[Title 10 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 2012 Edition]
[From the U.S. Government Printing Office]



[[Page i]]

          

                                 Title 10

                                Energy


________________________

                            Parts 200 to 499

                         Revised as of January 1, 2012

          Containing a codification of documents of general 
          applicability and future effect

          As of January 1, 2012
                    Published by the Office of the Federal Register 
                    National Archives and Records Administration as a 
                    Special Edition of the Federal Register

[[Page ii]]

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                            Table of Contents



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

  Title 10:
          Chapter II--Department of Energy                           3
  Finding Aids:
      Table of CFR Titles and Chapters........................     813
      Alphabetical List of Agencies Appearing in the CFR......     833
      List of CFR Sections Affected...........................     843

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

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

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

[[Page v]]



                               EXPLANATION

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

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

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

LEGAL STATUS

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

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code of Federal Regulations is kept up to date by the individual 
issues of the Federal Register. These two publications must be used 
together to determine the latest version of any given rule.
    To determine whether a Code volume has been amended since its 
revision date (in this case, January 1, 2012), consult the ``List of CFR 
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative 
List of Parts Affected,'' which appears in the Reader Aids section of 
the daily Federal Register. These two lists will identify the Federal 
Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

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

OMB CONTROL NUMBERS

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

[[Page vi]]

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

OBSOLETE PROVISIONS

    Provisions that become obsolete before the revision date stated on 
the cover of each volume are not carried. Code users may find the text 
of provisions in effect on a given date in the past by using the 
appropriate numerical list of sections affected. For the period before 
April 1, 2001, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, 1973-1985, or 1986-2000, published in eleven separate 
volumes. For the period beginning April 1, 2001, a ``List of CFR 
Sections Affected'' is published at the end of each CFR volume.

``[RESERVED]'' TERMINOLOGY

    The term ``[Reserved]'' is used as a place holder within the Code of 
Federal Regulations. An agency may add regulatory information at a 
``[Reserved]'' location at any time. Occasionally ``[Reserved]'' is used 
editorially to indicate that a portion of the CFR was left vacant and 
not accidentally dropped due to a printing or computer error.

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
established by statute and allows Federal agencies to meet the 
requirement to publish regulations in the Federal Register by referring 
to materials already published elsewhere. For an incorporation to be 
valid, the Director of the Federal Register must approve it. The legal 
effect of incorporation by reference is that the material is treated as 
if it were published in full in the Federal Register (5 U.S.C. 552(a)). 
This material, like any other properly issued regulation, has the force 
of law.
    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed as 
an approved incorporation by reference, please contact the agency that 
issued the regulation containing that incorporation. If, after 
contacting the agency, you find the material is not available, please 
notify the Director of the Federal Register, National Archives and 
Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001, 
or call 202-741-6010.

CFR INDEXES AND TABULAR GUIDES

    A subject index to the Code of Federal Regulations is contained in a 
separate volume, revised annually as of January 1, entitled CFR Index 
and Finding Aids. This volume contains the Parallel Table of Authorities 
and Rules. A list of CFR titles, chapters, subchapters, and parts and an 
alphabetical list of agencies publishing in the CFR are also included in 
this volume.
    An index to the text of ``Title 3--The President'' is carried within 
that volume.

[[Page vii]]

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

REPUBLICATION OF MATERIAL

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

INQUIRIES

    For a legal interpretation or explanation of any regulation in this 
volume, contact the issuing agency. The issuing agency's name appears at 
the top of odd-numbered pages.
    For inquiries concerning CFR reference assistance, call 202-741-6000 
or write to the Director, Office of the Federal Register, National 
Archives and Records Administration, 8601 Adelphi Road, College Park, MD 
20740-6001 or e-mail [email protected]

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ELECTRONIC SERVICES

    The full text of the Code of Federal Regulations, the LSA (List of 
CFR Sections Affected), The United States Government Manual, the Federal 
Register, Public Laws, Public Papers of the Presidents of the United 
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information. Connect to NARA's web site at www.archives.gov/federal-
register.

    Raymond A. Mosley,
    Director,
    Office of the Federal Register.
    January 1, 2012.







[[Page ix]]



                               THIS TITLE

    Title 10--Energy is composed of four volumes. The parts in these 
volumes are arranged in the following order: Parts 1-50, 51-199, 200-499 
and part 500-end. The first and second volumes containing parts 1-199 
are comprised of chapter I--Nuclear Regulatory Commission. The third and 
fourth volumes containing part 200-end are comprised of chapters II, III 
and X--Department of Energy, chapter XIII--Nuclear Waste Technical 
Review Board, and chapter XVII--Defense Nuclear Facilities Safety Board. 
The contents of these volumes represent all current regulations codified 
under this title of the CFR as of January 1, 2012.

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

[[Page 1]]



                            TITLE 10--ENERGY




                  (This book contains parts 200 to 499)

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

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

[[Page 3]]



                    CHAPTER II--DEPARTMENT OF ENERGY




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

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

202             Production or disclosure of material or 
                    information.............................           5
205             Administrative procedures and sanctions.....           6
207             Collection of information...................          47
209             International voluntary agreements..........          52
210             General allocation and price rules..........          57
212             Mandatory petroleum price regulations.......          64
215             Collection of foreign oil supply agreement 
                    information.............................          64
216             Materials allocation and priority 
                    performance under contracts or orders to 
                    maximize domestic energy supplies.......          66
217             Energy priorities and allocations system....          70
218             Standby mandatory international oil 
                    allocation..............................          90
220             [Reserved]

221             Priority supply of crude oil and petroleum 
                    products to the Department of Defense 
                    under the Defense Production Act........          95
                      SUBCHAPTER B--CLIMATE CHANGE
300             Voluntary Greenhouse Gas Reporting Program: 
                    General guidelines......................          99
                         SUBCHAPTER C [RESERVED]
                    SUBCHAPTER D--ENERGY CONSERVATION
400-417         [Reserved]

420             State energy program........................         121
429             Certification, compliance, and enforcement 
                    for consumer products and commercial and 
                    industrial equipment....................         135
430             Energy conservation program for consumer 
                    products................................         206
431             Energy efficiency program for certain 
                    commercial and industrial equipment.....         503

[[Page 4]]

433             Energy efficiency standards for new Federal 
                    commercial and multi-family high-rise 
                    residential buildings...................         621
434             Energy code for new Federal commercial and 
                    multi-family high rise residential 
                    buildings...............................         624
435             Energy efficiency standards for new Federal 
                    low-rise residential buildings..........         684
436             Federal energy management and planning 
                    programs................................         690
440             Weatherization assistance for low-income 
                    persons.................................         717
445             [Reserved]

451             Renewable energy production incentives......         738
452             Production incentives for cellulosic 
                    biofuels................................         743
455             Grant programs for schools and hospitals and 
                    buildings owned by units of local 
                    government and public care institutions.         747
456             [Reserved]

470             Appropriate Technology Small Grants Program.         778
473             Automotive propulsion research and 
                    development.............................         783
474             Electric and Hybrid Vehicle Research, 
                    Development, and Demonstration Program; 
                    petroleum-equivalent fuel economy 
                    calculation.............................         787
490             Alternative fuel transportation program.....         789
491-499         [Reserved]

[[Page 5]]



                            SUBCHAPTER A_OIL



                        PARTS 200	201 [RESERVED]



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



Subpart A [Reserved]

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

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

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

Subpart A [Reserved]



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

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



Sec. 202.21  Purpose and scope.

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



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

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



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

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



Sec. 202.24  Final action by the appropriate DOE official.

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

[[Page 6]]



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

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



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

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



PART 205_ADMINISTRATIVE PROCEDURES AND SANCTIONS--Table of Contents



                      Subpart A_General Provisions

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

Subparts B-E [Reserved]

                        Subpart F_Interpretation

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

Subparts G-J [Reserved]

                            Subpart K_Rulings

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

Subpart L [Reserved]

          Subpart M_Conferences, Hearings, and Public Hearings

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

Subpart N [Reserved]

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

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

[[Page 7]]

205.199I Remedies.
205.199J Consent order.

Subparts P-T [Reserved]

            Subpart U_Procedures for Electricity Export Cases

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

        Subpart V_Special Procedures for Distribution of Refunds

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

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

 Application for Authorization to Transmit Electric Energy to a Foreign 
                                 Country

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

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

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

           Report of Major Electric Utility System Emergencies

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

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

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

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

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



                      Subpart A_General Provisions



Sec. 205.1  Purpose and scope.

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

[61 FR 35114, July 5, 1996]



Sec. 205.2  Definitions.

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

[[Page 8]]

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

[[Page 9]]

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

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

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



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

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



Sec. 205.4  Filing of documents.

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

[[Page 10]]

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



Sec. 205.5  Computation of time.

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



Sec. 205.6  Extension of time.

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



Sec. 205.7  Service.

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



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

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

[[Page 11]]

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

[[Page 12]]

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

[[Page 13]]

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

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

[44 FR 23201, Apr. 19, 1979]



Sec. 205.9  General filing requirements.

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

[[Page 14]]

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



Sec. 205.10  Effective date of orders.

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



Sec. 205.11  Order of precedence.

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



Sec. 205.12  Addresses for filing documents with the DOE.

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

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

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

[[Page 15]]

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

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

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

                                Region 1

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

                                Region 2

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

                                Region 3

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

                                Region 4

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

                                Region 5

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

                                Region 6

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

                                Region 7

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

                                Region 8

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

                                Region 9

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

[[Page 16]]

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

                                Region 10

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

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

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



Sec. 205.13  Where to file.

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

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



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

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

[[Page 17]]

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



Sec. 205.15  Public docket room.

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

Subparts B-E [Reserved]



                        Subpart F_Interpretation



Sec. 205.80  Purpose and scope.

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

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

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



Sec. 205.81  What to file.

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



Sec. 205.82  Where to file.

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

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

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



Sec. 205.83  Contents.

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

[[Page 18]]

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



Sec. 205.84  DOE evaluation.

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



Sec. 205.85  Decision and effect.

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

[[Page 19]]

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

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

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



Sec. 205.86  Appeal.

    There is no administrative appeal of an interpretation.

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

[43 FR 14437, Apr. 6, 1978]

Subparts G-J [Reserved]



                            Subpart K_Rulings



Sec. 205.150  Purpose and scope.

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



Sec. 205.151  Criteria for issuance.

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



Sec. 205.152  Modification or rescission.

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

[[Page 20]]

no person shall be entitled to rely upon the ruling.



Sec. 205.153  Comments.

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



Sec. 205.154  Appeal.

    There is no administrative appeal of a ruling.

Subpart L [Reserved]



          Subpart M_Conferences, Hearings, and Public Hearings



Sec. 205.170  Purpose and scope.

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



Sec. 205.171  Conferences.

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



Sec. 205.172  Hearings.

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

[[Page 21]]

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

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



Sec. 205.173  Public hearings.

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

Subpart N [Reserved]



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

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

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

[[Page 22]]



Sec. 205.190  Purpose and scope.

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



Sec. 205.191  [Reserved]



Sec. 205.192  Proposed remedial order.

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



Sec. 205.192A  Burden of proof.

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

[[Page 23]]

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



Sec. 205.193  Notice of Objection.

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



Sec. 205.193A  Submission of ERA supplemental information.

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



Sec. 205.194  Participants; official service list.

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

[[Page 24]]

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



Sec. 205.195  Filing and service of all submissions.

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

[[Page 25]]

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



Sec. 205.196  Statement of objections.

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



Sec. 205.197  Response to statement of objections; reply.

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



Sec. 205.198  Discovery.

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

[[Page 26]]

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



Sec. 205.198A  Protective order.

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



Sec. 205.199  Evidentiary hearing.

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

[[Page 27]]

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

[[Page 28]]

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



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

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



Sec. 205.199B  Remedial order.

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



Sec. 205.199C  Appeals of remedial order to FERC.

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

[[Page 29]]

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



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



Sec. 205.199F  Ex parte communications.

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



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

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



Sec. 205.199H  Actions not subject to administrative appeal.

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



Sec. 205.199I  Remedies.

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

[[Page 30]]

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



Sec. 205.199J  Consent order.

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

[[Page 31]]

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

Subparts P-T [Reserved]



            Subpart U_Procedures for Electricity Export Cases

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

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



Sec. 205.260  Purpose and scope.

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

[[Page 32]]

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



Sec. Sec. 205.261-205.269  [Reserved]



Sec. 205.270  Off-the-record communications.

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



        Subpart V_Special Procedures for Distribution of Refunds

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

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



Sec. 205.280  Purpose and scope.

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

[[Page 33]]

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



Sec. 205.281  Petition for implementation of special refund procedures.

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



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

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



Sec. 205.283  Applications for refund.

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

[[Page 34]]

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



Sec. 205.284  Processing of applications.

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



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

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



Sec. 205.286  Limitations on amount of refunds.

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

[[Page 35]]

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



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

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



Sec. 205.288  Interim and ancillary orders.

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



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

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

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

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

 Application for Authorization to Transmit Electric Energy to a Foreign 
                                 Country



Sec. 205.300  Who shall apply.

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



Sec. 205.301  Time of filing.

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

[[Page 36]]

by the ERA to resolve an emergency situation.



Sec. 205.302  Contents of application.

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



Sec. 205.303  Required exhibits.

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



Sec. 205.304  Other information.

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

[[Page 37]]

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



Sec. 205.305  Transferability.

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



Sec. 205.306  Authorization not exclusive.

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



Sec. 205.307  Form and style; number of copies

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



Sec. 205.308  Filing schedule and annual reports.

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

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

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



Sec. 205.309  Filing procedures and fees.

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

[[Page 38]]

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



Sec. 205.320  Who shall apply.

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



Sec. 205.321  Time of filing.

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



Sec. 205.322  Contents of application.

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

[[Page 39]]

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



Sec. 205.323  Transferability.

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

[[Page 40]]

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



Sec. 205.324  Form and style; number of copies.

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



Sec. 205.325  Annual report.

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



Sec. 205.326  Filing procedures and fees.

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



Sec. 205.327  Other information.

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



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

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

[[Page 41]]

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

[48 FR 33819, July 25, 1983]



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

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

[[Page 42]]

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

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

[48 FR 33820, July 25, 1983]

           Report of Major Electric Utility System Emergencies

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

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



Sec. 205.350  General purpose.

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

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



Sec. 205.351  Reporting requirements.

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

[[Page 43]]

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

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



Sec. 205.352  Information to be reported.

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

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



Sec. 205.353  Special investigation and reports.

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

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

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

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

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

[[Page 44]]



Sec. 205.370  Applicability.

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



Sec. 205.371  Definition of emergency.

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



Sec. 205.372  Filing procedures; number of copies.

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



Sec. 205.373  Application procedures.

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

[[Page 45]]

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

[[Page 46]]

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



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

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



Sec. 205.375  Guidelines defining inadequate fuel or energy supply.

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

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



Sec. 205.376  Rates and charges.

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

[[Page 47]]

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



Sec. 205.377  Reports.

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

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

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



Sec. 205.378  Disconnection of temporary facilities.

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



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

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



PART 207_COLLECTION OF INFORMATION--Table of Contents



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

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

[[Page 48]]

207.9 Exceptions, exemptions, interpretations, rulings and rulemaking.

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

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



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



Sec. 207.1  Purpose.

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



Sec. 207.2  Definitions.

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



Sec. 207.3  Method of collecting energy information under ESECA.

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


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


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

[[Page 49]]

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

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



Sec. 207.4  Confidentiality of energy information.

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



Sec. 207.5  Violations.

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



Sec. 207.6  Notice of probable violation and remedial order.

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

[[Page 50]]

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

[[Page 51]]

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



Sec. 207.7  Sanctions.

    (a) General. (1) Penalties and sanctions shall be deemed cumulative 
and not mutually exclusive.
    (2) Each day that a violation of the provisions of this subpart or 
any order issued pursuant thereto continues shall be deemed to 
constitute a separate violation within the meaning of the provisions of 
this subpart relating to criminal fines and civil penalties.
    (b) Criminal penalties. Any person who willfully violates any 
provision of this subpart or any order issued pursuant thereto shall be 
subject to a fine of not more than $5,000 for each violation. Criminal 
violations are prosecuted by the Department of Justice upon referral by 
the DOE.
    (c) Civil Penalties. (1) Any person who violates any provision of 
this subpart or any order issued pursuant thereto shall be subject to a 
civil penalty of not more than $4,000 for each violation. Actions for 
civil penalties are prosecuted by the Department of Justice upon 
referral by the DOE.
    (2) When the DOE considers it to be appropriate or advisable, the 
DOE may compromise and settle, and collect civil penalties.

[40 FR 18409, Apr. 28, 1975, as amended at 62 FR 46183, Sept. 2, 1997; 
74 FR 66032, Dec. 14, 2009]



Sec. 207.8  Judicial actions.

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

[[Page 52]]



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

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



PART 209_INTERNATIONAL VOLUNTARY AGREEMENTS--Table of Contents



                      Subpart A_General Provisions

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

              Subpart B_Development of Voluntary Agreements

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

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

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

     Subpart D_Availability of Information Relating to Meetings and 
                             Communications

209.41 Availability of information relating to meetings and 
          communications.

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

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



                      Subpart A_General Provisions



Sec. 209.1  Purpose and scope.

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



Sec. 209.2  Delegation.

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



Sec. 209.3  Definitions.

    For purposes of this part--
    (a) Administrator means the Administrator of the Department of 
Energy.
    (b) Information and allocation provisions of the International 
Energy Program means the provisions of chapter V of the Program relating 
to the Information System, and the provisions at chapters III and IV 
thereof relating to the international allocation of petroleum.
    (c) International Energy Agency (IEA) means the International Energy 
Agency established by Decision of the Council of the Organization for 
Economic Cooperation and Development, dated November 15, 1974.
    (d) International Energy Program (IEP) means the program established 
pursuant to the Agreement on an International Energy Program signed at 
Paris on November 18, 1974, including (1) the Annex entitled ``Emergency 
Reserves'', (2) any amendment to such Agreement which includes another 
nation as a Party to such Agreement, and (3) any technical or clerical 
amendment to such Agreement.
    (e) International energy supply emergency means any period (1) 
beginning on any date which the President determines allocation of 
petroleum products to nations participating in the international energy 
program is required by

[[Page 53]]

chapters III and IV of such program, and (2) ending on a date on which 
he determines such allocation is no longer required. Such a period shall 
not exceed 90 days, except where the President establishes one or more 
additional periods by making the determination under paragraph (e)(1) of 
this section.
    (f) Potential participant means any person engaged in the business 
of producing, transporting, refining, distributing, or storing petroleum 
products; ``participant'' means any such person who agrees to 
participate in a voluntary agreement pursuant to a request to do so by 
the Administrator.
    (g) Petroleum or petroleum products means crude oil, residual fuel 
oil, or any refined petroleum product (including any natural gas liquid 
and any natural gas liquid product).



              Subpart B_Development of Voluntary Agreements



Sec. 209.21  Purpose and scope.

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



Sec. 209.22  Initiation of meetings.

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



Sec. 209.23  Conduct of meetings.

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



Sec. 209.24  Maintenance of records.

    (a) The Administrator shall keep a verbatim transcript of any 
meeting held pursuant to this subpart.
    (b)(1) Except as provided in paragraphs (b) (2) through (4) of this 
section, potential participants shall keep a full and complete record of 
any communications (other than in a meeting held pursuant to this 
subpart) between or among themselves for the purpose of developing a 
voluntary agreement under this part. When two or more potential 
participants are involved in such a communication, they may agree among 
themselves who shall keep such record. Such record shall include the 
names of the parties to the communication and the organizations, if any, 
which they represent; the date of the communication; the means of 
communication; and a description of the communication in sufficient 
detail to convey adequately its substance.
    (2) Where any communication is written (including, but not limited 
to, telex, telegraphic, telecopied, microfilmed and computer printout 
material), and where such communication demonstrates on it face that the 
originator or some other source furnished a copy of the communication to 
the Office of International Affairs, Department of Energy with the 
notation ``Voluntary Agreement'' marked on the first page of the 
document, no participant need record such a communication or send a 
further copy to the Department of Energy. The Department

[[Page 54]]

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

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

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

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



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



Sec. 209.31  Purpose and scope.

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



Sec. 209.32  Initiation of meetings.

    (a) Except for meetings of bodies created by the International 
Energy Agency, any meeting among participants in a voluntary agreement 
pursuant to this subpart, for the purpose of carrying out such voluntary 
agreement or developing or carrying out a plan of action pursuant 
thereto, shall be initiated and chaired by a full-time Federal employee 
designated by the Administrator.
    (b) Except as provided in paragraph (c) of this section, the 
Administrator shall provide notice of meetings held pursuant to this 
subpart, in writing, to the Attorney General, the Federal Trade 
Commission, and to the Speaker of the House and the President of the 
Senate for delivery to the appropriate committees of Congress. Except 
during an international energy supply emergency, notice shall also be 
provided to the public through publication in the

[[Page 55]]

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



Sec. 209.33  Conduct of meetings.

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



Sec. 209.34  Maintenance of records.

    (a) The Administrator or his delegate shall keep a verbatim 
transcript of any meeting held pursuant to this subpart except where (1) 
due to considerations of time or other overriding circumstances, the 
keeping of a verbatim transcript is not practicable, or (2) principal 
participants in the meeting are representatives of foreign governments. 
If any such record other than a verbatim transcript, is kept by a 
designee who is not a full-time Federal employee, that record shall be 
submitted to the full-time Federal employee in attendance at the meeting 
who shall review the record, promptly make any changes he deems 
necessary to make the record full and complete, and shall notify the 
designee of such changes.
    (b)(1) Except as provided in paragraphs (b) (2) through (4) of this 
section, participants shall keep a full and complete record of any 
communication (other than in a meeting held pursuant to this subpart) 
between or among themselves or with any other member of a petroleum 
industry group created by the International Energy Agency, or subgroup 
thereof for the purpose of carrying out a voluntary agreement or 
developing or carrying out a plan of action under this subpart, except 
that where there are several communications within the same day 
involving the same participants, they may keep a cumulative record for 
the day. The parties to a communication may agree among themselves who 
shall keep such record. Such record shall include the names of the 
parties to the communication and the organizations, if any, which they 
represent; the date of communication; the means of communication, and a 
description of the communication in sufficient detail to convey 
adequately its substance.
    (2) Where any communication is written (including, but not limited 
to, telex, telegraphic, telecopied, microfilmed and computer printout 
material), and where such communication demonstrates on its face that 
the originator or some other source furnished a

[[Page 56]]

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

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

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

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



     Subpart D_Availability of Information Relating to Meetings and 
                             Communications



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

    (a) Except as provided in paragraph (b) of this section, records or 
transcripts prepared pursuant to this subpart shall be available for 
public inspection and copying in accordance

[[Page 57]]

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



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



                         Subpart A_Recordkeeping

Sec.
210.1 Records.

Subparts B-D [Reserved]

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



                         Subpart A_Recordkeeping



Sec. 210.1  Records.

    (a) The recordkeeping requirements that were in effect on January 
27, 1981, in parts 210, 211, and 212 will remain in effect for (1) all 
transactions prior to February 1, 1981; and (2) all allowed expenses 
incurred and paid prior to April 1, 1981 under Sec. 212.78 of part 212. 
These requirements include, but are not limited to, the requirements 
that were in effect on January 27, 1981, in Sec. 210.92 of this part; 
in Sec. Sec. 211.67(a)(5)(ii); 211.89; 211.109, 211.127; and 211.223 of 
part 211; and in Sec. Sec. 212.78(h)(5)(ii); 212.78(h)(6); 
212.83(c)(2)(iii)(E)(I); 212.83(c)(2)(iii)(E)(II); 212.83(c)(2)(iii); 
``Fi t''; 212.83(i); 212.93(a); 212.93(b)(4)(iii)(B)(I); 
212.93(i)(4); 212.94(b)(2)(iii); 212.128; 212.132; 212.172; and Sec. 
212.187 of part 212.
    (b) Effective February 5, 1985, paragraph (a) of this section shall 
apply, to the extent indicated, only to firms in the following 
categories. A firm may be included in more than one category, and a firm 
may move from one category to another. The fact that a firm becomes no 
longer subject to the recordkeeping requirements of one category shall 
not relieve that firm of compliance with the recordkeeping requirements 
of any other category in which the firm is still included.
    (1) Those firms which are or become parties in litigation with DOE, 
as defined in paragraph (c)(1) of this section. Any such firm shall 
remain subject to paragraph (a) of this section. DOE shall notify the 
firm in writing of the final resolution of the litigation and whether or 
not any of its records must be maintained for a further period. DOE 
shall notify a firm which must maintain any records for a further period 
when such records are no longer needed.
    (2)(i) Those firms which as of November 30 1984, have completed 
making all restitutionary payments required by an administrative or 
judicial order, consent order, or other settlement or order but which 
payments are on February 5, 1985, still subject to distribution by DOE. 
This requirement is applicable to only those firms listed in appendix B. 
Any such firm shall maintain all records for the time period covered by 
the administrative or judicial order, consent order, or other settlement 
or order requiring the payments, evidencing sales volume data for each 
product subject to controls and customers' names and addresses, until 
one of the following: June 30, 1985, unless this period is extended on a 
firm-by-firm basis; the end of the individual firm's extension; or the 
firm is notified in writing that its records are no longer needed.
    (ii) Those firms which as of November 30, 1984, are required to make 
restitutionary or other payments pursuant to an administrative or 
judicial order, consent order, or other settlement or order. Any such 
firm shall remain subject to paragraph (a) of this

[[Page 58]]

section until the firm completes all restitutionary payments required by 
the administrative or judicial order, consent order, or other settlement 
or order. However, after completing all such payments, a firm shall 
maintain all records described in paragraph (b)(2)(i) of this section 
until one of the following: Six months after the firm completes all such 
payments, unless this period is extended on a firm-by-firm basis; the 
end of the individual firm's extension; or the firm is notified in 
writing that its records are no longer needed.
    (3)(i) Those firms with completed audits in which DOE has not yet 
made a determination to initiate a formal enforcement action and firms 
under audit which do not have outstanding subpoenas. Any such firm shall 
maintain all records for the period covered by the audit including all 
records necessary to establish historical prices or volumes which serve 
as the basis for determining the lawful prices or volumes for any 
subsequent regulated transaction which is subject to audit, until one of 
the following: June 30, 1985, unless this period is extended on a firm-
by-firm basis; the end of the individual firm's extension; or the firm 
is notified in writing by DOE that its records are no longer needed. 
However, if a firm in this group shall become a party in litigation, the 
firm shall then be subject to the recordkeeping requirements for firms 
in litigation set forth in paragraph (b)(1) of this section.
    (ii) Those firms under audit which have outstanding subpoenas on 
February 5, 1985, or which receive subpoenas at any time thereafter or 
which have supplied records for an audit as the result of a subpoena 
enforced after November 1, 1983. Any such firm shall remain subject to 
paragraph (a) of this section until two years after ERA has notified the 
firm in writing that is in full compliance with the subpoena or until 
ERA has received from the firm a sworn certification of compliance with 
the subpoena as required by 10 CFR 205.8. However, if a firm in this 
group shall become a party in litigation, the firm shall then be subject 
to the recordkeeping requirements for firms in litigation set forth in 
paragraph (b)(1) of this section.
    (4) Those firms which are subject to requests for data necessary to 
verify that crude oil qualifies as ``newly discovered'' crude oil under 
10 CFR 212.79. Any such firm shall maintain the records evidencing such 
data until one of the following: June 30, 1985, unless this period is 
extended on a firm-by-firm basis; the end of an individual firm's 
extension; or the firm is notified in writing by DOE that its records 
are no longer needed. However, if a firm in this group shall become a 
party in litigation, the firm shall then be subject to the recordkeeping 
requirements for firms in litigation set forth in paragraph (b)(1) of 
this section.
    (5) Those firms whose records are determined by DOE as necessary to 
complete the enforcement activity relating to another firm which is also 
subject to paragraph (a) of this section unless such firms required to 
keep records have received certified notice letters specifically 
describing the records determined as necessary. At that time, the 
specific notice will control the recordkeeping requirements. These firms 
have been identified in appendix A. Any such firm shall maintain these 
records until one of the following: June 30, 1985, unless this period is 
extended on a firm-by-firm basis; the end of the individual firm's 
extension; or the firm is notified in writing by DOE that its records 
are no longer needed.
    (6) Those firms which participated in the Entitlements program. Any 
such firm shall maintain its Entitlements-related records until six 
months after the final judicial resolution (including any and all 
appeals) of Texaco v. DOE, Nos. 84-391, 84-410, and 84-456 (D. Del.), or 
the firm is notified by DOE that its records are no longer needed, 
whichever occurs first.
    (c) For purposes of this section:
    (1) A firm is ``a party in litigation'' if:
    (i)(A) The firm has received a Notice of Probable Violation, a 
Notice of Probable Disallowance, a Proposed Remedial Order, or a 
Proposed Order of Disallowance; or
    (B) The firm and DOE are parties in a lawsuit arising under the 
Emergency Petroleum Allocation Act of 1973, as amended (15 U.S.C. 751 et 
seq.) or 10 CFR parts 205, 210, 211, or 212; and

[[Page 59]]

    (ii)(A) There has been no final (that is, non-appealable) 
administrative or judicial resolution, or
    (B) DOE has not informed the firm in writing that the Department has 
completed its review of the matter.
    (2) A firm means any association, company, corporation, estate, 
individual, joint-venture, partnership, or sole proprietorship, or any 
other entity, however organized, including charitable, educational, or 
other eleemosynary institutions, and state and local governments. A firm 
includes a parent and the consolidated and unconsolidated entities (if 
any) which it directly or indirectly controls.

              Appendix A to 10 CFR 210.1--Third Party Firms

                              Name of Firm

A & R, Inc.
A. J. Petroleum
ADA Resources, Inc.
ATC Petroleum
Abbco Petroleum, Inc.
Ada Oil Company
Adams Grocery
Advanced Petroleum Distributing Co.
Agway Inc.
Allegheny Petroleum Corp.
Alliance Oil and Refining Company
Allied Chemical Corp.
Allied Transport
Amerada Hess Corp.
American Natural Crude Oil Assoc.
Amoco Production Company
Amorient Petroleum, Inc.
An-Son Transportation Co.
Anadarko Products Co.
Andrus Energy Corp.
Antler Petroleum
Arco Pipeline Company
Armada Petroleum Corp.
Armour Oil Company
Arnold Brooks Const. Inc.
Ashland Oil
Asiatic Petroleum Co.
Aspen Energy, Inc.
Athens General Hospital
Atlantic Pacific Energy, Inc.
Atlas Processing Company
B & B Trading Company
BLT, Inc.
BPM, Ltd.
Baker Services, Inc.
Basin Inc.
Basin Petroleum, Inc.
Beacon Hill Mobil
Belcher Oil Company
Bighart Pipeline Company
Bigheart Pipeline Corp
Bowdoin Square Exxon
Bowdoin Super Service (Sunoco)
Brio Petroleum, Inc.
Brixon
C.E. Norman
CPI Oil & Refining
CRA-Farmland Industries, Inc.
Calcaseiu Refining, Ltd.
Carbonit Houston, Inc.
Carr Oil Company, Inc.
Castle Coal & Oil Co.
Central Crude Corporation
Century Trading Co.
Charter Crude Oil
Chastain Vineyard
Chevron USA, Inc.
Cibro Petroleum, Inc.
Cirillo Brothers
Cities Service (Citgo) Station
Cities Service Company
Cities Service Midland
City of Athens
Clarke County Board of Education
Claude E. Silvey
Coastal Corporation (The)
Coastal Petroleum and Supply Inc.
Coastal States Trading Company
Commonwealth Oil Refining Co., Inc.
Coral Petroleum Canada, Inc.
Coral Petroleum, Inc.
Corex of Georgia
Cothran Interstate Exxon
Couch's Standard Chevron
Cougar Oil Marketers Inc.
Crude Company (The)
Crystal Energy Corporation
Crystal Refining
D & E Logging
DDC Corporation of America
Darrell Williamson
Davis Ellis
Days Inn of America, Inc.
Delta Petroleum & Energy Corp.
Derby & Company, Inc.
Derby Refining Company
Dewveall Petroleum
Dixie Oil Company
Dixon Oil Co.
Don Hardy
Donald Childs
Dow Chemical Company
Dr. Joe L. Griffeth
Driver Construction Co.
Drummond Brothers, Inc.
Duffie Monroe & Sons Co., Inc.
ECI (A/K/A Energy Cooperative Inc.)
Earnest Dalton
Earth Resources Trading
Eastern Seaboard Petroleum, Inc.
Elmer Hammon
Elvin Knight
Empire Marketing, Inc.
Encorp.
Energy Cooperative, Inc.
Energy Distribution Co.
Englehard Corporation
Englehard Oil Corporation
Entex
Evans Oil Co.

[[Page 60]]

Exxon Company
F & S Trading Company, Inc.
Farmers Union Central Exchange, Inc.
Farmland Industries Inc.
Fasgo, Inc.
Fedco Oil Company
Federal Employees Distributing Co.
Fitzpatrick Spreader
Flutz Oil Company
Flying J. Inc.
Foremost Petroleum
Four Corners Pipe Line
Frank Katz
Frank W. Abrahamsen
Frank's Butane, Inc.
Friendswood Refinery
Frontier Manor Collection
Fuel Oil Supply & Terminaling, Inc.
G. C. Clark Company
GPC Marketing Company
Gary Refining Co.
Geer Tank Trucks, Inc.
Gene Clary
Gene McDonald
General Crude Oil Company
Geodynamics Oil & Gas Inc.
George Kennedy
George Smith Chevron
Gleason Oil Company
Glenn Company
Globe Oil Co.
Godfrey's Standard Service
Good Hope Industries, Inc.
Good Hope Refineries, Inc.
Granite Oil Company
Guam Oil & Refining Co., Inc.
Gulf States Oil & Refining Company
H. D. Adkinson
H. H. Dunson
H.S. & L, Inc.
HNG Oil Company
Harbor Petroleum, Inc.
Harbor Trading
Harmony Grove Mills, Inc.
Harry Rosser
Hast Oil, Inc.
Heet Gas Company
Henry Alva Mercer
Herndon Oil & Gas Company
Horizon Petroleum Company
Houston Oil & Minerals Products Co.
Houston Oil & Refining
Howell Corporation
Hurricane Trading Company, Inc.
Hydrocarbon Trading and Transport Co.
Inco Trading
Independent Refining Corp.
Independent Trading Corporation
Indiana Refining, Inc.
Intercontinental Petroleum Corp.
International Crude Corporation
International Petro
International Petroleum Trading, Inc.
International Processors
Isthmus Trading Corporation
J & M Transport
J. & J.'s Fast Stop
J. A. Rackerby Corporation
J. H. Baccus
J. H. Baccus & Co.
J. J. Williamson
J. M. Petroleum Corporation
JPK Industries
Jack W. Grigsby
Jaguar Petroleum, Inc.
James L. Bush
Jay Petroleum Company
Jay-Ed Petroleum Company
John W. McGowan
Kalama Chemical, Inc.
Kelly Trading Corp.
Kenco Refining
Kerr-McGee Corporation
Koch Fuel
Koch Industries, Inc.
Kocolene Oil
Kocolene Station
L & L Resources, Inc.
L.S. Parker
LaGloria Oil & Gas
LaJet, Inc.
Lamar Refining Co.
Langham Petroleum Corp.
Larry Roberts
Laurel Oil, Inc.
Lee Allen
Lincoln Land Sales Company
Listo Petroleum Inc.
Longview Refining Corp.
Love's Standard
Lucky Stores Inc.
M.L. Morrow
Magna Energy Corporation
Magnolia Oil Company
Mansfield Oil Co.
Mapco Petroleum, Inc.
Mapco, Inc.
Marion Trading Co.
Marlex Oil & Refining, Inc.
Marlin Petroleum, Inc.
Martin Oil Company
Mathew's Grocery
McAuleep Oil Co.
McAuley Oil Company
Meadows Gathering, Inc.
Mellon Energy Products Co.
Merit Petroleum, Inc.
Metro Wash, Inc.
Miller Oil Purchasing Co.
Minor Oil, Inc.
Minro Oil, Inc.
Mitchell Oil Co.
Mitsui & Co. (USA) Inc.
Mobil Bay Refining Company
Montgomery Well Drilling
Mundy Food Market
Munford, Inc.
Mutual Petroleum
NRG Oil Company
National Convenience Stores
National Cooperative Refinery
Nicholson Grocery and Gas
North American Petroleum
Northeast Petroleum Corp.

[[Page 61]]

Northeast Petroleum Corporation
Northgate Auto Center
Northwest Crude, Inc.
Nova Refining Corp.
Occidental Petroleum Corp. (includes Permia)
Ocean Drilling and Exploration Co.
Oil Exchange, Inc.
Oilco
Omega Petroleum Corp.
Otoe Corporation
Oxxo Energy Group, Inc.
P & O Falco, Inc.
P. L. Heatley Co.
PEH, Inc.
PIB, Inc.
PSW Distributors Company
Pacific Refinery, Inc.
Pacific Resources, Inc.
Pan American Products Corp.
Par Brothers Food Store
Pauley Petroleum Inc.
Pennzoil Co.
Permian Corporation (The)
Pescar International Corp.
Pescar International Trading Co.
Petraco (U.S.A.) Inc.
Petrade International
Petrol Products, Inc.
Phillips Petroleum Company
Phoenis Petroleum Co.
Phoenix Petroleum Co.
Pine Mountains
Poole Petroleum
Port Petroleum
Presley Oil Co.
Procoil Inc.
Publiker Industries, Inc.
Pyramid Dist. Co., Inc.
Questor Crude Oil Company
Quitman Refining Co.
R. H. Garrett Paving
Ra-Gan Fuel, Inc.
Reeder Distributing Co.
Reeder Distributors
Reese Exploration Co.
Research Fuels Inc.
Revere Petroleum Co.
Richardson-Ayres, Inc.
Robert Bishop
Robert Patrick
Roberts Grocery
Rock Island Refining Corporation
Rogers Oil Company
Roy Baerne
Russell Oil Company
S. G. Coplen
SECO (Scruggs Energy)
Saber Crude Oil, Inc.
Saber Refining Company
Salem Ventures, Inc.
Samson Resources Company
Santa Fe Energy Products Co.
Saye's Truck Stop
Scandix Oil Limited
Score, Inc.
Scruggs Energy Company
Scurlock Oil Company
Scurry Oil Company
Seamount Petroleum Company
Seaview Petroleum Company
Sector Refining, Inc.
Selfton Miller
Shepherd Trading Corporation
Shulze Processing
Sigmor Corporation
Skelly Oil Company
South Hampton Refining Company
South Texas LP Gas Co.
Southern Crude Oil Resources
Southern Terminal & Transport, Ltd.
Southern Union Company
Southwest Petro. Energy
Southwest Petrochem
Standard Oil Co. (Ohio)
Standard Oil Co. of California
Standard Oil Company (Indiana)
Standard Oil Company (Ohio)
Sterling Energy Company
Steve Childs
Stix Gas Company, Inc.
Sunset Grocery
Sunset Oil & Refining, Inc.
Swanee Petroleum Company
T & P Enterprises
T. B. Eley
T. E. Jawell
Tauber Oil Company
Tenneco, Inc.
Tesoro Crude Oil Company
Texana Oil & Gas Corp.
Texas American Petrochemicals (TAP)
Texas City Refining
Texas Eastern Transmission Corp.
Texas Energy Reserve Corporation
Texas Pacific Oil Company
Thomas Cockvell
Thomas Petroleum Products, Inc.
Thorton Oil Company
Thyssen Incorporated
Tiger Petroleum Company
Time Oil Co.
Tipperary Refining Company
Tom Banks
Tom Smith
Tomlinson Petroleum, Inc.
Tosco Corporation
Total Petroleum, Inc.
Trans-Texas Petroleum Corp.
Transco Trading Company
Turboil Oil and Refining
Two Rivers Oil & Gas Co., Inc.
U-Fill 'er Up
USA Gas, Inc.
Uni Oil Company
Union Oil of California
Doram Energy
United Petroleum Marketing
United Refining Company
United Refining, Inc.
Universal Rundle
Val-Cap, Inc.
Vedetta Oil Trading, Inc.
Vedette Oil Trading, Inc.

[[Page 62]]

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

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

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

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

[[Page 63]]

 
Independent Oil & Tire Company........  Elyria, OH.
Inland USA, Inc.......................  St. Louis, MO.
Inman Oil Co..........................  Salem, MO.
Internorth, Inc.......................  Omaha, NE.
J.E. DeWitt, Inc......................  South El Monte, CA.
J.M. Huber Corp.......................  Houston, TX.
James Petroleum Corp..................  Bakersfield, CA.
Jay Oil Company.......................  Fort Smith, AR.
Jimmys Gas Stations Inc...............  Auburn, ME.
Jones Drilling Corporation............  Duncan, OK.
Juniper Petroleum Corporation.........  Denver, CO.
Kansas-Nebraska Natural Gas Co........  Hastings, NE.
Keller Oil Company, Inc...............  Effingham, IL.
Kenny Larson Oil Co., Inc.............
Kent Oil & Trading Company............  Houston, TX.
Key Oil Co., Inc......................  Tuscaloosa, AL.
Key Oil Company.......................  Bowling Green, KY.
Kiesel Co.............................  St. Louis, MO.
King & King Enterprise................  Kansas City, MO.
Kingston Oil Supply Corp..............  Port Ewen, NY.
Kirby Oil Company.....................
L & L Oil Co., Inc....................  Belle Chasse, LA.
L.P. Rech Distributing Co.............  Roundup, MT.
La Gloria Oil and Gas Co..............  Houston, TX.
Lakes Gas Co., Inc....................  Forest Lake, MN.
Lakeside Refining Co./Crystal.........  Southfield, MI.
Landsea Oil Company...................  Irvine, CA.
Leathers Oil Co., Inc.................  Portland, OR.
Leese Oil Company.....................  Pocatello, ID.
Leonard E. Belcher, Inc...............  Springfield, MA.
Lincoln Land Oil Co...................  Springfield, IL.
Liquid Products Recovery..............  Houston, TX.
Little America Refining Co............  Salt Lake City, UT.
Lockheed Air Terminal Inc.............  Burbank, CA.
Lowe Oil Company......................  Clinton, MO.
Lucia Lodge Arco......................  Big Sur, CA.
Luke Brothers Inc.....................  Calera, OK.
Lunday Thargard Oil...................  South Gate, CA.
Malco Industries Inc..................  Cleveland, OH.
Mapco, Inc............................  Tulsa, OK.
Marine Petroleum Co...................  St. Louis, MO.
Marlen L. Knutson Dist. Inc...........  Stanwood, WA.
Martin Oil Service, Inc...............  Blue Island, IL.
Martinoil Company.....................  Fresno, CA.
Marvel Fuel Oil and Gas Co............
McCarty Oil Co........................  Wapakoneta, OH.
McCleary Oil Co., Inc.................  Chambersburg, OH.
McClure's Service Station.............  Salisbury, PA.
McTan Corporation.....................  Abilene, TX.
Mesa Petroleum Company................  Amarillo, TX.
Midway Oil Co.........................  Rock Island, IL.
Midwest Industrial Fuels, Inc.........  La Crosse, WI.
Mississippi River Transmission........  St. Louis, MO.
Mitchell Energy Corp..................  Woodlands, TX.
Montana Power Co......................  Butte, MT.
Moore Terminal and Barge Co...........  Monroe, LA.
Mountain Fuel Supply Company..........  Salt Lake City, UT.
Moyle Petroleum Co....................  Rapid City, SD.
Mustang Fuel Corporation..............  Oklahoma City, OK.
Naphsol Refining Company..............  Muskegon, MI.
National Helium Corporation...........  Liberal, KS.
National Propane Corp.................  Wyandanch, NY.
Navajo Refining Company...............  Dallas, TX.
Nielson Oil & Propane, Inc............  West Point, NE.
Northeast Petroleum Industries........  Chelsea, MA.
Northeastern Oil Co., Inc.............  Gillette, WY.
Northwest Pipeline Corp...............  Salt Lake City, UT.
O'Connell Oil Co......................  Pittsfield, MA.
Oceana Terminal Corp. et al...........  Bronx, NY.
OKC Corporation.......................  Dallas, TX.
Olin Corporation......................  Stamford, CT.
Oneok Incorporation...................  Tulsa, OK.
Ozona Gas Processing Plant............  Tyler, TX.
Pacer Oil Co. of Florida, Inc.........  Ormond Beach, FL.
Pacific Northern Oil..................  Seattle, WA.
Panhandle Eastern (Century)...........  Houston, TX.
Parade Company........................  Shreveport, LA.
Parham Oil Corporation................  Nashville, TN.
Pasco Petroleum Co., Inc..............  Phoenix, AZ.
Pedersen Oil, Inc.....................  Silverdale, WA.
Pennzoil Company......................  Houston, TX.
Perry Gas Processors, Inc.............  Odessa, TX.
Peoples Energy Corp...................  Chicago, IL.
Perta Oil Marketing Corp..............  Beverly Hills, CA.
Peterson Petroleum Inc................  Hudson, NY.
Petro-Lewis Corp......................  Denver, CO.
Petrolane-Lomita Gasoline Co..........  Long Beach, CA.
Petroleum Heat & Power Co. Inc........  Stamford, CT.
Petroleum Sales/Services Inc..........  Buffalo, NY.
Pioneer Corp..........................  Amarillo, TX.
Planet Engineers Inc..................  Denver, CO.
Plateau, Inc..........................  Albuquerque, NM.
Plaquemines Oil Sales.................  Belle Chasse, LA.
Point Landing Inc.....................  Hanrahan, LA.
Port Oil Company, Inc.................  Mobile, AL.
Post Petroleum Co.....................  West Sacramento, CA.
Power Pak Co., Inc....................  Houston, TX.
Pride Refining, Inc...................  Abilene, TX.
Pronto Gas Co.........................  Abilene, TX.
Propane Gas & Appliance Co............  New Brockton, AL.
Prosper Energy Corporation............  Dallas, TX.
Pyro Energy Corporation...............  Evansville, IN.
Pyrofax Gas Corporation...............  Houston, TX.
Quaker State Oil......................  Oil City, PA.
Quarles Petroleum, Inc................  Fredericksburg, VA.
Resources Extraction Process..........  Houston, TX.
Reynolds Oil Co.......................  Kremling, CO.
Richardson Ayers Jobbers, Inc.........  Alexandria, LA.
Riverside Oil, Inc....................  Evansville, IN.
Roberts Oil Co. Inc...................  Albuquerque, NM.
Rookwood Oil Terminals Inc............  Cincinnati, OH.
Saber Energy, Inc.....................  Houston, TX.
Sanesco Oil Co........................  Escondido, CA.
Schroeder Oil Company.................  Carroll, IA.
Seminole Refining Inc.................  St. Marks, FL.
Sid Richardson Carbon & Gas...........  Ft. Worth, TX.
Sigmore Corporation...................  San Antonio, TX.
Southwestern Refining Co., Inc........  Salt Lake City, UT.
Speedway Petroleum Co., Inc...........  Fitchburg, MA.
St. James Resources Corp..............  Boston, MA.
Standard Oil Co. (Indiana)............  Chicago, IL.
Stinnes Inter Oil Inc.................  New York, NY.
Tenneco Oil Company...................  Houston, TX.
Texas/Arkansas/Colorado/Oklahoma/Oil    Dallas, TX.
 Purchasing.
Texas Gas & Exploration...............  Dallas, TX.
Texas Oil & Gas Corporation...........  Dallas, TX.
Texas Pacific Oil Company, Inc........  Dallas, TX.
The True Companies....................  Casper, WY.
Thompson Oil Inc......................  Purcellville, VA.
Tiger Oil Co..........................  Yakima, WA.
Time Oil Company......................  Seattle, WA.
Tipperary Corp........................  Midland, TX.
Tippins Oil & Gas Co..................  Richmond, MO.
Triton Oil & Gas Corp.................  Dallas, TX.
U.S. Compressed Gas Company...........  King of Prussia, PA.
U.S. Oil Company......................  Combined Locks, WI.
U.S.A. Petroleum, Inc.................  Santa Monica, CA.
Union Texas Petroleum Corp............  Houston, TX.
United Oil Company....................  Hillside, NJ.
Upham Oil & Gas Co....................  Mineral Wells, TX.
Vangas Inc............................  Fresno, CA.
VGS Corporation.......................  Jackson, MS.
Waller Petroleum Company, Inc.........  Towson, MD.
Warren Holding Company................  Providence, RI.
Warrior Asphalt Co. of Alabama........  Tuscaloosa, AL.
Webco Southern Oil Inc................  Smyrna, CA.
Wellen Oil Co.........................  Jersey City, NJ

[[Page 64]]

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


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

[50 FR 4962, Feb. 5, 1985]

Subparts B-D [Reserved]



PART 212_MANDATORY PETROLEUM PRICE REGULATIONS--Table of Contents



Subparts A-C [Reserved]

                    Subpart D_Producers of Crude Oil

Sec.
212.78 Tertiary incentive crude oil.

Subparts E-I [Reserved]

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

Subparts A-C [Reserved]



                    Subpart D_Producers of Crude Oil



Sec. 212.78  Tertiary incentive crude oil.

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

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

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

Subparts E-I [Reserved]



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



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

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

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



Sec. 215.1  Purpose.

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

[[Page 65]]



Sec. 215.2  Definitions.

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



Sec. 215.3  Supply reports.

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



Sec. 215.4  Production of contracts and documents.

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

[[Page 66]]

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



Sec. 215.5  Pricing and volume reports.

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



Sec. 215.6  Notice of negotiations.

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



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



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

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

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



Sec. 216.1  Introduction.

    (a) This part describes and establishes the procedures to be used by 
the Department of Energy (DOE) in considering and making certain 
findings required by section 101(c)(2)(A) of the Defense Production Act 
of 1950, as amended, 50 U.S.C. app. 2071(c)(2)(A) (DPA). Section 101(c) 
authorizes the allocation of, or priority performance under contracts or 
orders (other than contracts of employment) relating to, materials and 
equipment, services, or facilities in order to maximize domestic energy 
supplies if the findings described in section 101(c)(2) are made. Among 
these findings are that such supplies of materials and equipment, 
services, or facilities are critical and essential to maintain or 
further exploration, production, refining, transportation or the 
conservation of energy supplies or for the construction or maintenance 
of energy facilities. The function of finding that supplies are critical 
and essential was delegated to the Secretary of Energy pursuant to E.O. 
12919 (59 FR 29525, June 7, 1994) and Department of Commerce Defense 
Priorities and Allocations System Delegation No. 2, 15 CFR part 700.

[[Page 67]]

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

[73 FR 10983, Feb. 29, 2008]



Sec. 216.2  Definitions.

    As used in these regulations:
    (a) Secretary means the Secretary of the Department of Energy.
    (b) Applicant means a person requesting priorities or allocation 
assistance in connection with an energy program or project.
    (c) Application means the written request of an applicant for 
assistance.
    (d) Assistance means use of the authority vested in the President by 
DPA section 101(c) to implement priorities and allocation support.
    (e) DHS means the Department of Homeland Security.
    (f) DOC means the Department of Commerce.
    (g) DOE means the Department of Energy.
    (h) Defense Priorities and Allocations System Coordination Office 
means the Department of Energy, Office of Electricity and Energy 
Assurance, OE-30.
    (i) Eligible energy program or project means a designated activity 
which maximizes domestic energy supplies by furthering the exploration, 
production, refining, transportation or conservation of energy supplies 
or construction or maintenance of energy facilities within the meaning 
of DPA section 101(c), as determined by DOE.
    (j) Facilities means all types of buildings, structures, or other 
improvements to real property (but excluding farms, churches or other 
places of worship, and private dwelling houses), and services relating 
to the use of any such building, structure, or other improvement.
    (k) Materials and equipment means: (1) Any raw materials (including 
minerals, metals, and advanced processed materials), commodities, 
articles, components (including critical components), products, and 
items of supply; and
    (2) Any technical information or services ancillary to the use of 
such raw materials, commodities, articles, components, products, or 
items.
    (l) National Defense means programs for military and energy 
production or construction, military assistance to any foreign nation, 
stockpiling, space, and any directly related activity. Such term also 
includes emergency preparedness activities conducted pursuant to title 
VI of the Robert T. Stafford Disaster Relief and Emergency Assistance 
Act (42 U.S.C. 5195, et seq.) and

[[Page 68]]

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

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



Sec. 216.3  Requests for assistance.

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

[[Page 69]]

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

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



Sec. 216.4  Evaluation by DOE of applications.

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

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



Sec. 216.5  Notification of findings.

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

[73 FR 10984, Feb. 29, 2008]



Sec. 216.6  Petition for reconsideration.

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

[[Page 70]]

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

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



Sec. 216.7  Conflict in priority orders.

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

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



Sec. 216.8  Communications.

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

[73 FR 10984, Feb. 29, 2008]



Sec. 216.9  Violations.

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



PART 217_ENERGY PRIORITIES AND ALLOCATIONS SYSTEM--Table of Contents



                            Subpart A_General

Sec.
217.1 Purpose of this part.
217.2 Priorities and allocations authority.
217.3 Program eligibility.

                          Subpart B_Definitions

217.20 Definitions.

                   Subpart C_Placement of Rated Orders

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

                 Subpart D_Special Priorities Assistance

217.40 General provisions.
217.41 Requests for priority rating authority.
217.42 Examples of assistance.
217.43 Criteria for assistance.
217.44 Instances where assistance may not be provided.

                      Subpart E_Allocation Actions

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

[[Page 71]]

                       Subpart F_Official Actions

217.60 General provisions.
217.61 Rating Authorizations.
217.62 Directives.
217.63 Letters and Memoranda of Understanding.

                          Subpart G_Compliance

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

             Subpart H_Adjustments, Exceptions, and Appeals

217.80 Adjustments or exceptions.
217.81 Appeals.

                   Subpart I_Miscellaneous Provisions

217.90 Protection against claims.
217.91 Records and reports.
217.92 Applicability of this part and official actions.
217.93 Communications.

Appendix I to Part 217--Sample Form DOE F 544 (05-11)

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

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



                            Subpart A_General



Sec. 217.1  Purpose of this part.

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



Sec. 217.2  Priorities and allocations authority.

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

[[Page 72]]

    (3) By the Secretary of Homeland Security with respect to essential 
civilian needs supporting national defense, including civil defense and 
continuity of government and directly related activities.



Sec. 217.3  Program eligibility.

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



                          Subpart B_Definitions



Sec. 217.20  Definitions.

    The following definitions pertain to all sections of this part:
    Allocation order means an official action to control the 
distribution of materials, services, or facilities for a purpose deemed 
necessary or appropriate to promote the national defense.
    Allotment means an official action that specifies the maximum 
quantity or use of a material, service, or facility authorized for a 
specific use to promote the national defense.
    Approved program means a program determined by the Secretary of 
Defense, the Secretary of Energy, or the Secretary of Homeland Security 
to be necessary or appropriate to promote the national defense, in 
accordance with section 202 of E.O. 12919.
    Civil transportation includes movement of persons and property by 
all modes of transportation in interstate, intrastate, or foreign 
commerce within the United States, its territories and possessions, and 
the District of Columbia, and, without limitation, related public 
storage and warehousing, ports, services, equipment and facilities, such 
as transportation carrier shop and repair facilities. However, ``civil 
transportation'' shall not include transportation owned or controlled by 
the Department of Defense, use of petroleum and gas pipelines, and coal 
slurry pipelines used only to supply energy production facilities 
directly. As applied herein, ``civil transportation'' shall include 
direction, control, and coordination of civil transportation capacity 
regardless of ownership.
    Construction means the erection, addition, extension, or alteration 
of any building, structure, or project, using materials or products 
which are to be an integral and permanent part of the building, 
structure, or project. Construction does not include maintenance and 
repair.
    Critical infrastructure means any systems and assets, whether 
physical or cyber-based, so vital to the United States that the 
degradation or destruction of such systems and assets would have a 
debilitating impact on national security, including, but not limited to, 
national economic security and national public health or safety.
    Defense Production Act means the Defense Production Act of 1950, as 
amended (50 U.S.C. App. 2061 et seq.).
    Delegate Agency means a Federal government agency authorized by 
delegation from the Department of Energy to place priority ratings on 
contracts or orders needed to support approved programs.
    Directive means an official action that requires a person to take or 
refrain from taking certain actions in accordance with its provisions.
    Emergency preparedness means all those activities and measures 
designed or undertaken to prepare for or minimize the effects of a 
hazard upon the civilian population, to deal with the immediate 
emergency conditions which would be created by the hazard, and to 
effectuate emergency repairs to, or the emergency restoration of, vital 
utilities and facilities destroyed or damaged by the hazard. Such term 
includes the following:
    (1) Measures to be undertaken in preparation for anticipated hazards 
(including the establishment of appropriate organizations, operational 
plans, and supporting agreements, the recruitment and training of 
personnel,

[[Page 73]]

the conduct of research, the procurement and stockpiling of necessary 
materials and supplies, the provision of suitable warning systems, the 
construction or preparation of shelters, shelter areas, and control 
centers, and, when appropriate, the nonmilitary evacuation of the 
civilian population).
    (2) Measures to be undertaken during a hazard (including the 
enforcement of passive defense regulations prescribed by duly 
established military or civil authorities, the evacuation of personnel 
to shelter areas, the control of traffic and panic, and the control and 
use of lighting and civil communications).
    (3) Measures to be undertaken following a hazard (including 
activities for fire fighting, rescue, emergency medical, health and 
sanitation services, monitoring for specific dangers of special weapons, 
unexploded bomb reconnaissance, essential debris clearance, emergency 
welfare measures, and immediately essential emergency repair or 
restoration of damaged vital facilities).
    Energy means all forms of energy including petroleum, gas (both 
natural and manufactured), electricity, solid fuels (including all forms 
of coal, coke, coal chemicals, coal liquification, and coal 
gasification), and atomic energy, and the production, conservation, use, 
control, and distribution (including pipelines) of all of these forms of 
energy.
    Facilities includes all types of buildings, structures, or other 
improvements to real property (but excluding farms, churches or other 
places of worship, and private dwelling houses), and services relating 
to the use of any such building, structure, or other improvement.
    Farm equipment means equipment, machinery, and repair parts 
manufactured for use on farms in connection with the production or 
preparation for market use of food resources.
    Fertilizer means any product or combination of products that contain 
one or more of the elements--nitrogen, phosphorus, and potassium--for 
use as a plant nutrient.
    Food resources means all commodities and products, simple, mixed, or 
compound, or complements to such commodities or products, that are 
capable of being ingested by either human beings or animals, 
irrespective of other uses to which such commodities or products may be 
put, at all stages of processing from the raw commodity to the products 
thereof in vendible form for human or animal consumption. ``Food 
resources'' also means all starches, sugars, vegetable and animal or 
marine fats and oils, cotton, tobacco, wool, mohair, hemp, flax fiber, 
and naval stores, but does not mean any such material after it loses its 
identity as an agricultural commodity or agricultural product.
    Food resource facilities means plants, machinery, vehicles 
(including on-farm), and other facilities required for the production, 
processing, distribution, and storage (including cold storage) of food 
resources, livestock and poultry feed and seed, and for the domestic 
distribution of farm equipment and fertilizer (excluding transportation 
thereof).
    Hazard means an emergency or disaster resulting from:
    (1) A natural disaster; or
    (2) An accidental or human-caused event.
    Health resources means drugs, biological products, medical devices, 
diagnostics, materials, facilities, health supplies, services and 
equipment required to diagnose, prevent the impairment of, improve, or 
restore the physical or mental health conditions of the population.
    Homeland security includes efforts--
    (1) To prevent terrorist attacks within the United States;
    (2) To reduce the vulnerability of the United States to terrorism;
    (3) To minimize damage from a terrorist attack in the United States; 
and
    (4) To recover from a terrorist attack in the United States.
    Industrial resources means all materials, services, and facilities, 
including construction materials, but not including: food resources, 
food resource facilities, and the domestic distribution of farm 
equipment and commercial fertilizer; all forms of energy; health 
resources; all forms of civil transportation; and water resources.

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    Item means any raw, in process, or manufactured material, article, 
commodity, supply, equipment, component, accessory, part, assembly, or 
product of any kind, technical information, process, or service.
    Maintenance and repair and operating supplies or MRO--
    (1) ``Maintenance'' is the upkeep necessary to continue any plant, 
facility, or equipment in working condition.
    (2) ``Repair'' is the restoration of any plant, facility, or 
equipment to working condition when it has been rendered unsafe or unfit 
for service by wear and tear, damage, or failure of parts.
    (3) ``Operating supplies'' are any resources carried as operating 
supplies according to a person's established accounting practice. 
Operating supplies may include hand tools and expendable tools, jigs, 
dies, fixtures used on production equipment, lubricants, cleaners, 
chemicals and other expendable items.
    (4) MRO does not include items produced or obtained for sale to 
other persons or for installation upon or attachment to the property of 
another person, or items required for the production of such items; 
items needed for the replacement of any plant, facility, or equipment; 
or items for the improvement of any plant, facility, or equipment by 
replacing items which are still in working condition with items of a new 
or different kind, quality, or design.
    Materials includes--
    (1) Any raw materials (including minerals, metals, and advanced 
processed materials), commodities, articles, components (including 
critical components), products, and items of supply; and
    (2) Any technical information or services ancillary to the use of 
any such materials, commodities, articles, components, products, or 
items.
    (3) Natural resources such as oil and gas.
    National defense means programs for military and energy production 
or construction, military or critical infrastructure assistance to any 
foreign nation, homeland security, stockpiling, space, and any directly 
related activity. Such term includes emergency preparedness activities 
conducted pursuant to title VI of the Robert T. Stafford Disaster Relief 
and Emergency Assistance Act (42 U.S.C. 5195, et seq.) and critical 
infrastructure protection and restoration.
    Official action means an action taken by the Department of Energy or 
another resource agency under the authority of the Defense Production 
Act, E.O. 12919, and this part or another regulation under the Federal 
Priorities and Allocations System. Such actions include the issuance of 
Rating Authorizations, Directives, Set Asides, Allotments, Letters of 
Understanding, Memoranda of Understanding, Demands for Information, 
Inspection Authorizations, and Administrative Subpoenas.
    Person includes an individual, corporation, partnership, 
association, or any other organized group of persons, or legal successor 
or representative thereof, or any State or local government or agency 
thereof.
    Rated order means a prime contract, a subcontract, or a purchase 
order in support of an approved program issued in accordance with the 
provisions of this part.
    Resource agency means any agency delegated priorities and 
allocations authority as specified in Sec. 217.2.
    Secretary means the Secretary of Energy.
    Services includes any effort that is needed for or incidental to--
    (1) The development, production, processing, distribution, delivery, 
or use of an industrial resource or a critical technology item;
    (2) The construction of facilities;
    (3) The movement of individuals and property by all modes of civil 
transportation; or
    (4) Other national defense programs and activities.
    Set-aside means an official action that requires a person to reserve 
materials, services, or facilities capacity in anticipation of the 
receipt of rated orders.
    Stafford Act means title VI (Emergency Preparedness) of the Robert 
T. Stafford Disaster Relief and Emergency Assistance Act, as amended (42 
U.S.C. 5195-5197g).

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



                   Subpart C_Placement of Rated Orders



Sec. 217.30  Delegations of authority.

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



Sec. 217.31  Priority ratings.

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



Sec. 217.32  Elements of a rated order.

    Each rated order must include:
    (a) The appropriate priority rating (e.g. DO-F1 or DX-F1)
    (b) A required delivery date or dates. The words ``immediately'' or 
``as soon as possible'' do not constitute a delivery date. A 
``requirements contract'', ``basic ordering agreement'', ``prime vendor 
contract'', or similar procurement document bearing a priority rating 
may contain no specific delivery date or dates and may provide for the 
furnishing of items or service from time to time or within a stated 
period against specific purchase orders, such as ``calls'', 
``requisitions'', and ``delivery orders''. These purchase orders must 
specify a required delivery date or dates and are to be considered as 
rated as of the date of their receipt by the supplier and not as of the 
date of the original procurement document;
    (c) The written signature on a manually placed order, or the digital 
signature or name on an electronically placed order, of an individual 
authorized to sign rated orders for the person placing the order. The 
signature or use of the name certifies that the rated order is 
authorized under this part and that the requirements of this part are 
being followed; and
    (d)(1) A statement that reads in substance:
    This is a rated order certified for national defense use, and you 
are required to follow all the provisions of the Energy Priorities and 
Allocations System regulation at 10 CFR part 217.
    (2) If the rated order is placed in support of emergency 
preparedness requirements and expedited action is necessary and 
appropriate to meet these requirements, the following sentences should 
be added following the

[[Page 76]]

statement set forth in paragraph (d)(1) of this section:
    This rated order is placed for the purpose of emergency 
preparedness. It must be accepted or rejected within 2 days after 
receipt of the order if (1) The order is issued in response to a hazard 
that has occurred; or
    (2) If the order is issued to prepare for an imminent hazard, as 
specified in EPAS Section 217.33(e), 10 CFR 217.33(e).



Sec. 217.33  Acceptance and rejection of rated orders.

    (a) Mandatory acceptance. (1) Except as otherwise specified in this 
section, a person shall accept every rated order received and must fill 
such orders regardless of any other rated or unrated orders that have 
been accepted.
    (2) A person shall not discriminate against rated orders in any 
manner such as by charging higher prices or by imposing different terms 
and conditions than for comparable unrated orders.
    (b) Mandatory rejection. Unless otherwise directed by the Department 
of Energy for a rated order involving all forms of energy:
    (1) A person shall not accept a rated order for delivery on a 
specific date if unable to fill the order by that date. However, the 
person must inform the customer of the earliest date on which delivery 
can be made and offer to accept the order on the basis of that date. 
Scheduling conflicts with previously accepted lower rated or unrated 
orders are not sufficient reason for rejection under this section.
    (2) A person shall not accept a DO-rated order for delivery on a 
date which would interfere with delivery of any previously accepted DO- 
or DX-rated orders. However, the person must offer to accept the order 
based on the earliest delivery date otherwise possible.
    (3) A person shall not accept a DX-rated order for delivery on a 
date which would interfere with delivery of any previously accepted DX-
rated orders, but must offer to accept the order based on the earliest 
delivery date otherwise possible.
    (4) If a person is unable to fill all of the rated orders of equal 
priority status received on the same day, the person must accept, based 
upon the earliest delivery dates, only those orders which can be filled, 
and reject the other orders. For example, a person must accept order A 
requiring delivery on December 15 before accepting order B requiring 
delivery on December 31. However, the person must offer to accept the 
rejected orders based on the earliest delivery dates otherwise possible.
    (c) Optional rejection. Unless otherwise directed by the Department 
of Energy for a rated order involving all forms of energy, rated orders 
may be rejected in any of the following cases as long as a supplier does 
not discriminate among customers:
    (1) If the person placing the order is unwilling or unable to meet 
regularly established terms of sale or payment;
    (2) If the order is for an item not supplied or for a service not 
capable of being performed;
    (3) If the order is for an item or service produced, acquired, or 
provided only for the supplier's own use for which no orders have been 
filled for two years prior to the date of receipt of the rated order. 
If, however, a supplier has sold some of these items or provided similar 
services, the supplier is obligated to accept rated orders up to that 
quantity or portion of production or service, whichever is greater, sold 
or provided within the past two years;
    (4) If the person placing the rated order, other than the U.S. 
Government, makes the item or performs the service being ordered;
    (5) If acceptance of a rated order or performance against a rated 
order would violate any other regulation, official action, or order of 
the Department of Energy, issued under the authority of the Defense 
Production Act or another relevant statute.
    (d) Customer notification requirements. (1) Except as provided in 
this paragraph, a person must accept or reject a rated order in writing 
or electronically within fifteen (15) working days after receipt of a DO 
rated order and within ten (10) working days after receipt of a DX rated 
order. If the order is rejected, the person must give reasons in writing 
or electronically for the rejection.

[[Page 77]]

    (2) If a person has accepted a rated order and subsequently finds 
that shipment or performance will be delayed, the person must notify the 
customer immediately, give the reasons for the delay, and advise of a 
new shipment or performance date. If notification is given verbally, 
written or electronic confirmation must be provided within five (5) 
working days.
    (e) Exception for emergency preparedness conditions. If the rated 
order is placed for the purpose of emergency preparedness, a person must 
accept or reject a rated order and transmit the acceptance or rejection 
in writing or in an electronic format within 2 days after receipt of the 
order if:
    (1) The order is issued in response to a hazard that has occurred; 
or
    (2) The order is issued to prepare for an imminent hazard.



Sec. 217.34  Preferential scheduling.

    (a) A person must schedule operations, including the acquisition of 
all needed production items or services, in a timely manner to satisfy 
the delivery requirements of each rated order. Modifying production or 
delivery schedules is necessary only when required delivery dates for 
rated orders cannot otherwise be met.
    (b) DO-rated orders must be given production preference over unrated 
orders, if necessary to meet required delivery dates, even if this 
requires the diversion of items being processed or ready for delivery or 
services being performed against unrated orders. Similarly, DX-rated 
orders must be given preference over DO-rated orders and unrated orders. 
(Examples: If a person receives a DO-rated order with a delivery date of 
June 3 and if meeting that date would mean delaying production or 
delivery of an item for an unrated order, the unrated order must be 
delayed. If a DX-rated order is received calling for delivery on July 15 
and a person has a DO-rated order requiring delivery on June 2 and 
operations can be scheduled to meet both deliveries, there is no need to 
alter production schedules to give any additional preference to the DX-
rated order.)
    (c) Conflicting rated orders.
    (1) If a person finds that delivery or performance against any 
accepted rated orders conflicts with the delivery or performance against 
other accepted rated orders of equal priority status, the person shall 
give precedence to the conflicting orders in the sequence in which they 
are to be delivered or performed (not to the receipt dates). If the 
conflicting orders are scheduled to be delivered or performed on the 
same day, the person shall give precedence to those orders that have the 
earliest receipt dates.
    (2) If a person is unable to resolve rated order delivery or 
performance conflicts under this section, the person should promptly 
seek special priorities assistance as provided in Sec. Sec. 217.40 
through 217.44. If the person's customer objects to the rescheduling of 
delivery or performance of a rated order, the customer should promptly 
seek special priorities assistance as provided in Sec. Sec. 217.40 
through 217.44. For any rated order against which delivery or 
performance will be delayed, the person must notify the customer as 
provided in Sec. 217.33.
    (d) If a person is unable to purchase needed production items in 
time to fill a rated order by its required delivery date, the person 
must fill the rated order by using inventoried production items. A 
person who uses inventoried items to fill a rated order may replace 
those items with the use of a rated order as provided in Sec. 
217.37(b).



Sec. 217.35  Extension of priority ratings.

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

[[Page 78]]

fill a customer's rated order. This continues from contractor to 
subcontractor to supplier throughout the entire procurement chain.



Sec. 217.36  Changes or cancellations of priority ratings and 
rated orders.

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



Sec. 217.37  Use of rated orders.

    (a) A person must use rated orders to obtain:
    (1) Items which will be physically incorporated into other items to 
fill rated orders, including that portion of such items normally 
consumed or converted into scrap or by-products in the course of 
processing;
    (2) Containers or other packaging materials required to make 
delivery of the finished items against rated orders;
    (3) Services, other than contracts of employment, needed to fill 
rated orders; and
    (4) MRO needed to produce the finished items to fill rated orders.
    (b) A person may use a rated order to replace inventoried items 
(including finished items) if such items were used to fill rated orders, 
as follows:
    (1) The order must be placed within 90 days of the date of use of 
the inventory.
    (2) A DO rating and the program identification symbol indicated on 
the customer's rated order must be used on the order. A DX rating may 
not be used even if the inventory was used to fill a DX-rated order.
    (3) If the priority ratings on rated orders from one customer or 
several customers contain different program identification symbols, the 
rated orders may be combined. In this case, the program identification 
symbol ``H1'' must be used (i.e., DO-H1).
    (c) A person may combine DX- and DO-rated orders from one customer 
or several customers if the items or services covered by each level of 
priority are identified separately and clearly. If different program 
identification symbols are indicated on those rated orders of equal 
priority, the person must use the program identification symbol ``H1'' 
(i.e., DO-H1 or DX-H1).
    (d) Combining rated and unrated orders.
    (1) A person may combine rated and unrated order quantities on one 
purchase order provided that:
    (i) The rated quantities are separately and clearly identified; and
    (ii) The four elements of a rated order, as required by Sec. 
217.32, are included on the order with the statement required in Sec. 
217.32(d) modified to read in substance:
    This purchase order contains rated order quantities certified for 
national defense use, and you are required to follow all applicable 
provisions of the Energy Priorities and Allocations System regulations 
at 10 CFR part 217 only as it pertains to the rated quantities.
    (2) A supplier must accept or reject the rated portion of the 
purchase order

[[Page 79]]

as provided in Sec. 217.33 and give preferential treatment only to the 
rated quantities as required by this part. This part may not be used to 
require preferential treatment for the unrated portion of the order.
    (3) Any supplier who believes that rated and unrated orders are 
being combined in a manner contrary to the intent of this part or in a 
fashion that causes undue or exceptional hardship may submit a request 
for adjustment or exception under Sec. 217.80.
    (e) A person may place a rated order for the minimum commercially 
procurable quantity even if the quantity needed to fill a rated order is 
less than that minimum. However, a person must combine rated orders as 
provided in paragraph (c) of this section, if possible, to obtain 
minimum procurable quantities.
    (f) A person is not required to place a priority rating on an order 
for less than $50,000, or one-half of the Simplified Acquisition 
Threshold (as established in the Federal Acquisition Regulation (FAR) 
(see FAR section 2.101) or in other authorized acquisition regulatory or 
management systems) whichever amount is greater, provided that delivery 
can be obtained in a timely fashion without the use of the priority 
rating.



Sec. 217.38  Limitations on placing rated orders.

    (a) General limitations.
    (1) A person may not place a DO- or DX-rated order unless entitled 
to do so under this part.
    (2) Rated orders may not be used to obtain:
    (i) Delivery on a date earlier than needed;
    (ii) A greater quantity of the item or services than needed, except 
to obtain a minimum procurable quantity. Separate rated orders may not 
be placed solely for the purpose of obtaining minimum procurable 
quantities on each order;
    (iii) Items or services in advance of the receipt of a rated order, 
except as specifically authorized by the Department of Energy (see Sec. 
217.41(c) for information on obtaining authorization for a priority 
rating in advance of a rated order);
    (iv) Items that are not needed to fill a rated order, except as 
specifically authorized by the Department of Energy, or as otherwise 
permitted by this part; or
    (v) Any of the following items unless specific priority rating 
authority has been obtained from the Department of Energy, a Delegate 
Agency, or the Department of Commerce, as appropriate:
    (A) Items for plant improvement, expansion, or construction, unless 
they will be physically incorporated into a construction project covered 
by a rated order; and
    (B) Production or construction equipment or items to be used for the 
manufacture of production equipment. [For information on requesting 
priority rating authority, see Sec. 217.21.]
    (vi) Any items related to the development of chemical or biological 
warfare capabilities or the production of chemical or biological 
weapons, unless such development or production has been authorized by 
the President or the Secretary of Defense.
    (b) Jurisdictional limitations.
    (1) Unless authorized by the resource agency with jurisdiction, the 
provisions of this part are not applicable to the following resources:
    (i) Food resources, food resource facilities, and the domestic 
distribution of farm equipment and commercial fertilizer (Resource 
agency with jurisdiction--Department of Agriculture);
    (ii) Health resources (Resource agency with jurisdiction--Department 
of Health and Human Services);
    (iii) All forms of civil transportation (Resource agency with 
jurisdiction--Department of Transportation);
    (iv) Water resources (Resource agency with jurisdiction--Department 
of Defense/U.S. Army Corps of Engineers); and
    (v) Communications services (Resource agency with jurisdiction--
National Communications System under E. O. 12472 of April 3, 1984).



                 Subpart D_Special Priorities Assistance



Sec. 217.40  General provisions.

    (a) The EPAS is designed to be largely self-executing. However, from 
time-

[[Page 80]]

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



Sec. 217.41  Requests for priority rating authority.

    (a) If a rated order is likely to be delayed because a person is 
unable to obtain items or services not normally rated under this part, 
the person may request the authority to use a priority rating in 
ordering the needed items or services.
    (b) Rating authority for production or construction equipment.
    (1) A request for priority rating authority for production or 
construction equipment must be submitted to the U.S. Department of 
Commerce on Form BIS-999.
    (2) When the use of a priority rating is authorized for the 
procurement of production or construction equipment, a rated order may 
be used either to purchase or to lease such equipment. However, in the 
latter case, the equipment may be leased only from a person engaged in 
the business of leasing such equipment or from a person willing to lease 
rather than sell.
    (c) Rating authority in advance of a rated prime contract. (1) In 
certain cases and upon specific request, the Department of Energy, in 
order to promote the national defense, may authorize or request the 
Department of Commerce to authorize, as appropriate, a person to place a 
priority rating on an order to a supplier in advance of the issuance of 
a rated prime contract. In these instances, the person requesting 
advance rating authority must obtain sponsorship of the request from the 
Department of Energy or the appropriate Delegate Agency. The person 
shall also assume any business risk associated with the placing of rated 
orders in the event the rated prime contract is not issued.
    (2) The person must state the following in the request:
    It is understood that the authorization of a priority rating in 
advance of our receiving a rated prime contract from the Department of 
Energy and our use of that priority rating with our suppliers in no way 
commits the Department of Energy, the Department of Commerce, or any 
other government agency to enter into a contract or order or to expend 
funds. Further, we understand that the Federal Government shall not be 
liable for any cancellation charges, termination costs, or other damages 
that may accrue if a rated prime contract is not eventually placed and, 
as a result, we must subsequently cancel orders placed with the use of 
the priority rating authorized as a result of this request.

[[Page 81]]

    (3) In reviewing requests for rating authority in advance of a rated 
prime contract, the Department of Energy or the Department of Commerce, 
as appropriate, will consider, among other things, the following 
criteria:
    (i) The probability that the prime contract will be awarded;
    (ii) The impact of the resulting rated orders on suppliers and on 
other authorized programs;
    (iii) Whether the contractor is the sole source;
    (iv) Whether the item being produced has a long lead time;
    (v) The time period for which the rating is being requested.
    (4) The Department of Energy or the Department of Commerce, as 
appropriate, may require periodic reports on the use of the rating 
authority granted under paragraph (c) of this section.
    (5) If a rated prime contract is not issued, the person shall 
promptly notify all suppliers who have received rated orders pursuant to 
the advanced rating authority that the priority rating on those orders 
is cancelled.



Sec. 217.42  Examples of assistance.

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



Sec. 217.43  Criteria for assistance.

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



Sec. 217.44  Instances where assistance may not be provided.

    Special priorities assistance is provided at the discretion of the 
Department of Energy, the Delegate Agencies, or the Department of 
Commerce when it is determined that such assistance is warranted to meet 
the objectives of this part. Examples where assistance may not be 
provided include situations when a person is attempting to:
    (a) Secure a price advantage;
    (b) Obtain delivery prior to the time required to fill a rated 
order;
    (c) Gain competitive advantage;
    (d) Disrupt an industry apportionment program in a manner designed 
to provide a person with an unwarranted share of scarce items; or
    (e) Overcome a supplier's regularly established terms of sale or 
conditions of doing business.



                      Subpart E_Allocation Actions



Sec. 217.50  Policy.

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

[[Page 82]]



Sec. 217.51  General procedures.

    When the Department of Energy plans to execute its allocations 
authority to address a supply problem within its resource jurisdiction, 
the Department shall develop a plan that includes the following 
information:
    (a) A copy of the written determination made, in accordance with 
section 202 of E.O. 12919, that the program or programs that would be 
supported by the allocation action are necessary or appropriate to 
promote the national defense;
    (b) A detailed description of the situation to include any unusual 
events or circumstances that have created the requirement for an 
allocation action;
    (c) A statement of the specific objective(s) of the allocation 
action;
    (d) A list of the materials, services, or facilities to be 
allocated;
    (e) A list of the sources of the materials, services, or facilities 
that will be subject to the allocation action;
    (f) A detailed description of the provisions that will be included 
in the allocation orders, including the type(s) of allocation orders, 
the percentages or quantity of capacity or output to be allocated for 
each purpose, and the duration of the allocation action (i.e., 
anticipated start and end dates);
    (g) An evaluation of the impact of the proposed allocation action on 
the civilian market; and
    (h) Proposed actions, if any, to mitigate disruptions to civilian 
market operations.



Sec. 217.52  Controlling the general distribution of a material in 
the civilian market.

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



Sec. 217.53  Types of allocation orders.

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



Sec. 217.54  Elements of an allocation order.

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

[[Page 83]]

CFR part 217), which is part of the Federal Priorities and Allocations 
System''; and
    (e) A current copy of the Energy Priorities and Allocations System 
regulation (10 CFR part 217).



Sec. 217.55  Mandatory acceptance of an allocation order.

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



Sec. 217.56  Changes or cancellations of an allocation order.

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



                       Subpart F_Official Actions



Sec. 217.60  General provisions.

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



Sec. 217.61  Rating Authorizations.

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



Sec. 217.62  Directives.

    (a) A Directive is an official action that requires a person to take 
or refrain from taking certain actions in accordance with its 
provisions.
    (b) A person must comply with each Directive issued. However, a 
person may not use or extend a Directive to obtain any items from a 
supplier, unless expressly authorized to do so in the Directive.
    (c) A Priorities Directive takes precedence over all DX-rated 
orders, DO-rated orders, and unrated orders previously or subsequently 
received, unless a contrary instruction appears in the Directive.
    (d) An Allocations Directive takes precedence over all Priorities 
Directives, DX-rated orders, DO-rated orders, and unrated orders 
previously or subsequently received, unless a contrary instruction 
appears in the Directive.



Sec. 217.63  Letters and Memoranda of Understanding.

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

[[Page 84]]

require modifications to other rated orders.



                          Subpart G_Compliance



Sec. 217.70  General provisions.

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



Sec. 217.71  Audits and investigations.

    (a) Audits and investigations are official examinations of books, 
records, documents, other writings and information to ensure that the 
provisions of the Defense Production Act and other applicable statutes, 
this part, and official actions have been properly followed. An audit or 
investigation may also include interviews and a systems evaluation to 
detect problems or failures in the implementation of this part.
    (b) When undertaking an audit or investigation, the Department of 
Energy shall:
    (1) Define the scope and purpose in the official action given to the 
person under investigation, and
    (2) Have ascertained that the information sought or other adequate 
and authoritative data are not available from any Federal or other 
responsible agency.
    (c) In administering this part, the Department of Energy may issue 
the following documents that constitute official actions:
    (1) Administrative Subpoenas. An Administrative Subpoena requires a 
person to appear as a witness before an official designated by the 
Department of Energy to testify under oath on matters of which that 
person has knowledge relating to the enforcement or the administration 
of the Defense Production Act and other applicable statutes, this part, 
or official actions. An Administrative Subpoena may also require the 
production of books, papers, records, documents and physical objects or 
property.
    (2) Demands for Information. A Demand for Information requires a 
person to furnish to a duly authorized representative of the Department 
of Energy any information necessary or appropriate to the enforcement or 
the administration of the Defense Production Act and other applicable 
statutes, this part, or official actions.
    (3) Inspection Authorizations. An Inspection Authorization requires 
a person to permit a duly authorized representative of the Department of 
Energy to interview the person's employees or agents, to inspect books, 
records, documents, other writings, and information, including 
electronically-stored information, in the person's possession or control 
at the place where that person usually keeps them or otherwise, and to 
inspect a person's property when such interviews and inspections are 
necessary or appropriate to the enforcement or the administration of the 
Defense Production Act and related statutes, this part, or official 
actions.
    (d) The production of books, records, documents, other writings, and 
information will not be required at any place other than where they are 
usually kept if, prior to the return date specified in the 
Administrative Subpoena or Demand for Information, a duly authorized 
official of the Department of Energy is furnished with copies of such 
material that are certified under oath to be true copies. As an 
alternative, a person may enter into a stipulation with a duly 
authorized official of Department of Energy as to the content of the 
material.
    (e) An Administrative Subpoena, Demand for Information, or 
Inspection Authorization, shall include the name,

[[Page 85]]

title, or official position of the person to be served, the evidence 
sought to be adduced, and its general relevance to the scope and purpose 
of the audit, investigation, or other inquiry. If employees or agents 
are to be interviewed; if books, records, documents, other writings, or 
information are to be produced; or if property is to be inspected; the 
Administrative Subpoena, Demand for Information, or Inspection 
Authorization will describe them with particularity.
    (f) Service of documents shall be made in the following manner:
    (1) Service of a Demand for Information or Inspection Authorization 
shall be made personally, or by Certified Mail-Return Receipt Requested 
at the person's last known address. Service of an Administrative 
Subpoena shall be made personally. Personal service may also be made by 
leaving a copy of the document with someone at least 18 years old at the 
person's last known dwelling or place of business.
    (2) Service upon other than an individual may be made by serving a 
partner, corporate officer, or a managing or general agent authorized by 
appointment or by law to accept service of process. If an agent is 
served, a copy of the document shall be mailed to the person named in 
the document.
    (3) Any individual 18 years of age or over may serve an 
Administrative Subpoena, Demand for Information, or Inspection 
Authorization. When personal service is made, the individual making the 
service shall prepare an affidavit as to the manner in which service was 
made and the identity of the person served, and return the affidavit, 
and in the case of subpoenas, the original document, to the issuing 
officer. In case of failure to make service, the reasons for the failure 
shall be stated on the original document.



Sec. 217.72  Compulsory process.

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



Sec. 217.73  Notification of failure to comply.

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



Sec. 217.74  Violations, penalties, and remedies.

    (a) Willful violation of the provisions of title I or sections 705 
or 707 of the Defense Production Act, the priorities provisions of the 
Selective Service Act and related statutes (when applicable), this part, 
or an official action, is a crime and upon conviction, a person may be 
punished by fine or imprisonment, or both. The maximum penalties 
provided by the Defense Production Act are a $10,000 fine, or one year 
in prison, or both. The maximum penalties provided by the Selective 
Service

[[Page 86]]

Act and related statutes are a $50,000 fine, or three years in prison, 
or both.
    (b) The Government may also seek an injunction from a court of 
appropriate jurisdiction to prohibit the continuance of any violation 
of, or to enforce compliance with, the Defense Production Act, this 
part, or an official action.
    (c) In order to secure the effective enforcement of the Defense 
Production Act and other applicable statutes, this part, and official 
actions, the following are prohibited:
    (1) No person may solicit, influence or permit another person to 
perform any act prohibited by, or to omit any act required by, the 
Defense Production Act and other applicable statutes, this part, or an 
official action.
    (2) No person may conspire or act in concert with any other person 
to perform any act prohibited by, or to omit any act required by, the 
Defense Production Act and other applicable statutes, this part, or an 
official action.
    (3) No person shall deliver any item if the person knows or has 
reason to believe that the item will be accepted, redelivered, held, or 
used in violation of the Defense Production Act and other applicable 
statutes, this part, or an official action. In such instances, the 
person must immediately notify the Department of Energy that, in 
accordance with this provision, delivery has not been made.



Sec. 217.75  Compliance conflicts.

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



             Subpart H_Adjustments, Exceptions, and Appeals



Sec. 217.80  Adjustments or exceptions.

    (a) A person may submit a request to the Senior Policy Advisor for 
the Office of Electricity Delivery and Energy Reliability, as listed in 
Sec. 217.93, for an adjustment or exception on the ground that:
    (1) A provision of this part or an official action results in an 
undue or exceptional hardship on that person not suffered generally by 
others in similar situations and circumstances; or
    (2) The consequences of following a provision of this part or an 
official action is contrary to the intent of the Defense Production Act 
and other applicable statutes, or this part.
    (b) Each request for adjustment or exception must be in writing and 
contain a complete statement of all the facts and circumstances related 
to the provision of this part or official action from which adjustment 
is sought and a full and precise statement of the reasons why relief 
should be provided.
    (c) The submission of a request for adjustment or exception shall 
not relieve any person from the obligation of complying with the 
provision of this part or official action in question while the request 
is being considered unless such interim relief is granted in writing by 
the Senior Policy Advisor for the Office of Electricity Delivery and 
Energy Reliability, as listed in Sec. 217.93.
    (d) A decision of the Senior Policy Advisor for the Office of 
Electricity Delivery and Energy Reliability, as listed in Sec. 217.93, 
under this section may be appealed to the Office of Infrastructure 
Security and Energy Restoration (For information on the appeal 
procedure, see Sec. 217.81.)



Sec. 217.81  Appeals.

    (a) Any person who has had a request for adjustment or exception 
denied by the Senior Policy Advisor for the Office of Electricity 
Delivery and Energy Reliability, as listed in section 217.93, under 
Sec. 217.80, may appeal to the Office of Infrastructure Security and 
Energy Restoration who shall review and reconsider the denial.
    (b)(1) Except as provided in this paragraph (b)(2), an appeal must 
be received by the Office of Infrastructure Security and Energy 
Restoration no later than 45 days after receipt of a written notice of 
denial from the Senior Policy Advisor for the Office of Electricity 
Delivery and Energy Reliability, as listed in Sec. 217.93. After this 
45-day period, an appeal may be accepted at the discretion

[[Page 87]]

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



                   Subpart I_Miscellaneous Provisions



Sec. 217.90  Protection against claims.

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



Sec. 217.91  Records and reports.

    (a) Persons are required to make and preserve for at least three 
years, accurate and complete records of any transaction covered by this 
part or an official action.
    (b) Records must be maintained in sufficient detail to permit the 
determination, upon examination, of whether each transaction complies 
with the provisions of this part or any official action. However, this 
part does not specify any particular method or system to be used.
    (c) Records required to be maintained by this part must be made 
available for examination on demand by duly authorized representatives 
of the Department of Energy as provided in Sec. 217.71.
    (d) In addition, persons must develop, maintain, and submit any 
other records and reports to the Department of Energy that may be 
required for the administration of the Defense Production Act and other 
applicable statutes, and this part.
    (e) Section 705(d) of the Defense Production Act, as implemented by 
E.O. 12919, provides that information obtained under this section which 
the Secretary deems confidential, or with

[[Page 88]]

reference to which a request for confidential treatment is made by the 
person furnishing such information, shall not be published or disclosed 
unless the Secretary determines that the withholding of this information 
is contrary to the interest of the national defense. Information 
required to be submitted to the Department of Energy in connection with 
the enforcement or administration of the Defense Production Act, this 
part, or an official action, is deemed to be confidential under section 
705(d) of the Defense Production Act and shall be handled in accordance 
with applicable Federal law.



Sec. 217.92  Applicability of this part and official actions.

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



Sec. 217.93  Communications.

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

[[Page 89]]



       Sec. Appendix I to Part 217--Sample Form DOE F 544 (05-11)
[GRAPHIC] [TIFF OMITTED] TR09JN11.049


[[Page 90]]





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



                      Subpart A_General Provisions

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

                         Subpart B_Supply Orders

218.10 Rule.
218.11 Supply orders.
218.12 Pricing.

Subpart C [Reserved]

                          Subpart D_Procedures

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

  Subpart E_Investigations, Violations, Sanctions and Judicial Actions

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

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

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



                      Subpart A_General Provisions



Sec. 218.1  Purpose and scope.

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



Sec. 218.2  Activation/Deactivation.

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



Sec. 218.3  Definitions.

    DOE means the Department of Energy established by the Department of 
Energy Organization Act (Pub. L. 95-91), and includes the Secretary of 
Energy or his delegate.
    EPCA means the Energy Policy and Conservation Act (Pub. L. 94-163), 
as amended.
    Firm means any association, company, corporation, estate, 
individual, joint-venture, partnership, or sole proprietorship or any 
other entity however organized including charitable, educational, or 
other eleemosynary institutions, and the Federal Government including 
corporations, departments, Federal agencies, and other 
instrumentalities, and State and local governments. The ERA may, in 
regulations and forms issued in this part, treat as a firm: (a) A parent 
and the consolidated and unconsolidated entities (if any) which it 
directly or indirectly controls, (b) a parent and its consolidated 
entities, (c) an unconsolidated entity, or (d) any part of a firm.
    IEA means the International Energy Agency established to implement 
the IEP.
    IEP means the International Energy Program established pursuant to 
the Agreement on an International Energy Program signed at Paris, 
France, on November 18, 1974, including (a) the Annex entitled 
``Emergency Reserves'', (b) any amendment to such Agreement that 
includes another nation as a Party to such Agreement, and (c) any

[[Page 91]]

technical or clerical amendment to such Agreement.
    International energy supply emergency means any period (a) beginning 
on any date that the President determines allocation of petroleum 
products to nations participating in the IEP is required by chapters III 
and IV of the IEP and (b) ending on a date on which he determines such 
allocation is no longer required.
    Oil means crude oil, residual fuel oil, unfinished oil, refined 
petroleum product and natural gas liquids, which is owned or controlled 
by a firm, including any petroleum product destined, directly or 
indirectly, for import into the United States or any foreign country, or 
produced in the United States but excludes any oil stored in or owned 
and controlled by the United States Government in connection with the 
Strategic Petroleum Reserve authorized in section 151, et seq., of the 
Energy Policy and Conservation Act (Pub. L. 94-163).
    Person means any individual, firm, estate, trust, sole 
proprietorship, partnership, association, company, joint-venture, 
corporation, governmental unit or instrumentality thereof, or a 
charitable, educational or other institution, and includes any officer, 
director, owner or duly authorized representative thereof.
    Supply order means a written directive or a verbal communication of 
a written directive, if promptly confirmed in writing, issued by the DOE 
pursuant to subpart B of this part.
    United States when used in the geographic sense means the several 
States, the District of Columbia, Puerto Rico, and the territories and 
possessions of the United States, and the outer continental shelf as 
defined in 43 U.S.C. 1331.



                         Subpart B_Supply Orders



Sec. 218.10  Rule.

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



Sec. 218.11  Supply orders.

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

[[Page 92]]

order in accordance with procedures provided in Sec. 218.32 of this 
part.



Sec. 218.12  Pricing.

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

Subpart C [Reserved]



                          Subpart D_Procedures



Sec. 218.30  Purpose and scope.

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



Sec. 218.31  Incorporated procedures.

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



Sec. 218.32  Review.

    (a) Purpose and scope. This subpart establishes the procedures for 
the filing of an application for review of a supply order. An 
application for review is a summary proceeding which will be initiated 
only if the critieria described in paragraph (g)(2) of this section are 
satisfied.
    (b) What to file. (1) A firm filing under this subpart shall file an 
``Application for Review'' which should be clearly labeled as such both 
on the application and on the outside of the envelope in which the 
application is transmitted, and shall be in writing and signed by the 
firm filing the application. The applicant shall comply with the general 
filing requirements stated in 10 CFR 205.9 in addition to the 
requirements stated in this section.
    (2) If the applicant wishes to claim confidential treatment for any 
information contained in the application or other documents submitted 
under this subpart, the procedures set out in 10 CFR 205.9(f) shall 
apply.
    (c) When to file. An application for review should be filed no later 
than 5 days after the receipt by the applicant of the supply order that 
is the subject of the application, or no later than 2 days after the 
occurrence of an event that results in a substantial change in the facts 
or circumstances affecting the applicant.
    (d) Where to file. The application for review shall be filed with 
DOE Office of Hearings and Appeals (OHA), 2000 M Street, NW., 
Washington, DC 20461.
    (e) Notice. The applicant shall send by United States mail or 
deliver by hand a copy of the application and any subsequent amendments 
or other documents relating to the application to the Administrator of 
the Economic Regulatory Administration of DOE, 2000 M Street, NW., 
Washington, DC 20461. Service shall be made on the ERA at same time the 
document is filed with OHA and each document filed with the OHA shall 
include certification that the applicant has complied with the 
requirements of this paragraph.
    (f) Contents. (1) The application shall contain a full and complete 
statement of all relevant facts pertaining to the application and to the 
DOE action sought. Such facts shall include a complete statement of the 
business or other reasons that justify review of the supply order and a 
full description of the pertinent provisions and relevant facts 
contained in any relevant documents. Copies of all contracts, 
agreements, leases, instruments, and other documents relevant to the 
application shall be submitted with the application. A copy of the order 
of which review is sought shall be included with the application. When 
the application

[[Page 93]]

pertains to only one step of a larger integrated transaction, the facts, 
circumstances, and other relevant information pertaining to the entire 
transaction shall be submitted.
    (2) The application shall include a discussion of all relevant 
authorities, including, but not limited to, DOE and DOE rulings, 
regulations, interpretations and decisions on appeal and exception 
relied upon to support the action sought therein.
    (g) DOE evaluation--(1) Processing. (i) The DOE may initiate an 
investigation of any statement in an application and utilize in its 
evaluation any relevant facts obtained by such investigation. The DOE 
may solicit and accept submissions from third parties relevant to any 
application for review provided that the applicant is afforded an 
opportunity to respond to all third party submissions. In evaluating an 
application for review, the DOE may convene a conference, on its own 
initiative, if, in its discretion, it considers that a conference will 
advance its evaluation of the application.
    (ii) If the DOE determines that there is insufficient information 
upon which to base a decision and if upon request the necessary 
additional information is not submitted, the DOE may dismiss the 
application without prejudice. If the failure to supply additional 
information is repeated or willful, the DOE may dismiss the application 
with prejudice. If the applicant fails to provide the notice required by 
paragraph (e) of this section, the DOE may dismiss the application 
without prejudice.
    (iii) An order dismissing an application for any of the reasons 
specified in paragraph (g)(1)(ii) of this section shall contain a 
statement of the grounds for the dismissal. The order shall become final 
within 5 days of its service upon the applicant, unless within such 5-
day period the applicant files an amendment correcting the deficiencies 
identified in the order. Within 5 days of the filing of such amendment, 
the DOE shall notify the applicant whether the amendment corrects the 
specified deficiencies. If the amendment does not correct the 
deficiencies specified in the order, the order shall become a final 
order of the DOE of which the applicant may seek judicial review.
    (2) An application for review of an order shall be processed only if 
the applicant demonstrates that--
    (i) There is probable cause to believe that the supply order is 
erroneous, inequitable, or unduly burdensome; or
    (ii) There has been discovered a law, regulation, interpretation, 
ruling, order or decision that was in effect at the time of the 
application which, if it had been made known to the DOE, would have been 
relevant to the supply order and would have substantially altered the 
supply order; or
    (iii) There has been a substantial change in the facts or 
circumstances affecting the applicant, which change has occurred during 
the interval between issuance of the supply order and the date of the 
application and was caused by forces or circumstances beyond the control 
of the applicant.
    (h) Decision. (1) Upon consideration of the application and other 
relevant information received or obtained during the proceeding, the DOE 
shall issue an order granting or denying the modification or rescission 
of the supply order requested in the application for review.
    (2) The DOE shall process applications for review as expeditiously 
as possible. When administratively feasible, the DOE shall issue an 
order granting or denying the application within 20 business days after 
receipt of the application.
    (3) The order shall include a written statement setting forth the 
relevant facts and the legal basis of the order. The order shall state 
that it is a final order of which the applicant may seek judicial 
review.
    (4) The DOE shall serve a copy of the order upon the applicant and 
any other party who participated in the proceeding.



Sec. 218.33  Stay.

    (a) The DOE may issue an order granting a stay if the DOE determines 
that an applicant has made a compelling showing that it would incur 
serious and irreparable injury unless immediate stay relief is granted 
pending determination of an application for review pursuant to this 
subpart. An application for a stay shall be labeled as

[[Page 94]]

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



Sec. 218.34  Addresses.

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



  Subpart E_Investigations, Violations, Sanctions and Judicial Actions



Sec. 218.40  Investigations.

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



Sec. 218.41  Violations.

    Any practice that circumvents, contravenes or results in the 
circumvention or contravention of the requirements of any provision of 
this part 218 or any order issued pursuant thereto is

[[Page 95]]

a violation of the DOE regulations stated in this part and is unlawful.



Sec. 218.42  Sanctions.

    (a) General. Any person who violates any provisions of this part 218 
or any order issued pursuant thereto shall be subject to penalties and 
sanctions as provided herein.
    (1) The provisions herein for penalties and sanctions shall be 
deemed cumulative and not mutually exclusive.
    (2) Each day that a violation of the provisions of this part 218 or 
any order issued pursuant thereto continues shall be deemed to 
constitute a separate violation within the meaning of the provisions of 
this part relating to fines and civil penalties.
    (b) Penalties. (1) Any person who violates any provision of part 218 
of this chapter or any order issued pursuant thereto shall be subject to 
a civil penalty of not more than $8,000 for each violation.
    (2) Any person who willfully violates any provision of this part 218 
or any order issued pursuant thereto shall be subject to a fine of not 
more than $10,000 for each violation.
    (3) Any person who knowingly and willfully violates any provision of 
this part 218 or any order issued pursuant thereto with respect to the 
sale, offer of sale, or distribution in commerce of oil in commerce 
after having been subject to a sanction under paragraph (b)(1) or (2) of 
this section for a prior violation of the provisions of this part 218 or 
any order issued pursuant thereto with respect to the sale, offer of 
sale, or distribution in commerce of oil shall be subject to a fine of 
not more than $50,000 or imprisonment for not more than six months, or 
both, for each violation.
    (4) Actions for penalties under this section are prosecuted by the 
Department of Justice upon referral by the DOE.
    (5) When the DOE considers it to be appropriate or advisable, the 
DOE may compromise and settle any action under this paragraph, and 
collect civil penalties.
    (c) Other Penalties. Willful concealment of material facts, or 
making of false, fictitious or fraudulent statements or representations, 
or submission of a document containing false, fictitious or fraudulent 
statements pertaining to matters within the scope of this part 218 by 
any person shall subject such persons to the criminal penalties provided 
in 18 U.S.C. 1001 (1970).

[44 FR 27972, May 14, 1979, as amended at 62 FR 46183, Sept. 2, 1997; 74 
FR 66032, Dec. 14, 2009]



Sec. 218.43  Injunctions.

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

                           PART 220 [RESERVED]



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



                            Subpart A_General

Sec.
221.1 Scope.
221.2 Applicability.

                          Subpart B_Exclusions

221.11 Natural gas and ethane.

                          Subpart C_Definitions

221.21 Definitions.

            Subpart D_Administrative Procedures and Sanctions

221.31 Requests by DOD.
221.32 Evaluation of DOD request.
221.33 Order.
221.34 Effect of order.
221.35 Contractual requirements.

[[Page 96]]

221.36 Records and reports.
221.37 Violations and sanctions.

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

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



                            Subpart A_General



Sec. 221.1  Scope.

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



Sec. 221.2  Applicability.

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



                          Subpart B_Exclusions



Sec. 221.11  Natural gas and ethane.

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



                          Subpart C_Definitions



Sec. 221.21  Definitions.

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



            Subpart D_Administrative Procedures and Sanctions



Sec. 221.31  Requests by DOD.

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

[[Page 97]]

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



Sec. 221.32  Evaluation of DOD request.

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



Sec. 221.33  Order.

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

[[Page 98]]

obtain materials necessary to meet its supply obligations thereunder.



Sec. 221.34  Effect of order.

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



Sec. 221.35  Contractual requirements.

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



Sec. 221.36  Records and reports.

    (a) Each person receiving an order or directive under this part 
shall keep for at least two years from the date of full compliance with 
such order or directive accurate and complete records of crude oil and 
petroleum product deliveries made in accordance with such order or 
directive.
    (b) All records required to be maintained shall be made available 
upon request for inspection and audit by duly authorized representatives 
of the ERA.

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

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



Sec. 221.37  Violations and sanctions.

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

[[Page 99]]



                       SUBCHAPTER B_CLIMATE CHANGE





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



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

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

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



Sec. 300.1  General.

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

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



Sec. 300.2  Definitions.

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

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

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    EIA means the Energy Information Administration within the U.S. 
Department of Energy.
    Emissions means the direct release of greenhouse gases to the 
atmosphere from any anthropogenic (human induced) source and certain 
indirect emissions (releases) specified in this part.
    Emissions intensity means emissions per unit of output, where output 
is defined as the quantity of physical output, or a non-physical 
indicator of an entity's or subentity's productive activity.
    Entity means the whole or part of any business, institution, 
organization, government agency or corporation, or household that:
    (1) Is recognized under any U.S. Federal, State or local law that 
applies to it;
    (2) Is located and operates, at least in part, in the United States; 
and
    (3) The emissions of such operations are released, at least in part, 
in the United States.
    First reduction year means the first year for which an entity 
intends to register emission reductions; it is the year that immediately 
follows the start year.
    Fugitive emissions means uncontrolled releases to the atmosphere of 
greenhouse gases from the processing, transmission, and/or 
transportation of fossil fuels or other materials, such as HFC leaks 
from refrigeration, SF6 from electrical power distributors, and methane 
from solid waste landfills, among others, that are not emitted via an 
exhaust pipe(s) or stack(s).
    Greenhouse gases means the gases that may be reported to the 
Department of Energy under this program. They are:
    (1) Carbon dioxide (CO2)
    (2) Methane (CH4)
    (3) Nitrous oxide (N2O)
    (4) HydrofluorocarbonsHFC-23 [trifluoromethane-(CHF3]HFC-
32 [trifluoromethane-CH2F2], 
CH2CF3, CH3F, 
CHF2CF3, CH2FCF3, 
CH3FCF3, CHF2CH2F, 
CF3CH3, CH2FCH2F, 
CH3CHF2, CH3CH2F, 
CF3CHFCF3, 
CH2FCF3CF3, 
CHF2CHFCF3, 
CF3CH2CF3, 
CH2FCF2CHF2, 
CHF2CH2CF3, 
CF3CH2CF2CH3, CH3 
CHFCHFCF2)
    (5) Perfluorocarbons (perfluoromethane-CF4, 
perfluoroethane-C2F6, C3F8, 
C4F10, c-C4F8, 
C5F12, C6F14)
    (6) Sulfur hexafluoride (SF6)
    (7) Chlorofluorocarbons (CFC-11 [trichlorofluoromethane-
CCl3F], CCl2F2, CClF3, 
CCl2FCClF2, CClF2CClF2, 
ClF3CClF2,)
    (8) Other gases or particles that have been demonstrated to have 
significant, quantifiable climate forcing effects when released to the 
atmosphere in significant quantities and for which DOE has established 
or approved methods for estimating emissions and reductions. (Note: As 
provided in Sec. 300.6(i), chlorofluorcarbons and other gases with 
quantifiable climate forcing effects may be reported to the 1605(b) 
program if DOE has established an appropriate emission inventory or 
emission reduction calculation method, but reductions of these gases may 
not be registered.)
    Incidental lands are entity landholdings that are a minor component 
of an entity's operations and are not actively managed for production of 
goods and services, including:
    (1) Transmission, pipeline, or transportation right of ways that are 
not managed for timber production;
    (2) Land surrounding commercial enterprises or facilities; and
    (3) Land where carbon stock changes are determined by natural 
factors.
    Indirect emissions means greenhouse gas emissions from stationary or 
mobile sources outside the organizational boundary that occur as a 
direct consequence of an entity's activity, including but not 
necessarily limited to the emissions associated with the generation of 
electricity, steam and hot/chilled water used by the entity.
    Large emitter means an entity whose annual emissions are more than 
10,000 metric tons of CO2 equivalent, as determined in 
accordance with Sec. 300.5(c).
    Net emission reductions means the sum of all annual changes in 
emissions, eligible avoided emissions and sequestration of the 
greenhouse gases specifically identified in Sec. 300.6(i), and 
determined to be in conformance with Sec. Sec. 300.7 and 300.8 of this 
part.
    Offset means an emission reduction that is included in a 1605(b) 
report and

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



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

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

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



Sec. 300.4  Selecting organizational boundaries.

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

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



Sec. 300.5  Submission of an entity statement.

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

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

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



Sec. 300.6  Emissions inventories.

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

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

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

[[Page 110]]

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



Sec. 300.7  Net emission reductions.

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

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

[[Page 112]]

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



Sec. 300.8  Calculating emission reductions.

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

[[Page 113]]

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

[[Page 114]]

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

[[Page 115]]

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



Sec. 300.9  Reporting and recordkeeping requirements.

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

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



Sec. 300.10  Certification of reports.

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

[[Page 117]]

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



Sec. 300.11  Independent verification.

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

[[Page 118]]

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

[[Page 119]]

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



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

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

[[Page 120]]



Sec. 300.13  Incorporation by reference.

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

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



                         SUBCHAPTER C [RESERVED]



[[Page 121]]



                    SUBCHAPTER D_ENERGY CONSERVATION



                        PARTS 400	417 [RESERVED]



PART 420_STATE ENERGY PROGRAM--Table of Contents



    Subpart A_General Provisions for State Energy Program Financial 
                               Assistance

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

                   Subpart B_Formula Grant Procedures

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

    Subpart C_Implementation of Special Projects Financial Assistance

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

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

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

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



    Subpart A_General Provisions for State Energy Program Financial 
                               Assistance



Sec. 420.1  Purpose and scope.

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



Sec. 420.2  Definitions.

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

[[Page 122]]

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

[[Page 123]]

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

[[Page 124]]

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

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



Sec. 420.3  Administration of financial assistance.

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



Sec. 420.4  Technical assistance.

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



Sec. 420.5  Reports.

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



Sec. 420.6  Reference standards.

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

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

[[Page 125]]



                   Subpart B_Formula Grant Procedures



Sec. 420.10  Purpose.

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



Sec. 420.11  Allocation of funds among the States.

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

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

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

[[Page 126]]

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



Sec. 420.12  State matching contribution.

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

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



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

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

[[Page 127]]

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

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



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

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

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



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

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

[[Page 128]]

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

[[Page 129]]

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

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



Sec. 420.16  Extensions for compliance with required program activities.

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



Sec. 420.17  Optional elements of State Energy Program plans.

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

[[Page 130]]

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

[[Page 131]]

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

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



Sec. 420.18  Expenditure prohibitions and limitations.

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

[[Page 132]]

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

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



Sec. 420.19  Administrative review.

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

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

[[Page 133]]



    Subpart C_Implementation of Special Projects Financial Assistance



Sec. 420.30  Purpose and scope.

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



Sec. 420.31  Notice of availability.

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



Sec. 420.32  Program guidance/solicitation.

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

[[Page 134]]

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



Sec. 420.33  Application requirements.

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

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



Sec. 420.34  Matching contributions or cost-sharing.

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



Sec. 420.35  Application evaluation.

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

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



Sec. 420.36  Evaluation criteria.

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



Sec. 420.37  Selection.

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



Sec. 420.38  Special projects expenditure prohibitions and limitations.

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

[[Page 135]]

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

[64 FR 46114, Aug. 24, 1999]



PART 429_CERTIFICATION, COMPLIANCE, AND ENFORCEMENT FOR CONSUMER 
PRODUCTS AND COMMERCIAL AND INDUSTRIAL EQUIPMENT--Table of Contents



                      Subpart A_General Provisions

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

                         Subpart B_Certification

429.10 Purpose and scope.
429.11 General requirements applicable to units to be tested.
429.12 General requirements applicable to certification reports.
429.13 Testing requirements.
429.14 Residential refrigerators, refrigerator-freezers and freezers.
429.15 Room air conditioners.
429.16 Central air conditioners and heat pumps.
429.17 Residential water heaters.
429.18 Residential furnaces.
429.19 Dishwashers.
429.20 Residential clothes washers.
429.21 Residential clothes dryers.
429.22 Direct heating equipment.
429.23 Conventional cooking tops, conventional ovens, microwave ovens.
429.24 Pool heaters.
429.25 Television sets. [Reserved]
429.26 Fluorescent lamp ballasts.
429.27 General service fluorescent lamps, general service incandescent 
          lamps, and incandescent reflector lamps.
429.28 Faucets.
429.29 Showerheads.
429.30 Water closets.
429.31 Urinals.
429.32 Ceiling fans.
429.33 Ceiling fan light kits.
429.34 Torchieres.
429.35 Bare or covered medium base compact fluorescent lamps.
429.36 Dehumidifiers.
429.37 Class A external power supplies.
429.38 Non-class A external power supplies. [Reserved]
429.39 Battery chargers.
429.40 Candelabra base incandescent lamps and intermediate base 
          incandescent lamps.
429.41 Electric motors. [Reserved]
429.42 Commercial refrigerators, freezers, and refrigerator-freezers.
429.43 Commercial heating, ventilating, air-conditioning (HVAC) 
          equipment.
429.44 Commercial water heating (WH) equipment.
429.45 Automatic commercial ice makers.
429.46 Commercial clothes washers.
429.47 Distribution transformers.
429.48 Illuminated exit signs.
429.49 Traffic signal modules and pedestrian modules.
429.50 Commercial unit heaters.
429.51 Commercial pre-rinse spray valves.
429.52 Refrigerated bottled or canned beverage vending machines.
429.53 Walk-in coolers and Walk-in freezers.
429.54 Metal halide lamp ballasts and fixtures.
429.70 Alternative methods for determining efficiency or energy use.
429.71 Maintenance of records.

Appendix A to Subpart B of Part 429--Student's t-Distribution Values for 
          Certification Testing

                          Subpart C_Enforcement

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

Appendix A to Subpart C of Part 429--Sampling Plan for Enforcement 
          Testing of Covered Products and Certain High-Volume Covered 
          Equipment
Appendix B to Subpart C of Part 429--Sampling Plan for Enforcement 
          Testing of Covered Commercial Equipment and Certain Low-Volume 
          Covered Products
Appendix C to Subpart C of Part 429--Sampling Plan for Enforcement 
          Testing of Distribution Transformers

    Authority: 42 U.S.C. 6291-6317.

[[Page 136]]


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



                      Subpart A_General Provisions



Sec. 429.1  Purpose and scope.

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



Sec. 429.2  Definitions.

    (a) The definitions found in Sec. Sec. 430.2, 431.2, 431.62, 
431.72, 431.82, 431.92, 431.102, 431.132, 431.152, 431.172, 431.192, 
431.202, 431.222, 431.242, 431.262, 431.292, 431.302, 431.322, and 
431.442 apply for purposes of this part.
    (b) The following definitions apply for the purposes of this part. 
Any words or terms defined in this section or elsewhere in this part 
shall be defined as provided in sections 321 and 340 of the Energy 
Policy Conservation Act, as amended, hereinafter referred to as ``the 
Act.''
    Energy conservation standard means any standards meeting the 
definitions of that term in 42 U.S.C. 6291(6) and 42 U.S.C. 6311(18) as 
well as any other water conservation standards and design requirements 
found in this part or parts 430 or 431.
    Manufacturer's model number means the identifier used by a 
manufacturer to uniquely identify the group of identical or essentially 
identical covered products or covered equipment to which a particular 
unit belongs. The manufacturer's model number typically appears on the 
product nameplates, in product catalogs and in other product advertising 
literature.



Sec. 429.4  Materials incorporated by reference.

    (a) General. We incorporate by reference the following standards 
into part 429. The material listed has been approved for incorporation 
by reference by the Director of the Federal Register in accordance with 
5 U.S.C. 552(a) and 1 CFR part 51. Any subsequent amendment to a 
standard by the standard-setting organization will not affect the DOE 
regulations unless and until amended by DOE. Material is incorporated as 
it exists on the date of the approval and a notice of any change in the 
material will be published in the Federal Register. All approved 
material is available for inspection at the National Archives and 
Records Administration (NARA). For information on the availability of 
this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html. Also, this material is available for inspection at U.S. 
Department of Energy, Office of Energy Efficiency and Renewable Energy, 
Building Technologies Program, 6th Floor, 950 L'Enfant Plaza, SW., 
Washington, DC 20024, (202) 586-2945, or go to: http://
www1.eere.energy.gov/buildings/appliance--standards/. Standards can be 
obtained from the sources below.
    (b) AHAM. Association of Home Appliance Manufacturers, 1111 19th 
Street, NW., Suite 402, Washington, DC 20036, 202-872-5955, or go to 
http://www.aham.org.
    (1) ANSI/AHAM DW-1-1992, American National Standard, Household 
Electric Dishwashers, approved February 6, 1992, IBR approved for Sec. 
429.19.
    (2) [Reserved]
    (c) ISO. International Organization for Standardization, ch. de la 
Voie-Creuse CP 56 CH-1211 Geneva 20 Switzerland, telephone +41 22 749 01 
11, or go to http://www.iso.org/iso.
    (1) International Organization for Standardization (ISO)/
International Electrotechnical Commission, (``ISO/IEC 17025:2005(E)''), 
``General requirements for the competence of testing and calibration 
laboratories'', Second edition, May 15, 2005, IBR approved for Sec. 
429.110.
    (2) [Reserved]



Sec. 429.5  Imported products.

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

[[Page 137]]

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



Sec. 429.6  Exported products.

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



Sec. 429.7  Confidentiality.

    (a) The following records are not exempt from public disclosure: The 
brand name, and applicable model number(s), and the energy or water 
rating submitted by manufacturers to DOE pursuant to Sec. 
429.19(b)(13).
    (b) Pursuant to the provisions of 10 CFR 1004.11(e), any person 
submitting information or data which the person believes to be 
confidential and exempt by law from public disclosure should--at the 
time of submission--submit:
    (1) One complete copy, and one copy from which the information 
believed to be confidential has been deleted.
    (2) A request for confidentiality containing the submitter's views 
on the reasons for withholding the information from disclosure, 
including:
    (i) A description of the items sought to be withheld from public 
disclosure,
    (ii) Whether and why such items are customarily treated as 
confidential within the industry,
    (iii) Whether the information is generally known by or available 
from other sources,
    (iv) Whether the information has previously been made available to 
others without obligation concerning its confidentiality,
    (v) An explanation of the competitive injury to the submitting 
person which would result from public disclosure,
    (vi) A date upon which such information might lose its confidential 
nature due to the passage of time, and
    (vii) Why disclosure of the information would be contrary to the 
public interest.
    (c) In accordance with the procedures established in 10 CFR 
1004.11(e), DOE shall make its own determination with regard to any 
claim that information submitted be exempt from public disclosure.



Sec. 429.8  Subpoena.

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



                         Subpart B_Certification



Sec. 429.10  Purpose and scope.

    This subpart sets forth the procedures for manufacturers to certify 
that

[[Page 138]]

their covered products and covered equipment comply with the applicable 
energy conservation standards.



Sec. 429.11  General sampling requirements for selecting units to be tested.

    (a) When testing of covered products or covered equipment is 
required to comply with section 323(c) of the Act, or to comply with 
rules prescribed under sections 324, 325, or 342, 344, 345 or 346 of the 
Act, a sample comprised of production units (or units representative of 
production units) of the basic model being tested shall be selected at 
random and tested, and shall meet the criteria found in Sec. Sec. 
429.14 through 429.54 of this subpart. Components of similar design may 
be substituted without additional testing if the substitution does not 
affect energy or water consumption. Any represented values of measures 
of energy efficiency, water efficiency, energy consumption, or water 
consumption for all individual models represented by a given basic model 
must be the same.
    (b) Unless otherwise specified, the minimum number of units tested 
shall be no less than two (except where a different minimum limit is 
specified in Sec. Sec. 429.14 through 429.54 of this subpart); and



Sec. 429.12  General requirements applicable to certification reports.

    (a) Certification. Each manufacturer, before distributing in 
commerce any basic model of a covered product or covered equipment 
subject to an applicable energy conservation standard set forth in parts 
430 or 431, and annually thereafter on or before the dates provided in 
paragraph (d) of this section, shall submit a certification report to 
DOE certifying that each basic model meets the applicable energy 
conservation standard(s). The certification report(s) must be submitted 
to DOE in accordance with the submission procedures of paragraph (h) of 
this section.
    (b) Certification report. A certification report shall include a 
compliance statement (see paragraph (c) of this section), and for each 
basic model, the information listed in this paragraph (b):
    (1) Product or equipment type;
    (2) Product or equipment class (as denoted in the provisions of part 
430 or 431 containing the applicable energy conservation standard);
    (3) Manufacturer's name and address;
    (4) Private labeler's name(s) and address (if applicable);
    (5) Brand name, if applicable;
    (6) For each brand, the basic model number and the individual 
manufacturer's model numbers covered by that basic model with the 
following exceptions: For external power supplies that certify based on 
design families, the design family model number and the individual 
manufacturer's model numbers covered by that design family must be 
submitted for each brand. For walk-in coolers, the basic model number 
for each brand must be submitted. For distribution transformers, the 
basic model number or kVA grouping model number (depending on the 
certification method) for each brand must be submitted;
    (7) Whether the submission is for a new model, a discontinued model, 
a correction to a previously submitted model, data on a carryover model, 
or a model that has been found in violation of a voluntary industry 
certification program;
    (8) The test sample size (i.e., number of units tested for each 
basic model);
    (9) Certifying party's U.S. Customs and Border Protection (CBP) 
importer identification numbers assigned by CBP pursuant to 19 CFR 24.5, 
if applicable;
    (10) Whether certification is based upon any waiver of test 
procedure requirements under Sec. 430.27 or Sec. 431.401 and the date 
of such waivers;
    (11) Whether certification is based upon any exception relief from 
an applicable energy conservation standard and the date such relief was 
issued by DOE's Office of Hearing and Appeals;
    (12) Whether certification is based upon the use of an alternate way 
of determining measures of energy conservation (e.g., an ARM or AEDM), 
or other method of testing, for determining measures of energy 
conservation and the approval date, if applicable, of any such alternate 
rating, testing, or efficiency determination method; and

[[Page 139]]

    (13) Product specific information listed in Sec. Sec. 429.14 
through 429.54 of this part.
    (c) Compliance statement. The compliance statement required by 
paragraph (b) of this section shall include the date, the name of the 
company official signing the statement, and his or her signature, title, 
address, telephone number, and facsimile number and shall certify that:
    (1) The basic model(s) complies with the applicable energy 
conservation standard(s);
    (2) All required testing has been conducted in conformance with the 
applicable test requirements prescribed in parts 429, 430 and 431, as 
appropriate, or in accordance with the terms of an applicable test 
procedure waiver;
    (3) All information reported in the certification report is true, 
accurate, and complete; and
    (4) The manufacturer is aware of the penalties associated with 
violations of the Act, the regulations thereunder, and 18 U.S.C. 1001 
which prohibits knowingly making false statements to the Federal 
Government.
    (d) Annual filing. All data required by paragraphs (a) through (c) 
shall be submitted to DOE annually, on or before the following dates:

------------------------------------------------------------------------
                                                          Deadline  for
                    Product category                           data
                                                            submission
------------------------------------------------------------------------
Fluorescent lamp ballasts, Medium base compact           Mar. 1.
 fluorescent lamps, Incandescent reflector lamps,
 General service fluorescent lamps, General service
 incandescent lamps, Intermediate base incandescent
 lamps, Candelabra base incandescent lamps, Residential
 ceiling fans, Residential ceiling fan light kits,
 Residential showerheads, Residential faucets,
 Residential water closets, and Residential urinals.
Residential water heater, Residential furnaces,          May 1
 Residential boilers, Residential pool heaters,
 Commercial water heaters, Commercial hot water supply
 boilers, Commercial unfired hot water storage tanks,
 Commercial packaged boilers, Commercial warm air
 furnaces, and Commercial unit heaters.
Residential dishwashers, Commercial prerinse spray       June 1.
 valves, Illuminated exit signs, Traffic signal
 modules, Pedestrian modules, and Distribution
 transformers.
Room air conditioners, Residential central air           July 1.
 conditioners, Residential central heat pumps, Small
 duct high velocity system, Space constrained products,
 Commercial package air-conditioning and heating
 equipment, Packaged terminal air conditioners,
 Packaged terminal heat pumps, and Single package
 vertical units.
Residential refrigerators, Residential refrigerators-    Aug. 1.
 freezers, Residential freezers, Commercial
 refrigerator, freezer, and refrigerator-freezer,
 Automatic commercial automatic ice makers,
 Refrigerated bottled or canned beverage vending
 machine, Walk-in coolers, and Walk-in freezers.
Torchieres, Residential dehumidifiers, Metal halide      Sept. 1.
 lamp fixtures, and External power supplies.
Residential clothes washers, Residential clothes         Oct. 1.
 dryers, Residential direct heating equipment,
 Residential cooking products, and Commercial clothes
 washers.
------------------------------------------------------------------------

    (e) New model filing. (1) In addition to the annual filing schedule 
in paragraph (d) of this section, any new basic models must be certified 
pursuant to paragraph (a) of this section before distribution in 
commerce. A modification to a model that increases the model's energy or 
water consumption or decreases its efficiency resulting in re-rating 
must be certified as a new basic model pursuant to paragraph (a) of this 
section.
    (2) For general service fluorescent lamps or incandescent reflector 
lamps: Prior to or concurrent with the distribution of a new basic model 
each manufacturer shall submit an initial certification report listing 
the basic model number, lamp wattage, and date of first manufacture 
(i.e., production date) for that basic model. The certification report 
must also state how the manufacturer determined that the lamp meets or 
exceeds the energy conservation standards, including a description of 
any testing or analysis the manufacturer performed. Manufacturers of 
general service fluorescent lamps and incandescent reflector lamps shall 
submit the certification report required by paragraph (b) of this 
section within one year after the first date of new model manufacture.
    (3) For distribution transformers, the manufacturer shall submit all 
information required in paragraphs (b) and (c) of this section for the 
new basic model, unless the manufacturer has previously submitted to the 
Department a certification report for a basic model of distribution 
transformer that is in the same kVA grouping as the new basic model.

[[Page 140]]

    (f) Discontinued model filing. When production of a basic model has 
ceased and it is no longer being sold or offered for sale by the 
manufacturer or private labeler, the manufacturer shall report this 
discontinued status to DOE as part of the next annual certification 
report following such cessation. For each basic model, the report shall 
include the information specified in paragraphs (b)(1) through (b)(7) of 
this section.
    (g) Third party submitters. A manufacturer may elect to use a third 
party to submit the certification report to DOE (for example, a trade 
association, independent test lab, or other authorized representative, 
including a private labeler acting as a third party submitter on behalf 
of a manufacturer); however, the manufacturer is responsible for 
submission of the certification report to DOE. DOE may refuse to accept 
certification reports from third party submitters who have failed to 
submit reports in accordance with the rules of this part. The third 
party submitter must complete the compliance statement as part of the 
certification report. Each manufacturer using a third party submitter 
must have an authorization form on file with DOE. The authorization form 
includes a compliance statement, specifies the third party authorized to 
submit certification reports on the manufacturer's behalf and provides 
the contact information and signature of a company official.
    (h) Method of submission. Reports required by this section must be 
submitted to DOE electronically at http://www.regulations.doe.gov/ccms 
(CCMS). A manufacturer or third party submitter can find product-
specific templates for each covered product or covered equipment with 
certification requirements online at https://www.regulations.doe.gov/
ccms/templates.html. Manufacturers and third party submitters must 
submit a registration form, signed by an officer of the company, in 
order to obtain access to CCMS.
    (i) Compliance dates. For any product subject to an applicable 
energy conservation standard for which the compliance date has not yet 
occurred, a certification report must be submitted not later than the 
compliance date for the applicable energy conservation standard. The 
following covered products are subject to delayed compliance dates for 
certification:
    (1) Commercial refrigeration equipment, December 31, 2012;
    (2) Commercial heating, ventilating, and air-conditioning equipment, 
December 31, 2012;
    (3) Commercial water heating equipment, December 31, 2012;
    (4) Walk-in coolers and freezers, October 1, 2011;
    (5) Distribution transformers, October 1, 2011; and
    (6) Metal halide lamp ballasts and fixtures, October 22, 2012.

[76 FR 12451, Mar. 7, 2011; 76 FR 24762, May 2, 2011, as amended at 76 
FR 38292, June 30, 2011; 76 FR 65365, Oct. 21, 2011]



Sec. 429.13  Testing requirements.

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



Sec. 429.14  Residential refrigerators, refrigerator-freezers and freezers.

    (a) Sampling plan for selection of units for testing.
    (1) The requirements of Sec. 429.11 are applicable to residential 
refrigerators, refrigerator-freezers and freezers; and
    (2) For each basic model of residential refrigerators, refrigerator-
freezers, and freezers, a sample of sufficient size shall be randomly 
selected and tested to ensure that--
    (i) Any represented value of estimated annual operating cost, energy 
consumption, or other measure of energy consumption of a basic model for 
which consumers would favor lower

[[Page 141]]

values shall be greater than or equal to the higher of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.003
    

or,

    (B) The upper 95 percent confidence limit (UCL) of the true mean 
divided by 1.10, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.026


and

    (ii) Any represented value of the energy factor or other measure of 
energy consumption of a basic model for which consumers would favor 
higher values shall be less than or equal to the lower of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.005
    

or,

    (B) The lower 95 percent confidence limit (LCL) of the true mean 
divided by 0.90, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.027


[[Page 142]]


    (b) Certification reports.
    (1) The requirements of Sec. 429.12 are applicable to residential 
refrigerators, refrigerator-freezers and freezers; and
    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following public product-specific information: The annual 
energy use in kilowatt hours per year (kWh/yr), total adjusted volume in 
cubic feet (cu ft), and measured height of the unit.
    (3) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following additional product-specific information: whether 
the basic model has variable defrost control (in which case, 
manufacturers must also report the values, if any, of CTL and 
CTM (For an example, see section 5.2.1.3 in appendix A to 
subpart B of part 430) used in the calculation of energy consumption), 
whether the basic model has variable anti-sweat heater control (in which 
case, manufacturers must also report the values of heater Watts at the 
ten humidity levels 5%, 15%, through 95% used to calculate the variable 
anti-sweat heater ``Correction Factor''), and whether testing has been 
conducted with modifications to the standard temperature sensor 
locations specified by the figures referenced in section 5.1 of 
appendices A1, B1, A, and B to subpart B of part 430.

[76 FR 12451, Mar. 7, 2011; 76 FR 24762, May 2, 2011]



Sec. 429.15  Room air conditioners.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec. 429.11 are applicable to room air conditioners; 
and
    (2) For each basic model of room air conditioners, a sample of 
sufficient size shall be randomly selected and tested to ensure that--
    (i) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of a basic model for 
which consumers would favor lower values shall be greater than or equal 
to the higher of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.007
    

or,

    (B) The upper 97\1/2\ percent confidence limit (UCL) of the true 
mean divided by 1.05, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.028


and

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

[[Page 143]]

[GRAPHIC] [TIFF OMITTED] TR07MR11.009


or,

    (B) The lower 97\1/2\ percent confidence limit (LCL) of the true 
mean divided by 0.95, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.029

    (b) Certification reports. (1) The requirements of Sec. 429.12 are 
applicable to room air conditioners; and
    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following public product-specific information: The energy 
efficiency ratio (EER in British thermal units per Watt-hour (Btu/W-h)), 
cooling capacity in British thermal units per hour (Btu/h), and the 
electrical power input in watts (W).

[76 FR 12451, Mar. 7, 2011; 76 FR 24763, May 2, 2011]



Sec. 429.16  Central air conditioners and heat pumps.

    (a) Sampling plan for selection of units for testing. (1) The 
general requirements of Sec. 429.11 are applicable to central air 
conditioners and heat pumps; and
    (2)(i) For central air conditioners and heat pumps, each single-
package system and each condensing unit (outdoor unit) of a split-
system, when combined with a selected evaporator coil (indoor unit) or a 
set of selected indoor units, must have a sample of sufficient size 
tested in accordance with the applicable provisions of this subpart. The 
represented values for any model of a single-package system, any model 
of a tested split-system combination, any model of a tested mini-split 
system combination, or any model of a tested multi-split system 
combination must be assigned such that--
    (A) Any represented value of annual operating cost, energy 
consumption or other measure of energy consumption of the central air 
conditioner or heat pump for which consumers would favor lower values 
shall be greater than or equal to the higher of:
    (1) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.011
    

Or,

    (2) The upper 90 percent confidence limit (UCL) of the true mean 
divided by 1.05, where:

[[Page 144]]

[GRAPHIC] [TIFF OMITTED] TR02MY11.030


and

    (B) Any represented value of the energy efficiency or other measure 
of energy consumption of the central air conditioner or heat pump for 
which consumers would favor higher values shall be less than or equal to 
the lower of:
    (1) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.013
    

Or,

    (2) The lower 90 percent confidence limit (LCL) of the true mean 
divided by 0.95, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.031

    (C) For heat pumps, all units of the sample population must be 
tested in both the cooling and heating modes and the results used for 
determining the heat pump's certified Seasonal Energy Efficiency Ratio 
(SEER) and Heating Seasonal Performance Factor (HSPF) ratings in 
accordance with paragraph (a)(2)(i)(B) of this section.
    (ii) For split-system air conditioners and heat pumps, the 
condenser-evaporator coil combination selected for tests pursuant to 
paragraph (a)(2)(i) of this section shall include the evaporator coil 
that is likely to have the largest volume of retail sales with the 
particular model of condensing unit. For mini-split condensing units 
that are designed to always be installed with more than one indoor unit, 
a ``tested combination'' as defined in 10 CFR 430.2 shall be used for 
tests pursuant to paragraph (a)(2)(i) of this section. For multi-split 
systems, each model of condensing unit shall be tested with two 
different sets of indoor units. For one set, a ``tested combination'' 
composed entirely of non-ducted

[[Page 145]]

indoor units shall be used. For the second set, a ``tested combination'' 
composed entirely of ducted indoor units shall be used. However, for any 
split-system air conditioner having a single-speed compressor, the 
condenser-evaporator coil combination selected for tests pursuant to 
paragraph (a)(2)(i) of this section shall include the indoor coil-only 
unit that is likely to have the largest volume of retail sales with the 
particular model of outdoor unit. This coil-only requirement does not 
apply to split-system air conditioners that are only sold and installed 
with blower-coil indoor units, specifically mini-splits, multi-splits, 
and through-the-wall units. This coil-only requirement does not apply to 
any split-system heat pumps. For every other split-system combination 
that includes the same model of condensing unit but a different model of 
evaporator coil and for every other mini-split and multi-split system 
that includes the same model of condensing unit but a different set of 
evaporator coils, whether the evaporator coil(s) is manufactured by the 
same manufacturer or by a component manufacturer, either--
    (A) A sample of sufficient size, comprised of production units or 
representing production units, must be tested as complete systems with 
the resulting ratings for the outdoor unit-indoor unit(s) combination 
obtained in accordance with paragraphs (a)(2)(i)(A) and (a)(2)(i)(B) of 
this section; or
    (B) The representative values of the measures of energy efficiency 
must be assigned as follows:
    (1) Using an alternative rating method (ARM) that has been approved 
by DOE in accordance with the provisions of Sec. 429.70(e)(1) and (2); 
or
    (2) For multi-split systems composed entirely of non-ducted indoor 
units, set equal to the system tested in accordance with paragraph 
(a)(2)(i) of this section whose tested combination was entirely non-
ducted indoor units; or
    (3) For multi-split systems composed entirely of ducted indoor 
units, set equal to the system tested in accordance with paragraph 
(a)(2)(i) of this section when the tested combination was entirely 
ducted indoor units; or
    (4) For multi-split systems having a mix of non-ducted and ducted 
indoor units, set equal to the mean of the values for the two systems--
one having the tested combination of all non-ducted units and the second 
having the tested combination of all ducted indoor units--tested in 
accordance with paragraph (a)(2)(i) of this section.
    (iii) Whenever the representative values of the measures of energy 
consumption, as determined by the provisions of paragraph (a)(2)(ii)(B) 
of this section, do not agree within 5 percent of the energy consumption 
as determined by actual testing, the values determined by actual testing 
must be used to comply with section 323(c) of the Act or to comply with 
rules under section 324 of the Act.
    (b) Certification reports. (1) The requirements of Sec. 429.12 are 
applicable to central air conditioners and heat pumps; and
    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following public product-specific information:
    (i) Residential central air conditioners: The seasonal energy 
efficiency ratio (SEER in British thermal units per Watt-hour (Btu/W-
h)), the cooling capacity in British thermal units per hour (Btu/h), and 
the manufacturer and individual manufacturer's model numbers of the 
indoor and outdoor unit. For central air conditioners whose seasonal 
energy efficiency ratio is based on an installation that includes a 
particular model of ducted air mover (e.g., furnace, air handler, blower 
kit), the manufacturer's model number of this ducted air mover must be 
included among the model numbers listed on the certification report.
    (ii) Residential central air conditioning heat pumps: The seasonal 
energy efficiency ratio (SEER in British thermal units per Watt-hour 
(Btu/W-h)), the cooling capacity in British thermal units per hour (Btu/
h), the heating seasonal performance factor (HSPF in British thermal 
units per Watt-hour (Btu/W-h)), and the manufacturer and individual 
model numbers of the indoor and outdoor unit. For central air 
conditioning heat pumps whose seasonal energy efficiency ratio and 
heating seasonal performance factor are based on an installation that 
includes a particular model of ducted

[[Page 146]]

air mover (e.g., furnace, air handler, blower kit), the model number of 
this ducted air mover must be included among the model numbers listed on 
the certification report.
    (iii) Small duct, high velocity air conditioners: The seasonal 
energy efficiency ratio (SEER in British thermal units per Watt-hour 
(Btu/W-h)) and the cooling capacity in British thermal units per hour 
(Btu/h).
    (iv) Small duct, high velocity heat pumps: The seasonal energy 
efficiency ratio (SEER in British thermal units per Watt-hour (Btu/W-
h)), the heating seasonal performance factor (HSPF in British thermal 
units per Watt-hour (Btu/W-h)), and the cooling capacity in British 
thermal units per hour (Btu/h).
    (iv) Space constrained air conditioners: The seasonal energy 
efficiency ratio (SEER in British thermal units per Watt-hour (Btu/W-h)) 
and the cooling capacity in British thermal units per hour (Btu/h).
    (v) Space constrained heat pumps: The seasonal energy efficiency 
ratio (SEER in British thermal units per Watt-hour (Btu/W-h)), the 
coefficient of performance, and the cooling capacity in British thermal 
units per hour (Btu/h).
    (c) Alternative methods for determining efficiency or energy use for 
central air conditioners and heat pumps can be found in Sec. 429.70 of 
this subpart.

[76 FR 12451, Mar. 7, 2011; 76 FR 24763, May 2, 2011]



Sec. 429.17  Residential water heaters.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec. 429.11 are applicable to residential water 
heaters; and
    (2) For each basic model of residential water heaters, a sample of 
sufficient size shall be randomly selected and tested to ensure that--
    (i) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of a basic model for 
which consumers would favor lower values shall be greater than or equal 
to the higher of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.015
    
    Or,
    (B) The upper 95 percent confidence limit (UCL) of the true mean 
divided by 1.10, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.032


and

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

[[Page 147]]

[GRAPHIC] [TIFF OMITTED] TR07MR11.017

    Or,
    (B) The lower 95 percent confidence limit (LCL) of the true mean 
divided by 0.90, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.033

    (b) Certification reports. (1) The requirements of Sec. 429.12 are 
applicable to residential water heaters; and
    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following public product-specific information: The energy 
factor (EF), rated storage volume in gallons (gal), first hour rating 
(maximum gallons per minute), and recovery efficiency (percent).

[76 FR 12451, Mar. 7, 2011; 76 FR 24764, May 2, 2011]



Sec. 429.18  Residential furnaces.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec. 429.11 are applicable to residential furnaces; and
    (2) (i) For each basic model of furnaces, other than basic models of 
those sectional cast-iron boilers (which may be aggregated into groups 
having identical intermediate sections and combustion chambers) a sample 
of sufficient size shall be randomly selected and tested to ensure 
that--
    (A) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of a basic model for 
which consumers would favor lower values shall be greater than or equal 
to the higher of:
    (1) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.019
    
    Or,
    (2) The upper 97\1/2\ percent confidence limit (UCL) of the true 
mean divided by 1.05, where:

[[Page 148]]

[GRAPHIC] [TIFF OMITTED] TR07MR11.020

    and

    (B) Any represented value of the annual fuel utilization efficiency 
or other measure of energy consumption of a basic model for which 
consumers would favor higher values shall be less than or equal to the 
lower of:
    (1) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.021
    
    Or,
    (2) The lower 97\1/2\ percent confidence limit (LCL) of the true 
mean divided by 0.95, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.034

    (ii) For the lowest capacity basic model of a group of basic models 
of those sectional cast-iron boilers having identical intermediate 
sections and combustion chambers, a sample of sufficient size shall be 
randomly selected and tested to ensure that--
    (A) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of a basic model for 
which consumers would favor lower values shall be greater than or equal 
to the higher of:
    (1) The mean of the sample, where:

[[Page 149]]

[GRAPHIC] [TIFF OMITTED] TR07MR11.023

    Or,
    (2) The upper 97\1/2\ percent confidence limit (UCL) of the true 
mean divided by 1.05, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.035


and

    (B) Any represented value of the fuel utilization efficiency or 
other measure of energy consumption of a basic model for which consumers 
would favor higher values shall be less than or equal to the lower of:
    (1) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.025
    
    Or,
    (2) The lower 97\1/2\ percent confidence limit (LCL) of the true 
mean divided by 0.95, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.036

    (iii) For the highest capacity basic model of a group of basic 
models of those sectional cast-iron boilers having identical 
intermediate sections and combustion chambers, a sample of sufficient 
size shall be randomly selected and tested to ensure that--
    (A) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of a basic model for

[[Page 150]]

which consumers would favor lower values shall be greater than or equal 
to the higher of:
    (1) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.027
    
    Or,
    (2) The upper 97\1/2\ percent confidence limit (UCL) of the true 
mean divided by 1.05, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.037


and
    (B) Any represented value of the fuel utilization efficiency or 
other measure of energy consumption of a basic model for which consumers 
would favor higher values shall be less than or equal to the lower of:
    (1) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.029
    
    Or,
    (2) The lower 97\1/2\ percent confidence limit (LCL) of the true 
mean divided by 0.95, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.038


[[Page 151]]


    (iv) For each basic model or capacity other than the highest or 
lowest of the group of basic models of sectional cast-iron boilers 
having identical intermediate sections and combustion chambers, 
represented values of measures of energy consumption shall be determined 
by either--
    (A) A linear interpolation of data obtained for the smallest and 
largest capacity units of the family, or
    (B) Testing a sample of sufficient size to ensure that:
    (1) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of a basic model for 
which consumers would favor lower values shall be greater than or equal 
to the higher of:
    (i) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.031
    
    Or,
    (ii) The upper 97\1/2\ percent confidence limit (UCL) of the true 
mean divided by 1.05, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.039


and
    (2) Any represented value of the energy factor or other measure of 
energy consumption of a basic model for which consumers would favor 
higher values shall be less than or equal to the lower of:
    (i) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.033
    

[[Page 152]]


    Or,
    (ii) The lower 97\1/2\ percent confidence limit (LCL) of the true 
mean divided by 0.95, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.040

    (v) Whenever measures of energy consumption determined by linear 
interpolation do not agree with measures of energy consumption 
determined by actual testing, the values determined by testing must be 
used for certification.
    (vi) In calculating the measures of energy consumption for each unit 
tested, use the design heating requirement corresponding to the mean of 
the capacities of the units of the sample.
    (b) Certification reports. (1) The requirements of Sec. 429.12 are 
applicable to residential furnaces; and
    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following public product-specific information:
    (i) Residential furnaces and boilers: The annual fuel utilization 
efficiency (AFUE) in percent (%) and the input capacity in British 
thermal units per hour (Btu/h).
    (ii) For cast-iron sectional boilers: The type of ignition system 
for gas-fired steam and hot water boilers.
    (3) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following additional product-specific information: For cast-
iron sectional boilers: a declaration of whether certification is based 
on linear interpolation or testing. For hot water boilers, a declaration 
that the manufacturer has incorporated the applicable design 
requirements.

[76 FR 12451, Mar. 7, 2011; 76 FR 24765, May 2, 2011, as amended at 76 
FR 38292, June 30, 2011]



Sec. 429.19  Dishwashers.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec. 429.11 are applicable to dishwashers; and
    (2) For each basic model of dishwashers, a sample of sufficient size 
shall be randomly selected and tested to ensure that--
    (i) Any represented value of estimated annual operating cost, energy 
or water consumption or other measure of energy or water consumption of 
a basic model for which consumers would favor lower values shall be 
greater than or equal to the higher of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.035
    
    Or,
    (B) The upper 97\1/2\ percent confidence limit (UCL) of the true 
mean divided by 1.05, where:

[[Page 153]]

[GRAPHIC] [TIFF OMITTED] TR02MY11.041


and
    (ii) Any represented value of the energy or water factor or other 
measure of energy or water consumption of a basic model for which 
consumers would favor higher values shall be less than or equal to the 
lower of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.037
    
    Or,
    (B) The lower 97\1/2\ percent confidence limit (LCL) of the true 
mean divided by 0.95, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.042

    (b) Certification reports. (1) The requirements of Sec. 429.12 are 
applicable to dishwashers; and
    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following public product-specific information: The annual 
energy use in kilowatt hours per year (kWh/yr) and the water factor in 
gallons per cycle.
    (3) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following additional product-specific information: the 
capacity in number of place settings as specified in ANSI/AHAM DW-1 
(incorporated by reference, see Sec. 429.4), presence of a soil sensor 
(if yes, the number of cycles required to reach calibration), and the 
water inlet temperature used for testing in degrees Fahrenheit ( 
[deg]F).

[76 FR 12451, Mar. 7, 2011; 76 FR 24766, May 2, 2011]



Sec. 429.20  Residential clothes washers.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec. 429.11 are applicable to residential clothes 
washers; and

[[Page 154]]

    (2) For each basic model of residential clothes washers, a sample of 
sufficient size shall be randomly selected and tested to ensure that--
    (i) Any represented value of the water factor, the estimated annual 
operating cost, the energy or water consumption, or other measure of 
energy or water consumption of a basic model for which consumers would 
favor lower values shall be greater than or equal to the higher of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.039
    
    Or,
    (B) The upper 97\1/2\ percent confidence limit (UCL) of the true 
mean divided by 1.05, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.043


and
    (ii) Any represented value of the modified energy factor or other 
measure of energy or water consumption of a basic model for which 
consumers would favor higher values shall be less than or equal to the 
lower of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.041
    
    Or,
    (B) The lower 97\1/2\ percent confidence limit (LCL) of the true 
mean divided by 0.95, where:

[[Page 155]]

[GRAPHIC] [TIFF OMITTED] TR02MY11.044

    (b) Certification reports. (1) The requirements of Sec. 429.12 are 
applicable to residential clothes washers; and
    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following public product-specific information: The modified 
energy factor (MEF) in cubic feet per kilowatt hour per cycle (cu ft/
kWh/cycle) and the capacity in cubic feet (cu ft). For standard-size 
residential clothes washers, a water factor (WF) in gallons per cycle 
per cubic feet (gal/cycle/cu ft).

[76 FR 12451, Mar. 7, 2011; 76 FR 24767, May 2, 2011]



Sec. 429.21  Residential clothes dryers.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec. 429.11 are applicable to clothes dryers; and
    (2) For each basic model of clothes dryers a sample of sufficient 
size shall be randomly selected and tested to ensure that--
    (i) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of a basic model for 
which consumers would favor lower values shall be greater than or equal 
to the higher of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.043
    
    Or,
    (B) The upper 97\1/2\ percent confidence limit (UCL) of the true 
mean divided by 1.05, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.045


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

[[Page 156]]

shall be less than or equal to the lower of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.045
    
    Or,
    (B) The lower 97\1/2\ percent confidence limit (LCL) of the true 
mean divided by 0.95, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.046

    (b) Certification reports. (1) The requirements of Sec. 429.12 are 
applicable to clothes dryers; and
    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following public product-specific information: The energy 
factor in pounds per kilowatt hours (lb/kWh), the capacity in cubic feet 
(cu ft), and the voltage in volts (V) (for electric dryers only).

[76 FR 12451, Mar. 7, 2011; 76 FR 24767, May 2, 2011]



Sec. 429.22  Direct heating equipment.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec. 429.11 are applicable to direct heating equipment; 
and
    (2) (i) For each basic model of direct heating equipment (not 
including furnaces) a sample of sufficient size shall be randomly 
selected and tested to ensure that--
    (A) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of a basic model for 
which consumers would favor lower values shall be greater than or equal 
to the higher of:
    (1) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.047
    
    Or,
    (2) The upper 97\1/2\ percent confidence limit (UCL) of the true 
mean divided by 1.05, where:

[[Page 157]]

[GRAPHIC] [TIFF OMITTED] TR02MY11.047


and
    (B) Any represented value of the fuel utilization efficiency or 
other measure of energy consumption of a basic model for which consumers 
would favor higher values shall be less than or equal to the lower of:
    (1) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.049
    
    Or,
    (2) The lower 97\1/2\ percent confidence limit (LCL) of the true 
mean divided by 0.95, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.048

    (ii) In calculating the measures of energy consumption for each unit 
tested, use the design heating requirement corresponding to the mean of 
the capacities of the units of the sample.
    (b) Certification reports. (1) The requirements of Sec. 429.12 are 
applicable to direct heating equipment; and
    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following public product-specific information: Direct 
heating equipment, the annual fuel utilization efficiency (AFUE) in 
percent (%), the mean input capacity in British thermal units per hour 
(Btu/h), and the mean output capacity in British thermal units per hour 
(Btu/h).

[76 FR 12451, Mar. 7, 2011; 76 FR 24768, May 2, 2011, as amended at 76 
FR 38292, June 30, 2011]



Sec. 429.23  Conventional cooking tops, conventional ovens, microwave ovens.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec. 429.11 are applicable to conventional cooking 
tops, conventional ovens and microwave ovens; and
    (2) For each basic model of conventional cooking tops, conventional 
ovens and microwave ovens a sample of

[[Page 158]]

sufficient size shall be randomly selected and tested to ensure that--
    (i) Any represented value of estimated annual operating cost, energy 
consumption or other measure of energy consumption of a basic model for 
which consumers would favor lower values shall be greater than or equal 
to the higher of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.051
    
    Or,
    (B) The upper 97\1/2\ percent confidence limit (UCL) of the true 
mean divided by 1.05, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.049


and
    (ii) Any represented value of the energy factor or other measure of 
energy consumption of a basic model for which consumers would favor 
higher values shall be less than or equal to the lower of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.053
    
    Or,
    (B) The lower 97\1/2\ percent confidence limit (LCL) of the true 
mean divided by 0.95, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.050


[[Page 159]]


    (b) Certification reports. (1) The requirements of Sec. 429.12 are 
applicable to conventional cooking tops, conventional ovens and 
microwave ovens; and
    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following public product-specific information: The type of 
pilot light and a declaration that the manufacturer has incorporated the 
applicable design requirements.

[76 FR 12451, Mar. 7, 2011; 76 FR 24769, May 2, 2011]



Sec. 429.24  Pool heaters.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec. 429.11 are applicable to pool heaters; and
    (2) For each basic model of pool heater a sample of sufficient size 
shall be randomly selected and tested to ensure that any represented 
value of the thermal efficiency or other measure of energy consumption 
of a basic model for which consumers would favor higher values shall be 
less than or equal to the lower of:
[GRAPHIC] [TIFF OMITTED] TR07MR11.055

    (i) The mean of the sample, where:
    Or,
    (ii) The lower 97\1/2\ percent confidence limit (LCL) of the true 
mean divided by 0.95, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.051

    (b) Certification reports. (1) The requirements of Sec. 429.12 are 
applicable to pool heaters; and
    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following public product-specific information: The thermal 
efficiency in percent (%) and the input capacity in British thermal 
units per hour (Btu/h).

[76 FR 12451, Mar. 7, 2011; 76 FR 24769, May 2, 2011]



Sec. 429.25  Television sets. [Reserved]



Sec. 429.26  Fluorescent lamp ballasts.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec. 429.11 are applicable to fluorescent lamp 
ballasts; and
    (2) For each basic model of fluorescent lamp ballasts, a sample of 
sufficient size, not less than four, shall be randomly selected and 
tested to ensure that--
    (i) Any represented value of estimated annual energy operating 
costs, energy consumption, or other measure of energy consumption of a 
basic model for which consumers would favor lower values shall be 
greater than or equal to the higher of:
    (A) The mean of the sample, where:

[[Page 160]]

[GRAPHIC] [TIFF OMITTED] TR07MR11.057

    Or,
    (B) The upper 99 percent confidence limit (UCL) of the true mean 
divided by 1.01, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.052


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 less than or equal to the lower of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.059
    

Or,

    (B) The lower 99 percent confidence limit (LCL) of the true mean 
divided by 0.99, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.053

    (b) Certification reports. (1) The requirements of Sec. 429.12 are 
applicable to fluorescent lamp ballasts; and
    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following public product-specific information: The ballast 
efficacy factor, the ballast power factor, the number of

[[Page 161]]

lamps operated by the ballast, and the type of lamps operated by the 
ballast.

[76 FR 12451, Mar. 7, 2011; 76 FR 24769, May 2, 2011]



Sec. 429.27  General service fluorescent lamps, general service
incandescent lamps, and incandescent reflector lamps.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec. 429.11 are applicable to general service 
fluorescent lamps, general service incandescent lamps and incandescent 
reflector lamps; and
    (2)(i) For each basic model of general service fluorescent lamp, 
general service incandescent lamp, and incandescent reflector lamp, 
samples of production lamps shall be obtained from a 12-month period, 
tested, and the results averaged. A minimum sample of 21 lamps shall be 
tested. The manufacturer shall randomly select a minimum of three lamps 
from each month of production for a minimum of 7 out of the 12-month 
period. In the instance where production occurs during fewer than 7 of 
such 12 months, the manufacturer shall randomly select 3 or more lamps 
from each month of production, where the number of lamps selected for 
each month shall be distributed as evenly as practicable among the 
months of production to attain a minimum sample of 21 lamps. Any 
represented value of lamp efficacy of a basic model shall be based on 
the sample and shall be less than or equal to the lower of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.061
    
    Or,
    (B) The lower 95 percent confidence limit (LCL) of the true mean 
divided by .97, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.054

    (ii) 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 
(a)(2)(i) of this section, i.e., the manufacturer shall measure all 
lamps for lumens, watts input, and CRI. The CRI shall be represented as 
the average of a minimum sample of 21 lamps and shall be less than or 
equal to the lower of:
    (A) The mean of the sample, where:

[[Page 162]]

[GRAPHIC] [TIFF OMITTED] TR07MR11.063

    Or,
    (B) The lower 95 percent confidence limit (LCL) of the true mean 
divided by .97, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.055

    (b) Certification reports. (1) The requirements of Sec. 429.12 are 
applicable to general service fluorescent lamps, general service 
incandescent lamps and incandescent reflector lamps; and
    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following public product-specific information:
    (i) General service fluorescent lamps: the testing laboratory's 
National Voluntary Laboratory Accreditation Program (NVLAP) 
identification number or other NVLAP-approved accreditation 
identification, production dates of the units tested, the 12-month 
average lamp efficacy in lumens per watt (lm/W), lamp wattage (W), 
correlated color temperature in Kelvin (K), and the 12-month average 
Color Rendering Index (CRI).
    (ii) Incandescent reflector lamps: The laboratory's NVLAP 
identification number or other NVLAP-approved accreditation 
identification, production dates of the units tested, the 12-month 
average lamp efficacy in lumens per watt (lm/W), and lamp wattage (W).
    (iii) General service incandescent lamps: The testing laboratory's 
National Voluntary Laboratory Accreditation Program (NVLAP) 
identification number or other NVLAP-approved accreditation 
identification, production dates of the units tested, the 12-month 
average maximum rate wattage in watts (W), the 12-month average minimum 
rated lifetime (hours), and the 12-month average Color Rendering Index 
(CRI).
    (c) Test data. Manufacturers must include the production date codes 
and the accompanying decoding scheme corresponding to all of the units 
tested for a given basic model in the detailed test records maintained 
under Sec. 429.71.

[76 FR 12451, Mar. 7, 2011; 76 FR 24770, May 2, 2011, as amended at 76 
FR 38292, June 30, 2011]



Sec. 429.28  Faucets.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec. 429.11 are applicable to faucets; and
    (2) For each basic model of faucet, a sample of sufficient size 
shall be randomly selected and tested to ensure that any represented 
value of water consumption of a basic model for which consumers favor 
lower values shall be no less than the higher of the higher of:
    (i) The mean of the sample, where:

[[Page 163]]

[GRAPHIC] [TIFF OMITTED] TR07MR11.065

    Or,
    (ii) The upper 95 percent confidence limit (UCL) of the true mean 
divided by 1.05, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.056

    (b) Certification reports. (1) The requirements of Sec. 429.12 are 
applicable to faucets; and
    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following public product-specific information: The maximum 
water use in gallons per minute (gpm) or, in the case of metering 
faucets, gallons per cycle (gal/cycle) for each faucet and the flow 
water pressure in pounds per square inch (psi).

[76 FR 12451, Mar. 7, 2011; 76 FR 24771, May 2, 2011]



Sec. 429.29  Showerheads.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec. 429.11 are applicable to showerheads; and
    (2) For each basic model of a showerhead, a sample of sufficient 
size shall be randomly selected and tested to ensure that any 
represented value of water consumption of a basic model for which 
consumers favor lower values shall be greater than or equal to the 
higher of:
    (i) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.067
    
    Or,
    (ii) The upper 95 percent confidence limit (UCL) of the true mean 
divided by 1.05, where:

[[Page 164]]

[GRAPHIC] [TIFF OMITTED] TR02MY11.057

    (b) Certification reports. (1) The requirements of Sec. 429.12 are 
applicable to showerheads; and
    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following public product-specific information: The maximum 
water use in gallons per minute (gpm) and the maximum flow water 
pressure in pounds per square inch (psi).
    (3) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following additional product-specific information: A 
declaration that the showerhead meets the requirements of ASME/ANSI 
A112.18.1M-1996, 7.4.4(a).

[76 FR 12451, Mar. 7, 2011; 76 FR 24771, May 2, 2011]



Sec. 429.30  Water closets.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec. 429.11 are applicable to water closets; and
    (2) For each basic model of water closet, a sample of sufficient 
size shall be randomly selected and tested to ensure that any 
represented value of water consumption of a basic model for which 
consumers favor lower values shall be greater than or equal to the 
higher of:
    (i) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.069
    
    Or,
    (ii) The upper 90 percent confidence limit (UCL) of the true mean 
divided by 1.1, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.058


[[Page 165]]


    (b) Certification reports. (1) The requirements of Sec. 429.12 are 
applicable to water closets; and
    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following public product-specific information: The maximum 
water use in gallons per flush (gpf).

[76 FR 12451, Mar. 7, 2011; 76 FR 24771, May 2, 2011]



Sec. 429.31  Urinals.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec. 429.11 are applicable to urinals; and
    (2) For each basic model of urinal, a sample of sufficient size 
shall be randomly selected and tested to ensure that any represented 
value of water consumption of a basic model for which consumers favor 
lower values shall be greater than or equal to the higher of:
    (i) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.071
    
    Or,
    (ii) The upper 90 percent confidence limit (UCL) of the true mean 
divided by 1.1, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.059

    (b) Certification reports. (1) The requirements of Sec. 429.12 are 
applicable to urinals; and
    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following public product-specific information: The maximum 
water use in gallons per flush and for trough-type urinals, the maximum 
flow rate in gallons per minute (gpm) and the length of the trough in 
inches (in).

[76 FR 12451, Mar. 7, 2011; 76 FR 24771, May 2, 2011]



Sec. 429.32  Ceiling fans.

    (a) Sampling plan for selection of units for testing. The 
requirements of Sec. 429.11 are applicable to ceiling fans.
    (b) Certification reports. (1) The requirements of Sec. 429.12 are 
applicable to ceiling fans; and
    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following public product-specific information: The number of 
speeds within the ceiling fan controls and a declaration that the 
manufacturer has incorporated the applicable design requirements.



Sec. 429.33  Ceiling fan light kits.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec. 429.11 are applicable to ceiling fan light kits; 
and
    (2) For each basic model of ceiling fan light kit with sockets for 
medium screw base lamps or pin-based fluorescent lamps selected for 
testing, a sample of sufficient size shall be randomly selected and 
tested to ensure that--

[[Page 166]]

    (i) Any value of estimated energy consumption or other measure of 
energy consumption of a basic model for which consumers would favor 
lower values shall be greater than or equal to the higher of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.073
    
    Or,
    (B) The upper 95 percent confidence limit (UCL) of the true mean 
divided by 1.1, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.060


and
    (ii) Any represented value of the efficacy or other measure of 
energy consumption of a basic model for which consumers would favor 
higher values shall be less than or equal to the lower of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.075
    
    Or,
    (B) The lower 95 percent confidence limit (LCL) of the true mean 
divided by 0.9, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.061


[[Page 167]]


    (b) Certification reports. (1) The requirements of Sec. 429.12 are 
applicable to ceiling fan light kits; and
    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following public product-specific information:
    (i) Ceiling fan light kits with sockets for medium screw base lamps: 
the rated wattage in watts (W) and the system's efficacy in lumens per 
watt (lm/W).
    (ii) Ceiling fan light kits with pin-based sockets for fluorescent 
lamps: the rated wattage in watts (W), the system's efficacy in lumens 
per watt (lm/W), and the length of the lamp in inches (in).
    (iii) Ceiling fan light kits with any other socket type: the rated 
wattage in watts (W) and the number of individual sockets.
    (3) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following additional product-specific information: Ceiling 
fan light kits with any other socket type: a declaration that the basic 
model meets the applicable design requirement and the features that have 
been incorporated into the ceiling fan light kit to meet the applicable 
design requirement (e.g., circuit breaker, fuse, ballast).

[76 FR 12451, Mar. 7, 2011; 76 FR 24772, May 2, 2011]



Sec. 429.34  Torchieres.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec. 429.11 are applicable to torchieres; and
    (2) Reserved
    (b) Certification reports. (1) The requirements of Sec. 429.12 are 
applicable to torchieres; and
    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following additional product-specific information: A 
declaration that the basic model meets the applicable design requirement 
and the features that have been incorporated into the torchiere to meet 
the applicable design requirement (e.g., circuit breaker, fuse, 
ballast).



Sec. 429.35  Bare or covered (no reflector) medium base compact 
fluorescent lamps.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec. 429.11 are applicable to bare or covered (no 
reflector) medium base compact fluorescent lamps; and
    (2) For each basic model of bare or covered (no reflector) medium 
base compact fluorescent lamp
    (i) No less than five units per basic model must be used when 
testing for the efficacy, 1,000-hour lumen maintenance, and the lumen 
maintenance. Each unit must be tested in the base-up position unless the 
product is labeled restricted by the manufacturer, in which case the 
unit should be tested in the manufacturer specified position. Any 
represented value of efficacy, 1,000-hour lumen maintenance, and lumen 
maintenance shall be based on a sample randomly selected and tested to 
ensure that the represented value is less than or equal to the lower of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.077
    

Or,

    (B) The lower 97.5 percent confidence limit (LCL) of the true mean 
divided by 0.95, where:

[[Page 168]]

[GRAPHIC] [TIFF OMITTED] TR02MY11.062

    (ii) No less than 6 unique units (i.e., units that have not 
previously been tested) per basic model must be used when testing for 
the rapid cycle stress. Each unit can be tested in the base up or base 
down position as stated by the manufacturer.
    (iii) No less than 10 units per basic model must be used when 
testing for the average rated lamp life. Half the sample should be 
tested in the base up position and half of the sample should be tested 
in the base down position, unless specific use or position appears on 
the packaging of that particular unit.
    (b) Certification reports. (1) The requirements of Sec. 429.12 are 
applicable to bare or covered medium base compact fluorescent lamps; and
    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following public product-specific information: The testing 
laboratory's NVLAP identification number or other NVLAP-approved 
accreditation identification, the minimum initial efficacy in lumens per 
watt (lm/W), the lumen maintenance at 1,000 hours in percent (%), the 
lumen maintenance at 40 percent of rated life in percent (%), the rapid 
cycle stress test in number of units passed, and the lamp life in hours 
(h).

[76 FR 12451, Mar. 7, 2011; 76 FR 24772, May 2, 2011, as amended at 76 
FR 38292, June 30, 2011]



Sec. 429.36  Dehumidifiers.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec. 429.11 are applicable to dehumidifiers; and
    (2) For each basic model of dehumidifier selected for testing, a 
sample of sufficient size shall be randomly selected and tested to 
ensure that--
    (i) Any represented value of energy consumption or other measure of 
energy consumption of a basic model for which consumers would favor 
lower values shall be greater than or equal to the higher of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.079
    

Or,

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

[[Page 169]]

[GRAPHIC] [TIFF OMITTED] TR02MY11.063


and

    (ii) Any represented value of the energy factor or other measure of 
energy consumption of a basic model for which consumers would favor 
higher values shall be less than or equal to the lower of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.081
    

Or,

    (B) The lower 95 percent confidence limit (LCL) of the true mean 
divided by 0.90, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.064

    (b) Certification reports. (1) The requirements of Sec. 429.12 are 
applicable to dehumidifiers; and
    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following public product-specific information: The energy 
factor in liters per kilowatt hour (liters/kWh) and capacity in pints 
per day.

[76 FR 12451, Mar. 7, 2011; 76 FR 24773, May 2, 2011]



Sec. 429.37  Class A external power supplies.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec. 429.11 are applicable to external power supplies; 
and
    (2) For each basic model of external power supply selected for 
testing, a sample of sufficient size shall be randomly selected and 
tested to ensure that--
    (i) Any represented value of the estimated energy consumption of a 
basic model for which consumers would favor lower values shall be 
greater than or equal to the higher of:
    (A) The mean of the sample, where:

[[Page 170]]

[GRAPHIC] [TIFF OMITTED] TR07MR11.083


Or,

    (B) The upper 97.5 percent confidence limit (UCL) of the true mean 
divided by 1.05, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.065


and

    (ii) Any represented value of the estimated energy consumption of a 
basic model for which consumers would favor higher values shall be less 
than or equal to the lower of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.085
    

Or,

    (B) The lower 97.5 percent confidence limit (LCL) of the true mean 
divided by 0.95, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.066

    (b) Certification reports. (1) The requirements of Sec. 429.12 are 
applicable to external power supplies except that required information 
may be reported on the basis of a basic model or a design family. If 
certifying using a design family, for Sec. 429.12(b)(6), report the 
individual manufacturer's model numbers covered by the design family.

[[Page 171]]

    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following public product-specific information:
    (i) External power supplies: The average active mode efficiency as a 
percent (%), no-load mode power consumption in watts (W), nameplate 
output power in watts (W), and, if missing from the nameplate, the 
output current in amperes (A) of the basic model or the output current 
in amperes (A) of the highest- and lowest-voltage models within the 
external power supply design family.
    (ii) Switch-selectable single-voltage external power supplies: The 
average active mode efficiency as a percent (%), no-load mode power 
consumption in watts (W) at the lowest and highest selectable output 
voltage, nameplate output power in watts (W), and, if missing from the 
nameplate, the output current in amperes (A).
    (iii) External power supplies that are exempt from no-load mode 
requirements under Sec. 430.32(w)(1)(iii): A statement that the product 
is designed to be connected to a security or life safety alarm or 
surveillance system component, the average active mode efficiency as a 
percent (%), the nameplate output power in watts (W), and if missing 
from the nameplate, the certification report must also include the 
output current in amperes (A) of the basic model or the output current 
in amperes (A) of the highest- and lowest-voltage models within the 
external power supply design family.

[76 FR 12451, Mar. 7, 2011; 76 FR 24773, May 2, 2011, as amended at 76 
FR 57899, Sept. 19, 2011]



Sec. 429.38  Non-class A external power supplies. [Reserved]



Sec. 429.39  Battery chargers.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec. 429.11 are applicable to battery chargers; and
    (2) For each basic model of battery charger selected for testing, a 
sample of sufficient size shall be randomly selected and tested to 
ensure that--
    (i) Any represented value of the estimated non-active energy ratio 
or other measure of energy consumption of a basic model for which 
consumers would favor lower values shall be greater than or equal to the 
higher of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.087
    

Or,

    (B) The upper 97.5 percent confidence limit (UCL) of the true mean 
divided by 1.05, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.067


[[Page 172]]



and

    (ii) Any represented value of the estimated non-active energy ratio 
or other measure of energy consumption of a basic model for which 
consumers would favor higher values shall be less than or equal to the 
lower of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.089
    

Or,

    (B) The lower 97.5 percent confidence limit (LCL) of the true mean 
divided by 0.95, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.068

    (b) Certification reports. [Reserved]

[76 FR 12451, Mar. 7, 2011; 76 FR 24774, May 2, 2011]



Sec. 429.40  Candelabra base incandescent lamps and intermediate base
incandescent lamps.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec. 429.11 are applicable to candelabra base 
incandescent lamps; and
    (2) For each basic model of candelabra base incandescent lamp and 
intermediate base incandescent lamp, a minimum sample of 21 lamps shall 
be randomly selected and tested. Any represented value of lamp wattage 
of a basic model shall be based on the sample and shall be less than or 
equal to the lower of:
    (i) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.091
    

Or,

    (ii) The lower 97.5 percent confidence limit (LCL) of the true mean 
divided by 0.95, where:

[[Page 173]]

[GRAPHIC] [TIFF OMITTED] TR02MY11.069

    (b) Certification reports. (1) The requirements of Sec. 429.12 are 
applicable to candelabra base and intermediate base incandescent lamps; 
and
    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following public product-specific information:
    (i) Candelabra base incandescent lamp: The rated wattage in watts 
(W).
    (ii) Intermediate base incandescent lamp: The rated wattage in watts 
(W).

[76 FR 12451, Mar. 7, 2011; 76 FR 24774, May 2, 2011]



Sec. 429.41  Electric motors. [Reserved]



Sec. 429.42  Commercial refrigerators, freezers, and 
refrigerator-freezers.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec. 429.11 are applicable to commercial refrigerators, 
freezers, and refrigerator-freezers; and
    (2) For each basic model of commercial refrigerator, freezer, or 
refrigerator-freezer selected for testing, a sample of sufficient size 
shall be randomly selected and tested to ensure that--
    (i) Any value of estimated maximum daily energy consumption or other 
measure of energy consumption of a basic model for which consumers would 
favor lower values shall be greater than or equal to the higher of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.093
    

Or,

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

[[Page 174]]

[GRAPHIC] [TIFF OMITTED] TR02MY11.070


and

    (ii) Any represented value of the energy efficiency or other measure 
of energy consumption of a basic model for which consumers would favor 
higher values shall be less than or equal to the lower of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.095
    

Or,

    (B) The lower 95 percent confidence limit (LCL) of the true mean 
divided by 0.90, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.071

    (b) Certification reports. (1) The requirements of Sec. 429.12 are 
applicable to commercial refrigerators, freezers, and refrigerator-
freezers; and
    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following public product-specific information:
    (i) Self-contained commercial refrigerators with solid doors, 
commercial refrigerators with transparent doors, commercial freezers 
with solid doors, and commercial freezers with transparent doors: the 
maximum daily energy consumption in kilowatt hours per day (kWh/day) and 
the chilled or frozen compartment volume in cubic feet (ft\3\).
    (ii) Self-contained commercial refrigerator-freezers with solids 
doors: the maximum average daily energy consumption in kilowatt hours 
per day (kWh/day) and the adjusted volume in cubic feet (ft\3\).
    (iii) Remote condensing commercial refrigerators, freezers, and 
refrigerator-freezers, self-contained commercial refrigerators, 
freezers, and refrigerator-freezers without doors, commercial ice-cream 
freezers, and commercial refrigeration equipment with two or

[[Page 175]]

more compartments (i.e., hybrid refrigerators, hybrid freezers, hybrid 
refrigerator-freezers, and non-hybrid refrigerator-freezers): The 
maximum daily energy consumption in kilowatt hours per day (kWh/day), 
the total display area (TDA) in feet squared (ft\2\) or the chilled 
volume in cubic feet (ft\3\) as necessary to demonstrate compliance with 
the standards set forth in Sec. 431.66, the rating temperature in 
degrees Fahrenheit ( [deg]F), the operating temperature range in degrees 
Fahrenheit (e.g., =32 [deg]F, <32 [deg]F, and <=-5 [deg]F), 
the equipment family designation as described in Sec. 431.66, and the 
condensing unit configuration.

[76 FR 12451, Mar. 7, 2011; 76 FR 24775, May 2, 2011, as amended at 76 
FR 38292, June 30, 2011]



Sec. 429.43  Commercial heating, ventilating, air conditioning 
(HVAC) equipment.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec. 429.11 are applicable to commercial HVAC 
equipment; and
    (2) For each basic model of commercial heating, ventilating, air 
conditioning (HVAC) equipment, efficiency must be determined either by 
testing, in accordance with applicable test procedures in Sec. Sec. 
431.76, 431.86, 431.96, or 431.106 and the provisions of this section, 
or by application of an alternative efficiency determination method 
(AEDM) that meets the requirements of Sec. 429.48 and the provisions of 
this section. For each basic model of commercial HVAC equipment, a 
sample of sufficient size shall be selected and tested to ensure that--
    (i) Any represented value of energy consumption or other measure of 
energy usage of a basic model for which consumers would favor lower 
values shall be greater than or equal to the higher of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.097
    

Or,

    (B) The upper 95 percent confidence limit (UCL) of the true mean 
divided by 1.05, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.072


and

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

[[Page 176]]

[GRAPHIC] [TIFF OMITTED] TR07MR11.099


Or,

    (B) The lower 95 percent confidence limit (LCL) of the true mean 
divided by 0.95, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.073

    (b) Certification reports. (1) The requirements of Sec. 429.12 are 
applicable to commercial HVAC equipment; and
    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following public product-specific information:
    (i) Commercial warm air furnaces: The thermal efficiency in percent 
(%) and the maximum rated input capacity in British thermal units per 
hour (Btu/h).
    (ii) Commercial packaged boilers: The combustion efficiency in 
percent (%) and the maximum rated input capacity in British thermal unit 
per hour (Btu/h) for equipment manufactured before March 2, 2012. For 
equipment manufactured on or after March 2, 2012, either the combustion 
efficiency in percent (%), or the thermal efficiency in percent (%) as 
required in Sec. 431.87 and the maximum rated input capacity in British 
thermal units per hour (Btu/h).
    (iii) Commercial package air-conditioning and heating equipment 
(except small commercial package air conditioning and heating equipment 
that is air-cooled with a cooling capacity less than 65,000 Btu/h): the 
energy efficiency ratio (EER in British thermal units per Watt-hour 
(Btu/Wh)), the coefficient of performance (COP) as necessary to meet the 
standards set forth in Sec. 431.97, the cooling capacity in British 
thermal unit per hour (Btu/h), and the type of heating used by the unit.
    (iv) Small commercial package air conditioning and heating equipment 
that is air-cooled with a cooling capacity less than 65,000 Btu/h: The 
seasonal energy efficiency ratio (SEER in British thermal units per 
Watt-hour (Btu/Wh)), the heating seasonal performance factor (HSPF in 
British thermal units per Watt-hour(Btu/Wh)) as necessary to meet the 
standards set forth in Sec. 431.97, and the cooling capacity in British 
thermal units per hour (Btu/h).
    (v) Package terminal air conditioners: The energy efficiency ratio 
(EER in British thermal units per Watt-hour (Btu/Wh)), the cooling 
capacity in British thermal units per hour (Btu/h), and the wall sleeve 
dimensions in inches (in).
    (vi) Package terminal heat pumps: The energy efficiency ratio (EER 
in British thermal units per Watt-hour (Btu/W-h)), the coefficient of 
performance (COP), the cooling capacity in British thermal units per 
hour (Btu/h), and the wall sleeve dimensions in inches (in).
    (vii) Single package vertical air conditioner: The energy efficiency 
ratio (EER in British thermal units per Watt-hour (Btu/Wh)) and the 
cooling

[[Page 177]]

capacity in British thermal units per hour (Btu/h).
    (viii) Single package vertical heat pumps: The energy efficiency 
ratio (EER in British thermal units per Watt-hour (Btu/Wh)), the 
coefficient of performance (COP), and the cooling capacity in British 
thermal units per hour (Btu/h).
    (c) Alternative methods for determining efficiency or energy use for 
commercial HVAC equipment can be found in Sec. 429.70 of this subpart.

[76 FR 12451, Mar. 7, 2011; 76 FR 24775, May 2, 2011]



Sec. 429.44  Commercial water heating equipment.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec. 429.11 are applicable to commercial WH equipment; 
and
    (2) For each basic model of commercial water heating (WH) equipment, 
efficiency must be determined either by testing, in accordance with 
applicable test procedures in Sec. Sec. 431.76, 431.86, 431.96, or 
431.106 and the provisions of this section, or by application of an 
alternative efficiency determination method (AEDM) that meets the 
requirements of Sec. 429.48 and the provisions of this section. For 
each basic model of commercial WH equipment, a sample of sufficient size 
shall be selected and tested to ensure that--
    (i) Any represented value of maximum standby loss or other measure 
of energy usage of a basic model for which consumers would favor lower 
values shall be greater than or equal to the higher of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.101
    

Or,

    (B) The upper 95 percent confidence limit (UCL) of the true mean 
divided by 1.05, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.074


and

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

[[Page 178]]

[GRAPHIC] [TIFF OMITTED] TR07MR11.103


Or,

    (B) The lower 95 percent confidence limit (LCL) of the true mean 
divided by 0.95, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.075

    (b) Certification reports. (1) The requirements of Sec. 429.12 are 
applicable to commercial WH equipment; and
    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following public product-specific information:
    (i) Commercial electric storage water heaters: The maximum standby 
loss in percent per hour (%/hr), and the measured storage volume in 
gallons (gal).
    (ii) Commercial gas-fired and oil-fired storage water heaters: The 
minimum thermal efficiency in percent (%), the maximum standby loss in 
British thermal units per hour (Btu/h), the rated storage volume in 
gallons (gal), the measured storage volume in gallons (gal) and the 
nameplate input rate in British thermal units per hour (Btu/h).
    (iii) Commercial gas-fired and oil-fired instantaneous water heaters 
greater than or equal to 10 gallons and gas-fired and oil-fired hot 
water supply boilers greater than or equal to 10 gallons: the minimum 
thermal efficiency in percent (%), the maximum standby loss in British 
thermal units per hour (Btu/h), the rated storage volume in gallons 
(gal), and the nameplate input rate in Btu/h.
    (iv) Commercial gas-fired and oil-fired instantaneous water heaters 
less than 10 gallons and gas-fired and oil-fired hot water supply 
boilers less than 10 gallons: the minimum thermal efficiency in percent 
(%) and the storage volume in gallons (g).
    (v) Commercial unfired hot water storage tanks: The minimum thermal 
insulation (i.e., R-value) and the measured storage volume in gallons 
(gal).
    (c) Alternative methods for determining efficiency or energy use for 
commercial WH equipment can be found in Sec. 429.70 of this subpart.

[76 FR 12451, Mar. 7, 2011; 76 FR 24776, May 2, 2011]



Sec. 429.45  Automatic commercial ice makers.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec. 429.11 are applicable to automatic commercial ice 
makers; and
    (2) For each basic model of automatic commercial ice maker selected 
for testing, a sample of sufficient size shall be randomly selected and 
tested to ensure that--

[[Page 179]]

    (i) Any represented value of maximum energy use or other measure of 
energy consumption of a basic model for which consumers would favor 
lower values shall be greater than or equal to the higher of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.105
    

Or,
    (B) The upper 95 percent confidence limit (UCL) of the true mean 
divided by 1.10, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.076


and
    (ii) Any represented value of the energy efficiency or other measure 
of energy consumption of a basic model for which consumers would favor 
higher values shall be less than or equal to the lower of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.107
    

Or,
    (B) The lower 95 percent confidence limit (LCL) of the true mean 
divided by 0.90, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.077


[[Page 180]]


    (b) Certification reports. (1) The requirements of Sec. 429.12 are 
applicable to automatic commercial ice makers; and
    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following public product-specific information: The maximum 
energy use in kilowatt hours per 100 pounds of ice (kWh/100 lbs ice), 
the maximum condenser water use in gallons per 100 pounds of ice (gal/
100 lbs ice), the harvest rate in pounds of ice per 24 hours (lbs ice/24 
hours), the type of cooling, and the equipment type.

[76 FR 12451, Mar. 7, 2011; 76 FR 24776, May 2, 2011]



Sec. 429.46  Commercial clothes washers.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec. 429.11 are applicable to commercial clothes 
washers; and
    (2) For each basic model of commercial clothes washers, a sample of 
sufficient size shall be randomly selected and tested to ensure that--
    (i) Any represented value of energy or water consumption or other 
measure of energy or water consumption of a basic model for which 
consumers would favor lower values shall be greater than or equal to the 
higher of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.109
    
    Or,
    (B) The upper 97\1/2\ percent confidence limit (UCL) of the true 
mean divided by 1.05, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.078


and
    (ii) Any represented value of the modified energy factor, water 
factor, or other measure of energy or water consumption of a basic model 
for which consumers would favor higher values shall be less than or 
equal to the lower of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.111
    
    Or,
    (B) The lower 97\1/2\ percent confidence limit (LCL) of the true 
mean divided by 0.95, where:

[[Page 181]]

[GRAPHIC] [TIFF OMITTED] TR02MY11.079

    (b) Certification reports. (1) The requirements of Sec. 429.12 are 
applicable to commercial clothes washers; and
    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following public product-specific information: The modified 
energy factor (MEF) in cubic feet per kilowatt hour per cycle (cu ft/
kWh/cycle) and the water factor in gallons per cubic feet per cycle 
(gal/cu ft/cycle) for units manufactured on or after January 8, 2013.

[76 FR 12451, Mar. 7, 2011; 76 FR 24777, May 2, 2011]



Sec. 429.47  Distribution transformers.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec. 429.11 are applicable to distribution 
transformers; and
    (2) For each basic model of distribution transformer, efficiency 
must be determined either by testing, in accordance with Sec. 431.193 
and the provisions of this section, or by application of an AEDM that 
meets the requirements of Sec. 429.70 and the provisions of this 
section.
    (i) For each basic model selected for testing:
    (A) If the manufacturer produces five or fewer units of a basic 
model over 6 months, each unit must be tested. A manufacturer may not 
use a basic model with a sample size of fewer than five units to 
substantiate an AEDM pursuant to Sec. 429.70.
    (B) If the manufacturer produces more than five units over 6 months, 
a sample of at least five units must be selected and tested.
    (ii) Any represented value of efficiency of a basic model must 
satisfy the condition:
[GRAPHIC] [TIFF OMITTED] TR07MR11.113

    (b) Certification reports. (1) The requirements of Sec. 429.12 are 
applicable to distribution transformers except that required information 
in paragraph (b) of this section may be reported by kVA grouping instead 
of by basic model and paragraph (b)(6) of this section does not apply; 
and
    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following public product-specific information: For the most 
and least efficient basic models within each ``kVA grouping'' for which 
part 431 prescribes an efficiency standard, the kVA rating, the 
insulation type (i.e., low-voltage dry-type, medium-voltage dry-type or 
liquid-immersed), the number of phases (i.e., single-phase or three-
phase), and the basic impulse insulation level (BIL) group rating (for 
medium-voltage dry-types).

[[Page 182]]

    (c) Alternative methods for determining efficiency or energy use for 
distribution transformers can be found in Sec. 429.70 of this subpart.
    (d) Kilovolt ampere (kVA) grouping. As used in this section, a ``kVA 
grouping'' is a group of basic models which all have the same kVA 
rating, have the same insulation type (i.e., low-voltage dry-type, 
medium-voltage dry-type or liquid-immersed), have the same number of 
phases (i.e., single-phase or three-phase), and, for medium-voltage dry-
types, have the same BIL group rating (i.e., 20-45 kV BIL, 46-95 kV BIL 
or greater than or equal to96 kV BIL).



Sec. 429.48  Illuminated exit signs.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec. 429.11 are applicable to illuminated exit signs; 
and
    (2) For each basic model of illuminated exit sign selected for 
testing, a sample of sufficient size shall be randomly selected and 
tested to ensure that--
    (i) Any represented value of input power demand or other measure of 
energy consumption of a basic model for which consumers would favor 
lower values shall be greater than or equal to the higher of:
    (A)The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.114
    

Or,

    (B) The upper 95 percent confidence limit (UCL) of the true mean 
divided by 1.10, where
[GRAPHIC] [TIFF OMITTED] TR02MY11.080


and

    (ii) Any represented value of the energy efficiency or other measure 
of energy consumption of a basic model for which consumers would favor 
higher values shall be less than or equal to the lower of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.116
    

Or,

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

[[Page 183]]

[GRAPHIC] [TIFF OMITTED] TR02MY11.081

    (b) Certification reports. (1) The requirements of Sec. 429.12 are 
applicable to illuminated exit signs; and
    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following public product-specific information: The input 
power demand in watts (W) and the number of faces.

[76 FR 12451, Mar. 7, 2011; 76 FR 24778, May 2, 2011]



Sec. 429.49  Traffic signal modules and pedestrian modules.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec. 429.11 are applicable to traffic signal modules 
and pedestrian modules; and
    (2) For each basic model of traffic signal module or pedestrian 
module selected for testing, a sample of sufficient size shall be 
randomly selected and tested to ensure that--
    (i) Any represented value of estimated maximum and nominal wattage 
or other measure of energy consumption of a basic model for which 
consumers would favor lower values shall be greater than or equal to the 
higher of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.118
    

Or,

    (B) The upper 95 percent confidence limit (UCL) of the true mean 
divided by 1.10, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.082


and

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

[[Page 184]]

[GRAPHIC] [TIFF OMITTED] TR07MR11.120


Or,

    (B) The lower 95 percent confidence limit (LCL) of the true mean 
divided by 0.90, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.083

    (b) Certification reports. (1) The requirements of Sec. 429.12 are 
applicable to traffic signal modules and pedestrian modules; and
    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following public product-specific information: The maximum 
wattage at 74 degrees Celsius ( [deg]C) in watts (W), the nominal 
wattage at 25 degrees Celsius ([deg]C) in watts (W), and the signal 
type.

[76 FR 12451, Mar. 7, 2011; 76 FR 24778, May 2, 2011]



Sec. 429.50  Commercial unit heaters.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec. 429.11 are applicable to commercial unit heaters; 
and
    (2) [Reserved]
    (b) Certification reports. (1) The requirements of Sec. 429.12 are 
applicable to commercial unit heaters; and
    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following public product-specific information: The type of 
ignition system and a declaration that the manufacturer has incorporated 
the applicable design requirements.



Sec. 429.51  Commercial pre-rinse spray valves.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec. 429.11 are applicable to commercial pre-rinse 
spray valves; and
    (2) For each basic model of commercial pre-rinse spray valves 
selected for testing, a sample of sufficient size shall be randomly 
selected and tested to ensure that--
    (i) Any represented value of water consumption or other measure of 
water consumption of a basic model for which consumers would favor lower 
values shall be greater than or equal to the higher of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.122
    

Or,


[[Page 185]]


    (B) The upper 95 percent confidence limit (UCL) of the true mean 
divided by 1.10, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.084


and

    (ii) Any represented value of the water efficiency or other measure 
of water consumption of a basic model for which consumers would favor 
higher values shall be less than or equal to the lower of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.124
    

Or,

    (B) The lower 95 percent confidence limit (LCL) of the true mean 
divided by 0.90, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.085

    (b) Certification reports. (1) The requirements of Sec. 429.12 are 
applicable to commercial pre-rinse spray valves; and
    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following public product-specific information: The flow rate 
in gallons per minute (gpm).

[76 FR 12451, Mar. 7, 2011; 76 FR 24779, May 2, 2011]



Sec. 429.52  Refrigerated bottled or canned beverage vending machines.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec. 429.11 are applicable to refrigerated bottled or 
canned beverage vending machine; and
    (2) For each basic model of refrigerated bottled or canned beverage 
vending machine selected for testing, a sample of sufficient size shall 
be randomly selected and tested to ensure that--

[[Page 186]]

    (i) Any represented value of energy consumption or other measure of 
energy consumption of a basic model for which consumers would favor 
lower values shall be greater than or equal to the higher of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.126
    

Or,

    (B) The upper 95 percent confidence limit (UCL) of the true mean 
divided by 1.10, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.086


and

    (ii) Any represented value of the energy efficiency or other measure 
of energy consumption of a basic model for which consumers would favor 
higher values shall be less than or equal to the lower of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.128
    

Or,

    (B) The lower 95 percent confidence limit (LCL) of the true mean 
divided by 0.90, where:
[GRAPHIC] [TIFF OMITTED] TR02MY11.087


[[Page 187]]


    (b) Certification reports. (1) The requirements of Sec. 429.12 are 
applicable to refrigerated bottled or canned beverage vending machine; 
and
    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following public product-specific information: The maximum 
average daily energy consumption in kilowatt hours per day (kWh/day), 
the refrigerated volume (V) in cubic feet (ft\3\) used to demonstrate 
compliance with standards set forth in Sec. 431.296, the ambient 
temperature in degrees Fahrenheit ([deg]F), and the ambient relative 
humidity in percent (%) during the test.

[76 FR 12451, Mar. 7, 2011; 76 FR 24779, May 2, 2011, as amended at 76 
FR 38292, June 30, 2011]



Sec. 429.53  Walk-in coolers and walk-in freezers.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec. 429.11 are applicable to walk-in coolers and 
freezers; and
    (2) [Reserved]
    (b) Certification reports. (1) Except that Sec. 429.12(b)(6) 
applies to the certified component, the requirements of Sec. 429.12 are 
applicable to manufacturers of the components of walk-in coolers and 
freezers (WICFs) listed in paragraph (b)(2) of this section, and;
    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following public product-specific information:
    (i) For WICF doors: The door type, R-value of the door insulation, 
and a declaration that the manufacturer has incorporated the applicable 
design requirements. In addition, for those WICFs with transparent 
reach-in doors and windows: The glass type of the doors and windows 
(e.g., double-pane with heat reflective treatment, triple-pane glass 
with gas fill), and the power draw of the antisweat heater in watts per 
square foot of door opening.
    (ii) For WICF panels: The R-value of the insulation (except for 
glazed portions of the doors or structural members)
    (iii) For WICF fan motors: The motor purpose (i.e., evaporator fan 
motor or condenser fan motor), the horsepower, and a declaration that 
the manufacturer has incorporated the applicable design requirements.

[76 FR 12451, Mar. 7, 2011, as amended at 76 FR 65365, Oct. 21, 2011]



Sec. 429.54  Metal halide lamp ballasts and fixtures.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec. 429.11 are applicable to metal halide lamp 
ballasts; and
    (2) For each basic model of metal halide lamp ballast selected for 
testing, a sample of sufficient size, not less than four, shall be 
selected at random and tested to ensure that:
    (i) Any represented value of estimated energy efficiency calculated 
as the measured output power to the lamp divided by the measured input 
power to the ballast (Pout/Pin), of a basic model 
is less than or equal to the lower of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.130
    

Or,

    (B) The lower 99-percent confidence limit (LCL) of the true mean 
divided by 0.99.
[GRAPHIC] [TIFF OMITTED] TR02AU11.090


[[Page 188]]


    And x is the sample mean; s is the sample standard deviation; n is 
the number of samples; and t0.99 is the t statistic for a 99% 
two-tailed confidence interval with n-1 degrees of freedom (from 
appendix A).
    (b) Certification reports. (1) The requirements of Sec. 429.12 are 
applicable to metal halide lamp ballasts; and
    (2) Pursuant to Sec. 429.12(b)(13), a certification report shall 
include the following public product-specific information: The minimum 
ballast efficiency in percent (%), the lamp wattage in watts (W), and 
the type of ballast (e.g., pulse-start, magnetic probe-start, and non-
pulse start electronic).

[76 FR 12451, Mar. 7, 2011; 76 FR 24780, May 2, 2011; 76 FR 46202, Aug. 
2, 2011]



Sec. 429.70  Alternative methods for determining energy efficiency 
or energy use.

    (a) General. A manufacturer of commercial HVAC and WH equipment, 
distribution transformers, and central air conditioners and heat pumps 
may not distribute any basic model of such equipment in commerce unless 
the manufacturer has determined the energy efficiency of the basic 
model, either from testing the basic model or from applying an 
alternative method for determining energy efficiency or energy use 
(AEDM) to the basic model, in accordance with the requirements of this 
section. In instances where a manufacturer has tested a basic model to 
validate the alternative method, the energy efficiency of that basic 
model must be determined and rated according to results from actual 
testing. In addition, a manufacturer may not knowingly use an AEDM to 
overrate the efficiency of a basic model. For each basic model of 
distribution transformer that has a configuration of windings that 
allows for more than one nominal rated voltage, the manufacturer must 
determine the basic model's efficiency either at the voltage at which 
the highest losses occur or at each voltage at which the transformer is 
rated to operate.
    (b) Testing. Testing for each covered product or covered equipment 
must be done in accordance with the sampling plan provisions established 
in Sec. Sec. 429.14 through 429.54 and the testing procedures in parts 
430 and 431.
    (c) Alternative efficiency determination method (AEDM) for 
commercial HVAC and WH equipment--(1) Criteria an AEDM must satisfy. A 
manufacturer may not apply an AEDM to a basic model to determine its 
efficiency pursuant to this section unless:
    (i) The AEDM is derived from a mathematical model that represents 
the energy consumption characteristics of the basic model;
    (ii) The AEDM is based on engineering or statistical analysis, 
computer simulation or modeling, or other analytic evaluation of 
performance data; and
    (iii) The manufacturer has substantiated the AEDM, in accordance 
with paragraph (c)(2) of this section.
    (2) Substantiation of an AEDM. Before using an AEDM, the 
manufacturer must substantiate and validate the AEDM as follows:
    (i) A manufacturer must first apply the AEDM to three or more basic 
models that have been tested in accordance with Sec. Sec. 431.173(b) 
and 431.175(a). The predicted efficiency calculated for each such basic 
model from application of the AEDM must be within five percent of the 
efficiency determined from testing that basic model, and the predicted 
efficiencies calculated for the tested basic models must, on average, be 
within one percent of the efficiencies determined from testing such 
basic models; and
    (ii) Using the AEDM, the manufacturer must calculate the efficiency 
of three or more of its basic models. They must be the manufacturer's 
highest-selling basic models to which the AEDM could apply and different 
models than those used to develop the AEDM (i.e., different models than 
those used in paragraph (c)(2)(i) of this section); and
    (iii) The manufacturer must test each of these basic models in 
accordance with Sec. 431.173(b), and either Sec. 431.174(b) or 
431.175(a), whichever is applicable; and
    (iv) The predicted efficiency calculated for each such basic model 
from application of the AEDM must be within five percent of the 
efficiency determined from testing that basic model,

[[Page 189]]

and the average of the predicted efficiencies calculated for the tested 
basic models must be within one percent of the average of the 
efficiencies determined from testing these basic models.
    (3) Subsequent verification of an AEDM. If a manufacturer has used 
an AEDM pursuant to this section,
    (i) The manufacturer must have available for inspection by the 
Department records showing:
    (A) The method or methods used;
    (B) The mathematical model, the engineering or statistical analysis, 
computer simulation or modeling, and other analytic evaluation of 
performance data on which the AEDM is based;
    (C) Complete test data, product information, and related information 
that the manufacturer generated or acquired under paragraph (c)(1) 
through (2) of this section; and
    (D) The calculations used to determine the average efficiency and 
energy consumption of each basic model to which an AEDM was applied.
    (ii) If requested by the Department, the manufacturer must perform 
at least one of the following:
    (A) Conduct simulations to predict the performance of particular 
basic models of the commercial HVAC and WH product;
    (B) Provide analyses of previous simulations conducted by the 
manufacturer;
    (C) Conduct sample testing of basic models selected by the 
Department; or
    (D) Conduct a combination of these.
    (d) Alternative efficiency determination method for distribution 
transformers--A manufacturer may use an AEDM to determine the efficiency 
of one or more of its untested basic models only if it determines the 
efficiency of at least five of its other basic models (selected in 
accordance with paragraph (d)(3) of this section) through actual 
testing.
    (1) Criteria an AEDM must satisfy.
    (i) The AEDM has been derived from a mathematical model that 
represents the electrical characteristics of that basic model;
    (ii) The AEDM is based on engineering and statistical analysis, 
computer simulation or modeling, or other analytic evaluation of 
performance data; and
    (iii) The manufacturer has substantiated the AEDM, in accordance 
with paragraph (d)(2) of this section, by applying it to, and testing, 
at least five other basic models of the same type, i.e., low-voltage 
dry-type distribution transformers, medium-voltage dry-type distribution 
transformers, or liquid-immersed distribution transformers.
    (2) Substantiation of an AEDM. Before using an AEDM, the 
manufacturer must substantiate the AEDM's accuracy and reliability as 
follows:
    (i) Apply the AEDM to at least five of the manufacturer's basic 
models that have been selected for testing in accordance with paragraph 
(d)(3) of this section, and calculate the power loss for each of these 
basic models;
    (ii) Test at least five units of each of these basic models in 
accordance with the applicable test procedure and Sec. 429.47, and 
determine the power loss for each of these basic models;
    (iii) The predicted total power loss for each of these basic models, 
calculated by applying the AEDM pursuant to paragraph (d)(2)(i) of this 
section, must be within plus or minus five percent of the mean total 
power loss determined from the testing of that basic model pursuant to 
paragraph (d)(2)(ii) of this section; and
    (iv) Calculate for each of these basic models the percentage that 
its power loss calculated pursuant to paragraph (d)(2)(i) of this 
section is of its power loss determined from testing pursuant to 
paragraph (d)(2)(ii) of this section, compute the average of these 
percentages, and that calculated average power loss, expressed as a 
percentage of the average power loss determined from testing, must be no 
less than 97 percent and no greater than 103 percent.
    (3) Additional testing requirements. (i) A manufacturer must select 
basic models for testing in accordance with the following criteria:
    (A) Two of the basic models must be among the five basic models with 
the highest unit volumes of production by the manufacturer in the prior 
year, or

[[Page 190]]

during the prior 12-calendar-month period beginning in 2003,\1\ 
whichever is later;
---------------------------------------------------------------------------

    \1\ When identifying these five basic models, any basic model that 
does not comply with Federal energy conservation standards for 
distribution transformers that may be in effect shall be excluded from 
consideration.
---------------------------------------------------------------------------

    (B) No two basic models should have the same combination of power 
and voltage ratings; and
    (C) At least one basic model should be single-phase and at least one 
should be three-phase.
    (ii) In any instance where it is impossible for a manufacturer to 
select basic models for testing in accordance with all of these 
criteria, the criteria shall be given priority in the order in which 
they are listed. Within the limits imposed by the criteria, basic models 
shall be selected randomly.
    (4) Subsequent verification of an AEDM. (i) Each manufacturer that 
has used an AEDM under this section shall have available for inspection 
by the Department of Energy records showing:
    (A) The method or methods used;
    (B) The mathematical model, the engineering or statistical analysis, 
computer simulation or modeling, and other analytic evaluation of 
performance data on which the AEDM is based;
    (C) Complete test data, product information, and related information 
that the manufacturer has generated or acquired pursuant to paragraph 
(d)(4) of this section; and
    (D) The calculations used to determine the efficiency and total 
power losses of each basic model to which the AEDM was applied.
    (ii) If requested by the Department, the manufacturer must perform 
at least one of the following:
    (A) Conduct simulations to predict the performance of particular 
basic models of distribution transformers specified by the Department;
    (B) Provide analyses of previous simulations conducted by the 
manufacturer;
    (C) Conduct sample testing of basic models selected by the 
Department; or
    (D) Conduct a combination of these.
    (e) Alternate Rating Method (ARM) for residential split-system 
central air conditioners and heat pumps--
    (1) Criteria an ARM must satisfy. The basis of the ARM referred to 
in Sec. 429.16(a)(2)(ii) for residential central air conditioners and 
heat pumps must be a representation of the test data and calculations of 
a mechanical vapor-compression refrigeration cycle. The major components 
in the refrigeration cycle must be modeled as ``fits'' to manufacturer 
performance data or by graphical or tabular performance data. Heat 
transfer characteristics of coils may be modeled as a function of face 
area, number of rows, fins per inch, refrigerant circuitry, air-flow 
rate and entering-air enthalpy. Additional performance-related 
characteristics to be considered may include type of expansion device, 
refrigerant flow rate through the expansion device, power of the indoor 
fan and cyclic-degradation coefficient. Ratings for untested 
combinations must be derived from the ratings of a combination tested in 
accordance with Sec. 429.16(a)(2)(i). The seasonal energy efficiency 
ratio (SEER) and/or heating seasonal performance factor (HSPF) ratings 
for an untested combination must be set equal to or less than the lower 
of the SEER and/or HSPF calculated using the applicable DOE-approved 
alternative rating method (ARM). If the method includes an ARM/
simulation adjustment factor(s), determine the value(s) of the 
factors(s) that yield the best match between the SEER/HSPF determined 
using the ARM versus the SEER/HSPF determined from testing in accordance 
with Sec. 429.16(a)(2)(i). Thereafter, apply the ARM using the derived 
adjustment factor(s) only when determining the ratings for untested 
combinations having the same outdoor unit.
    (2) Approval of an ARM. (i) Manufacturers who elect to use an ARM 
for determining measures of energy consumption under Sec. 
429.16(a)(2)(ii)(B)(1) and paragraph (e)(1) of this section must submit 
a request for DOE to review the ARM. Send the request to: U.S. 
Department of Energy, Office of Energy Efficiency and Renewable Energy, 
Building Technologies Program (EE-2J), Attention: Alternative Rating 
Methods (ARM) for Certification and Compliance, Forrestal Building, 1000 
Independence Avenue, SW., Washington, DC 20585-0121.

[[Page 191]]

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

[[Page 192]]

coil-only highest sales volume combination by more than 6 percent).
    (3) Changes to DOE's regulations requiring re-approval of an ARM. 
Manufacturers who elect to use an ARM for determining measures of energy 
consumption under Sec. 429.16(a)(2)(ii)(B)(1) and paragraph (e)(1) of 
this section must submit a request for DOE to review the ARM when:
    (i) DOE amends the energy conservation standards as specified in 
Sec. 430.32 for residential central air conditioners and heat pumps. In 
this case, any testing and evidence required under paragraph (e)(2) of 
this section shall be developed with units that meet the amended energy 
conservation standards specified in Sec. 430.32. Re-approval for the 
ARM must be obtained before the compliance date of amended energy 
conservation standards. (ii) DOE amends the test procedure for 
residential air conditioners and heat pumps as specified in appendix M 
to subpart B of part 430. Re-approval for the ARM must be obtained 
before the compliance date of amended test procedures.
    (4) Manufacturers that elect to use an ARM for determining measures 
of energy consumption under Sec. 429.16(a)(2)(ii)(B)(1) and paragraph 
(e)(1) of this section must regularly either subject a sample of their 
units to independent testing, e.g., through a voluntary certification 
program, in accordance with the applicable DOE test procedure, or have 
the representations reviewed by an independent state-registered 
professional engineer who is not an employee of the manufacturer. The 
manufacturer may continue to use the ARM only if the testing 
establishes, or the registered professional engineer certifies, that the 
results of the ARM accurately represent the energy consumption of the 
unit(s). Any proposed change to the alternative rating method must be 
approved by DOE prior to its use for rating.
    (5) Manufacturers who choose to use computer simulation or 
engineering analysis for determining measures of energy consumption 
under Sec. 429.16(a)(2)(ii)(B)(1) and paragraphs (e)(1) through (e)(4) 
of this section must permit representatives of the Department of Energy 
to inspect for verification purposes the simulation method(s) and 
computer program(s) used. This inspection may include conducting 
simulations to predict the performance of particular outdoor unit 
``indoor'' unit combinations specified by DOE, analysis of previous 
simulations conducted by the manufacturer, or both.

[76 FR 12451, Mar. 7, 2011; 76 FR 24780, May 2, 2011]



Sec. 429.71  Maintenance of records.

    (a) The manufacturer of any covered product or covered equipment 
shall establish, maintain, and retain the records of certification 
reports, of the underlying test data for all certification testing, and 
of any other testing conducted to satisfy the requirements of this part, 
part 430, and part 431. Any manufacturer who chooses to use an 
alternative method for determining energy efficiency or energy use in 
accordance with Sec. 429.70 must retain the records required by that 
section, any other records of any testing performed to support the use 
of the alternative method, and any certifications required by that 
section, on file for review by DOE for two years following the 
discontinuance of all models or combinations whose ratings were based on 
the alternative method.
    (b) Such records shall be organized and indexed in a fashion that 
makes them readily accessible for review by DOE upon request.
    (c) The records shall be retained by the manufacturer for a period 
of two years from the date that the manufacturer or third party 
submitter has notified DOE that the model has been discontinued in 
commerce.



   Sec. Appendix A to Subpart B of Part 429--Student's t-Distribution 
                    Values for Certification Testing

        Figure 1--t-Distribution Values for Certification Testing
                               [One-Sided]
------------------------------------------------------------------------
                                           Confidence Interval
   Degrees of freedom  (from   -----------------------------------------
          Appendix A)             90%      95%       97.5%        99%
------------------------------------------------------------------------
1.............................    3.078    6.314      12.71       31.82
2.............................    1.886    2.920       4.303       6.965
3.............................    1.638    2.353       3.182       4.541
4.............................    1.533    2.132       2.776       3.747

[[Page 193]]

 
5.............................    1.476    2.015       2.571       3.365
6.............................    1.440    1.943       2.447       3.143
7.............................    1.415    1.895       2.365       2.998
8.............................    1.397    1.860       2.306       2.896
9.............................    1.383    1.833       2.262       2.821
10............................    1.372    1.812       2.228       2.764
11............................    1.363    1.796       2.201       2.718
12............................    1.356    1.782       2.179       2.681
13............................    1.350    1.771       2.160       2.650
14............................    1.345    1.761       2.145       2.624
15............................    1.341    1.753       2.131       2.602
16............................    1.337    1.746       2.120       2.583
17............................    1.333    1.740       2.110       2.567
18............................    1.330    1.734       2.101       2.552
19............................    1.328    1.729       2.093       2.539
20............................    1.325    1.725       2.086       2.528
------------------------------------------------------------------------


[76 FR 12451, Mar. 7, 2011; 76 FR 24780, May 2, 2011]



                          Subpart C_Enforcement



Sec. 429.100  Purpose and scope.

    This subpart describes the enforcement authority of DOE to ensure 
compliance with the conservation standards and regulations.



Sec. 429.102  Prohibited acts subjecting persons to enforcement action.

    (a) Each of the following actions is prohibited:
    (1) Failure of a manufacturer to provide, maintain, permit access 
to, or copying of records required to be supplied under the Act and this 
part or failure to make reports or provide other information required to 
be supplied under the Act and this part, including but not limited to 
failure to properly certify covered products and covered equipment in 
accordance with Sec. 429.12 and Sec. Sec. 429.14 through 429.54;
    (2) Failure to test any covered product or covered equipment subject 
to an applicable energy conservation standard in conformance with the 
applicable test requirements prescribed in 10 CFR parts 430 or 431;
    (3) Deliberate use of controls or features in a covered product or 
covered equipment to circumvent the requirements of a test procedure and 
produce test results that are unrepresentative of a product's energy or 
water consumption if measured pursuant to DOE's required test procedure;
    (4) Failure of a manufacturer to supply at the manufacturer's 
expense a requested number of covered products or covered equipment to a 
designated test laboratory in accordance with a test notice issued by 
DOE;
    (5) Failure of a manufacturer to permit a DOE representative to 
observe any testing required by the Act and this part and inspect the 
results of such testing;
    (6) Distribution in commerce by a manufacturer or private labeler of 
any new covered product or covered equipment that is not in compliance 
with an applicable energy conservation standard prescribed under the 
Act;
    (7) Distribution in commerce by a manufacturer or private labeler of 
a basic model of covered product or covered equipment after a notice of 
noncompliance determination has been issued to the manufacturer or 
private labeler;
    (8) Knowing misrepresentation by a manufacturer or private labeler 
by certifying an energy use or efficiency rating of any covered product 
or covered equipment distributed in commerce in a manner that is not 
supported by test data;
    (9) For any manufacturer, distributor, retailer, or private labeler 
to distribute in commerce an adapter that--
    (i) Is designed to allow an incandescent lamp that does not have a 
medium screw base to be installed into a fixture or lamp holder with a 
medium screw base socket; and
    (ii) Is capable of being operated at a voltage range at least 
partially within 110 and 130 volts; or
    (10) For any manufacturer or private labeler to knowingly sell a 
product to a distributor, contractor, or dealer with knowledge that the 
entity routinely violates any regional standard applicable to the 
product.
    (b) When DOE has reason to believe that a manufacturer or private 
labeler has undertaken a prohibited act listed in paragraph (a) of this 
section, DOE may:
    (1) Issue a notice of noncompliance determination;

[[Page 194]]

    (2) Impose additional certification testing requirements;
    (3) Seek injunctive relief;
    (4) Assess a civil penalty for knowing violations; or
    (5) Undertake any combination of the above.



Sec. 429.104  Assessment testing.

    DOE may, at any time, test a basic model to assess whether the basic 
model is in compliance with the applicable energy conservation 
standard(s).



Sec. 429.106  Investigation of compliance.

    (a) DOE may initiate an investigation that a basic model may not be 
compliant with an applicable conservation standard, certification 
requirement or other regulation at any time.
    (b) DOE may, at any time, request any information relevant to 
determining compliance with any requirement under parts 429, 430 and 
431, including the data underlying certification of a basic model. Such 
data may be used by DOE to make a determination of compliance or 
noncompliance with an applicable standard.



Sec. 429.110  Enforcement testing.

    (a) General provisions. (1) If DOE has reason to believe that a 
basic model is not in compliance it may test for enforcement.
    (2) DOE will select and test units pursuant to paragraphs (c) and 
(e) of this section.
    (3) Testing will be conducted at a lab accredited to the 
International Organization for Standardization (ISO)/International 
Electrotechnical Commission (IEC), ``General requirements for the 
competence of testing and calibration laboratories,'' ISO/IEC 
17025:2005(E) (incorporated by reference; see Sec. 429.4). If testing 
cannot be completed at an independent lab, DOE, at its discretion, may 
allow enforcement testing at a manufacturer's lab, so long as the lab is 
accredited to ISO/IEC 17025:2005(E) and DOE representatives witness the 
testing.
    (b) Test notice. (1) To obtain units for enforcement testing to 
determine compliance with an applicable standard, DOE will issue a test 
notice addressed to the manufacturer in accordance with the following 
requirements:
    (i) DOE will send the test notice to the manufacturer's certifying 
official or other company official.
    (ii) The test notice will specify the basic model that will be 
selected for testing, the method of selecting the test sample, the 
maximum size of the sample and the size of the initial test sample, the 
dates at which testing is scheduled to be started and completed, and the 
facility at which testing will be conducted. The test notice may also 
provide for situations in which the selected basic model is unavailable 
for testing and may include alternative models or basic models.
    (iii) DOE will state in the test notice that it will select the 
units of a basic model to be tested from the manufacturer, from one or 
more distributors, and/or from one or more retailers. If any unit is 
selected from a distributor or retailer, the manufacturer shall make 
arrangements with the distributor or retailer for compensation for or 
replacement of any such units.
    (iv) DOE may require in the test notice that the manufacturer of a 
basic model ship or cause to be shipped from a retailer or distributor 
at its expense the requested number of units of a basic model specified 
in such test notice to the testing laboratory specified in the test 
notice. The manufacturer shall ship the specified initial test unit(s) 
of the basic model to the testing laboratory within 5 working days from 
the time units are selected.
    (v) If DOE determines that the units identified are low-volume or 
built-to-order products, DOE will contact the manufacturer to develop a 
plan for enforcement testing in lieu of paragraphs (ii)-(iv) of this 
section.
    (2) [Reserved]
    (c) Test unit selection. (1) To select units for testing from a:
    (i) Manufacturer's warehouse, distributor, or other facility 
affiliated with the manufacturer. DOE will select a batch sample at 
random in accordance with the provisions in paragraph (e) of this 
section and the conditions specified in the test notice. DOE will 
randomly select an initial test sample of units from the batch sample 
for testing in accordance with appendices A through C of this subpart. 
DOE will

[[Page 195]]

make a determination whether an alternative sample size will be used in 
accordance with the provisions in paragraph (e)(1)(iv) of this section.
    (ii) Retailer or other facility not affiliated with the 
manufacturer. DOE will select an initial test sample of units at random 
that satisfies the minimum units necessary for testing in accordance 
with the provisions in appendices A through C of this subpart and the 
conditions specified in the test notice. Depending on the results of the 
testing, DOE may select additional units for testing from a retailer in 
accordance with appendices A through C of this subpart. If the full 
sample is not available from a retailer, DOE will make a determination 
whether an alternative sample size will be used in accordance with the 
provisions in paragraph (e)(1)(iv) of this section.
    (2) Units tested in accordance with the applicable test procedure 
under this part by DOE or another Federal agency, pursuant to other 
provisions or programs, may count toward units in the test sample.
    (3) The resulting test data shall constitute official test data for 
the basic model. Such test data will be used by DOE to make a 
determination of compliance or noncompliance if a sufficient number of 
tests have been conducted to satisfy the requirements of paragraph (e) 
of this section and appendices A through C of this subpart.
    (d) Test unit preparation. (1) Prior to and during testing, a test 
unit selected for enforcement testing shall not be prepared, modified, 
or adjusted in any manner unless such preparation, modification, or 
adjustment is allowed by the applicable DOE test procedure. One test 
shall be conducted for each test unit in accordance with the applicable 
test procedures prescribed in parts 430 and 431.
    (2) No quality control, testing or assembly procedures shall be 
performed on a test unit, or any parts and subassemblies thereof, that 
is not performed during the production and assembly of all other units 
included in the basic model.
    (3) A test unit shall be considered defective if such unit is 
inoperative or is found to be in noncompliance due to failure of the 
unit to operate according to the manufacturer's design and operating 
instructions. Defective units, including those damaged due to shipping 
or handling, shall be reported immediately to DOE. DOE may authorize 
testing of an additional unit on a case-by-case basis.
    (e) Basic model compliance. (1) DOE will evaluate whether a basic 
model complies with the applicable energy conservation standard(s) based 
on testing conducted in accordance with the applicable test procedures 
specified in parts 430 and 431, and with the following statistical 
sampling procedures:
    (i) For products with applicable energy conservation standard(s) in 
Sec. 430.32, and commercial pre-rinse spray valves, illuminated exit 
signs, traffic signal modules and pedestrian modules, commercial clothes 
washers, and metal halide lamp ballasts, DOE will use a sample size of 
not more than 21 units and follow the sampling plans in appendix A of 
this subpart (Sampling for Enforcement Testing of Covered Consumer 
Products and Certain High-Volume Commercial Equipment).
    (ii) For automatic commercial ice makers; commercial refrigerators, 
freezers, and refrigerator-freezers; refrigerated bottled or canned 
vending machines; and commercial HVAC and WH equipment, DOE will use an 
initial sample size of not more than four units and follow the sampling 
plans in appendix B of this subpart (Sampling Plan for Enforcement 
Testing of Covered Equipment and Certain Low-Volume Covered Products). 
If fewer than four units of a basic model are available for testing when 
the manufacturer receives the notice, then:
    (A) DOE will test the available unit(s); or
    (B) If one or more other units of the basic model are expected to 
become available within 30 calendar days, DOE may instead, at its 
discretion, test either:
    (1) The available unit(s) and one or more of the other units that 
subsequently become available (up to a maximum of four); or
    (2) Up to four of the other units that subsequently become 
available.
    (iii) For distribution transformers, DOE will use an initial sample 
size of not more than five units and follow the

[[Page 196]]

sampling plans in appendix C of this subpart (Sampling Plan for 
Enforcement Testing of Distribution Transformers). If fewer than five 
units of a basic model are available for testing when the manufacturer 
receives the test notice, then:
    (A) DOE will test the available unit(s); or
    (B) If one or more other units of the basic model are expected to 
become available within 30 calendar days, the Department may instead, at 
its discretion, test either:
    (1) The available unit(s) and one or more of the other units that 
subsequently become available (up to a maximum of five); or
    (2) Up to five of the other units that subsequently become 
available.
    (iv) Notwithstanding paragraphs (e)(1)(i) through (e)(1)(iii) of 
this section, if testing of the available or subsequently available 
units of a basic model would be impractical, as for example when a basic 
model has unusual testing requirements or has limited production, DOE 
may in its discretion decide to base the determination of compliance on 
the testing of fewer than the otherwise required number of units.
    (v) When DOE makes a determination in accordance with section 
(e)(1)(iv) to test less than the number of units specified in parts 
(d)(1)(i) through (d)(1)(iii) of this section, DOE will base the 
compliance determination on the results of such testing in accordance 
with appendix B of this subpart (Sampling Plan for Enforcement Testing 
of Covered Equipment and Certain Low-Volume Covered Products) using a 
sample size (n1) equal to the number of units tested.
    (vi) For the purposes of paragraphs (e)(1)(i) through (e)(1)(v) of 
this section, available units are those that are available for 
distribution in commerce within the United States.



Sec. 429.114  Notice of noncompliance and notice to cease distribution
of a basic model.

    (a) In the event that DOE determines a basic model is noncompliant 
with an applicable energy conservation standard, or if a manufacturer or 
private labeler determines a basic model to be in noncompliance, DOE may 
issue a notice of noncompliance determination to the manufacturer or 
private labeler. This notice of noncompliance determination will notify 
the manufacturer or private labeler of its obligation to:
    (1) Immediately cease distribution in commerce of the basic model;
    (2) Give immediate written notification of the determination of 
noncompliance to all persons to whom the manufacturer has distributed 
units of the basic model manufactured since the date of the last 
determination of compliance; and
    (3) Provide DOE, within 30 calendar days of the request, records, 
reports and other documentation pertaining to the acquisition, ordering, 
storage, shipment, or sale of a basic model determined to be in 
noncompliance.
    (b) In the event that DOE determines a manufacturer has failed to 
comply with an applicable certification requirement with respect to a 
particular basic model, DOE may issue a notice of noncompliance 
determination to the manufacturer or private labeler. This notice of 
noncompliance determination will notify the manufacturer or private 
labeler of its obligation to:
    (1) Immediately cease distribution in commerce of the basic model;
    (2) Immediately comply with the applicable certification 
requirement; and/or
    (3) Provide DOE within 30 days of the request, records, reports and 
other documentation pertaining to the acquisition, ordering, storage, 
shipment, or sale of the basic model.
    (c) If a manufacturer or private labeler fails to comply with the 
required actions in the notice of noncompliance determination as set 
forth in paragraphs (a) or (b) of this section, the General Counsel (or 
delegee) may seek, among other remedies, injunctive action and civil 
penalties, where appropriate.
    (d) The manufacturer may modify a basic model determined to be 
noncompliant with an applicable energy conservation standard in such 
manner as to make it comply with the applicable standard. Such modified 
basic model shall then be treated as a new basic model and must be 
certified in accordance with the provisions of this

[[Page 197]]

part; except that in addition to satisfying all requirements of this 
part, any models within the basic model must be assigned new model 
numbers and the manufacturer shall also maintain, and provide upon 
request to DOE, records that demonstrate that modifications have been 
made to all units of the new basic model prior to distribution in 
commerce.



Sec. 429.116  Additional certification testing requirements.

    Pursuant to Sec. 429.102(b)(2), if DOE determines that independent, 
third-party testing is necessary to ensure a manufacturer's compliance 
with the rules of this part, part 430, or part 431, a manufacturer must 
base its certification of a basic model under subpart B of this part on 
independent, third-party laboratory testing.



Sec. 429.118  Injunctions.

    If DOE has reason to seek an injunction under the Act:
    (a) DOE will notify the manufacturer, private labeler or any other 
person as required, of the prohibited act at issue and DOE's intent to 
seek a judicial order enjoining the prohibited act unless the 
manufacturer, private labeler or other person, delivers to DOE within 15 
calendar days a corrective action and compliance plan, satisfactory to 
DOE, of the steps it will take to ensure that the prohibited act ceases. 
DOE will monitor the implementation of such plan.
    (b) If the manufacturer, private labeler or any other person as 
required, fails to cease engaging in the prohibited act or fails to 
provide a satisfactory corrective action and compliance plan, DOE may 
seek an injunction.



Sec. 429.120  Maximum civil penalty.

    Any person who knowingly violates any provision of Sec. 429.102(a) 
of this part may be subject to assessment of a civil penalty of no more 
than $200 for each violation. As to Sec. 429.102(a)(1) with respect to 
failure to certify, and as to Sec. 429.102(a)(2), (5) through (9), each 
unit of a covered product or covered equipment distributed in violation 
of such paragraph shall constitute a separate violation. For violations 
of Sec. 429.102(a)(1), (3), and (4), each day of noncompliance shall 
constitute a separate violation for each basic model at issue.



Sec. 429.122  Notice of proposed civil penalty.

    (a) The General Counsel (or delegee) shall provide notice of any 
proposed civil penalty.
    (b) The notice of proposed penalty shall:
    (1) Include the amount of the proposed penalty;
    (2) Include a statement of the material facts constituting the 
alleged violation; and
    (3) Inform the person of the opportunity to elect in writing within 
30 calendar days of receipt of the notice to have the procedures of 
Sec. 429.128 (in lieu of those of Sec. 429.126) apply with respect to 
the penalty.



Sec. 429.124  Election of procedures.

    (a) In responding to a notice of proposed civil penalty, the 
respondent may request:
    (1) An administrative hearing before an Administrative Law Judge 
(ALJ) under Sec. 429.126 of this part; or
    (2) Elect to have the procedures of Sec. 429.128 apply.
    (b) Any election to have the procedures of Sec. 429.128 apply may 
not be revoked except with the consent of the General Counsel (or 
delegee).
    (c) If the respondent fails to respond to a notice issued under 
Sec. 429.120 or otherwise fails to indicate its election of procedures, 
DOE shall refer the civil penalty action to an ALJ for a hearing under 
Sec. 429.126.



Sec. 429.126  Administrative law judge hearing and appeal.

    (a) When elected pursuant to Sec. 429.124, DOE shall refer a civil 
penalty action brought under Sec. 429.122 of this part to an ALJ, who 
shall afford the respondent an opportunity for an agency hearing on the 
record.
    (b) After consideration of all matters of record in the proceeding, 
the ALJ will issue a recommended decision, if appropriate, recommending 
a civil penalty. The decision will include a statement of the findings 
and conclusions, and the reasons therefore, on all material issues of 
fact, law, and discretion.

[[Page 198]]

    (c)(1) The General Counsel (or delegee) shall adopt, modify, or set 
aside the conclusions of law or discretion contained in the ALJ's 
recommended decision and shall set forth a final order assessing a civil 
penalty. The General Counsel (or delegee) shall include in the final 
order the ALJ's findings of fact and the reasons for the final agency 
actions.
    (2) Any person against whom a penalty is assessed under this section 
may, within 60 calendar days after the date of the final order assessing 
such penalty, institute an action in the United States Court of Appeals 
for the appropriate judicial circuit for judicial review of such order 
in accordance with chapter 7 of title 5, United States Code. The court 
shall have jurisdiction to enter a judgment affirming, modifying, or 
setting aside in whole or in part, the final order, or the court may 
remand the proceeding to the Department for such further action as the 
court may direct.



Sec. 429.128  Immediate issuance of order assessing civil penalty.

    (a) If the respondent elects to forgo an agency hearing pursuant to 
Sec. 429.124, the General Counsel (or delegee) shall issue an order 
assessing the civil penalty proposed in the notice of proposed penalty 
under Sec. 429.122, 30 calendar days after the respondent's receipt of 
the notice of proposed penalty.
    (b) If within 60 calendar days of receiving the assessment order in 
paragraph (a) of this section the respondent does not pay the civil 
penalty amount, DOE shall institute an action in the appropriate United 
States District Court for an order affirming the assessment of the civil 
penalty. The court shall have authority to review de novo the law and 
the facts involved and shall have jurisdiction to enter a judgment 
enforcing, modifying, and enforcing as so modified, or setting aside in 
whole or in part, such assessment.



Sec. 429.130  Collection of civil penalties.

    If any person fails to pay an assessment of a civil penalty after it 
has become a final and unappealable order under Sec. 429.126 or after 
the appropriate District Court has entered final judgment in favor of 
the Department under Sec. 429.128, the General Counsel (or delegee) 
shall institute an action to recover the amount of such penalty in any 
appropriate District Court of the United States. In such action, the 
validity and appropriateness of such final assessment order or judgment 
shall not be subject to review.



Sec. 429.132  Compromise and settlement.

    (a) DOE may compromise, modify, or remit, with or without 
conditions, any civil penalty (with leave of court if necessary).
    (b) In exercising its authority under paragraph (a) of this section, 
DOE may consider the nature and seriousness of the violation, the 
efforts of the respondent to remedy the violation in a timely manner, 
and other factors as justice may require.
    (c) DOE's authority to compromise, modify or remit a civil penalty 
may be exercised at any time prior to a final decision by the United 
States Court of Appeals if Sec. 429.126 procedures are utilized, or 
prior to a final decision by the United States District Court, if Sec. 
429.128 procedures are utilized.
    (d) Notwithstanding paragraph (a) of this section, DOE or the 
respondent may propose to settle the case. If a settlement is agreed to 
by the parties, the respondent is notified and the case is closed in 
accordance with the terms of the settlement.



Sec. Appendix A to Subpart C of Part 429--Sampling Plan for Enforcement 
Testing of Covered Consumer Products and Certain High-Volume Commercial 
                                Equipment

    (a) The first sample size (n1) for enforcement testing 
must be four or more units, except as provided by Sec. 429.57(e)(1)(i).
    (b) Compute the mean of the measured energy performance 
(x1) for all tests as follows:

[[Page 199]]

[GRAPHIC] [TIFF OMITTED] TR07MR11.132

    where xi is the measured energy or water efficiency or 
consumption from test i, and n1 is the total number of tests.
    (c) Compute the standard deviation (s1) of the measured 
energy performance from the n1 tests as follows:
[GRAPHIC] [TIFF OMITTED] TR07MR11.133

    (d) Compute the standard error (sx1) of the measured 
energy performance from the n1 tests as follows:
[GRAPHIC] [TIFF OMITTED] TR07MR11.134

    (e)(1) Compute the upper control limit (UCL1) and lower 
control limit (LCL1) for the mean of the first sample using 
the applicable DOE energy efficiency standard (EES) as the desired mean 
and a probability level of 95 percent (two-tailed test) as follows:

LCL1 EES -- ts X1 X
[GRAPHIC] [TIFF OMITTED] TR07MR11.135

where t is the statistic based on a 95 percent two-tailed probability 
level with degrees of freedom (n1-1).

    (2) For an energy efficiency or water efficiency standard, compare 
the mean of the first sample (x1) with the upper and lower 
control limits (UCL1 and LCL1) to determine one of 
the following:
    (i) If the mean of the first sample is below the lower control 
limit, then the basic model is in noncompliance and testing is at an 
end. (Do not go on to any of the steps below.)
    (ii) If the mean of the first sample is equal to or greater than the 
upper control limit, then the basic model is in compliance and testing 
is at an end. (Do not go on to any of the steps below.)
    (iii) If the sample mean is equal to or greater than the lower 
control limit but less than the upper control limit, then no 
determination of compliance or noncompliance can be made and a second 
sample size is determined by Step (e)(3).
    (3) For an energy efficiency or water efficiency standard, determine 
the second sample size (n2) as follows:

[[Page 200]]

[GRAPHIC] [TIFF OMITTED] TR07MR11.136

where s1 and t have the values used in equations 2 and 4, 
respectively. The term ``0.05 EES'' is the difference between the 
applicable energy efficiency or water efficiency standard and 95 percent 
of the standard, where 95 percent of the standard is taken as the lower 
control limit. This procedure yields a sufficient combined sample size 
(n1+n2) to give an estimated 97.5 percent 
probability of obtaining a determination of compliance when the true 
mean efficiency is equal to the applicable standard. Given the solution 
value of n2, determine one of the following:

    (i) If the value of n2 is less than or equal to zero and 
if the mean energy or water efficiency of the first sample 
(x1) is either equal to or greater than the lower control 
limit (LCL1) or equal to or greater than 95 percent of the 
applicable energy efficiency or water efficiency standard (EES), 
whichever is greater, i.e., if n2<= 0 and 
x1= max (LCL1, 0.95 EES), the basic 
model is in compliance and testing is at an end.
    (ii) If the value of n2 is less than or equal to zero and 
the mean energy efficiency of the first sample (x1) is less 
than the lower control limit (LCL1) or less than 95 percent 
of the applicable energy or water efficiency standard (EES), whichever 
is greater, i.e., if n2<= 0 and x1<= max 
(LCL1, 0.95 EES), the basic model is not in compliance and 
testing is at an end.
    (iii) If the value of n2 is greater than zero, then, the 
value of the second sample size is determined to be the smallest integer 
equal to or greater than the solution value of n2 for 
equation (6). If the value of n2 so calculated is greater 
than 21- n1, set n2 equal to 21- n1.
    (4) Compute the combined mean (x2) of the measured energy 
or water efficiency of the n1 and n2 units of the 
combined first and second samples as follows:
[GRAPHIC] [TIFF OMITTED] TR07MR11.137

    (5) Compute the standard error (Sx2) of the measured 
energy or water performance of the n1 and n2 units 
in the combined first and second samples as follows:
[GRAPHIC] [TIFF OMITTED] TR07MR11.138

    Note: s1 is the value obtained in Step (c).
    (6) For an energy efficiency standard (EES), compute the lower 
control limit (LCL2) for the mean of the combined first and 
second samples using the DOE EES as the desired mean and a one-tailed 
probability level of 97.5 percent (equivalent to the two-tailed 
probability level of 95 percent used in Step (e)(1)) as follows:
[GRAPHIC] [TIFF OMITTED] TR07MR11.139

where the t-statistic has the value obtained in Step (e)(1) and 
sx2 is the value obtained in Step (e)(5).

    (7) For an energy efficiency standard (EES), compare the combined 
sample mean (x2) to the lower control limit (LCL2) 
to determine one of the following:

[[Page 201]]

    (i) If the mean of the combined sample (x2) is less than 
the lower control limit (LCL2) or 95 percent of the 
applicable energy efficiency standard (EES), whichever is greater, i.e., 
if x2< max (LCL2, 0.95 EES), the basic model is 
not compliant and testing is at an end.
    (iii) If the mean of the combined sample (x2) is equal to 
or greater than the lower control limit (LCL2) or 95 percent 
of the applicable energy efficiency standard (EES), whichever is 
greater, i.e., if x2= max (LCL2, 0.95 
EES), the basic model is in compliance and testing is at an end.
    (f)(1) Compute the upper control limit (UCL1) and lower 
control limit (LCL1) for the mean of the first sample using 
the applicable DOE energy consumption standard (ECS) as the desired mean 
and a probability level of 95 percent (two-tailed test) as follows:
[GRAPHIC] [TIFF OMITTED] TR07MR11.140

where t is the statistic based on a 95 percent two-tailed probability 
level with degrees of freedom (n1 - 1).

    (2) For an energy or water consumption standard, compare the mean of 
the first sample (x1) with the upper and lower control limits 
(UCL1 and LCL1) to determine one of the following:
    (i) If the mean of the first sample is above the upper control 
limit, then the basic model is in noncompliance and testing is at an 
end. (Do not go on to any of the steps below.)
    (ii) If the mean of the first sample is equal to or less than the 
lower control limit, then the basic model is in compliance and testing 
is at an end. (Do not go on to any of the steps below.)
    (iii) If the sample mean is equal to or less than the upper control 
limit but greater than the lower control limit, then no determination of 
compliance or noncompliance can be made and a second sample size is 
determined by Step (f)(3).
    (3) For an Energy or Water Consumption Standard, determine the 
second sample size (n2) as follows:
[GRAPHIC] [TIFF OMITTED] TR07MR11.141

where s1and t have the values used in equations (2) and (10), 
respectively. The term ``0.05 ECS'' is the difference between the 
applicable energy or water consumption standard and 105 percent of the 
standard, where 105 percent of the standard is taken as the upper 
control limit. This procedure yields a sufficient combined sample size 
(n1 + n2) to give an estimated 97.5 percent 
probability of obtaining a determination of compliance when the true 
mean consumption is equal to the applicable standard. Given the solution 
value of n2, determine one of the following:

    (i) If the value of n2 is less than or equal to zero and 
if the mean energy or water consumption of the first sample 
(x1) is either equal to or less than the upper control limit 
(UCL1) or equal to or less than 105 percent of the applicable 
energy or water consumption standard (ECS), whichever is less, i.e., if 
n2 <= 0 and x1 <= min (UCL1, 1.05 ECS), 
the basic model is in compliance and testing is at an end.
    (ii) If the value of n2 is less than or equal to zero and 
the mean energy or water consumption of the first sample (x1) 
is greater than the upper control limit (UCL1) or more than 
105 percent of the applicable energy or water consumption standard 
(ECS), whichever is less, i.e., if n2 <= 0 and x1 
 min (UCL1, 1.05 EPS), the basic model is not 
compliant and testing is at an end.
    (iii) If the value of n2 is greater than zero, then the 
value of the second sample size is determined to be the smallest integer 
equal to or greater than the solution value of n2 for 
equation (11). If the value of n2 so calculated is greater 
than 21-n1, set n2 equal to 21-n1.
    (4) Compute the combined mean (x2) of the measured energy 
or water consumption of the n1 and n2 units of the 
combined first and second samples as follows:

[[Page 202]]

[GRAPHIC] [TIFF OMITTED] TR07MR11.142

    (5) Compute the standard error (Sx2) of the measured 
energy or water consumption of the n1 and n2 units 
in the combined first and second samples as follows:
[GRAPHIC] [TIFF OMITTED] TR07MR11.143

    Note: s1 is the value obtained in Step (c).
    (6) For an energy or water consumption standard (ECS), compute the 
upper control limit (UCL2) for the mean of the combined first 
and second samples using the DOE ECS as the desired mean and a one-
tailed probability level of 97.5 percent (equivalent to the two-tailed 
probability level of 95 percent used in Step (f)(1)) as follows:
[GRAPHIC] [TIFF OMITTED] TR07MR11.144

where the t-statistic has the value obtained in (f)(1).
    (7) For an energy or water consumption standard (ECS), compare the 
combined sample mean (x2) to the upper control limit 
(UCL2) to determine one of the following:
    (i) If the mean of the combined sample (x2) is greater 
than the upper control limit (UCL2) or 105 percent of the ECS 
whichever is less, i.e., if x2  min 
(UCL2, 1.05 ECS), the basic model is not compliant and 
testing is at an end.
    (ii) If the mean of the combined sample (x2) is equal to 
or less than the upper control limit (UCL2) or 105 percent of 
the applicable energy or water performance standard (ECS), whichever is 
less, i.e., if x 2<= min (UCL2, 1.05 ECS), the 
basic model is in compliance and testing is at an end.



Sec. Appendix B to Subpart C of Part 429--Sampling Plan for Enforcement 
  Testing of Covered Equipment and Certain Low-Volume Covered Products

    The Department will determine compliance as follows:
    (a) The first sample size (n1) must be four or more 
units, except as provided by Sec. 429.57(e)(1)(ii).
    (b) Compute the mean of the measured energy performance 
(x1) for all tests as follows:
[GRAPHIC] [TIFF OMITTED] TR07MR11.145

where xi is the measured energy efficiency or consumption 
from test i, and n1 is the total number of tests.

    (c) Compute the standard deviation (s1) of the measured 
energy performance from the n1 tests as follows:

[[Page 203]]

[GRAPHIC] [TIFF OMITTED] TR07MR11.146

    (d) Compute the standard error (sx1) of the measured 
energy performance from the n1 tests as follows:
[GRAPHIC] [TIFF OMITTED] TR07MR11.147

    (e)(1) For an energy efficiency standard (EES), determine the 
appropriate lower control limit (LCL1) according to:
[GRAPHIC] [TIFF OMITTED] TR07MR11.148

    And use whichever is greater. Where EES is the energy efficiency 
standard and t is a statistic based on a 97.5 percent, one-sided 
confidence limit and a sample size of n1.
    (2) For an energy consumption standard (ECS), determine the 
appropriate upper control limit (UCL1) according to:
[GRAPHIC] [TIFF OMITTED] TR07MR11.149

    And use whichever is less, where ECS is the energy consumption 
standard and t is a statistic based on a 97.5 percent, one-sided 
confidence limit and a sample size of n1.
    (f)(1) Compare the sample mean to the control limit.
    (i) The basic model is in compliance and testing is at an end if:

[[Page 204]]

    (A) For an energy or water efficiency standard, the sample mean is 
equal to or greater than the lower control limit, or
    (B) For an energy or water consumption standard, the sample mean is 
equal to or less than the upper control limit.



Sec. Appendix C to Subpart C of Part 429--Sampling Plan for Enforcement 
                  Testing of Distribution Transformers

    (a) When testing distribution transformers, the number of units in 
the sample (m1) shall be in accordance with Sec. 429.47(a) 
and DOE shall perform the following number of tests:
    (1) If DOE tests four or more units, it will test each unit once;
    (2) If DOE tests two or three units, it will test each unit twice; 
or
    (3) If DOE tests one unit, it will test that unit four times.
    (b) DOE shall determine compliance as follows:
    (1) Compute the mean (X1) of the measured energy 
performance of the n1 tests in the first sample as follows:
[GRAPHIC] [TIFF OMITTED] TR07MR11.150

where Xi is the measured efficiency of test i.
    (2) Compute the sample standard deviation (S1) of the 
measured efficiency of the n1 tests in the first sample as 
follows:
[GRAPHIC] [TIFF OMITTED] TR07MR11.151

    (3) Compute the standard error (SE(X1)) of the mean 
efficiency of the first sample as follows:
[GRAPHIC] [TIFF OMITTED] TR07MR11.152

    (4) Compute the sample size discount (SSD(m1)) as 
follows:
[GRAPHIC] [TIFF OMITTED] TR07MR11.153

where m1 is the number of units in the sample, and RE is the 
applicable DOE efficiency when the test is to determine compliance with 
the applicable energy conservation standard, or is the labeled 
efficiency when the test is to determine compliance with the labeled 
efficiency value.


[[Page 205]]


    (5) Compute the lower control limit (LCL1) for the mean 
of
[GRAPHIC] [TIFF OMITTED] TR02MY11.089


    (6) Compare the mean of the first sample (X1) with the 
lower control limit (LCL1) to determine one of the following:
    (i) If the mean of the first sample is below the lower control 
limit, then the basic model is not compliant and testing is at an end.
    (ii) If the mean is equal to or greater than the lower control 
limit, no final determination of compliance or noncompliance can be 
made; proceed to Step (7).
    (7) Determine the recommended sample size (n) as follows:
    [GRAPHIC] [TIFF OMITTED] TR07MR11.155
    
    Given the value of n, determine one of the following:
    (i) If the value of n is less than or equal to n1 and if 
the mean energy efficiency of the first sample (X1) is equal 
to or greater than the lower control limit (LCL1), the basic 
model is in compliance and testing is at an end.
    (ii) If the value of n is greater than n1, the basic 
model is not compliant. The size of a second sample n2 is 
determined to be the smallest integer equal to or greater than the 
difference n-n1. If the value of n2 so calculated 
is greater than 21-n1, set n2 equal to 21-
n1.
    (8) Compute the combined (X2) mean of the measured energy 
performance of the n1 and n2 units of the combined 
first and second samples as follows:
[GRAPHIC] [TIFF OMITTED] TR07MR11.156

    (9) Compute the standard error (SE(X2)) of the mean full-
load efficiency of the n1 and n2 units in the 
combined first and second samples as follows:
[GRAPHIC] [TIFF OMITTED] TR07MR11.157

    (Note that S1 is the value obtained above in (2).)
    (10) Set the lower control limit (LCL2) to,

[[Page 206]]

[GRAPHIC] [TIFF OMITTED] TR07MR11.158

where t has the value obtained in (5) and SSD(m1) is sample 
size discount determined in (4), and compare the combined sample mean 
(X2) to the lower control limit (LCL2) to 
determine one of the following:

    (i) If the mean of the combined sample (X2) is less than 
the lower control limit (LCL2), the basic model is not 
compliant and testing is at an end.
    (ii) If the mean of the combined sample (X2) is equal to 
or greater than the lower control limit (LCL2), the basic 
model is in compliance and testing is at an end.

[76 FR 12451, Mar. 7, 2011; 76 FR 24781, May 2, 2011]



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



                      Subpart A_General Provisions

Sec.
430.1 Purpose and scope.
430.2 Definitions.
430.3 Materials incorporated by reference.
430.4 Sources for information and guidance.

                        Subpart B_Test Procedures

430.21 Purpose and scope.
430.23 Test procedures for the measurement of energy and water 
          consumption.
430.24 [Reserved]
430.25 Laboratory Accreditation Program.
430.27 Petitions for waiver and applications for interim waiver.

Appendix A to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Electric Refrigerators and Electric 
          Refrigerator-Freezers
Appendix A1 to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Electric Refrigerators and Electric 
          Refrigerator-Freezers
Appendix B to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Freezers
Appendix B1 (Alternative) to Subpart B of Part 430--Uniform Test Method 
          for Measuring the Energy Consumption of Freezers
Appendix C to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Dishwashers
Appendix D to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Clothes Dryers
Appendix D1 to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Clothes Dryers
Appendix E to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Water Heaters
Appendix F to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Room Air Conditioners
Appendix G to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Unvented Home Heating Equipment
Appendix H to Subpart B of Part 430 [Reserved]
Appendix I to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Conventional Ranges, Conventional 
          Cooking Tops, Conventional Ovens, and Microwave Ovens
Appendix J to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Automatic and Semi-Automatic Clothes 
          Washers
Appendix J1 to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Automatic and Semi-Automatic Clothes 
          Washers
Appendixes K-L to Subpart B of Part 430 [Reserved]
Appendix M to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Central Air Conditioners
Appendix N to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Furnaces and Boilers
Appendix O to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Vented Home Heating Equipment
Appendix P to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Pool Heaters
Appendix Q to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Fluorescent Lamp Ballasts
Appendix Q1 to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Fluorescent Lamp Ballasts
Appendix R to Subpart B of Part 430--Uniform Test Method for Measuring 
          Average Lamp Efficacy (LE), Color Rendering Index (CRI), and 
          Correlated

[[Page 207]]

          Color Temperature (CCT) of Electric Lamps
Appendix S to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Water Consumption of Faucets and Showerheads
Appendix T to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Water Consumption of Water Closets and Urinals
Appendix U to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Ceiling Fans
Appendix V to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Ceiling Fan Light Kits
Appendix W to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Medium Base Compact Fluorescent 
          Lamps
Appendix X to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Dehumidifiers
Appendix Y to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of Battery Chargers
Appendix Z to Subpart B of Part 430--Uniform Test Method for Measuring 
          the Energy Consumption of External Power Supplies

            Subpart C_Energy and Water Conservation Standards

430.31 Purpose and scope.
430.32 Energy and water conservation standards and their effective 
          dates.
430.33 Preemption of State regulations.
430.34 Energy and water conservation standards amendments.
430.35 Petitions with respect to general service lamps.

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

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

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

                   Subpart E_Small Business Exemptions

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

Subpart F [Reserved]

430.60-430.75 [Reserved]

Appendices A-B to Subpart F of Part 430 [Reserved]

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

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



                      Subpart A_General Provisions



Sec. 430.1  Purpose and scope.

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

[62 FR 29237, May 29, 1997]



Sec. 430.2  Definitions.

    For purposes of this part, words shall be defined as provided for in 
section 321 of the Act and as follows--
    3-Way incandescent lamp means an incandescent lamp that--
    (1) Employs two filaments, operated separately and in combination, 
to provide three light levels; and
    (2) Is designated on the lamp packaging and marketing materials as 
being a 3-way incandescent lamp.
    Act means the Energy Policy and Conservation Act of 1975, as 
amended, 42 U.S.C. 6291-6316.
    Active mode means the condition in which an energy-using product--
    (1) Is connected to a main power source;
    (2) Has been activated; and
    (3) Provides one or more main functions.

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    Annual fuel utilization efficiency means the efficiency descriptor 
for furnaces and boilers, determined using test procedures prescribed 
under section 323 and based on the assumption that all--
    (a) Weatherized warm air furnaces or boilers are located out-of-
doors;
    (b) Warm air furnaces which are not weatherized are located indoors 
and all combustion and ventilation air is admitted through grill or 
ducts from the outdoors and does not communicate with air in the 
conditioned space;
    (c) Boilers which are not weatherized are located within the heated 
space.
    ANSI means the American National Standards Institute.
    Appliance lamp means any lamp that--
    (1) Is specifically designed to operate in a household appliance, 
has a maximum wattage of 40 watts, is sold at retail (including an oven 
lamp, refrigerator lamp, and vacuum cleaner lamp); and
    (2) Is designated and marketed for the intended application, with
    (i) The designation on the lamp packaging; and
    (ii) Marketing materials that identify the lamp as being for 
appliance use.
    ARM/simulation adjustment factor means a factor used as part of a 
DOE-approved alternative rating method (ARM) to improve the accuracy of 
the calculated ratings for untested split-system central air 
conditioners or heat pumps. The adjustment factor associated with each 
outdoor unit must be set such that it reduces the difference between the 
SEER (HSPF) determined using the ARM and a split-system combination 
tested in accordance with Sec. 430.24(m)(1). The ARM/simulation 
adjustment factor is an integral part of the ARM and must be a DOE-
approved element in accordance with 10 CFR 430.24(m)(4) to (m)(6).
    ASME means the American Society of Mechanical Engineers.
    Automatic clothes washer means a class of clothes washer which has a 
control system which is capable of scheduling a preselected combination 
of operations, such as regulation of water temperature, regulation of 
the water fill level, and performance of wash, rinse, drain, and spin 
functions without the need for user intervention subsequent to the 
initiation of machine operation. Some models may require user 
intervention to initiate these different segments of the cycle after the 
machine has begun operation, but they do not require the user to 
intervene to regulate the water temperature by adjusting the external 
water faucet valves.
    Ballast means a device used with an electric discharge lamp to 
obtain necessary circuit conditions (voltage, current, and waveform) for 
starting and operating.
    Ballast efficacy factor means the relative light output divided by 
the power input of a fluorescent lamp ballast, as measured under test 
conditions specified in ANSI Standard C82.2-1984.
    Baseboard electric heater means an electric heater which is intended 
to be recessed in or surface mounted on walls at floor level, which is 
characterized by long, low physical dimensions, and which transfers heat 
by natural convection and/or radiation.
    Basic model means all units of a given type of covered product (or 
class thereof) manufactured by one manufacturer, having the same primary 
energy source, and which have essentially identical electrical, 
physical, and functional (or hydraulic) characteristics that affect 
energy consumption, energy efficiency, water consumption, or water 
efficiency; and
    (1) With respect to general service fluorescent lamps, general 
service incandescent lamps, and incandescent reflector lamps: Lamps that 
have essentially identical light output and electrical characteristics--
including lumens per watt (lm/W) and color rendering index (CRI).
    (2) With respect to faucets and showerheads: Have the identical flow 
control mechanism attached to or installed within the fixture fittings, 
or the identical water-passage design features that use the same path of 
water in the highest flow mode.
    Batch means a collection of production units of a basic model from 
which a batch sample is selected.
    Batch sample means the collection of units of the same basic model 
from which test units are selected.

[[Page 209]]

    Batch sample size means the number of units in a batch sample.
    Batch size means the number of units in a batch.
    Battery charger means a device that charges batteries for consumer 
products, including battery chargers embedded in other consumer 
products.
    Blowout has the meaning given such a term in ASME A112.19.2M-1995. 
(see Sec. 430.22)
    BPAR incandescent reflector lamp means a reflector lamp as shown in 
figure C78.21-278 on page 32 of ANSI C78.21-2003 (incorporated by 
reference; see Sec. 430.3).
    BR30 means a BR incandescent reflector lamp with a diameter of 30/
8ths of an inch.
    BR40 means a BR incandescent reflector lamp with a diameter of 40/
8ths of an inch.
    BR incandescent reflector lamp means a reflector lamp that has--
    (1) A bulged section below the major diameter of the bulb and above 
the approximate baseline of the bulb, as shown in figure 1 (RB) on page 
7 of ANSI C79.1-1994, (incorporated by reference, see Sec. 430.3); and
    (2) A finished size and shape shown in ANSI C78.21-1989 
(incorporated by reference; see Sec. 430.3), including the referenced 
reflective characteristics in part 7 of ANSI C78.21-1989.
    BR incandescent reflector lamp means a reflector lamp that has a 
bulged section below the bulb's major diameter and above its approximate 
base line as shown in Figure 1 (RB) on page 7 of ANSI C79.1-1994. A BR30 
lamp has a lamp wattage of 85 or less than 66 and a BR40 lamp has a lamp 
wattage of 120 or less.
    Btu means British thermal unit, which is the quantity of heat 
required to raise the temperature of one pound of water one degree 
Fahrenheit.
    Built-in refrigerator/refrigerator-freezer/freezer means any 
refrigerator, refrigerator-freezer or freezer with 7.75 cubic feet or 
greater total volume and 24 inches or less depth not including doors, 
handles, and custom front panels; with sides which are not finished and 
not designed to be visible after installation; and that is designed, 
intended, and marketed exclusively (1) To be installed totally encased 
by cabinetry or panels that are attached during installation, (2) to be 
securely fastened to adjacent cabinetry, walls or floor, and (3) to 
either be equipped with an integral factory-finished face or accept a 
custom front panel.
    Candelabra base incandescent lamp means a lamp that uses a 
candelabra screw base as described in ANSI C81.61, Specifications for 
Electric Bases, common designations E11 and E12 (incorporated by 
reference; see Sec. 430.3).
    Casement-only means a room air conditioner designed for mounting in 
a casement window with an encased assembly with a width of 14.8 inches 
or less and a height of 11.2 inches or less.
    Casement-slider means a room air conditioner with an encased 
assembly designed for mounting in a sliding or casement window with a 
width of 15.5 inches or less.
    Ceiling electric heater means an electric heater which is intended 
to be recessed in, surface mounted on, or hung from a ceiling, and which 
transfers heat by radiation and/or convection (either natural or 
forced).
    Ceiling fan means a nonportable device that is suspended from a 
ceiling for circulating air via the rotation of fan blades.
    Ceiling fan light kit means equipment designed to provide light from 
a ceiling fan that can be--
    (1) Integral, such that the equipment is attached to the ceiling fan 
prior to the time of retail sale; or
    (2) Attachable, such that at the time of retail sale the equipment 
is not physically attached to the ceiling fan, but may be included 
inside the ceiling fan at the time of sale or sold separately for 
subsequent attachment to the fan.
    Central air conditioner means a product, other than a packaged 
terminal air conditioner, which is powered by single phase electric 
current, air cooled, rated below 65,000 Btu per hour, not contained 
within the same cabinet as a furnace, the rated capacity of which is 
above 225,000 Btu per hour, and is a heat pump or a cooling unit only.
    Central system humidifier means a class of humidifier designed to 
add moisture into the air stream of a heating system.
    Class A external power supply--

[[Page 210]]

    (1) Means a device that--
    (i) Is designed to convert line voltage AC input into lower voltage 
AC or DC output;
    (ii) Is able to convert to only one AC or DC output voltage at a 
time;
    (iii) Is sold with, or intended to be used with, a separate end-use 
product that constitutes the primary load;
    (iv) Is contained in a separate physical enclosure from the end-use 
product;
    (v) Is connected to the end-use product via a removable or hard-
wired male/female electrical connection, cable, cord, or other wiring; 
and
    (vi) Has nameplate output power that is less than or equal to 250 
watts;
    (2) But, does not include any device that--
    (i) Requires Federal Food and Drug Administration listing and 
approval as a medical device in accordance with section 513 of the 
Federal Food, Drug, and Cosmetic Act (21 U.S.C. 360(c)); or
    (ii) Powers the charger of a detachable battery pack or charges the 
battery of a product that is fully or primarily motor operated.
    Clothes washer means a consumer product designed to clean clothes, 
utilizing a water solution of soap and/or detergent and mechanical 
agitation or other movement, and must be one of the following classes: 
automatic clothes washers, semi-automatic clothes washers, and other 
clothes washers.
    Coil family means a group of coils with the same basic design 
features that affect the heat exchanger performance. These features are 
the basic configuration, i.e., A-shape, V-shape, slanted or flat top, 
the heat transfer surfaces on refrigerant and air sides (flat tubes vs. 
grooved tubes, fin shapes), the tube and fin materials, and the coil 
circuitry. When a group of coils has all these features in common, it 
constitutes a ``coil family.''
    Cold temperature fluorescent lamp means a fluorescent lamp 
specifically designed to start at -20 [deg]F when used with a ballast 
conforming to the requirements of ANSI C78.81 (incorporated by 
reference; see Sec. 430.3) and ANSI C78.901 (incorporated by reference; 
see Sec. 430.3), and is expressly designated as a cold temperature lamp 
both in markings on the lamp and in marketing materials, including 
catalogs, sales literature, and promotional material.
    Colored fluorescent lamp means a fluorescent lamp designated and 
marketed as a colored lamp and not designed or marketed for general 
illumination applications with either of the following characteristics:
    (1) A CRI less than 40, as determined according to the method set 
forth in CIE Publication 13.3 (incorporated by reference; see Sec. 
430.3); or
    (2) A correlated color temperature less than 2,500K or greater than 
7,000K as determined according to the method set forth in IESNA LM-9 
(incorporated by reference; see Sec. 430.3).
    Colored incandescent lamp means an incandescent lamp designated and 
marketed as a colored lamp that has--
    (1) A color rendering index of less than 50, as determined according 
to the test method given in CIE 13.3 (incorporated by reference; see 
Sec. 430.3); or
    (2) A correlated color temperature of less than 2,500K, or greater 
than 4,600K, where correlated temperature is computed according to the 
``Computation of Correlated Color Temperature and Distribution 
Temperature,'' Journal of the Optical Society of America, (incorporated 
by reference; see Sec. 430.3).
    Color Rendering Index or CRI means the measured degree of color 
shift objects undergo when illuminated by a light source as compared 
with the color of those same objects when illuminated by a reference 
source of comparable color temperature.
    Color television set means an electrical device designed to convert 
incoming broadcast signals into color television pictures and associated 
sound.
    Compact refrigerator/refrigerator-freezer/freezer means any 
refrigerator, refrigerator-freezer or freezer with total volume less 
than 7.75 cubic foot (220 liters) (rated volume as determined in 
appendices A1 and B1 of subpart B of this part before appendices A and B 
become mandatory and as determined in appendices A and B of this subpart 
once appendices A and B become mandatory (see the notes at the beginning 
of appendices A and B)).
    Condenser-evaporator coil combination means a condensing unit made 
by one

[[Page 211]]

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

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    (3) 120 V if the lamp is not marked with a voltage or voltage range.
    Detachable battery means a battery that is--
    (1) Contained in a separate enclosure from the product; and
    (2) Intended to be removed or disconnected from the product for 
recharging.
    Direct heating equipment means vented home heating equipment and 
unvented home heating equipment.
    Direct vent system means a system supplied by a manufacturer which 
provides outdoor air or air from an unheated space (such as an attic or 
crawl space) directly to a furnace or vented heater for combustion and 
for draft relief if the unit is equipped with a draft control device.
    Dishwasher means a cabinet-like appliance which with the aid of 
water and detergent, washes, rinses, and dries (when a drying process is 
included) dishware, glassware, eating utensils, and most cooking 
utensils by chemical, mechanical and/or electrical means and discharges 
to the plumbing drainage system.
    DOE means the Department of Energy.
    Electric boiler means an electrically powered furnace designed to 
supply low pressure steam or hot water for space heating application. A 
low pressure steam boiler operates at or below 15 pounds per square inch 
gauge (psig) steam pressure; a hot water boiler operates at or below 160 
psig water pressure and 250 [deg]F. water temperature.
    Electric central furnace means a furnace designed to supply heat 
through a system of ducts with air as the heating medium, in which heat 
is generated by one or more electric resistance heating elements and the 
heated air is circulated by means of a fan or blower.
    Electric clothes dryer means a cabinet-like appliance designed to 
dry fabrics in a tumble-type drum with forced air circulation. The heat 
source is electricity and the drum and blower(s) are driven by an 
electric motor(s).
    Electric heater means an electric appliance in which heat is 
generated from electrical energy and dissipated by convection and 
radiation and includes baseboard electric heaters, ceiling electric 
heaters, floor electric heaters, portable electric heaters, and wall 
electric heaters.
    Electric refrigerator means a cabinet designed for the refrigerated 
storage of food, designed to be capable of achieving storage 
temperatures above 32 [deg]F (0 [deg]C) and below 39 [deg]F (3.9 
[deg]C), and having a source of refrigeration requiring single phase, 
alternating current electric energy input only. An electric refrigerator 
may include a compartment for the freezing and storage of food at 
temperatures below 32 [deg]F (0 [deg]C), but does not provide a separate 
low temperature compartment designed for the freezing and storage of 
food at temperatures below 8 [deg]F (-13.3 [deg]C).
    Electric refrigerator-freezer means a cabinet which consists of two 
or more compartments with at least one of the compartments designed for 
the refrigerated storage of food and designed to be capable of achieving 
storage temperatures above 32 [deg]F (0 [deg]C) and below 39 [deg]F (3.9 
[deg]C), and with at least one of the compartments designed for the 
freezing and storage of food at temperatures below 8 [deg]F (-13.3 
[deg]C) which may be adjusted by the user to a temperature of 0 [deg]F 
(-17.8 [deg]C) or below. The source of refrigeration requires single 
phase, alternating current electric energy input only.
    Electromechanical hydraulic toilet means any water closet that 
utilizes electrically operated devices, such as, but not limited to, air 
compressors, pumps, solenoids, motors, or macerators in place of or to 
aid gravity in evacuating waste from the toilet bowl.
    Electronic ballast means a device that uses semiconductors as the 
primary means to control lamp starting and operation.
    Energy conservation standard means any standards meeting the 
definitions of that term in 42 U.S.C. 6291(6) and 42 U.S.C. 6311(18) as 
well as any other water conservation standards and design requirements 
found in this part or parts 430 or 431.
    Energy use of a type of consumer product which is used by households 
means the energy consumed by such product within housing units occupied 
by households (such as energy for space heating and cooling, water 
heating, the

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operation of appliances, or other activities of the households), and 
includes energy consumed on any property that is contiguous with a 
housing unit and that is used primarily by the household occupying the 
housing unit (such as energy for exterior lights or heating a pool).
    ER incandescent reflector lamp means a reflector lamp that has--
    (1) An elliptical section below the major diameter of the bulb and 
above the approximate baseline of the bulb, as shown in figure 1 (RE) on 
page 7 of ANSI C79.1-1994, (incorporated by reference; see Sec. 430.3); 
and
    (2) A finished size and shape shown in ANSI C78.21-1989, 
(incorporated by reference; see Sec. 430.3).
    ER30 means an ER incandescent reflector lamp with a diameter of 30/
8ths of an inch.
    ER40 means an ER incandescent reflector lamp with a diameter of 40/
8ths of an inch.
    Estimated annual operating cost means the aggregate retail cost of 
the energy which is likely to be consumed annually, and in the case of 
showerheads, faucets, water closets, and urinals, the aggregate retail 
cost of water and wastewater treatment services likely to be incurred 
annually, in representative use of a consumer product, determined in 
accordance with Section 323 of EPCA (42 U.S.C. 6293).
    Evaporator coil means a component of a central air conditioner which 
is designed to absorb heat from an enclosed space and transfer the heat 
to a refrigerant.
    External power supply means an external power supply circuit that is 
used to convert household electric current into DC current or lower-
voltage AC current to operate a consumer product.
    External power supply design family means a set of external power 
supply basic models, produced by the same manufacturer, which share the 
same circuit layout, output power, and output cord resistance, but 
differ in output voltage.
    Faucet means a lavatory faucet, kitchen faucet, metering faucet, or 
replacement aerator for a lavatory or kitchen faucet.
    Floor electric heater means an electric heater which is intended to 
be recessed in a floor, and which transfers by radiation and/or 
convection (either natural or forced).
    Fluorescent lamp means a low pressure mercury electric-discharge 
source in which a fluorescing coating transforms some of the ultraviolet 
energy generated by the mercury discharge into light, including only the 
following:
    (1) Any straight-shaped lamp (commonly referred to as 4-foot medium 
bipin lamps) with medium bipin bases of nominal overall length of 48 
inches and rated wattage of 25 or more;
    (2) Any U-shaped lamp (commonly referred to as 2-foot U-shaped 
lamps) with medium bipin bases of nominal overall length between 22 and 
25 inches and rated wattage of 25 or more;
    (3) Any rapid start lamp (commonly referred to as 8-foot high output 
lamps) with recessed double contact bases of nominal overall length of 
96 inches;
    (4) Any instant start lamp (commonly referred to as 8-foot slimline 
lamps) with single pin bases of nominal overall length of 96 inches and 
rated wattage of 52 or more;
    (5) Any straight-shaped lamp (commonly referred to as 4-foot 
miniature bipin standard output lamps) with miniature bipin bases of 
nominal overall length between 45 and 48 inches and rated wattage of 26 
or more; and
    (6) Any straight-shaped lamp (commonly referred to 4-foot miniature 
bipin high output lamps) with miniature bipin bases of nominal overall 
length between 45 and 48 inches and rated wattage of 49 or more.
    Fluorescent lamp ballast means a device which is used to start and 
operate fluorescent lamps by providing a starting voltage and current 
and limiting the current during normal operation.
    Flushometer tank means a device whose function is defined in 
flushometer valve, but integrated within an accumulator vessel affixed 
and adjacent to the fixture inlet so as to cause an effective 
enlargement of the supply line immediately before the unit.
    Flushometer valve means a valve attached to a pressurized water 
supply pipe and so designed that when actuated, it opens the line for 
direct flow into the fixture at a rate and quantity

[[Page 214]]

to properly operate the fixture, and then gradually closes to provide 
trap reseal in the fixture in order to avoid water hammer. The pipe to 
which this device is connected is in itself of sufficient size, that 
when open, will allow the device to deliver water at a sufficient rate 
of flow for flushing purposes.
    Forced air central furnace means a gas or oil burning furnace 
designed to supply heat through a system of ducts with air as the 
heating medium. The heat generated by combustion of gas or oil is 
transferred to the air within a casing by conduction through heat 
exchange surfaces and is circulated through the duct system by means of 
a fan or blower.
    Freezer means a cabinet designed as a unit for the freezing and 
storage of food at temperatures of 0 [deg]F. or below, and having a 
source of refrigeration requiring single phase, alternating current 
electric energy input only.
    Furnace means a product which utilizes only single-phase electric 
current, or single-phase electric current or DC current in conjunction 
with natural gas, propane, or home heating oil, and which--
    (a) Is designed to be the principal heating source for the living 
space of a residence;
    (b) Is not contained within the same cabinet with a central air 
conditioner whose rated cooling capacity is above 65,000 Btu per hour;
    (c) Is an electric central furnace, electric boiler, forced-air 
central furnace, gravity central furnace, or low pressure steam or hot 
water boiler; and
    (d) Has a heat input rate of less than 300,000 Btu per hour for 
electric boilers and low pressure steam or hot water boilers and less 
than 225,000 Btu per hour for forced-air central furnaces, gravity 
central furnaces, and electric central furnaces, gravity central 
furnaces, and electric central furnaces.
    Gas means either natural gas or propane.
    Gas clothes dryer means a cabinet-like appliance designed to dry 
fabrics in a tumble-type drum with forced air circulation. The heat 
source is gas and the drum and blower(s) are driven by an electric 
motor(s).
    General lighting application means lighting that provides an 
interior or exterior area with overall illumination.
    General service fluorescent lamp means any fluorescent lamp which 
can be used to satisfy the majority of fluorescent lighting 
applications, but does not include any lamp designed and marketed for 
the following nongeneral application:
    (1) Fluorescent lamps designed to promote plant growth;
    (2) Fluorescent lamps specifically designed for cold temperature 
applications;
    (3) Colored fluorescent lamps;
    (4) Impact-resistant fluorescent lamps;
    (5) Reflectorized or aperture lamps;
    (6) Fluorescent lamps designed for use in reprographic equipment;
    (7) Lamps primarily designed to produce radiation in the ultra-
violet region of the spectrum; and
    (8) Lamps with a Color Rendering Index of 87 or greater.
    General service incandescent lamp means a standard incandescent or 
halogen type lamp that is intended for general service applications; has 
a medium screw base; has a lumen range of not less than 310 lumens and 
not more than 2,600 lumens; and is capable of being operated at a 
voltage range at least partially within 110 and 130 volts; however this 
definition does not apply to the following incandescent lamps--
    (1) An appliance lamp;
    (2) A black light lamp;
    (3) A bug lamp;
    (4) A colored lamp;
    (5) An infrared lamp;
    (6) A left-hand thread lamp;
    (7) A marine lamp;
    (8) A marine signal service lamp;
    (9) A mine service lamp;
    (10) A plant light lamp;
    (11) A reflector lamp;
    (12) A rough service lamp;
    (13) A shatter-resistant lamp (including a shatter-proof lamp and a 
shatter-protected lamp);
    (14) A sign service lamp;
    (15) A silver bowl lamp;
    (16) A showcase lamp;
    (17) A 3-way incandescent lamp;
    (18) A traffic signal lamp;
    (19) A vibration service lamp;

[[Page 215]]

    (20) A G shape lamp (as defined in ANSI C78.20) (incorporated by 
reference; see Sec. 430.3) and ANSI C79.1-2002 (incorporated by 
reference; see Sec. 430.3) with a diameter of 5 inches or more;
    (21) A T shape lamp (as defined in ANSI C78.20) (incorporated by 
reference; see Sec. 430.3) and ANSI C79.1-2002 (incorporated by 
reference; see Sec. 430.3) and that uses not more than 40 watts or has 
a length of more than 10 inches; and
    (22) A B, BA, CA, F, G16-1/2, G-25, G30, S, or M-14 lamp (as defined 
in ANSI C79.1-2002) (incorporated by reference; see Sec. 430.3) and 
ANSI C78.20 (incorporated by reference; see Sec. 430.3) of 40 watts or 
less.
    General service lamp includes general service incandescent lamps, 
compact fluorescent lamps, general service light-emitting diode lamps, 
organic light-emitting diode lamps, and any other lamps that the 
Secretary determines are used to satisfy lighting applications 
traditionally served by general service incandescent lamps; however, 
this definition does not apply to any lighting application or bulb shape 
excluded from the ``general service incandescent lamp'' definition, or 
any general service fluorescent lamp or incandescent reflector lamp.
    Gravity central furnace means a gas fueled furnace which depends 
primarily on natural convection for circulation of heated air and which 
is designed to be used in conjunction with a system of ducts.
    Heat pump means a product, other than a packaged terminal heat pump, 
which consists of one or more assemblies, powered by single phase 
electric current, rated below 65,000 Btu per hour, utilizing an indoor 
conditioning coil, compressor, and refrigerant-to-outdoor air heat 
exchanger to provide air heating, and may also provide air cooling, 
dehumidifying, humidifying circulating, and air cleaning.
    Home heating equipment, not including furnaces means vented home 
heating equipment and unvented home heating equipment.
    Household means an entity consisting of either an individual, a 
family, or a group of unrelated individuals, who reside in a particular 
housing unit. For the purpose of this definition:
    (1) Group quarters means living quarters that are occupied by an 
institutional group of 10 or more unrelated persons, such as a nursing 
home, military barracks, halfway house, college dormitory, fraternity or 
sorority house, convent, shelter, jail or correctional institution.
    (2) Housing unit means a house, an apartment, a group of rooms, or a 
single room occupied as separate living quarters, but does not include 
group quarters.
    (3) Separate living quarters means living quarters:
    (i) To which the occupants have access either:
    (A) Directly from outside of the building, or
    (B) Through a common hall that is accessible to other living 
quarters and that does not go through someone else's living quarters, 
and
    (ii) Occupied by one or more persons who live and eat separately 
from occupant(s) of other living quarters, if any, in the same building.
    Immersed heating element means an electrically powered heating 
device which is designed to operate while totally immersed in water in 
such a manner that the heat generated by the device is imparted directly 
to the water.
    Import means to import into the customs territory of the United 
States.
    Incandescent lamp means a lamp in which light is produced by a 
filament heated to incandescence by an electric current, including only 
the following:
    (1) Any lamp (commonly referred to as lower wattage non-reflector 
general service lamps, including any tungsten halogen lamp) that has a 
rated wattage between 30 and 199, has an E26 medium screw base, has a 
rated voltage or voltage range that lies at least partially in the range 
of 115 and 130 volts, and is not a reflector lamp.
    (2) Any incandescent reflector lamp.
    (3) Any general service incandescent lamp (commonly referred to as a 
high-or higher-wattage lamp) that has a rated wattage above 199 (above 
205 for a high wattage reflector lamp).
    Incandescent reflector lamp (commonly referred to as a reflector 
lamp) means any lamp in which light is produced by a filament heated to 
incandescence by

[[Page 216]]

an electric current, which: is not colored or designed for rough or 
vibration service applications that contains an inner reflective coating 
on the outer bulb to direct the light; has an R, PAR, ER, BR, BPAR, or 
similar bulb shapes with an E26 medium screw base; has a rated voltage 
or voltage range that lies at least partially in the range of 115 and 
130 volts; has a diameter that exceeds 2.25 inches; and has a rated 
wattage that is 40 watts or higher.
    Indoor unit means a component of a split-system central air 
conditioner or heat pump that is designed to transfer heat between the 
refrigerant and the indoor air, and which consists of an indoor coil, a 
cooling mode expansion device, and may include an air moving device.
    Intermediate base incandescent lamp means a lamp that uses an 
intermediate screw base as described in ANSI C81.61, Specifications for 
Electric Bases, common designation E17 (incorporated by reference; see 
Sec. 430.3).
    Kerosene means No. 1 fuel oil with a viscosity meeting the 
specifications as specified in UL-730-1974, section 36.9 and in tables 2 
and 3 of ANSI Standard Z91.1-1972.
    Lamp Efficacy (LE) means the measured lumen output of a lamp in 
lumens divided by the measured lamp electrical power input in watts 
expressed in units of lumens per watt (LPW).
    Light-emitting diode or LED means a p-n junction solid state device 
of which the radiated output, either in the infrared region, the visible 
region, or the ultraviolet region, is a function of the physical 
construction, material used, and exciting current of the device.
    Low consumption has the meaning given such a term in ASME 
A112.19.2M-1995. (see Sec. 430.22)
    Low pressure steam or hot water boiler means an electric, gas or oil 
burning furnace designed to supply low pressure steam or hot water for 
space heating application. A low pressure steam boiler operates at or 
below 15 pounds psig steam pressure; a hot water boiler operates at or 
below 160 psig water pressure and 250 [deg]F. water temperature.
    LP-gas means liquified petroleum gas, and includes propane, butane, 
and propane/butane mixtures.
    Major cooking component means either a conventional cooking top, a 
conventional oven or a microwave oven.
    Manufacture means to manufacture, produce, assemble, or import.
    Manufacturer means any person who manufactures a consumer product.
    Medium base compact fluorescent lamp means an integrally ballasted 
fluorescent lamp with a medium screw base, a rated input voltage range 
of 115 to 130 volts and which is designed as a direct replacement for a 
general service incandescent lamp; however, the term does not include--
    (1) Any lamp that is--
    (i) Specifically designed to be used for special purpose 
applications; and
    (ii) Unlikely to be used in general purpose applications, such as 
the applications described in the definition of ``General Service 
Incandescent Lamp'' in this section; or
    (2) Any lamp not described in the definition of ``General Service 
Incandescent Lamp'' in this section that is excluded by the Secretary, 
by rule, because the lamp is--
    (i) Designed for special applications; and
    (ii) Unlikely to be used in general purpose applications.
    Medium screw base means an Edison screw base identified with the 
prefix E-26 in the ``American National Standard for Electric Lamp 
Bases'', ANSI--IEC C81.61-2003, published by the American National 
Standards Institute.
    Microwave/conventional range means a class of kitchen ranges and 
ovens which is a household cooking appliance consisting of a microwave 
oven, a conventional oven, and a conventional cooking top.
    Microwave oven means a class of kitchen ranges and ovens comprised 
of household cooking appliances consisting of a compartment designed to 
cook or heat food by means of microwave energy, including microwave 
ovens with or without thermal elements designed for surface browning of 
food and combination ovens.
    Mobile home furnace means a direct vent furnace that is designed for 
use only in mobile homes.
    Modified spectrum means, with respect to an incandescent lamp, an 
incandescent lamp that--

[[Page 217]]

    (1) Is not a colored incandescent lamp; and
    (2) When operated at the rated voltage and wattage of the 
incandescent lamp--
    (A) Has a color point with (x,y) chromaticity coordinates on the 
C.I.E. 1931 chromaticity diagram, figure 2, page 3 of IESNA LM-16 
(incorporated by reference; see Sec. 430.3) that lies below the black-
body locus; and
    (B) Has a color point with (x,y) chromaticity coordinates on the 
C.I.E. 1931 chromaticity diagram, figure 2, page 3 of IESNA LM-16 
(incorporated by reference; see Sec. 430.3) that lies at least 4 
MacAdam steps, as referenced in IESNA LM-16, distant from the color 
point of a clear lamp with the same filament and bulb shape, operated at 
the same rated voltage and wattage.
    Monochrome television set means an electrical device designed to 
convert incoming broadcast signals into monochrome television pictures 
and associated sound.
    Natural gas means natural gas as defined by the Federal Power 
Commission.
    Off mode means the condition in which an energy using product--
    (1) Is connected to a main power source; and
    (2) Is not providing any stand-by or active mode function.
    Oil means heating oil grade No. 2 as defined in American Society for 
Testing and Materials (ASTM) D396-71.
    Organic light-emitting diode or OLED means a thin-film light-
emitting device that typically consists of a series of organic layers 
between 2 electrical contacts (electrodes).
    Other clothes washer means a class of clothes washer which is not an 
automatic or semi-automatic clothes washer.
    Other cooking products means any class of cooking products other 
than the conventional range, conventional cooking top, conventional 
oven, microwave oven, and microwave/conventional range classes.
    Outdoor furnace or boiler is a furnace or boiler normally intended 
for installation out-of-doors or in an unheated space (such as an attic 
or a crawl space).
    Outdoor unit means a component of a split-system central air 
conditioner or heat pump that is designed to transfer heat between the 
refrigerant and the outdoor air, and which consists of an outdoor coil, 
compressor(s), an air moving device, and in addition for heat pumps, a 
heating mode expansion device, reversing valve, and defrost controls.
    Packaged terminal air conditioner means a wall sleeve and a separate 
unencased combination of heating and cooling assemblies specified by the 
builder and intended for mounting through the wall. It includes a prime 
source of refrigeration, separable outdoor louvers, forced ventilation, 
and heating availability energy.
    Packaged terminal heat pump means a packaged terminal air 
conditioner that utilizes reverse cycle refrigeration as its prime heat 
source and should have supplementary heating availability by builder's 
choice of energy.
    Person includes any individual, corporation, company, association, 
firm, partnership, society, trust, joint venture or joint stock company, 
the government, and any agency of the United States or any State or 
political subdivision thereof.
    Pin-based means (1) the base of a fluorescent lamp, that is not 
integrally ballasted and that has a plug-in lamp base, including multi-
tube, multibend, spiral, and circline types, or (2) a socket that holds 
such a lamp.
    Pool heater means an appliance designed for heating nonpotable water 
contained at atmospheric pressure, including heating water in swimming 
pools, spas, hot tubs and similar applications.
    Portable electric heater means an electric heater which is intended 
to stand unsupported, and can be moved from place to place within a 
structure. It is connected to electric supply by means of a cord and 
plug, and transfers heat by radiation and/or convention (either natural 
or forced).
    Primary heater means a heating device that is the principal source 
of heat for a structure and includes baseboard electric heaters, ceiling 
electric heaters, and wall electric heaters.
    Private labeler means an owner of a brand or trademark on the label 
of a

[[Page 218]]

consumer product which bears a private label. A consumer product bears a 
private label if:
    (1) Such product (or its container) is labeled with the brand or 
trademark of a person other than a manufacturer of such product;
    (2) The person with whose brand or trademark such product (or 
container) is labeled has authorized or caused such product to be so 
labeled; and
    (3) The brand or trademark of a manufacturer of such product does 
not appear on such label.
    Propane means a hydrocarbon whose chemical composition is 
predominantly C3H8, whether recovered from natural 
gas or crude oil.
    R20 incandescent reflector lamp means a reflector lamp that has a 
face diameter of approximately 2.5 inches, as shown in figure 1(R) on 
page 7 of ANSI C79.1-1994 (incorporated by reference; see Sec. 430.3).
    Rated voltage with respect to incandescent lamps means:
    (1) The design voltage if the design voltage is 115 V, 130 V or 
between 115V and 130 V:
    (2) 115 V if the design voltage is less than 115 V and greater than 
or equal to 100 V and the lamp can operate at 115 V; and
    (3) 130 V if the design voltage is greater than 130 V and less than 
or equal to 150 V and the lamp can operate at 130 V.
    Rated wattage means:
    (1) With respect to fluorescent lamps and general service 
fluorescent lamps:
    (i) If the lamp is listed in ANSI C78.81 (incorporated by reference; 
see Sec. 430.3) or ANSI C78.901 (incorporated by reference; see Sec. 
430.3), the rated wattage of a lamp determined by the lamp designation 
of Clause 11.1 of ANSI C78.81 or ANSI C78.901;
    (ii) If the lamp is a residential straight-shaped lamp, and not 
listed in ANSI C78.81 (incorporated by reference; see Sec. 430.3), the 
wattage of a lamp when operated on a reference ballast for which the 
lamp is designed; or
    (iii) If the lamp is neither listed in one of the ANSI standards 
referenced in (1)(i) of this definition, nor a residential straight-
shaped lamp, the electrical power of a lamp when measured according to 
the test procedures outlined in appendix R to subpart B of this part.
    (2) With respect to general service incandescent lamps and 
incandescent reflector lamps, the electrical power measured according to 
the test procedures outlined in appendix R to subpart B of this part.
    Refrigerator means an electric refrigerator.
    Refrigerator-freezer means an electric refrigerator-freezer.
    Replacement ballast means a ballast that--
    (1) Is designed for use to replace an existing fluorescent lamp 
ballast in a previously installed luminaire;
    (2) Is marked ``FOR REPLACEMENT USE ONLY'';
    (3) Is shipped by the manufacturer in packages containing not more 
than 10 fluorescent lamp ballasts; and
    (4) Has output leads that when fully extended are a total length 
that is less than the length of the lamp with which the ballast is 
intended to be operated.
    Residential straight-shaped lamp means a low pressure mercury 
electric-discharge source in which a fluorescing coating transforms some 
of the ultraviolet energy generated by the mercury discharge into light, 
including a straight-shaped fluorescent lamp with medium bi-pin bases of 
nominal overall length of 48 inches and is either designed exclusively 
for residential applications; or designed primarily and marketed 
exclusively for residential applications.
    (1) A lamp is designed exclusively for residential applications if 
it will not function for more than 100 hours with a commercial high-
power-factor ballast.
    (2) A lamp is designed primarily and marketed exclusively for 
residential applications if it:
    (i) Is permanently and clearly marked as being for residential use 
only;
    (ii) Has a life of 6,000 hours or less when used with a commercial 
high-power-factor ballast;
    (iii) Is not labeled or represented as a replacement for a 
fluorescent lamp that is a covered product; and
    (iv) Is marketed and distributed in a manner designed to minimize 
use of the lamp with commercial high-power-factor ballasts.

[[Page 219]]

    (3) A manufacturer may market and distribute a lamp in a manner 
designed to minimize use of the lamp with commercial high-power-factor 
ballasts by:
    (i) Packaging and labeling the lamp in a manner that clearly 
indicates the lamp is for residential use only and includes appropriate 
instructions concerning proper and improper use; if the lamp is included 
in a catalog or price list that also includes commercial/industrial 
lamps, listing the lamp in a separate residential section accompanied by 
notes about proper use on the same page; and providing as part of any 
express warranty accompanying the lamp that improper use voids such 
warranty; or
    (ii) Using other comparably effective measures to minimize use with 
commercial high-power-factor ballasts.
    Room air conditioner means a consumer product, other than a 
``packaged terminal air conditioner,'' which is powered by a single 
phase electric current and which is an encased assembly designed as a 
unit for mounting in a window or through the wall for the purpose of 
providing delivery of conditioned air to an enclosed space. It includes 
a prime source of refrigeration and may include a means for ventilating 
and heating.
    Rough or vibration service incandescent reflector lamp means a 
reflector lamp: in which a C-11 (5 support), C-17 (8 support), or C-22 
(16 support) filament is mounted (the number of support excludes lead 
wires); in which the filament configuration is as shown in Chapter 6 of 
the 1993 Illuminating Engineering Society of North America Lighting 
Handbook, 8th Edition (see 10 CFR 430.22); and that is designated and 
marketed specifically for rough or vibration service applications.
    Rough service lamp means a lamp that--
    (1) Has a minimum of 5 supports with filament configurations that 
are C-7A, C-11, C-17, and C-22 as listed in Figure 6-12 of the IESNA 
Lighting Handbook (incorporated by reference; see Sec. 430.3), or 
similar configurations where lead wires are not counted as supports; and
    (2) Is designated and marketed specifically for `rough service' 
applications, with
    (i) The designation appearing on the lamp packaging; and
    (ii) Marketing materials that identify the lamp as being for rough 
service.
    Secretary means the Secretary of the Department of Energy.
    Security or life safety alarm or surveillance system means:
    (1) Equipment designed and marketed to perform any of the following 
functions (on a continuous basis):
    (i) Monitor, detect, record, or provide notification of intrusion or 
access to real property or physical assets or notification of threats to 
life safety.
    (ii) Deter or control access to real property or physical assets, or 
prevent the unauthorized removal of physical assets.
    (iii) Monitor, detect, record, or provide notification of fire, gas, 
smoke, flooding, or other physical threats to real property, physical 
assets, or life safety.
    (2) This term does not include any product with a principal function 
other than life safety, security, or surveillance that:
    (i) Is designed and marketed with a built-in alarm or theft-
deterrent feature; or
    (ii) Does not operate necessarily and continuously in active mode.
    Semi-automatic clothes washer means a class of clothes washer that 
is the same as an automatic clothes washer except that user intervention 
is required to regulate the water temperature by adjusting the external 
water faucet valves.
    Shatter-resistant lamp, shatter-proof lamp, or shatter-protected 
lamp means a lamp that--
    (1) Has a coating or equivalent technology that is compliant with 
NSF/ANSI 51 (incorporated by reference; see Sec. 430.3) and is designed 
to contain the glass if the glass envelope of the lamp is broken; and
    (2) Is designated and marketed for the intended application, with
    (i) The designation on the lamp packaging; and
    (ii) Marketing materials that identify the lamp as being shatter-
resistant, shatter-proof, or shatter-protected.

[[Page 220]]

    Showerhead means any showerhead (including a hand held showerhead), 
except a safety shower showerhead.
    Small duct, high velocity system means a heating and cooling product 
that contains a blower and indoor coil combination that:
    (1) Is designed for, and produces, at least 1.2 inches of external 
static pressure when operated at the certified air volume rate of 220-
350 CFM per rated ton of cooling; and
    (2) When applied in the field, uses high velocity room outlets 
generally greater than 1000 fpm which have less than 6.0 square inches 
of free area.
    Space constrained product means a central air conditioner or heat 
pump:
    (1) That has rated cooling capacities no greater than 30,000 BTU/hr;
    (2) That has an outdoor or indoor unit having at least two overall 
exterior dimensions or an overall displacement that:
    (i) Is substantially smaller than those of other units that are:
    (A) Currently usually installed in site-built single family homes; 
and
    (B) Of a similar cooling, and, if a heat pump, heating capacity; and
    (ii) If increased, would certainly result in a considerable increase 
in the usual cost of installation or would certainly result in a 
significant loss in the utility of the product to the consumer; and
    (3) Of a product type that was available for purchase in the United 
States as of December 1, 2000.
    Specialty application mercury vapor lamp ballast means a mercury 
vapor lamp ballast that--
    (1) Is designed and marketed for operation of mercury vapor lamps 
used in quality inspection, industrial processing, or scientific use, 
including fluorescent microscopy and ultraviolet curing; and
    (2) In the case of a specialty application mercury vapor lamp 
ballast, the label of which--
    (i) Provides that the specialty application mercury vapor lamp 
ballast is `For specialty applications only, not for general 
illumination'; and
    (ii) Specifies the specific applications for which the ballast is 
designed.
    Standby mode means the condition in which an energy-using product--
    (1) Is connected to a main power source; and
    (2) Offers one or more of the following user-oriented or protective 
functions:
    (i) To facilitate the activation or deactivation of other functions 
(including active mode) by remote switch (including remote control), 
internal sensor, or timer; or
    (ii) Continuous functions, including information or status displays 
(including clocks) or sensor-based functions.
    State means a State, the District of Columbia, Puerto Rico, or any 
territory or possession of the United States.
    State regulation means a law or regulation of a State or political 
subdivision thereof.
    Supplementary heater means a heating device that provides heat to a 
space in addition to that which is supplied by a primary heater. 
Supplementary heaters include portable electric heaters.
    Surface unit means either a heating unit mounted in a cooking top, 
or a heating source and its associated heated area of the cooking top, 
on which vessels are placed for the cooking or heating of food.
    Television set means a color television set or a monochrome 
television set.
    Tested combination means a multi-split system with multiple indoor 
coils having the following features:
    (1) The basic model of a system used as a tested combination shall 
consist of one outdoor unit, with one or more compressors, that is 
matched with between 2 and 5 indoor units; for multi-split systems, each 
of these indoor units shall be designed for individual operation.
    (2) The indoor units shall--
    (i) Represent the highest sales model family, or another indoor 
model family if the highest sales model family does not provide 
sufficient capacity (see ii);
    (ii) Together, have a nominal capacity that is between 95% and 105% 
of the nominal capacity of the outdoor unit;
    (iii) Not, individually, have a capacity that is greater than 50% of 
the nominal capacity of the outdoor unit;
    (iv) Operate at fan speeds that are consistent with the 
manufacturer's specifications; and

[[Page 221]]

    (v) All be subject to the same minimum external static pressure 
requirement (i.e., 0 inches of water column for non-ducted, see Table 2 
in appendix M to subpart B of this part for ducted indoor units) while 
being configurable to produce the same static pressure at the exit of 
each outlet plenum when manifolded as per section 2.4.1 of appendix M.
    Through-the-wall air conditioner and heat pump means a central air 
conditioner or heat pump that is designed to be installed totally or 
partially within a fixed-size opening in an exterior wall, and:
    (1) Is manufactured prior to January 23, 2010;
    (2) Is not weatherized;
    (3) Is clearly and permanently marked for installation only through 
an exterior wall;
    (4) Has a rated cooling capacity no greater than 30,000 Btu/hr;
    (5) Exchanges all of its outdoor air across a single surface of the 
equipment cabinet; and
    (6) Has a combined outdoor air exchange area of less than 800 square 
inches (split systems) or less than 1,210 square inches (single packaged 
systems) as measured on the surface described in paragraph (5) of this 
definition.
    Torchiere means a portable electric lamp with a reflector bowl that 
directs light upward to give indirect illumination.
    Unvented gas heater means an unvented, self-contained, free-
standing, nonrecessed gas-burning appliance which furnishes warm air by 
gravity or fan circulation.
    Unvented home heating equipment means a class of home heating 
equipment, not including furnaces, used for the purpose of furnishing 
heat to a space proximate to such heater directly from the heater and 
without duct connections and includes electric heaters and unvented gas 
and oil heaters.
    Unvented oil heater means an unvented, self-contained, free-
standing, nonrecessed oil-burning appliance which furnishes warm air by 
gravity or fan circulation.
    Urinal means a plumbing fixture which receives only liquid body 
waste and, on demand, conveys the waste through a trap seal into a 
gravity drainage system, except such term does not include fixtures 
designed for installations in prisons.
    Vented floor furnace means a self-contained vented heater suspended 
from the floor of the space being heated, taking air for combustion from 
outside this space. The vented floor furnace supplies heated air 
circulated by gravity or by a fan directly into the space to be heated 
through openings in the casing.
    Vented hearth heater means a vented appliance which simulates a 
solid fuel fireplace and is designed to furnish warm air, with or 
without duct connections, to the space in which it is installed. The 
circulation of heated room air may be by gravity or mechanical means. A 
vented hearth heater may be freestanding, recessed, zero clearance, or a 
gas fireplace insert or stove. The following products are not subject to 
the energy conservation standards for vented hearth heaters:
    (1) Vented gas log sets and
    (2) Vented gas hearth products that meet all of the following four 
criteria:
    (i) Certified to ANSI Z21.50 (incorporated by reference; see Sec. 
430.3), but not to ANSI Z21.88 (incorporated by reference; see Sec. 
430.3);
    (ii) Sold without a thermostat and with a warranty provision 
expressly voiding all manufacturer warranties in the event the product 
is used with a thermostat;
    (iii) Expressly and conspicuously identified on its rating plate and 
in all manufacturer's advertising and product literature as a 
``Decorative Product: Not for use as a Heating Appliance''; and
    (iv) With respect to products sold after January 1, 2015, not 
equipped with a standing pilot light or other continuously-burning 
ignition source.
    Vented home heating equipment or vented heater means a class of home 
heating equipment, not including furnaces, designed to furnish warmed 
air to the living space of a residence, directly from the device, 
without duct connections (except that boots not to exceed 10 inches 
beyond the casing may be permitted and except for vented hearth heaters, 
which may be with or

[[Page 222]]

without duct connections) and includes: vented wall furnace, vented 
floor furnace, vented room heater, and vented hearth heater.
    Vented room heater means a self-contained, free standing, 
nonrecessed, vented heater for furnishing warmed air to the space in 
which it is installed. The vented room heater supplies heated air 
circulated by gravity or by a fan directly into the space to be heated 
through openings in the casing.
    Vented wall furnace means a self-contained vented heater complete 
with grilles or the equivalent, designed for incorporation in, or 
permanent attachment to, a wall of a residence and furnishing heated air 
circulated by gravity or by a fan directly into the space to be heated 
through openings in the casing.
    Vibration service lamp means a lamp that--
    (1) Has filament configurations that are C-5, C-7A, or C-9, as 
listed in Figure 6-12 of the IESNA Lighting Handbook (incorporated by 
reference; see Sec. 430.3) or similar configurations;
    (2) Has a maximum wattage of 60 watts;
    (3) Is sold at retail in packages of 2 lamps or less; and
    (4) Is designated and marketed specifically for vibration service or 
vibration-resistant applications, with--
    (i) The designation appearing on the lamp packaging; and
    (ii) Marketing materials that identify the lamp as being vibration 
service only.
    Voltage range means a band of operating voltages as marked on an 
incandescent lamp, indicating that the lamp is designed to operate at 
any voltage within the band.
    Wall electric heater means an electric heater (excluding baseboard 
electric heaters) which is intended to be recessed in or surface mounted 
on walls, which transfers heat by radiation and/or convection (either 
natural or forced) and which includes forced convectors, natural 
convectors, radiant heaters, high wall or valance heaters.
    Water closet means a plumbing fixture that has a water-containing 
receptor which receives liquid and solid body waste, and upon actuation, 
conveys the waste through an exposed integral trap seal into a gravity 
drainage system, except such term does not include fixtures designed for 
installation in prisons.
    Water heater means a product which utilizes oil, gas, or electricity 
to heat potable water for use outside the heater upon demand, 
including--
    (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.
    Water use means the quantity of water flowing through a showerhead, 
faucet, water closet, or urinal at point of use, determined in 
accordance with test procedures under appendices S and T of subpart B of 
this part.
    Weatherized warm air furnace or boiler means a furnace or boiler 
designed for installation outdoors, approved for resistance to wind, 
rain, and snow, and supplied with its own venting system.

[42 FR 27898, June 1, 1977]

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

    Effective Date Note: At 76 FR 70628, Nov. 14, 2011, Sec. 430.2 was 
amended by adding the definition of ``ballast luminous efficiency'' in 
alphabetical order, effective Jan. 13, 2012.

[[Page 223]]

For the convenience of the user, the added text is set forth as follows:



Sec. 430.2  Definitions.

                                * * * * *

    Ballast luminous efficiency means the total fluorescent lamp arc 
power divided by the fluorescent lamp ballast input power multiplied by 
the appropriate frequency adjustment factor, as defined in appendix Q1 
of subpart B of this part.

                                * * * * *



Sec. 430.3  Materials incorporated by reference.

    (a) General. We incorporate by reference the following standards 
into part 430. The material listed has been approved for incorporation 
by reference by the Director of the Federal Register in accordance with 
5 U.S.C. 552(a) and 1 CFR part 51. Any subsequent amendment to a 
standard by the standard-setting organization will not affect the DOE 
regulations unless and until amended by DOE. Material is incorporated as 
it exists on the date of the approval and a notice of any change in the 
material will be published in the Federal Register. All approved 
material is available for inspection at the National Archives and 
Records Administration (NARA). For information on the availability of 
this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html. Also, this material is available for inspection at U.S. 
Department of Energy, Office of Energy Efficiency and Renewable Energy, 
Building Technologies Program, 6th Floor, 950 L'Enfant Plaza, SW., 
Washington, DC 20024, (202) 586-2945, or go to: http://
www1.eere.energy.gov/buildings/appliance--standards/. Standards can be 
obtained from the sources below.
    (b) AHRI. Air-Conditioning, Heating, and Refrigeration Institute, 
2111 Wilson Blvd, Suite 500, Arlington, VA 22201, 703-524-8800, or go to 
http://www.ahrinet.org.
    (1) ARI 210/240-2006, Unitary Air-Conditioning and Air-Source Heat 
Pump Equipment, approved March 26, 1998, IBR approved for appendix M to 
subpart B.
    (2) [Reserved]
    (c) ANSI. American National Standards Institute, 25 W. 43rd Street, 
4th Floor, New York, NY 10036, 212-642-4900, or go to http://
www.ansi.org.
    (1) ANSI C78.3-1991 (``ANSI C78.3''), American National Standard for 
Fluorescent Lamps-Instant-start and Cold-Cathode Types-Dimensional and 
Electrical Characteristics, approved July 15, 1991; IBR approved for 
Sec. 430.32.
    (2) ANSI C78.20-2003, Revision of ANSI C78.20-1995 (``ANSI 
C78.20''), American National Standard for electric lamps--A, G, PS, and 
Similar Shapes with E26 Medium Screw Bases, approved October 30, 2003; 
IBR approved for Sec. 430.2.
    (3) ANSI C78.21-1989, American National Standard for Electric 
Lamps--PAR and R Shapes, approved March 3, 1989, IBR approved for Sec. 
430.2.
    (4) ANSI C78.21-2003, Revision of ANSI C78.21-1995 with all 
supplements, American National Standard for Electric Lamps--PAR and R 
Shapes, approved October 30, 2003, IBR approved for Sec. 430.2.
    (5) ANSI--IEC C78.81-2005, Revision of ANSI C78.81-2003 (``ANSI 
C78.81''), American National Standard for Electric Lamps--Double-Capped 
Fluorescent Lamps--Dimensional and Electrical Characteristics, approved 
August 11, 2005; IBR approved for Sec. 430.2, 430.32 and appendix R of 
subpart B.
    (6) ANSI--IEC C78.81-2010 (``ANSI C78.81-2010''), American National 
Standard for Electric Lamps--Double-Capped Fluorescent Lamps--
Dimensional and Electrical Characteristics, approved January 14, 2010; 
IBR approved for appendix Q and appendix Q1 to subpart B.
    (7) ANSI C78.375-1997, Revision of ANSI C78.375-1991 (``ANSI 
C78.375''), American National Standard for Fluorescent Lamps--Guide for 
Electrical Measurements, first edition, approved September 25, 1997; IBR 
approved for appendix Q, appendix Q1 and appendix R to subpart B.
    (8) ANSI--IEC C78.901-2005, Revision of ANSI C78.901-2001 (``ANSI 
C78.901''), American National Standard for Electric Lamps--Single-Based 
Fluorescent Lamps--Dimensional and Electrical Characteristics, approved 
March 23,

[[Page 224]]

2005; IBR approved for Sec. 430.2 and appendix R to subpart B.
    (9) ANSI C79.1-1994, American National Standard for Nomenclature for 
Glass Bulbs--Intended for Use with Electric Lamps, approved March 24, 
1994, IBR approved for Sec. 430.2.
    (10) ANSI C79.1-2002, American National Standard for Electric 
Lamps--Nomenclature for Glass Bulbs Intended for Use with Electric 
Lamps, approved September 16, 2002, IBR approved for Sec. 430.2.
    (11) ANSI--ANSLG-- C81.61-2006, Revision of ANSI C81.61-2005, 
(``ANSI C81.61''), American National Standard for electrical lamp 
bases--Specifications for Bases (Caps) for Electric Lamps, approved 
August 25, 2006, IBR approved for Sec. 430.2.
    (12) ANSI C82.1-2004, (``ANSI C82.1''), American National Standard 
for Lamp Ballast--Line Frequency Fluorescent Lamp Ballast, approved 
November 19, 2004; IBR approved for appendix Q and appendix Q1 to 
subpart B.
    (13) ANSI C82.2-2002, (``ANSI C82.2''), American National Standard 
for Lamp Ballasts--Method of Measurement of Fluorescent Ballasts, 
Approved June 6, 2002, IBR approved for appendix Q and appendix Q1 to 
subpart B.
    (14) ANSI C82.3-2002, Revision of ANSI C82.3-1983 (R 1995) (``ANSI 
C82.3''), American National Standard for Reference Ballasts for 
Fluorescent Lamps, approved September 4, 2002; IBR approved for appendix 
Q, appendix Q1 and appendix R to subpart B.
    (15) ANSI C82.11 Consolidated-2002, (``ANSI C82.11''), American 
National Standard for Lamp Ballasts--High-frequency Fluorescent Lamp 
Ballasts--Supplements, approved March 11, 1999, August 5, 1999 and 
January 17, 2002; IBR approved for appendix Q and appendix Q1 to subpart 
B.
    (16) ANSI C82.13-2002 (``ANSI C82.13''), American National Standard 
for Lamp Ballasts--Definitions for Fluorescent Lamps and Ballasts, 
approved July 23, 2002; IBR approved for appendix Q and appendix Q1 to 
subpart B.
    (17) ANSI Z21.56-1994, Gas-Fired Pool Heaters, section 2.9, approved 
December 5, 1994, IBR approved for appendix P to subpart B.
    (18) ANSI Z21.50-2007 (CSA 2.22-2007), (``ANSI Z21.50''), Vented Gas 
Fireplaces, Fifth Edition, Approved February 22, 2007, IBR approved for 
Sec. 430.2.
    (19) ANSI Z21.88-2009 (CSA 2.33-2009), (``ANSI Z21.88''), Vented Gas 
Fireplace Heaters, Fifth Edition, Approved March 26, 2009, IBR approved 
for Sec. 430.2.
    (d) [Reserved]
    (e) ASHRAE. American Society of Heating, Refrigerating and Air-
Conditioning Engineers, Inc., Publication Sales, 1791 Tullie Circle, 
NE., Atlanta, GA 30329, 800-527-4723 or 404-636-8400, or go to http://
www.ashrae.org.
    (1) ANSI/ASHRAE Standard 16-1983 (``ANSI/ASHRAE 16'') (RA 2009), 
(Reaffirmation of ANSI/ASHRAE Standard 16-1983 [RA 1999]), Method of 
Testing for Rating Room Air Conditioners and Packaged Terminal Air 
Conditioners, ASHRAE approved October 18, 1988, and reaffirmed June 20, 
2009. ANSI approved October 20, 1998 and reaffirmed June 25, 2009. IBR 
approved for appendix F to subpart B.
    (2) ASHRAE 23-2005, Methods of Testing for Rating Positive 
Displacement Refrigerant Compressors and Condensing Units, approved 
February 10, 2005, IBR approved for appendix M to subpart B.
    (3) ASHRAE 37-2005, Methods of Testing for Rating Unitary Air-
Conditioning and Heat Pump Equipment, approved March 11, 2005, IBR 
approved for appendix M to subpart B.
    (4) ASHRAE 41.1-1986 (Reaffirmed 2001), Standard Method for 
Temperature Measurement, approved February 18, 1987, IBR approved for 
appendix E and appendix M to subpart B.
    (5) ASHRAE 41.2-1987 (Reaffirmed 1992), Standard Methods for 
Laboratory Airflow Measurement, approved October 1, 1987, IBR approved 
for appendix M to subpart B.
    (6) ASHRAE 41.6-1994 (Reaffirmed 2001), Standard Method for 
Measurement of Moist Air Properties, approved August 30, 1994, IBR 
approved for appendix M to subpart B.
    (7) ASHRAE 41.9-2000, Calorimeter Test Methods for Mass Flow 
Measurements of Volatile Refrigerants, approved October 6, 2000, IBR 
approved for appendix M to subpart B.
    (8) ASHRAE/AMCA 51-1999/210-1999, Laboratory Methods of Testing Fans 
for Aerodynamic Performance Rating,

[[Page 225]]

approved December 2, 1999, IBR approved for appendix M to subpart B.
    (9) ASHRAE 103-1993, Methods of Testing for Annual Fuel Utilization 
Efficiency of Residential Central Furnaces and Boilers, (with Errata of 
October 24, 1996) except for sections 3.0, 7.2.2.5, 8.6.1.1, 9.1.2.2, 
9.5.1.1, 9.5.1.2.1, 9.5.1.2.2, 9.5.2.1, 9.7.1, 10.0, 11.2.12, 11.3.12, 
11.4.12, 11.5.12 and appendices B and C, approved October 4, 1993, IBR 
approved for Sec. 430.23 and appendix N to subpart B.
    (10) ASHRAE 116-1995 (RA 2005), Methods of Testing for Rating 
Seasonal Efficiency of Unitary Air Conditioners and Heat Pumps, approved 
July 24, 1995, IBR approved for appendix M to subpart B.
    (f) ASME. American Society of Mechanical Engineers, Service Center, 
22 Law Drive, P.O. Box 2900, Fairfield, NJ 07007, 973-882-1170, or go to 
http://www.asme.org.
    (1) ASME/ANSI A112.18.1M-1996, Plumbing Fixture Fittings, approved 
April 4, 1996, IBR approved for appendix S to subpart B.
    (2) ASME/ANSI A112.19.6-1995, Hydraulic Requirements for Water 
Closets and Urinals, approved April 6, 1995, IBR approved for Sec. 
430.2 and appendix T to subpart B.
    (g) AHAM. Association of Home Appliance Manufacturers, 1111 19th 
Street, NW., Suite 402, Washington, DC 20036, 202-872-5955, or go to 
http://www.aham.org.
    (1) ANSI/AHAM DW-1-1992, American National Standard, Household 
Electric Dishwashers, approved February 6, 1992, IBR approved for 
appendix C to subpart B and Sec. 430.32.
    (2) AHAM HLD-1-2009 (``AHAM HLD-1''), Household Tumble Type Clothes 
Dryers, (2009), IBR approved for appendix D1 to subpart B.
    (3) ANSI/AHAM HRF-1-1979, (Revision of ANSI B38.1-1970), (``HRF-1-
1979''), American National Standard, Household Refrigerators, 
Combination Refrigerator-Freezers and Household Freezers, approved May 
17, 1979, IBR approved for appendices A1 and B1 to subpart B.
    (4) AHAM HRF-1-2008, (``HRF-1-2008''), Association of Home Appliance 
Manufacturers, Energy and Internal Volume of Refrigerating Appliances 
(2008), including Errata to Energy and Internal Volume of Refrigerating 
Appliances, Correction Sheet issued November 17, 2009, IBR approved for 
appendices A and B to subpart B.
    (5) ANSI/AHAM RAC-1-2008 (``ANSI/AHAM RAC-1''), Room Air 
Conditioners, (2008; ANSI approved July 7, 2008), IBR approved for 
appendix F to subpart B.
    (h) CEC. California Energy Commission, 1516 Ninth Street, MS-25, 
Sacramento, CA 95814, 916-654-4091, or go to http://www.energy.ca.gov.
    (1) CEC Test Method for Calculating the Energy Efficiency of Single-
Voltage External Ac-Dc and Ac-Ac Power Supplies, August 11, 2004, IBR 
approved for appendix Z to subpart B.
    (2) [Reserved]
    (i) CIE. Commission Internationale de l'Eclairage (CIE), Central 
Bureau, Kegelgasse 27, A-1030, Vienna, Austria, 011+43 1 714 31 87 0, or 
go to http://www.cie.co.at.
    (1) CIE 13.3-1995 (``CIE 13.3''), Technical Report: Method of 
Measuring and Specifying Colour Rendering Properties of Light Sources, 
1995, ISBN 3 900 734 57 7; IBR approved for Sec. 430.2 and appendix R 
to subpart B.
    (2) CIE 15:2004 (``CIE 15''), Technical Report: Colorimetry, 3rd 
edition, 2004, ISBN 978 3 901906 33 6; IBR approved for appendix R to 
subpart B.
    (j) Environmental Protection Agency (EPA), ENERGY STAR documents 
published by the Environmental Protection Agency are available online at 
http://www.energystar.gov or by contacting the Energy Star hotline at 1-
888-782-7937.
    (1) ENERGY STAR Testing Facility Guidance Manual: Building a Testing 
Facility and Performing the Solid State Test Method for ENERGY STAR 
Qualified Ceiling Fans, Version 1.1, approved December 9, 2002, IBR 
approved for appendix U to subpart B.
    (2) ENERGY STAR Program Requirements for Residential Light Fixtures, 
Version 4.0, approved January 10, 2005, IBR approved for appendix V to 
subpart B.
    (3) ENERGY STAR Program Requirements for Dehumidifiers, approved 
January 1, 2001, IBR approved for appendix X to subpart B.
    (4) Energy Star Program Requirements for Single Voltage External Ac-

[[Page 226]]

Dc and Ac-Ac Power Supplies, Eligibility Criteria (Version 2.0), 
effective date for EPS Manufacturers November 1, 2008, IBR approved for 
subpart C, Sec. 430.32.
    (5) Test Methodology for Determining the Energy Performance of 
Battery Charging Systems, approved December 2005, IBR approved for 
appendix Y to subpart B.
    (k) IESNA. Illuminating Engineering Society of North America, 120 
Wall Street, Floor 17, New York, NY 10005-4001, 212-248-5000, or go to 
http://www.iesna.org.
    (1) The IESNA Lighting Handbook, Reference & Application, (``The 
IESNA Lighting Handbook''), 9th ed., Chapter 6, ``Light Sources,'' July 
2000, IBR approved for Sec. 430.2.
    (2) IESNA LM-9-99, (``LM-9''), IESNA Approved Method for the 
Electrical and Photometric Measurements of Fluorescent Lamps, 1999. IBR 
approved for Sec. 430.2 and appendix R to subpart B.
    (3) IESNA LM-16-1993 (``IESNA LM-16''), IESNA Practical Guide to 
Colorimetry of Light Sources, December 1993, IBR approved for Sec. 
430.2.
    (4) IES LM-20-1994, IESNA Approved Method for Photometric Testing of 
Reflector-Type Lamps, approved December 3, 1994, IBR approved for 
appendix R to subpart B.
    (5) IESNA LM-45-00, (``LM-45''), IESNA Approved Method for 
Electrical and Photometric Measurements of General Service Incandescent 
Filament Lamps, approved May 8, 2000; IBR approved for appendix R to 
subpart B.
    (6) IES LM-58-1994, IESNA Guide to Spectroradiometric Measurements, 
approved December 3, 1994, IBR approved for appendix R to subpart B.
    (l) IEC. International Electrotechnical Commission, available from 
the American National Standards Institute, 11 W. 42nd Street, New York, 
NY 10036, 212-642-4936 or go to http://www.iec.ch.
    (1) International Electrotechnical Commission (IEC) Standard 62301 
(``IEC 62301''), Household electrical appliances--Measurement of standby 
power (first edition, June 2005), IBR approved for appendix D1, appendix 
F, appendix I, and appendix N to subpart B.
    (2) [Reserved]
    (m) NSF International. NSF International, P.O. Box 130140, 789 North 
Dixboro Road, Ann Arbor, MI 48113-0140, 1-800-673-6275, or go to http://
www.nsf.org.
    (1) NSF/ANSI 51-2007 (``NSF/ANSI 51''), Food equipment materials, 
revised and adopted April 2007, IBR approved for Sec. 430.2.
    (2) [Reserved]
    (n) Optical Society of America. Optical Society of America, 2010 
Massachusetts Ave., NW., Washington, DC 20036-1012, 202-223-8130, or go 
to http://www.opticsinfobase.org;
    (1) ``Computation of Correlated Color Temperature and Distribution 
Temperature,'' A.R. Robertson, Journal of the Optical Society of 
America, Volume 58, Number 11, November 1968, pages 1528-1535, IBR 
approved for Sec. 430.2.
    (2) [Reserved]
    (o) U.S. Department of Energy, Office of Energy Efficiency and 
Renewable Energy, Resource Room of the Building Technologies Program, 
950 L'Enfant Plaza, SW., 6th Floor, Washington, DC 20024, 202-586-2945, 
or go to http://www.energystar.gov.
    (1) ENERGY STAR Program Requirements for [Compact Fluorescent Lamps] 
CFLs, Version 3.0, approved October 30, 2003, IBR approved for appendix 
V to subpart B.
    (2) ENERGY STAR Program Requirements for [Compact Fluorescent Lamps] 
CFLs, approved August 9, 2001, IBR approved for appendix W to subpart B.

[74 FR 12066, Mar. 23, 2009, as amended at 74 FR 31840, July 6, 2009; 74 
FR 34177, July 14, 2009; 74 FR 54455, Oct. 22, 2009; 75 FR 42583, July 
22, 2010; 75 FR 64631, Oct. 20, 2010; 75 FR 78848, Dec. 16, 2010; 76 FR 
1031, Jan. 6, 2011; 76 FR 12843, Mar. 9, 2011; 76 FR 25223, May 4, 2011; 
76 FR 71859, Nov. 18, 2011]



Sec. 430.4  Sources for information and guidance.

    (a) General. The standards listed in this paragraph are referred to 
in the DOE test procedures and elsewhere in this part but are not 
incorporated by reference. These sources are given here for information 
and guidance.
    (b) IESNA. Illuminating Engineering Society of North America, 120 
Wall Street, Floor 17, New York, NY 10005-4001, 212-248-5000, or go to 
http://www.iesna.org.

[[Page 227]]

    (1) Illuminating Engineering Society of North America Lighting 
Handbook, 8th Edition, 1993.
    (2) [Reserved]
    (c) IEEE. Institute of Electrical and Electronics Engineers, Inc., 3 
Park Avenue, 17th Floor, New York, NY, 10016-5997, 212-419-7900, or go 
to http://www.ieee.org.
    (1) IEEE 1515-2000, IEEE Recommended Practice for Electronic Power 
Subsystems: Parameter Definitions, Test Conditions, and Test Methods, 
March 30, 2000.
    (2) IEEE 100, Authoritative Dictionary of IEEE Standards Terms, 7th 
Edition, January 1, 2006.
    (d) IEC. International Electrotechnical Commission, available from 
the American National Standards Institute, 11 W. 42nd Street, New York, 
NY 10036, 212-642-4936, or go to http://www.iec.ch.
    (1) IEC 62301, Household electrical appliances--Measurement of 
standby power, First Edition, June 13, 2005.
    (2) IEC 60050, International Electrotechnical Vocabulary.
    (e) National Voluntary Laboratory Accreditation Program, Standards 
Services Division, NIST, 100 Bureau Drive, Stop 2140, Gaithersburg, MD 
20899-2140, 301-975-4016, or go to http://ts.nist.gov/standards/
accreditation.
    (1) National Voluntary Laboratory Accreditation Program Handbook 
150-01, Energy Efficient Lighting Products, Lamps and Luminaires, August 
1993.
    (2) [Reserved]

[74 FR 12066, Mar. 23, 2009]



                        Subpart B_Test Procedures



Sec. 430.21  Purpose and scope.

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



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

    When the test procedures of this section call for rounding off of 
test results, and the results fall equally between two values of the 
nearest dollar, kilowatt-hour, or other specified nearest value, the 
result shall be rounded up to the nearest higher value.
    (a) Refrigerators and refrigerator-freezers. (1) The estimated 
annual operating cost for electric refrigerators and electric 
refrigerator-freezers without an anti-sweat heater switch shall be the 
product of the following three factors, the resulting product then being 
rounded off to the nearest dollar per year:
    (i) The representative average-use cycle of 365 cycles per year;
    (ii) The average per-cycle energy consumption for the standard cycle 
in kilowatt-hours per cycle, determined according to 6.2 (6.3.6 for 
externally vented units) of appendix A1 of this subpart before appendix 
A becomes mandatory and 6.2 (6.3.6 for externally vented units) of 
appendix A of this subpart after appendix A becomes mandatory (see the 
note at the beginning of appendix A); and
    (iii) The representative average unit cost of electricity in dollars 
per kilowatt-hour as provided by the Secretary.
    (2) The estimated annual operating cost for electric refrigerators 
and electric refrigerator-freezers with an anti-sweat heater switch 
shall be the product of the following three factors, the resulting 
product then being rounded off to the nearest dollar per year:
    (i) The representative average-use cycle of 365 cycles per year;
    (ii) Half the sum of the average per-cycle energy consumption for 
the standard cycle and the average per-cycle energy consumption for a 
test cycle type with the anti-sweat heater switch in the position set at 
the factory just before shipping, each in kilowatt-hours per cycle, 
determined according to 6.2 (6.3.6 for externally vented units) of 
appendix A1 of this subpart before appendix A becomes mandatory and 6.2 
(6.3.6 for externally vented units) of appendix A of this subpart after 
appendix A becomes mandatory (see the note at the beginning of appendix 
A); and
    (iii) The representative average unit cost of electricity in dollars 
per kilowatt-hour as provided by the Secretary.
    (3) The estimated annual operating cost for any other specified 
cycle type for electric refrigerators and electric refrigerator-freezers 
shall be the product of the following three factors, the

[[Page 228]]

resulting product then being rounded off to the nearest dollar per year:
    (i) The representative average-use cycle of 365 cycles per year;
    (ii) The average per-cycle energy consumption for the specified 
cycle type, determined according to 6.2 (6.3.6 for externally vented 
units) of appendix A1 to this subpart before appendix A becomes 
mandatory and 6.2 (6.3.6 for externally vented units) of appendix A of 
this subpart after appendix A becomes mandatory (see the note at the 
beginning of appendix A); and
    (iii) The representative average unit cost of electricity in dollars 
per kilowatt-hour as provided by the Secretary.
    (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 
without 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 before appendix A becomes mandatory 
and 6.1 of appendix A of this subpart after appendix A becomes mandatory 
(see the note at the beginning of appendix A), 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 before appendix 
A becomes mandatory and 6.2 (6.3.6 for externally vented units) of 
appendix A of this subpart after appendix A becomes mandatory (see the 
note at the beginning of appendix A), 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 before appendix A becomes mandatory 
and 6.1 of appendix A of this subpart after appendix A becomes mandatory 
(see the note at the beginning of appendix A), divided by --
    (B) Half the sum of the average per-cycle energy consumption for the 
standard cycle and the average per-cycle energy consumption for a test 
cycle type with the anti-sweat heater switch in the position set at the 
factory just before shipping, each in kilowatt-hours per cycle, 
determined according to 6.2 (6.3.6 for externally vented units) of 
appendix A1 of this subpart before appendix A becomes mandatory and 6.2 
(6.3.6 for externally vented units) of appendix A of this subpart after 
appendix A becomes mandatory (see the note at the beginning of appendix 
A), the resulting quotient then being rounded off to the second decimal 
place.
    (5) The annual energy use of electric refrigerators and electric 
refrigerator-freezers, expressed in kilowatt-hours per year, shall be 
the following, rounded to the nearest kilowatt-hour per year:
    (i) For electric refrigerators and electric refrigerator-freezers 
without an anti-sweat heater switch, the representative average use 
cycle of 365 cycles per year multiplied by the average per-cycle energy 
consumption for the standard cycle in kilowatt-hours per cycle, 
determined according to 6.2 (6.3.6 for externally vented units) of 
appendix A1 of this subpart before appendix A becomes mandatory and 6.2 
(6.3.6 for externally vented units) of appendix A of this subpart after 
appendix A becomes mandatory (see the note at the beginning of appendix 
A), and
    (ii) For electric refrigerators and electric refrigerator-freezers 
having an anti-sweat heater switch, the representative average use cycle 
of 365 cycles per year multiplied by half the sum of the average per-
cycle energy consumption for the standard cycle and the average per-
cycle energy consumption for a test cycle type with the anti-sweat 
heater switch in the position set at the factory just before shipping, 
each in kilowatt-hours per cycle, determined according to 6.2 (6.3.6 for 
externally vented units) of appendix A1 of this subpart before appendix 
A becomes mandatory and 6.2 (6.3.6 for externally vented units) of 
appendix A of this subpart after appendix A becomes mandatory (see the 
note at the beginning of appendix A).

[[Page 229]]

    (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 that the Secretary determines are likely to assist 
consumers in making purchasing decisions which are derived from the 
application of appendix A1 of this subpart before appendix A becomes 
mandatory appendix A of this subpart after appendix A becomes mandatory 
(see the note at the beginning of appendix A).
    (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, the resulting product then being 
rounded off to the nearest dollar per year:
    (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 before appendix A becomes mandatory 
and 6.3.7 of appendix A of this subpart after appendix A becomes 
mandatory (see the note at the beginning of appendix A); and
    (iii) The representative average unit cost of electricity in dollars 
per kilowatt-hour as provided by the Secretary.
    (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, the resulting product then being 
rounded off to the nearest dollar per year:
    (i) The representative average-use cycle of 365 cycles per year;
    (ii) Half the sum of the average per-cycle energy consumption for 
the standard cycle and the regional average per-cycle energy consumption 
for a test cycle with the anti-sweat heater switch in the position set 
at the factory just before shipping, each in kilowatt-hours per cycle, 
determined according to 6.3.7 of appendix A1 of this subpart before 
appendix A becomes mandatory and 6.3.7 of appendix A of this subpart 
after appendix A becomes mandatory (see the note at the beginning of 
appendix A); and
    (iii) The representative average unit cost of electricity in dollars 
per kilowatt-hour as provided by the Secretary.
    (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, the resulting product then being rounded 
off to the nearest dollar per year:
    (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 before appendix A becomes mandatory 
and 6.3.7 of appendix A of this subpart after appendix A becomes 
mandatory (see the note at the beginning of appendix A); and
    (iii) The representative average unit cost of electricity in dollars 
per kilowatt-hour as provided by the Secretary.
    (10) The following principles of interpretation should be applied to 
the test procedure. The intent of the energy test procedure is to 
simulate typical room conditions (approximately 70 [deg]F (21 [deg]C)) 
with door openings, by testing at 90 [deg]F (32.2 [deg]C) without door 
openings. Except for operating characteristics that are affected by 
ambient temperature (for example, compressor percent run time), the 
unit, when tested under this test procedure, shall operate in a manner 
equivalent to the unit in typical room conditions. The energy used by 
the unit shall be calculated when a calculation is provided by the test 
procedure. Energy consuming components that operate in typical room 
conditions (including as a result of door openings, or a function of 
humidity), and that are not exempted by this test procedure, shall 
operate in an equivalent manner during energy testing under this test 
procedure, or be accounted for by all calculations as provided for in 
the test procedure. If:
    (i) A product contains energy consuming components that operate 
differently during the prescribed testing

[[Page 230]]

than they would during representative average consumer use and
    (ii) Applying the prescribed test to that product would evaluate it 
in a manner that is unrepresentative of its true energy consumption 
(thereby providing materially inaccurate comparative data), a 
manufacturer must obtain a waiver in accordance with the relevant 
provisions of 10 CFR part 430. Examples:
    A. Energy saving features that are designed to be activated by a 
lack of door openings shall not be functional during the energy test.
    B. The defrost heater should not either function or turn off 
differently during the energy test than it would when operating in 
typical room conditions.
    C. Electric heaters that would normally operate at typical room 
conditions with door openings should also operate during the energy 
test.
    D. Energy used during adaptive defrost shall continue to be tested 
and adjusted per the calculation provided for in this test procedure.
    (b) Freezers. (1) The estimated annual operating cost for freezers 
without an anti-sweat heater switch shall be the product of the 
following three factors, the resulting product then being rounded off to 
the nearest dollar per year:
    (i) The representative average-use cycle of 365 cycles per year;
    (ii) The average per-cycle energy consumption for the standard cycle 
in kilowatt-hours per cycle, determined according to 6.2 of appendix B1 
of this subpart before appendix B becomes mandatory and 6.2 of appendix 
B of this subpart after appendix B becomes mandatory (see the note at 
the beginning of appendix B); and
    (iii) The representative average unit cost of electricity in dollars 
per kilowatt-hour as provided by the Secretary.
    (2) The estimated annual operating cost for freezers with an anti-
sweat heater switch shall be the product of the following three factors, 
the resulting product then being rounded off to the nearest dollar per 
year:
    (i) The representative average-use cycle of 365 cycles per year;
    (ii) Half the sum of the average per-cycle energy consumption for 
the standard cycle and the average per-cycle energy consumption for a 
test cycle type with the anti-sweat heater switch in the position set at 
the factory just before shipping, each in kilowatt-hours per cycle, 
determined according to 6.2 of appendix B1 of this subpart before 
appendix B becomes mandatory and 6.2 of appendix B of this subpart after 
appendix B becomes mandatory (see the note at the beginning of appendix 
B); and
    (iii) The representative average unit cost of electricity in dollars 
per kilowatt-hour as provided by the Secretary.
    (3) The estimated annual operating cost for any other specified 
cycle type for freezers shall be the product of the following three 
factors, the resulting product then being rounded off to the nearest 
dollar per year:
    (i) The representative average-use cycle of 365 cycles per year;
    (ii) The average per-cycle energy consumption for the specified 
cycle type, determined according to 6.2 of appendix B1 of this subpart 
before appendix B becomes mandatory and 6.2 of appendix B of this 
subpart after appendix B becomes mandatory (see the note at the 
beginning of appendix B); and
    (iii) The representative average unit cost of electricity in dollars 
per kilowatt-hour as provided by the Secretary.
    (4) The energy factor for freezers, expressed in cubic feet per 
kilowatt-hour per cycle, shall be:
    (i) For freezers not having an anti-sweat heater switch, the 
quotient of:
    (A) The adjusted net refrigerated volume in cubic feet, determined 
according to 6.1 of appendix B1 of this subpart before appendix B 
becomes mandatory and 6.1 of appendix B of this subpart after appendix B 
becomes mandatory (see the note at the beginning of appendix B), divided 
by--
    (B) The average per-cycle energy consumption for the standard cycle 
in kilowatt-hours per cycle, determined according to 6.2 of appendix B1 
of this subpart before appendix B becomes mandatory and 6.2 of appendix 
B of this subpart after appendix B becomes mandatory (see the note at 
the beginning of appendix B), the resulting quotient

[[Page 231]]

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 before appendix B 
becomes mandatory and 6.1 of appendix B of this subpart after appendix B 
becomes mandatory (see the note at the beginning of appendix B), divided 
by--
    (B) Half the sum of the average per-cycle energy consumption for the 
standard cycle and the average per-cycle energy consumption for a test 
cycle type with the anti-sweat heater switch in the position set at the 
factory just before shipping, each in kilowatt-hours per cycle, 
determined according to 6.2 of appendix B1 of this subpart before 
appendix B becomes mandatory and 6.2 of appendix B of this subpart after 
appendix B becomes mandatory (see the note at the beginning of appendix 
B), the resulting quotient then being rounded off to the second decimal 
place.
    (5) The annual energy use of all freezers, expressed in kilowatt-
hours per year, shall be the following, rounded to the nearest kilowatt-
hour per year:
    (i) For freezers not having an anti-sweat heater switch, the 
representative average use cycle of 365 cycles per year multiplied by 
the average per-cycle energy consumption for the standard cycle in 
kilowatt-hours per cycle, determined according to 6.2 of appendix B1 of 
this subpart before appendix B becomes mandatory and 6.2 of appendix B 
of this subpart after appendix B becomes mandatory (see the note at the 
beginning of appendix B), and
    (ii) For freezers having an anti-sweat heater switch, the 
representative average use cycle of 365 cycles per year multiplied by 
half the sum of the average per-cycle energy consumption for the 
standard cycle and the average per-cycle energy consumption for a test 
cycle type with the anti-sweat heater switch in the position set at the 
factory just before shipping, each in kilowatt-hours per cycle, 
determined according to 6.2 of appendix B1 of this subpart before 
appendix B becomes mandatory and 6.2 of appendix B of this subpart after 
appendix B becomes mandatory (see the note at the beginning of appendix 
B).
    (6) Other useful measures of energy consumption for freezers shall 
be those measures the Secretary determines are likely to assist 
consumers in making purchasing decisions and are derived from the 
application of appendix B1 of this subpart before appendix B becomes 
mandatory and appendix B of this subpart after appendix B becomes 
mandatory (see the note at the beginning of appendix B).
    (7) The following principles of interpretation should be applied to 
the test procedure. The intent of the energy test procedure is to 
simulate typical room conditions (approximately 70 [deg]F (21 [deg]C)) 
with door openings, by testing at 90 [deg]F (32.2 [deg]C) without door 
openings. Except for operating characteristics that are affected by 
ambient temperature (for example, compressor percent run time), the 
unit, when tested under this test procedure, shall operate in a manner 
equivalent to the unit in typical room conditions. The energy used by 
the unit shall be calculated when a calculation is provided by the test 
procedure. Energy consuming components that operate in typical room 
conditions (including as a result of door openings, or a function of 
humidity), and that are not exempted by this test procedure, shall 
operate in an equivalent manner during energy testing under this test 
procedure, or be accounted for by all calculations as provided for in 
the test procedure. If:
    (i) A product contains energy consuming components that operate 
differently during the prescribed testing than they would during 
representative average consumer use and
    (ii) Applying the prescribed test to that product would evaluate it 
in a manner that is unrepresentative of its true energy consumption 
(thereby providing materially inaccurate comparative data), a 
manufacturer must obtain a waiver in accordance with the relevant 
provisions of 10 CFR part 430. Examples:
    A. Energy saving features that are designed to be activated by a 
lack of door openings hall not be functional during the energy test.
    B. The defrost heater should not either function or turn off 
differently

[[Page 232]]

during the energy test than it would when in typical room conditions.
    C. Electric heaters that would normally operate at typical room 
conditions with door openings should also operate during the energy 
test.
    D. Energy used during adaptive defrost shall continue to be tested 
and adjusted per the calculation provided for in this test procedure.
    (c) Dishwashers. (1) The Estimated Annual Operating Cost (EAOC) for 
dishwashers must be rounded to the nearest dollar per year and is 
defined as follows:
    (i) When cold water (50 [deg]F) is used,
    (A) For dishwashers having a truncated normal cycle as defined in 
section 1.15 of appendix C to this subpart,

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

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

EAOC = (DexS) + ( DexNxM)

Where,

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

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

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

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

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

Where,

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

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

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

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

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

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

Where,

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

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

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

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

EF = 1/M


Where,

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

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

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

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

EF = 1/(M+W)


[[Page 233]]


Where,

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

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

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

Where,

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

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

EAEU = (M+W)xN+S

Where,

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

    (4) Other useful measures of energy consumption for dishwashers are 
those which the Secretary determines are likely to assist consumers in 
making purchasing decisions and which are derived from the application 
of appendix C to this subpart.
    (d) Clothes dryers. (1) The estimated annual operating cost for 
clothes dryers shall be--
    (i) For an electric clothes dryer, the product of the following 
three factors:
    (A) The representative average-use cycle of 283 cycles per year,
    (B) The per-cycle combined total energy consumption in kilowatt-
hours per-cycle, determined according to 4.6 of appendix D1 to this 
subpart, and
    (C) The representative average unit cost of electrical energy in 
dollars per kilowatt-hour as provided by the Secretary, the resulting 
product then being rounded off to the nearest dollar per year, and
    (ii) For a gas clothes dryer, the product of the representative 
average-use cycle of 283 cycles per year times the sum of:
    (A) The product of the per-cycle gas dryer electric energy 
consumption in kilowatt-hours per cycle, determined according to 4.2 of 
appendix D1 to this subpart, times the representative average unit cost 
of electrical energy in dollars per kilowatt-hour as provided by the 
Secretary plus,
    (B) The product of the per-cycle gas dryer gas energy consumption, 
in Btus per cycle, determined according to 4.3 of appendix D1 to this 
subpart, times the representative average unit cost for natural gas or 
propane, as appropriate, in dollars per Btu as provided by the 
Secretary, the resulting product then being rounded off to the nearest 
dollar per year plus,
    (C) The product of the per-cycle standby mode and off mode energy 
consumption in kilowatt-hours per cycle, determined according to 4.5 of 
appendix D1 to this subpart, times the representative average unit cost 
of electrical energy in dollars per kilowatt-hour as provided by the 
Secretary.
    (2) The energy factor, expressed in pounds of clothes per kilowatt-
hour, for clothes dryers shall be either the quotient of a 3-pound bone-
dry test load for compact dryers, as defined by 2.7.1 of appendix D to 
this subpart before the date that appendix D1 becomes mandatory, or the 
quotient of a 7-pound bone-dry test load for standard dryers, as defined 
by 2.7.2 of appendix D to this subpart before the date that appendix D1 
becomes mandatory, as applicable, divided by the clothes dryer energy 
consumption per cycle, as determined according to 4.1 for electric 
clothes dryers and 4.6 for gas clothes dryers of appendix D to this 
subpart before the date that appendix D1 becomes mandatory, the 
resulting quotient then being rounded off to the nearest hundredth 
(.01). Upon the date that appendix D1 to this subpart becomes mandatory, 
the energy factor is determined in accordance with 4.7 of appendix D1, 
the result then being rounded off to the nearest hundredth (.01).
    (3) Upon the date that appendix D1 to this subpart becomes 
mandatory, the combined energy factor is determined in accordance with 
4.8 of appendix D1, the result then being rounded off to the nearest 
hundredth (.01).
    (4) Other useful measures of energy consumption for clothes dryers 
shall be those measures of energy consumption for clothes dryers which 
the Secretary determines are likely to assist consumers in making 
purchasing decisions

[[Page 234]]

and which are derived from the application of appendix D to this subpart 
before the date that appendix D1 becomes mandatory and appendix D1 upon 
the date that appendix D1 to this subpart becomes mandatory.
    (e) Water Heaters. (1) The estimated annual operating cost for water 
heaters shall be--
    (i) For a gas or oil water heater, the product of the annual energy 
consumption, determined according to section 6.1.8 or 6.2.5 of appendix 
E of this subpart, times the representative average unit cost of gas or 
oil, as appropriate, in dollars per Btu as provided by the Secretary, 
the resulting product then being rounded off to the nearest dollar per 
year.
    (ii) For an electric water heater, the product of the annual energy 
consumption, determined according to section 6.1.8 or 6.2.5 of appendix 
E of this subpart, times the representative average unit cost of 
electricity in dollars per kilowatt-hour as provided by the Secretary, 
divided by 3412 Btu per kilowatt-hour, the resulting quotient then being 
rounded off to the nearest dollar per year.
    (2) The energy factor for the water heaters shall be--
    (i) For a gas or oil water heater, as determined by section 6.1.7 or 
6.2.4 of appendix E of this subpart rounded off to the nearest 0.01.
    (ii) For an electric water heater, as determined by section 6.1.7 or 
6.2.4 of appendix E of this subpart rounded off to the nearest 0.01.
    (3) Other useful measures of energy consumption for water heaters 
shall be those measures of energy consumption for water heaters which 
the Secretary determines are likely to assist consumers in making 
purchasing decisions and which are derived from the application of 
appendix E of this subpart.
    (4) The alternative uniform test method for measuring the energy 
consumption of untested water heaters shall be that set forth in section 
7.0 of appendix E of this subpart.
    (f) Room air conditioners. (1) The estimated annual operating cost 
for room air conditioners, expressed in dollars per year, shall be 
determined by multiplying the following three factors:
    (i) The combined annual energy consumption for room air 
conditioners, expressed in kilowatt-hours per year, as determined in 
accordance with paragraph (f)(4) of this section, and
    (ii) A representative average unit cost of electrical energy in 
dollars per kilowatt-hour as provided by the Secretary, the resulting 
product then being rounded off to the nearest dollar per year.
    (2) The energy efficiency ratio for room air conditioners, expressed 
in Btus per watt-hour, shall be the quotient of:
    (i) The cooling capacity in Btus per hour as determined in 
accordance with 5.1 of appendix F to this subpart divided by:
    (ii) The electrical input power in watts as determined in accordance 
with 5.2 of appendix F to this subpart, the resulting quotient then 
being rounded off to the nearest 0.1 Btu per watt-hour.
    (3) The average annual energy consumption for room air conditioners, 
expressed in kilowatt-hours per year, shall be determined by multiplying 
together the following two factors:
    (i) Electrical input power in kilowatts as determined in accordance 
with 5.2 of appendix F to this subpart, and
    (ii) The representative average-use cycle of 750 hours of compressor 
operation per year, the resulting product then being rounded off to the 
nearest kilowatt-hour per year.
    (4) The combined annual energy consumption for room air 
conditioners, expressed in kilowatt-hours per year, shall be the sum of:
    (i) The average annual energy consumption as determined in 
accordance with paragraph (f)(4) of this section, and
    (ii) The standby mode and off mode energy consumption, as determined 
in accordance with 5.3 of appendix F to this subpart, the resulting sum 
then being rounded off to the nearest kilowatt-hour per year.
    (5) The combined energy efficiency ratio for room air conditioners, 
expressed in Btu's per watt-hour, shall be the quotient of:
    (i) The cooling capacity in Btus per hour as determined in 
accordance with

[[Page 235]]

5.1 of appendix F to this subpart multiplied by the representative 
average-use cycle of 750 hours of compressor operation per year, divided 
by
    (ii) The combined annual energy consumption as determined in 
accordance with paragraph (f)(4) of this section multiplied by a 
conversion factor of 1,000 to convert kilowatt-hours to watt-hours, the 
resulting quotient then being rounded off to the nearest 0.1 Btu per 
watt-hour.
    (g) Unvented home heating equipment. (1) The estimated annual 
operating cost for primary electric heaters, shall be the product of: 
(i) The average annual electric energy consumption in kilowatt-hours per 
year, determined according to section 3.1 of appendix G of this subpart 
and (ii) the representative average unit cost in dollars per kilowatt-
hour as provided pursuant to section 323(b)(2) of the Act, the resulting 
product then being rounded off to the nearest dollar per year.
    (2) The estimated regional annual operating cost for primary 
electric heaters, shall be the product of: (i) The regional annual 
electric energy consumption in kilowatt-hours per year for primary 
heaters determined according to section 3.2 of appendix G of this 
subpart and (ii) the representative average unit cost in dollars per 
kilowatt-hour as provided pursuant to section 323(b)(2) of the Act, the 
resulting product then being rounded off to the nearest dollar per year.
    (3) The estimated operating cost per million Btu output shall be--
    (i) For primary and supplementary electric heaters and unvented gas 
and oil heaters without an auxiliary electric system, the product of: 
(A) One million; and (B) the representative unit cost in dollars per Btu 
for natural gas, propane, or oil, as provided pursuant to section 
323(b)(2) of the Act as appropriate, or the quotient of the 
representative unit cost in dollars per kilowatt-hour, as provided 
pursuant to section 323(b)(2) of the Act, divided by 3,412 Btu per 
kilowatt hour, the resulting product then being rounded off to the 
nearest 0.01 dollar per million Btu output; and
    (ii) For unvented gas and oil heaters with an auxiliary electric 
system, the product of: (A) The quotient of one million divided by the 
rated output in Btu's per hour as determined in 3.4 of appendix G of 
this subpart; and (B) the sum of: (1) The product of the maximum fuel 
input in Btu's per hour as determined in 2.2. of this appendix times the 
representative unit cost in dollars per Btu for natural gas, propane, or 
oil, as appropriate, as provided pursuant to section 323(b)(2) of the 
Act, plus (2) the product of the maximum auxiliary electric power in 
kilowatts as determined in 2.1 of appendix G of this subpart times the 
representative unit cost in dollars per kilowatt-hour as provided 
pursuant to section 323(b)(2) of the Act, the resulting quantity shall 
be rounded off to the nearest 0.01 dollar per million Btu output.
    (4) The rated output for unvented heaters is the rated output as 
determined according to either sections 3.3 or 3.4 of appendix G of this 
subpart, as appropriate, with the result being rounded to the nearest 
100 Btu per hour.
    (5) Other useful measures of energy consumption for unvented home 
heating equipment shall be those measures of energy consumption for 
unvented home heating equipment which the Secretary determines are 
likely to assist consumers in making purchasing decisions and which are 
derived from the application of appendix G of this subpart.
    (h) [Reserved]
    (i) Kitchen ranges and ovens. (1) The estimated annual operating 
cost for conventional ranges, conventional cooking tops, and 
conventional ovens shall be the sum of the following products: (i) The 
total annual electrical energy consumption for any electrical energy 
usage, in kilowatt-hours (kWh's) per year, times the representative 
average unit cost for electricity, in dollars per kWh, as provided 
pursuant to section 323(b)(2) of the Act; plus (ii) the total annual gas 
energy consumption for any natural gas usage, in British thermal units 
(Btu's) per year, times the representative average unit cost for natural 
gas, in dollars per Btu, as provided pursuant to section 323(b)(2) of 
the Act; plus (iii) the total annual gas energy consumption for any 
propane usage, in Btu's per year, times the representative average unit 
cost for

[[Page 236]]

propane, in dollars per Btu, as provided pursuant to section 323(b)(2) 
of the Act. The total annual energy consumption for conventional ranges, 
conventional cooking tops, and conventional ovens shall be as determined 
according to 4.3, 4.2.2, and 4.1.2, respectively, of appendix I to this 
subpart. The estimated annual operating cost shall be rounded off to the 
nearest dollar per year.
    (2) The cooking efficiency for conventional cooking tops and 
conventional 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 and 4.1.3, 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, and conventional ovens 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, respectively, of appendix I to this 
subpart. The final energy factor values shall be rounded off to three 
significant digits.
    (5) There shall be two estimated annual operating costs, two cooking 
efficiencies, and two energy factors for convertible cooking 
appliances--(i) an estimated annual operating cost, a cooking efficiency 
and an energy factor which represent values for those three measures of 
energy consumption for the operation of the appliance with natural gas; 
and (ii) an estimated annual operating cost, a cooking efficiency and an 
energy factor which represent values for those three measures of energy 
consumption for the operation of the appliance with LP-gas.
    (6) The estimated annual operating cost for convertible cooking 
appliances which represents natural gas usage, as described in paragraph 
(i)(5)(i) of this section, shall be determined according to paragraph 
(i)(1) of this section using the total annual gas energy consumption for 
natural gas times the representative average unit cost for natural gas.
    (7) The estimated annual operating cost for convertible cooking 
appliances which represents LP-gas usage, as described in paragraph 
(i)(5)(ii) of this section, shall be determined according to paragraph 
(i)(1) of this section using the representative average unit cost for 
propane times the total annual energy consumption of the test gas, 
either propane or natural gas.
    (8) The cooking efficiency for convertible cooking appliances which 
represents natural gas usage, as described in paragraph (i)(5)(i) of 
this section, shall be determined according to paragraph (i)(2) of this 
section when the appliance is tested with natural gas.
    (9) The cooking efficiency for convertible cooking appliances which 
represents LP-gas usage, as described in paragraph (i)(5)(ii) of this 
section, shall be determined according to paragraph (i)(2) of this 
section, when the appliance is tested with either natural gas or 
propane.
    (10) The energy factor for convertible cooking appliances which 
represents natural gas usage, as described in paragraph (i)(5)(i) of 
this section, shall be determined according to paragraph (i)(4) of this 
section when the appliance is tested with natural gas.
    (11) The energy factor for convertible cooking appliances which 
represents LP-gas usage, as described in paragraph (i)(5)(ii) of this 
section, shall be determined according to paragraph (i)(4) of this 
section when the appliance is tested with either natural gas or propane.
    (12) Other useful measures of energy consumption for conventional 
ranges, conventional cooking tops, and conventional ovens 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.
    (13) The energy test procedure is designed to provide a measurement 
representative of average consumer use of the product, even if the test 
conditions and procedures may not be identical to average consumer use 
(for example, specified display times). If a product contains energy 
consuming components that operate differently during the prescribed 
testing than they would during representative average consumer use, and 
applying the prescribed

[[Page 237]]

test to that product would evaluate it in a manner that is 
unrepresentative of its true energy consumption (thereby providing 
materially inaccurate comparative data), the prescribed procedure may 
not be used. For example, the energy use of a component in a product 
(such as display wattage) may not vary predictably as a function of 
operating conditions or control inputs--such as when a display is 
automatically dimmed when test conditions or test settings are reached. 
A manufacturer wishing to test such a product must obtain a waiver in 
accordance with the relevant provisions of 10 CFR part 430.
    (j) Clothes washers. (1) The estimated annual operating cost for 
automatic and semi-automatic clothes washers shall be--
    (i) When electrically heated water is used, the product of the 
following three factors:
    (A) The representative average-use of 392 cycles per year,
    (B) The total per-cycle energy consumption in kilowatt-hours per 
cycle determined according to 4.1.6 of appendix J before appendix J1 
becomes mandatory and 4.1.7 of appendix J1 when appendix J1 becomes 
mandatory, (see the note at the beginning of appendix J1), and
    (C) The representative average unit cost in dollars per kilowatt-
hour as provided by the Secretary, the resulting product then being 
rounded off to the nearest dollar per year, and
    (ii) When gas-heated or oil-heated water is used, the product of: 
the representative average-use of 392 cycles per year and the sum of 
both:
    (A) The product of the per-cycle machine electrical energy 
consumption in kilowatt-hours per cycle, determined according to 4.1.5 
of appendix J before the date that appendix J1 to the subpart becomes 
mandatory or 4.1.6 of appendix J1 upon the date that appendix J1 to this 
subpart becomes mandatory, and the representative average unit cost in 
dollars per kilowatt-hours as provided by the Secretary, and
    (B) The product of the per-cycle water energy consumption for gas-
heated or oil-heated water in BTU per cycle, determined according to 
4.1.4 of appendix J before the date that appendix J1 becomes mandatory 
or 4.1.4 of appendix J1 upon the date that appendix J1 to this subpart 
becomes mandatory, and the representative average unit cost in dollars 
per Btu for oil or gas, as appropriate, as provided by the Secretary, 
the resulting product then being rounded off to the nearest dollar per 
year.
    (2)(i) The energy factor for automatic and semi-automatic clothes 
washers is determined in accordance with 4.5 of appendix J before the 
date that appendix J1 becomes mandatory or 4.5 of appendix J1 upon the 
date that appendix J1 to this subpart becomes mandatory. The result 
shall be rounded off to the nearest 0.01 cubic foot per kilowatt-hours.
    (ii) The modified energy factor for automatic and semi-automatic 
clothes washers is determined in accordance with 4.4 of appendix J 
before the date that appendix J1 becomes mandatory or 4.4 of appendix J1 
upon the date that appendix J1 to this subpart becomes mandatory. The 
result shall be rounded off to the nearest 0.01 cubic foot per kilowatt-
hours.
    (3) Other useful measures of energy consumption for automatic or 
semi-automatic clothes washers shall be those measures of energy 
consumption which the Secretary determines are likely to assist 
consumers in making purchasing decisions and which are derived from the 
application of appendix J before the date that appendix J1 becomes 
mandatory or appendix J1 upon the date that appendix J1 to this subpart 
becomes mandatory. In addition, the annual water consumption of a 
clothes washer can be determined by the product of:
    (A) The representative average-use of 392 cycles per year, and
    (B) The total weighted per-cycle water consumption in gallons per 
cycle determined according to 4.3.2 of appendix J before the date that 
appendix J1 becomes mandatory or 4.2.2 of appendix J1 upon the date that 
appendix J1 to this subpart becomes mandatory. The water consumption 
factor can be determined in accordance with 4.3.3 of appendix J before 
the date that appendix J1 becomes mandatory or 4.2.3 of appendix J1 upon 
the date that appendix J1 to this subpart becomes mandatory. The 
remaining moisture content can be

[[Page 238]]

determined in accordance with 3.3 of appendix J before the date that 
appendix J1 becomes mandatory or 3.8 of appendix J1 upon the date that 
appendix J1 to this subpart becomes mandatory.
    (k)-(l) [Reserved]
    (m) Central Air Conditioners and heat pumps. (1) The estimated 
annual operating cost for cooling-only units and air-source heat pumps 
shall be one of the following:
    (i) For cooling-only units or the cooling portion of the estimated 
annual operating cost for air-source heat pumps which provide both 
heating and cooling, the product of:
    (A) The quotient of the cooling capacity, in Btu's per hour, 
determined from the steady-state wet-coil test (A or A2 
Test), as described in section 3.2 of appendix M to this subpart, 
divided by the seasonal energy efficiency ratio (SEER), in Btu's per 
watt-hour, determined from section 4.1 of appendix M to this subpart;
    (B) The representative average use cycle for cooling of 1,000 hours 
per year;
    (C) A conversion factor of 0.001 kilowatt per watt; and
    (D) The representative average unit cost of electricity in dollars 
per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act, 
the resulting product then being rounded off to the nearest dollar per 
year.
    (ii) For air-source heat pumps which provide only heating or the 
heating portion of the estimated annual operating cost for air-source 
heat pumps which provide both heating and cooling, the product of:
    (A) The quotient of the standardized design heating requirement, in 
Btu's per hour, nearest to the heating Region IV minimum design heating 
requirement, determined in section 4.2 of appendix M to this subpart, 
divided by the heating seasonal performance factor (HSPF), in Btu's per 
watt-hour, calculated for heating Region IV corresponding to the above-
mentioned standardized design heating requirement and determined in 
section 4.2 of appendix M to this subpart;
    (B) The representative average use cycle for heating of 2,080 hours 
per year;
    (C) The adjustment factor of 0.77 which serves to adjust the 
calculated design heating requirement and heating load hours to the 
actual load experienced by a heating system;
    (D) A conversion factor of 0.001 kilowatt per watt; and
    (E) The representative average unit cost of electricity in dollars 
per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act, 
the resulting product then being rounded off to the nearest dollar per 
year.
    (iii) For air-source heat pumps which provide both heating and 
cooling, the estimated annual operating cost is the sum of the quantity 
determined in paragraph (m)(1)(i) of this section added to the quantity 
determined in paragraph (m)(1)(ii) of this section.
    (2) The estimated regional annual operating cost for cooling-only 
units and for air-source heat pumps shall be one of the following:
    (i) For cooling-only units or the cooling portion of the estimated 
regional annual operating cost for air-source heat pumps which provide 
both heating and cooling, the product of:
    (A) The quotient of the cooling capacity, in Btu's per hour, 
determined from the steady-state wet-coil test (A or A2 
Test), as described in section 3.2 of appendix M to this subpart, 
divided by the seasonal energy efficiency ratio (SEER), in Btu's per 
watt-hour, determined from section 4.1 of appendix M to this subpart;
    (B) The estimated number of regional cooling load hours per year 
determined from Figure 3 in section 4.3 of appendix M to this subpart;
    (C) A conversion factor of 0.001 kilowatts per watt; and
    (D) The representative average unit cost of electricity in dollars 
per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act, 
the resulting product then being rounded off to the nearest dollar per 
year.
    (ii) For air-source heat pumps which provide only heating or the 
heating portion of the estimated regional annual operating cost for air-
source heat pumps which provide both heating and cooling, the product 
of:
    (A) The estimated number of regional heating load hours per year 
determined

[[Page 239]]

from Figure 2 in section 4.3 of appendix M to this subpart;
    (B) The quotient of the standardized design heating requirement, in 
Btu's per hour, for the appropriate generalized climatic region of 
interest (i.e., corresponding to the regional heating load hours from 
``A'') and determined in section 4.2 of appendix M to this subpart, 
divided by the heating seasonal performance factor (HSPF), in Btu's per 
watt-hour, calculated for the appropriate generalized climatic region of 
interest and corresponding to the above-mentioned standardized design 
heating requirement while being determined in section 4.2 of appendix M 
to this subpart;
    (C) The adjustment factor of 0.77 which serves to adjust the 
calculated design heating requirement and heating load hours to the 
actual load experienced by a heating system;
    (D) A conversion factor of 0.001 kilowatts per watt; and
    (E) The representative average unit cost of electricity in dollars 
per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act, 
the resulting product then being rounded off to the nearest dollar per 
year.
    (iii) For air-source heat pumps which provide both heating and 
cooling, the estimated regional annual operating cost is the sum of the 
quantity determined in paragraph (m)(3)(i) of this section added to the 
quantity determined in paragraph (m)(3)(ii) of this section.
    (3) The measure(s) of efficiency of performance for cooling-only 
units and air-source heat pumps shall be one or more of the following:
    (i) The cooling mode efficiency measure for cooling-only units and 
air-source heat pumps which provide cooling shall be the seasonal energy 
efficiency ratio (SEER), in Btu's per watt-hour, determined according to 
section 4.1 of appendix M to this subpart, rounded off to the nearest 
0.05.
    (ii) The heating mode efficiency measure for air-source heat pumps 
shall be the heating seasonal performance factors (HSPF), in Btu's per 
watt-hour, determined according to section 4.2 of appendix M to this 
subpart for each applicable standardized design heating requirement 
within each climatic region, rounded off to the nearest 0.05.
    (iii) The annual efficiency measure for air-source heat pumps which 
provide heating and cooling, shall be the annual performance factors 
(APF), in Btu's per watt-hour, determined according to section 4.3 of 
appendix M to this subpart for each standardized design heating 
requirement within each climatic region, rounded off to the nearest 
0.05.
    (4) The average off mode power consumption for central air 
conditioners and central air conditioning heat pumps shall be determined 
according to appendix M of this subpart. Round the average off mode 
power consumption to the nearest watt.
    (5) 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.
    (6) All measures of energy consumption must be determined by the 
test method as set forth in appendix M to this subpart; or by an 
alternative rating method set forth in Sec. 430.24(m)(4) as approved by 
the Assistant Secretary for Energy Efficiency and Renewable Energy in 
accordance with Sec. 430.24(m)(5).
    (n) Furnaces. (1) The estimated annual operating cost for furnaces 
is the sum of: (i) The product of the average annual fuel energy 
consumption, in Btu's per year for gas or oil furnaces or in kilowatt-
hours per year for electric furnaces, determined according to section 
10.2.2 or 10.3 of appendix N of this subpart, respectively, and the 
representative average unit cost in dollars per Btu for gas or oil, or 
dollars per kilowatt-hour for electric, as appropriate, as provided 
pursuant to section 323(b)(2) of the Act, plus (ii) the product of the 
average annual auxiliary electric energy consumption in kilowatt-hours 
per year determined according to section 10.2.3 of appendix N of this 
subpart, and the representative average unit cost in dollars per 
kilowatt-hour as provided pursuant to section 323(b)(2) of the Act, the 
resulting sum

[[Page 240]]

then being rounded off to the nearest dollar per year. (For furnaces 
which operate with variable inputs, an estimated annual operating cost 
is to be calculated for each degree of oversizing specified in section 
10 of appendix N of this subpart.)
    (2) The annual fuel utilization efficiency for furnaces, expressed 
in percent, is the ratio of the annual fuel output of useful energy 
delivered to the heated space to the annual fuel energy input to the 
furnace determined according to section 10.1 of appendix N of this 
subpart for gas and oil furnaces and determined in accordance with 
section 11.1 of the American National Standards Institute/American 
Society of Heating, Refrigerating, and Air-Conditioning Engineers (ANSI/
ASHRAE) Standard 103-1993 (incorporated by reference, see Sec. 430.3) 
for electric furnaces. Round the annual fuel utilization efficiency to 
the nearest whole percentage point.
    (3) The estimated regional annual operating cost for furnaces is the 
sum of: (i) The product of the regional annual fuel energy consumption 
in Btu's per year for gas or oil furnaces or in kilowatt-hours per year 
for electric furnaces, determined according to section 10.5.1 or 10.5.3 
of appendix N of this subpart, respectively, and the representative 
average unit cost in dollars per Btu for gas or oil, or dollars per 
kilowatt-hour for electric, as appropriate, as provided pursuant to 
section 323(b)(2) of the Act, plus (ii) the product of the regional 
annual auxiliary electrical energy consumption in kilowatt-hours per 
year, determined according to section 10.5.2 of appendix N of this 
subpart, and the representative average unit cost in dollars per 
kilowatt-hour as provided pursuant to section 323(b)(2) of the Act, the 
resulting sum then being rounded off to the nearest dollar per year.
    (4) The energy factor for furnaces, expressed in percent, is the 
ratio of annual fuel output of useful energy delivered to the heated 
space to the total annual energy input to the furnace determined 
according to section 10.4 of appendix N of this subpart.
    (5) The average standby mode and off mode electrical power 
consumption for furnaces shall be determined according to section 8.6 of 
appendix N of this subpart. Round the average standby mode and off mode 
electrical power consumption to the nearest watt.
    (6) Other useful measures of energy consumption for furnaces shall 
be those measures of energy consumption which the Secretary determines 
are likely to assist consumers in making purchasing decisions and which 
are derived from the application of appendix N of this subpart.
    (o) Vented home heating equipment. (1) 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

[[Page 241]]

Btu divided by the sum of: (1) The product of the maximum fuel input in 
Btu's per hour as determined in 3.1.1 or 3.1.2 of appendix 0 of this 
subpart times the annual fuel utilization efficiency in percent as 
determined in 4.1.17, 4.2.6, or 4.3.7 of this appendix as appropriate 
divided by 100, plus (2) the product of the maximum electric power in 
watts as determined in 3.1.3 of appendix 0 of this subpart times the 
quantity 3.412; and (B) of the sum of: (1) the product of the maximum 
fuel input in Btu's per hour as determined in 3.1.1 of this appendix 
times the representative unit cost in dollars per Btu for natural gas, 
propane, or oil, as appropriate, as provided pursuant to section 
323(b)(2) of the Act; plus (2) the product of the maximum auxiliary 
electric power in kilowatts as determined in 3.1.3 of appendix O of this 
subpart times the representative unit cost in dollars per kilowatt-hour 
as provided pursuant to section 323(b)(2) of the Act, the resulting 
quantity shall be rounded off to the nearest 0.01 dollar per million Btu 
output.
    (4) Other useful measures of energy consumption for vented home 
heating equipment shall be those measures of energy consumption which 
the Secretary determines are likely to assist consumers in making 
purchasing decisions and which are derived from the application of 
appendix O of this subpart.
    (p) Pool heaters. (1) The estimated annual operating cost for pool 
heaters is the sum of:
    (i) The product of the average annual fuel energy consumption, in 
Btu's per year, of natural gas or oil fueled pool heaters, determined 
according to section 4.2 of appendix P of this subpart, and the 
representative average unit cost in dollars per Btu for natural gas or 
oil, as appropriate, as provided pursuant to section 323(b)(2) of the 
Act; plus
    (ii) The product of the average annual auxiliary electric energy 
consumption in kilowatt-hours per year determined according to section 
4.3 of appendix P of this subpart, and the representative average unit 
cost in dollars per kilowatt-hours as provided pursuant to section 
323(b)(2) of the Act, the resulting sum then being rounded off to the 
nearest dollar per year.
    (2) The thermal efficiency of pool heaters, expressed as a percent, 
shall be determined in accordance with section 4 of appendix P to this 
subpart.
    (q) Fluorescent Lamp Ballasts. (1) The Estimated Annual Energy 
Consumption (EAEC) for fluorescent lamp ballasts, expressed in kilowatt-
hours per year, shall be the product of:
    (i) The input power in kilowatts as determined in accordance with 
section 3.1.3.1 of appendix Q to this subpart; and
    (ii) The representative average use cycle of 1,000 hours per year, 
the resulting product then being rounded off to the nearest kilowatt-
hour per year.
    (2) Ballast Efficacy Factor (BEF) shall be as determined in section 
4.2 of appendix Q of this subpart.
    (3) The Estimated Annual Operating Cost (EAOC) for fluorescent lamp 
ballasts, expressed in dollars per year, shall be the product of:
    (i) The representative average unit energy cost of electricity in 
dollars per kilowatt-hour as provided by the Secretary,
    (ii) The representative average use cycle of 1,000 hours per year, 
and
    (iii) The input power in kilowatts as determined in accordance with 
section 3.1.3.1 of appendix Q to this subpart, the resulting product 
then being rounded off to the nearest dollar per year.
    (4) Standby power consumption of certain fluorescent lamp ballasts 
shall be measured in accordance with section 3.2 of appendix Q to this 
subpart.
    (r) General service fluorescent lamps, general service incandescent 
lamps, and incandescent reflector lamps. (1) The estimated annual energy 
consumption for general service fluorescent lamps, general service 
incandescent lamps, and incandescent reflector lamps, expressed in 
kilowatt-hours per year, shall be the product of the input power in 
kilowatts as determined in accordance with section 4 of appendix R to 
this subpart and an average annual use specified by the manufacturer, 
with the resulting product rounded off to the nearest kilowatt-hour per 
year. Manufacturers must provide a clear and accurate description of the 
assumptions used for the estimated annual energy consumption.

[[Page 242]]

    (2) The lamp efficacy for general service fluorescent lamps shall be 
equal to the average lumen output divided by the average lamp wattage as 
determined in section 4 of appendix R of this subpart, with the 
resulting quotient rounded off to the nearest tenth of a lumen per watt.
    (3) The lamp efficacy for general service incandescent lamps shall 
be equal to the average lumen output divided by the average lamp wattage 
as determined in section 4 of appendix R of this subpart, with the 
resulting quotient rounded off to the nearest tenth of a lumen per watt.
    (4) The lamp efficacy for incandescent reflector lamps shall be 
equal to the average lumen output divided by the average lamp wattage as 
determined in section 4 of appendix R of this subpart, with the 
resulting quotient rounded off to the nearest tenth of a lumen per watt.
    (5) The color rendering index of a general service fluorescent lamp 
shall be tested and determined in accordance with section 4.4 of 
appendix R of this subpart and rounded off to the nearest unit.
    (s) Faucets. The maximum permissible water use allowed for lavatory 
faucets, lavatory replacement aerators, kitchen faucets, and kitchen 
replacement aerators, expressed in gallons and liters per minute (gpm 
and L/min), shall be measured in accordance to section 2(a) of appendix 
S of this subpart. The maximum permissible water use allowed for 
metering faucets, expressed in gallons and liters per cycle (gal/cycle 
and L/cycle), shall be measured in accordance to section 2(a) of 
appendix S of this subpart.
    (t) Showerheads. The maximum permissible water use allowed for 
showerheads, expressed in gallons and liters per minute (gpm and L/min), 
shall be measured in accordance to section 2(b) of appendix S of this 
subpart.
    (u) Water closets. The maximum permissible water use allowed for 
water closets, expressed in gallons and liters per flush (gpf and Lpf), 
shall be measured in accordance to section 3(a) of appendix T of this 
subpart.
    (v) Urinals. The maximum permissible water use allowed for urinals, 
expressed in gallons and liters per flush (gpf and Lpf), shall be 
measured in accordance to section 3(b) of appendix T of this subpart.
    (w) Ceiling fans. The airflow and airflow efficiency for ceiling 
fans, expressed in cubic feet per minute (CFM) and CFM per watt (CFM/
watt), respectively, shall be measured in accordance with section 4 of 
appendix U of this subpart.
    (x) Ceiling fan light kits. The efficacy, expressed in lumens per 
watt (lumens/watt), for ceiling fan light kits with sockets for medium 
screw base lamps or pin-based fluorescent lamps shall be measured in 
accordance with section 4 of appendix V of this subpart.
    (y) Medium Base Compact Fluorescent Lamps. The initial efficacy, 
lumen maintenance at 1,000 hours, lumen maintenance at 40-percent of 
rated life, rapid cycle stress test, and lamp life shall be measured in 
accordance with section 4 of appendix W of this subpart.
    (z) Dehumidifiers. The energy factor for dehumidifiers, expressed in 
liters per kilowatt hour (L/kWh), shall be measured in accordance with 
section 4 of appendix X of this subpart.
    (aa) Battery Chargers. Upon the effective date of any energy 
conservation standard for battery chargers governing active and 
maintenance mode energy consumption, the 24-hour energy consumption of a 
battery charger in active and maintenance modes, expressed in watt-
hours, and the power consumption of a battery charger in maintenance 
mode, expressed in watts, shall be measured in accordance with section 
5.10 of appendix Y of this subpart. The power consumption of a battery 
charger in standby mode and off mode, expressed in watts, shall be 
measured in accordance with sections 5.11 and 5.12, respectively, of 
appendix Y of this subpart.
    (bb) External Power Supplies. The energy consumption of an external 
power supply, including active-mode efficiency expressed as a percentage 
and the no-load, off, and standby mode energy consumption levels 
expressed in watts, shall be measured in accordance with section 4 of 
appendix Z of this subpart.

[42 FR 27898, June 1, 1977]

    Editorial Note: For Federal Register citations affecting Sec. 
430.23, see the List of CFR

[[Page 243]]

Sections Affected, which appears in the Finding Aids section of the 
printed volume and at www.fdsys.gov.



Sec. 430.24  [Reserved]



Sec. 430.25  Laboratory Accreditation Program.

    Testing for fluorescent lamp ballasts performed in accordance with 
appendix Q1 to this subpart shall comply with this section Sec. 430.25. 
The testing for general service fluorescent lamps, general service 
incandescent lamps, and incandescent reflector lamps shall be performed 
in accordance with appendix R to this subpart. The testing for medium 
base compact fluorescent lamps shall be performed in accordance with 
appendix W of this subpart. This testing shall be conducted by test 
laboratories accredited by the National Voluntary Laboratory 
Accreditation Program (NVLAP) or by an accrediting organization 
recognized by NVLAP. NVLAP is a program of the National Institute of 
Standards and Technology, U.S. Department of Commerce. NVLAP standards 
for accreditation of laboratories that test for compliance with 
standards for fluorescent lamp ballast luminous efficiency (BLE), lamp 
efficacy, and CRI are set forth in 15 CFR part 285. A manufacturer's or 
importer's own laboratory, if accredited, may conduct the applicable 
testing. Testing for BLE may also be conducted by laboratories 
accredited by Underwriters Laboratories or Council of Canada. Testing 
for fluorescent lamp ballasts performed in accordance with appendix Q to 
this subpart is not required to be conducted by test laboratories 
accredited by NVLAP or an accrediting organization recognized by NVLAP.

[76 FR 25223, May 4, 2011]



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

    (a)(1) Any interested person may submit a petition to waive for a 
particular basic model any requirements of Sec. 430.23, or of any 
appendix to this subpart, upon the grounds that the basic model contains 
one or more design characteristics which either prevent testing of the 
basic model according to the prescribed test procedures, or the 
prescribed test procedures may evaluate the basic model in a manner so 
unrepresentative of its true energy consumption characteristics, or 
water consumption characteristics (in the case of faucets, showerheads, 
water closets, and urinals) as to provide materially inaccurate 
comparative data.
    (2) Any interested person who has submitted a Petition for Waiver as 
provided in this subpart may also file an Application for Interim Waiver 
of the applicable test procedure requirements.
    (b)(1) A Petition for Waiver shall be submitted either 
electronically to [email protected] or by mail, in 
triplicate, to U.S. Department of Energy, Building Technologies Program, 
Test Procedure Waiver, 1000 Independence Avenue, SW., Mailstop EE-2J, 
Washington, DC 20585-0121. Each Petition for Waiver shall:
    (2) An Application for Interim Waiver shall be submitted in 
triplicate, with the required three copies of the Petition for Waiver, 
to the Assistant Secretary for Conservation and Renewable Energy, U.S. 
Department of Energy. Each Application for Interim Waiver shall 
reference the Petition for Waiver by identifying the particular basic 
model(s) for which a waiver and temporary exception are being sought. 
Each Application for Interim Waiver shall demonstrate likely success of 
the Petition for Waiver and shall address what economic hardship and/or 
competitive disadvantage is likely to result absent a favorable 
determination on the Application for Interim Waiver. Each Application 
for Interim Waiver shall be signed by the applicant or by an authorized 
representative.
    (c)(1) Each petitioner, after filing a Petition for Waiver with DOE, 
and after the Petition for Waiver has been published in the Federal 
Register, shall, within five working days of such publication, notify in 
writing all known manufacturers of domestically marketed units of the 
same product type (as listed in section 322(a) of the Act) and shall 
include in the notice a statement that DOE has published in the Federal 
Register on a certain

[[Page 244]]

date the Petition for Waiver and supporting documents from which 
confidential information, if any, as determined by DOE, has been deleted 
in accordance with 10 CFR 1004.11. Each petitioner, in complying with 
the requirements of this paragraph, shall file with DOE a statement 
certifying the names and addresses of each person to whom a notice of 
the Petition for Waiver has been sent.
    (2) Each applicant for Interim Waiver, whether filing jointly with, 
or subsequent to, a Petition for Waiver with DOE, shall concurrently 
notify in writing all known manufacturers of domestically marketed units 
of the same product type (as listed in Section 322(a) of the Act) and 
shall include in the notice a copy of the Petition for Waiver and a copy 
of the Application for Interim Waiver. In complying with this section, 
each applicant shall in the written notification include a statement 
that the Assistant Secretary for Conservation and Renewable Energy will 
receive and consider timely written comments on the Application for 
Interim Waiver. Each applicant, upon filing an Application for Interim 
Waiver, shall in complying with the requirements of this paragraph 
certify to DOE that a copy of these documents have been sent to all 
known manufacturers of domestically marked units of the same product 
type (as listed in section 322(a) of the Act). Such certification shall 
include the names and addresses of such persons. Each applicant also 
shall comply with the provisions of paragraph (c)(1) of this section 
with respect to the petition for waiver.
    (d) Any person submitting written comments to DOE with respect to an 
Application for Interim Waiver shall also send a copy of the comments to 
the applicant.
    (e) If administratively feasible, applicant shall be notified in 
writing of the disposition of the Application for Interim Waiver within 
15 business days of receipt of the application. Notice of DOE's 
determination on the Application for Interim Waiver shall be published 
in the Federal Register.
    (f) The filing of an Application for Interim Waiver shall not 
constitute grounds for noncompliance with any requirements of this 
subpart, until an Interim Waiver has been granted.
    (g) An Interim Waiver from test procedure requirements will be 
granted by the Assistant Secretary for Conservation and Renewable Energy 
if it is determined that the applicant will experience economic hardship 
if the Application for Interim Waiver is denied, if it appears likely 
that the Petition for Waiver will be granted, and/or the Assistant 
Secretary determines that it would be desirable for public policy 
reasons to grant immediate relief pending a determination on the 
Petition for Waiver.
    (h) An interim waiver will terminate 180 days after issuance or upon 
the determination on the Petition for Waiver, whichever occurs first. An 
interim waiver may be extended by DOE for 180 days. Notice of such 
extension and/or any modification of the terms or duration of the 
interim waiver shall be published in the Federal Register, and shall be 
based on relevant information contained in the record and any comments 
received subsequent to issuance of the interim waiver.
    (i) Following publication of the Petition for Waiver in the Federal 
Register, a petitioner may, within 10 working days of receipt of a copy 
of any comments submitted in accordance with paragraph (b)(1) of this 
section, submit a rebuttal statement to the Assistant Secretary for 
Conservation and Renewable Energy. A petitioner may rebut more than one 
response in a single rebuttal statement.
    (j) The petitioner shall be notified in writing as soon as 
practicable of the disposition of each Petition for Waiver. The 
Assistant Secretary for Conservation and Renewable Energy shall issue a 
decision on the petition as soon as is practicable following receipt and 
review of the Petition for Waiver and other applicable documents, 
including, but not limited to, comments and rebuttal statements.
    (k) The filing of a Petition for Waiver shall not constitute grounds 
for noncompliance with any requirements of this subpart, until a waiver 
or interim waiver has been granted.
    (l) Waivers will be granted by the Assistant Secretary for 
Conservation and Renewable Energy, if it is determined

[[Page 245]]

that the basic model for which the waiver was requested contains a 
design characteristic which either prevents testing of the basic model 
according to the prescribed test procedures, or the prescribed test 
procedures may evaluate the basic model in a manner so unrepresentative 
of its true energy consumption characteristics, or water consumption 
characteristics (in the case of faucets, showerheads, water closets, and 
urinals) as to provide materially inaccurate comparative data. Waivers 
may be granted subject to conditions, which may include adherence to 
alternate test procedures specified by the Assistant Secretary for 
Conservation and Renewable Energy. The Assistant Secretary shall consult 
with the Federal Trade Commission prior to granting any waiver, and 
shall promptly publish in the Federal Register notice of each waiver 
granted or denied, and any limiting conditions of each waiver granted.
    (m) Within one year of the granting of any waiver, the Department of 
Energy will publish in the Federal Register a notice of proposed 
rulemaking to amend its regulations so as to eliminate any need for the 
continuation of such waiver. As soon thereafter as practicable, the 
Department of Energy will publish in the Federal Register a final rule. 
Such waiver will terminate on the effective date of such final rule.
    (n) In order to exhaust administrative remedies, any person 
aggrieved by an action under this section must file an appeal with the 
DOE's Office of Hearings and Appeals as provided in 10 CFR part 1003, 
subpart C.

[51 FR 42826, Nov. 26, 1986, as amended at 60 FR 15017, Mar. 21, 1995; 
63 FR 13316, Mar. 18, 1998; 76 FR 12502, Mar. 7, 2011]



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

    The provisions of appendix A shall apply to all products 
manufactured on or after the effective date of any amended standards 
promulgated by DOE pursuant to Section 325(b)(4) of the Energy Policy 
and Conservation Act of 1975, as amended by the Energy Independence and 
Security Act of 2007 (to be codified at 42 U.S.C. 6295(b)(4)).

                             1. Definitions

    Section 3, Definitions, of HRF-1-2008 (incorporated by reference; 
see Sec. 430.3) applies to this test procedure.
    1.1 ``Adjusted total volume'' means the sum of:
    (i) The fresh food compartment volume as defined in HRF-1-2008 
(incorporated by reference; see Sec. 430.3) in cubic feet, and
    (ii) The product of an adjustment factor and the net freezer 
compartment volume as defined in HRF-1-2008 in cubic feet.
    1.2 ``All-refrigerator'' means an electric refrigerator that does 
not include a compartment for the freezing and long time storage of food 
at temperatures below 32 [deg]F (0.0 [deg]C). It may include a 
compartment of 0.50 cubic-foot capacity (14.2 liters) or less for the 
freezing and storage of ice.
    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 the exterior or interior surfaces of the 
cabinet.
    1.4 ``Anti-sweat heater switch'' means a user-controllable switch or 
user interface which modifies the activation or control of anti-sweat 
heaters.
    1.5 ``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.
    1.6 ``Automatic icemaker'' means a device, that can be supplied with 
water without user intervention, either from a pressurized water supply 
system or by transfer from a water reservoir located inside the cabinet, 
that automatically produces, harvests, and stores ice in a storage bin, 
with means to automatically interrupt the harvesting operation when the 
ice storage bin is filled to a pre-determined level.
    1.7 ``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 to maintain the standardized temperatures (see section 
3.2).
    1.8 ``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.

[[Page 246]]

    1.9 ``Defrost cycle type'' means a distinct sequence of control 
whose function is to remove frost and/or ice from a refrigerated 
surface. There may be variations in the defrost control sequence such as 
the number of defrost heaters energized. Each such variation establishes 
a separate distinct defrost cycle type. However, defrost achieved 
regularly during the compressor off-cycles by warming of the evaporator 
without active heat addition is not a defrost cycle type.
    1.10 ``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; may include thermostatically 
controlled dampers or controls that mix the exterior and room air at low 
outdoor temperatures and exclude exterior air when the outdoor air 
temperature is above 80 [deg]F (26.7 [deg]C) or the room air 
temperature; and may have a thermostatically actuated exterior air fan.
    1.11 ``HRF-1-2008'' means AHAM Standard HRF-1-2008, Association of 
Home Appliance Manufacturers, Energy and Internal Volume of 
Refrigerating Appliances (2008), including Errata to Energy and Internal 
Volume of Refrigerating Appliances, Correction Sheet issued November 17, 
2009. Only sections of HRF-1-2008 (incorporated by reference; see Sec. 
430.3) specifically referenced in this test procedure are part of this 
test procedure. In cases where there is a conflict, the language of the 
test procedure in this appendix takes precedence over HRF-1-2008.
    1.12 ``Long-time automatic defrost'' means an automatic defrost 
system whose successive defrost cycles are separated by 14 hours or more 
of compressor operating time.
    1.13 ``Separate auxiliary compartment'' means a freezer compartment 
or a fresh food compartment of a refrigerator or refrigerator-freezer 
having more than two compartments that is not the first freezer 
compartment or the first fresh food compartment. Access to a separate 
auxiliary compartment is through a separate exterior door or doors 
rather than through the door or doors of another compartment. Separate 
auxiliary compartments may be convertible (e.g., from fresh food to 
freezer). Separate auxiliary freezer compartments may not be larger than 
the first freezer compartment and separate auxiliary fresh food 
compartments may not be larger than the first fresh food compartment, 
but such size restrictions do not apply to separate auxiliary 
convertible compartments.
    1.14 ``Special compartment'' means any compartment other than a 
butter conditioner, without doors directly accessible from the exterior, 
and with separate temperature control (such as crispers convertible to 
meat keepers) that is not convertible from fresh food temperature range 
to freezer temperature range.
    1.15 ``Stabilization period'' means the total period of time during 
which steady-state conditions are being attained or evaluated.
    1.16 ``Standard cycle'' means the cycle type in which the anti-sweat 
heater control, when provided, is set in the highest energy-consuming 
position.
    1.17 ``Variable anti-sweat heater control'' means an anti-sweat 
heater control that varies the average power input of the anti-sweat 
heater(s) based on operating condition variable(s) and/or ambient 
condition variable(s).
    1.18 ``Variable defrost control'' means an automatic defrost system 
in which successive defrost cycles are determined by an operating 
condition variable or variables other than solely compressor operating 
time. This includes any electrical or mechanical device performing this 
function. A control scheme that changes the defrost interval from a 
fixed length to an extended length (without any intermediate steps) is 
not considered a variable defrost control. A variable defrost control 
feature should predict the accumulation of frost on the evaporator and 
react accordingly. Therefore, the times between defrost should vary with 
different usage patterns and include a continuum of lengths of time 
between defrosts as inputs vary.

                           2. Test Conditions

    2.1 Ambient Temperature. The ambient temperature shall be 90.0 
 1 [deg]F (32.2  0.6 [deg]C) 
during the stabilization period and the test period.
    2.2 Operational Conditions. The electric refrigerator or electric 
refrigerator-freezer shall be installed and its operating conditions 
maintained in accordance with HRF-1-2008, (incorporated by reference; 
see Sec. 430.3), section 5.3 through section 5.5.5.5 (excluding section 
5.5.5.4). Exceptions and clarifications to the cited sections of HRF-1-
2008 are noted in sections 2.3 through 2.8, and 5.1 of this test 
procedure.
    2.3 Anti-Sweat Heaters. The anti-sweat heater switch is to be on 
during one test and off during a second test. In the case of an electric 
refrigerator-freezer equipped with variable anti-sweat heater control, 
the standard cycle energy use shall be the result of the calculation 
described in 6.2.3.
    2.4 Conditions for Automatic Defrost Refrigerator-Freezers. For 
automatic defrost refrigerator-freezers, the freezer compartments shall 
not be loaded with any frozen food packages during testing. Cylindrical 
metallic masses of dimensions 1.12  0.25

[[Page 247]]

inches (2.9  0.6 cm) in diameter and height shall 
be attached in good thermal contact with each temperature sensor within 
the refrigerated compartments. All temperature measuring sensor masses 
shall be supported by low-thermal-conductivity supports in such a manner 
to ensure that there will be at least 1 inch (2.5 cm) of air space 
separating the thermal mass from contact with any interior surface or 
hardware inside the cabinet. In case of interference with hardware at 
the sensor locations specified in section 5.1, the sensors shall be 
placed at the nearest adjacent location such that there will be a 1-inch 
air space separating the sensor mass from the hardware.
    2.5 Conditions for All-Refrigerators. There shall be no load in the 
freezer compartment during the test.
    2.6 The cabinet and its refrigerating mechanism shall be assembled 
and set up in accordance with the printed consumer instructions supplied 
with the cabinet. Set-up of the refrigerator or refrigerator-freezer 
shall not deviate from these instructions, unless explicitly required or 
allowed by this test procedure. Specific required or allowed deviations 
from such set-up include the following:
    (a) Connection of water lines and installation of water filters are 
not required;
    (b) Clearance requirements from surfaces of the product shall be as 
described in section 2.8 of this appendix;
    (c) The electric power supply shall be as described in HRF-1-2008 
(incorporated by reference; see Sec. 430.3), section 5.5.1;
    (d) Temperature control settings for testing shall be as described 
in section 3 below. Settings for convertible compartments and other 
temperature-controllable or special compartments shall be as described 
in section 2.7 of this appendix;
    (e) The product does not need to be anchored or otherwise secured to 
prevent tipping during energy testing;
    (f) All the product's chutes and throats required for the delivery 
of ice shall be free of packing, covers, or other blockages that may be 
fitted for shipping or when the icemaker is not in use; and
    (g) Ice storage bins shall be emptied of ice.
    For cases in which set-up is not clearly defined by this test 
procedure, manufacturers must submit a petition for a waiver (see 
section 7).
    2.7 Compartments that are convertible (e.g., from fresh food to 
freezer) shall be operated in the highest energy use position. For the 
special case of convertible separate auxiliary compartments, this means 
that the compartment shall be treated as a freezer compartment or a 
fresh food compartment, depending on which of these represents higher 
energy use. Special compartments shall be tested with controls set to 
provide the coldest temperature. However, for special compartments in 
which temperature control is achieved using the addition of heat 
(including resistive electric heating, refrigeration system waste heat, 
or heat from any other source, but excluding the transfer of air from 
another part of the interior of the product) for any part of the 
controllable temperature range of that compartment, the product energy 
use shall be determined by averaging two sets of tests. The first set of 
tests shall be conducted with such special compartments at their coldest 
settings, and the second set of tests shall be conducted with such 
special compartments at their warmest settings. The requirements for the 
warmest or coldest temperature settings of this section do not apply to 
features or functions associated with temperature control (such as fast 
chill compartments) that are initiated manually and terminated 
automatically within 168 hours.
    2.8 The space between the back of the cabinet and a vertical surface 
(the test room wall or simulated wall) shall be the minimum distance in 
accordance with the manufacturer's instructions. However, the clearance 
shall not be greater than 2 inches (51 mm) from the plane of the 
cabinet's back panel to the vertical surface. If permanent rear spacers 
extend further than this distance, the appliance shall be located with 
the spacers in contact with the vertical surface.
    2.9 Steady-State Condition. Steady-state conditions exist if the 
temperature measurements in all measured compartments taken at 4-minute 
intervals or less during a stabilization period are not changing at a 
rate greater than 0.042 [deg]F (0.023 [deg]C) per hour as determined by 
the applicable condition of A or B, described below.
    A. The average of the measurements during a 2-hour period if no 
cycling occurs or during a number of complete repetitive compressor 
cycles occurring through a period of no less than 2 hours is compared to 
the average over an equivalent time period with 3 hours elapsing between 
the two measurement periods.
    B. If A above cannot be used, the average of the measurements during 
a number of complete repetitive compressor cycles occurring through a 
period of no less than 2 hours and including the last complete cycle 
before a defrost period (or if no cycling occurs, the average of the 
measurements during the last 2 hours before a defrost period) are 
compared to the same averaging period before the following defrost 
period.
    2.10 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 30  1 [deg]F 
(1.7  0.6 [deg]C) to 90  1 
[deg]F (32.2  0.6 [deg]C).

[[Page 248]]

    2.10.1 Air Duct. The exterior air shall pass from the exterior air 
source to the test unit through an insulated air duct.
    2.10.2 Air Temperature Measurement. The air temperature entering the 
condenser or condenser/compressor compartment shall be maintained to 
 3 [deg]F (1.7 [deg]C) during the stabilization 
and test periods and shall be measured at the inlet point of the 
condenser or condenser/compressor compartment (``condenser inlet''). 
Temperature measurements shall be taken from at least three temperature 
sensors or one sensor per 4 square inches (25.8 square cm) of the air 
duct cross-sectional area, whichever is greater, and shall be averaged. 
For a unit that has a condenser air fan, a minimum of three temperature 
sensors at the condenser fan discharge shall be required. Temperature 
sensors shall be arranged to be at the centers of equally divided cross-
sectional areas. The exterior air temperature, at its source, shall be 
measured and maintained to  1 [deg]F (0.6 [deg]C) 
during the test period. The temperature measuring devices shall have an 
error no greater than  0.5 [deg]F ( 0.3 [deg]C). Measurements of the air temperature during 
the test period shall be taken at regular intervals not to exceed 4 
minutes.
    2.10.3 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[sec]  0.05[sec] water 
column (62 Pascals  12.5 Pascals) for all air flow 
rates supplied to the unit. The pressure sensor shall be located on a 
straight duct with a distance of at least 7.5 times the diameter of the 
duct upstream and a distance of at least 3 times the diameter of the 
duct downstream. There shall be four static pressure taps at 90[deg] 
angles apart. The four pressures shall be averaged by interconnecting 
the four pressure taps. The air pressure measuring instrument shall have 
an error no greater than 0.01'' water column (2.5 Pascals).

                        3. Test Control Settings

    3.1 Model with no User Operable Temperature Control. A test shall be 
performed to measure the compartment temperatures and energy use. A 
second test shall be performed with the temperature control electrically 
short circuited to cause the compressor to run continuously.
    3.2 Models with User Operable Temperature Control. Testing shall be 
performed in accordance with one of the following sections using the 
following standardized temperatures:
    All-Refrigerator: 39 [deg]F (3.9 [deg]C) fresh food compartment 
temperature;
    Refrigerator: 15 [deg]F (-9.4 [deg]C) freezer compartment 
temperature, 39 [deg]F (3.9 [deg]C) fresh food compartment temperature;
    Refrigerator-Freezer: 0 [deg]F (-17.8 [deg]C) freezer compartment 
temperature, 39 [deg]F (3.9 [deg]C) fresh food compartment temperature.
    For the purposes of comparing compartment temperatures with 
standardized temperatures, as described in sections 3.2.1 and 3.2.2, the 
freezer compartment temperature shall be as specified in section 5.1.4, 
and the fresh food compartment temperature shall be as specified in 
section 5.1.3.
    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. For mechanical control systems, knob 
detents shall be mechanically defeated if necessary to attain a median 
setting. For electronic control systems, the test shall be performed 
with all compartment temperature controls set at the average of the 
coldest and warmest settings--if there is no setting equal to this 
average, the setting closest to the average shall be used. If there are 
two such settings equally close to the average, the higher of these 
temperature control settings shall be used. A second test shall be 
performed with all controls set at their warmest setting or all controls 
set at their coldest setting (not electrically or mechanically 
bypassed). For all-refrigerators, this setting shall be the appropriate 
setting that attempts to achieve compartment temperatures measured 
during the two tests which bound (i.e., one is above and one is below) 
the standardized temperature for all-refrigerators. For refrigerators 
and refrigerator-freezers, the second test shall be conducted with all 
controls at their coldest setting, unless all compartment temperatures 
measured during the first part of the test are lower than the 
standardized temperatures, in which case the second test shall be 
conducted with all controls at their warmest setting. Refer to Table 1 
for all-refrigerators or Table 2 for refrigerators with freezer 
compartments and refrigerator-freezers to determine which test results 
to use in the energy consumption calculation. If any compartment is 
warmer than its standardized temperature for a test with all controls at 
their coldest position, the tested unit fails the test and cannot be 
rated.

                               Table 1--Temperature Settings for All-Refrigerators
----------------------------------------------------------------------------------------------------------------
                     First test                                     Second test
--------------------------------------------------------------------------------------------- Energy calculation
            Settings                    Results            Settings             Results            based on:
----------------------------------------------------------------------------------------------------------------
Mid.............................  Low...............  Warm..............  Low...............  Second Test Only.
                                                                          High..............  First and Second
                                                                                               Tests.

[[Page 249]]

 
                                  High..............  Cold..............  Low...............  First and Second
                                                                                               Tests.
                                                                          High..............  No Energy Use
                                                                                               Rating.
----------------------------------------------------------------------------------------------------------------


       Table 2--Temperature Settings for Refrigerators With Freezer Compartments and Refrigerator-Freezers
----------------------------------------------------------------------------------------------------------------
                     First test                                     Second test
--------------------------------------------------------------------------------------------- Energy calculation
            Settings                    Results            Settings             Results            based on:
----------------------------------------------------------------------------------------------------------------
Fzr Mid FF Mid..................  Fzr Low FF Low....  Fzr Warm FF Warm..  Fzr Low FF Low....  Second Test Only.
                                                                          Fzr Low FF High...  First and Second
                                                                                               Tests.
                                                                          Fzr High FF Low...  First and Second
                                                                                               Tests.
                                                                          Fzr High FF High..  First and Second
                                                                                               Tests.
                                  Fzr Low FF High...  Fzr Cold FF Cold..  Fzr Low FF High...  No Energy Use
                                                                                               Rating.
                                                                          Fzr Low FF Low....  First and Second
                                                                                               Tests.
                                  Fzr High FF Low...  Fzr Cold FF Cold..  Fzr High FF Low...  No Energy Use
                                                                                               Rating.
                                                                          Fzr Low FF Low....  First and Second
                                                                                               Tests.
                                  Fzr High FF High..  Fzr Cold FF Cold..  Fzr Low FF Low....  First and Second
                                                                                               Tests.
                                                                          Fzr Low FF High...  No Energy Use
                                                                                               Rating.
                                                                          Fzr High FF Low...  No Energy Use
                                                                                               Rating.
                                                                          Fzr High FF High..  No Energy Use
                                                                                               Rating.
----------------------------------------------------------------------------------------------------------------
Notes: Fzr = Freezer Compartment, FF = Fresh Food Compartment.

    3.2.2 Alternatively, a first test may be performed with all 
temperature controls set at their warmest setting. If all compartment 
temperatures are below the appropriate standardized temperatures, then 
the result of this test alone will be used to determine energy 
consumption. If this condition is not met, then the unit shall be tested 
in accordance with 3.2.1.
    3.2.3 Temperature Settings for Separate Auxiliary Convertible 
Compartments. For separate auxiliary convertible compartments tested as 
freezer compartments, the median setting shall be within 2 [deg]F (1.1 
[deg]C) of the standardized temperature, and the warmest setting shall 
be above 5 [deg]F (-15 [deg]C). For separate auxiliary convertible 
compartments tested as fresh food compartments, the median setting shall 
be within 2 [deg]F (1.1 [deg]C) of the standardized temperature, and the 
coldest setting shall be below 34 [deg]F (1.1 [deg]C). For compartments 
where control settings are not expressed as particular temperatures, the 
measured temperature of the convertible compartment rather than the 
settings shall meet the specified criteria.

                             4. Test Period

    Tests shall be performed by establishing the conditions set forth in 
section 2, and using the control settings set forth in section 3.
    4.1 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 no less than 3 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 
3 hours. If incomplete cycling occurs (i.e. less than two compressor 
cycles during a 24-hour period), the results of the 24-hour period shall 
be used.
    4.2 Automatic Defrost. If the model being tested has an automatic 
defrost system, the test time period shall start after steady-state 
conditions have been achieved and be from one point during a defrost 
period to the same point during the next defrost period. If the model 
being tested has a long-time automatic defrost system, the alternative 
provisions of 4.2.1 may be used. If the model being tested has a 
variable defrost control, the provisions of section 4.2.2 shall apply. 
If the model has a dual compressor system with automatic defrost for 
both systems, the provisions of 4.2.3 shall apply. If the model being 
tested has long-time automatic or variable defrost control involving 
multiple defrost cycle types, such as for a product with a single 
compressor and two or more evaporators in which the evaporators are 
defrosted at different frequencies, the provisions of section 4.2.4 
shall apply. If the model being tested has multiple defrost cycle types 
for which compressor run time between defrosts is a fixed time of less 
than 14 hours for all such cycle types, and for which the compressor run 
time between defrosts for different defrost cycle types are equal to or 
multiples of each other, the test time period shall be

[[Page 250]]

from one point of the defrost cycle type with the longest compressor run 
time between defrosts to the same point during the next occurrence of 
this defrost cycle type. For such products not using the section 4.2.4 
procedures, energy consumption shall be calculated as described in 
section 5.2.1.1.
    4.2.1 Long-time Automatic Defrost. If the model being tested has a 
long-time automatic defrost system, the two-part test described in this 
section may be used. The first part is a stable period of compressor 
operation that includes no portions of the defrost cycle, such as 
precooling or recovery, that is otherwise the same as the test for a 
unit having no defrost provisions (section 4.1). The second part is 
designed to capture the energy consumed during all of the events 
occurring with the defrost control sequence that are outside of stable 
operation.
    4.2.1.1 Cycling Compressor System. For a system with a cycling 
compressor, the second part starts at the termination of the last 
regular compressor ``on'' cycle. The average temperature of the 
compartment measured from the termination of the previous compressor 
``on'' cycle to the termination of the last regular compressor ``on'' 
cycle must be within 0.5 [deg]F (0.3 [deg]C) of the average temperature 
of the compartment measured for the first part of the test. If any 
compressor cycles occur prior to the defrost heater being energized that 
cause the average temperature in the compartment to deviate from the 
first part temperature by more than 0.5 [deg]F (0.3 [deg]C), these 
compressor cycles are not considered regular compressor cycles and must 
be included in the second part of the test. As an example, a ``precool'' 
cycle, which is an extended compressor cycle that lowers the compartment 
temperature prior to energizing the defrost heater, must be included in 
the second part of the test. The test period for the second part of the 
test ends at the initiation of the first regular compressor cycle after 
the compartment temperatures have fully recovered to their stable 
conditions. The average temperature of the compartment measured from 
this initiation of the first regular compressor ``on'' cycle until the 
initiation of the next regular compressor ``on'' cycle must be within 
0.5 [deg]F (0.3 [deg]C) of the average temperature of the compartment 
measured for the first part of the test. The second part of the test may 
be terminated after 4 hours if the above conditions cannot be met. See 
Figure 1.

[[Page 251]]

                                Figure 1
[GRAPHIC] [TIFF OMITTED] TR16DE10.005

    4.2.1.2 Non-cycling Compressor System. For a system with a non-
cycling compressor, the second part starts at a time before defrost 
during stable operation when the compartment temperature is within 0.5 
[deg]F (0.3 [deg]C) of the average temperature of the compartment 
measured for the first part of the test. The second part stops at a time 
after defrost during stable operation when the compartment temperature 
is within 0.5 [deg]F (0.3 [deg]C) of the average temperature of the 
compartment measured for the first part of the test. The second part of 
the test may be terminated after 4 hours if the above conditions cannot 
be met. See Figure 2.

[[Page 252]]

                                Figure 2
[GRAPHIC] [TIFF OMITTED] TR16DE10.006

    4.2.2 Variable Defrost Control. If the model being tested has a 
variable defrost control system, the test shall consist of the same two 
parts as the test for long-time automatic defrost (section 4.2.1).
    4.2.3 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 4.2.1 shall be used. The second part of the method 
will be conducted separately for each automatic defrost system. The 
components (compressor, fan motors, defrost heaters, anti-sweat heaters, 
etc.) associated with each system will be identified and their energy 
consumption will be separately measured during each test.
    4.2.4 Systems with Multiple Defrost Frequencies. This section 
applies to models with long-time automatic or variable defrost control 
with multiple defrost cycle types, such as models with single 
compressors and multiple evaporators in which the evaporators have 
different defrost frequencies. The two-part method in 4.2.1 shall be 
used. The second part of the method will be conducted separately for 
each distinct defrost cycle type. For defrost cycle types involving the 
defrosting of both fresh food and freezer compartments, the freezer 
compartment temperature shall be used to determine test period start and 
stop times.

                          5. Test Measurements

    5.1 Temperature Measurements. Temperature measurements shall be made 
at the locations prescribed in Figures 5.1 and 5.2 of HRF-1-2008 
(incorporated by reference; see Sec. 430.3) and shall be accurate to 
within  0.5 [deg]F (0.3 [deg]C). No freezer 
temperature measurements need be taken in an all-refrigerator model.
    If the interior arrangements of the cabinet do not conform with 
those shown in Figure 5.1 and 5.2 of HRF-1-2008, the product may be 
tested by relocating the temperature sensors from the locations 
specified in the figures to

[[Page 253]]

avoid interference with hardware or components within the cabinet, in 
which case the specific locations used for the temperature sensors shall 
be noted in the test data records maintained by the manufacturer in 
accordance with 10 CFR 429.14, and the certification report shall 
indicate that non-standard sensor locations were used.
    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 point in time. Measurements 
shall be taken at regular intervals not to exceed 4 minutes.
    5.1.2 Compartment Temperature. The compartment temperature for each 
test period shall be an average of the measured temperatures taken in a 
compartment during the test period as defined in section 4. For long-
time automatic defrost models, compartment temperatures shall be those 
measured in the first part of the test period specified in section 
4.2.1. For models with variable defrost controls, compartment 
temperatures shall be those measured in the first part of the test 
period specified in section 4.2.2.
    5.1.3 Fresh Food Compartment Temperature. The fresh food compartment 
temperature shall be calculated as:
[GRAPHIC] [TIFF OMITTED] TR16DE10.007

Where:

R is the total number of applicable fresh food compartments, which 
          include the first fresh food compartment and any number of 
          separate auxiliary fresh food compartments (including separate 
          auxiliary convertible compartments tested as fresh food 
          compartments in accordance with section 2.7);
TRi is the compartment temperature of fresh food compartment 
          ``i'' determined in accordance with section 5.1.2; and
VRi is the volume of fresh food compartment ``i''.

    5.1.4 Freezer Compartment Temperature. The freezer compartment 
temperature shall be calculated as:
[GRAPHIC] [TIFF OMITTED] TR16DE10.008

Where:

F is the total number of applicable freezer compartments, which include 
          the first freezer compartment and any number of separate 
          auxiliary freezer compartments (including separate auxiliary 
          convertible compartments tested as freezer compartments in 
          accordance with section 2.7);
TFi is the compartment temperature of freezer compartment 
          ``i'' determined in accordance with section 5.1.2; and
VFi is the volume of freezer compartment ``i''.
    5.2 Energy Measurements
    5.2.1 Per-Day Energy Consumption. The energy consumption in 
kilowatt-hours per day, ET, for each test period shall be the energy 
expended during the test period as specified in section 4 adjusted to a 
24-hour period. The adjustment shall be determined as follows.
    5.2.1.1 Nonautomatic and Automatic Defrost Models. The energy 
consumption in kilowatt-hours per day shall be calculated equivalent to:
ET = EP x 1440/T

Where:

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

    5.2.1.2 Long-time Automatic Defrost. If the two-part test method is 
used, the energy consumption in kilowatt-hours per day shall be 
calculated equivalent to:
ET = (1440 x EP1/T1) + (EP2 - (EP1 x T2/T1)) x (12/CT)

Where:

ET and 1440 are defined in 5.2.1.1;
EP1 = energy expended in kilowatt-hours during the first part of the 
          test;
EP2 = energy expended in kilowatt-hours during the second part of the 
          test;
T1 and T2 = length of time in minutes of the first and second test parts 
          respectively;

[[Page 254]]

CT = defrost timer run time or compressor run time between defrosts in 
          hours required to cause it to go through a complete cycle, 
          rounded to the nearest tenth of an hour; and
12 = factor to adjust for a 50-percent run time of the compressor in 
          hours per day.

    5.2.1.3 Variable Defrost Control. The energy consumption in 
kilowatt-hours per day shall be calculated equivalent to:
ET = (1440 x EP1/T1) + (EP2 - (EP1 x T2/T1)) x (12/CT),

Where:

1440 is defined in 5.2.1.1 and EP1, EP2, T1, T2, and 12 are defined in 
          5.2.1.2;
CT = (CTL x CTM)/(F x (CTM - 
          CTL) + CTL);
CTL = least or shortest compressor run time between defrosts 
          in hours rounded to the nearest tenth of an hour (greater than 
          or equal to 6 but less than or equal to 12 hours);
CTM = maximum compressor run time between defrosts in hours 
          rounded to the nearest tenth of an hour (greater than 
          CTL but not more than 96 hours);
F = ratio of per day energy consumption in excess of the least energy 
          and the maximum difference in per-day energy consumption and 
          is equal to 0.20
For variable defrost models with no values for CT L and 
          CTM in the algorithm, the default values of 12 and 
          84 shall be used, respectively.

    5.2.1.4 Dual Compressor Systems with Dual Automatic Defrost. The 
two-part test method in section 4.2.4 must be used, and the energy 
consumption in kilowatt-hours per day shall be calculated equivalent to:

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

Where:

1440, EP1, T1, EP2, 12, and CT are defined in 5.2.1.2;
EPF = freezer system energy in kilowatt-hours expended during 
          the first part of the test;
EP2F = freezer system energy in kilowatt-hours expended 
          during the second part of the test for the freezer system;
EPR = refrigerator system energy in kilowatt-hours expended 
          during the first part of the test;
EP2R = refrigerator system energy in kilowatt-hours expended 
          during the second part of the test for the refrigerator 
          system;
T2 and T3 = length of time in minutes of the second test part for the 
          freezer and refrigerator systems respectively;
CTF = compressor run time between freezer defrosts (in hours 
          rounded to the nearest tenth of an hour); and
CTR = compressor run time between refrigerator defrosts (in 
          hours rounded to the nearest tenth of an hour).

    5.2.1.5 Long-time or Variable Defrost Control for Systems with 
Multiple Defrost cycle Types. The energy consumption in kilowatt-hours 
per day shall be calculated equivalent to:
[GRAPHIC] [TIFF OMITTED] TR16DE10.009

Where:

1440 is defined in 5.2.1.1 and EP1, T1, and 12 are defined in 5.2.1.2;
i is a variable that can equal 1, 2, or more that identifies the 
          distinct defrost cycle types applicable for the refrigerator 
          or refrigerator-freezer;
EP2i = energy expended in kilowatt-hours during the second 
          part of the test for defrost cycle type i;
T2i = length of time in minutes of the second part of the 
          test for defrost cycle type i;
CTi is the compressor run time between instances of defrost 
          cycle type i, for long-time automatic defrost control equal to 
          a fixed time in hours rounded to the nearest tenth of an hour, 
          and for variable defrost control equal to (CTLi x 
          CTMi)/(F x (CTMi - CTLi) + 
          CTLi);

CTLi = least or shortest compressor run time between 
          instances of defrost cycle type i in hours rounded to the 
          nearest tenth of an hour (CTL for the defrost cycle 
          type with the longest compressor run time between defrosts 
          must be greater than or equal to 6 but less than or equal to 
          12 hours);
CTMi = maximum compressor run time between instances of 
          defrost cycle type i in hours rounded to the nearest tenth of 
          an hour (greater than CTLi but not more than 96 
          hours);
For cases in which there are more than one fixed CT value (for long-time 
          defrost models) or more than one CTM and/or 
          CTL value (for variable defrost models) for a given 
          defrost cycle type, an average fixed CT value or average 
          CTM and CTL values shall be selected for 
          this cycle type so

[[Page 255]]

          that 12 divided by this value or values is the frequency of 
          occurrence of the defrost cycle type in a 24-hour period, 
          assuming 50% compressor run time.
F = default defrost energy consumption factor, equal to 0.20.
For variable defrost models with no values for CTLi and 
          CTMi in the algorithm, the default values of 12 and 
          84 shall be used, respectively.
D is the total number of distinct defrost cycle types.

    5.3 Volume Measurements. The electric refrigerator or electric 
refrigerator-freezer total refrigerated volume, VT, shall be measured in 
accordance with HRF-1-2008, (incorporated by reference; see Sec. 
430.3), section 3.30 and sections 4.2 through 4.3, and be calculated 
equivalent to:

VT = VF + VFF

Where:

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

    In the case of refrigerators or refrigerator-freezers with automatic 
icemakers, the volume occupied by the automatic icemaker, including its 
ice storage bin, is to be included in the volume measurement.

    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 
or other sections expressly applicable to externally vented 
refrigerators or refrigerator-freezers.
    5.4.1 Operability of ``Thermostatic'' and ``Mixing of Air'' 
Controls. Before conducting energy consumption tests, the operability of 
thermostatic controls that permit the mixing of exterior and ambient air 
when exterior air temperatures are less than 60 [deg]F (15.6 [deg]C) 
must be verified. The operability of such controls shall be verified by 
operating the unit under ambient air temperature of 90 [deg]F (32.2 
[deg]C) and exterior air temperature of 45 [deg]F (7.2 [deg]C). If the 
inlet air entering the condenser or condenser/compressor compartment is 
maintained at 60  3 [deg]F (15.6  1.7 [deg]C), 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 
 3 [deg]F (15.6  1.7 
[deg]C), energy consumption of the unit shall also be measured under 
5.4.2.4.
    5.4.2 Energy Consumption Tests.
    5.4.2.1 Correction Factor Test. To enable calculation of a 
correction factor, K, two full cycle tests shall be conducted to measure 
energy consumption of the unit with air mixing controls disabled and the 
condenser inlet air temperatures set at 90 [deg]F (32.2 [deg]C) and 80 
[deg]F (26.7 [deg]C). Both tests shall be conducted with all compartment 
temperature controls set at the position midway between their warmest 
and coldest settings and the anti-sweat heater switch off. Record the 
energy consumptions ec90 and ec80, in kWh/day.
    5.4.2.2 Energy Consumption at 90 [deg]F. The unit shall be tested at 
90 [deg]F (32.2 [deg]C) exterior air temperature to record the energy 
consumptions (e90)i in kWh/day. For a given 
setting of the anti-sweat heater, the value i corresponds to each of the 
two states of the compartment temperature control positions.
    5.4.2.3 Energy Consumption at 60 [deg]F. The unit shall be tested at 
60 [deg]F (26.7 [deg]C) exterior air temperature to record the energy 
consumptions (e60)i in kWh/day. For a given 
setting of the anti-sweat heater, the value i corresponds to each of the 
two states of the compartment temperature control positions.
    5.4.2.4 Energy Consumption if Mixing Controls do not Operate 
Properly. If the operability of temperature and mixing controls has not 
been verified as required under 5.4.1, the unit shall be tested at 50 
[deg]F (10.0 [deg]C) and 30 [deg]F (-1.1 [deg]C) exterior air 
temperatures to record the energy consumptions 
(e50)i and (e30)i. For a 
given setting of the anti-sweat heater, the value i corresponds to each 
of the two states of the compartment temperature control positions.

        6. Calculation of Derived Results From Test Measurements

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

VA = (VF x CR) + VFF

Where:

VA = adjusted total volume in cubic feet;
VF and VFF are defined in 5.3; and
CR = dimensionless adjustment factor of 1.47 for refrigerators other 
          than all-refrigerators, or 1.0 for all-refrigerators.

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

VA = (VF x CRF) + VFF

Where:

VF and VFF are defined in 5.3 and VA is defined in 6.1.1, and
CRF = dimensionless adjustment factor of 1.76.

    6.2 Average Per-Cycle Energy Consumption.
    6.2.1 All-Refrigerator Models. The average per-cycle energy 
consumption for a cycle type, E, is expressed in kilowatt-hours per

[[Page 256]]

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 
39.0 [deg]F (3.9 [deg]C), the average per-cycle energy consumption shall 
be equivalent to:

E = ET1

Where:

ET is defined in 5.2.1; and
The number 1 indicates the test period during which the highest fresh 
          food compartment temperature is measured.

    6.2.1.2 If one of the fresh food compartment temperatures measured 
for a test period is greater than 39.0 [deg]F (3.9 [deg]C), the average 
per-cycle energy consumption shall be equivalent to:

E = ET1 + ((ET2 - ET1) x (39.0 - TR1)/(TR2 - TR1))

Where:

ET is defined in 5.2.1;
TR = fresh food compartment temperature determined according to 5.1.3 in 
          degrees F;
The numbers 1 and 2 indicate measurements taken during the first and 
          second test period as appropriate; and
39.0 = standardized fresh food compartment temperature in degrees F.

    6.2.2 Refrigerators and Refrigerator-Freezers. The average per-cycle 
energy consumption for a cycle type, E, is expressed in kilowatt-hours 
per-cycle to the nearest one hundredth (0.01) kilowatt-hour and shall be 
defined in one of the following ways as applicable.
    6.2.2.1 If the fresh food compartment temperature is at or below 39 
[deg]F (3.9 [deg]C) in both tests and the freezer compartment 
temperature is at or below 15 [deg]F (-9.4 [deg]C) in both tests of a 
refrigerator or at or below 0 [deg]F (-17.8 [deg]C) in both tests of a 
refrigerator-freezer, the per-cycle energy consumption shall be:

E = ET1 + IET

Where:

ET is defined in 5.2.1;
IET, expressed in kilowatt-hours per cycle, equals 0.23 for a product 
          with an automatic icemaker and otherwise equals 0 (zero); and
The number 1 indicates the test period during which the highest freezer 
          compartment temperature was measured.

    6.2.2.2 If the conditions of 6.2.2.1 do not exist, the per-cycle 
energy consumption shall be defined by the higher of the two values 
calculated by the following two formulas:

E = ET1 + ((ET2 - ET1) x (39.0 - TR1)/(TR2 - TR1)) + IET

and

E = ET1 + ((ET2 - ET1) x (k - TF1)/(TF2 - TF1)) + IET

Where:

E is defined in 6.2.1.1;
ET is defined in 5.2.1;
IET is defined in 6.2.2.1;
TR and the numbers 1 and 2 are defined in 6.2.1.2;
TF = freezer compartment temperature determined according to 5.1.4 in 
          degrees F;
39.0 is a specified fresh food compartment temperature in degrees F; and
k is a constant 15.0 for refrigerators or 0.0 for refrigerator-freezers, 
          each being standardized freezer compartment temperatures in 
          degrees F.

    6.2.3 Variable Anti-Sweat Heater Models. The standard cycle energy 
consumption of an electric refrigerator-freezer with a variable anti-
sweat heater control (Estd), expressed in kilowatt-hours per 
day, shall be calculated equivalent to:

Estd = E + (Correction Factor) where E is determined by 
          6.2.1.1, 6.2.1.2, 6.2.2.1, or 6.2.2.2, whichever is 
          appropriate, with the anti-sweat heater switch in the ``off'' 
          position or, for a product without an anti-sweat heater 
          switch, the anti-sweat heater in its lowest energy use state.
Correction Factor = (Anti-sweat Heater Power x System-loss Factor) x (24 
          hrs/1 day) x (1 kW/1000 W)

Where:

Anti-sweat Heater Power = 0.034 * (Heater Watts at 5%RH)
+ 0.211 * (Heater Watts at 15%RH)
+ 0.204 * (Heater Watts at 25%RH)
+ 0.166 * (Heater Watts at 35%RH)
+ 0.126 * (Heater Watts at 45%RH)
+ 0.119 * (Heater Watts at 55%RH)
+ 0.069 * (Heater Watts at 65%RH)
+ 0.047 * (Heater Watts at 75%RH)
+ 0.008 * (Heater Watts at 85%RH)
+ 0.015 * (Heater Watts at 95%RH)
Heater Watts at a specific relative humidity = the nominal watts used by 
          all heaters at that specific relative humidity, 72 [deg]F 
          (22.2 [deg]C) ambient, and DOE reference temperatures of fresh 
          food (FF) average temperature of 39 [deg]F (3.9 [deg]C) and 
          freezer (FZ) average temperature of 0 [deg]F (-17.8 [deg]C).
System-loss Factor = 1.3.

    6.3 Externally vented refrigerator or refrigerator-freezers. Per-
cycle energy consumption measurements for an 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.

[[Page 257]]

    6.3.1 Correction Factor. The correction factor, K, shall be 
calculated as:

K = ec90/ec80

Where:

ec90 and ec80 are measured in section 5.4.2.1.

    6.3.2 Combining Test Results of Different Settings of Compartment 
Temperature Controls. For a given setting of the anti-sweat heater, 
follow the calculation procedures of 6.2 to combine the test results for 
energy consumption of the unit at different temperature control settings 
for each condenser inlet air temperature tested under 5.4.2.2, 5.4.2.3, 
and 5.4.2.4, where applicable, (e90)i, 
(e60)i, (e50)i, and 
(e30)i. The combined values, 90, 
60, 50, and 30, where applicable, are 
expressed in kWh/day.
    6.3.3 Energy Consumption Corrections. For a given setting of the 
anti-sweat heater, adjust the energy consumptions 90, 
60, 50, and 30 calculated in 6.3.2 by 
multiplying the correction factor K to obtain the corrected energy 
consumptions per day in kWh/day:

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

Where:

K is determined under section 6.3.1; and 90, 60, 
          50, and 30 are determined under section 
          6.3.2.

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

EX = E60 + (E90 - E60) x 
          (TX - 60)/30

Where:

TX is the exterior air temperature in [deg]F;
60 is the exterior air temperature in [deg]F for the test of section 
          5.4.2.3;
30 is the difference between 90 and 60;
E60 and E90 are determined in section 6.3.3.

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

EN = 0.523 x E60 + 0.165 x E65 + 0.181 
          x E75 + 0.131 x E80, for units not 
          tested under section 5.4.2.4; and
EN = 0.257 x E30 + 0.266 x E50 + 0.165 
          x E65 + 0.181 x E75 + 0.131 x 
          E80, for units tested under section 5.4.2.4

Where:

E30, E50, and E60 are defined in 6.3.3;
E65, E75, and E80 are defined in 6.3.5;
and
the coefficients 0.523, 0.165, 0.181, 0.131, 0.257 and 0.266 are 
          weather-associated weighting factors.

    6.3.7 Regional Average Per-Cycle Energy Consumption. If regional 
average per-cycle energy consumption is required to be calculated for a 
given setting of the anti-sweat heater, calculate the regional average 
per-cycle energy consumption, ER, in kWh/day, for the regions 
in Figure 3. Use one of the following equations and the coefficients in 
Table A:
ER = a1 x E60 + c x E65 + d 
          x E75 + e x E80, for a unit that is not 
          required to be tested under section 5.4.2.4; or
ER = a x E30 + b x E50 + c x 
          E65 + d x E75 + e x E80, for 
          a unit tested under section 5.4.2.4

Where:

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

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


[[Page 258]]

[GRAPHIC] [TIFF OMITTED] TR16DE10.010

                        7. Test Procedure Waivers

    To the extent that the procedures contained in this appendix do not 
provide a means for determining the energy consumption of a refrigerator 
or refrigerator-freezer, a manufacturer must obtain a waiver under 10 
CFR 430.27 to establish an acceptable test procedure for each such 
product. Such instances could, for example, include situations where the 
test set-up for a particular refrigerator or refrigerator-freezer basic 
model is not clearly defined by the provisions of section 2. For details 
regarding the criteria and procedures for obtaining a waiver, please 
refer to 10 CFR 430.27.

[75 FR 78851, Dec. 16, 2010, as amended at 76 FR 12502, Mar. 7, 2011; 76 
FR 24781, May 2, 2011]



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

    The provisions of appendix A1 shall apply to all products 
manufactured prior to the effective date of any amended standards 
promulgated by DOE pursuant to Section 325(b)(4) of the Energy Policy 
and Conservation Act of 1975, as amended by the Energy Independence and 
Security Act of 2007 (to be codified at 42 U.S.C. 6295(b)(4)).

                             1. Definitions

    Section 3, Definitions, of HRF-1-1979 (incorporated by reference; 
see Sec. 430.3) applies to this test procedure.
    1.1 ``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.
    1.2 ``All-refrigerator'' means an electric refrigerator which does 
not include a compartment for the freezing and long time storage of food 
at temperatures below 32 [deg]F (0.0 [deg]C). It may include a 
compartment of 0.50 cubic feet capacity (14.2 liters) or less for the 
freezing and storage of ice.
    1.3 ``Anti-sweat heater'' means a device incorporated into the 
design of a refrigerator or refrigerator-freezer to prevent the 
accumulation of moisture on exterior or interior surfaces of the 
cabinet.
    1.4 ``Anti-sweat heater switch'' means a user-controllable switch or 
user interface which modifies the activation or control of anti-sweat 
heaters.
    1.5 ``Automatic defrost'' means a system in which the defrost cycle 
is automatically

[[Page 259]]

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.
    1.6 ``Automatic icemaker'' means a device that can be supplied with 
water without user intervention, either from a pressurized water supply 
system or by transfer from a water reservoir located inside the cabinet, 
that automatically produces, harvests, and stores ice in a storage bin, 
with means to automatically interrupt the harvesting operation when the 
ice storage bin is filled to a pre-determined level.
    1.7 ``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 to maintain the standardized temperatures (see section 
3.2).
    1.8 ``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.
    1.9 ``Defrost cycle type'' means a distinct sequence of control 
whose function is to remove frost and/or ice from a refrigerated 
surface. There may be variations in the defrost control sequence such as 
the number of defrost heaters energized. Each such variation establishes 
a separate distinct defrost cycle type. However, defrost achieved 
regularly during the compressor off-cycles by warming of the evaporator 
without active heat addition is not a defrost cycle type.
    1.10 ``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; may include thermostatically 
controlled dampers or controls that mix the exterior and room air at low 
outdoor temperatures and exclude exterior air when the outdoor air 
temperature is above 80 [deg]F (26.7 [deg]C) or the room air 
temperature; and may have a thermostatically actuated exterior air fan.
    1.11 ``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. Only 
sections of HRF-1-1979 (incorporated by reference; see Sec. 430.3) 
specifically referenced in this test procedure are part of this test 
procedure. In cases where there is a conflict, the language of the test 
procedure in this appendix takes precedence over HRF-1-1979.
    1.12 ``Long-time Automatic Defrost'' means an automatic defrost 
system where successive defrost cycles are separated by 14 hours or more 
of compressor-operating time.
    1.13 ``Separate auxiliary compartment'' means a freezer compartment 
or a fresh food compartment of a refrigerator or refrigerator-freezer 
having more than two compartments that is not the first freezer 
compartment or the first fresh food compartment. Access to a separate 
auxiliary compartment is through a separate exterior door or doors 
rather than through the door or doors of another compartment. Separate 
auxiliary compartments may be convertible (e.g., from fresh food to 
freezer). Separate auxiliary freezer compartments may not be larger than 
the first freezer compartment and separate auxiliary fresh food 
compartments may not be larger than the first fresh food compartment, 
but such size restrictions do not apply to separate auxiliary 
convertible compartments.
    1.14 ``Special compartment'' means any compartment other than a 
butter conditioner, without doors directly accessible from the exterior, 
and with separate temperature control (such as crispers convertible to 
meat keepers) that is not convertible from fresh food temperature range 
to freezer temperature range.
    1.15 ``Stabilization Period'' means the total period of time during 
which steady-state conditions are being attained or evaluated.
    1.16 ``Standard cycle'' means the cycle type in which the anti-sweat 
heater control, when provided, is set in the highest energy consuming 
position.
    1.17 ``Variable anti-sweat heater control'' means an anti-sweat 
heater control that varies the average power input of the anti-sweat 
heater(s) based on operating condition variable(s) and/or ambient 
condition variable(s).
    1.18 ``Variable defrost control'' means an automatic defrost system 
in which successive defrost cycles are determined by an operating 
condition variable or variables other than solely compressor operating 
time. This includes any electrical or mechanical device performing this 
function. A control scheme that changes the defrost interval from a 
fixed length to an extended length (without any intermediate steps) is 
not considered a variable defrost control. A variable defrost

[[Page 260]]

control feature should predict the accumulation of frost on the 
evaporator and react accordingly. Therefore, the times between defrost 
should vary with different usage patterns and include a continuum of 
lengths of time between defrosts as inputs vary.

                           2. Test Conditions

    2.1 Ambient Temperature. The ambient temperature shall be 90.0 
 1 [deg]F (32.2  0.6 [deg]C) 
during the stabilization period and the test period.
    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, (incorporated by reference; 
see Sec. 430.3), 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 1 foot (30.5 cm) above the 
unit under test. Defrost controls are to be operative. Other exceptions 
and provisions to the cited sections of HRF-1-1979 are noted in sections 
2.3 through 2.8, and 5.1 of this appendix.
    2.3 Anti-Sweat Heaters.
    The anti-sweat heater switch is to be on during one test and off 
during a second test. In the case of an electric refrigerator-freezer 
with variable anti-sweat heater control, the standard cycle energy use 
shall be the result of the calculation described in 6.2.3.
    2.4 Conditions for Automatic Defrost Refrigerator-Freezers. For 
automatic defrost refrigerator-freezers, the freezer compartments shall 
not be loaded with any frozen food packages during testing. Cylindrical 
metallic masses of dimensions 1.12  0.25 inches 
(2.9  0.6 cm) in diameter and height shall be 
attached in good thermal contact with each temperature sensor within the 
refrigerated compartments. All temperature measuring sensor masses shall 
be supported by low-thermal-conductivity supports in such a manner to 
ensure that there will be at least 1 inch (2.5 cm) of air space 
separating the thermal mass from contact with any interior surface or 
hardware inside the cabinet. In case of interference with hardware at 
the sensor locations specified in section 5.1, the sensors shall be 
placed at the nearest adjacent location such that there will be a 1-inch 
air space separating the sensor mass from the hardware.
    2.5 Conditions for all-refrigerators. There shall be no load in the 
freezer compartment during the test.
    2.6 The cabinet and its refrigerating mechanism shall be assembled 
and set up in accordance with the printed consumer instructions supplied 
with the cabinet. Set-up of the refrigerator or refrigerator-freezer 
shall not deviate from these instructions, unless explicitly required or 
allowed by this test procedure. Specific required or allowed deviations 
from such set-up include the following:
    (a) Connection of water lines and installation of water filters are 
not required;
    (b) Clearance requirements from surfaces of the product shall be as 
described in section 2.8 below;
    (c) The electric power supply shall be as described in HRF-1-1979 
(incorporated by reference; see Sec. 430.3) section 7.4.1;
    (d) Temperature control settings for testing shall be as described 
in section 3 below. Settings for convertible compartments and other 
temperature-controllable or special compartments shall be as described 
in section 2.7 of this appendix;
    (e) The product does not need to be anchored or otherwise secured to 
prevent tipping during energy testing; and
    (f) All the product's chutes and throats required for the delivery 
of ice shall be free of packing, covers, or other blockages that may be 
fitted for shipping or when the icemaker is not in use.

For cases in which set-up is not clearly defined by this test procedure, 
manufacturers must submit a petition for a waiver (see section 7).

    2.7 Compartments that are convertible (e.g., from fresh food to 
freezer) shall be operated in the highest energy use position. For the 
special case of convertible separate auxiliary compartments, this means 
that the compartment shall be treated as a freezer compartment or a 
fresh food compartment, depending on which of these represents higher 
energy use. Special compartments shall be tested with controls set to 
provide the coldest temperature. This requirement for the coldest 
temperature does not apply to features or functions associated with 
temperature control (such as fast chill compartments) that are initiated 
manually and terminated automatically within 168 hours.
    2.8 The space between the back of the cabinet and a vertical surface 
(the test room wall or simulated wall) shall be the minimum distance in 
accordance with the manufacturer's instructions.
    2.9 Steady State Condition. Steady state conditions exist if the 
temperature measurements in all measured compartments taken at four 
minute intervals or less during a stabilization period are not changing 
at a rate greater than 0.042 [deg]F. (0.023 [deg]C.) per hour as 
determined by the applicable condition of A or B.
    A. The average of the measurements during a two hour period if no 
cycling occurs or during a number of complete repetitive compressor 
cycles through a period of no less than two hours is compared to the 
average

[[Page 261]]

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.
    2.10 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  1 [deg]F 
(1.7  0.6 [deg]C) to 90  1 
[deg]F (32.2  0.6 [deg]C).
    2.10.1 Air duct. The exterior air shall pass from the exterior air 
source to the test unit through an insulated air duct.
    2.10.2 Air temperature measurement. The air temperature entering the 
condenser or condenser/compressor compartment shall be maintained to 
 3 [deg]F (1.7 [deg]C) during the stabilization 
and test periods and shall be measured at the inlet point of the 
condenser or condenser/compressor compartment (``condenser inlet''). 
Temperature measurements shall be taken from at least three temperature 
sensors or one sensor per 4 square inches of the air duct cross 
sectional area, whichever is greater, and shall be averaged. For a unit 
that has a condenser air fan, a minimum of three temperature sensors at 
the condenser fan discharge shall be required. Temperature sensors shall 
be arranged to be at the centers of equally divided cross sectional 
areas. The exterior air temperature, at its source, shall be measured 
and maintained to  1 [deg]F (0.6 [deg]C) during 
the test period. The temperature measuring devices shall have an error 
not greater than  0.5 [deg]F ( 0.3 [deg]C). Measurements of the air temperature during 
the test period shall be taken at regular intervals not to exceed four 
minutes.
    2.10.3 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  
0.05 water column (62 Pa  12.5 Pa) for 
all air flow rates supplied to the unit. The pressure sensor shall be 
located on a straight duct with a distance of at least 7.5 times the 
diameter of the duct upstream and a distance of at least 3 times the 
diameter of the duct downstream. There shall be four static pressure 
taps at 90[deg]angles apart. The four pressures shall be averaged by 
interconnecting the four pressure taps. The air pressure measuring 
instrument shall have an error not greater than 0.01 water 
column (2.5 Pa).

                        3. Test Control Settings

    3.1 Model with no user operable temperature control. A test shall be 
performed during which the compartment temperatures and energy use shall 
be measured. A second test shall be performed with the temperature 
control electrically short circuited to cause the compressor to run 
continuously.
    3.2 Model with User Operable Temperature Control. Testing shall be 
performed in accordance with one of the following sections using the 
standardized temperatures of:
    All-Refrigerator: 38 [deg]F (3.3 [deg]C) fresh food compartment 
temperature;
    Refrigerator: 15 [deg]F (-9.4 [deg]C) freezer compartment 
temperature, 45 [deg]F (7.2 [deg]C) fresh food compartment temperature;
    Refrigerator-Freezer: 5 [deg]F (-15 [deg]C) freezer compartment 
temperature, 45 [deg]F (7.2 [deg]C) fresh food compartment temperature.

For the purposes of comparing compartment temperatures with standardized 
temperatures, as described in sections 3.2.1 through 3.2.3, the freezer 
compartment temperature shall be as specified in section 5.1.4, and the 
fresh food compartment temperature shall be as specified in section 
5.1.3.
    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. For mechanical control systems, knob 
detents shall be mechanically defeated if necessary to attain a median 
setting. For electronic control systems, the test shall be performed 
with all compartment temperature controls set at the average of the 
coldest and warmest settings--if there is no setting equal to this 
average, the setting closest to the average shall be used. If there are 
two such settings equally close to the average, the higher of these 
temperature control settings shall be used. A second test shall be 
performed with all controls set at their warmest setting or all controls 
set at their coldest setting (not electrically or mechanically 
bypassed). For all-refrigerators, this setting shall be the appropriate 
setting that attempts to achieve compartment temperatures measured 
during the two tests which bound (i.e., one is above and one is below) 
the standardized temperature for all-refrigerators. For refrigerators 
and refrigerator-freezers, the second test shall be conducted with all 
controls at their coldest setting, unless all compartment temperatures 
measured during the first part of the test are lower than the 
standardized temperatures, in which case the second test shall be 
conducted with all controls at their warmest setting. If (a) the 
measured temperature of any compartment with all controls set at their 
coldest settings is above its standardized temperature, a third test 
shall be performed with all controls set at their warmest settings and 
the result of this test

[[Page 262]]

shall be used with the result of the test performed with all controls 
set at their coldest settings to determine energy consumption. If (b) 
the measured temperatures of all compartments with all controls set at 
their warmest settings are below their standardized temperatures then 
the result of this test alone will be used to determine energy 
consumption. If neither (a) nor (b) occur, then the results of the first 
two tests shall 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 measured 
temperatures of all compartments for this test are below their 
standardized temperatures then the result of this test alone will be 
used to determine energy consumption. If this condition is not met, then 
the unit shall be tested in accordance with 3.2.1 of this appendix.
    3.2.3 Alternatively, a first test may be performed with all 
temperature controls set at their coldest setting. If the measured 
temperature of any compartment for this test is above its standardized 
temperature, a second test shall be performed with all controls set at 
their warmest settings and the result of this test shall be used with 
the result of the test performed with all controls set at their coldest 
settings to determine energy consumption. If this condition is not met, 
then the unit shall be tested in accordance with 3.2.1 of this appendix.
    3.2.4 Temperature Settings for Separate Auxiliary Convertible 
Compartments. For separate auxiliary convertible compartments tested as 
freezer compartments, the median setting shall be within 2 [deg]F (1.1 
[deg]C) of the standardized temperature, and the warmest setting shall 
be above 10 [deg]F (-12.2 [deg]C). For separate auxiliary convertible 
compartments tested as fresh food compartments, the median setting shall 
be within 2 [deg]F (1.1 [deg]C) of the standardized temperature, and the 
coldest setting shall be below 40 [deg]F (4.4 [deg]C). For compartments 
where control settings are not expressed as particular temperatures, the 
measured temperature of the convertible compartment rather than the 
settings shall meet the specified criteria.

                             4. Test Period

    Tests shall be performed by establishing the conditions set forth in 
section 2, and using the control settings set forth in section 3.
    4.1 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 no less than 3 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 
3 hours. If incomplete cycling occurs (i.e. less than two compressor 
cycles during a 24-hour period), the results of the 24-hour period shall 
be used.
    4.2 Automatic Defrost. If the model being tested has an automatic 
defrost system, the test time period shall start after steady-state 
conditions have been achieved and be from one point during a defrost 
period to the same point during the next defrost period. If the model 
being tested has a long-time automatic defrost system, the alternative 
provisions of 4.2.1 may be used. If the model being tested has a 
variable defrost control, the provisions of section 4.2.2 shall apply. 
If the model has a dual compressor system with automatic defrost for 
both systems, the provisions of 4.2.3 shall apply.
    4.2.1 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. The first part would be the same as the test for a unit 
having no defrost provisions (section 4.1). The second part would start 
when a defrost cycle is initiated when the compressor ``on'' cycle is 
terminated prior to start of the defrost heater and terminates at the 
second turn ``on'' of the compressor or 4 hours from the initiation of 
the defrost heater, whichever comes first. See diagram in Figure 1 to 
this section.

[[Page 263]]

[GRAPHIC] [TIFF OMITTED] TR16DE10.011

    4.2.2 Variable Defrost Control. If the model being tested has a 
variable defrost control system, the test shall consist of the same two 
parts as the test for long-time automatic defrost (section 4.2.1).
    4.2.3 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 4.2.1 shall be used. The second part of the method 
will be conducted separately for each automatic defrost system. The 
components (compressor, fan motors, defrost heaters, anti-sweat heaters, 
etc.) associated with each system will be identified and their energy 
consumption will be separately measured during each test.

                          5. Test Measurements

    5.1 Temperature Measurements. Temperature measurements shall be made 
at the locations prescribed in Figures 7.1 and 7.2 of HRF-1-1979 
(incorporated by reference; see Sec. 430.3) and shall be accurate to 
within  0.5 [deg]F (0.3 [deg]C). No freezer 
temperature measurements need be taken in an all-refrigerator model. If 
the interior arrangements of the cabinet do not conform with those shown 
in Figure 7.1 and 7.2 of HRF-1-1979, the product may be tested by 
relocating the temperature sensors from the locations specified in the 
figures to avoid interference with hardware or components within the 
cabinet, in which case the specific locations used for the temperature 
sensors shall be noted in the test data records maintained by the 
manufacturer in accordance with 10 CFR 429.14, and the certification 
report shall indicate that non-standard sensor locations were used.

[[Page 264]]

    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 one or more complete compressor cycles. 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 section 4.2.1. For models with variable defrost 
controls, compartment temperatures shall be those measured in the first 
part of the test period specified in section 4.2.2.
    5.1.2.1 The number of complete compressor 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 compressor cycles over a time period exceeding 1 
hour, whichever is greater. One of the compressor cycles shall be the 
last complete compressor cycle during the test period.
    5.1.2.2 If no compressor cycling occurs, the compartment temperature 
shall be the average of the measured temperatures taken during the last 
32 minutes of the test period.
    5.1.2.3 If incomplete compressor cycling occurs, the compartment 
temperatures shall be the average of the measured temperatures taken 
during the last three hours of the last complete compressor ``on'' 
period.
    5.1.3 Fresh Food Compartment Temperature. The fresh food compartment 
temperature shall be calculated as:
[GRAPHIC] [TIFF OMITTED] TR02MY11.090

Where:

R is the total number of applicable fresh food compartments, which 
          include the first fresh food compartment and any number of 
          separate auxiliary fresh food compartments (including separate 
          auxiliary convertible compartments tested as fresh food 
          compartments in accordance with section 2.7);
TRi is the compartment temperature of fresh food compartment 
          ``i'' determined in accordance with section 5.1.2; and
VRi is the volume of fresh food compartment ``i''.

    5.1.4 Freezer Compartment Temperature. The freezer 
compartmenttemperature shall be calculated as:
[GRAPHIC] [TIFF OMITTED] TR02MY11.091

Where:

F is the total number of applicable freezer compartments, which include 
          the first freezer compartment and any number of separate 
          auxiliary freezer compartments (including separate auxiliary 
          convertible compartments tested as freezer compartments in 
          accordance with section 2.7);
TFi is the compartment temperature of freezer compartment 
          ``i'' determined in accordance with section 5.1.2; and
VFi is the volume of freezer compartment ``i''.
    5.2 Energy Measurements
    5.2.1 Per-day Energy Consumption. The energy consumption in 
kilowatt-hours per day for each test period shall be the energy expended 
during the test period as specified in section 4 adjusted to a 24-hour 
period. The adjustment shall be determined as follows:

[[Page 265]]

    5.2.1.1 Nonautomatic and Automatic Defrost Models. The energy 
consumption in kilowatt-hours per day shall be calculated equivalent to:

ET = EP x 1440/T

Where:

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

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

ET = (1440 x EP1/T1) + (EP2 - (EP1 x T2/T1)) x (12/CT)

Where:

ET and 1440 are defined in 5.2.1.1;
EP1 = energy expended in kilowatt-hours during the first part of the 
          test;
EP2 = energy expended in kilowatt-hours during the second part of the 
          test;
T1 and T2 = length of time in minutes of the first and second test parts 
          respectively;
CT = defrost timer run time or compressor run time between defrosts in 
          hours required to cause it to go through a complete cycle, 
          rounded to the nearest tenth of an hour; and
12 = factor to adjust for a 50-percent run time of the compressor in 
          hours per day.
    5.2.1.3 Variable Defrost Control. The energy consumption in 
kilowatt-hours per day shall be calculated equivalent to:

ET = (1440 x EP1/T1) + (EP2 - (EP1 x T2/T1)) x (12/CT),

Where:

1440 is defined in 5.2.1.1 and EP1, EP2, T1, T2, and 12 are defined in 
          5.2.1.2;
CT = (CTL x CTM)/(F x (CTM - 
          CTL) + CTL);
CTL = least or shortest compressor run time between defrosts 
          in hours rounded to the nearest tenth of an hour (greater than 
          or equal to 6 but less than or equal to 12 hours);
CTM = maximum compressor run time between defrosts in hours 
          rounded to the nearest tenth of an hour (greater than 
          CTL but not more than 96 hours);
F = ratio of per day energy consumption in excess of the least energy 
          and the maximum difference in per-day energy consumption and 
          is equal to 0.20;
For variable defrost models with no values for CTL and 
          CTM in the algorithm, the default values of 12 and 
          84 shall be used, respectively.

    5.2.1.4 Dual Compressor Systems with Dual Automatic Defrost. The 
two-part test method in section 4.1.2.4 must be used, and the energy 
consumption in kilowatt-hours per day shall be calculated equivalent to:

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

Where:

1440, EP1, T1, EP2, 12, and CT are defined in 5.2.1.2;
EPF = freezer system energy in kilowatt-hours expended during 
          the first part of the test;
EP2F = freezer system energy in kilowatt-hours expended 
          during the second part of the test for the freezer system;
EPR= refrigerator system energy in kilowatt-hours expended 
          during the first part of the test;
EP2R = refrigerator system energy in kilowatt-hours expended 
          during the second part of the test for the refrigerator 
          system;
T2 and T3 = length of time in minutes of the second test part for the 
          freezer and refrigerator systems respectively;
CTF = compressor run time between freezer defrosts (in hours 
          rounded to the nearest tenth of an hour); and
CTR = compressor run time between refrigerator defrosts (in 
          hours rounded to the nearest tenth of an hour).

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

VT=VF+VFF

where

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

    5.4 Externally vented refrigerator or refrigerator-freezer units. 
All test measurements for the externally vented refrigerator or 
refrigerator-freezer shall be made in accordance with the requirements 
of other sections of this appendix, except as modified in this section 
5.4 or other sections expressly applicable to externally vented 
refrigerators or refrigerator-freezers.
    5.4.1 Operability of thermostatic and mixing of air controls. Prior 
to conducting energy consumption tests, the operability of thermostatic 
controls that permit the mixing of exterior and ambient air when 
exterior air temperatures are less than 60 [deg]F must be verified. The 
operability of such controls shall be verified by operating the unit 
under ambient air temperature of 90 [deg]F and exterior air temperature 
of 45 [deg]F. If the inlet air

[[Page 266]]

entering the condenser or condenser/compressor compartment is maintained 
at 60 [deg]F, plus or minus three degrees, energy consumption of the 
unit shall be measured under 5.4.2.2 and 5.4.2.3. If the inlet air 
entering the condenser or condenser/compressor compartment is not 
maintained at 60 [deg]F, plus or minus three degrees, energy consumption 
of the unit shall also be measured under 5.4.2.4.
    5.4.2 Energy consumption tests.
    5.4.2.1 Correction factor test. To enable calculation of a 
correction factor, K, two full cycle tests shall be conducted to measure 
energy consumption of the unit with air mixing controls disabled and the 
condenser inlet air temperatures set at 90 [deg]F (32.2 [deg]C) and 80 
[deg]F (26.7 [deg]C). Both tests shall be conducted with all compartment 
temperature controls set at the position midway between their warmest 
and coldest settings and the anti-sweat heater switch off. Record the 
energy consumptions ec90 and ec80, in kWh/day.
    5.4.2.2 Energy consumption at 90 [deg]F. The unit shall be tested at 
90 [deg]F (32.2 [deg]C) exterior air temperature to record the energy 
consumptions (e90)i in kWh/day. For a given 
setting of the anti-sweat heater, i corresponds to each of the two 
states of the compartment temperature control positions.
    5.4.2.3 Energy consumption at 60 [deg]F. The unit shall be tested at 
60 [deg]F (26.7 [deg]C) exterior air temperature to record the energy 
consumptions (e60)i in kWh/day. For a given 
setting of the anti-sweat heater, i corresponds to each of the two 
states of the compartment temperature control positions.
    5.4.2.4 Energy consumption if mixing controls do not operate 
properly. If the operability of temperature and mixing controls has not 
been verified as required under 5.4.1, the unit shall be tested at 50 
[deg]F (10.0 [deg]C) and 30 [deg]F (-1.1 [deg]C) exterior air 
temperatures to record the energy consumptions 
(e50)i and (e30)i. For a 
given setting of the anti-sweat heater, i corresponds to each of the two 
states of the compartment temperature control positions.

        6. Calculation of Derived Results from Test Measurements

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

VA=(VFxCR)+VFF

where

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

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

VA=(VFxCRF)+VFF

where

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

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

E=ET1

where

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

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

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

Where:

E is defined in 6.2.1.1;
ET is defined in 5.2.1;
TR = Fresh food compartment temperature determined according to 5.1.3 in 
          degrees F;
The numbers 1 and 2 indicate measurements taken during the first and 
          second test period as appropriate; and
38.0 = Standardized fresh food compartment temperature in degrees F.

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


[[Page 267]]


E=ET1

where

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

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

Where:

E is defined in 6.2.1.1;
ET is defined in 5.2.1;
TR and numbers 1 and 2 are defined in 6.2.1.2;
TF = Freezer compartment temperature determined according to 5.1.4 in 
          degrees F;
45.0 is a specified fresh food compartment temperature in degrees F; and
k is a constant 15.0 for refrigerators or 5.0 for refrigerator-freezers 
          each being standardized freezer compartment temperature in 
          degrees F.
    6.2.3 Variable Anti-Sweat Heater Models. The standard cycle energy 
consumption of an electric refrigerator-freezer with a variable anti-
sweat heater control (Estd), expressed in kilowatt-hours per 
day, shall be calculated equivalent to:

Estd = E + (Correction Factor) where E is determined by 
          6.2.1.1, 6.2.1.2, 6.2.2.1, or 6.2.2.2, whichever is 
          appropriate, with the anti-sweat heater switch in the ``off'' 
          position or, for products without anti-sweat heater switches, 
          the anti-sweat heater in its lowest energy use state.
Correction Factor = (Anti-sweat Heater Power x System-loss Factor) x (24 
          hrs/1 day) x (1 kW/1000 W)

Where:

Anti-sweat Heater Power = 0.034 * (Heater Watts at 5%RH)
+ 0.211 * (Heater Watts at 15%RH)
+ 0.204 * (Heater Watts at 25%RH)
+ 0.166 * (Heater Watts at 35%RH)
+ 0.126 * (Heater Watts at 45%RH)
+ 0.119 * (Heater Watts at 55%RH)
+ 0.069 * (Heater Watts at 65%RH)
+ 0.047 * (Heater Watts at 75%RH)
+ 0.008 * (Heater Watts at 85%RH)
+ 0.015 * (Heater Watts at 95%RH)
Heater Watts at a specific relative humidity = the nominal watts used by 
          all heaters at that specific relative humidity, 72 [deg]F 
          (22.2 [deg]C) ambient, and DOE reference temperatures of fresh 
          food (FF) average temperature of 45 [deg]F (7.2 [deg]C) and 
          freezer (FZ) average temperature of 5 [deg]F (-15 [deg]C).
System-loss Factor = 1.3
    6.3 Externally vented refrigerator or refrigerator-freezers. Per-
cycle energy consumption measurements for the externally vented 
refrigerator or refrigerator-freezer shall be calculated in accordance 
with the requirements of this appendix, as modified in sections 6.3.1-
6.3.7.
    6.3.1 Correction factor. A correction factor, K, shall be calculated 
as:

K = ec90/ec80

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

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

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

where,

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

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

EX = a + bTX,

where,

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

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

[[Page 268]]

    6.3.6 National average per cycle energy consumption. For a given 
setting of the anti-sweat heater, calculate the national average energy 
consumption, EN, in kWh/day, using one of the following 
equations:

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

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

where,

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

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

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

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

where:

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

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

               [GRAPHIC] [TIFF OMITTED] TR16DE10.014
                                                                                                          

[[Page 269]]

                        7. Test Procedure Waivers

    To the extent that the procedures contained in this appendix do not 
provide a means for determining the energy consumption of a refrigerator 
or refrigerator-freezer, a manufacturer must obtain a waiver under 10 
CFR 430.27 to establish an acceptable test procedure for each such 
product. Such instances could, for example, include situations where the 
test set-up for a particular refrigerator or refrigerator-freezer basic 
model is not clearly defined by the provisions of section 2. For details 
regarding the criteria and procedures for obtaining a waiver, please 
refer to 10 CFR 430.27.

[47 FR 34526, Aug. 10, 1982; 48 FR 13013, Mar. 29, 1983, as amended at 
54 FR 36240, Aug. 31, 1989; 54 FR 38788, Sept. 20, 1989; 62 FR 47539, 
47540, Sept. 9, 1997; 68 FR 10960, Mar. 7, 2003; 75 FR 78860, Dec. 16, 
2010; 76 FR 12502, Mar. 7, 2011; 76 FR 24781, May 2, 2011]



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

    The provisions of appendix B shall apply to all products 
manufactured on or after the effective date of any amended standards 
promulgated by DOE pursuant to Section 325(b)(4) of the Energy Policy 
and Conservation Act of 1975, as amended by the Energy Independence and 
Security Act of 2007 (to be codified at 42 U.S.C. 6295(b)(4)).

                             1. Definitions

    Section 3, Definitions, of HRF-1-2008 (incorporated by reference; 
see Sec. 430.3) applies to this test procedure.
    1.1 ``Adjusted total volume'' means the product of the freezer 
volume as defined in HRF-1-2008 (incorporated by reference; see Sec. 
430.3) in cubic feet multiplied by an adjustment factor.
    1.2 ``Anti-sweat heater'' means a device incorporated into the 
design of a freezer to prevent the accumulation of moisture on exterior 
or interior surfaces of the cabinet.
    1.3 ``Anti-sweat heater switch'' means a user-controllable switch or 
user interface which modifies the activation or control of anti-sweat 
heaters.
    1.4 ``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.
    1.5 ``Automatic icemaker'' means a device that can be supplied with 
water without user intervention, either from a pressurized water supply 
system or by transfer from a water reservoir, that automatically 
produces, harvests, and stores ice in a storage bin, with means to 
automatically interrupt the harvesting operation when the ice storage 
bin is filled to a pre-determined level.
    1.6 ``Cycle'' means the period of 24 hours for which the energy use 
of a freezer is calculated as though the consumer-activated compartment 
temperature controls were set to maintain the standardized temperature 
(see section 3.2).
    1.7 ``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.
    1.8 ``HRF-1-2008'' means AHAM Standard HRF-1-2008, Association of 
Home Appliance Manufacturers, Energy and Internal Volume of 
Refrigerating Appliances (2008), including Errata to Energy and Internal 
Volume of Refrigerating Appliances, Correction Sheet issued November 17, 
2009. Only sections of HRF-1-2008 (incorporated by reference; see Sec. 
430.3) specifically referenced in this test procedure are part of this 
test procedure. In cases where there is a conflict, the language of the 
test procedure in this appendix takes precedence over HRF-1-2008.
    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 ``Quick freeze'' means an optional feature on freezers that is 
initiated manually. It bypasses the thermostat control and operates 
continually until the feature is terminated either manually or 
automatically.
    1.11 ``Separate auxiliary compartment'' means a freezer compartment 
other than the first freezer compartment of a freezer having more than 
one compartment. Access to a separate auxiliary compartment is through a 
separate exterior door or doors rather than through the door or doors of 
another compartment. Separate auxiliary freezer compartments may not be 
larger than the first freezer compartment.
    1.12 ``Special compartment'' means any compartment without doors 
directly accessible from the exterior, and with separate temperature 
control that is not convertible from fresh food temperature range to 
freezer temperature range.
    1.13 ``Stabilization period'' means the total period of time during 
which steady-state conditions are being attained or evaluated.
    1.14 ``Standard cycle'' means the cycle type in which the anti-sweat 
heater switch, when provided, is set in the highest energy-consuming 
position.

[[Page 270]]

    1.15 ``Variable defrost control'' means an automatic defrost system 
in which successive defrost cycles are determined by an operating 
condition variable or variables other than solely compressor operating 
time. This includes any electrical or mechanical device performing this 
function. A control scheme that changes the defrost interval from a 
fixed length to an extended length (without any intermediate steps) is 
not considered a variable defrost control. A variable defrost control 
feature should predict the accumulation of frost on the evaporator and 
react accordingly. Therefore, the times between defrost should vary with 
different usage patterns and include a continuum of lengths of time 
between defrosts as inputs vary.

                           2. Test Conditions

    2.1 Ambient Temperature. The ambient temperature shall be 90.0 
 1.0 [deg]F (32.2  0.6 
[deg]C) during the stabilization period and the test period.
    2.2 Operational Conditions. The freezer shall be installed and its 
operating conditions maintained in accordance with HRF-1-2008, 
(incorporated by reference; see Sec. 430.3), sections 5.3 through 
section 5.5.5.5 (but excluding sections 5.5.5.2 and 5.5.5.4). The quick 
freeze option shall be switched off except as specified in section 3.1. 
Additional clarifications are noted in sections 2.3 through 2.6.
    2.3 Anti-Sweat Heaters. The anti-sweat heater switch is to be on 
during one test and off during a second test. In the case of an electric 
freezer with variable anti-sweat heater control, the standard cycle 
energy use shall be the result of the calculation described in 6.2.2.
    2.4 The cabinet and its refrigerating mechanism shall be assembled 
and set up in accordance with the printed consumer instructions supplied 
with the cabinet. Set-up of the freezer shall not deviate from these 
instructions, unless explicitly required or allowed by this test 
procedure. Specific required or allowed deviations from such set-up 
include the following:
    (a) Connection of water lines and installation of water filters are 
not required;
    (b) Clearance requirements from surfaces of the product shall be as 
described in section 2.6 below;
    (c) The electric power supply shall be as described in HRF-1-2008 
(incorporated by reference; see Sec. 430.3) section 5.5.1;
    (d) Temperature control settings for testing shall be as described 
in section 3 of this appendix. Settings for special compartments shall 
be as described in section 2.5 of this appendix;
    (e) The product does not need to be anchored or otherwise secured to 
prevent tipping during energy testing;
    (f) All the product's chutes and throats required for the delivery 
of ice shall be free of packing, covers, or other blockages that may be 
fitted for shipping or when the icemaker is not in use; and
    (g) Ice storage bins shall be emptied of ice.
    For cases in which set-up is not clearly defined by this test 
procedure, manufacturers must submit a petition for a waiver (see 
section 7).
    2.5 Special compartments shall be tested with controls set to 
provide the coldest temperature. However, for special compartments in 
which temperature control is achieved using the addition of heat 
(including resistive electric heating, refrigeration system waste heat, 
or heat from any other source, but excluding the transfer of air from 
another part of the interior of the product) for any part of the 
controllable temperature range of that compartment, the product energy 
use shall be determined by averaging two sets of tests. The first set of 
tests shall be conducted with such special compartments at their coldest 
settings, and the second set of tests shall be conducted with such 
special compartments at their warmest settings. The requirements for the 
warmest or coldest temperature settings of this section do not apply to 
features or functions associated with temperature control (such as quick 
freeze) that are initiated manually and terminated automatically within 
168 hours.
    2.6 The space between the back of the cabinet and a vertical surface 
(the test room wall or simulated wall) shall be the minimum distance in 
accordance with the manufacturer's instructions. However, the clearance 
shall not be greater than 2 inches (51 mm) from the plane of the 
cabinet's back panel to the vertical surface. If permanent rear spacers 
extend further than this distance, the appliance shall be located with 
the spacers in contact with the vertical surface.
    2.7 Steady State Condition. Steady-state conditions exist if the 
temperature measurements taken at 4-minute intervals or less during a 
stabilization period are not changing at a rate greater than 0.042 
[deg]F (0.023 [deg]C) per hour as determined by the applicable condition 
of A or B described below.
    A--The average of the measurements during a 2-hour period if no 
cycling occurs or during a number of complete repetitive compressor 
cycles occurring through a period of no less than 2 hours is compared to 
the average over an equivalent time period with 3 hours elapsing between 
the two measurement periods.
    B--If A above cannot be used, the average of the measurements during 
a number of complete repetitive compressor cycles occurring through a 
period of no less than 2 hours and including the last complete cycle 
before a defrost period (or if no cycling occurs, the average of the 
measurements during the last 2 hours before a defrost period) are 
compared to the same averaging period before the following defrost 
period.

[[Page 271]]

                        3. Test Control Settings

    3.1 Model with No User Operable Temperature Control. A test shall be 
performed during which the compartment temperature and energy use shall 
be measured. A second test shall be performed with the temperature 
control electrically short circuited to cause the compressor to run 
continuously. If the model has the quick freeze option, this option must 
be used to bypass the temperature control.
    3.2 Model with User Operable Temperature Control. Testing shall be 
performed in accordance with one of the following sections using the 
standardized temperature of 0.0 [deg]F (-17.8 [deg]C).

For the purposes of comparing compartment temperatures with standardized 
temperatures, as described in sections 3.2.1 and 3.2.2, the freezer 
compartment temperature shall be as specified in section 5.1.3.
    3.2.1 A first test shall be performed with all temperature controls 
set at their median position midway between their warmest and coldest 
settings. For mechanical control systems, knob detents shall be 
mechanically defeated if necessary to attain a median setting. For 
electronic control systems, the test shall be performed with all 
compartment temperature controls set at the average of the coldest and 
warmest settings--if there is no setting equal to this average, the 
setting closest to the average shall be used. If there are two such 
settings equally close to the average, the higher of these temperature 
control settings shall be used. A second test shall be performed with 
all controls set at either their warmest or their coldest setting (not 
electrically or mechanically bypassed), whichever is appropriate, to 
attempt to achieve compartment temperatures measured during the two 
tests 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, the tested unit fails the test and cannot be 
rated. If the compartment temperature measured with all controls set at 
their warmest setting is below the standardized temperature, then the 
result of this test alone will be used to determine energy consumption. 
Also see Table 1 below, which summarizes these requirements.

                                   Table 1--Temperature Settings for Freezers
----------------------------------------------------------------------------------------------------------------
                     First test                                     Second test               Energy calculation
---------------------------------------------------------------------------------------------      based on:
            Settings                    Results            Settings             Results
----------------------------------------------------------------------------------------------------------------
Mid.............................  Low...............  Warm..............  Low...............  Second Test Only.
                                  ..................  ..................  High..............  First and Second
                                                                                               Tests.
                                  High..............  Cold..............  Low...............  First and Second
                                                                                               Tests.
                                  ..................  ..................  High..............  No Energy Use
                                                                                               Rating.
----------------------------------------------------------------------------------------------------------------

    3.2.2 Alternatively, a first test may be performed with all 
temperature controls set at their warmest setting. If the compartment 
temperature is below the standardized temperature, then the result of 
this test alone will be used to determine energy consumption. If this 
condition is not met, then the unit shall be tested in accordance with 
section 3.2.1.

                             4. Test Period

    Tests shall be performed by establishing the conditions set forth in 
section 2 and using the control settings as set forth in section 3 
above.
    4.1 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 no less than 3 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 
3 hours. If incomplete cycling occurs (less than two compressor cycles 
during a 24-hour period), the results of the 24-hour period shall be 
used.
    4.2 Automatic Defrost. If the model being tested has an automatic 
defrost system, the test time period shall start after steady-state 
conditions have been achieved and be from one point during a defrost 
period to the same point during the next defrost period. If the model 
being tested has a long-time automatic defrost system, the alternate 
provisions of 4.2.1 may be used. If the model being tested has a 
variable defrost control, the provisions of 4.2.2 shall apply.
    4.2.1 Long-time Automatic Defrost. If the model being tested has a 
long-time automatic defrost system, the two-part test described in this 
section may be used. The first part is a stable period of compressor 
operation that includes no portions of the defrost cycle, such as 
precooling or recovery, that is otherwise the same as the test for a 
unit having no defrost provisions (section 4.1). The second part is 
designed to capture the energy consumed during all of the events 
occurring with the defrost control sequence that are outside of stable 
operation.

[[Page 272]]

    4.2.1.1 Cycling Compressor System. For a system with a cycling 
compressor, the second part starts at the termination of the last 
regular compressor ``on'' cycle. The average temperature of the 
compartment measured from the termination of the previous compressor 
``on'' cycle to the termination of the last regular compressor ``on'' 
cycle must be within 0.5 [deg]F (0.3 [deg]C) of the average temperature 
of the compartment measured for the first part of the test. If any 
compressor cycles occur prior to the defrost heater being energized that 
cause the average temperature in the compartment to deviate from the 
first part temperature by more than 0.5 [deg]F (0.3 [deg]C), these 
compressor cycles are not considered regular compressor cycles and must 
be included in the second part of the test. As an example, a ``precool'' 
cycle, which is an extended compressor cycle that lowers the compartment 
temperature prior to energizing the defrost heater, must be included in 
the second part of the test. The test period for the second part of the 
test ends at the initiation of the first regular compressor cycle after 
the compartment temperatures have fully recovered to their stable 
conditions. The average temperature of the compartment measured from 
this initiation of the first regular compressor ``on'' cycle until the 
initiation of the next regular compressor ``on'' cycle must be within 
0.5 [deg]F (0.3 [deg]C) of the average temperature of the compartment 
measured for the first part of the test. The second part of the test may 
be terminated after 4 hours if the above conditions cannot be met. See 
Figure 1.
[GRAPHIC] [TIFF OMITTED] TR16DE10.015


[[Page 273]]


    4.2.1.2 Non-cycling Compressor System. For a system with a non-
cycling compressor, the second part starts at a time before defrost 
during stable operation when the compartment temperature is within 0.5 
[deg]F (0.3 [deg]C) of the average temperature of the compartment 
measured for the first part of the test. The second part stops at a time 
after defrost during stable operation when the compartment temperature 
is within 0.5 [deg]F (0.3 [deg]C) of the average temperature of the 
compartment measured for the first part of the test. The second part of 
the test may be terminated after 4 hours if the above conditions cannot 
be met. See Figure 2.
[GRAPHIC] [TIFF OMITTED] TR16DE10.016

    4.2.2 Variable Defrost Control. If the model being tested has a 
variable defrost control system, the test shall consist of the same two 
parts as the test for long-time automatic defrost (section 4.2.1).

                          5. Test Measurements

    5.1 Temperature Measurements. Temperature measurements shall be made 
at the locations prescribed in Figure 5-2 of HRF-1-2008 (incorporated by 
reference; see Sec. 430.3) and shall be accurate to within  0.5 [deg]F (0.3 [deg]C).
    If the interior arrangements of the cabinet do not conform with 
those shown in Figure 5.2 of HRF-1-2008, the product may be tested by 
relocating the temperature sensors from the locations specified in the 
figures to avoid interference with hardware or components within the 
cabinet, in which case the specific locations used for the temperature 
sensors shall be noted in the test data records maintained by the 
manufacturer in accordance with 10 CFR 429.14, and the certification 
report shall indicate that non-standard sensor locations were used.

[[Page 274]]

    5.1.1 Measured Temperature. The measured temperature is to be the 
average of all sensor temperature readings taken at a particular point 
in time. Measurements shall be taken at regular intervals not to exceed 
4 minutes.
    5.1.2 Compartment Temperature. The compartment temperature for each 
test period shall be an average of the measured temperatures taken 
during the test period as defined in section 4. For long-time automatic 
defrost models, compartment temperature shall be that measured in the 
first part of the test period specified in section 4.2.1. For models 
with variable defrost controls, compartment temperatures shall be those 
measured in the first part of the test period specified in section 
4.2.2.
    5.1.3 Freezer Compartment Temperature. The freezer compartment 
temperature shall be calculated as:
[GRAPHIC] [TIFF OMITTED] TR16DE10.017

Where:
F is the total number of applicable freezer compartments, which include 
          the first freezer compartment and any number of separate 
          auxiliary freezer compartments;
TFi is the compartment temperature of freezer compartment 
          ``i'' determined in accordance with section 5.1.2; and
VFi is the volume of freezer compartment ``i''.

    5.2 Energy Measurements:
    5.2.1 Per-Day Energy Consumption. The energy consumption in 
kilowatt-hours per day for each test period shall be the energy expended 
during the test period as specified in section 4 adjusted to a 24-hour 
period. The adjustment shall be determined as follows:
    5.2.1.1 Nonautomatic and Automatic Defrost Models. The energy 
consumption in kilowatt-hours per day shall be calculated equivalent to:

ET = (EP x 1440 x K)/T

Where:

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

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

ET = (1440 x K x EP1/T1) + (EP2-(EP1 x T2/T1)) x K x (12/CT)

Where:

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

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

ET = (1440 x K x EP1/T1) + (EP2 - (EP1 x T2/T1)) x K x (12/CT),

Where:

ET, K, and 1440 are defined in section 5.2.1.1;
EP1, EP2, T1, T2, and 12 are defined in section 5.2.1.2;

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

Where:

CTL = least or shortest compressor run time between defrosts 
          in hours rounded to the nearest tenth of an hour (greater than 
          or equal to 6 hours but less than or equal to 12 hours);
CTM = maximum compressor run time between defrosts in hours 
          rounded to the nearest tenth of an hour (greater than 
          CTL but not more than 96 hours);
F = ratio of per day energy consumption in excess of the least energy 
          and the maximum difference in per-day energy consumption and 
          is equal to 0.20.
For variable defrost models with no values for CTL and 
          CTM in the algorithm, the default values of 12 and 
          84 shall be used, respectively.

    5.3 Volume Measurements. The total refrigerated volume, VT, shall be 
measured in

[[Page 275]]

accordance with HRF-1-2008, (incorporated by reference; see Sec. 
430.3), section 3.30 and sections 4.2 through 4.3.
    In the case of freezers with automatic icemakers, the volume 
occupied by the automatic icemaker, including its ice storage bin, is to 
be included in the volume measurement.

        6. Calculation of Derived Results From Test Measurements

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

VA = VT x CF

Where:

VA = adjusted total volume in cubic feet;
VT = total refrigerated volume in cubic feet; and
CF = dimensionless correction factor of 1.76.

    6.2 Average Per-Cycle Energy Consumption
    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 on the compartment temperature 
attainable as shown below.
    6.2.1.1 If the compartment temperature is always below 0.0 [deg]F (-
17.8 [deg]C), the average per-cycle energy consumption shall be 
equivalent to:

E = ET1 + IET

Where:

E = total per-cycle energy consumption in kilowatt-hours per day;
ET is defined in 5.2.1;
The number 1 indicates the test period during which the highest 
          compartment temperature is measured; and
IET, expressed in kilowatt-hours per cycle, equals 0.23 for a product 
          with an automatic icemaker and otherwise equals 0 (zero).

    6.2.1.2 If one of the compartment temperatures measured for a test 
period is greater than 0.0 [deg]F (17.8 [deg]C), the average per-cycle 
energy consumption shall be equivalent to:

E = ET1 + ((ET2 - ET1) x (0.0 - TF1)/(TF2 - TF1)) + IET

Where:

E and IET are defined in 6.2.1.1 and ET is defined in 5.2.1;
TF = freezer compartment temperature determined according to 5.1.3 in 
          degrees F;
The numbers 1 and 2 indicate measurements taken during the first and 
          second test period as appropriate; and
0.0 = standardized compartment temperature in degrees F.

    6.2.2 Variable Anti-Sweat Heater Models. The standard cycle energy 
consumption of an electric freezer with a variable anti-sweat heater 
control (Estd), expressed in kilowatt-hours per day, shall be 
calculated equivalent to:

Estd = E + (Correction Factor) where E is determined by 
          6.2.1.1, or 6.2.1.2, whichever is appropriate, with the anti-
          sweat heater switch in the ``off'' position or, for a product 
          without an anti-sweat heater switch, the anti-sweat heater in 
          its lowest energy use state.
Correction Factor = (Anti-sweat Heater Power x System-loss Factor) x (24 
          hrs/1 day) x (1 kW/1000 W)

Where:

Anti-sweat Heater Power = 0.034 * (Heater Watts at 5%RH)
+ 0.211 * (Heater Watts at 15%RH)
+ 0.204 * (Heater Watts at 25%RH)
+ 0.166 * (Heater Watts at 35%RH)
+ 0.126 * (Heater Watts at 45%RH)
+ 0.119 * (Heater Watts at 55%RH)
+ 0.069 * (Heater Watts at 65%RH)
+ 0.047 * (Heater Watts at 75%RH)
+ 0.008 * (Heater Watts at 85%RH)
+ 0.015 * (Heater Watts at 95%RH)
Heater Watts at a specific relative humidity = the nominal watts used by 
          all heaters at that specific relative humidity, 72 [deg]F 
          ambient (22.2 [deg]C), and DOE reference freezer (FZ) average 
          temperature of 0 [deg]F (-17.8 [deg]C).
System-loss Factor = 1.3

                        7. Test Procedure Waivers

    To the extent that the procedures contained in this appendix do not 
provide a means for determining the energy consumption of a freezer, a 
manufacturer must obtain a waiver under 10 CFR 430.27 to establish an 
acceptable test procedure for each such product. Such instances could, 
for example, include situations where the test set-up for a particular 
freezer basic model is not clearly defined by the provisions of section 
2. For details regarding the criteria and procedures for obtaining a 
waiver, please refer to 10 CFR 430.27.

[75 FR 78866, Dec. 16, 2010, as amended at 76 FR 12502, Mar. 7, 2011; 76 
FR 24781, May 2, 2011]



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

    The provisions of appendix B1 shall apply to all products 
manufactured prior to the effective date of any amended standards 
promulgated by DOE pursuant to Section 325(b)(4) of the Energy Policy 
and Conservation Act of 1975, as amended by the Energy Independence and 
Security Act of 2007 (to be codified at 42 U.S.C. 6295(b)(4)).

[[Page 276]]

                             1. Definitions

    Section 3, Definitions, of HRF-1-1979 (incorporated by reference; 
see Sec. 430.3) applies to this test procedure.
    1.1 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.
    1.2 ``Anti-sweat heater'' means a device incorporated into the 
design of a freezer to prevent the accumulation of moisture on exterior 
or interior surfaces of the cabinet.
    1.3 ``Anti-sweat heater switch'' means a user-controllable switch or 
user interface which modifies the activation or control of anti-sweat 
heaters.
    1.4 ``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.
    1.5 ``Cycle'' means the period of 24 hours for which the energy use 
of a freezer is calculated as though the consumer-activated compartment 
temperature controls were set to maintain the standardized temperature 
(see section 3.2).
    1.6 ``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.
    1.7 ``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. Only 
sections of HRF-1-1979 (incorporated by reference; see Sec. 430.3) 
specifically referenced in this test procedure are part of this test 
procedure. In cases where there is a conflict, the language of the test 
procedure in this appendix takes precedence over HRF-1-1979.
    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 ``Quick freeze'' means an optional feature on freezers that is 
initiated manually. It bypasses the thermostat control and operates 
continually until the feature is terminated either manually or 
automatically.
    1.10 ``Separate auxiliary compartment'' means a freezer compartment 
other than the first freezer compartment of a freezer having more than 
one compartment. Access to a separate auxiliary compartment is through a 
separate exterior door or doors rather than through the door or doors of 
another compartment. Separate auxiliary freezer compartments may not be 
larger than the first freezer compartment.
    1.11 ``Special compartment'' means any compartment without doors 
directly accessible from the exterior, and with separate temperature 
control that is not convertible from fresh food temperature range to 
freezer temperature range.
    1.12 ``Stabilization Period'' means the total period of time during 
which steady-state conditions are being attained or evaluated.
    1.13 ``Standard cycle'' means the cycle type in which the anti-sweat 
heater switch, when provided, is set in the highest energy consuming 
position.
    1.14 ``Variable defrost control'' means an automatic defrost system 
in which successive defrost cycles are determined by an operating 
condition variable or variables other than solely compressor operating 
time. This includes any electrical or mechanical device performing this 
function. A control scheme that changes the defrost interval from a 
fixed length to an extended length (without any intermediate steps) is 
not considered a variable defrost control. A variable defrost control 
feature should predict the accumulation of frost on the evaporator and 
react accordingly. Therefore, the times between defrost should vary with 
different usage patterns and include a continuum of lengths of time 
between defrosts as inputs vary.

                           2. Test Conditions.

    2.1 Ambient Temperature. The ambient temperature shall be 90.0 
 1.0 [deg]F (32.2  0.6 
[deg]C) during the stabilization period and the test period.
    2.2 Operational Conditions. The freezer shall be installed and its 
operating conditions maintained in accordance with HRF-1-1979, 
(incorporated by reference; see Sec. 430.3), section 7.2 through 
section 7.4.3.3 (but excluding section 7.4.3.2), except that the 
vertical ambient gradient at locations 10 inches (25.4 cm) out from the 
centers of the two sides of the unit being tested is to be maintained 
during the test. Unless the area is obstructed by shields or baffles, 
the gradient is to be maintained from 2 inches (5.1 cm) above the floor 
or supporting platform to a height 1 foot (30.5 cm) above the unit under 
test. Defrost controls are to be operative. The quick freeze option 
shall be switched off except as specified in section 3.1. Additional 
clarifications are noted in sections 2.3 through 2.6.
    2.3 Anti-Sweat Heaters. The anti-sweat heater switch is to be on 
during one test and off during a second test. In the case of an electric 
freezer equipped with variable anti-sweat heater control, the standard 
cycle energy use shall be the result of the calculation described in 
6.2.2.

[[Page 277]]

    2.4 The cabinet and its refrigerating mechanism shall be assembled 
and set up in accordance with the printed consumer instructions supplied 
with the cabinet. Set-up of the freezer shall not deviate from these 
instructions, unless explicitly required or allowed by this test 
procedure. Specific required or allowed deviations from such set-up 
include the following:
    (a) Connection of water lines and installation of water filters are 
not required;
    (b) Clearance requirements from surfaces of the product shall be as 
specified in section 2.6 below;
    (c) The electric power supply shall be as described in HRF-1-1979 
(incorporated by reference; see Sec. 430.3) section 7.4.1;
    (d) Temperature control settings for testing shall be as described 
in section 3 of this appendix. Settings for special compartments shall 
be as described in section 2.5 of this appendix;
    (e) The product does not need to be anchored or otherwise secured to 
prevent tipping during energy testing; and
    (f) All the product's chutes and throats required for the delivery 
of ice shall be free of packing, covers, or other blockages that may be 
fitted for shipping or when the icemaker is not in use.
    For cases in which set-up is not clearly defined by this test 
procedure, manufacturers must submit a petition for a waiver (see 
section 7).
    2.5 Special compartments shall be tested with controls set to 
provide the coldest temperature. This requirement for the coldest 
temperature does not apply to features or functions (such as quick 
freeze) that are initiated manually and terminated automatically within 
168 hours.
    2.6 The space between the back of the cabinet and a vertical surface 
(the test room wall or simulated wall) shall be the minimum distance in 
accordance with the manufacturer's instructions.
    2.7 Steady State Condition. Steady state conditions exist if the 
temperature measurements taken at four minute intervals or less during a 
stabilization period are not changing at a rate greater than 0.042 
[deg]F. (0.023 [deg]C.) per hour as determined by the applicable 
condition of A or B.
A--The average of the measurements during a two hour period if no 
cycling occurs or during a number of complete repetitive compressor 
cycles through a period of no less than two hours is compared to the 
average over an equivalent time period with three hours elapsed between 
the two measurement periods.
B--If A above cannot be used, the average of the measurements during a 
number of complete repetitive compressor cycles through a period of no 
less than two hours and including the last complete cycle prior to a 
defrost period, or if no cycling occurs, the average of the measurements 
during the last two hours prior to a defrost period; are compared to the 
same averaging period prior to the following defrost period.

                        3. Test Control Settings.

    3.1 Model with No User Operable Temperature Control. A test shall be 
performed during which the compartment temperature and energy use shall 
be measured. A second test shall be performed with the temperature 
control electrically short circuited to cause the compressor to run 
continuously. If the model has the quick freeze option, this option must 
be used to bypass the temperature control.
    3.2 Model with User Operable Temperature Control. Testing shall be 
performed in accordance with one of the following sections using the 
standardized temperature of 0.0 [deg]F (-17.8 [deg]C).

For the purposes of comparing compartment temperatures with standardized 
temperatures, as described in sections 3.2.1 through 3.2.3, the freezer 
compartment temperature shall be as specified in section 5.1.3.

    3.2.1 A first test shall be performed with all temperature controls 
set at their median position midway between their warmest and coldest 
settings. For mechanical control systems, knob detents shall be 
mechanically defeated if necessary to attain a median setting. For 
electronic control systems, the test shall be performed with all 
compartment temperature controls set at the average of the coldest and 
warmest settings--if there is no setting equal to this average, the 
setting closest to the average shall be used. If there are two such 
settings equally close to the average, the higher of these temperature 
control settings shall be used. If the compartment temperature measured 
during the first test is higher than the standardized temperature, the 
second test shall be conducted with the controls set at the coldest 
settings. If the compartment temperature measured during the first test 
is lower than the standardized temperature, the second test shall be 
conducted with the controls set at the warmest settings. 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 settings is above the 
standardized temperature, a third test shall be performed with all 
controls set at their warmest settings and the result of this test shall 
be used with the result of the test performed with all controls set at 
their coldest settings to determine energy consumption. If the 
compartment temperature measured with all controls set at their warmest 
settings is below the standardized temperature, then

[[Page 278]]

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 the above condition is not met, then the unit shall be 
tested in accordance with 3.2.1 above.

                             4. Test Period

    Tests shall be performed by establishing the conditions set forth in 
section 2 and using the control settings as set forth in section 3 of 
this appendix.
    4.1 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 no less than 3 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 
3 hours. If incomplete cycling occurs (less than two compressor cycles 
during a 24-hour period), the results of the 24-hour period shall be 
used.
    4.2 Automatic Defrost. If the model being tested has an automatic 
defrost system, the test time period shall start after steady-state 
conditions have been achieved and be from one point during a defrost 
period to the same point during the next defrost period. If the model 
being tested has a long-time automatic defrost system, the alternate 
provisions of 4.2.1 may be used. If the model being tested has a 
variable defrost control, the provisions of 4.2.2 shall apply.
    4.2.1 Long-time Automatic Defrost. If the model being tested has a 
long-time automatic defrost system, the two-part test described in this 
section may be used. The first part is the same as the test for a unit 
having no defrost provisions (section 4.1). The second part would start 
when a defrost is initiated when the compressor ``on'' cycle is 
terminated prior to start of the defrost heater and terminates at the 
second turn ``on'' of the compressor or 4 hours from the initiation of 
the defrost heater, whichever comes first.
    4.2.2 Variable Defrost Control. If the model being tested has a 
variable defrost control system, the test shall consist of the same two 
parts as the test for long-time automatic defrost (section 4.2.1).

                          5. Test Measurements

    5.1 Temperature Measurements. Temperature measurements shall be made 
at the locations prescribed in Figure 7.2 of HRF-1-1979 (incorporated by 
reference; see Sec. 430.3) and shall be accurate to within  0.5 [deg]F (0.3 [deg]C). If the interior arrangements 
of the cabinet do not conform with those shown in Figure 7.2 of HRF-1-
1979, the product may be tested by relocating the temperature sensors 
from the locations specified in the figures to avoid interference with 
hardware or components within the cabinet, in which case the specific 
locations used for the temperature sensors shall be noted in the test 
data records maintained by the manufacturer in accordance with 10 CFR 
429.14, and the certification report shall indicate that non-standard 
sensor locations were used.
    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 one or more complete compressor cycles. 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 4.2.1. 
For models equipped with variable defrost controls, compartment 
temperatures shall be those measured in the first part of the test 
period specified in 4.2.2.
    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 compressor cycles shall be the last complete 
compressor cycle during the test period before start of the defrost 
control sequence for products with automatic defrost.
    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 (less than one compressor 
cycle), the compartment temperature shall be the average of all readings 
taken during the last 3 hours of the last complete compressor ``on'' 
period.

[[Page 279]]

    5.1.3 Freezer Compartment Temperature. The freezer compartment 
temperature shall be calculated as:
[GRAPHIC] [TIFF OMITTED] TR02MY11.092

Where:

F is the total number of applicable freezer compartments, which include 
          the first freezer compartment and any number of separate 
          auxiliary freezer compartments;
TFi is the compartment temperature of freezer compartment 
          ``i'' determined in accordance with section 5.1.2; and
VFi is the volume of freezer compartment ``i''.
    5.2 Energy Measurements:
    5.2.1 Per-day Energy Consumption. The energy consumption in 
kilowatt-hours per day for each test period shall be the energy expended 
during the test period as specified in section 4.1 adjusted to a 24 hour 
period.
    The adjustment shall be determined as follows:
    5.2.1.1 Nonautomatic and automatic defrost models. The energy 
consumption in kilowatt-hours per day shall be calculated equivalent to:

ET=(EPx1440x K)/T where

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

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

ET = (1440 x K x EP1/T1) + (EP2-EP1 x T2/T1)) x K x (12/CT)

Where:

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

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

ET = (1440 x K x EP1/T1) + (EP2-(EP1 x T2/T1)) x K x (12/CT),

Where:

ET, K, and 1440 are defined in section 5.2.1.1 and EP1, EP2, T1, T2, and 
          12 are defined in section 5.2.1.2.

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

Where:

CTL = least or shortest compressor run time between defrosts 
          in hours rounded to the nearest tenth of an hour (greater than 
          or equal to 6 hours but less than or equal to 12 hours);
CTM = maximum compressor run time between defrosts in hours 
          rounded to the nearest tenth of an hour (greater than 
          CTL but not more than 96 hours);
F = ratio of per day energy consumption in excess of the least energy 
          and the maximum difference in per-day energy consumption and 
          is equal to 0.20.
For variable defrost models with no values for CTL and 
          CTM in the algorithm, the default values of 12 and 
          84 shall be used, respectively.

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

        6. Calculation of Derived Results From Test Measurements.

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

VA=VTx CF

where

VA=adjusted total volume in cubic feet,

[[Page 280]]

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

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

E=ET1

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

E = ET1 + ((ET2 - ET1) x (0.0 - TF1)/(TF2 - TF1))

Where:

E is defined in 6.2.1.1;
ET is defined in 5.2.1;
TF = freezer compartment temperature determined according to 5.1.3 in 
          degrees F;
The numbers 1 and 2 indicate measurements taken during the first and 
          second test period as appropriate; and
0.0 = Standardized compartment temperature in degrees F.
    6.2.2 Variable Anti-Sweat Heater Models. The standard cycle energy 
consumption of an electric freezer with a variable anti-sweat heater 
control (Estd), expressed in kilowatt-hours per day, shall be 
calculated equivalent to:

Estd = E + (Correction Factor) where E is determined by 
          6.2.1.1, or 6.2.1.2, whichever is appropriate, with the anti-
          sweat heater switch in the ``off'' position or, for a product 
          without an anti-sweat heater switch, the anti-sweat heater in 
          its lowest energy use state.
Correction Factor = (Anti-sweat Heater Power x System-loss Factor) x (24 
          hrs/1 day) x (1 kW/1000 W)

Where:

Anti-sweat Heater Power = 0.034 * (Heater Watts at 5%RH)
+ 0.211 * (Heater Watts at 15%RH)
+ 0.204 * (Heater Watts at 25%RH)
+ 0.166 * (Heater Watts at 35%RH)
+ 0.126 * (Heater Watts at 45%RH)
+ 0.119 * (Heater Watts at 55%RH)
+ 0.069 * (Heater Watts at 65%RH)
+ 0.047 * (Heater Watts at 75%RH)
+ 0.008 * (Heater Watts at 85%RH)
+ 0.015 * (Heater Watts at 95%RH)

Heater Watts at a specific re