects will be approved. Figure B-3 shows a new energy use profile, with planned initiatives and related investments taken into consideration, and the resulting goal entitled “Energy Use With A Plan” superimposed on Figure B-1. Included are the anticipated effects on consumption cause by improvements in energy efficiency and fuel switching.
A comparison of these projections will show the energy use avoidance resulting from the investment program as depicted in Figure B-2. Using the prices of fuel contained in Appendix C to Subpart A, the dollars saved can be projected against the dollars invested. Life cycle costing methodology pursuant to subpart A, will be used to determine priorities for submitting individual initiatives into the appropriate budget year.
(b) For energy efficiencies—Energy efficiency baselines and goals for each fuel type shall be calculated using the same consumption factors and similar methodology to that outlined in paragraph (a). Energy consumption by fuel type shall be linked to mission through the functional categories listed in § 436.106(a)(2). This will identify a rate which will indicate energy efficiency trends. This linkage may be accomplished through the following algorithm:
This ratio of fuel consumed to a unit measure of output will be used to develop a projection of a baseline and goals through 1990, and used in reporting variance. Examples of ratios that should be considered are:
Agencies shall select one or more of these ratios, which shall be used throughout the planning period, or use more appropriate energy efficiency ratios, to describe their overall functions. Figure B-4 illustrates the planning baseline and goal resulting from this type of analysis.
(c) For fuel switching—Fuel switching goals for gasoline other oil-based fuel and natural gas may be calculated as follows:
Completion of these steps will permit the formulation of charts such as that shown in Figure B-5.
(a) The following individual measures or set of measures must be considered for inclusion in each agency 10-year energy management plan:
(1) Federal Employee Ridesharing Programs—Includes the use of vanpooling and carpooling and complies with existing orders and regulations governing parking for vanpools and carpools.
(2) Fleet Profile Change—Includes energy considerations in equipment selection and assignment.
(3) Fleet Mileage Efficiency—Includes agency plans to implement existing orders, goals, and laws related to vehicle fuel economy.
(4) Driver Training—Includes development of appropriate programs for training operators of U.S. Government vehicles in energy conservation.
(5) Maintenance Procedures Improvement—Includes activities to insure proper vehicle maintenance to optimize energy conservation.
(6) Operating Procedures Improvement—Includes use of cooperative passenger shuttle and courier services on an interagency or other basis within each metropolitan area.
(7) Mass Transit—Includes employee use of existing services for business-related activities and commuting.
(8) Public Education to Promote Vanpooling and Carpooling—Includes activities to support the EPCA requirement to establish “responsible public education programs to promote vanpooling and carpooling arrangements” through their employee awareness programs.
(9) Elimination of Free or Subsidized Employee Parking—Includes elimination of free or subsidized employee parking on Federal installations in accordance with OMB Cir. A-118, August 13, 1979.
(10) Two-Wheeled Vehicle Programs—Includes activities to encourage the substitution of bicycles, mopeds, etc. for automobiles for commuting and operational purposes. These may include the establishment of weather-protected secure storage facilities, shower and locker facilities, and restricted routes for these vehicles on Federal property. Cooperative programs with local civil authorities may also be included.
(11) Consolidation of Facilities and Process Activities—Includes such measures as physical consolidation of operations to minimize intra-operational travel and may include facility closure or conversion. Alternative work patterns, availability of transportation, energy source availability, and technical and financial feasibility are among the considerations that should be evaluated.
(12) Agency Procurement Programs—Includes activities to ensure that energy conservation opportunities are fully exploited with respect to the agency's procurement programs including procurements relating to operations and maintenance activities; e.g., (a) giving preference to fuel-efficient products whenever practicable, and (b) ensuring that agency's contractors having a preponderance of cost-type contracts pursue a comprehensive energy conservation program.
(13) Energy Conservation Awareness Programs—Includes programs aimed toward gaining and perpetuating employee awareness and participation in energy conservation measures on the job and in their personal activities.
(14) Communication—Includes substitution of communications for physical travel.
(15) Dress Code—Includes measures to allow employees greater freedom in their choice of wearing apparel to promote greater participation in conservation.
(16) Land Use—Includes energy considerations to be employed in new site selection, such as colocation.
(17) Automatic Data Processing (ADP)—Includes all energy aspects of ADP operation and equipment selection.
(18) Aircraft Operations—Includes energy-conserving measures developed for both military and Federal administrative and research and development aircraft operations.
(19) GOCO Facilities and Industrial Plants Operated by Federal Employees—Includes development of energy conservation plans at these facilities and plants which contain measures such as energy efficient periodic maintenance.
(20) Energy Conserving Capital Plant and Equipment Modification—Includes development of energy conservation and life cycle cost parameter measures for replacement of capital plant and equipment.
(21) Process Improvements—Includes measures to improve energy conservation in industrial process operations. These may include consideration of equipment replacement or modification, as well as scheduling and other operational changes.
(22) Improved Steam Maintenance and Management—Includes measures to improve energy efficiency of steam systems. These may include improved maintenance, installation of energy-conserving devices, and the operational use of substitutes for live steam where feasible.
(23) Improvements in Waste Heat Recovery—Includes measures utilizing waste heat for other purposes.
(24) Improvement in Boiler Operations—Includes energy-conserving retrofit measures for boiler operations.
(25) Improved Insulation—Includes measures addressing the addition or replacement of insulation on pipes, storage tanks, and in other appropriate areas.
(26) Scheduling by Major Electric Power Users—Includes measures to shift major electrical power demands to non-peak hours, to the maximum extent possible.
(27) Alternative Fuels—Includes measures to alter equipment such as generators to use lower quality fuels and to fill new requirements with those that use alternative fuels. The use of gasohol in stationary gasoline-powered equipment should be considered, in particular.
(28) Cogeneration—Includes measures to make full use of cogeneration in preference to single-power generation.
(29) Mobility Training and Operational Readiness—Includes measures which can reduce energy demands through the use of simulators, communications, computers for planning, etc.
(30) Energy Conservation Inspection or Instruction Teams—Includes measures which formulate and perpetuate the review of energy conservation through inspections to determine where specific improvements can be made and then followed by an instruction and training program.
(31) Intra-agency and Interagency Information Exchange Program—Includes measures providing a free exchange of energy conservation ideas and experiences between elements of an agency and between other agencies in the same geographic area.
(32) Recycled Waste—Includes measures to recycle waste materials such as paper products, glass, aluminum, concrete and brick, garbage, asphalt road materials or any material which requires a petroleum base.
(33) Fuel Conversion—Includes measures to accomplish conversion from petroleum based fuels and natural gas to coal and other alternative fuels for appropriate equipment.
(34) Operational Lighting—Includes measures to reduce energy consumption for lighting in operational areas and GOCO plants by: switching off by means of automatic controls; maximizing the use of daylight by floor planning; keeping window and light fixtures clean and replacing fixtures when they begin to deteriorate, rather than when they fail altogether; providing automatic dimmer controls to reduce lighting when daylight increases; and cleaning the work area during daylight, if possible, rather than at night.
(35) Lighting Fixtures—Includes measures to increase energy efficiency of lighting. The following reveals the relative efficiencies of common lamp types.
(36) Industrial Buildings Heating—Includes measures to improve the energy conservation of industrial buildings such as: fixing holes in roofs, walls and windows; fitting flexible doors, fitting controls to heating systems; use of “economizer units” which circulate hot air back down from roof level to ground level; use of controlled ventilation; insulation of walls and roof; use of “optimisers” or optimum start controls in heating systems, so that the heating switch-on is dictated by actual temperature conditions rather than simply by time.
(37) Hull Cleaning and Antifouling Coating—Includes measures to reduce energy consumption through periodic cleaning of hulls and propellers or through the use of antifouling coatings.
(38) [Reserved]
(39) Building Temperature Restrictions on Thermostat Setting for Heating, Cooling and Hot Water—Includes enforcement of suggested restriction levels: 65 degrees for heating, 78 degrees for cooling, and 105 degrees or ban for hot water.
(40) Such other measures as DOE may from time-to-time add to this appendix, or as the Federal agency concerned may find to be energy-saving or efficient.
(a) In all successful energy conservation programs, certain key elements need to be present. The elements listed below must be incorporated into each agency conservation program and must be reflected in the 10-year plan prescribed in § 436.102. Those organizations that have already developed programs should review them to determine whether the present management systems incorporate these elements.
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
(10)
42 U.S.C. 6861-6871; 42 U.S.C. 7191.
This part contains the regulations adopted by the Department of Energy to carry out a program of weatherization assistance for low-income persons established by the Energy Conservation in Existing Buildings Act of 1976, 42 U.S.C. 6861
Grant awards under this part shall comply with applicable law including, without limitation, the requirements of:
(a) Executive Order 12372 entitled “Intergovernmental Review of Federal Programs”, 48 FR 3130, and the DOE Regulation implementing this Executive Order entitled “Intergovernmental Review of Department of Energy Programs and Activities” (10 CFR part 1005);
(b) Office of Management and Budget Circular A-97, entitled “Rules and Regulations Permitting Federal Agencies to Provide Specialized or Technical Services to State and Local Units of Government under Title III of the Inter-Governmental Coordination Act of 1968;”
(c) Unless in conflict with provisions of this part, the DOE Financial Assistance Rule (10 CFR part 600); and
(d) Such other procedures applicable to this part as DOE may from time to time prescribe for the administration of financial assistance.
As used in this part:
(1) Is at or below 125 percent of the poverty level determined in accordance with criteria established by the Director of the Office of Management and Budget, except that the Secretary may establish a higher level if the Secretary, after consulting with the Secretary of Agriculture and the Secretary of Health and Human Services, determines that such a higher level is necessary to carry out the purposes of this part and is consistent with the eligibility criteria established for the weatherization program under section 222(a)(12) of the Economic Opportunity Act of 1964;
(2) Is the basis on which cash assistance payments have been paid during the preceding twelve month-period under titles IV and XVI of the Social Security Act or applicable State or local law; or
(3) If a State elects, is the basis for eligibility for assistance under the Low Income Home Energy Assistance Act of 1981, provided that such basis is at least 125 percent of the poverty level determined in accordance with criteria established by the Director of the Office of Management and Budget.
(1) Caulking and weatherstripping of doors and windows;
(2) Furnace efficiency modifications including, but not limited to—
(i) Replacement burners, furnaces, or boilers or any combination thereof;
(ii) Devices for minimizing energy loss through heating system, chimney, or venting devices; and
(iii) Electrical or mechanical furnace ignition systems which replace standing gas pilot lights;
(3) Cooling efficiency modifications including, but not limited to—
(i) Replacement air conditioners;
(ii) Ventilation equipment;
(iii) Screening and window films; and
(iv) Shading devices.
(a) DOE shall allocate financial assistance for each State from sums appropriated for any fiscal year, upon annual application.
(b) Based on total program allocations at or above the amount of total
(1) Allocate to each State a “Base Allocation” as listed in Table 1.
(2) Subtract 171,258,000 from total program allocations.
(3) Calculate each State's formula share as follows:
(i) Divide the number of “Low Income” households in each State by the number of “Low Income” households in the United States and multiply by 100.
(ii) Divide the number of “Heating Degree Days” for each State by the median “Heating Degree Days” for all States.
(iii) Divide the number of “Cooling Degree Days” for each State by the median “Cooling Degree Days” for all States, then multiply by 0.1.
(iv) Calculate the sum of the two numbers from paragraph (b)(3)(ii) and (iii) of this section.
(v) Divide the residential energy expenditures for each State by the number of households in the State.
(vi) Divide the sum of the residential energy expenditures for the States in each Census division by the sum of the households for the States in that division.
(vii) Divide the quotient from paragraph (b)(3)(v) of this section by the quotient from paragraph (b)(3)(vi) of this section.
(viii) Multiply the quotient from paragraph (b)(3)(vii) of this section for each State by the residential energy expenditures per low-income household for its respective Census division.
(ix) Divide the product from paragraph (b)(3)(viii) of this section for each State by the median of the products of all States.
(x) Multiply the results for paragraph (b)(3)(i), (iv) and (ix) of this section for each State.
(xi) Divide the product in paragraph (b)(3)(x) of this section for each State by the sum of the products in paragraph (b)(3)(x) of this section for all States.
(4) Calculate each State's program allocation as follows:
(i) Multiply the remaining funds calculated in paragraph (b)(2) of this section by the formula share calculated in paragraph (b)(3)(xi) of this section,
(ii) Add the base allocation from paragraph (b)(1) of this section to the product of paragraph (b)(4)(i) of this section.
(c) Should total program allocations for any fiscal year fall below the total program allocations under Pub. L. 103-
(d) All data sources used in the development of the formula are publicly available. The relevant data is available from the Bureau of the Census, the Department of Energy's Energy Information Administration and the National Oceanic and Atmospheric Administration.
(e) Should updates to the data used in the formula become available in any fiscal year, these changes would be implemented in the formula in the following program year.
(f) DOE may reduce the program allocation for a State by the amount DOE determines cannot be reasonably expended by a grantee to weatherize dwelling units during the budget period for which financial assistance is to be awarded. In reaching this determination, DOE will consider the amount of unexpended financial assistance currently available to a grantee under this part and the number of dwelling units which remains to be weatherized with the unexpended financial assistance.
(g) DOE may increase the program allocation of a State by the amount DOE determines the grantee can expend to weatherize additional dwelling units during the budget period for which financial assistance is to be awarded.
(h) The Support Office Director shall notify each State of the program allocation for which that State is eligible to apply.
(a) Notwithstanding any other provision of this part, the Support Office Director may determine, after taking into account the amount of funds made available to a State to carry out the purposes of this part, that:
(1) The low-income members of an Indian tribe are not receiving benefits under this part equivalent to the assistance provided to other low-income persons in the State under this part and
(2) The low-income members of such tribe would be better served by means of a grant made directly to provide such assistance.
(b) In any State for which the Support Office Director shall have made the determination referred to in paragraph (a) of this section, the Support Office Director shall reserve from the sums that would otherwise be allocated to the State under this part not less than 100 percent, or more than 150 percent, of an amount which bears the same ratio to the State's allocation for the fiscal year involved as the population of all low-income Native Americans for whom a determination under paragraph (a) of this section has been made bears to the population of all low-income persons in the State.
(c) The Support Office Director shall make the determination prescribed in paragraph (a) of this section in the event a State:
(1) Does not apply within the sixty-day time period prescribed in §440.12(a);
(2) Recommends that direct grants be made for low-income members of an Indian tribe as provided in § 440.12(b)(5);
(3) Files an application which DOE determines, in accordance with the procedures in § 440.30, not to make adequate provision for the low-income members of an Indian tribe residing in the State; or
(4) Has received grant funds and DOE determines, in accordance with the procedures in § 440.30, that the State has failed to implement the procedures required by § 440.16(6).
(d) Any sums reserved by the Support Office Director pursuant to paragraph (b) of this section shall be granted to the tribal organization serving the individuals for whom the determination has been made, or where there is no tribal organization, to such other entity as the Support Office Director determines is able to provide adequate weatherization assistance pursuant to this part. Where the Support Office Director intends to make a grant to an organization to perform services benefiting more than one Indian tribe, the approval of each Indian tribe shall be a prerequisite for the issuance of a notice of grant award.
(e) Within 30 days after the Support Office Director has reserved funds pursuant to paragraph (b) of this section, the Support Office Director shall give written notice to the tribal organization or other qualified entity of the amount of funds reserved and its eligibility to apply therefor.
(f) Such tribal organization or other qualified entity shall thereafter be treated as a unit of general purpose local government eligible to apply for funds hereunder, pursuant to the provisions of § 440.13.
(a) To be eligible for financial assistance under this part, a State shall submit an application to DOE in conformity with the requirements of this part not later than 60 days after the date of notice to apply is received from the Support Office Director. After receipt of an application for financial assistance or for approval of an amendment to a State plan, the Support Office Director may request the State to submit within a reasonable period of time any revisions necessary to make the application complete or to bring the application into compliance with the requirements of this part. The Support 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 the application, the Support Office Director may reject the application as incomplete in a written decision, including a statement of reasons, which shall be subject to administrative review under § 440.30 of this part.
(b) Each application shall include:
(1) The name and address of the State agency or office responsible for administering the program;
(2) A copy of the final State plan prepared after notice and a public hearing in accordance with § 440.14(a), except that an application by a local applicant need not include a copy of the final State plan;
(3) The budget for total funds applied for under the Act, which shall include a justification and explanation of any amounts requested for expenditure pursuant to § 440.18(d) for State administration;
(4) The total number of dwelling units proposed to be weatherized with grant funds during the budget period for which assistance is to be awarded—
(i) With financial assistance previously obligated under this part, and
(ii) With the program allocation to the State;
(5) A recommendation that a tribal organization be treated as a local applicant eligible to submit an application pursuant to § 440.13(b), if such a recommendation is to be made;
(6) A monitoring plan which shall indicate the method used by the State to insure the quality of work and adequate financial management control at the subgrantee level;
(7) A training and technical assistance plan which shall indicate how funds for training and technical assistance will be used; and
(8) Any further information which the Secretary finds necessary to determine whether an application meets the requirements of this part.
(c) On or before 60 days from the date that a timely filed application is complete, the Support Office Director shall decide whether DOE shall approve the application. The Support Office Director may—
(1) Approve the application in whole or in part to the extent that the application conforms to the requirements of this part;
(2) Approve the application in whole or in part subject to special conditions designed to ensure compliance with the requirements of this part; or
(3) Disapprove the application if it does not conform to the requirements of this part.
(a) The Support Office Director shall give written notice to all local applicants throughout a State of their eligibility to apply for financial assistance under this part in the event:
(1) A State, within which a local applicant is situated, fails to submit an application within 60 days after notice in accordance with § 440.12(a) or
(2) The Support Office Director finally disapproves the application of a State, and, under § 440.30, either no appeal is filed or the Support Office Director's decision is affirmed.
(b) To be eligible for financial assistance, a local applicant shall submit an application pursuant to § 440.12(b) to the Support Office Director within 30 days after receiving the notice referred to in paragraph (a) of this section.
(c) In the event one or more local applicants submits an application for financial assistance to carry out projects in the same geographical area, the Support Office Director shall hold a public hearing with the same procedures that apply under section § 440.14(a).
(d) Based on the information provided by a local applicant and developed in any hearing held under paragraph (c) of this section, the Support Office Director shall determine in writing whether to award a grant to carry out one or more weatherization projects.
(e) If there is an adverse decision in whole or in part under paragraph (d) of this section, that decision is subject to administrative review under § 440.30 of this part.
(f) If, after a State application has been finally disapproved by DOE and the Support Office Director approves local applications under this section, the Support Office Director may reject a new State application in whole or in part as disruptive and untimely without prejudice to submission of an application for the next program year.
(a) Before submitting an application, a State shall give not less than 10 days notice of hearing, reasonably calculated to inform prospective subgrantees, and shall conduct one or more public hearing for the purpose of receiving comments on a proposed State plan. The proposed State plan shall identify and describe proposed weatherization projects, including a statement of proposed subgrantees and the amount each will receive; shall address the other items contained in paragraph (b) of this section; and shall be made available throughout the State prior to the hearing. The notice for the hearing shall specify that copies of the plan are available and how they may be obtained. A transcript of the hearings shall be prepared and written submission of views and data shall be accepted for the record.
(b) Subsequent to the hearing, the State shall prepare a final State plan which shall identify and describe:
(1) The production schedule for the State, which shall indicate projected expenditures and the number of dwelling units which are expected to be weatherized each quarter during the program year;
(2) An estimate of the number of dwelling units expected to be weatherized during the program year by category to include:
(i) Single-family and multi-family residences;
(ii) Elderly persons’ residences;
(iii) Handicapped persons’ residences;
(iv) Renters’ residences;
(v) If Native Americans do not receive direct grants under § 440.11, Native American residences; and
(vi) Children's residences, if the State selects this category as a priority with paragraphs (b)(2)(ii) and (b)(2)(iii) of this section.
(3) The climatic conditions within the State;
(4) The type of weatherization work to be done;
(5) An estimate of the amount of energy to be conserved;
(6) An estimate of the number of eligible dwelling units in which the elderly reside;
(7) An estimate of the number of eligible dwelling units in which the handicapped reside;
(8) Each area to be served by a weatherization project within the State, and shall include for each area:
(i) The tentative allocation;
(ii) The number of dwelling units expected to be weatherized during the program year, and the number of previously weatherized units expected to be weatherized;
(iii) The estimated number of rental dwelling units to be weatherized; and
(iv) Sources of labor.
(9) The manner in which the State plan is to be implemented, and shall include:
(i) An analysis of the existence and effectiveness of any weatherization project being carried out by a subgrantee;
(ii) An explanation of the method used to select each area to be served by a weatherization project;
(iii) The extent to which priority will be given to the weatherization of single-family or other high energy consuming dwelling units;
(iv) The amount of non-Federal resources to be applied to the program;
(v) The amount of Federal resources, other than DOE weatherization grant funds, to be applied to the program;
(vi) The amount of weatherization grant funds allocated to the State under this part;
(vii) The expected average cost per dwelling to be weatherized, taking into account the total number of dwellings to be weatherized and the total amount of funds, Federal and non-Federal, expected to be applied to the program;
(viii) The average amount of the DOE funds specified in § 440.18(c) (1) through (11) to be applied to any dwelling unit;
(ix) The average amount of DOE funds to be applied to any dwelling unit for weatherization materials as specified in § 440.18(c)(1);
(x) The procedures used by the State for providing additional administrative funds to qualified subgrantees as specified in § 440.18(d).
(xi) Procedures for determining the most cost-effective measures in a dwelling unit or a statement that Project Retro-Tech or another DOE-approved audit will be used;
(xii) The definition of “low income” which the State has chosen for use statewide for determining eligibility under § 440.22(a).
(xiii) The definition of “children” which the State has chosen consistent with § 440.3.
(xiv) The amount of Federal funds to be used, and an explanation of how they will be used, to increase the amount of weatherization assistance that the State obtains from non-Federal sources, including private sources, and the expected leveraging effect to be accomplished.
(a) The grantee shall ensure that:
(1) Each subgrantee is a CAA or other public or nonprofit entity;
(2) Each subgrantee is selected on the basis of public comment received during a public hearing conducted pursuant to § 440.14(a) and other appropriate findings regarding:
(i) The subgrantee's experience and performance in weatherization or housing renovation activities;
(ii) The subgrantee's experience in assisting low-income persons in the area to be served; and
(iii) The subgrantee's capacity to undertake a timely and effective weatherization program.
(3) In selecting a subgrantee, preference is given to any CAA or other public or nonprofit entity which has, or is currently administering, an effective program under this part or under title II of the Economic Opportunity Act of 1964, with program effectiveness evaluated by consideration of factors including, but not necessarily limited to, the following:
(i) The extent to which the past or current program achieved or is achieving weatherization goals in a timely fashion;
(ii) The quality of work performed by the subgrantee;
(iii) The number, qualifications, and experience of the staff members of the subgrantee; and
(iv) The ability of the subgrantee to secure volunteers, training participants, and public service employment workers pursuant to JTPA.
(b) The grantee shall ensure that the funds received under this part will be allocated to the entities selected in accordance with paragraph (a) of this section, such that funds will be allocated to areas on the basis of the relative need for a weatherization project by low-income persons.
(c) If DOE finds that a subgrantee selected to undertake weatherization activities under this part has failed to comply substantially with the provisions of the Act or this part and should be replaced, such finding shall be treated as a finding under § 440.30(i) for purposes of § 440.30.
(d) Any new or additional subgrantee shall be selected at a hearing in accordance with § 440.14(a) and upon the basis of the criteria in paragraph (a) of this section.
(e) A State may terminate financial assistance under a subgrant agreement for a grant period only in accordance with established State procedures that provide to the subgrantee appropriate notice of the State's reasons for termination and afford the subgrantee an adequate opportunity to be heard.
Prior to the expenditure of any grant funds each grantee shall develop, publish, and implement procedures to ensure that:
(a) No dwelling unit may be weatherized without documentation that the dwelling unit is an eligible dwelling unit as provided in § 440.22;
(b) Priority is given to identifying and providing weatherization assistance to elderly and handicapped low-income persons and such priority as the applicant determines is appropriate is given to dwelling units containing children and to single-family or other high-energy-consuming dwelling units;
(c) Financial assistance provided under this part will be used to supplement, and not supplant, State or local funds, and, to the maximum extent practicable as determined by DOE, to increase the amounts of these funds that would be made available in the absence of Federal funds provided under this part;
(d) To the maximum extent practicable, the grantee will secure the services of volunteers when such personnel are generally available, training participants and public service employment workers, pursuant to JTPA, to work under the supervision of qualified supervisors and foremen;
(e) To the maximum extent practicable, the use of weatherization assistance shall be coordinated with other Federal, State, local, or privately funded programs in order to improve energy efficiency and to conserve energy;
(f) The low-income members of an Indian tribe shall receive benefits equivalent to the assistance provided to other low-income persons within a State unless the grantee has made the recommendation provided in § 440.12(b)(5);
(g) No dwelling unit may be reported to DOE as completed until all weatherization materials have been installed and the subgrantee, or its authorized representative, has performed a final inspection(s) including any mechanical work performed and certified that the work has been completed in a workmanlike manner and in accordance with the priority determined by the audit procedures required by § 440.21; and
(h) Subgrantees limit expenditure of funds under this part for installation of materials (other than weatherization materials) to abate energy-related health and safety hazards, to a list of types of such hazards, permissible abatement materials and their costs which is submitted, and updated as necessary at the same time as an annual application under § 440.12 of this part and which DOE shall approve if—
(1) Elimination of such hazards are necessary before, or as a result of, installation of weatherization materials; and
(2) The grantee sets forth a limitation on the percent of average dwelling unit costs which may be used to abate such hazards which is reasonable in light of the primary energy conservation purpose of this part;
(i) The benefits of weatherization to occupants of rental units are protected in accordance with § 440.22(b)(3) of this part.
(a) Prior to the expenditure of any grant funds, a State policy advisory council shall be established by a State or by the Support Office Director if a State does not participate in the program which:
(1) Has special qualifications and sensitivity with respect to solving the problems of low-income persons, including the weatherization and energy conservation problems of these persons;
(2) Is broadly representative of organizations and agencies, including consumer groups that represent low-income persons, particularly elderly and handicapped low-income persons and low-income Native Americans, in the State or geographical area in question; and
(3) Has responsibility for advising the appropriate official or agency administering the allocation of financial assistance in the State or area with respect to the development and implementation of a weatherization assistance program.
(a) An average of at least 40 percent of the funds provided in a State under this part for weatherization materials, labor, and related matters included in paragraphs (c)(1) through (9) of this section shall be spent for weatherization materials, except if DOE approves a State's application to waive the 40 percent requirement under § 440.21(h).
(b) The expenditure of financial assistance provided under this part for labor, weatherization materials, and related matters included in paragraphs (c)(1) through (9) and (c)(15) of this section shall not exceed an average of $1,600 per dwelling unit weatherized in the State, except as adjusted as follows:
(1) The $1,600 average will be adjusted annually by DOE beginning in calendar year 1991 by increasing the limitation by an amount equal to:
(i) The limitation amount for the previous year, multiplied by
(ii) The lesser of:
(A) The percentage increase in the Consumer Price Index (all items, United States city average) for the most recent calendar year completed before the beginning of the year for which the determination is being made, or
(B) Three percent.
(2) In addition to the average per-dwelling-unit limitation applicable in a State under this section, DOE shall, upon application by a State, establish a separate average per-dwelling-unit limitation for dwelling units in such States which conform to program requirements and, in addition to any other weatherization modifications, have capital-intensive furnace or cooling efficiency modifications as defined in § 440.3 made under this part. The average per-dwelling-unit limitation applicable in a State which meets these requirements shall not exceed an amount equal to:
(i) The amount permitted for the expenditure of financial assistance for labor, weatherization materials, and related matters for dwelling units in such State in paragraphs (c) (1) through (9) and (c)(15) of this section plus
(ii) An amount determined by the State to be the average amount that is appropriate for capital-intensive furnace or cooling efficiency modifications of dwelling units of the type assisted under this part in such State and approved by DOE.
(c) Allowable expenditures under this part include only:
(1) The cost of purchase and delivery of weatherization materials;
(2) Labor costs, in accordance with § 440.19;
(3) Transportation of weatherization materials, tools, equipment, and work crews to a storage site and to the site of weatherization work;
(4) Maintenance, operation, and insurance of vehicles used to transport weatherization materials;
(5) Maintenance of tools and equipment;
(6) Purchase or annual lease of tools, equipment, and vehicles, except that any purchase of vehicles shall be referred to DOE for prior approval in every instance;
(7) Employment of on-site supervisory personnel;
(8) Storage of weatherization materials, tools, and equipment;
(9) The cost of incidental repairs if such repairs are necessary to make the installation of weatherization materials effective;
(10) The cost of liability insurance for weatherization projects for personal injury and for property damage;
(11) The cost of carrying out low-cost/no-cost weatherization activities in accordance with § 440.20;
(12) The cost of weatherization program financial audits as required by § 440.23(d);
(13) Allowable administrative expenses under paragraph (d) of this section; and
(14) Funds used for leveraging activities in accordance with § 440.14(b)(9)(xiv); and
(15) The cost of eliminating health and safety hazards elimination of which is necessary before, or because of, installation of weatherization materials.
(d) Not more than 10 percent of any grant made to a State may be used by the grantee and subgrantees for administrative purposes in carrying out duties under this part, except that not more than 5 percent may be used by the State for such purposes, and not less than 5 percent must be made available to subgrantees by States. A State may provide in its annual plan for recipients of grants of less than $350,000 to use up to an additional 5 percent of such grants for administration if the State has determined that such recipient requires such additional amount to implement effectively the administrative requirements established by DOE pursuant to this part.
(e) No grant funds awarded under this part shall be used for any of the following purposes:
(1) To weatherize a dwelling unit which is designated for acquisition or clearance by a Federal, State, or local program within 12 months from the date weatherization of the dwelling unit would be scheduled to be completed; or
(2) To install or otherwise provide weatherization materials for a dwelling unit weatherized previously with grant funds under this part, except:
(i) As provided under § 440.20;
(ii) If such dwelling unit has been damaged by fire, flood, or act of God and repair of the damage to weatherization materials is not paid for by insurance; or
(iii) That dwelling units partially weatherized under this part or under other Federal programs during the period September 30, 1975, through September 30, 1985, may receive further financial assistance for weatherization under this part. While DOE will continue to require these homes to be reported separately, States may count these homes as completions for the purposes of compliance with the per-home expenditure limit in § 440.18. Each dwelling unit must receive a new energy audit which takes into account any previous energy conservation improvements to the dwelling.
(a) Payments for labor costs under § 440.18(c)(2) shall consist of:
(1) Payments permitted by the Department of Labor to supplement wages paid to training participants and public service employment workers pursuant to JTPA and
(2) Payments to employ labor (particularly persons eligible for training under JTPA) or to engage a contractor (particularly a nonprofit organization or a business owned by disadvantaged individuals which performs weatherization services), provided a grantee has determined an adequate number of volunteers, training participants, and public service employment workers, assisted pursuant to JTPA, are not available to weatherize dwelling units for a subgrantee under the supervision of qualified supervisors.
(a) An eligible dwelling unit may be weatherized without regard to the limitations contained in § 440.18 (e)(2) or § 440.21(b) from funds designated by the grantee for carrying out low-cost/no-
(1) Inexpensive weatherization materials are used, such as water flow controllers, furnace or cooling filters, or items which are primarily directed toward reducing infiltration, including weatherstripping, caulking, glass patching, and insulation for plugging and
(2) No labor paid with funds provided under this part is used to install weatherization materials referred to in paragraph (a)(1) of this section.
(b) A maximum of 10 percent of the amount allocated to a subgrantee, not to exceed $50 in materials costs per dwelling unit, may be expended to carry out low-cost/no-cost weatherization activities, unless the Support Office Director approves a higher expenditure per dwelling unit.
(a) Paragraphs (b) through (g) of this section set forth the energy audit procedures which apply to the grantees and subgrantees who are subject to the 40 percent material cost requirement in § 440.18(a) of this part. Paragraphs (b), (d), (e), and (h) through (k) of this section set forth the requirements for the energy audit procedures which, if satisfied in the State plan, warrant approval of a State's application to waive the 40 percent material cost requirement in § 440.18(a) of this part.
(b) Only weatherization materials which are listed in appendix A and which meet or exceed standards prescribed in appendix A to this part shall be purchased with funds provided under this part, except that DOE may approve an unlisted material upon application from any State.
(c) The most cost-effective weatherization materials for each dwelling unit shall be determined by audit procedures using the following formula:
(1) The cost of fuel saved per year by installing a weatherization material in a dwelling unit;
(2) Multiplied by the appropriate lifetime of the weatherization material; and
(3) Divided by the cost of the weatherization material and the cost of the installation of the weatherization material.
(d) The computation of the cost of fuel saved per year must take into account the number of heating or cooling degree days in the area of which the computation is being made and must otherwise use reasonable methods and assumptions.
(e) The figures used for the lifetime of the materials and for the costs of materials and cost of the installation of the materials must be generally accepted in the relevant trade.
(f) The weatherization materials which shall be installed first are those which are determined to be the most cost effective using the formula in paragraph (c) of this section.
(g) The audit procedures used in Project Retro-Tech to determine the most cost-effective weatherization materials comply with this section. The grantee or subgrantee may use other audit procedures to determine the most cost-effective weatherization materials, provided that these procedures comply with this section and are approved by the Support Office Director prior to their use. A grantee or subgrantee may use results obtained from audits conducted under the Residential Conservation Service Program as part of the audit procedures which have been approved by the Support Office Director.
(h) The energy audit procedures must—
(1) Consider the rate of energy use;
(2) Address significant heating and cooling needs;
(3) Make provision for use of advanced diagnostic and assessment techniques which DOE has determined are consistent with sound engineering practices;
(4) Determine energy use from actual energy bills or by generally accepted engineering calculations;
(5) Consistent with paragraphs (d) and (e) of this section, determine that each weatherization material is cost effective by ensuring that the net fuel cost savings over the lifetime of such weatherization material, discounted to present value in accordance with paragraph (i) of this section, to the costs to
(6) Assign priorities among weatherization materials in descending order of their cost effectiveness ratios calculated under paragraph (h)(5) of this section;
(i) After adjusting those ratios for interaction between architectural and mechanical weatherization materials by decreasing the estimated fuel cost savings for a lower priority weatherization material in light of fuel cost savings for a related higher priority weatherization material; and
(ii) Eliminating any weatherization material if its cost effectiveness ratio, as adjusted under paragraph (h)(6) of this section, is less than one;
(7) Determine that the total conservation investment has a positive rate of return by ensuring that the ratio of the cumulative net fuel cost savings of all weatherization materials, adjusted for interaction between architectural and mechanical weatherization materials if any, to the cumulative costs included under paragraph (h)(5) of this section and the costs to be claimed as allowable under § 440.18(c)(9), is greater than or equal to one;
(8) Identify health and safety hazards to be abated with DOE funds in compliance with the State's DOE-approved health and safety procedures under § 440.16(h); and
(9) Treat the dwelling unit as a whole system by examining its heating and cooling system, its air exchange system and it occupants’ living habits and needs, and making necessary adjustments to the priority of weatherization materials with adequate documentation of the reasons for such an adjustment.
(i) The energy audit must provide for use of the annually adjusted discount rate provided by DOE except that a State may keep that rate constant up to 5 years or may use a reasonable higher real discount rate. Subject to a ceiling of 10 percent and floor of 3 percent and subject to adjustment by DOE region for a rate of fuel cost escalation predicted by the DOE Energy Information Administration, DOE shall calculate annually the adjusted discount rate, for use under paragraph (h) of this section as a 12-month average of the composite yields of all outstanding U.S. Treasury bonds neither due nor callable in less than 10 years, as most recently reported by the Federal Reserve, adjusted to exclude estimated increases in the general level of prices consistent with projections of inflation in the most recent Economic Report of the President's Council of Economic Advisers.
(j) For typical dwelling units without unusual energy consuming characteristics which significantly alter typical energy usage, energy audits may be accomplished by using a priority list developed by conducting, in compliance with paragraph (h) of this section, site-specific energy audits of a representative sample of typical dwelling units for each major dwelling type covered by the State's weatherization program. Priority lists developed in accordance with this paragraph must be revalidated by conducting a representative sample of site-specific energy audits every 5 years.
(k) Subject to DOE approval, a State may use as a part of an energy audit, a list of presumptively cost effective general heat waste reduction weatherization materials and the circumstance under which such materials may be presumed cost effective without need for further audit justification if those materials are shown to be cost effective in typical dwelling units for major dwelling unit types in the State based on documentation of a representative number of site-specific energy audits.
(a) A dwelling unit shall be eligible for weatherization assistance under this part if it is occupied by a family unit:
(1) Whose income is at or below 125 percent of the poverty level determined in accordance with criteria established by the Director of the Office of Management and Budget;
(2) Which contains a member who has received cash assistance payments under Title IV or XVI of the Social Security Act or applicable State or local
(3) If the State elects, is eligible for assistance under the Low-Income Home Energy Assistance Act of 1981, provided that such basis is at least 125 percent of the poverty level determined in accordance with criteria established by the Director of the Office of Management and Budget.
(b) A subgrantee may weatherize a building containing rental dwelling units using financial assistance for dwelling units eligible for weatherization assistance under paragraph (a) of this section, where:
(1) The subgrantee has obtained the written permission of the owner or his agent;
(2) Not less than 66 percent (50 percent for duplexes and four-unit buildings) of the dwelling units in the building:
(i) Are eligible dwelling units, or
(ii) Will become eligible dwelling units within 180 days under a Federal, State, or local government program for rehabilitating the building or making similar improvements to the building; and
(3) The grantee has established procedures for dwellings which consist of a rental unit or rental units to ensure that:
(i) The benefits of weatherization assistance in connection with such rental units, including units where the tenants pay for their energy through their rent, will accrue primarily to the low-income tenants residing in such units;
(ii) For a reasonable period of time after weatherization work has been completed on a dwelling containing a unit occupied by an eligible household, the tenants in that unit (including households paying for their energy through their rent) will not be subjected to rent increases unless those increases are demonstrably related to matters other than the weatherization work performed;
(iii) The enforcement of paragraph (b)(3)(ii) of this section is provided through procedures established by the State by which tenants may file complaints, and owners, in response to such complaints, shall demonstrate that the rent increase concerned is related to matters other than the weatherization work performed; and
(iv) No undue or excessive enhancement shall occur to the value of the dwelling units.
(c) In order to secure the Federal investment made under this part and address the issues of eviction from and sale of property receiving weatherization materials under this part, States may seek landlord agreement to placement of a lien or to other contractual restrictions;
(d) As a condition of having assistance provided under this part with respect to multifamily buildings, a State may require financial participation, when feasible, from the owners of such buildings. Such financial participation shall not be reported as program income, nor will it be treated as if it were appropriated funds. The funds contributed by the landlord shall be expended in accordance with the agreement between the landlord and the weatherization agency.
(e) In devising procedures under paragraph (b)(3)(iii) of this section, States should consider requiring use of alternative dispute resolution procedures including arbitration.
(f) A State may weatherize shelters. For the purpose of determining how many dwelling units exist in a shelter, a grantee may count each 800 square feet of the shelter as a dwelling unit or it may count each floor of the shelter as a dwelling unit.
(a) The Secretary and the appropriate Support Office Director, in coordination with the Secretary of Health and Human Services, shall monitor and evaluate the operation of projects carried out by CAA's receiving financial assistance under this part through on-site inspections, or through other means, in order to ensure the effective provision of weatherization assistance for the dwelling units of low-income persons.
(b) DOE shall also carry out periodic evaluations of a program and weatherization projects that are not carried
(c) The Secretary and the appropriate Support Office Director, the Comptroller General of the United States, and for a weatherization project carried out by a CAA, the Secretary of Health and Human Services or any of their duly authorized representatives, shall have access to any books, documents, papers, information, and records of any weatherization project receiving financial assistance under the Act for the purpose of audit and examination.
(d) Each grantee shall ensure that audits by or on behalf of subgrantees are conducted with reasonable frequency, on a continuing basis, or at scheduled intervals, usually annually, but not less frequently than every two years, in accordance with 10 CFR part 600, and OMB Circular 110, Attachment F, as applicable.
(e) The Secretary may reserve from the funds appropriated for any fiscal year an amount not to exceed 10 percent to provide, directly or indirectly, training and technical assistance to any grantee or subgrantee. Such training and technical assistance may include providing information concerning conservation practices to occupants of eligible dwelling units.
Each grantee or subgrantee receiving Federal financial assistance under this part shall keep such records as DOE shall require, including records which fully disclose the amount and disposition by each grantee and subgrantee of the funds received, the total cost of a weatherization project or the total expenditure to implement the State plan for which assistance was given or used, the source and amount of funds for such project or program not supplied by DOE, the average costs incurred in weatherization of individual dwelling units, the average size of the dwelling being weatherized, the average income of households receiving assistance under this part, and such other records as DOE deems necessary for an effective audit and performance evaluation. Such recordkeeping shall be in accordance with the DOE Financial Assistance Rule, 10 CFR part 600, and any further requirements of this part.
DOE may require any recipient of financial assistance under this part to provide, in such form as may be prescribed, such reports or answers in writing to specific questions, surveys, or questionnaires as DOE determines to be necessary to carry out its responsibilities or the responsibilities of the Secretary of Health and Human Services under this part.
(a) An applicant shall have 20 days from the date of receipt of a decision under § 440.12 or § 440.13 to file a notice requesting administrative review. If an applicant does not timely file such a notice, the decision under § 440.12 or § 440.13 shall become final for DOE.
(b) A notice requesting administrative review shall be filed with the Support Office Director and shall be accompanied by a written statement containing supporting arguments and requesting, if desired, the opportunity for a public hearing.
(c) A notice or any other document shall be deemed filed under this section upon receipt.
(d) On or before 15 days from receipt of a notice requesting administrative review which is timely filed, the Support Office Director shall forward to the Deputy Assistant Secretary, the notice requesting administrative review, the decision under § 440.12 or § 440.13 as to which administrative review is sought, a draft recommended final decision for the concurrence of the Deputy Assistant Secretary, and any other relevant material.
(e) If the applicant requests a public hearing, the Deputy Assistant Secretary, within 15 days, shall give actual notice to the State and
(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 Support Office Director.
(g) On or before 15 days from the date of receipt of the determination under paragraph (f) of this section, the Governor may file an application, with a supporting statement of reasons, 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 review, a decision shall be issued no later than 60 days from the date review is granted. The Assistant Secretary may not issue a notice or decision under this paragraph without the concurrence of the DOE Office of General Counsel.
(h) A decision under paragraph (f) of this section shall be final for DOE if there is no review under paragraph (g) of this section. If there is review under paragraph (g) of this section, the decision thereunder shall be final for DOE, and no appeal shall lie elsewhere in DOE.
(i) Prior to the effective date of the termination of eligibility for further participation in the program because of failure to comply substantially with the requirements of the Act or of this part, a grantee shall have the right to written notice of the basis for the enforcement action and the opportunity for a public hearing notwithstanding any provisions to contrary of 10 CFR 600.26, 600.28(b), 600.29, 600.121(c), and 600.443. A notice under this paragraph shall be mailed by the Support Office Director by registered mail, return-receipt requested, to the State, local grantee, and other interested parties. To obtain a public hearing, the grantee must request an evidentiary hearing, with prior
The following Government standards are produced by the Consumer Product Safety Commission and are published in title 16, Code of Federal Regulations:
Thermal Insulating Materials for Building Elements Including Walls, Floors, Ceilings, Attics, and Roofs Insulation—organic fiber—conformance to Interim Safety Standard in 16 CFR part 1209;
Fire Safety Requirements for Thermal Insulating Materials According to Insulation Use—Attic Floor—insulation materials intended for exposed use in attic floors shall be capable of meeting the same flammability requirements given for cellulose insulation in 16 CFR part 1209;
Enclosed spaces—insulation materials intended for use within enclosed stud or joist spaces shall be capable of meeting the smoldering combustion requirements in 16 CFR part 1209.
The following standards which are not otherwise set forth in part 440 are incorporated by reference and made a part of part 440. 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. These materials are incorporated as they exist on April 5, 1993 and a notice of any change in these materials will be published in the
The standards incorporated by reference in part 440 can be obtained from the following sources:
More information regarding the standards in this reference can be obtained from the following sources:
42 U.S.C. § 7254; 42 U.S.C. § 13317.
(a) The provisions of this part cover the policies and procedures applicable to the determinations by the Department of Energy (DOE) to make incentive payments for electric energy generated and sold by a qualified renewable energy facility owned by a State or nonprofit electric cooperative under the authority of 42 U.S.C. 13317.
(b) Determinations to make incentive payments under this part are not subject to the provisions of 10 CFR part 600 and such payments shall not be construed to be financial assistance.
As used in this part—
(1) Heat from the burning of municipal solid waste; or
(2) Heat from a dry steam geothermal reservoir which—
(i) Has no mobile liquid in its natural state;
(ii) Is a fluid composed of at least 95 percent water vapor; and
(iii) Has an enthalpy for the total produced fluid greater than or equal to 2.791 megajoules per kilogram (1200 British thermal units per pound).
Any owner, or operator with the written consent of the owner, but not both, of a qualified renewable energy facility, may apply for incentive payments for net electric energy generated from a renewable energy source and sold.
In order to qualify for an incentive payment under this part, a renewable energy facility must meet the following qualifications—
(a)
(1) A State or a political subdivision of a State (or agency, authority, or instrumentality thereof);
(2) A corporation or association wholly owned, directly or indirectly, by a State or a political subdivision of a State; or
(3) A nonprofit electrical cooperative.
(b)
(c)
(d)
(e)
(f)
(1) A facility employing solar, wind, geothermal or biomass sources must be refurbished during the allowed time of first use such that the fair market value of any previously used property does not exceed 20% of the facility's total value.
(2) A facility not employing solar, wind, geothermal or biomass sources must be converted in part or in whole to a qualified facility during the allowed time of first use.
(g)
(a)
(2) To assist DOE in its budget planning, the owner or operator of a qualified renewable energy facility is requested to provide notification at least 6 months in advance of when a facility is expected to be first used, providing projected information specified in § 451.8 (a) through (e).
(b)
(2) For energy generated and sold in fiscal year 1994, an application for incentive payment must be filed on or before September 5, 1995.
(3) Failure to file an application in any fiscal year for payment for energy generated in the preceding fiscal year shall disqualify the owner or operator from eligibility for any incentive payment for energy generated in that preceding fiscal year.
(c)
Subject to the availability of appropriated funds, DOE shall make incentive payments under this part with respect to a qualified renewable energy facility for 10 fiscal years. Such period shall begin with the fiscal year in
The net electric energy generated and sold (kilowatt-hours) by the owner or operator of a qualified renewable energy facility must be measured by a standard metering device that—
(a) Meets generally accepted industry standards;
(b) Is maintained in proper working order according to the instructions of its manufacturer; and
(c) Is calibrated according to generally accepted industry standards.
An application for an incentive payment under this part must be signed by an authorized executive official and shall provide the following information—
(a) A statement indicating that the applicant is the owner, of the facility or is the operator of the facility and has the written consent of an authorized executive official of the owner to file an application;
(b) The name of the facility or other official designation;
(c) The location and address of the facility and type of renewable energy source;
(d) The name, address, and telephone number of a point of contact to respond to questions or requests for additional information;
(e) A clear statement of how the application satisfies each and every part of the eligibility criteria under § 451.4;
(f) A statement of the annual and monthly metered net electric energy generated and sold during the prior fiscal year by the qualified renewable energy facility, measured in kilowatt-hours, for which an incentive payment is requested;
(g) In the case of a qualified renewable energy facility which generates electric energy using a fossil fuel, nuclear energy, or other non-qualified energy source in addition to using a renewable energy source, a statement of the net electric energy generated, measured in kilowatt-hours, attributable to the renewable energy source, including a calculation showing the total monthly and annual kilowatt-hours generated and sold during the fiscal year multiplied by a fraction consisting of the heat input, as measured in appropriate energy units, received by the working fluid from the renewable energy sources divided by the heat input, as measured in the same energy units, received by the working fluid from all energy sources;
(h) the amounts of accrued electric energy, by sources and by year, in kilowatt-hours, for which the applicant previously applied and DOE did not make an incentive payment because of insufficient appropriations;
(i) The total amount of electric energy for which payment is requested, including the net electric energy generated in the prior fiscal year, as determined according to paragraph (f) or (g) of this section, and the accrued energy as determined according to paragraph (h) of this section;
(j) Preferred method of payment (check or wire transfer) and instructions;
(k) A statement agreeing to retain records for a period of three (3) years which substantiate the annual and monthly metered number of kilowatt-hours generated and sold, and to provide access to, or copies of, such records within 30 days of a written request by DOE; and
(l) A statement signed by an authorized executive official certifying that the information contained in the application is accurate.
(m) If a nonprofit electric cooperative, a statement certifying that no claim for tax credit has been made for the same electricity for which incentive payments are requested.
(a)
(b)
(c)
(1) Eligibility of the applicant for receipt of an incentive payment, based on the criteria for eligibility specified in this part; and
(2) The number of kilowatt-hours to be used in calculating the incentive payment, based on the sum of net electric energy generated from a qualified renewable energy source at the qualified renewable energy facility and sold during the prior fiscal year, and any accrued energy.
(d)
(e)
(1) Make incentive payments first, and if necessary on a pro rata basis, to owners or operators of qualified renewable energy facilities using solar, wind, geothermal, and closed-loop biomass technologies;
(2) Make incentive payments second, and if necessary on a pro rata basis, to owners or operators of all other qualified renewable energy facilities.
(3) Treat the number of kilowatt-hours for which an incentive payment is not made as a result of insufficient appropriations as accrued energy for which subsequent application for incentive payment may be made.
(f)
(1) Approving the application as eligible for payment and forwarding a copy to the DOE Finance Office with a request to pay;
(2) Setting forth the calculation of the approved amount of the incentive payment; and
(3) Stating the amount of accrued energy, measured in kilowatt-hours, for each qualified renewable energy facility, if any, and the energy source for same.
(g)
(a) In order to exhaust administrative remedies, an applicant who receives a notice denying an application in whole or in part shall appeal, on or before 45 days from date of the notice issued by the DOE Deciding Official, to the Office of Hearings and Appeals, 1000 Independence Avenue, S.W., Washington, D.C. 20585, in accordance with the procedures set forth in subpart C of 10 CFR part 1003.
(b) If an applicant does not appeal under paragraph (a) of this section, the determination of the DOE Deciding Official shall become final for DOE and judicially unreviewable.
(c) If an applicant appeals on a timely basis under paragraph (a) of this section, the decision and order of the Office of Hearings and Appeals shall be final for DOE.
(d) If the Office of Hearings and Appeals orders an incentive payment, the DOE Deciding Official shall send a copy of such order to the DOE Finance Office with a request to pay.
42 U.S.C. 6371
(a) This part establishes programs of financial assistance pursuant to Title III of the Energy Policy and Conservation Act, as amended, 42 U.S.C. 6371
(b) This part authorizes grants to States or to public or non-profit schools and hospitals to assist them in conducting preliminary energy audits and energy audits, in identifying and implementing energy conservation maintenance and operating procedures, and in evaluating, acquiring, and installing energy conservation measures, including renewable resource measures, to reduce the energy use and anticipated energy costs of buildings owned by schools and hospitals.
(c) This part also authorizes grants to States or units of local government and public care institutions to assist them in conducting preliminary energy audits and energy audits, in identifying and implementing energy conservation maintenance and operating procedures, and in evaluating energy conservation measures, including renewable resource measures, to reduce the energy use and anticipated energy costs of buildings owned by units of local government and public care institutions.
(1) Identifies the type, size, and rate of energy consumption of such building and the major energy-using systems of such building;
(2) Determines appropriate energy conservation maintenance and operating procedures;
(3) Indicates the need, if any, for the acquisition and installation of energy conservation measures; and
(4) If paid for with financial assistance under this part, complies with 10 CFR 450.43.
(1) Effective operation and maintenance of ventilation systems and control of infiltration conditions, including:
(i) Repair of caulking or weatherstripping around windows and doors;
(ii) Reduction of outside air intake, shutting down ventilation systems in unoccupied areas, and shutting down ventilation systems when the building is not occupied; and
(iii) Assuring central or unitary ventilation controls, or both, are operating properly;
(2) Changes in the operation and maintenance of heating or cooling systems through:
(i) Lowering or raising indoor temperatures;
(ii) Locking thermostats;
(iii) Adjusting supply or heat transfer medium temperatures; and
(iv) Reducing or eliminating heating or cooling at night or at times when a building or complex is unoccupied;
(3) Changes in the operation and maintenance of lighting systems through:
(i) Reducing illumination levels;
(ii) Maximizing use of daylight;
(iii) Using higher efficiency lamps; and
(iv) Reducing or eliminating evening cleaning of buildings;
(4) Changes in the operation and maintenance of water systems through:
(i) Repairing leaks;
(ii) Reducing the quantity of water used, e.g., using flow restrictors;
(iii) Lowering settings for hot water temperatures; and
(iv) Raising settings for chilled water temperatures;
(5) Changes in the maintenance and operating procedures of the building's mechanical systems through:
(i) Cleaning equipment;
(ii) Adjusting air/fuel ratio;
(iii) Monitoring combustion;
(iv) Adjusting fan, motor, or belt drive systems;
(v) Maintaining steam traps; and
(vi) Repairing distribution pipe insulation; and
(6) Such other actions relating to operations and maintenance procedures as the State may determine useful or necessary. In general, energy conservation maintenance and operating procedures involve cleaning, repairing or adjusting existing equipment rather than acquiring new equipment.
(1) Insulation of the building structure and systems within the building;
(2) Storm windows and doors, multiglazed windows and doors, heat- absorbing or heat-reflective glazed and coated windows and door systems, additional glazing, reductions in glass area, and other window and door systems modifications;
(3) Automatic energy control systems which would reduce energy consumption;
(4) Load management systems which would shift demand for energy from peak hours to hours of low demand and lower cost;
(5) Equipment required to operate variable steam, hydraulic, and ventilating systems adjusted by automatic energy control systems;
(6) Active or passive solar space heating or cooling systems, solar electric generating systems, or any combination thereof;
(7) Active or passive solar water heating systems;
(8) Furnace or utility plant and distribution system modifications including:
(i) Replacement burners, furnaces, boilers, or any combination thereof which substantially increase the energy efficiency of the heating system;
(ii) Devices for modifying flue openings which will increase the energy efficiency of the heating system;
(iii) Electrical or mechanical furnace ignition systems which replace standing gas pilot lights; and
(iv) Utility plant system conversion measures including conversion of existing oil- and gas-fired boiler installations to alternative energy sources;
(9) Addition of caulking and weatherstripping;
(10) Replacement or modification of lighting fixtures (including exterior light fixtures which are physically attached to, or connected to, the building) to increase the energy efficiency of the lighting system without increasing the overall illumination of a facility, unless such increase in illumination is necessary to conform to any applicable State or local building code or, if no such code applies, the increase is considered appropriate by DOE;
(11) Energy recovery systems;
(12) Cogeneration systems which produce steam or forms of energy such as heat as well as electricity for use primarily within a building or a complex of buildings owned by an eligible institution and which meet such fuel efficiency requirements as DOE may by rule prescribe;
(13) Such other measures as DOE identifies by rule for purposes of this part as set forth in subpart D of 10 CFR part 450; and
(14) Such other measures as a grant applicant shows will save a substantial amount of energy and as are identified in an energy audit or energy use evaluation in accordance with § 455.20(k) or a technical assistance report in accordance with § 455.62.
(1) Whether the building is a school facility, hospital facility, or a building owned and primarily occupied and used throughout the year by a unit of local government or by a public care institution.
(2) The name and address of the owner of record, indicating whether owned by a public institution, private nonprofit institution, or an Indian tribe;
(3) The building's potential suitability for renewable resource applications;
(4) Major changes in functional use or mode of operation planned in the next 15 years, such as demolition, disposal, rehabilitation, or conversion from office to warehouse;
(5) Appropriate energy conservation maintenance and operating procedures which have been implemented for the building;
(6) The need, if any, for the acquisition and installation of energy conservation measures including an assessment of the estimated costs and energy and cost savings likely to result from the purchase and installation of one or more energy conservation measures and an evaluation of the need and potential for retrofit based on consideration of one or more of the following:
(i) An energy use index or indices, for example, Btu's per gross square foot per year;
(ii) An energy cost index or indices, for example, annual energy costs per gross square foot; or
(iii) The physical characteristics of the building envelope and major energy-using systems; and
(7) Such other information as the State has determined useful or necessary, in accordance with § 455.20(k).
(1) Obtaining non-Federal funds to finance energy conservation measures consistent with this part;
(2) Making site visits to school and hospital officials to review program opportunities;
(3) Giving presentations to groups such as school or hospital board officials and personnel; and
(4) Preparing and disseminating articles in publications directed to school and hospital personnel.
(1) Evaluating the services and reports of consulting engineers;
(2) Training school or hospital personnel to perform energy accounting and to identify and implement energy conservation maintenance and operating procedures;
(3) Monitoring the implementation and operation of energy conservation measures; and
(4) Aiding in the procurement of energy-efficient equipment.
(1) A facility for long-term care, rehabilitation facility, or public health center, as described in section 1624 of the Public Health Service Act (42 U.S.C. 300s-3; 88 Stat. 2270); or
(2) A residential child care center which is an institution, other than a foster home, operated by a public or nonprofit institution. It is primarily intended to provide full-time residential care, with an average length of stay of at least 30 days, for at least 10 minor persons who are in the care of such institution as a result of a finding of abandonment or neglect or of being persons in need of treatment or supervision.
(1) A State, a political subdivision of a State, or an agency or instrumentality of either; or
(2) A school or hospital which is, or would be in the case of such entities situated in American Samoa, Guam, the Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana Islands, and the U.S. Virgin Islands, exempt from income tax under section 501(c)(3) of the Internal Revenue Code of 1954; or
(3) A unit of local government or public care institution which is, or would be in the case of such entities situated in American Samoa, Guam, the Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana Islands, and the U.S. Virgin Islands, exempt from income tax under section 501(c)(3) or 501(c)(4) of the Internal Revenue Code of 1954.
(1) Provides, and is legally authorized to provide, elementary education or secondary education, or both, on a day or residential basis;
(2) Provides, and is legally authorized to provide, a program of education beyond secondary education, on a day or residential basis and:
(i) Admits as students only persons having a certificate of graduation from a school providing secondary education, or the recognized equivalent of such certificate;
(ii) Is accredited by a nationally recognized accrediting agency or association; and
(iii) Provides an educational program for which it awards a bachelor's degree or higher degree or provides not less than a 2-year program which is acceptable for full credit toward such a degree at any institution which meets the preceding requirements and which provides such a program;
(3) Provides not less than a 1-year program of training to prepare students for gainful employment in a recognized occupation and which meets the provisions cited in paragraph (2), and subparagraphs (2)(i), and (2)(ii) of this definition; or
(4) Is a local educational agency.
(2) The planning or administration of such specialized studies. For schools and hospitals which are eligible to receive grants to carry out energy conservation measures, the term also means the planning or administration of specific remodeling, renovation, repair, replacement, or insulation projects related to the installation of energy conservation or renewable resource measures in a building.
Grants provided under this part shall comply with applicable law, regulation, or procedure including, without limitation, the requirements of:
(a) The DOE Financial Assistance Rules (10 CFR part 600 as amended) except as otherwise provided in this rule;
(b) Executive Order 12372 entitled “Intergovernmental Review of Federal Programs” (48 FR 3130, January 24, 1983; 3 CFR, 1982 Comp., p. 197) and the DOE regulation implementing this Executive Order entitled “Intergovernmental Review of Department of Energy Programs and Activities” (10 CFR part 1005);
(c) Office of Management and Budget Circular A-97 entitled “Rules and Regulations Permitting Federal Agencies to Provide Specified or Technical Services to State and Local Units of Government under title III of the Inter-Governmental Coordination Act of 1968” available from the Office of Management and Budget, Office of Publication Services, 725 17th Street, NW., Washington, DC 20503;
(d) DOE regulation entitled “Nondiscrimination in Federally Assisted Programs” (10 CFR part 1040) which implements the following public laws: Title VI of the Civil Rights Act of 1964; section 16 of the Federal Energy Administration Act of 1974; section 401 of the Energy Reorganization Act of 1974; title IX of the Education Amendments of 1972; The Age Discrimination Act of 1975; and section 504 of the Rehabilitation Act of 1973; and
(e) Such other procedures applicable to this part as DOE may from time to time prescribe for the administration of financial assistance.
Each State or other entity within a State receiving financial assistance under this part shall make and retain records required and specified by the DOE Financial Assistance Rules, 10 CFR part 600, and this part.
Suspension and termination procedures shall be as set forth in the DOE Financial Assistance Rules, 10 CFR part 600.
Each State shall develop and submit to DOE a State Plan for technical assistance programs and energy conservation measures, including renewable resource measures and, to the extent appropriate, program assistance, and/or marketing. The State Plan shall include:
(a) A statement setting forth the procedures by which the views of eligible institutions or coordinating agencies representing such institutions, or both, were solicited and considered during development of the State Plan and any amendment to a State Plan;
(b) The procedures the State will follow to notify eligible institutions and coordinating agencies of the content of the approved State Plan or any approved amendment to a State Plan;
(c) The procedures the State will follow to notify eligible institutions and coordinating agencies of the availability (each funding cycle) of funding under this program and related funding available from non-Federal sources to fund technical assistance programs and energy conservation measures consistent with this part;
(d) The procedures for submittal of grant applications to the State;
(e) The procedures to be used by the State for evaluating and ranking technical assistance and energy conservation measure grant applications pursuant to § 455.130 and § 455.131, including the weights assigned to each criterion set forth in §§ 455.131 (c)(1), (c)(2), (c)(3), (c)(4) and (c)(5). In addition, the State shall determine the order of priority given to fuel types that include oil, natural gas, and electricity, under § 455.131(c)(2);
(f) The procedures that the State will follow to insure that funds will be allocated equitably among eligible applicants within the State including procedures to insure that funds will not be allocated on the basis of size or type of institution, but rather on the basis of relative need, taking into account such factors as cost, energy consumption, and energy savings, in accordance with § 455.131;
(g) The procedures that the States will follow for identifying schools and hospitals experiencing severe hardship and for apportioning the funds that are available for schools and hospitals in a case of severe hardship. Such policies and procedures shall be in accordance with § 455.132;
(h) A statement setting forth the extent to which, and by which methods, the State will encourage utilization of solar space heating, cooling and electric systems, and solar water heating systems;
(i) The procedures to assure that all financial assistance under this part will be expended in compliance with the requirements of the State Plan, in compliance with the requirements of this part, and in coordination with other State and Federal energy conservation programs;
(j) If a State is eligible and elects to use up to 100 percent of the funds provided by DOE under this part for any fiscal year for program and technical assistance and/or up to 50 percent of such funds for marketing:
(1) A description of each activity the State proposes, including the procedures for program operation, monitoring, and evaluation;
(2) The level of funding to be used for each program and the source of those funds;
(3) The amount of the State's allocated funds that the State proposes to use for each;
(4) A description of the non-Federal financing mechanisms to be used to fund energy conservation measures in the State during the fiscal year;
(5) A description of the evaluation/selection criteria to be used by the State in determining which institutions receive funding for energy conservation measures;
(6) The procedures for assuring that all segments of the State's eligible institutions, including religiously affiliated institutions receive an equitable share of the assistance provided both for program and technical assistance, marketing, and energy conservation measures;
(7) A description of how the State will track: the amount of total available funds by source; the amount of funds obligated against those funds; and any limits on types of institutions eligible for particular funding sources; and
(8) The procedures for assisting institutions which initially receive program, technical, or marketing assistance (as part of the State's special program(s)) in later participating in the State's program(s) to provide energy conservation measure funding;
(k) The requirements for an energy audit or an energy use evaluation, and the requirements for qualifications for auditors or persons who will conduct energy use evaluations in the State;
(l) With regard to energy conservation maintenance and operating procedures:
(1) The procedures to insure implementation of energy conservation maintenance and operating procedures in those buildings for which financial assistance is requested under this part;
(2) A provision that all maintenance and operating procedure changes recommended in an energy audit pursuant to § 455.20(k), or in a technical assistance report under § 455.62, or a combination of these are implemented as provided under this part; or
(3) An assurance that the maintenance and operating procedures will be implemented in the future, or a reasonable justification for not implementing such procedures, as appropriate;
(m) The procedures to assure that financial assistance under this part will be used to supplement, and not to supplant, State, local or other funds, including at least:
(1) The screening of applicants for eligibility for available State funds;
(2) The identification of applicants which are seeking or have obtained private sector funds; and,
(3) Limiting or excluding (at the option of the State) the availability of financial assistance under this part for funding particular measures for which funding is being provided by other sources in the State (such as utility rebates) together with any requirements for potential applicants to first seek other sources of funding and document the results of that attempt before seeking financial assistance under this part and a description of the State's plan to
(n) The procedures for determining that technical assistance programs performed without the use of Federal funds and used as the basis for energy conservation measure grant applications have been performed in compliance with the requirements of § 455.62, for the purposes of satisfying the eligibility requirements contained in § 455.71(a)(3);
(o) The State's policy regarding reasonable selection of energy conservation measures for study in a technical assistance program including any restrictions based on category of building or on groups of structures where measures may, or may not, be appropriate for all the structures and any additional State requirements for the conduct of such a program;
(p) The procedures for State management, monitoring, and evaluation of technical assistance programs and energy conservation measures receiving financial assistance under this part. This includes any State requirements for hospital certifications from a State agency with descriptions of the review procedures and coordination process applicable in such cases. If there is no school facilities agency in the State, or if the existing agency does not certify all types of schools, it also includes any State requirements for an alternative review and certification process for schools;
(q) The circumstances under which the State requires an updated technical assistance program report to accompany an application for an energy conservation measure grant and the scope and contents of such an update;
(r) A description of the State's policies for establishing and insuring compliance with qualifications for technical assistance analysts. Such policies shall require that technical assistance analysts be free from financial interests which may conflict with the proper performance of their duties and have experience in energy conservation and:
(1) Be a registered professional engineer licensed under the regulatory authority of the State;
(2) Be an architect-engineer team, the principal members of which are licensed under the regulatory authority of the State; or
(3) Be otherwise qualified in accordance with such criteria as the State may prescribe in its State Plan to insure that individuals conducting technical assistance programs possess the appropriate training and experience in building energy systems;
(s) The circumstances under which the State will or will not consider accepting applications for technical assistance programs or energy conservation measures which were included in earlier approved grant awards but which were not implemented and for which no funds were expended after the original grant award;
(t) A statement setting forth:
(1) An estimate of energy savings which may result from the modification of maintenance and operating procedures and installation of energy conservation measures;
(2) A recommendation as to the types of energy conservation measures considered appropriate within the State; and
(3) An estimate of the costs of carrying out technical assistance and energy conservation measure programs;
(u) For purposes of the technical assistance program pursuant to § 455.62:
(1) A statement setting forth uniform conversion factors to be used by all grant applicants in the technical assistance analysis for conversion of fuels to Btu equivalents. For the conversion of kilowatt hours to Btus, the State may use 3,413, representing consumption at the consumer's end, or 11,600, representing consumption at the producer's end, or may assign 3,413 to some types of energy conservation measures and 11,600 to other types of measures in which case the State shall specify the conversion factor to be used for each type of measure, providing a rationale and citing the sources used in making this decision, and the State shall always apply the specified factor consistently to all ECMs of a particular type;
(2) A statement setting forth the cost-effectiveness testing approach to be used to evaluate energy conservation measures pursuant to § 455.63. States may select either the simple payback approach or the life-cycle
(3) A statement setting forth that 50 percent (or a higher percent) of total cost savings (used in calculating cost effectiveness pursuant to § 455.63(a)(1) for simple payback, or § 455.64(c) for life-cycle costing) must be from the cost of the energy to be saved.
(v) For any coordinating agency, a description of how it will operate including but not limited to:
(1) Name and address;
(2) Type of institutions covered;
(3) Application processing procedures;
(4) Whether TA applications, ECM applications, or both are covered;
(5) Intended schedule for soliciting and processing applications;
(6) Any special provisions for religiously affiliated institutions;
(7) Nature of subagreement to be used with institutions;
(8) Whether TA or ECM contractors selected by the coordinating agency will be offered incident to, or as a condition in, subagreements; and
(9) Other significant policies and procedures;
(w) If a State elects to allow credit toward the cost share for an energy conservation measure for the costs of technical assistance programs, technical assistance program updates, or energy conservation measures previously incurred and wholly paid for with non-Federal funds, the policies regarding such credit, including any time limits for the age of the earlier-funded work being proposed for credit; and
(x) The limit to the Federal share to be provided to applicants in the State if a State elects to provide less than a 50 percent Federal share to its applicants that do not qualify for severe hardship.
(a) Proposed State Plans or Plan amendments necessitated by a change in regulations shall be submitted to DOE within 90 days of the effective date of this subpart or any amended regulations. Upon request by a State, and for good cause shown, DOE may grant an extension of time.
(b) The Support Office Director shall, within 60 days of receipt of a proposed State Plan, review each plan and, if it is reasonable and found to conform to the requirements of this part, approve the State Plan. If the Support Office Director does not disapprove a State Plan within the 60-day period, the State Plan will be deemed to have been approved.
(c) If the Support Office Director determines that a proposed State Plan fails to comply with the requirements of this part or is not reasonable, DOE shall return the plan to the State with a statement setting forth the reasons for disapproval.
(d) Except for State Plan amendments covered by paragraph (a) of this section, if a State wishes to deviate from its approved State Plan, the State must submit and obtain DOE approval of the State Plan amendment.
(e) The Support Office Director shall, within 60 days or less of receipt of a proposed State Plan amendment review each amendment and, if it is found to conform to the requirements of this part, approve the amendment. If the Support Office Director determines that a proposed State Plan amendment fails to comply with the requirements of this part, or is not reasonable, DOE shall return the amendment to the State with a statement setting forth the reasons for disapproval.
(a) DOE will allocate available funds among the States for two purposes: to award grants to schools, hospitals, units of local government, and public care institutions and coordinating agencies representing them to implement technical assistance and energy
(b) DOE shall notify each Governor of the total amount allocated for grants within the State for any grant program cycle:
(1) For schools and hospitals, the allocation amount shall be for technical assistance programs, subject to any limitation placed on technical assistance, and energy conservation measures;
(2) For States that are eligible pursuant to § 455.91, up to 100 percent of the funds allocated to the State by DOE may be used for technical assistance programs and/or for program assistance and up to 50 percent of the funds allocated to the State by DOE may be used for marketing as defined in § 455.2;
(3) For States eligible under § 455.81, a portion of the allocation may be used for a grant to the State for administrative expenses as described in § 455.120;
(4) For unit of local government and public care institutions, the allocation amount shall be solely for technical assistance programs; and
(5) For coordinating agencies, the allocation amount shall be for either technical assistance programs subject to any limitation placed on technical assistance, or energy conservation measures, or both depending on how the coordinating agency elects to operate.
(c) DOE shall notify each Governor of the period for which funds allocated for a grant program cycle will be made available for grants within the State.
(d) Each State shall make available up to 10 percent of its allocation for schools and hospitals in each grant program cycle to provide financial assistance, not to exceed a 90 percent Federal share, for technical assistance programs and energy conservation measures for schools and hospitals determined to be in a class of severe hardship. Such determinations shall be made in accordance with § 455.132.
(a) Financial assistance for conducting technical assistance programs for units of local government and public care institutions shall be allocated among the States by multiplying the sum available by the allocation factor set forth in paragraph (c) of this section.
(b) Financial assistance for conducting technical assistance programs and acquiring and installing energy conservation measures, including renewable resource measures, for schools and hospitals, shall be allocated among the States by multiplying the sum available by the allocation factor set forth in paragraph (c) of this section.
(c) The allocation factor (K) shall be determined by the formula:
(1) Sfc is the projected average retail cost per million Btu's of energy consumed within the region in which the State is located as contained in current regional energy cost projections obtained from DOE.
(2) Nfc is the summation of the Sfc numerators for all States;
(3) N is the total number of eligible States;
(4) SP is the population of the State;
(5) SC is the sum of the State's heating and cooling degree days; and
(6) NPC is the summation of the (SP)(SC) numerators for all States.
(d) Except for the District of Columbia, Puerto Rico, Guam, American Samoa, the Commonwealth of the Northern Mariana Islands, and the U.S. Virgin Islands, no allocation available to any State may be less than 0.5 percent of all amounts allocated in any grant program cycle. No State will be allocated more than 10 percent of the funds allocated in any grant program cycle.
(a) If a State Plan has not been approved and implemented by a State by the close of the period for which allocated funds are available as set forth in the notice issued by DOE pursuant to § 455.30(c), funds allocated to that State for technical assistance and energy
(b) Funds which have been allocated to States in a grant program cycle but which have not been obligated to eligible State, school, or hospital grant applicants by the end of that cycle shall be reallocated by DOE among all States in the next grant program cycle.
(c) Funds which become available due to deobligations resulting from funds returned by grantees due to cost underruns or scope-of-work reductions on completed projects shall be reallocated by DOE among all States in the next grant program cycle.
(d) Funds which become available because of declined grants to schools and hospitals within a State may be reobligated to other eligible applicants in the State until the December 31 following the close of the cycle for which the funds were allocated to the State. Such funds which have not been reobligated by that deadline shall be reallocated by DOE among all States in the next grant program cycle.
(e) Funds which become available because of declined or deobligated financial assistance provided through coordinating agencies to schools and hospitals within a State may be reobligated to other eligible applicants in the State until the December 31 following the close of the cycle for which the funds were allocated to the coordinating agency. Such funds which have not been reobligated by that deadline shall be reallocated by DOE among all States in the next grant program cycle.
(f) Funds granted to States for technical assistance, program assistance, and marketing pursuant to § 455.144 are subject to reallocation by DOE among all the States in the next program cycle if such funds are not committed by the State to their intended purposes by means of grants, contracts, or other legally binding obligations, or redirected to schools and hospitals grant applications pursuant to § 455.144(d), by the December 31 following the close of the cycle for which the funds were allocated to the State.
This subpart specifies what constitutes a technical assistance program eligible for financial assistance under this part and sets forth the eligibility criteria for schools, hospitals, units of local government, and public care institutions to receive grants for technical assistance to be performed in buildings owned by such institutions.
To be eligible to receive financial assistance for a technical assistance program, an applicant must:
(a) Be a school, hospital, unit of local government, public care institution, or coordinating agency representing them except that financial assistance for units of local government and public care institutions will be provided only for buildings which are owned and primarily occupied by offices or agencies of a unit of local government or public care institution and which are not intended for seasonal use and not utilized primarily as a school or hospital eligible for assistance under this program;
(b) Be located in a State which has an approved State Plan as described in subpart B of this part;
(c) Have conducted an energy audit or an energy use evaluation required pursuant to § 455.20(k) and adequate to estimate energy conservation potential for the building for which financial assistance is to be requested, subsequent to the most recent construction, reconfiguration, or utilization change which significantly modified energy use within the building;
(d) If an energy audit has been performed, give assurance that it has implemented all energy conservation maintenance and operating procedures
(e) Submit an application in accordance with the provisions of this part and the approved State Plan.
(a) The purpose of a technical assistance program is to provide a report based on an on-site analysis of the building which meets the requirements of this section and the State's procedures for implementing this section.
(b) A technical assistance program shall be designed to identify and document energy conservation maintenance and operating procedure changes and energy conservation measures in sufficient detail to support possible application for an energy conservation measure grant and to provide reviewers and decision makers handling such applications sufficient information upon which to base a judgment as to their reasonableness and a decision whether to pursue any or all of the recommended improvements.
(c) A technical assistance program shall be conducted by a technical assistance analyst who has the qualifications established in the State Plan in accordance with § 455.20(r).
(d) At the conclusion of a technical assistance program, the technical assistance analyst shall prepare a report which shall include:
(1) A description of building characteristics and energy data including:
(i) The results of the energy audit or energy use evaluation of the building together with a statement as to the accuracy and completeness of the energy audit or energy use evaluation data and recommendations;
(ii) The operation characteristics of energy-using systems; and
(iii) The estimated remaining useful life of the building;
(2) An analysis of the estimated energy consumption of the building, by fuel type in total Btus and Btu/sq.ft./yr., using conversion factors prescribed by the State in the State Plan, at optimum efficiency (assuming implementation of all energy conservation maintenance and operating procedures);
(3) A description and analysis of all identified energy conservation maintenance and operating procedure changes, if any, and energy conservation measures selected in accordance with the State Plan, including renewable resource measures, setting forth:
(i) A description of each energy conservation maintenance and operating procedure change and an estimate of the costs of adopting such energy conservation maintenance and operating procedure changes;
(ii) An estimate of the cost of design, acquisition and installation of each energy conservation measure, discussing pertinent assumptions as necessary;
(iii) Estimated useful life of each energy conservation measure;
(iv) An estimate of any increases or decreases in maintenance and operating costs that would result from each conservation measure, if relevant to the cost effectiveness test applicable under this part;
(v) An estimate of any significant salvage value or disposal cost of each energy conservation measure at the end of its useful life if relevant to the cost effectiveness test applicable under this part;
(vi) An estimate, supported by all data and assumptions used in arriving at the estimate, of the annual energy savings, the annual cost of energy to be saved, and total annual cost savings using current energy prices including demand charges expected from each energy conservation maintenance and operating procedure change and the acquisition and installation of each energy conservation measure. In calculating the potential annual energy savings, annual cost of energy to be saved, or total annual cost savings of each energy conservation measure, including renewable resource measures, the technical assistance analyst shall:
(A) Assume that all energy savings obtained from energy conservation maintenance and operating procedures have been realized;
(B) Calculate the total annual energy savings, annual cost of energy to be saved, and total annual cost savings, by fuel type, expected to result from the acquisition and installation of the energy conservation measures, taking
(C) Calculate that portion of the total annual energy savings, annual cost of energy to be saved, and total annual cost savings, as determined in paragraph (d)(3)(vi)(B) of this section, attributable to each individual energy conservation measure; and
(D) Consider climate and other variables;
(vii) An analysis of the cost effectiveness of each energy conservation measure consistent with § 455.63 and, if applicable, § 455.64 of this part;
(viii) The estimated cost of the measure, which shall be the total cost for design and other professional service (excluding the cost of a technical assistance program), if any, and acquisition and installation costs. If required by the State in its State Plan, or if requested by the applicant, the technical assistance report shall provide a life-cycle cost analysis which is consistent with § 455.64 and states the discount and energy cost escalation rates that were used;
(ix) The simple payback period of each energy conservation measure, calculated pursuant to § 455.63(a);
(4) Energy use and cost data, actual or estimated, for each fuel type used for the prior 12-month period, by month, if possible;
(5) Documentation of demand charges paid by the institution for the prior 12-month period, by month if possible, when demand charges are included in current energy prices or when the technical assistance report recommends an energy conservation measure that shifts energy usage to periods of lower demand and cost; and
(6) A signed and dated certification that the technical assistance program has been conducted in accordance with the requirements of this section and that the data presented is accurate to the best of the technical assistance analyst's knowledge.
(a) This paragraph applies to calculation of the simple payback period of energy conservation measures.
(1) The simple payback period of each energy conservation measure (except measures to shift demand, or renewable resource measures) shall be calculated, taking into account the interactions among the various measures, by dividing the estimated total cost of the measure, as determined pursuant to § 455.62(d)(3)(ii), by the estimated annual cost savings accruing from the measure (adjusted for demand charges), as determined pursuant to § 455.62(d)(3)(vi), provided that:
(i) At least 50 percent of the annual cost savings used in this calculation shall be from the cost of the energy to be saved or a higher percent if required by a State in its State Plan pursuant to § 455.20(u)(3); and
(ii) No more than 50 percent of the annual cost savings used in this calculation shall be from other cost savings, such as those resulting from energy conservation maintenance and operating procedures related to particular energy conservation measures, or from changes in type of fuel used, or a lower percent if required by a State in its State Plan pursuant to § 455.20(u)(3).
(2) The simple payback period of each renewable resource energy conservation measure shall be calculated, taking into account the interactions among the various measures, by dividing the estimated total cost of the measure, as determined pursuant to § 455.62(d)(3)(ii), by the estimated annual cost savings accruing from the measure taking into account at least the annual cost of the non-renewable fuels displaced less the annual cost of the renewable fuel, if any, and the annual cost of any backup non-renewable fuel needed to operate the system, adjusted for demand charges, as determined pursuant to § 455.62(d)(3)(vi).
(3) The simple payback period of each energy conservation measure designed to shift demand to a period of lower demand and lower cost shall be calculated, taking into account the interactions among the various measures, by dividing the estimated total cost of the measure, as determined pursuant to § 455.62(d)(3)(ii), by the estimated annual cost savings accruing from the measure taking into account at least the annual cost of the energy used before the measure is installed less the estimated annual cost of the energy to be used after the measure is installed,
(b) This paragraph applies, in addition to paragraph (a) of this section, if the State plan requires the cost effectiveness of an energy conservation measure to be determined by life-cycle cost analysis or if the applicant requests such an analysis.
(1) A life-cycle cost analysis, showing a savings-to-investment ratio greater than or equal to one over the useful life of the energy conservation measure or 15 years, whichever is less, shall be conducted in accordance with the requirements set forth in the State Plan pursuant to §§ 455.20(u)(2), 455.20(u)(3) and § 455.64.
(2) The resulting savings-to-investment ratio shall be used for the purpose of ranking applications.
(a) The life-cycle cost methodology under § 455.63(b) of this part is a systematic comparison of the relevant significant cost savings and costs associated with an energy conservation measure over its expected useful life, or other appropriate study period with future cost savings and costs discounted to present value. The format for displaying life-cycle costs shall be a savings-to-investment ratio.
(b) An energy conservation measure must be cost effective, and its savings-to-investment ratio must be greater than or equal to one no earlier than the end of the second year of the study period.
(c) A savings-to-investment ratio is the ratio of the present value of net cost savings attributable to an energy conservation measure to the present value of the net increase in investment, maintenance and operating, and replacement costs less salvage value or disposal cost attributable to that measure over a study period.
(d) Except for energy conservation measures to shift demand or to use renewable energy resources, the numerator of the savings-to-investment ratio shall include net cost savings, appropriately discounted and adjusted for energy cost escalation consistent with paragraph (g) of this section, subject to the limitation that the cost of the energy to be saved shall constitute at least 50 percent of the net cost savings unless the State specifies a higher percent in its State plan pursuant to § 455.20(u)(3).
(e) With respect to energy conservation measures to shift demand or to use renewable energy resources, the numerator of the savings-to-investment ratio shall be net cost savings appropriately discounted and adjusted for energy cost escalation consistent with paragraph (g) of this section.
(f) The study period for a life-cycle cost analysis, which may not exceed 15 years, shall be the useful life of the energy conservation measure or of the energy conservation measure with the longest life (for purposes of ranking buildings with multiple energy conservation measures).
(g) The discount rate must equal or exceed the discount rate annually provided by DOE under 10 CFR part 436. The energy cost escalation rates must not exceed those annually provided by DOE under 10 CFR part 436.
(h) Investment costs may be assumed to be a lump sum occurring at the beginning of the base year, or to the extent that there are future investment costs, discounted to present value.
(i) The cost of energy and maintenance and operating costs may be assumed to begin to accrue at the beginning of the base year or when they are actually projected to occur.
(j) It may be assumed that costs occur in a lump sum at any time within the year in which they are incurred.
This subpart sets forth the eligibility criteria for schools and hospitals to receive grants for energy conservation measures, including renewable resource measures, and the elements of an energy conservation measure program.
(a) To be eligible to receive financial assistance for an energy conservation measure, including renewable resource measures, an applicant must:
(1) Be a school, hospital, or coordinating agency representing them as defined in § 455.2;
(2) Be located in a State which has an approved State Plan as described in subpart B of this part;
(3) Have completed a technical assistance program consistent with § 455.62, as determined by the State in accordance with the State Plan, for the building for which financial assistance is to be requested subsequent to the most recent construction, reconfiguration, or utilization change to the building which significantly modified energy use within the building;
(4) Have completed an updated technical assistance program if required in the State Plan as specified in § 455.20(q);
(5) Have implemented all energy conservation maintenance and operating procedures which are identified as the result of a technical assistance program or have provided pursuant to the State plan a satisfactory written justification for not implementing any specific maintenance and operating procedures so identified;
(6) Have met any requirements set forth in the State Plan pursuant to § 455.20(m) regarding the avoidance of supplanting other funds in the financing of energy conservation measures under this part;
(7) Have no plan or intention at the time of application to close or otherwise dispose of the building for which financial assistance is to be requested within the simple payback period or useful life (depending on the State's requirement for determining cost effectiveness) of any energy conservation measure recommended for that building; and
(8) Submit an application in accordance with the provisions of this part and the approved State Plan;
(b) To be eligible for financial assistance:
(1) In States where simple payback has been selected as the cost-effectiveness test pursuant to § 455.20(u)(2), the simple payback period of each energy conservation measure for which financial assistance is requested shall not be less than 2 years nor greater than 10 years, and the estimated useful life of the measure shall be greater than its simple payback period; or
(2) In States where life-cycle costing has been selected as the cost-effectiveness test pursuant to § 455.20(u)(2), the savings-to-investment ratio of each energy conservation measure must be greater than or equal to one under § 455.63(b)(1), over a period for analysis which does not exceed 15 years, and the useful life of the energy conservation measure must be at least 2 years.
(c) Leased equipment is not eligible for financial assistance under this part. Equipment which becomes the property of the grantee at the conclusion of a long-term purchase agreement without any additional payment is eligible.
Financial assistance awarded under this subpart may be expended for the design (excluding design costs funded under the technical assistance program), acquisition, and installation of energy conservation measures to reduce energy consumption or measures to allow the use of renewable resources in schools and hospitals or to shift energy usage to periods of low demand and cost. Such measures include, but are not necessarily limited to, those included in the definition of “energy conservation measure” in § 455.2.
This subpart describes what constitutes a State administrative expense that may receive financial assistance under this part and sets forth the eligibility criteria for States to receive grants for administrative expenses.
To be eligible to receive financial assistance for administrative expenses, a State must:
(a) Have in place a State Plan approved by DOE pursuant to § 455.21 and
(b) Be operating a program to provide technical assistance and energy conservation measure grants, or technical assistance, program assistance, and marketing (where energy conservation measures are funded non-Federally) to
A State's administrative expenses shall be limited to those directly related to administration of technical assistance programs, program assistance and marketing programs, and energy conservation measures including costs associated with:
(a) Personnel whose time is expended directly in support of such administration;
(b) Supplies and services expended directly in support of such administration;
(c) Equipment purchased or acquired solely for and utilized directly in support of such administration, subject to 10 CFR 600.436;
(d) Printing, directly in support of such administration; and
(e) Travel, directly related to such administration.
This subpart describes what constitutes a State program for technical assistance, program assistance, and marketing that may receive financial assistance under this part and sets forth the eligibility criteria for States to receive grants for technical assistance, program assistance, and marketing.
To be eligible to receive financial assistance for technical assistance, program assistance, and marketing, a State must:
(a) Have in place a State Plan approved by DOE which includes a description of the State's program or programs to provide technical assistance, program assistance, and marketing, pursuant to § 455.20(j)(1);
(b) Have established a program consistent with this part to fund, from non-Federal sources, energy conservation measures for eligible institutions; and
(c) Provide to DOE a certification pursuant to § 455.122.
Technical assistance awards by States under this subpart are subject to all requirements of this part which apply to DOE-awarded technical assistance program grants except that States:
(a) Are not required to award the funds in grant instruments;
(b) May award the funds throughout the fiscal year subject to § 455.144(a)(3); and
(c) Are not required to rank applications under § 455.131(b) of this part.
Amounts made available under this part, together with any other amounts made available from other Federal sources, may not be used to pay more than 50 percent of the costs of technical assistance programs and energy conservation measures unless the grantee qualifies for the exceptions specified in §§ 455.141(a), 455.142(a), 455.142(b), or for severe hardship assistance specified in § 455.142(c). In cases of severe hardship, the Federal share of the cost cannot exceed 90 percent.
The non-Federal share of the costs of acquiring and installing energy conservation measures may be provided by using financing or other forms of borrowed funds, such as those provided by loans and performance contracts, even if such financing does not provide for the grantee to receive clear title to the equipment being financed until after the grant is closed out. However, grantees in such cases must otherwise meet all the requirements of this part, and financing and loan agreements and performance contracts under this section are subject to the requirements of 10 CFR Part 600 and the certification requirements under § 455.111(e). Grantees must receive clear title to the equipment when the loan is paid off.
To the extent a State provides in its State Plan, DOE may wholly or partially credit the costs of the following, with respect to a building, toward the required cost-share for an energy conservation measure grant in that building:
(a) A non-Federally funded technical assistance program;
(b) A non-Federally funded technical assistance program update to comply with § 455.20(q); and
(c) The non-Federally funded implementation of one or more energy conservation measures, which complies with the eligibility criteria set forth in § 455.71.
(a) If a State has provided for credit in its State Plan pursuant to § 455.20(w), applications for credit will be considered only when the technical assistance programs or updates and the energy conservation measure projects for which credit is sought meet the applicable program requirements, such as those specified in § 455.61, § 455.62, § 455.71, and the relevant sections of 10 CFR part 600, except that the project need not comply with the Davis-Bacon Act regarding labor standards or wage rates.
(b) Credit for energy conservation measures will be considered only when supported by a technical assistance analysis that meets the requirements of § 455.62 and that was performed prior to the installation of the energy conservation measures.
(a) Grantees which receive rebates or other monetary considerations from utilities or other entities for installing the energy conservation measures funded by a grant under this part may use such funds to meet their cost- sharing obligations pursuant to § 455.100.
(b) Where the rebate or monetary consideration does not exceed the non-Federal share of the cost of the measures applied for in a grant application, grantees are not required to deduct the amount of the rebate or monetary consideration from the cost of the measures, and DOE does not consider such rebates or monetary considerations to be program income which would have to be remitted to DOE upon receipt by the grantee.
(c) Where the rebate or monetary consideration does exceed the non-Federal share of the cost of the measures applied for in a grant application, grantees may use the excess to fund additional measures if such measures have been recommended in the technical assistance report. If it is not possible to use the excess funding in this way, the grantee must reduce the cost—and DOE will reduce the Federal share—by the amount of the excess above the non-Federal share.
(a) Each eligible applicant desiring to receive financial assistance (either from DOE directly, through a State serving as a coordinating agency, or through another organization serving as a coordinating agency) shall file an application in accordance with the provisions of this subpart and the approved State Plan of the State in which such building is located. The application, which may be amended in accordance with applicable State procedures at any time prior to the State's final determination thereon, shall be filed with the State energy agency designated in the State Plan. Coordinating agencies shall file a single application with DOE which includes all of the information required below for each building for which assistance has been requested and to which is attached a copy of each application from each building owner.
(b) Applications from schools, hospitals, units of local government, public care institutions, and coordinating agencies for financial assistance for technical assistance programs shall include the certifications contained in § 455.111 and:
(1) The applicant's name and mailing address;
(2) The energy audit or energy use evaluation required by the State pursuant to § 455.20(k) for each building for which financial assistance is requested;
(3) A project budget, by building, which stipulates the intended use of all Federal and non-Federal funds, including in-kind contributions (valued in accordance with the guidelines in 10 CFR part 600), to be used to meet the cost-sharing requirements described in subpart I of this part;
(4) A brief description, by building, of the proposed technical assistance program, including a schedule, with appropriate milestone dates, for completing the technical assistance program;
(5) Additional information required by the applicable State Plan and any other information which the applicant desires to have considered, such as information to support an application from a school or hospital for financial assistance in excess of the 50 percent Federal share on the basis of severe hardship or an application which proposes the use of Federal funds, paid under and authorized by another Federal agreement to meet cost sharing requirements.
(c) Applications from schools and hospitals and coordinating agencies for financial assistance for energy conservation measures, including renewable resource measures, shall include the certifications contained in § 455.111 and:
(1) The applicant's name and mailing address;
(2) A description of each building for which financial assistance is requested sufficient to determine the building's eligibility, ownership, use, and size in gross square feet;
(3) A project budget, by measure or building, as provided in the State Plan which stipulates the intended use of all Federal and non-Federal funds and identifies the sources and amounts of non-Federal funds, including in-kind contributions (valued in accordance with the guidelines in 10 CFR part 600) to be used to meet the cost-sharing requirements described in subpart I of this part;
(4) A schedule, including appropriate milestone dates, for the completion of the design, acquisition, and installation of the proposed energy conservation measures for each building;
(5) For each energy conservation measure proposed for funding, the projected cost, the projected simple payback period, and if appropriate, the life-cycle cost savings-to-investment ratio calculated under § 455.64. Applications with more than one energy conservation measure per building shall include projected costs and paybacks, and if appropriate, the savings-to-investment ratios for each measure and the average simple payback period or overall savings-to-investment ratio for all measures proposed for the building;
(6) The report of the technical assistance analyst (unless waived by DOE because the report is already in its possession). This report must have been completed since the most recent construction, reconfiguration, or utilization change to the building which significantly modified energy use, for each building;
(7) An update of the technical assistance program report if required by the State in its State Plan and as specified in § 455.20(q);
(8) If the applicant is aware of any adverse environmental impact which may arise from adoption of any energy conservation measure, an analysis of that impact and the applicant's plan to minimize or avoid such impact; and
(9) Additional information required by the applicable State Plan, and any additional information which the applicant desires to have considered, such as information to support an application for financial assistance in excess of the non-Federal share set forth in the State plan on the basis of severe hardship, or an application which proposes the use of Federal funds paid under and authorized by another Federal agreement to meet cost sharing requirements.
Applications for financial assistance for technical assistance programs and energy conservation measures, including renewable resource measures, shall include certification that the applicant:
(a) Is eligible under § 455.61 for technical assistance or § 455.71 for energy conservation measures;
(b) Has satisfied the requirements set forth in § 455.110;
(c) For applications for technical assistance, has implemented all energy conservation maintenance and operating procedures recommended in the energy audit pursuant to § 455.20(k), if done, and for applications for energy conservation measures, those recommended in the report obtained under a technical assistance program pursuant to § 455.62. If any such procedure has not been implemented, the application shall contain a satisfactory written justification consistent with the State plan for not implementing that procedure;
(d) Will obtain from the technical assistance analyst, before the analyst performs any work in connection with a technical assistance program or energy conservation measure, a signed statement certifying that the technical assistance analyst has no conflicting financial interest and is otherwise qualified to perform the duties of technical assistance analyst in accordance with the standards and criteria established in the approved State Plan;
(e) When using borrowed funds for the non-Federal share of an energy conservation project where a lien is placed by the lender on equipment funded under the grant, will obtain clauses in the financing contract:
(1) Stating the percent of DOE interest in the equipment (i.e., the percent of the total cost provided by the grant); and
(2) Requiring lender notification, with certified return receipt requested, to the applicable Support Office Director of the filing of a lawsuit seeking a remedy for a default; and
(f) Will comply with all reporting requirements contained in § 455.113.
When an energy conservation measure or group of measures in a building, funded under this part, has a total estimated cost for acquisition and installation of more than $5,000, any construction contract or subcontract in excess of $2,000, using any grant funds awarded under this part must include:
(a) Those contract labor standards provisions set forth in 29 CFR 5.5 and
(b) A provision for payment of laborers and mechanics at the minimum wage rates determined by the Secretary of Labor in accordance with the Davis-Bacon Act (40 U.S.C. 276a) as set forth in 29 CFR part 1.
(a) Each unit of local government or public care institution which receives a grant for a technical assistance program and each school, hospital, and coordinating agency which receives a grant for a technical assistance program or an energy conservation measure, including renewable resource measures, shall keep all the records required by § 455.4 in accordance with this part and the DOE Financial Assistance Rules.
(b) Each grantee shall submit reports as follows:
(1) For technical assistance programs, two copies of a final report of the analysis completed on each building for which financial assistance was provided shall be submitted, either both to the State energy agency, or one to the State energy agency, and one to DOE as agreed upon between the State and the DOE Support Office no later than 90 days following completion of the analysis. These reports shall contain:
(i) The report submitted to the institution by the technical assistance analyst, and
(ii) The institution's plan to implement energy conservation maintenance and operating procedures;
(2) For energy conservation measure projects:
(i) Semi-annual progress reports. Two copies shall be submitted, either both to the State energy agency or one to the State energy agency and one to DOE, as agreed upon between the State and the DOE Support Office, no later than the end of July (for the period January 1 through June 30), and January (for the period July 1 through December 31) and shall detail and discuss
(ii) A final report. Two copies shall be submitted, either both to the State energy agency or one to the State energy agency and one to DOE, as agreed upon between the State and the DOE Support Office, within 90 days of the completion of the project and shall list and describe the energy conservation measures acquired and installed, contain a final actual cost and a final estimated simple payback period for each measure and the project as a whole, or a final savings-to-investment ratio for each measure and the project as a whole (depending on the State requirement), and include a statement that the completed energy conservation measures conform to the approved grant application;
(iii) Annual energy use reports from a representative sample to be selected by the State which will reflect the grantee's actual post-retrofit energy use experiences for 3 years after project completion. Two copies of these reports shall be submitted, either both to the State energy agency or one to the State energy agency and one to DOE, as agreed upon between the State and the DOE Support Office within 60 days after the end of each 12-month period covered in the reports and shall identify each building and provide data on energy use for that building for the relevant 12-month period. To the extent feasible, energy consumption data in each annual report should be the monthly usage data by fuel or energy type, and the reports should include brief descriptions of any changes in building usage, equipment, or structure occurring during the reporting period.
(3) Each copy of any technical assistance or energy conservation measure report shall be accompanied by a financial status report completed in accordance with the documents listed in § 455.3;
(4) In cases where both copies of the grantee technical assistance, energy conservation measure, and financial status reports are submitted to the State, as agreed upon between the State and the DOE Support Office, the State shall in turn submit copies to DOE on a mutually agreed-upon schedule; and
(5) Such other information as DOE may from time to time request.
Each State desiring to receive grants to help defray State administrative expenses shall file an application in accordance with the provisions of this section.
(a) Where a State is operating a program solely to provide grants to schools and hospitals, the maximum amount of administrative expenses the State may apply for is $50,000 or 5 percent of the Federal share of its schools and hospitals grant awards, whichever is greater.
(1) At any time after notice by DOE of the amounts allocated to each State for a grant program cycle, each State may apply to DOE for an amount for administrative expenses not exceeding $50,000.
(2) After making a submittal to DOE as required under § 455.133, each State may apply for a further grant not exceeding 5 percent of the total Federal share of all grant awards for technical assistance and energy conservation measures within the State, less the $50,000 provided for in paragraph (a)(l) of this section if that was previously awarded to the State for administrative expenses in the same grant program cycle.
(b) Where a State is eligible and elects to apply to use its appropriated allocation for grants for technical assistance, program assistance, and/or marketing pursuant to § 455.121, the maximum amount of administrative expenses the State may apply for is $50,000 or 5 percent of the total amount
(1) At any time after notice by DOE of amounts allocated to each State for a grant program cycle, each State may apply to DOE for an amount for administrative expenses not exceeding $50,000.
(2) Once the total amount obligated or legally committed to the program in the cycle is known, a State may subsequently apply for a further grant, not exceeding 5 percent of the total amount (less the $50,000 provided for in paragraph (b)(1) of this section if that was previously awarded to the State for administrative expenses in the same fiscal year) obligated or legally committed to eligible recipients in the State during the fiscal year for technical assistance, program assistance, and marketing, and for energy conservation measures which are funded with non-Federal funds but which meet the certification and other requirements of this part for such energy conservation measures.
(3) The aggregate amount applied for to cover State administrative expenses, technical assistance, program assistance, and marketing cannot exceed the State's allocation for the fiscal year.
(c) In the event that a State cannot, or decides not to use the amount available to it for an administrative grant under this section for administrative purposes, these funds may, at the discretion of the State, be used for technical assistance and energy conservation measure grants to eligible institutions within that State in accordance with this part.
(d) Applications for financial assistance to defray State administrative expenses shall include:
(1) The name and address of the person designated by the State to be responsible for the State's functions under this part;
(2) An identification of intended use of all Federal and non-Federal funds to be used for the State administrative expenses listed in § 455.82; and
(3) Any other information required by DOE.
(a) A State may apply for up to 100 percent of the amount allocated to it for a grant program cycle to fund administrative expenses under § 455.120 and technical assistance and program assistance programs, or for up to 50 percent of the amount allocated to it for a grant program cycle to fund marketing programs provided that:
(1) The State has established a program to fund technical assistance, program assistance, or marketing programs, and has described its program or programs in its State Plan, as specified in § 455.20(j);
(2) The State has a program or programs established consistent with this part of that fund, from non-Federal sources, energy conservation measures eligible under this part;
(3) Not more than 15 percent of the aggregate amount of Federal and non-Federal funds legally committed or obligated to eligible recipients in the State to provide program assistance, marketing and technical assistance programs, implement energy conservation measures consistent with this part, and otherwise carry out a program pursuant to this part for the fiscal year concerned are expended for program assistance, technical assistance and marketing costs for such program;
(4) The energy conservation measures funded from non-Federal sources under this section would be eligible for funding under § 455.71; and
(5) The institutions undertaking the non-Federally funded energy conservation measures do so in accordance with all applicable Federal, State, and local laws and regulations with particular attention paid to applicable Federal and State non-discrimination laws and regulations.
(b) Applications for financial assistance to defray State technical assistance, program assistance, or marketing expenses shall include:
(1) The name and address of the person designated by the State to be responsible for the State's functions under this part;
(2) An identification of intended use of all Federal and non-Federal funds
(3) Descriptions of the activities to be implemented together with a description of the State's program to provide non-Federal sources of funding to carry out the State's program(s) for energy conservation measures consistent with this part;
(4) A certification that the 15 percent limit specified in subparagraph (a)(3) of this section will not be exceeded; and
(5) Any other information required by DOE.
Applications from States for financial assistance for technical assistance programs, program assistance, and marketing shall include certifications that the State:
(a) Has established a program or programs to fund, from non-Federal sources, energy conservation measures for eligible buildings consistent with this part;
(b) Will not expend, for technical assistance, program assistance, and marketing, more than 15 percent of the aggregate amount of Federal and non-Federal funds legally obligated or committed to eligible recipients in the State to provide technical assistance, program assistance, marketing programs, implement energy conservation measures consistent with this part, and otherwise carry out a program pursuant to this part for the fiscal year concerned; and
(c) Has provided for regular DOE-funded grants to eligible religiously affiliated institutions if the State has a State constitutional or other legal prohibition on providing State assistance to such institutions and if such institutions would be ineligible to apply for the non-Federally funded energy conservation measures or State-funded technical assistance.
(a) Each State which receives a grant for administrative expenses, or a grant for technical assistance programs, program assistance, or marketing shall keep all the records required by § 455.4 in accordance with this part and the DOE Financial Assistance Rules.
(b) Each State shall submit a semi-annual program performance report to DOE by the close of each February and August, including, but not limited to:
(1) A discussion of administrative activities pursuant to § 455.82, if a State has received a grant to fund such activities, and a discussion of milestones accomplished, those not accomplished, status of in-progress activities, problems encountered, and remedial actions, if any, planned pursuant to § 455.135(f);
(2) A discussion of technical assistance, program assistance, and/or marketing programs pursuant to § 455.121, if the State has received grants to fund such activities, including a discussion of the results of the State's program to non-Federally fund energy conservation measures consistent with this part pursuant to § 455.121, with a list of buildings receiving assistance for technical assistance programs and a list of buildings which obtained energy conservation measures using non-Federal funds, including the name and address of each building, the amount and type of funding provided to each, and for energy conservation measures, the types of measures funded in each building together with each measure's total estimated cost and estimated annual cost savings, annual energy savings, and the annual cost of the energy to be saved (determined pursuant to § 455.62(d)) consistent with the data currently provided to DOE on all ICP grants;
(3) A summary of grantee reports received by the State during the report period pursuant to §§ 455.113(b)(1) and (b)(2);
(4) For the report due to be submitted to DOE by the close of each August, an estimate of annual energy use reductions in the State, by energy
(5) Such other information as DOE may from time to time request.
(c) Each copy of any report covering grants for State administrative, technical assistance, program assistance, or marketing expenses shall be accompanied by a financial status report completed in accordance with the documents listed in § 455.3. In addition, States shall file quarterly financial status reports for the quarters which occur between the semi-annual report periods covered in their program performance reports. These quarterly reports are due within 30 days following the end of the applicable quarters.
(a) If an application received by a State is reviewed and evaluated by that State and determined to be in compliance with subparts E, F, and J of this part, § 455.130(b), any additional requirements of the approved State Plan, State environmental laws, and other applicable laws and regulations, then such application will be eligible for financial assistance.
(b) Concurrent with its evaluation and ranking of grant applications pursuant to § 455.131, the State will forward applications for technical assistance or for energy conservation measures for schools to the State school facilities agency for review and certification that each school application is consistent with related State programs for educational facilities. For hospitals the certification requirement applies only if there is a State requirement for it in which case the procedure should be described in the State Plan.
(a) Except as provided by § 455.92 of this part, all eligible applications received by the State will be ranked by the State in accordance with its approved State Plan.
(b) For technical assistance programs, buildings shall be ranked in descending priority based upon the energy conservation potential, on a savings percentage basis, of the building as determined in the energy audit or energy use evaluation pursuant to § 455.20(k). Each State shall develop separate rankings for all buildings covered by eligible applications for:
(1) Technical assistance programs for units of local government and public care institutions and
(2) Technical assistance programs for schools and hospitals.
(c) All eligible applications for energy conservation measures received will be ranked by the State on building-by-building or a measure-by-measure basis. If a State ranks on a building-by-building basis, several buildings may be ranked as a single building if the application proposes a single energy conservation measure which is physically connected to all of the buildings. If a State ranks on a measure-by-measure basis, a measure that is physically connected to a number of buildings may be ranked as a single measure. Buildings or measures shall be ranked in accordance with the procedures established by the State Plan on the basis of the information developed during a technical assistance program (or its equivalent) for the building and the criteria for ranking applications. The criterion set forth in paragraph (1) of this subsection shall receive at least 50 percent of the weight given to the criteria used to rank applications. Each State may assign weights to the other criteria as set forth in the State Plan pursuant to § 455.20(e). The criteria for ranking applications are:
(1) Simple payback or a life-cycle cost analysis, calculated in accordance with § 455.63 and § 455.64, as applicable;
(2) The types and quantities of energy to be saved, including oil, natural gas, or electricity, in a priority as established in the approved State Plan;
(3) The types of energy sources to which conversion is proposed, including renewable energy;
(4) The quality of the technical assistance program report; and
(5) Other factors as determined by the State.
(d) A State is exempt from the ranking requirements of this section when:
(1) The total amount requested by all applications for schools and hospitals for technical assistance and energy conservation measures in a given grant program cycle for grants up to 50 percent is less than or equal to the funds available to the State for such grants and the total amount recommended for hardship funding is less than or equal to the amounts available to the State for such grants and
(2) The total amount requested by all applications for buildings owned by units of local government and public care institutions in a given grant program cycle is less than or equal to the total amount allocated to the State for technical assistance program grants in the State;
(e) If a State elects to permit applications for credit pursuant to § 455.102, such applications for completed or partially completed energy conservation measures shall reflect both the work done and the work to be done and will be reviewed and ranked on the basis of the cost of all of the measures in the project. The credit shall not exceed the non-Federal share of the proposed additional energy conservation measures (and the Federal share shall not exceed the cost of the work remaining to be done).
(f) Within the rankings of school and hospital buildings for technical assistance and energy conservation measures including renewable resource measures to the extent that approvable applications are submitted, a State shall initially assure that:
(1) Schools receive at least 30 percent of the total funds allocated for schools and hospitals to the State in any grant program cycle and
(2) Hospitals receive at least 30 percent of the total funds allocated for schools and hospitals to the State in any grant program cycle.
(g) If there are insufficient applications from schools or hospitals to cover the respective 30 percent requirements specified in paragraph (f) of this section, then the State may recommend use of the remaining funds in those allocations for other qualified applicants.
(a) To the extent provided in § 455.30(d), financial assistance will be initially available for schools and hospitals experiencing severe hardship based upon an applicant's inability to provide the non-Federal share as specified in the State plan pursuant to § 455.20(g). This financial assistance will be available only to the extent necessary to enable such institutions to participate in the program.
(b) The State shall recommend funds for severe hardship applications wholly or partially from the funds reserved in accordance with § 455.30(d) and as stated in an approved State Plan.
(c) Applications for Federal funding in excess of the non-Federal share in the State plan pursuant to § 455.20(x) based on claims of severe hardship shall be given an additional evaluation by the State to assess on a quantifiable basis to the maximum extent practicable the relative need among eligible institutions. The minimum amount of additional Federal funding necessary for the applicant to participate in the program will be determined by the State in accordance with the procedures established in the State Plan. The primary consideration shall be the institution's inability to provide the non-Federal share of the project cost as specified in the State plan pursuant to § 455.20(x). Secondary criteria such as climate, fuel cost and fuel availability, borrowing capacity, median family income in the area, and other relevant factors as determined by the State may be addressed in the State Plan as specified in § 455.20(g).
(d) A State shall indicate, for those schools and hospitals with the highest rankings, determined pursuant to § 455.131(b) and (c):
(1) The amount of additional hardship funding requested by each eligible applicant for each building determined to be in a class of severe hardship and
(2) The amount of hardship funding recommended by the State based upon relative need, as determined in accordance with the State Plan, to the limit of the hardship funds available. The State must decide on a case-by-case basis whether, and to what extent, it will recommend hardship funding.
(e) If there are insufficient applications from hardship applicants to cover the 10 percent allocation provided for in § 455.30(d), then the State may recommend use of the remaining funds for other qualified applicants. The total amount recommended for hardship grants cannot exceed the 10 percent limit.
(a) Except as provided by § 455.92 of this part, each State shall forward all applications recommended for funding within its allocation to DOE once each program cycle along with a listing of buildings or measures covered by eligible applications for schools, hospitals, units of local government, and public care institutions ranked by the State if necessary pursuant to the provisions of § 455.131. If ranking has been employed, the list shall include the standings of buildings or measures.
(1) Measure-by-measure rankings will be recombined for the respective buildings with more than one recommended measure and
(2) Buildings will be consolidated under one grantee application.
(b) The State shall indicate the amount of financial assistance requested by the applicant for each eligible building and, for those buildings recommended for funding within the limits of the State's allocation, the amount recommended for funding. If the amount recommended is less than the amount requested by the applicant, the list shall also indicate the reason for that recommendation.
(c) The State shall indicate that it has reviewed and evaluated all of the submitted applications and that those applications meet the relevant requirements of the program, and shall certify that applications submitted are eligible pursuant to § 455.130(a).
A State eligible to apply for grants for technical assistance, program assistance, or marketing, as described in § 455.121, may submit such an application to DOE any time after the allocations have been announced as part of, or in lieu of, an application for a grant for State administrative expenses. Such applications shall provide separate narrative descriptions, budgets and appropriate milestone dates, covering each activity or program, that are sufficiently detailed to enable DOE to reasonably evaluate the application.
Each State shall be responsible for:
(a) Consulting with eligible institutions and coordinating agencies representing such institutions in the development of its State Plan;
(b) Notifying eligible institutions and coordinating agencies of the content of the approved State Plan and any amendment to a State Plan;
(c) Notifying each applicant how the applicant's building or measure ranked among other applications, and whether and to what extent its application will be recommended for funding or if not to be recommended for funding, the specific reasons(s) therefor;
(d) Certifying that each institution has given its assurance that it is willing and able to participate on the basis of any changes in amounts recommended for that institution in the State ranking pursuant to § 455.131;
(e) Reporting requirements pursuant to § 455.113; and
(f) Direct program oversight and monitoring of the activities for which grants are awarded as defined in the State Plan. States shall immediately notify DOE of any noncompliance or indication thereof.
(a) DOE shall review and approve applications submitted by a State in accordance with § 455.133 if DOE determines that the applications meet the objectives of the Act, and comply with the applicable State Plan and the requirements of this part. DOE may disapprove all or any portion of an application to the extent funds are not available to carry out a program or measure (or portion thereof) contained in the application, or for such other reason as DOE may deem appropriate.
(b) DOE shall notify a State and the applicant of the final approval or disapproval of an application at the earliest practicable date after the DOE receipt of the application, and, in the event of disapproval, shall include a statement of the reasons therefor.
(c) An application which has been disapproved for reasons other than lack of funds may be amended to correct the cause of its disapproval and resubmitted in the same manner as the original application at any time within the same grant program cycle. Such an application will be considered to the extent funds have not already been designated for applicants by the ranking process at the time of resubmittal. However, nothing in this provision shall obligate either the State or DOE to take final action regarding a resubmitted application within the grant program cycle. An application not acted upon may be resubmitted in a subsequent grant program cycle.
(d) DOE shall not provide supplemental funds to cover cost overruns or other additional costs beyond those provided for in the original grant award for technical assistance projects and shall fund only one technical assistance project per building.
(e) DOE shall not provide supplemental funds to cover cost overruns or other additional costs beyond those provided for in the original grant award for energy conservation measures funded under a grant in a given grant program cycle. DOE shall not provide funds to cover energy conservation measures intended to replace energy conservation measures funded in an earlier grant cycle unless the State has funds remaining after all applications for new energy conservation measures have been evaluated and submitted to DOE for funding.
(f) If provided for in the State Plan, an applicant may reapply for a technical assistance program or an energy conservation measure grant which was included in a prior grant application but which was not implemented and for which no funds were expended.
(g) An applicant may apply for, and DOE may make, grant awards in another grant program cycle for additional energy conservation measures which relate to a building which previously received grants for other energy conservation measures.
(h) Funds which become available to a grantee after the installation of all approved measures, due to cost underruns in the installed measures, may be used by the grantee for additional measures if such measures are approved in writing by the State and DOE.
(i) DOE may fund costs incurred by an applicant for technical assistance and energy conservation measure projects after the date of the grant application, so long as that date is no earlier than the close of the preceding grant program cycle. Such costs may be funded when, in the judgment of DOE, the applicant has complied with program requirements and the costs incurred are allowable under applicable cost principles and the approved project budget. The applicant bears the responsibility for the entire project cost unless the application is approved by DOE in accordance with this part.
(j) In addition to the prior approval requirements for project changes as specified in the DOE Financial Assistance Rules (10 CFR part 600), a grantee shall request prior written approval from DOE before:
(1) Transferring DOE or matching amounts between buildings included in an approved application when the State ranks applications on a building-by-building basis or
(2) Transferring DOE or matching amounts between energy conservation
(a) DOE may make grants to units of local government, public care institutions, and coordinating agencies representing them for up to 50 percent of the costs of performing technical assistance programs for buildings covered by an application approved in accordance with § 455.140 except that in the case of units of local government and public care institutions a majority of whose operating and capital funds are provided by the Government of the U.S. Virgin Islands, Guam, American Samoa, or the Commonwealth of the Northern Mariana Islands, a grant may be made for up to 100 percent of such costs.
(b) Total grant awards within any State to units of local government and public care institutions are limited to funds allocated to each State in accordance with § 455.30.
(c) Units of local government and public care institutions are not eligible for financial assistance for severe hardship.
(a) DOE may make grants to schools, hospitals, and coordinating agencies for up to 50 percent of the costs of performing technical assistance programs for buildings covered by an application approved in accordance with § 455.140; except that in the case of schools and hospitals a majority of whose operating and capital funds are provided by the Government of the U.S. Virgin Islands, Guam, American Samoa, or the Commonwealth of the Northern Mariana Islands a grant may be made for up to 100 percent of such costs. Grant awards for technical assistance programs in any State within any grant program cycle shall be limited to a portion of the total allocation as specified in § 455.30(b)(1).
(b) DOE may make grants to schools, hospitals and coordinating agencies for up to 50 percent of the costs of acquiring and installing energy conservation measures, including renewable resource measures, for buildings covered by an application approved in accordance with § 455.140, except that in the case of schools and hospitals a majority of whose operating and capital funds are provided by the Government of the U.S. Virgin Islands, Guam, American Samoa, or the Commonwealth of the Northern Mariana Islands, a grant may be made for up to 100 percent of such costs.
(c) DOE may award up to 10 percent of the total amount allocated to a State for schools and hospitals in cases of severe hardship, ascertained by the State in accordance with the State Plan, for buildings recommended and in amounts determined by the State pursuant to § 455.132(d)(2).
(a) For the purpose of defraying State expenses in the administration of technical assistance programs in accordance with subpart E and energy conservation measures in accordance with subpart F or energy conservation measures non-Federally funded pursuant to § 455.121, DOE may make grant awards to a State:
(1) Immediately following public notice of the amounts allocated to a State for the grant program cycle, and upon approval of the application for administrative costs, in an amount not exceeding $50,000;
(2) Concurrent with grant awards for approved applications for technical assistance or energy conservation measures for institutions in that State and upon approval of an application for administrative costs, in an amount not exceeding the difference between the amount granted pursuant to paragraph (a)(1) of this section and 5 percent of the Federal share of the total amount of grants awarded within the State for technical assistance programs and energy conservation measures in the applicable grant program cycle; or
(3) Upon receipt by DOE of documentation from the State demonstrating that sufficient non-Federal funding has been obligated or legally committed to schools and hospitals for energy conservation measures pursuant to
(b) Grants for such purposes may be made for up to 100 percent of the projected administrative expenses, not to exceed the State's allocation or the $50,000 or 5 percent limit, as approved by DOE.
(c) The total of all grants for State administrative costs, technical assistance programs, and energy conservation measures (or for State administrative costs, technical assistance, program assistance, and marketing, if the State elects and is eligible to apply for such grants) in that State shall not exceed the total amount allocated for that State for any grant program cycle.
(d) In the event that a State cannot or decides not to use the amount available to it for an administrative grant under this section for administrative purposes, these funds may, at the discretion of the State, be used for technical assistance and energy conservation grants to eligible institutions within that State in accordance with this part.
(a) For the purpose of defraying State expenses in the administration of special programs to provide technical assistance and program assistance pursuant to § 455.121, DOE may make a grant award to a State for up to 100 percent of the funds allocated to the State for the grant program cycle, provided that the State meets the requirements described in § 455.121(b). In addition:
(1) Funds for individual technical assistance programs provided by the State pursuant to this section shall not exceed 50 percent of the cost of the technical assistance program;
(2) Grants for program assistance may be made for up to 100 percent of a State's projected program assistance expenses; and
(3) Grants for State technical assistance, and program assistance programs may be awarded by DOE upon approval of an application from the State.
(b) For the purpose of defraying State expenses in the administration of a marketing program pursuant to § 455.121, DOE may make a grant award to a State for up to 50 percent of the funds allocated to the State for the grant program cycle, provided that the State meets the requirements described in § 455.121(b). In addition:
(1) Grants for marketing may be made for up to 100 percent of a State's projected marketing expenses; and
(2) Such grants may be awarded by DOE upon approval of an application from the State.
(c) If a State provides a certification under section 455.121(b) and is unable to document that the required non-Federal funding levels for energy conservation measures were achieved substantially for the previous fiscal year for which a similar certification was submitted, DOE may deny the application, accept it after the percentage of allocated funds is reduced in light of past performance, or take other appropriate action.
(d) In the event that a State, after receiving a grant under this section, cannot or decides not to use all or part of the amount available to it for technical assistance, program assistance, and marketing, these funds may, at the discretion of the State and after appropriate application to and approval of DOE, be used for technical assistance and energy conservation grants to eligible institutions within that State in accordance with this part.
(a) A State shall have a right to file a notice requesting administrative review of a decision under § 455.143 by a Support Office Director to disapprove
(b) A State shall have a right to file a notice requesting administrative review of a decision under § 455.144 by a Support Office Director to disapprove an application for a grant award for State technical assistance, program assistance, or marketing programs.
(c) A school, hospital, coordinating agency, or State acting as an institution's duly authorized agent shall have a right to file a notice requesting administrative review of a decision under § 455.140 by a Support Office Director to disapprove an application for a grant award to perform technical assistance programs or to acquire and install an energy conservation measure if the disapproval is based on a determination that:
(1) The applicant is ineligible, under § 455.61 or § 455.71 or for any other reason; or
(2) An energy use evaluation submitted in lieu of an energy audit is unacceptable under the State Plan; or
(3) A technical assistance program equivalent performed without the use of Federal funds does not comply with the requirements of § 455.62 for purposes of satisfying the eligibility requirements of § 455.71(a)(3).
(a) Any applicant shall have 20 days from the date of receipt of a decision subject to administrative review under § 455.150 to disapprove its application for a grant award to file a notice requesting administrative review. If an applicant does not timely file such a notice, the decision to disapprove shall become final for DOE.
(b) A notice requesting administrative review shall be filed with the Support Office Director and shall be accompanied by a written statement containing supporting arguments.
(c) If the applicant is a State appealing pursuant to paragraph (a) of § 455.150, the State shall have the right to a public hearing. To exercise that right, the State must request such a hearing in the notice filed under paragraph (b) of this section. A public hearing under this section shall be informal and legislative in nature.
(d) A notice or any other document shall be deemed filed under this subpart upon receipt.
On or before 15 days from receipt of a notice requesting administrative review which is timely filed, the Support Office Director shall forward to the Deputy Assistant Secretary the notice requesting administrative review, the decision to disapprove as to which administrative review is sought, a draft recommended final decision for concurrence, and any other relevant material.
(a) If a State requests a public hearing pursuant to paragraph (a) of § 455.150, the Deputy Assistant Secretary, within 15 days, shall give actual notice to the State and
(b) The Deputy Assistant Secretary shall concur in, concur in as modified, or issue a substitute for the recommended decision of the Support Office Director:
(1) With respect to a notice filed pursuant to paragraph (a) of § 455.150, on or before 60 days from receipt of documents under § 455.152 or the conclusion of a public hearing, whichever is later; or
(2) With respect to a notice filed pursuant to paragraph (b) of § 455.150, on or before 30 days from receipt of documents under § 455.152.
On or before 15 days from the date of the determination under § 455.153(b), the applicant for a grant award may file an application, with a supporting statement of reasons, for discretionary review by the Assistant Secretary. If
A decision under § 455.153 shall be final for DOE if there is no review sought under § 455.154. If there is review under § 455.154, the decision thereunder shall be final for DOE, and no appeal shall lie elsewhere in DOE.
Energy Research and Development Administration Appropriation Authorization of 1977, Pub. L. 95-39; Energy Reorganization Act of 1974, Pub. L. 93-438; Department of Energy Organization Act, Pub. L. 95-91.
The recordkeeping requirements contained in this part have been approved by the Office of Management and Budget under control number 1904-0036.
This part contains guidelines for the implementation of the appropriate technology small grants program required to be prescribed by section 112 of the Act.
As used in this part—
There is established, under direction of the Assistant Secretary for Conservation and Solar Energy of DOE, an appropriate technology small grants program for the purpose of encouraging development and demonstration of, and the dissemination of information with respect to, energy-related systems and supporting technologies appropriate to—
(a) The needs of local communities and the enhancement of community self-reliance through the use of available resources;
(b) The use of renewable resources and the conservation of non-renewable resources;
(c) The use of existing technologies applied to novel situations and uses;
(d) Applications which are energy conserving, environmentally sound, small scale and low cost; and
(e) Applications which demonstrate simplicity of installation, operation and maintenance.
(a) Support under this part may be made to individuals, local non-profit organizations and institutions. State and local agencies, Indian tribes and small businesses.
(b) The aggregate amount of support made available to any participant in the program, including affiliates, shall not exceed $50,000 during any 2-year period. This limitation applies only to support for projects and not to funds received by participants from DOE for other purposes, such as performance of services.
(c) Projects which shall be considered for support are those which carry out the purposes of the program as expressed in § 470.10 and which are within the following categories—
(1) Idea development, i.e., the development of an idea or concept or an investigative finding in areas ranging from development of new concepts of energy sources to the utilization of old procedures or systems for a new application;
(2) Device development, i.e., the systematic use and practical application of investigative findings and theories
(3) Demonstration, i.e., the testing of a system or technique under operation conditions to show that commercial application is technically, economically and environmentally feasible.
(d) Support for each category in paragraph (c) of this section shall not, for a single participant in the program, including affiliates, exceed the following limits for any project—
(1) For idea development, $10,000;
(2) For device development, $50,000; and
(3) For demonstration, $50,000.
(4) A participant may receive under a subsequent program solicitation—
(i) Additional support for a funded project or;
(ii) Initial support for a new project, subject to the support limits set forth in paragraphs (b) and (d) of this section.
(a) The program shall be managed by a National Program Director within the Office of the Assistant Secretary for Conservation and Solar Energy of DOE.
(b) The program shall be implemented regionally, based on the 10 standard Federal regions or combinations thereof, to insure substantial consideration of the needs, resources, and special circumstances of local communities. Regions may be combined provided the requirements of Office of Management and Budget Circular A-106 entitled “Standard Federal Regulations” are met. Regional Program Managers shall design and manage the regional programs as directed by the National Program Director and shall consult, as appropriate, with State and local officials, the appropriate technology community and other interested parties.
(a) The Regional Program Managers shall be responsible for the preparation of program solicitations which solicit proposals for support under the program pursuant to simplified application procedures. Projects may be supported under the program only if they have successfully completed under a program solicitation.
(b) Each program solicitation shall include—
(1) A description of the program;
(2) The eligibility requirements;
(3) A time schedule for submission of, and action on, proposals;
(4) A simple application form for submitting a proposal for support under the program, together with instructions for completing the application form;
(5) Evaluation criteria, along with a narrative description of their relative importance;
(6) An explanation of the evaluation and selection procedures, including a notice to proposers that if the proposer expressly indicates that only Government evaluation is authorized, DOE may be unable to give full consideration to the proposal.
(7) Other applicable information, terms and conditions, including the desired budget format;
(8) Place for, and manner of, submission;
(9) A unique number for identification purposes;
(10) A statement notifying potential proposers that an announcement does not commit DOE to pay any proposal perparation costs and that DOE reserves the right to select for support any, all, or none of the proposals received in response to a solicitation;
(11) A late proposal provision;
(12) A statement notifying proposers how to identify information in the proposal which the proposer does not want disclosed for purposes other than the evaluation of the proposal.
(13) A statement notifying proposers that all information contained in the proposal will be handled in accordance
(14) A statement notifying proposers of their right to request a debriefing pursuant to the procedures set forth in § 470.18; and
(15) A statement notifying proposers of their right to request a waiver of DOE's title to inventions made under the program.
(c) Each program solicitation shall be synopsized in the
(a) Prior to making a comprehensive evaluation of a proposal, the receiving office shall determine that it contains sufficient technical, cost, and other information to enable comprehensive evaluation and that it has been properly signed. If the proposal does not meet these requirements, a prompt reply shall be sent to the proposer, indicating the reason(s) for the proposal not being selected for support under the program solicitation. A proposer may correct any minor informality or irregularity or apparent clerical mistake prior to the entering into of grants, contracts, or cooperative agreements. A minor informality or irregularity is one which is merely a matter of form and not of substance or pertains to some immaterial or inconsequential defect or variation from the exact requirements of the program announcement.
(b)(1) The Regional Program Manager shall select a number of technical evaluation reviewers representing several disciplines to ensure adequate technical review of proposals.
(2) After receiving nominations from each State or combinations of States within the Region, the Program Manager shall select a number of State reviewers for each State or combinations of States, respectively. The nominations and selections of State reviewers shall take into consideration representation by persons from a variety of backgrounds, in order that the reviewers are able to evaluate proposals of potential merit in various fields and from various types of proposers.
(3) The Regional Program Manager or designee shall provide proposals to the technical evaluation and State reviewers and shall provide their findings and comments to the selection panel established pursuant to paragraph (3) of this section.
(4) In carrying out the responsibilities set forth in paragraphs (b) (1), (2) and (3) of this section, the Regional Program Manager (i) shall determine the number of technical evaluation and State reviewers who shall review each proposal; (ii) shall determine the sequence of the technical and State review; (iii) may designate a person to serve as both a technical and State reviewer, if appropriate to the needs of the program in the Region. A decription of the Program Manager's determinations under this paragraph shall be included in the Program Solicitation pursuant to § 470.13(b)(6).
(c) Each technical evaluation reviewer shall evaluate those proposals which he or she receives from the Regional Program Manager or designee and shall provide his or her findings to the Regional Program Manager or designee. In addition to the general criteria underlying the establishment of the program as set forth in § 470.10, the major criteria to be considered by each technical evaluation reviewer shall include—
(1) Whether the proposal is technically feasible, including a determination as to whether the proposed energy savings or energy production can be technically achieved;
(2) Whether the results being proposed are capable of being measured;
(3) Whether the proposal has any potential environmental, health and safety impacts; and
(4) From a technical standpoint, whether the proposal can be carried out within the funds being requested.
(d) Each State reviewer shall evaluate those proposals which he or she receives from the Program Manager or
(1) The potential impact of the proposal on the energy needs and requirements of the community or region;
(2) The energy resource involved and its importance or availability to the community or region;
(3) The expected energy savings or production that will result from the proposal and the significance of those savings or production to the energy requirements of the community or region;
(4) The institutional barriers that may substantially affect the proposal and the potential of the proposal to deal with those barriers;
(5) The likelihood of commercialization or utilization of the technology, process, or items within the proposal and extent of such commercialization/utilization;
(6) The innovative nature of the proposal;
(7) Any potential environmental, health and safety impacts of the proposal upon the community or region;
(8) The extent to which work beyond the funded project period might be required;
(9) The extent to which local resources, material, and manpower will be utilized; and
(10) The adequacy of the business aspects of the proposal, including the reasonableness of the proposer's budget for carrying out the proposal.
(e) A selection panel composed of DOE personnel appointed by the Regional Program Manager shall, taking into account the findings and comments of the technical evaluation and State reviewers, evaluate and rank the proposals in accordance with the criteria stated in the program solicitation.
(f) For each Region, a DOE selection official shall select proposals for support from the ranking established by the selection panel, taking into account the following program policy factors in order to determine the mix of proposed projects which will best further specific program goals—
(1) Regional distribution, including geography, population, and climate;
(2) Project type distribution, including a diversity of methods, approaches, and technologies;
(3) Diversity of participants; and
(4) The best overall use of the funds available.
(a) DOE shall annually allocate fiscal year funds available for support among the 10 standard Federal Regions, according to the following formula;
(1) Two-thirds to be allocated according to population; and
(2) One-third to be allocated according to the number of proposals received, per hundred thousand of population of the Region, which meet the requirements set forth in § 470.14(a).
(b) The minimum annual level of support for projects for each State within a Region shall be 10 percent of the fiscal year funds allocated to the Region, divided by the number of States in the Region.
(c) For the purposes of this section, population shall be determined by the most current complete national series, as published by the United States Bureau of the Census in
Proposers are encouraged to offer to share in the costs of their proposed projects or to arrange that other entities provide cost sharing on their behalf. Regional Program Managers, with the consent of the proposer, may work with States, local governments or other entities to obtain supplemental funding.
(a) Except where this part provides otherwise, the submission, evaluation and selection for support of proposals under the program and the entering into and administration of grants, cooperative agreements, and contracts under the program, shall be governed
(b) Each grant, cooperative agreement or contract under this part shall require that a recipient of support under the program shall submit a full written report of activities supported in whole or in part by Federal funds made available under the program and shall contain any additional report provisions and other provisions dealing with records, allowable expenses, accounting practices, publication and publicity, copyrights, patents, discrimination, conflict of interest, insurance, safety, changes, resolution of disputes and other standard and/or relevant support agreements requirements required by, or appropriate to, the needs of the program.
Upon written request, unsuccessful proposers will be accorded debriefings. Such debriefings must be requested within 30 working days of notification of elimination from consideration. Debriefings will be provided at the earliest feasible time as determined by the Regional Program Manager.
DOE shall disseminate to the public, in an appropriate manner, information of the nature, usage and availability of the energy-related systems and supporting technologies developed or demonstrated under the program. In addition, DOE shall maintain and make available to recipients of support under the program current information on public and private sources of possible assistance for the further development and commercialization of their projects.
Federal Energy Administration Act of 1978—Civilian Applications, Pub. L. 95-238; Department of Energy Organization Act, Pub. L. 95-91.
These regulations implement section 304(f) of the Federal Energy Administration Act of 1978—Civilian Applications, and apply to each new contract, grant, cooperative agreement, Department of Energy project, or other agency project funded or to be funded under the authority of that Act. 15 U.S.C. 2703(f) (1970). These regulations do not apply to subcontractors, or to contracts, grants, cooperative agreements, Department of Energy projects, or other agency projects entered into, made, or formally approved and initiated prior to February 25, 1978, or with respect to any renewal or extension thereof. Insofar as grants, cooperative agreements, and contracts are concerned, these regulations provide procedures and requirements that are in addition to those generally applicable
For purpose of these regulations—
In accordance with applicable procedures of § 473.11 any applicant for a grant, cooperative agreement, or contract under the Act to support research and development activities of an advanced automobile propulsion system shall—
(a) State whether the activities will initiate or continue research and development of an advanced automobile propulsion system;
(b) State, insofar as the applicant has information, whether and to what extent the activities to be supported are technically the same as activities conducted previously or to be conducted during the annual funding period by any person for research and development of a substantially similar advanced automobile propulsion system;
(c) Justify research and development activities on an advanced automobile propulsion system abandoned by any person because of a lack of mass production potential by presenting information showing a significant intervening technological advance, promising conceptual innovation, or other special consideration;
(d) Provide—
(1) An assurance that the amount of funds to be expended for research and development of advanced automobile propulsion systems during the initial annual funding period will exceed the amount of funds expended, if any, during the previous year for the same purpose by at least the amount of the grant, cooperative agreement, or contract being sought; and
(2) An assurance that the level of research and development effort on advanced automobile propulsion systems in the initial annual funding period will not be decreased in future annual funding periods.
(e) Provide to the extent possible—
(1) An assurance that the time period for completing research and development of the advanced automobile propulsion is likely to be shorter as a result of a grant, cooperative agreement, or contract; and
(2) The estimated delay, if any, which is likely to occur if the application for a grant, cooperative agreement, or contract is denied.
(a) An applicant submitting an unsolicited proposal to conduct research and development to be funded by a grant, cooperative agreement, or contract under the Act shall include the information required under § 473.10 in the unsolicited proposal document filed under the assistance or procurement regulations of the DOE or other Federal agency which funds the proposed research and development under the Act.
(b) In responding to a solicitation for a proposal to conduct research and development funded by a grant, cooperative agreement, or contract under the Act, the applicant shall include the information required under § 473.10 in the proposal.
(c) Information submitted under § 473.10 of these regulations shall be certified in writing as complete and accurate by the applicant, and if the applicant is not an individual, the chief executive officer of the applicant or his authorized designee shall sign the certification.
(a) In compliance with paragraph (b) of this section and unless provisions of paragraph (c) of this section apply, the manager shall cause to be published in the Commerce Business Daily a statement describing the unsolicited proposal, solicitation, DOE project, or agency project, as appropriate, inviting any interested person to submit a written objection, with supporting information at an appropriate address on or before 30 days from the date of publication, if the person believes that the research and development to be performed does not comply with standards and criteria of § 473.30.
(b) Except as paragraph (c) of this section applies, the manager shall comply with the requirements of paragraph (a) of this section—
(1) Upon receipt of an unsolicited proposal from an applicant;
(2) In any notice of availability of a solicitation;
(3) Prior to beginning a DOE project; or
(4) Prior to beginning an agency project.
(c) Without publishing a notice under paragraph (a) of this section, the manager may reject an unsolicited proposal that does not comply with these regulations or any other generally applicable requirements.
The manager may request additional information from an applicant or any interested person who files an objection under § 473.20.
(a) Upon expiration of the time for filing information under these regulations, the manager shall—
(1) Review the proposed research and development to be performed under grant, under cooperative agreement, under contract, as a DOE project, or as an agency project and any other pertinent information received under these regulations or otherwise available; and
(2) Initially determine whether the research and development reviewed under paragraph (a)(1) of this section complies with the standards and criteria of § 473.30.
(b) A manager who makes a negative determination under paragraph (a)(2) of this section shall inform the applicant and any interested person who objected of the decision in writing with a brief statement of supporting reasons.
(c) A manager who initially determines that research and development reviewed under this section complies with the standards and criteria of § 473.30 shall cause an interagency review panel to be convened under § 473.23.
(a) The interagency review panel shall consist of—
(1) A head designated by the Federal agency that employs the manager;
(2) A representative of the DOE if the manager is not an employee of the DOE; and
(3) A representative of any other Federal agency deemed appropriate by the Federal agency that employs the manager.
(b) The interagency review panel shall—
(1) Review the research and development to be performed and consider the information presented by the applicant, in the case of a grant, cooperative agreement, or contract, and by any interested person who filed a statement of objection;
(2) Make a recommendation with a supporting statement of findings to the manager as to whether the research and development to be performed complies with the standards and criteria of § 473.30; and
(3) Operate by majority vote with the head of the panel casting the decisive vote in the event of a tie.
(a) Upon consideration of the recommendation of the interagency review panel and other pertinent information, the manager—
(1) Shall determine whether the research and development to be performed complies with the standards and criteria of § 473.30;
(2) Shall obtain the concurrence of the DOE if the manager is not an employee of the DOE;
(3) Shall, in the event of a negative determination under this section, advise the applicant, in the case of a grant, cooperative agreement, or contract, and any interested person who filed a statement of objection; and
(4) Shall, in the event of an affirmative determination under this section, prepare a certification—
(i) Explaining the determination;
(ii) Discussing any allegedly related or comparable industrial research and development considered and deemed to be an inadequate basis for not certifying the grant or contract;
(iii) Discussing issues regarding cost sharing and patent rights related to the standards and criteria of § 473.30 of these regulations; and
(iv) Discussing any other relevant issue.
(b) After complying with paragraph (a) of this section, the manager shall sign the certification and distribute copies to the applicant, if any, and any interested person who filed a statement of objections—
(1) Immediately in the case of a DOE or agency project; and
(2) After the agreement has been negotiated in the case of a grant, cooperative agreement, or contract.
Any certification issued under these rules is—
(a) Subject to disclosure under 5 U.S.C. 552 (1970) and section 17 of the Federal Nonnuclear Energy Research and Development Act of 1974, as amended, 42 U.S.C. 5918 (1970);
(b) Subject neither to judicial review nor to the provisions of 5 U.S.C. 551-559 (1970), except as provided under paragraph (a) of this section; and
(c) Available to the Committee on Science and Technology of the House of Representatives and the Committee on Energy and Natural Resources of the Senate.
Research and development to be performed under a grant, under a cooperative agreement, under a contract, as a DOE project, or as an agency project under the Act may be certified under these regulations only if the research and development to be conducted—
(a) Supplements the automotive propulsion system research and development efforts of industry or any other private researcher;
(b) Is not duplicative of efforts previously abandoned by private researchers unless there has been an intervening technological advance, promising conceptual innovation, or justified by other special consideration;
(c) Would not be performed during the annual funding period but for the availability of the Federal funding being sought;
(d) Is likely to produce an advanced automobile propulsion system suitable for steps toward technology transfer to
(e) Is not technologically the same as efforts by any person conducted previously or to be conducted during the annual funding period regarding a substantially similar advanced automobile propulsion system; and
(f) Is not likely to result in a decrease in the level of private resources expended on advanced automotive research and development by substituting Federal funds without justification.
Sec. 503(a)(3), Motor Vehicle Information and Cost Savings Act, Pub. L. 94-163 (15 U.S.C. 2003(a)(3)), as added by sec. 18, Chrysler Corporation Loan Guarantee Act of 1979, Pub. L. 96-185; Department of Energy Organization Act, Pub. L. 95-91.
This part contains procedures for calculating the equivalent petroleum-based fuel economy value of electric vehicles, as required to be prescribed by the Secretary of Energy under section 503(a)(3) of the Motor Vehicle Information and Cost Savings Act (15 U.S.C. 2003(a)(3)), as added by section 18 of the Chrysler Corporation Loan Guarantee Act of 1979. The equivalent petroleum-based fuel economy value is intended to be used in calculating corporate average fuel economy pursuant to regulations promulgated by the Environmental Protection Agency at 40 CFR Part 600—Fuel Economy of Motor Vehicles.
For purposes of this part, the term—
(a) The conditions and equipment in the Electric Vehicle Test Procedure—SAE J227a of the Society of Automotive Engineers shall be used for conducting the test procedures set forth in this section.
(b) The test procedures prescribed in SAE procedure J227a, Vehicle Energy Economy, using Vehicle Test Cycle C for the driving cycle, shall be used for generation of the stop-and-go electrical efficiency value.
(c) The test procedures prescribed in SAE procedure J227a, Vehicle Energy Economy, using a driving cycle consisting of a maximum cruise speed of 54 mph, as prescribed in the SAE procedure for Range at Steady Speed, shall be used for generation of the steady-speed electrical value. For an electric vehicle model type that is incapable of maintaining a maximum cruise speed of 54 mph, this test procedure shall be conducted at the maximum cruise speed as defined in section 2.8 of the SAE procedure J227a.
(a) Calculate the equivalent petroleum-based fuel economy of an electric vehicle as follows:
(1) Determine the stop-and-go electrical efficiency value, according to § 474.3(b).
(2) Determine the steady-speed electrical efficiency value, according to § 474.3(c).
(b) Calculate the electrical efficiency value by:
(1) Multiplying the stop-and-go electrical efficiency value by 0.91;
(2) Multiplying the steady-speed electrical efficiency value by 0.09; and
(3) Adding the resulting two figures, rounding to the nearest 0.01 kWh/mile.
(c) Calculate the energy equivalent fuel economy value by dividing the electrical efficiency value into 36.66.
(d) For purposes of paragraph (e) of this section, use the appropriate Petroleum Equivalency Factor as follows:
(1) If no more than 33 percent of the production volume of the electric vehicle model type is to be equipped with any petroleum-powered accessories, use the first number listed under paragraph (e) of this section for the applicable model year.
(2) If more than 33 percent of the production volume of the electric vehicle model type is to be equipped with only one petroleum-powered accessory, use the second number under paragraph (e) of this section of the applicable model year.
(3) If more than 33 percent of the production volume of the electric vehicle model type is to be equipped with two petroleum-powered accessories, use the third number under § 474.4(e) for the applicable model year.
(e) Calculate the equivalent petroleum-based fuel economy value in miles per gallon by multiplying the energy equivalent fuel economy value by the appropriate petroleum equivalency factor for the model year in which the electric vehicle is manufactured.
(1) For model year 1981, the petroleum equivalency factor is:
(i) 1.9,
(ii) 1.7, or
(iii) 1.6;
(2) For model year 1982, the petroleum equivalency factor is:
(i) 2.0,
(ii) 1.8, or
(iii) 1.6;
(3) For model year 1983, the petroleum equivalency factor is:
(i) 2.0,
(ii) 1.8, or
(iii) 1.6;
(4) For model year 1984, the petroleum equivalency factor is:
(i) 2.1,
(ii) 1.9, or
(iii) 1.7;
(5) For model year 1985, the petroleum equivalency factor is:
(i) 2.3,
(ii) 2.0, or
(iii) 1.8;
(6) For model year 1986, the petroleum equivalency factor is:
(i) 2.2,
(ii) 2.0, or
(iii) 1.8; and
(7) For model year 1987, the petroleum equivalency factor is:
(i) 2.2,
(ii) 2.0, or
(iii) 1.8.
42 U.S.C. 7191, 13211, 13235, 13251, 13257, 13258, 13260-3; 28 U.S.C. 2461 note.
(a) The provisions of this part implement the alternative fuel transportation program under titles III, IV, V, and VI of the Energy Policy Act of 1992. (Pub. L. 102-486)
(b) The provisions of this subpart cover the definitions applicable throughout this part and procedures to obtain an interpretive ruling and to petition for a generally applicable rule to amend this part.
The following definitions apply to this part—
(1) Not more than 6,000 pounds gross vehicle weight; or
(2) More than 6,000, but less than 10,000 pounds gross vehicle weight, if the Secretary of Transportation has decided, by rule, that the vehicle meets the criteria in section 501(1) of the Motor Vehicle Information and Cost Savings Act, as amended, 49 U.S.C. 32901(a)(3).
(1) When it is used to determine whether one person controls another or whether two persons are under common control, means any one or a combination of the following:
(i) A third person or firm has equity ownership of 51 percent or more in each of two firms; or
(ii) Two or more firms have common corporate officers, in whole or in substantial part, who are responsible for the day-to-day operation of the companies; or
(iii) One person or firm leases, operates, or supervises 51 percent or more of the equipment and/or facilities of another person or firm; owns 51 percent or more of the equipment and/or facilities of another person or firm; or has equity ownership of 51 percent or more of another person or firm.
(2) When it is used to refer to the management of vehicles, means a person has the authority to decide who can operate a particular vehicle, and the purposes for which the vehicle can be operated.
(1) A fleet, as defined by this section, that contains at least 20 light duty motor vehicles that are centrally fueled or capable of being centrally fueled, and are used primarily within a metropolitan statistical area or a consolidated metropolitan statistical area, as established by the Bureau of the Census, with a 1980 population of 250,000 or more (as set forth in Appendix A to this subpart) or in a
(2) At least 50 light duty motor vehicles within the United States.
(1) An automobile that operates solely on alternative fuel; or
(2) A motor vehicle, other than an automobile, that operates solely on alternative fuel.
(1) An automobile that meets the criteria for a dual fueled automobile as that term is defined in section 513(h)(1)(C) of the Motor Vehicle Information and Cost Savings Act, 49 U.S.C. 32901(a)(8); or
(2) A motor vehicle, other than an automobile, that is capable of operating on alternative fuel and on gasoline or diesel fuel; or
(3) A flexible fuel vehicle.
(1) By a person who owns, operates, leases, or otherwise controls 50 or more light duty motor vehicles within the United States and its possessions and territories;
(2) By any person who controls such person;
(3) By any person controlled by such person; and
(4) By any person under common control with such person.
When counting light duty motor vehicles to determine under this part whether a person has a fleet or to calculate alternative fueled vehicle acquisition requirements, the following vehicles are excluded—
(a) Motor vehicles held for lease or rental to the general public, including vehicles that are owned or controlled primarily for the purpose of short-term rental or extended-term leasing, without a driver, pursuant to a contract;
(b) Motor vehicles held for sale by motor vehicle dealers, including demonstration motor vehicles;
(c) Motor vehicles used for motor vehicle manufacturer product evaluations or tests, including but not limited to, light duty motor vehicles owned or held by a university research department, independent testing laboratory, or other such evaluation facility, solely for the purpose of evaluating the performance of such vehicle for engineering, research and development or quality control reasons;
(d) Law enforcement vehicles;
(e) Emergency motor vehicles;
(f) Motor vehicles acquired and used for purposes that the Secretary of Defense has certified to DOE must be exempt for national security reasons;
(g) Nonroad vehicles; and
(h) Motor vehicles which, when not in use, are normally parked at the personal residences of the individuals that usually operate them, rather than at a central refueling, maintenance, or business location.
DOE responses to inquiries with regard to the provisions of this part that are not filed in compliance with §§ 490.5 or 490.6 of this part constitute general information and the responses provided shall not be binding on DOE.
(a)
(b)
(1) With the Assistant Secretary;
(2) In an envelope labeled “Request for Interpretive Ruling under 10 CFR Part 490;” and
(3) By messenger or mail at the Office of Energy Efficiency and Renewable Energy, EE-33, U.S. Department of Energy, 1000 Independence Avenue, S.W., Washington, D.C. 20585 or at such other address as DOE may provide by notice in the
(c)
(1) Be in writing;
(2) Be labeled “Request for Interpretive Ruling Under 10 CFR Part 490;”
(3) Identify the name, address, telephone number, and any designated representative of the person requesting the interpretive ruling;
(4) State the facts and circumstances relevant to the request;
(5) Be accompanied by copies of relevant supporting documents, if any;
(6) Specifically identify the pertinent regulations and the related question on which an interpretive ruling is sought with regard to the relevant facts and circumstances; and
(7) Contain any arguments in support of the terms of an interpretation the requester is seeking.
(d)
(e)
(f)
(1) Conduct an investigation of any statement in a request;
(2) Consider any other source of information in evaluating a request for an interpretive ruling; and
(3) Rely on previously issued interpretive rulings dealing with the same or a related issue.
(g)
(h)
(i)
(j)
(1) There is insufficient information upon which to base an interpretive ruling;
(2) The questions posed should be treated in a general notice of proposed rulemaking under 42 U.S.C. 7191 and 5 U.S.C. 553;
(3) There is an adequate procedure elsewhere in this part for addressing the question posed such as a petition for exemption; or
(4) For other good cause.
(k)
(a)
(b)
(c)
(1) Be labeled “Petition for Rulemaking Under 10 CFR Part 490”;
(2) Describe with particularity the terms of the rule being sought;
(3) Identify the provisions of law that direct, authorize, or affect the issuance of the rules being sought; and
(4) Explain why DOE should not choose to make policy by precedent through interpretive rulings, petitions for exemption, or other adjudications.
(d)
(1) Would be inconsistent with statutory law;
(2) Would establish a generally applicable policy in an area that should be left to case-by-case determinations;
(3) Would establish a policy inconsistent with the underlying statutory purposes; or
(4) For other good cause.
(a) Nothing in this part shall be construed to require or authorize sale of, or conversion to, light duty alternative fueled motor vehicles in violation of applicable regulations of any Federal, State or local government agency.
(b) Nothing in this part shall be construed to require or authorize the use of a motor fuel in violation of applicable regulations of any Federal, State, or local government agency.
Metropolitan Statistical Areas/Consolidated Metropolitan Statistical Areas With 1980 Populations of 250,000 or more
This subpart sets forth rules implementing the provisions of Section 507(o) of the Act which requires, subject to some exemptions, that certain percentages of new light duty motor vehicles acquired for State fleets be alternative fueled vehicles.
(a) Except as otherwise provided in this part, of the new light duty motor vehicles acquired annually for State government fleets, including agencies thereof but excluding municipal fleets, the following percentages shall be alternative fueled vehicles for the following model years;
(1) 10 percent for model year 1997;
(2) 15 percent for model year 1998;
(3) 25 percent for model year 1999;
(4) 50 percent for model year 2000; and
(5) 75 percent for model year 2001 and thereafter.
(b) Each State shall calculate its alternative fueled vehicle acquisition requirements for the State government fleets, including agencies thereof, by applying the alternative fueled vehicle acquisition percentages for each model year to the total number of new light duty motor vehicles to be acquired during that model year for those fleets.
(c) If the calculation performed under paragraph (b) of this section produces a number that requires the acquisition of a partial vehicle, an adjustment to the acquisition number will be made by rounding the number of vehicles down the next whole number if the fraction is less than one half and by rounding the number of vehicles up to the next whole number if the fraction is equal to or greater than one half.
(d) A State fleet that first becomes subject to this part after model year 1997 shall acquire alternative fueled vehicles in the next model year at the percentage applicable to that model year according to the schedule in paragraph (a) of this section, unless the State is granted an exemption or reduction of the acquisition percentage pursuant to the procedures and criteria in section 490.204.
The following actions within a model year qualify as acquisitions for the purpose of compliance with the requirements of section 490.201 of this part:
(a) The purchase or lease of an Original Equipment Manufacturer light duty vehicle (regardless of the model year of manufacture), capable of operating on alternative fuels that was not previously under control of the State or State agency;
(b) The purchase or lease of an after-market converted light duty vehicle (regardless of model year of manufacture), that was not previously under control of the State or State agency;
(c) The conversion of a newly purchased or leased light duty vehicle to operate on alternative fuels within four months after the vehicle is acquired for a State fleet; and
(d) The application of alternative fueled vehicle credits allocated under subpart F of this part.
(a)
(2) Any Light Duty Alternative Fueled Vehicle Plan must provide for voluntary acquisitions or conversions, or combinations thereof, by State, local, and private fleets that equal or exceed the State's alternative fuel vehicle acquisition requirement under section 490.201.
(3) Any acquisitions of light duty alternative fueled vehicles by participants in the State plan may be included for purposes of compliance, irrespective of whether the vehicles are in
(4) Except as provided in paragraph (h) of this section or except for a fleet exempt under section 490.204, a State that does not have an approved plan in effect under this section is subject to the State fleet acquisition percentage requirements of section 490.201.
(5) If a significant commitment under an approved plan is not met by a participant of a plan, the State shall meet its percentage requirements under section 490.201 or submit to DOE an amendment to the plan for DOE approval.
(b)
(1) Certification by the Governor, or the Governor's designee, that the plan meets the requirements of this subpart;
(2) Identification of State, local and private fleets that will participate in the plan;
(3) Number of new alternative fueled vehicles to be acquired by each plan participant;
(4) A written statement from each plan participant to assure commitment;
(5) A statement of contingency measures by the State to offset any failure to fulfill significant commitments by plan participants, in order to meet the requirements of section 490.201;
(6) A provision by the State to monitor and verify implementation of the plan;
(7) A provision certifying that all acquisitions and conversions under the plan are voluntary and will meet the requirements of § 247 of the Clean Air Act, as amended (42 U.S.C. 7587) and all applicable safety requirements.
(c)
(2) Beginning with model year 1998, a State shall submit its plan to DOE no later than June 1 prior to the first model year covered by such plan.
(d)
(e)
(f)
(g)
(2) Any requests for modifications shall also be sent to the address in paragraph (g)(1) of this section.
(h)
(i) Has submitted the application; or
(ii) Has sent a written notice to the Assistant Secretary, at the address under paragraph (g)(1) of this section, that it will file such an application on or before March 14, 1997.
(2) During the period of an automatic exemption under this paragraph, a State may procure light duty motor vehicles in accordance with its normal procurement policies.
(a) To obtain an exemption, in whole or in part, from the vehicle acquisition mandate in section 490.201 of this part, a State shall submit to DOE a written request for exemption, along with supporting documentation which must demonstrate that—
(1) Alternative fuels that meet the normal requirements and practices of the principal business of the State fleet are not available from fueling sites that would permit central fueling of fleet vehicles in the area in which the vehicles are to be operated; or
(2) Alternative fueled vehicles that meet the normal requirements and practices of the principal business of the State fleet are not available for purchase or lease commercially on reasonable terms and conditions in the State; or
(3) The application of such requirements would pose an unreasonable financial hardship.
(b) Requests for exemption may be submitted at any time and must be accompanied with supporting documentation.
(c) Exemptions are granted for one model year only, and they may be renewed annually, if supporting documentation is provided.
(d) Exemptions may be granted in whole or in part. When granting an exemption in part, DOE may, depending upon the circumstances, completely relieve a State from complying with a portion of the vehicle acquisition requirements for a model year, or it may require a State to acquire all or some of the exempted vehicles in future model years.
(e) If a State is seeking an exemption under—
(1) Paragraph (a)(1) of this section, the types of documentation that are to accompany the request must include, but are not limited to, maps of vehicle operation zones and maps of locations providing alternative fuel; or
(2) Paragraph (a)(2) of this section, the types of documentation that are to accompany the request must include, but are not limited to, alternative fueled vehicle purchase or lease requests, a listing of vehicles that meet the normal practices and requirements of the State fleet, and any other documentation that exhibits good faith efforts to acquire alternative fueled vehicles; or
(3) Paragraph (a)(3) of this section, it must submit a statement identifying what portion of the alternative fueled vehicle acquisition requirement should be subject to the exemption and describing the specific nature of the financial hardship that precludes compliance.
(f) Requests for exemption shall be addressed to the U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, EE-33, 1000 Independence Ave., SW., Washington, DC 20585, or to such other address as DOE may announce in a
(g) The Assistant Secretary shall provide to the State, within 45 days of receipt of a request that complies with this section, a written determination as to whether the State's request has been granted or denied.
(h) If the Assistant Secretary denies an exemption, in whole or in part, and the State wishes to exhaust administrative remedies, the State must appeal within 30 days of the date of the determination, pursuant to 10 CFR part 1003, subpart C, to the Office of Hearings and Appeals, U.S. Department of Energy, 1000 Independence Ave., SW., Washington, DC 20585. The Assistant Secretary's determination shall be stayed during the pendency of an appeal under this paragraph.
(a) Any State subject to the requirements of this subpart must file an annual report for each State fleet on or before the December 31 after the close of the model year, beginning with model year 1997. The State annual report may consist of a single State report or separately prepared State agency reports.
(b) The report shall include the following information:
(1) Number of new light duty motor vehicles acquired for the fleet by a State during the model year;
(2) Number of new light duty alternative fueled vehicles that are required to be acquired during the model year;
(3) Number of new light duty alternative fueled vehicle acquisitions by the State during the model year;
(4) Number of alternative fueled vehicle credits applied against acquisition requirements;
(5) For each new light duty alternative fueled vehicle acquisition—
(i) Vehicle make and model;
(ii) Model year;
(iii) Vehicle identification number;
(iv) Dedicated or dual-fueled (including flexible fuel); and
(v) Type of alternative fuel the vehicle is capable of operating on; and
(6) Number of light duty alternative fueled vehicles acquired by municipal
(c) If credits are applied against vehicle acquisition requirements, then a credit activity report, as described in subpart F of this part, must be submitted with the report under this section to DOE.
(d) Records shall be maintained and retained for a period of three years.
(e) All reports, marked “Annual Report,” shall be sent to the Office of Energy Efficiency and Renewable Energy, U.S. Department of Energy, EE-33, 1000 Independence Ave., SW., Washington, DC, 20585, or such other address as DOE may provide by notice in the
Violations of this subpart are subject to investigation and enforcement under subpart G of this part.
This subpart implements section 501 of the Act, which requires, subject to some exemptions, that certain annual percentages of new light duty motor vehicles acquired by alternative fuel providers must be alternative fueled vehicles.
In addition to the definitions found in section 490.2, the following definitions apply to this subpart—
(1) Producing, storing, refining, processing, transporting, distributing, importing, or selling at wholesale or retail any alternative fuel other than electricity; or
(2) Generating, transmitting, importing, or selling at wholesale or retail electricity.
(a) Except as provided in section 490.304 of this part, of the light duty motor vehicles newly acquired by a covered person described in section 490.303 of this part, the following percentages shall be alternative fueled vehicles for the following model years:
(1) 30 percent for model year 1997.
(2) 50 percent for model year 1998.
(3) 70 percent for model year 1999.
(4) 90 percent for model year 2000 and thereafter.
(b) Except as provided in section 490.304 of this part, this acquisition schedule applies to all light duty motor vehicles that a covered person newly acquires for use within the United States.
(c) If, when the mandated acquisition percentage of alternative fuel vehicles is applied to the number of new light duty motor vehicles to be acquired by a covered person subject to this subpart, a number results that requires the acquisition of a partial vehicle, an adjustment will be made to the required acquisition number by rounding down to the next whole number if the fraction is less than one half and by rounding up the number of vehicles to the next whole number if the fraction is equal to or greater than one half.
(d) Only acquisitions satisfying the mandate, as defined by section 490.305, count toward compliance with the acquisition schedule in paragraph (a) of this section.
(e) A covered person that is first subject to the acquisition requirements of this part after model year 1997 shall acquire alternative fueled vehicles in the next model year at the percentage applicable to that model year, according to the schedule in paragraph (a) of this section, unless the covered person is granted an exemption or reduction of the acquisition percentage pursuant to the procedures and criteria in section 490.308.
(a) Except as provided by paragraph (b) of this section, a covered person must comply with the requirements of this subpart if that person is—
(1) A covered person whose principal business is producing, storing, refining, processing, transporting, distributing, importing or selling at wholesale or retail any alternative fuel other than electricity; or
(2) A covered person whose principal business is generating, transmitting, importing, or selling, at wholesale or retail, electricity; or
(3) A covered person—
(i) Who produces, imports, or produces and imports in combination, an average of 50,000 barrels per day or more of petroleum; and
(ii) A substantial portion of whose business is producing alternative fuels.
(b) This subpart does not apply to a covered person or affiliate, division, or other business unit of such person whose principal business is—
(1) transforming alternative fuels into a product that is not an alternative fuel; or
(2) consuming alternative fuels as a feedstock or fuel in the manufacture of a product that is not an alternative fuel.
(a)
(b)
The following actions within the model year qualify as acquisitions for the purpose of compliance with the requirements of section 490.302 of this part—
(a) The purchase or lease of an Original Equipment Manufacturer light duty vehicle (regardless of the model year of manufacture), capable of operating on alternative fuels that was not previously under the control of the covered person;
(b) The purchase or lease of an after-market converted light duty vehicle (regardless of the model year of manufacture), that was not previously under the control of the covered person; and
(c) The conversion of a newly purchased or leased light duty vehicle to operate on alternative fuels within four months after the vehicle is acquired by a covered person; and
(d) The application of alternative fueled vehicle credits allocated under subpart F of this part.
The alternative fueled vehicles acquired pursuant to section 490.302 of
(a) A covered person or its affiliate, division, or business unit, whose principal business is generating, transmitting, importing, or selling, at wholesale or retail, electricity has the option of delaying the vehicle acquisition mandate schedule in section 490.302 until January 1, 1998, if the covered person intends to comply with this regulation by acquiring electric motor vehicles.
(b) If a covered person or its affiliate, division, or business unit, whose principal business is generating, transmitting, importing, or selling at wholesale or retail electricity has notified the Department as required by the Act, of its intent to acquire electric motor vehicles, the following percentages of new light duty motor vehicles acquired shall be alternative fueled vehicles for the following time periods:
(1) 30 percent from January 1, 1998 to August 31, 1998.
(2) 50 percent for model year 1999.
(3) 70 percent for model year 2000.
(4) 90 percent for model year 2001 and thereafter.
(c) Any covered person or its affiliate, division, or business unit, that chooses the option provided by this section may apply for an exemption from the vehicle acquisition mandate in accordance with section 490.308 of this regulation.
(d) Any covered person or its affiliate, division, or business unit, that chooses to rescind its election of the option provided in this section shall be required, unless otherwise exempt, to acquire alternative fueled vehicles in accordance with the vehicle acquisition schedule in section 490.302.
(a) To obtain an exemption from the vehicle acquisition mandate in this subpart, a covered person, or its affiliate, division, or business unit which is subject to section 490.302 of this part, shall submit a written request for exemption to the Office of Energy Efficiency and Renewable Energy, U.S. Department of Energy, EE-33, 1000 Independence Ave., SW., Washington, DC 20585, or such other address as DOE may publish in the
(b) A covered person requesting an exemption must demonstrate that—
(1) Alternative fuels that meet the normal requirements and practices of the principal business of the covered person are not available from fueling sites that would permit central fueling of that person's vehicles in the area in which the vehicles are to be operated; or
(2) Alternative fueled vehicles that meet the normal requirements and practices of the principal business of the covered person are not available for purchase or lease commercially on reasonable terms and conditions in any State included in a MSA/CMSA that the vehicles are operated in.
(c)
(2) If a covered person seeking an exemption under paragraph (b)(1) of this section operates light duty vehicles outside of the areas listed in Appendix A of subpart A, and central fueling of those vehicles does not meet the normal requirements and practices of that person's business, then that covered person shall only be required to justify in a written request why central fueling is incompatible with its business.
(3) If a covered person is seeking an exemption under paragraph (b)(2) of this section, the types of documentation that are to accompany the request include, but are not limited to, alternative fueled vehicle purchase or lease requests, a listing of vehicles that meet the normal practices and requirements of the covered person and any other documentation that exhibits good faith efforts to acquire alternative fueled vehicles.
(d) Exemptions are granted for one model year only and may be renewed annually, if supporting documentation is provided.
(e) Exemptions may be granted in whole or in part. When granting an exemption in part, DOE may, depending upon the circumstances, completely relieve a covered person from complying with a portion of the vehicle acquisition requirements for a model year, or it may require a covered person to acquire all or some of the exempted vehicles in future model years.
(f) The Assistant Secretary shall provide to the covered person within 45 days after receipt of a request that complies with this section, a written determination as to whether the State's request has been granted or denied.
(g) If a covered person is denied an exemption, that covered person may file an appeal within 30 days of the date of determination, pursuant to 10 CFR part 1003, subpart C, with the Office of Hearings and Appeals, U.S. Department of Energy, 1000 Independence Ave, SW, Washington, DC 20585. The Assistant Secretary's determination shall be stayed during the pendency of an appeal under this paragraph.
(a) If a person is required to comply with the vehicle acquisition schedule in section 490.302 or section 490.307, that person shall file an annual report under this section, on a form obtainable from DOE, with the Office of Energy Efficiency and Renewable Energy, U.S. Department of Energy, EE-33, 1000 Independence Ave., SW., Washington, DC 20585, or such other address as DOE may publish in the
(b) This report shall include the following information—
(1) Number of new light duty motor vehicles acquired by the covered person in the United States during the model year;
(2) Number of new light duty alternative fueled vehicles that are required to be acquired during the model year;
(3) Number of new light duty alternative fueled vehicle acquisitions in the United States during the model year;
(4) Number of alternative fueled vehicle credits applied against acquisition requirements;
(5) For each new light duty alternative fueled vehicle acquisition—
(i) Vehicle make and model;
(ii) Model year;
(iii) Vehicle Identification Number;
(iv) Dedicated or dual-fueled (including flexible fuel); and
(v) Type of alternative fuel the vehicle is capable of operating on.
(c) If credits are applied against alternative fueled vehicle acquisition requirements, then a credit activity report, as described in subpart F, must be submitted with the report under this section to DOE.
(d) Records shall be maintained and retained for a period of three years.
Violations of this subpart are subject to investigation and enforcement under subpart G of this part.
This subpart implements the statutory requirements of section 508 of the Act, which provides for the allocation of credits to fleets or covered persons who acquire alternative fueled vehicles in excess of the number they are required or obtain alternative fueled vehicles before the model year when they are first required to do so under this part.
This subpart applies to all fleets and covered persons who are required to acquire alternative fueled vehicles by this part.
A fleet or covered person becomes entitled to alternative fueled vehicle credits by—
(a) Acquiring alternative fueled vehicles, including those in excluded categories under section 490.3 of this part
(b) Acquiring alternative fueled vehicles, including those in excluded categories under section 490.3 of this part and those exceeding 8,500 gross vehicle weight rating, in model years before the model year when that fleet or covered person is first required to acquire alternative fueled vehicles.
(c) For purposes of this subpart, a fleet or covered person that acquired a motor vehicle on or after October 24, 1992, and converted it to an alternative fueled vehicle before April 15, 1996, shall be entitled to a credit for that vehicle notwithstanding the time limit on conversions established by sections 490.202(a)(3) and 490.305(a)(3) of this part.
(a) Based on annual credit activity report information, as described in section 490.507 of this part, DOE shall allocate one credit for each alternative fueled vehicle a fleet or covered person acquires that exceeds the number of alternative fueled vehicles that fleet or person is required to acquire in a model year when acquisition requirements apply.
(b) If an alternative fueled vehicle is acquired by a fleet or covered person in a model year before the first model year that fleet or person is required to acquire alternative fueled vehicles by this part, as reported in the annual credit activity report, DOE shall allocate one credit per alternative fueled vehicle for each year the alternative fueled vehicle is acquired before the model year when acquisition requirements apply.
(c) DOE shall allocate credits to fleets and covered persons under paragraph (b) of this section only for alternative fueled vehicles acquired on or after October 24, 1992.
At the request of a fleet or covered person in an annual report under this part, DOE shall treat each credit as the acquisition of an alternative fueled vehicle that the fleet or covered person is required to acquire under this part. Each credit shall count as the acquisition of one alternative fueled vehicle in the model year for which the fleet or covered person requests the credit to be applied.
(a) DOE shall establish a credit account for each fleet or covered person who obtains an alternative fueled vehicle credit.
(b) DOE shall send to each fleet and covered person an annual credit account balance statement after the receipt of its credit activity report under section 490.507.
(a) Any fleet or covered person that is required to acquire alternative fueled vehicles may transfer an alternative fueled vehicle credit to—
(1) A fleet that is required to acquire alternative fueled vehicles; or
(2) A covered person subject to the requirements of this part, if the transferor provides certification to the covered person that the credit represents a vehicle that operates solely on alternative fuel.
(b) Proof of credit transfer may be on a form provided by DOE, or otherwise in writing, and must include dated signatures of the transferor and transferee. The proof should be received by DOE within 30 days of the transfer date to the Office of Energy Efficiency and Renewable Energy, U.S. Department of Energy, EE-33, 1000 Independence Ave., SW., Washington, DC 20585 or such other address as DOE publishes in the
(a) A covered person or fleet applying for allocation of alternative fueled vehicle credits must submit a credit activity report by the December 31 after the close of a model year to the Office of Energy Efficiency and Renewable Energy, U.S. Department of Energy, EE-33, 1000 Independence Ave, SW.,
(b) This report must include the following information:
(1) Number of alternative fueled vehicle credits requested for:
(i) alternative fueled vehicles acquired in excess of required acquisition number; and
(ii) alternative fueled vehicles acquired in model years before the first model year the fleet or covered person is required to acquire vehicles by this part.
(2) Purchase of alternative fueled vehicle credits:
(i) Credit source; and
(ii) Date of purchase;
(3) Sale of alternative fueled vehicle credits:
(i) Credit purchaser; and
(ii) Date of sale.
This subpart sets forth the rules applicable to investigations under titles III, IV, V, and VI of the Act and to enforcement of section 501, 503(b), 507 or 508 of the Act, or any regulation issued under such sections.
For the purpose of carrying out titles III, IV, V, and VI of the Act, DOE may hold such hearings, take such testimony, sit and act at such times and places, administer such oaths, and require by subpena the attendance and testimony of such witnesses and the production of such books, papers, correspondence, memoranda, contracts, agreements, or other records as the Secretary of Transportation is authorized to do under section 505(b)(1) of the Motor Vehicle Information and Cost Savings Act (15 U.S.C. 2005(b)(1)).
(a) DOE may require by general or special orders that any person—
(1) File, in such form as DOE may prescribe, reports or answers in writing to specific questions relating to any function of DOE under this part; and
(2) Provide DOE access to (and for the purpose of examination, the right to copy) any documentary evidence of such person which is relevant to any function of DOE under this part.
(b) File under oath any reports and answers provided under this section or as otherwise prescribed by DOE, and file such reports and answers with DOE within such reasonable time and at such place as DOE may prescribe.
It is unlawful for any person to violate any provision of section 501, 503(b), or 507 of the Act, or any regulations issued under such sections.
(a)
(b)
(c)
DOE may agree not to commence an enforcement proceeding, or may agree to settle an enforcement proceeding, if the person agrees to come into compliance in a manner satisfactory to DOE. DOE normally will not commence an enforcement action against a person subject to the acquisition requirements of this part without giving that person notice of its intent to enforce 90 days before the beginning of an enforcement proceeding.
DOE may issue a proposed assessment of, and order to pay, a civil penalty in a written statement setting forth supporting findings of violation of the Act or a relevant regulation of
(a) In order to exhaust administrative remedies, on or before 30 days from the date of issuance of a proposed assessment and order to pay, a person must appeal a proposed assessment and order to the Office of Hearings and Appeals, U.S. Department of Energy, 1000 Independence Avenue, SW., Washington, DC 20585.
(b) Proceedings in the Office of Hearings and Appeals shall be subject to subpart F of 10 CFR part 1003 except that—
(1) Appellant shall have the ultimate burden of persuasion;
(2) Appellant shall have right to a trial-type hearing on contested issues of fact only if the hearing officer concludes that cross examination will materially assist in determining facts in addition to evidence available in documentary form; and
(3) The Office of Hearings and Appeals may issue such orders as it may deem appropriate on all other procedural matters.
(c) The determination of the Office of Hearings and Appeals shall be final for DOE.