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## Electronic Code of Federal Regulations
Title 10: Energy ## PART 429—CERTIFICATION, COMPLIANCE, AND ENFORCEMENT FOR CONSUMER PRODUCTS AND COMMERCIAL AND INDUSTRIAL EQUIPMENTContents §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 Subpoena. §429.10 Purpose and scope. §429.11 General sampling requirements for selecting units to be tested. §429.12 General requirements applicable to certification reports. §429.13 Testing requirements. §429.14 Consumer refrigerators, refrigerator-freezers and freezers. §429.15 Room air conditioners. §429.16 Central air conditioners and central air conditioning heat pumps. §429.17 Water heaters. §429.18 Residential furnaces. §429.19 Dishwashers. §429.20 Residential clothes washers. §429.21 Residential clothes dryers. §429.22 Direct heating equipment. §429.23 Cooking products. §429.24 Pool heaters. §429.25 Television sets. §429.26 Fluorescent lamp ballasts. §429.27 General service fluorescent lamps, general service incandescent lamps, and incandescent reflector lamps. §429.28 Faucets. §429.29 Showerheads. §429.30 Water closets. §429.31 Urinals. §429.32 Ceiling fans. §429.33 Ceiling fan light kits. §429.34 Torchieres. §429.35 Compact fluorescent lamps. §429.36 Dehumidifiers. §429.37 External power supplies. §429.38 Non-class A external power supplies. [Reserved] §429.39 Battery chargers. §429.40 Candelabra base incandescent lamps and intermediate base incandescent lamps. §429.41 Commercial warm air furnaces. §429.42 Commercial refrigerators, freezers, and refrigerator-freezers. §429.43 Commercial heating, ventilating, air conditioning (HVAC) equipment. §429.44 Commercial water heating equipment. §429.45 Automatic commercial ice makers. §429.46 Commercial clothes washers. §429.47 Distribution transformers. §429.48 Illuminated exit signs. §429.49 Traffic signal modules and pedestrian modules. §429.50 Commercial unit heaters. §429.51 Commercial pre-rinse spray valves. §429.52 Refrigerated bottled or canned beverage vending machines. §429.53 Walk-in coolers and walk-in freezers. §429.54 Metal halide lamp ballasts and fixtures. §429.56 Integrated light-emitting diode lamps. §429.57 General service lamps. §429.58 Furnace fans. §429.59 Pumps. §429.60 Commercial packaged boilers. §429.61 Consumer miscellaneous refrigeration products. §429.62 Portable air conditioners. §429.63 Compressors. §429.70 Alternative methods for determining energy efficiency and energy use. §429.71 Maintenance of records. §429.72 Alternative methods for determining non-energy ratings. Appendix A to Subpart B of Part 429—Student's t-Distribution Values for Certification Testing §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 and notice to cease distribution of a basic model. §429.116 Additional certification testing requirements. §429.118 Injunctions. §429.120 Maximum civil penalty. §429.122 Notice of proposed civil penalty. §429.124 Election of procedures. §429.126 Administrative law judge hearing and appeal. §429.128 Immediate issuance of order assessing civil penalty. §429.130 Collection of civil penalties. §429.132 Compromise and settlement. §429.134 Product-specific enforcement provisions. Regional Standards Enforcement Procedures §429.140 Regional standards enforcement procedures.§429.142 Records retention. §429.144 Records request. §429.146 Notice of violation. §429.148 Routine violator. §429.150 Appealing a finding of routine violation. §429.152 Removal of finding of “routine violator”. §429.154 Remediation. §429.156 Manufacturer and private labeler liability. §429.158 Product determined noncompliant with regional standards. Appendix A to Subpart C of Part 429—Sampling Plan for Enforcement Testing of Covered Consumer Products and Certain High-Volume Commercial Equipment Appendix B to Subpart C of Part 429—Sampling Plan for Enforcement Testing of Covered Equipment and Certain Low-Volume Covered Products Appendix C to Subpart C of Part 429—Sampling Plan for Enforcement Testing of Distribution Transformers Appendix D to Subpart C of Part 429—Sampling Plan for Enforcement Testing of Uninterruptible Power Supplies Authority: 42 U.S.C. 6291-6317; 28 U.S.C. 2461 note. Source: 76 FR 12451, Mar. 7, 2011, unless otherwise noted. ## Subpart A—General Provisions## §429.1 Purpose and scope.This part sets forth the procedures to be followed for certification, determination and enforcement of compliance of covered products and covered equipment with the applicable conservation standards set forth in parts 430 and 431 of this subchapter. This part does not cover motors or electric motors as defined in §431.12, and all references to “covered equipment” in this part exclude such motors. ## §429.2 Definitions.(a) The definitions found in §§430.2, 431.2, 431.62, 431.72, 431.82, 431.92, 431.102, 431.132, 431.152, 431.192, 431.202, 431.222, 431.242, 431.262, 431.282, 431.292, 431.302, 431.322, 431.342, 431.442, and 431.462 of this chapter apply for purposes of this part. (b) The following definitions apply for the purposes of this part. Any words or terms defined in this section or elsewhere in this part shall be defined as provided in sections 321 and 340 of the Energy Policy Conservation Act, as amended, hereinafter referred to as “the Act.” Energy conservation standard means any standards meeting the definitions of that term in 42 U.S.C. 6291(6) and 42 U.S.C. 6311(18) as well as any other water conservation standards and design requirements found in this part or parts 430 or 431. Engineered-to-order means a basic model of commercial water heating equipment, commercial packaged boiler, commercial heating, ventilation, and air conditioning (HVAC) equipment, or commercial refrigeration equipment that is: Not listed in any catalogs or marketing literature and designed and built to specific customer requirements. A unit of an engineered-to-order basic model is not offered as a set of options (e.g., configure-to-order, menu-system). Manufacturer's model number means the identifier used by a manufacturer to uniquely identify the group of identical or essentially identical covered products or covered equipment to which a particular unit belongs. The manufacturer's model number typically appears on the product nameplates, in product catalogs and in other product advertising literature. [76 FR 12451, Mar. 7, 2011, as amended at 79 FR 25499, May 5, 2014; 81 FR 4144, Jan. 25, 2016; 82 FR 1099, Jan. 4, 2017] ## §429.4 Materials incorporated by reference.(a) General. We incorporate by reference the following standards into part 429. The material listed has been approved for incorporation by reference by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Any subsequent amendment to a standard by the standard-setting organization will not affect the DOE regulations unless and until amended by DOE. Material is incorporated as it exists on the date of the approval and a notice of any change in the material will be published in the Federal Register. All approved material is available for inspection at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202-741-6030, or go to: http://www.archives.gov/federal__register/code__of__federal__regulations/ibr__locations.html. Also, this material is available for inspection at U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Program, 6th Floor, 950 L'Enfant Plaza, SW., Washington, DC 20024, (202) 586-2945, or go to: http://www1.eere.energy.gov/buildings/appliance__standards/. Standards can be obtained from the sources below. (b) AHAM. Association of Home Appliance Manufacturers, 1111 19th Street, NW., Suite 402, Washington, DC 20036, 202-872-5955, or go to http://www.aham.org. (1) ANSI/AHAM DW-1-2010, Household Electric Dishwashers, (ANSI approved September 18, 2010), IBR approved for §429.19. (2) ANSI/AHAM PAC-1-2015 (“ANSI/AHAM PAC-1-2015”), Portable Air Conditioners, June 19, 2015, IBR approved for §429.62. (c) AHRI. Air-Conditioning, Heating, and Refrigeration Institute, 2111 Wilson Blvd., Suite 500, Arlington, VA 22201, (703) 524-8800, or go to: http://www.ahrinet.org. (1) ANSI/AHRI Standard 340/360-2007, (“AHRI-340/360-2007”), 2007 Standard for Performance Rating of Commercial and Industrial Unitary Air-Conditioning and Heat Pump Equipment, with Addenda 1 and 2, ANSI approved October 27, 2011, IBR approved for §429.43. (2) AHRI Standard 1500-2015, (“ANSI/AHRI Standard 1500-2015”), “2015 Standard for Performance Rating of Commercial Space Heating Boilers,” ANSI approved November 28, 2014: Figure C9, Suggested Piping Arrangement for Hot Water Boilers; IBR approved for §429.60. (d) HI. Hydraulic Institute, 6 Campus Drive, First Floor North, Parsippany, NJ 07054-4406, 973-267-9700. www.Pumps.org. (1) HI 40.6-2014, (“HI 40.6-2014-B”), “Methods for Rotodynamic Pump Efficiency Testing,”, (except for sections 40.6.4.1 “Vertically suspended pumps”, 40.6.4.2 “Submersible pumps”,40.6.5.3 “Test report”, 40.6.5.5 “Test conditions”, 40.6.5.5.2 “Speed of rotation during testing”, and 40.6.6.1 “Translation of test results to rated speed of rotation”, and Appendix A “Testing arrangements (normative)”: A.7 “Testing at temperatures exceeding 30 °C (86 °F)”, and Appendix B “Reporting of test results (normative)”), copyright 2014, IBR approved for §429.134. (2) [Reserved] (e) ISO. International Organization for Standardization, ch. de la Voie-Creuse CP 56 CH-1211 Geneva 20 Switzerland, telephone + 41 22 749 01 11, or go to http://www.iso.org/iso. (1) International Organization for Standardization (ISO)/International Electrotechnical Commission, (“ISO/IEC 17025:2005(E)”), “General requirements for the competence of testing and calibration laboratories”, Second edition, May 15, 2005, IBR approved for §429.110. (2) [Reserved] (f) NSF. NSF International. 789 N. Dixboro Road, Ann Arbor, MI 48105, (743) 769-8010. www.nsf.org. (1) NSF/ANSI 50-2015, “Equipment for Swimming Pools, Spas, Hot Tubs and Other Recreational Water Facilities,” Annex C—“Test methods for the evaluation of centrifugal pumps,” Section C.3, “self-priming capability,” ANSI approved January 26, 2015, IBR approved for §§429.59 and 429.134. (2) [Reserved] [76 FR 12451, Mar. 7, 2011, as amended at 77 FR 65977, Oct. 31, 2012; 80 FR 79668, Dec. 23, 2015; 81 FR 35264, June 1, 2016; 81 FR 89303, Dec. 9, 2016; 81 FR 90118, Dec. 13, 2016; 82 FR 36917, Aug. 7, 2017] ## §429.5 Imported products.(a) Any person importing any covered product or covered equipment into the United States shall comply with the provisions of this part, and parts 430 and 431, and is subject to the remedies of this part. (b) Any covered product or covered equipment offered for importation in violation of this part, or part 430 or 431, shall be refused admission into the customs territory of the United States under rules issued by the U.S. Customs and Border Protection (CBP) and subject to further remedies as provided by law, except that CBP may, by such rules, authorize the importation of such covered product or covered equipment upon such terms and conditions (including the furnishing of a bond) as may appear to CBP appropriate to ensure that such covered product or covered equipment will not violate this part, or part 430 or 431, or will be exported or abandoned to the United States. ## §429.6 Exported products.This part, and parts 430 and 431, shall not apply to any covered product or covered equipment if: (a) Such covered product or covered equipment is manufactured, sold, or held for sale for export from the United States or is imported for export; (b) Such covered product or covered equipment or any container in which it is enclosed, when distributed in commerce, bears a stamp or label stating “NOT FOR SALE FOR USE IN THE UNITED STATES”; and (c) Such product is, in fact, not distributed in commerce for use in the United States. ## §429.7 Confidentiality.(a) The following records are not exempt from public disclosure: Product or equipment type; product or equipment class; private labeler name; brand name; applicable model number(s) unless that information meets the criteria specified in paragraph (b) of this section; energy or water ratings submitted by manufacturers to DOE pursuant to §429.12(b)(13); whether the certification was based on a test procedure waiver and the date of such waiver; and whether the certification was based on exception relief from the Office of Hearing and Appeals and the date of such relief. (b) An individual, manufacturer model number is public information unless: (1) The individual, manufacturer model number is a unique model number of a commercial packaged boiler, commercial water heating equipment, commercial HVAC equipment or commercial refrigeration equipment that was developed for an individual customer, (2) The individual, manufacturer model number is not displayed on product literature, and (3) Disclosure of the individual, manufacturer model number would reveal confidential business information as described at §1004.11 of this title—in which case, under these limited circumstances, a manufacturer may identify the individual manufacturer model number as a private model number on a certification report submitted pursuant to §429.12(b)(6). (c) Pursuant to the provisions of 10 CFR 1004.11(e), any person submitting information or data which the person believes to be confidential and exempt by law from public disclosure should—at the time of submission—submit: (1) One complete copy, and one copy from which the information believed to be confidential has been deleted. (2) A request for confidentiality containing the submitter's views on the reasons for withholding the information from disclosure, including: (i) A description of the items sought to be withheld from public disclosure, (ii) Whether and why such items are customarily treated as confidential within the industry, (iii) Whether the information is generally known by or available from other sources, (iv) Whether the information has previously been made available to others without obligation concerning its confidentiality, (v) An explanation of the competitive injury to the submitting person which would result from public disclosure, (vi) A date upon which such information might lose its confidential nature due to the passage of time, and (vii) Why disclosure of the information would be contrary to the public interest. (d) In accordance with the procedures established in 10 CFR 1004.11(e), DOE shall make its own determination with regard to any claim that information submitted be exempt from public disclosure. [76 FR 12451, Mar. 7, 2011, as amended at 79 FR 25499, May 5, 2014; 80 FR 151, Jan. 5, 2015] ## §429.8 Subpoena.For purposes of carrying out parts 429, 430, and 431, the General Counsel (or delegee), may sign and issue subpoenas for the attendance and testimony of witnesses and the production of relevant books, records, papers, and other documents, and administer oaths. Witnesses summoned under the provisions of this section shall be paid the same fees and mileage as are paid to witnesses in the courts of the United States. In case of contumacy by, or refusal to obey a subpoena served, upon any persons subject to parts 429, 430, or 431, the General Counsel (or delegee) may seek an order from the District Court of the United States for any District in which such person is found or resides or transacts business requiring such person to appear and give testimony, or to appear and produce documents. Failure to obey such order is punishable by such court as contempt thereof. ## Subpart B—Certification## §429.10 Purpose and scope.This subpart sets forth the procedures for manufacturers to certify that their covered products and covered equipment comply with the applicable energy conservation standards. ## §429.11 General sampling requirements for selecting units to be tested.(a) When testing of covered products or covered equipment is required to comply with section 323(c) of the Act, or to comply with rules prescribed under section 324, 325, or 342, 344, 345 or 346 of the Act, a sample comprised of production units (or units representative of production units) of the basic model being tested must be selected at random and tested, and must meet the criteria found in §§429.14 through 429.62 of this subpart. Components of similar design may be substituted without additional testing if the substitution does not affect energy or water consumption. Any represented values of measures of energy efficiency, water efficiency, energy consumption, or water consumption for all individual models represented by a given basic model must be the same, except for central air conditioners and central air conditioning heat pumps, as specified in §429.16 of this subpart. (b) The minimum number of units tested shall be no less than two, except where: (1) A different minimum limit is specified in §§429.14 through 429.65 of this subpart; or (2) Only one unit of the basic model is produced, in which case, that unit must be tested and the test results must demonstrate that the basic model performs at or better than the applicable standard(s). If one or more units of the basic model are manufactured subsequently, compliance with the default sampling and representations provisions is required. [76 FR 12451, Mar. 7, 2011, as amended at 81 FR 4144, Jan. 25, 2016; 81 FR 89303, Dec. 9, 2016; 82 FR 1468, Jan. 5, 2017] ## §429.12 General requirements applicable to certification reports.(a) Certification. Each manufacturer, before distributing in commerce any basic model of a covered product or covered equipment subject to an applicable energy conservation standard set forth in parts 430 or 431, and annually thereafter on or before the dates provided in paragraph (d) of this section, shall submit a certification report to DOE certifying that each basic model meets the applicable energy conservation standard(s). The certification report(s) must be submitted to DOE in accordance with the submission procedures of paragraph (h) of this section. (b) Certification report. A certification report shall include a compliance statement (see paragraph (c) of this section), and for each basic model, the information listed in this paragraph (b). (1) Product or equipment type; (2) Product or equipment class (as denoted in the provisions of part 430 or 431 of this chapter containing the applicable energy conservation standard); (3) Manufacturer's name and address; (4) Private labeler's name(s) and address(es) (if applicable); (5) Brand name; (6) For each brand, the basic model number and the manufacturer's individual model number(s) in that basic model with the following exceptions: For external power supplies that are certified based on design families, the design family model number and the individual manufacturer's model numbers covered by that design family must be submitted for each brand. For distribution transformers, the basic model number or kVA grouping model number (depending on the certification method) for each brand must be submitted. For commercial HVAC, WH, and refrigeration equipment, an individual manufacturer model number may be identified as a “private model number” if it meets the requirements of §429.7(b). (7) Whether the submission is for a new model, a discontinued model, a correction to a previously submitted model, data on a carryover model, or a model that has been found in violation of a voluntary industry certification program; (8) The test sample size (i.e., number of units tested for the basic model, or in the case of single-split system or single-package central air conditioners and central air conditioning heat pumps, or multi-split, multi-circuit, or multi-head mini-split systems other than the “tested combination,” for each individual combination or individual model). Enter “0” if an AEDM was used in lieu of testing (and in the case of central air conditioners and central air conditioning heat pumps, this must be indicated separately for each metric); (9) The certifying party's U.S. Customs and Border Protection (CBP) importer identification numbers assigned by CBP pursuant to 19 CFR 24.5, if applicable; (10) Whether certification is based upon any waiver of test procedure requirements under §430.27 or §431.401 of this chapter and the date(s) of such waiver(s); (11) Whether certification is based upon any exception relief from an applicable energy conservation standard and the date such relief was issued by DOE's Office of Hearings and Appeals; (12) If the test sample size is listed as “0” to indicate the certification is based upon the use of an alternate way of determining measures of energy conservation, identify the method used for determining measures of energy conservation (such as “AEDM,” or linear interpolation). Manufacturers of commercial packaged boilers, commercial water heating equipment, commercial refrigeration equipment, commercial HVAC equipment, and central air conditioners and central air conditioning heat pumps must provide the manufacturer's designation (name or other identifier) of the AEDM used; and (13) Product specific information listed in §§429.14 through 429.60 of this chapter. (c) Compliance statement. The compliance statement required by paragraph (b) of this section shall include the date, the name of the company official signing the statement, and his or her signature, title, address, telephone number, and facsimile number and shall certify that: (1) The basic model(s) complies with the applicable energy conservation standard(s); (2) All required testing has been conducted in conformance with the applicable test requirements prescribed in parts 429, 430 and 431, as appropriate, or in accordance with the terms of an applicable test procedure waiver; (3) All information reported in the certification report is true, accurate, and complete; and (4) The manufacturer is aware of the penalties associated with violations of the Act, the regulations thereunder, and 18 U.S.C. 1001 which prohibits knowingly making false statements to the Federal Government. (d) Annual filing. All data required by paragraphs (a) through (c) of this section shall be submitted to DOE annually, on or before the following dates:
(e) New model filing. (1) In addition to the annual filing schedule in paragraph (d) of this section, any new basic models must be certified pursuant to paragraph (a) of this section before distribution in commerce. A modification to a model that increases the model's energy or water consumption or decreases its efficiency resulting in re-rating must be certified as a new basic model pursuant to paragraph (a) of this section. (2) For general service fluorescent lamps or incandescent reflector lamps: Prior to or concurrent with the distribution of a new basic model each manufacturer shall submit an initial certification report listing the basic model number, lamp wattage, and date of first manufacture (i.e., production date) for that basic model. The certification report must also state how the manufacturer determined that the lamp meets or exceeds the energy conservation standards, including a description of any testing or analysis the manufacturer performed. Manufacturers of general service fluorescent lamps and incandescent reflector lamps shall submit the certification report required by paragraph (b) of this section within one year after the first date of new model manufacture. (3) For distribution transformers, the manufacturer shall submit all information required in paragraphs (b) and (c) of this section for the new basic model, unless the manufacturer has previously submitted to the Department a certification report for a basic model of distribution transformer that is in the same kVA grouping as the new basic model. (f) Discontinued model filing. When production of a basic model has ceased and it is no longer being sold or offered for sale by the manufacturer or private labeler, the manufacturer must report this discontinued status to DOE as part of the next annual certification report following such cessation. For each basic model, the report must include the information specified in paragraphs (b)(1) through (7) of this section, except that for integrated light-emitting diode lamps and for compact fluorescent lamps, the manufacturer must submit a full certification report, including all of the information required by paragraph (b) of this section and the product-specific information required by §429.56(b)(2) or §429.35(b)(2), respectively. (g) Third party submitters. A manufacturer may elect to use a third party to submit the certification report to DOE (for example, a trade association, independent test lab, or other authorized representative, including a private labeler acting as a third party submitter on behalf of a manufacturer); however, the manufacturer is responsible for submission of the certification report to DOE. DOE may refuse to accept certification reports from third party submitters who have failed to submit reports in accordance with the rules of this part. The third party submitter must complete the compliance statement as part of the certification report. Each manufacturer using a third party submitter must have an authorization form on file with DOE. The authorization form includes a compliance statement, specifies the third party authorized to submit certification reports on the manufacturer's behalf and provides the contact information and signature of a company official. (h) Method of submission. Reports required by this section must be submitted to DOE electronically at http://www.regulations.doe.gov/ccms (CCMS). A manufacturer or third party submitter can find product-specific templates for each covered product or covered equipment with certification requirements online at https://www.regulations.doe.gov/ccms/templates.html. Manufacturers and third party submitters must submit a registration form, signed by an officer of the company, in order to obtain access to CCMS. (i) Compliance dates. For any product subject to an applicable energy conservation standard for which the compliance date has not yet occurred, a certification report must be submitted not later than the compliance date for the applicable energy conservation standard. The covered products enumerated below are subject to the stated compliance dates for initial certification: (1) Commercial warm air furnaces, packaged terminal air conditioners, and packaged terminal heat pumps, July 1, 2014; (2) Commercial gas-fired and oil-fired instantaneous water heaters less than 10 gallons and commercial gas-fired and oil-fired hot water supply boilers less than 10 gallons, October 1, 2014; (3) All other types of covered commercial water heaters except those specified in paragraph (i)(2) of this section, commercial packaged boilers with input capacities less than or equal to 2.5 million Btu/h, and self-contained commercial refrigeration equipment with solid or transparent doors, December 31, 2014; (4) Variable refrigerant flow air conditioners and heat pumps, March 31, 2015; (5) Small, large, or very large air-cooled, water-cooled, evaporatively-cooled, and water-source commercial air conditioning and heating equipment, single package vertical units, computer room air conditioners, commercial packaged boilers with input capacities greater than 2.5 million Btu/h, and all other types of commercial refrigeration equipment except those specified in paragraph (i)(3) of this section, July 1, 2015. [76 FR 12451, Mar. 7, 2011; 76 FR 24762, May 2, 2011, as amended at 76 FR 38292, June 30, 2011; 76 FR 65365, Oct. 21, 2011; 77 FR 76830, Dec. 31, 2012; 78 FR 79593, Dec. 31, 2013; 79 FR 25500, May 5, 2014; 79 FR 38208, July 3, 2014; 81 FR 4430, Jan. 26, 2016; 81 FR 37049, June 8, 2016; 81 FR 43425, July 1, 2016; 81 FR 46789, July 18, 2016; 81 FR 59415, Aug. 29, 2016; 81 FR 95798, Dec. 28, 2016] ## §429.13 Testing requirements.(a) The determination that a basic model complies with an applicable energy conservation standard shall be determined from the values derived pursuant to the applicable testing and sampling requirements set forth in parts 429, 430 and 431. The determination that a basic model complies with the applicable design standard shall be based upon the incorporation of specific design requirements in parts 430 and 431 or as specified in section 325 and 342 of the Act. (b) Where DOE has determined a particular entity is in noncompliance with an applicable standard or certification requirement, DOE may impose additional testing requirements as a remedial measure. ## §429.14 Consumer refrigerators, refrigerator-freezers and freezers.(a) Sampling plan for selection of units for testing. (1) The requirements of §429.11 are applicable to residential refrigerators, refrigerator-freezers and freezers; and (2) For each basic model of residential refrigerators, refrigerator-freezers, and freezers, a sample of sufficient size shall be randomly selected and tested to ensure that— (i) Any represented value of estimated annual operating cost, energy consumption, or other measure of energy consumption of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of: (A) The mean of the sample, where:
or, (B) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.10, where:
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:
or, (B) The lower 95 percent confidence limit (LCL) of the true mean divided by 0.90, where: (3) The value of total refrigerated volume of a basic model reported in accordance with paragraph (b)(2) of this section shall be the mean of the total refrigerated volumes measured for each tested unit of the basic model or the total refrigerated volume of the basic model as calculated in accordance with §429.72(c). The value of adjusted total volume of a basic model reported in accordance with paragraph (b)(2) of this section shall be the mean of the adjusted total volumes measured for each tested unit of the basic model or the adjusted total volume of the basic model as calculated in accordance with §429.72(c). (b) Certification reports. (1) The requirements of §429.12 are applicable to residential refrigerators, refrigerator-freezers and freezers; and (2) Pursuant to §429.12(b)(13), a certification report shall include the following public product-specific information: The annual energy use in kilowatt hours per year (kWh/yr); the total refrigerated volume in cubic feet (ft3); and the adjusted total volume in cubic feet (ft3). (3) Pursuant to §429.12(b)(13), a certification report shall include the following additional product-specific information: whether the basic model has variable defrost control (in which case, manufacturers must also report the values, if any, of CTL and CTM (For an example, see section 5.2.1.3 in appendix A to subpart B of 10 CFR part 430) used in the calculation of energy consumption), whether the basic model has variable anti-sweat heater control (in which case, manufacturers must also report the values of heater Watts at the ten humidity levels (5%, 15%, 25%, 35%, 45%, 55%, 65%, 75%, 85%, and 95%) used to calculate the variable anti-sweat heater “Correction Factor”), and whether testing has been conducted with modifications to the standard temperature sensor locations specified by the figures referenced in section 5.1 of appendices A1, B1, A, and B to subpart B of 10 CFR part 430. (c) Rounding requirements for representative values, including certified and rated values. (1) The represented value of annual energy use must be rounded to the nearest kilowatt hour per year. (2) The represented value of total refrigerated volume must be rounded to the nearest 0.1 cubic foot. (3) The represented value of adjusted total volume must be rounded to the nearest 0.1 cubic foot. (d) Product category determination. Each basic model shall be certified according to the appropriate product category as defined in §430.2 based on compartment volumes and compartment temperatures. (1) Compartment volumes used to determine product category shall be the mean of the measured compartment volumes for each tested unit of the basic model according to the provisions in section 5.3 of appendix A of subpart B of part 430 of this chapter for refrigerators and refrigerator-freezers and section 5.3 of appendix B of subpart B of part 430 of this chapter for freezers, or the compartment volumes of the basic model as calculated in accordance with §429.72(d); and (2) Compartment temperatures used to determine product category shall be the mean of the measured compartment temperatures at the coldest setting for each tested unit of the basic model according to the provisions section 5.1 of appendix A of subpart B of part 430 of this chapter for refrigerators and refrigerator-freezers and section 5.1 of appendix B of subpart B of part 430 of this chapter for freezers. [76 FR 12451, Mar. 7, 2011; 76 FR 24762, May 2, 2011, as amended at 79 FR 22348, Apr. 21, 2014; 81 FR 46789, July 18, 2016] Effective Date Note: At 81 FR 46789, July 18, 2016, §429.14(c)(2) and (c)(3) were stayed indefinitely. ## §429.15 Room air conditioners.(a) Sampling plan for selection of units for testing. (1) The requirements of §429.11 are applicable to room air conditioners; and (2) For each basic model of room air conditioners, a sample of sufficient size shall be randomly selected and tested to ensure that— (i) Any represented value of estimated annual operating cost, energy consumption or other measure of energy consumption of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of: (A) The mean of the sample, where:
or, (B) The upper 971⁄2 percent confidence limit (UCL) of the true mean divided by 1.05, where:
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:
or, (B) The lower 971⁄2 percent confidence limit (LCL) of the true mean divided by 0.95, where: (b) Certification reports. (1) The requirements of §429.12 are applicable to room air conditioners; and (2) Pursuant to §429.12(b)(13), a certification report shall include the following public product-specific information: The energy efficiency ratio (EER in British thermal units per Watt-hour (Btu/W-h)), cooling capacity in British thermal units per hour (Btu/h), and the electrical power input in watts (W). [76 FR 12451, Mar. 7, 2011; 76 FR 24763, May 2, 2011] ## §429.16 Central air conditioners and central air conditioning heat pumps.(a) Determination of Represented Value—(1) Required represented values. Determine the represented values (including SEER, EER, HSPF, SEER2, EER2, HSPF2, PW,OFF, cooling capacity, and heating capacity, as applicable) for the individual models/combinations (or “tested combinations”) specified in the following table.
(2) PW,OFF. If individual models of single-package systems or individual combinations (or “tested combinations”) of split systems that are otherwise identical are offered with multiple options for off mode-related components, determine the represented value for the individual model/combination with the crankcase heater and controls that are the most consumptive. A manufacturer may also determine represented values for individual models/combinations with less consumptive off mode options; however, all such options must be identified with different model numbers for single-package systems or for outdoor units (in the case of split systems). (3) Refrigerants. (i) If a model of outdoor unit (used in a single-split, multi-split, multi-circuit, multi-head mini-split, and/or outdoor unit with no match system) is distributed in commerce and approved for use with multiple refrigerants, a manufacturer must determine all represented values for that model using each refrigerant that can be used in an individual combination of the basic model (including outdoor units with no match or “tested combinations”). This requirement may apply across the listed categories in the table in paragraph (a)(1) of this section. A refrigerant is considered approved for use if it is listed on the nameplate of the outdoor unit. If any of the refrigerants approved for use is HCFC-22 or has a 95 °F midpoint saturation absolute pressure that is ± 18 percent of the 95 °F saturation absolute pressure for HCFC-22, or if there are no refrigerants designated as approved for use, a manufacturer must determine represented values (including SEER, EER, HSPF, SEER2, EER2, HSPF2, PW,OFF, cooling capacity, and heating capacity, as applicable) for, at a minimum, an outdoor unit with no match. If a model of outdoor unit is not charged with a specified refrigerant from the point of manufacture or if the unit is shipped requiring the addition of more than two pounds of refrigerant to meet the charge required for testing per section 2.2.5 of appendix M or appendix M1 (unless either (a) the factory charge is equal to or greater than 70% of the outdoor unit internal volume times the liquid density of refrigerant at 95 °F or (b) an A2L refrigerant is approved for use and listed in the certification report), a manufacturer must determine represented values (including SEER, EER, HSPF, SEER2, EER2, HSPF2, PW,OFF, cooling capacity, and heating capacity, as applicable) for, at a minimum, an outdoor unit with no match. (ii) If a model is approved for use with multiple refrigerants, a manufacturer may make multiple separate representations for the performance of that model (all within the same individual combination or outdoor unit with no match) using the multiple approved refrigerants. In the alternative, manufacturers may certify the model (all within the same individual combination or outdoor unit with no match) with a single representation, provided that the represented value is no more efficient than its performance using the least-efficient refrigerant. If a manufacturer certifies a single model with multiple representations for the different approved refrigerants, it may use an AEDM to determine the represented values for all other refrigerants besides the refrigerant used for testing. A single representation made for multiple refrigerants may not include equipment in multiple categories or equipment subcategories listed in the table in paragraph (a)(1) of this section. (4) Limitations for represented values of individual combinations. The following paragraphs explains the limitations for represented values of individual combinations (or “tested combinations”). (i) Regional. A basic model may only be certified as compliant with a regional standard if all individual combinations within that basic model meet the regional standard for which it is certified. A model of outdoor unit that is certified below a regional standard can only be rated and certified as compliant with a regional standard if the model of outdoor unit has a unique model number and has been certified as a different basic model for distribution in each region. An ICM cannot certify an individual combination with a rating that is compliant with a regional standard if the individual combination includes a model of outdoor unit that the OUM has certified with a rating that is not compliant with a regional standard. Conversely, an ICM cannot certify an individual combination with a rating that is not compliant with a regional standard if the individual combination includes a model of outdoor unit that an OUM has certified with a rating that is compliant with a regional standard. (ii) Multiple product classes. Models of outdoor units that are rated and distributed in individual combinations that span multiple product classes must be tested, rated, and certified pursuant to paragraph (a) of this section as compliant with the applicable standard for each product class. This includes multi-split systems, multi-circuit systems, and multi-head mini-split systems with a represented value for a mixed combination including both SDHV and either non-ducted or ducted indoor units. (5) Requirements. All represented values under paragraph (a) of this section must be based on testing in accordance with the requirements in paragraph (b) of this section or the application of an AEDM or other methodology as allowed in paragraph (c) of this section. (b) Units tested—(1) General. The general requirements of §429.11 apply to central air conditioners and heat pumps; and (2) Individual model/combination selection for testing. (i) The table identifies the minimum testing requirements for each basic model that includes multiple individual models/combinations; if a basic model spans multiple categories or subcategories listed in the table, multiple testing requirements apply. For each basic model that includes only one individual model/combination, test that individual model/combination. For single-split-system non-space-constrained air conditioners and heat pumps, when testing is required in accordance with 10 CFR part 430, subpart B, appendix M1, these requirements do not apply until July 1, 2024, provided that the manufacturer is certifying compliance of all basic models using an AEDM in accordance with paragraph (c)(1)(i)(B) of this section and paragraph (e)(2)(i)(A) of §429.70.
(ii) Each individual model/combination (or “tested combination”) identified in paragraph (b)(2)(i) of this section is not required to be tested for PW,OFF. Instead, at a minimum, among individual models/combinations with similar off-mode construction (even spanning different models of outdoor units), a manufacturer must test at least one individual model/combination for PW,OFF. (3) Sampling plans and represented values. For individual models (for single-package systems) or individual combinations (for split-systems, including “tested combinations” for multi-split, multi-circuit, and multi-head mini-split systems) with represented values determined through testing, each individual model/combination (or “tested combination”) must have a sample of sufficient size tested in accordance with the applicable provisions of this subpart. For heat pumps (other than heating-only heat pumps), all units of the sample population must be tested in both the cooling and heating modes and the results used for determining all representations. The represented values for any individual model/combination must be assigned such that: (i) Off-Mode. Any represented value of power consumption or other measure of energy consumption for which consumers would favor lower values must be greater than or equal to the higher of: (A) The mean of the sample, where:
and, x is the sample mean; n is the number of samples; and xi is the ith sample; Or, (B) The upper 90 percent confidence limit (UCL) of the true mean divided by 1.05, where:
And x is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.90 is the t statistic for a 90 percent one-tailed confidence interval with n−1 degrees of freedom (from appendix D). Round represented values of off-mode power consumption to the nearest watt. (ii) SEER, EER, HSPF, SEER2, EER2, and HSPF2. Any represented value of the energy efficiency or other measure of energy consumption for which consumers would favor higher values shall be less than or equal to the lower of: (A) The mean of the sample, where:
and, x̅ is the sample mean; n is the number of samples; and xi is the ith sample; or, (B) The lower 90 percent confidence limit (LCL) of the true mean divided by 0.95, where:
And x̅ is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.90 is the t statistic for a 90 percent one-tailed confidence interval with n-1 degrees of freedom (from appendix D). Round represented values of EER, SEER, HSPF, EER2, SEER2, and HSPF2 to the nearest 0.05. (iii) Cooling Capacity and Heating Capacity. The represented values of cooling capacity and heating capacity must each be a self-declared value that is: (A) Less than or equal to the lower of: (1) The mean of the sample, where:
and, x̅ is the sample mean; n is the number of samples; and xi is the ith sample; or, (2) The lower 90 percent confidence limit (LCL) of the true mean divided by 0.95, where:
And x̅ is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.90 is the t statistic for a 90 percent one-tailed confidence interval with n-1 degrees of freedom (from appendix D). (B) Rounded according to: (1) To the nearest 100 Btu/h if cooling capacity or heating capacity is less than 20,000 Btu/h, (2) To the nearest 200 Btu/h if cooling capacity or heating capacity is greater than or equal to 20,000 Btu/h but less than 38,000 Btu/h, and (3) To the nearest 500 Btu/h if cooling capacity or heating capacity is greater than or equal to 38,000 Btu/h and less than 65,000 Btu/h. (c) Determination of represented values for all other individual models/combinations besides those specified in paragraph (b)(2) of this section—(1) All basic models except outdoor units with no match and multi-split systems, multi-circuit systems, and multi-head mini-split systems. (i) For every individual model/combination within a basic model other than the individual model/combination required to be tested pursuant to paragraph (b)(2) of this section, either— (A) A sample of sufficient size, comprised of production units or representing production units, must be tested as complete systems with the resulting represented values for the individual model/combination obtained in accordance with paragraphs (b)(1) and (3) of this section; or (B) The represented values of the measures of energy efficiency or energy consumption through the application of an AEDM in accordance with paragraph (d) of this section and §429.70. An AEDM may only be used to determine represented values for individual models or combinations in a basic model (or separate approved refrigerants within an individual combination) other than the individual model or combination(s) required for mandatory testing under paragraph (b)(2) of this section, except that, for single-split, non-space-constrained systems, when testing is required in accordance with 10 CFR part 430, subpart B, appendix M1, an AEDM may be used to rate the individual model or combination(s) required for mandatory testing under paragraph (b)(2) of this section until July 1, 2024, in accordance with paragraph (e)(2)(i)(A) of §429.70. (ii) For every individual model/combination within a basic model tested pursuant to paragraph (b)(2) of this section, but for which PW,OFF testing was not conducted, the represented value of PW,OFF may be assigned through, either: (A) The testing result from an individual model/combination of similar off-mode construction, or (B) The application of an AEDM in accordance with paragraph (d) of this section and §429.70. (2) Outdoor units with no match. All models of outdoor units with no match within a basic model must be tested. No model of outdoor unit with no match may be rated with an AEDM, other than to determine the represented values for models using approved refrigerants other than the one used in testing. (3) For multi-split systems, multi-circuit systems, and multi-head mini-split systems. The following applies: (i) When testing in accordance with 10 CFR part 430, subpart B, appendix M1, for basic models that include additional varieties of ducted indoor units (i.e., conventional, low-static, or mid-static) other than the one for which representation is required in paragraph (a)(1) of this section, if a manufacturer chooses to make a representation, the manufacturer must conduct testing of a tested combination according to the requirements in paragraph (b)(3) of this section. (ii) When testing in accordance with 10 CFR part 430, subpart B, appendix M, for basic models composed of both non-ducted and ducted combinations, the represented value for the mixed non-ducted/ducted combination is the mean of the represented values for the non-ducted and ducted combinations as determined in accordance with paragraph (b)(3) of this section. When testing in accordance with 10 CFR part 430, subpart B, appendix M1, for basic models that include mixed combinations of indoor units (any two kinds of non-ducted, low-static, mid-static, and conventional ducted indoor units), the represented value for the mixed combination is the mean of the represented values for the individual component combinations as determined in accordance with paragraph (b)(3) of this section. (iii) When testing in accordance with 10 CFR part 430, subpart B, appendix M, for basic models composed of both SDHV and non-ducted or ducted combinations, the represented value for the mixed SDHV/non-ducted or SDHV/ducted combination is the mean of the represented values for the SDHV, non-ducted, or ducted combinations, as applicable, as determined in accordance with paragraph (b)(3) of this section. When testing in accordance with 10 CFR part 430, subpart B, appendix M1, for basic models including mixed combinations of SDHV and another kind of indoor unit (any of non-ducted, low-static, mid-static, and conventional ducted), the represented value for the mixed SDHV/other combination is the mean of the represented values for the SDHV and other tested combination as determined in accordance with paragraph (b)(3) of this section. (iv) All other individual combinations of models of indoor units for the same model of outdoor unit for which the manufacturer chooses to make representations must be rated as separate basic models, and the provisions of paragraphs (b)(1) through (3) and (c)(3)(i) through (iii) of this section apply. (v) With respect to PW,OFF only, for every individual combination (or “tested combination”) within a basic model tested pursuant to paragraph (b)(2) of this section, but for which PW,OFF testing was not conducted, the representative values of PW,OFF may be assigned through either: (A) The testing result from an individual model or combination of similar off-mode construction, or (B) Application of an AEDM in accordance with paragraph (d) of this section and §429.70. (d) Alternative efficiency determination methods. In lieu of testing, represented values of efficiency or consumption may be determined through the application of an AEDM pursuant to the requirements of §429.70(e) and the provisions of this section. (1) Power or energy consumption. Any represented value of the average off mode power consumption or other measure of energy consumption of an individual model/combination for which consumers would favor lower values must be greater than or equal to the output of the AEDM but no greater than the standard. (2) Energy efficiency. Any represented value of the SEER, EER, HSPF, SEER2, EER2, HSPF2 or other measure of energy efficiency of an individual model/combination for which consumers would favor higher values must be less than or equal to the output of the AEDM but no less than the standard. (3) Cooling capacity. The represented value of cooling capacity of an individual model/combination must be no greater than the cooling capacity output simulated by the AEDM. (4) Heating capacity. The represented value of heating capacity of an individual model/combination must be no greater than the heating capacity output simulated by the AEDM. (e) Certification reports. This paragraph specifies the information that must be included in a certification report. (1) General. The requirements of §429.12 apply to central air conditioners and heat pumps. (2) Public product-specific information. Pursuant to §429.12(b)(13), for each individual model (for single-package systems) or individual combination (for split-systems, including outdoor units with no match and “tested combinations” for multi-split, multi-circuit, and multi-head mini-split systems), a certification report must include the following public product-specific information: When certifying compliance with January 1, 2015, energy conservation standards, the seasonal energy efficiency ratio (SEER in British thermal units per Watt-hour (Btu/W-h)) or when certifying compliance with January 1, 2023, energy conservation standards, seasonal energy efficiency ratio 2 (SEER2 in British thermal units per Watt-hour (Btu/W-h)); the average off mode power consumption (PW,OFF in Watts); the cooling capacity in British thermal units per hour (Btu/h); the region(s) in which the basic model can be sold; when certifying compliance with January 1, 2023, energy conservation standards, the kind(s) of air conditioner or heat pump associated with the minimum external static pressure used in testing or rating (ceiling-mount, wall-mount, mobile home, low-static, mid-static, small duct high velocity, space-constrained, or conventional/not otherwise listed); and (i) For heat pumps, when certifying compliance with January 1, 2015, energy conservation standards, the heating seasonal performance factor (HSPF in British thermal units per Watt-hour (Btu/W-h)) or, when certifying compliance with January 1, 2023, energy conservation standards, heating seasonal performance factor 2 (HSPF2 in British thermal units per Watt-hour (Btu/W-h)); (ii) For central air conditioners (excluding space-constrained products), when certifying compliance with January 1, 2015, energy conservation standards, the energy efficiency ratio (EER in British thermal units per Watt-hour (Btu/W-h)) from the A or A2 test, whichever applies, or when certifying compliance with January 1, 2023, energy conservation standards, the energy efficiency ratio 2 (EER2 in Btu/W-h); (iii) For single-split-systems, whether the represented value is for a coil-only or blower coil system; (iv) For multi-split, multiple-circuit, and multi-head mini-split systems (including VRF and SDHV), when certifying compliance with January 1, 2015, energy conservation standards, whether the represented value is for a non-ducted, ducted, mixed non-ducted/ducted system, SDHV, mixed non-ducted/SDHV system, or mixed ducted/SDHV system; (v) For all split systems including outdoor units with no match, the refrigerant. (3) Basic and individual model numbers. The basic model number and individual model number(s) required to be reported under §429.12(b)(6) must consist of the following:
(4) Additional product-specific information. Pursuant to §429.12(b)(13), for each individual model/combination (including outdoor units with no match and “tested combinations”), a certification report must include the following additional product-specific information: The cooling full load air volume rate for the system or for each indoor unit as applicable (in cubic feet per minute of standard air (scfm)); the air volume rates that represent normal operation for other test conditions including minimum cooling air volume rate, intermediate cooling air volume rate, full load heating air volume rate, minimum heating air volume rate, intermediate heating air volume rate, and nominal heating air volume rate (scfm) for the system or for each indoor unit as applicable, if different from the cooling full load air volume rate; whether the individual model uses a fixed orifice, thermostatic expansion valve, electronic expansion valve, or other type of metering device; the duration of the compressor break-in period, if used; whether the optional tests were conducted to determine the CDc value used to represent cooling mode cycling losses or whether the default value was used; the temperature at which the crankcase heater with controls is designed to turn on, if applicable; whether an inlet plenum was installed during testing; the duration of the indoor fan time delay, if used; and (i) For heat pumps, whether the optional tests were conducted to determine the CDh value or whether the default value was used; and the maximum time between defrosts as allowed by the controls (in hours); (ii) For multi-split, multiple-circuit, and multi-head mini-split systems, the number of indoor units tested with the outdoor unit; the nominal cooling capacity of each indoor unit and outdoor unit in the combination; and the indoor units that are not providing heating or cooling for part-load tests; (iii) For ducted systems having multiple indoor fans within a single indoor unit, the number of indoor fans; the nominal cooling capacity of the indoor unit and outdoor unit; which fan(s) operate to attain the full-load air volume rate when controls limit the simultaneous operation of all fans within the single indoor unit; and the allocation of the full-load air volume rate to each operational fan when different capacity blowers are connected to the common duct; (iv) For blower coil systems, the airflow-control settings associated with full load cooling operation; and the airflow-control settings or alternative instructions for setting fan speed to the speed upon which the rating is based; (v) For models with time-adaptive defrost control, the frosting interval to be used during Frost Accumulation tests and the procedure for manually initiating the defrost at the specified time; (vi) For models of indoor units designed for both horizontal and vertical installation or for both up-flow and down-flow vertical installations, the orientation used for testing; (vii) For variable-speed models, the compressor frequency set points, and the required dip switch/control settings for step or variable components; (viii) For variable-speed heat pumps, whether the H1N or H12 test speed is the same as the H32 test speed; the compressor frequency that corresponds to maximum speed at which the system controls would operate the compressor in normal operation in a 17 °F ambient temperature; and when certifying compliance with January 1, 2023, energy conservation standards, whether the optional 5 °F very low temperature heating mode test was used to characterize performance at temperatures below 17 °F (except for triple-capacity northern heat pumps, for which the very low temperature test is required,) and whether the alternative test required for minimum-speed-limiting variable-speed heat pumps was used; (ix) For models of outdoor units with no match, the following characteristics of the indoor coil: The face area, the coil depth in the direction of airflow, the fin density (fins per inch), the fin material, the fin style, the tube diameter, the tube material, and the numbers of tubes high and deep; and (x) For central air conditioners and heat pumps that have two-capacity compressors that lock out low capacity operation for cooling at higher outdoor temperatures and/or heating at lower outdoor temperatures, the outdoor temperature(s) at which the unit locks out low capacity operation. (f) Represented values for the Federal Trade Commission. Use the following represented value determinations to meet the requirements of the Federal Trade Commission. (1) Annual Operating Cost—Cooling. Determine the represented value of estimated annual operating cost for cooling-only units or the cooling portion of the estimated annual operating cost for air-source heat pumps that provide both heating and cooling by calculating the product of: (i) The value determined in paragraph (f)(1)(i)(A) of this section if using appendix M to subpart B of part 430 or the value determined in paragraph (f)(1)(i)(B) of this section if using appendix M1 to subpart B of part 430; (A) the quotient of the represented value of cooling capacity, in Btu's per hour as determined in paragraph (b)(3)(iii) of this section, divided by the represented value of SEER, in Btu's per watt-hour, as determined in paragraph (b)(3)(ii) of this section; (B) the quotient of the represented value of cooling capacity, in Btu's per hour as determined in paragraph (b)(3)(i)(C) of this section, and multiplied by 0.93 for variable-speed heat pumps only, divided by the represented value of SEER2, in Btu's per watt-hour, as determined in paragraph (b)(3)(i)(B) of this section. (ii) The representative average use cycle for cooling of 1,000 hours per year; (iii) A conversion factor of 0.001 kilowatt per watt; and (iv) The representative average unit cost of electricity in dollars per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act. (2) Annual Operating Cost—Heating. Determine the represented value of estimated annual operating cost for air-source heat pumps that provide only heating or for the heating portion of the estimated annual operating cost for air-source heat pumps that provide both heating and cooling, as follows: (i) When using appendix M to subpart B of part 430, the product of: (A) The quotient of the mean of the standardized design heating requirement for the sample, in Btu's per hour, nearest to the Region IV minimum design heating requirement, determined for each unit in the sample in section 4.2 of appendix M to subpart B of part 430, divided by the represented value of heating seasonal performance factor (HSPF), in Btu's per watt-hour, calculated for Region IV corresponding to the above-mentioned standardized design heating requirement, as determined in paragraph (b)(3)(ii) of this section; (B) The representative average use cycle for heating of 2,080 hours per year; (C) The adjustment factor of 0.77, which serves to adjust the calculated design heating requirement and heating load hours to the actual load experienced by a heating system; (D) A conversion factor of 0.001 kilowatt per watt; and (E) The representative average unit cost of electricity in dollars per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act; (ii) When using appendix M1 to subpart B of part 430, the product of: (A) The quotient of the represented value of cooling capacity (for air-source heat pumps that provide both cooling and heating) in Btu's per hour, as determined in paragraph (b)(3)(i)(C) of this section, or the represented value of heating capacity (for air-source heat pumps that provide only heating), as determined in paragraph (b)(3)(i)(D) of this section, divided by the represented value of heating seasonal performance factor 2 (HSPF2), in Btu's per watt-hour, calculated for Region IV, as determined in paragraph (b)(3)(i)(B) of this section; (B) The representative average use cycle for heating of 1,572 hours per year; (C) The adjustment factor of 1.15 (for heat pumps that are not variable-speed) or 1.07 (for heat pumps that are variable-speed), which serves to adjust the calculated design heating requirement and heating load hours to the actual load experienced by a heating system; (D) A conversion factor of 0.001 kilowatt per watt; and (E) The representative average unit cost of electricity in dollars per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act; (3) Annual Operating Cost—Total. Determine the represented value of estimated annual operating cost for air-source heat pumps that provide both heating and cooling by calculating the sum of the quantity determined in paragraph (f)(1) of this section added to the quantity determined in paragraph (f)(2) of this section. (4) Regional Annual Operating Cost—Cooling. Determine the represented value of estimated regional annual operating cost for cooling-only units or the cooling portion of the estimated regional annual operating cost for air-source heat pumps that provide both heating and cooling by calculating the product of: (i) The value determined in paragraph (f)(4)(i)(A) of this section if using appendix M to subpart B of part 430 or the value determined in paragraph (f)(4)(i)(B) of this section if using appendix M1 to subpart B of part 430; (A) the quotient of the represented value of cooling capacity, in Btu's per hour as determined in paragraph (b)(3)(iii) of this section, divided by the represented value of SEER, in Btu's per watt-hour, as determined in paragraph (b)(3)(ii) of this section; (B) the quotient of the represented value of cooling capacity, in Btu's per hour as determined in paragraph (b)(3)(i)(C) of this section, and multiplied by 0.93 for variable-speed heat pumps only, divided by the represented value of SEER2, in Btu's per watt-hour, as determined in paragraph (b)(3)(i)(B) of this section; (ii) The value determined in paragraph (f)(4)(ii)(A) of this section if using appendix M to subpart B of part 430 or the value determined in paragraph (f)(4)(ii)(B) of this section if using appendix M1 to subpart B of part 430; (A) the estimated number of regional cooling load hours per year determined from Table 22 in section 4.4 of appendix M to subpart B of part 430; (B) the estimated number of regional cooling load hours per year determined from Table 21 in section 4.4 of appendix M1 to subpart B of part 430; (iii) A conversion factor of 0.001 kilowatts per watt; and (iv) The representative average unit cost of electricity in dollars per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act. (5) Regional Annual Operating Cost—Heating. Determine the represented value of estimated regional annual operating cost for air-source heat pumps that provide only heating or for the heating portion of the estimated regional annual operating cost for air-source heat pumps that provide both heating and cooling as follows: (i) When using appendix M to subpart B of part 430, the product of: (A) The estimated number of regional heating load hours per year determined from Table 22 in section 4.4 of appendix M to subpart B of part 430; (B) The quotient of the mean of the standardized design heating requirement for the sample, in Btu's per hour, for the appropriate generalized climatic region of interest (i.e., corresponding to the regional heating load hours from “A”) and determined for each unit in the sample in section 4.2 of appendix M to subpart B of part 430, divided by the represented value of HSPF, in Btu's per watt-hour, calculated for the appropriate generalized climatic region of interest and corresponding to the above-mentioned standardized design heating requirement, and determined in paragraph (b)(3)(ii); (C) The adjustment factor of 0.77; which serves to adjust the calculated design heating requirement and heating load hours to the actual load experienced by a heating system; (D) A conversion factor of 0.001 kilowatts per watt; and (E) The representative average unit cost of electricity in dollars per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act. (ii) When using appendix M1 to subpart B of part 430, the product of: (A) The estimated number of regional heating load hours per year determined from Table 21 in section 4.4 of appendix M1 to subpart B of part 430; (B) The quotient of the represented value of cooling capacity (for air-source heat pumps that provide both cooling and heating) in Btu's per hour, as determined in paragraph (b)(3)(i)(C) of this section, or the represented value of heating capacity (for air-source heat pumps that provide only heating), as determined in paragraph (b)(3)(i)(D) of this section, divided by the represented value of HSPF2, in Btu's per watt-hour, calculated for the appropriate generalized climatic region of interest, and determined in paragraph (b)(3)(i)(B) of this section; (C) The adjustment factor of 1.15 (for heat pumps that are not variable-speed) or 1.07 (for heat pumps that are variable-speed), which serves to adjust the calculated design heating requirement and heating load hours to the actual load experienced by a heating system; (D) A conversion factor of 0.001 kilowatts per watt; and (E) The representative average unit cost of electricity in dollars per kilowatt-hour as provided pursuant to section 323(b)(2) of the Act. (6) Regional Annual Operating Cost—Total. For air-source heat pumps that provide both heating and cooling, the estimated regional annual operating cost is the sum of the quantity determined in paragraph (f)(4) of this section added to the quantity determined in paragraph (f)(5) of this section. (7) Annual Operating Cost—Rounding. Round any represented values of estimated annual operating cost determined in paragraphs (f)(1) through (6) of this section to the nearest dollar per year. [81 FR 37049, June 8, 2016, as amended by T.D. 9782, 81 FR 55112, Aug. 18, 2016; 82 FR 1468, Jan. 5, 2017] ## §429.17 Water heaters.(a) Determination of represented value. (1) Manufacturers must determine the represented value for each water heater by applying an AEDM in accordance with 10 CFR 429.70 or by testing for the uniform energy factor, in conjunction with the applicable sampling provisions as follows: (i) If the represented value is determined through testing, the general requirements of 10 CFR 429.11 are applicable; and (ii) For each basic model selected for testing, a sample of sufficient size shall be randomly selected and tested to ensure that— (A) Any represented value of the estimated annual operating cost or other measure of energy consumption of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of: (1) The mean of the sample, where:
and, x̅ is the sample mean; n is the number of samples; and xi is the ith sample; Or, (2) The upper 95-percent confidence limit (UCL) of the true mean divided by 1.10, where: And x̅ is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95-percent one-tailed confidence interval with n-1 degrees of freedom (from Appendix A). (B) Any represented value of the uniform energy factor, or other measure of energy consumption of a basic model for which consumers would favor higher values shall be less than or equal to the lower of: (1) The mean of the sample, where:
and, x is the sample mean; n is the number of samples; and xi is the ith sample; Or, (2) The lower 95-percent confidence limit (LCL) of the true mean divided by 0.90, where: And x̅ is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95-percent one-tailed confidence interval with n-1 degrees of freedom (from Appendix A). (C) Any represented value of the rated storage volume must be equal to the mean of the measured storage volumes of all the units within the sample. (D) Any represented value of first-hour rating or maximum gallons per minute (GPM) must be equal to the mean of the measured first-hour ratings or measured maximum GPM ratings, respectively, of all the units within the sample. (b) Certification reports. (1) The requirements of 10 CFR 429.12 are applicable to water heaters; and (2) Pursuant to 10 CFR 429.12(b)(13), a certification report shall include the following public, product-specific information: (i) For storage-type water heater basic models: The uniform energy factor (UEF, rounded to the nearest 0.01), the rated storage volume in gallons (rounded to the nearest 1 gal), the first-hour rating in gallons (gal, rounded to the nearest 1 gal), and the recovery efficiency in percent (%, rounded to the nearest 1%); (ii) For instantaneous-type water heater basic models: The uniform energy factor (UEF, rounded to the nearest 0.01), the rated storage volume in gallons (gal, rounded to the nearest 1 gal), the maximum gallons per minute (gpm, rounded to the nearest 0.1 gpm), and the recovery efficiency in percent (%, rounded to the nearest 1%); and (iii) For grid-enabled water heater basic models: The uniform energy factor (UEF, rounded to the nearest 0.01), the rated storage volume in gallons (gal, rounded to the nearest 1 gal), the first-hour rating in gallons (gal, rounded to the nearest 1 gal), the recovery efficiency in percent (%, rounded to the nearest 1%), a declaration that the model is a grid-enabled water heater, whether it is equipped at the point of manufacture with an activation lock, and whether it bears a permanent label applied by the manufacturer that advises purchasers and end-users of the intended and appropriate use of the product. [81 FR 96235, Dec. 29, 2016] ## §429.18 Residential furnaces.(a) Sampling plan for selection of units for testing. (1) The requirements of §429.11 are applicable to residential furnaces; and (2) (i) For each basic model of furnaces, other than basic models of those sectional cast-iron boilers (which may be aggregated into groups having identical intermediate sections and combustion chambers) a sample of sufficient size shall be randomly selected and tested to ensure that— (A) Any represented value of estimated annual operating cost, energy consumption or other measure of energy consumption of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of: (1) The mean of the sample, where: Or, (2) The upper 971⁄2 percent confidence limit (UCL) of the true mean divided by 1.05, where: 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: Or, (2) The lower 971⁄2 percent confidence limit (LCL) of the true mean divided by 0.95, where: (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: Or, (2) The upper 971⁄2 percent confidence limit (UCL) of the true mean divided by 1.05, where:
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: Or, (2) The lower 971⁄2 percent confidence limit (LCL) of the true mean divided by 0.95, where: (iii) For the highest capacity basic model of a group of basic models of those sectional cast-iron boilers having identical intermediate sections and combustion chambers, a sample of sufficient size shall be randomly selected and tested to ensure that— (A) Any represented value of estimated annual operating cost, energy consumption or other measure of energy consumption of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of: (1) The mean of the sample, where: Or, (2) The upper 971⁄2 percent confidence limit (UCL) of the true mean divided by 1.05, where:
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: Or, (2) The lower 971⁄2 percent confidence limit (LCL) of the true mean divided by 0.95, where: (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: Or, (ii) The upper 971⁄2 percent confidence limit (UCL) of the true mean divided by 1.05, where:
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: Or, (ii) The lower 971⁄2 percent confidence limit (LCL) of the true mean divided by 0.95, where: (v) Whenever measures of energy consumption determined by linear interpolation do not agree with measures of energy consumption determined by actual testing, the values determined by testing must be used for certification. (vi) In calculating the measures of energy consumption for each unit tested, use the design heating requirement corresponding to the mean of the capacities of the units of the sample. (vii) Reported values. The represented value of annual fuel utilization efficiency must be truncated to the one-tenth of a percentage point. (b) Certification reports. (1) The requirements of §429.12 are applicable to residential furnaces; and (2) Pursuant to §429.12(b)(13), a certification report shall include the following public product-specific information: (i) Residential furnaces and boilers: The annual fuel utilization efficiency (AFUE) in percent (%) and the input capacity in British thermal units per hour (Btu/h). (ii) For cast-iron sectional boilers: The type of ignition system for gas-fired steam and hot water boilers. (3) Pursuant to §429.12(b)(13), a certification report shall include the following additional product-specific information: For cast-iron sectional boilers: a declaration of whether certification is based on linear interpolation or testing. For hot water boilers, a declaration that the manufacturer has incorporated the applicable design requirements. (4) For multi-position furnaces, the annual fuel utilization efficiency (AFUE) reported for each basic model must be based on testing in the least efficient configuration. Manufacturers may also report and make representations of additional AFUE values based on testing in other configurations. [76 FR 12451, Mar. 7, 2011; 76 FR 24765, May 2, 2011, as amended at 76 FR 38292, June 30, 2011; 81 FR 2646, Jan. 15, 2016] ## §429.19 Dishwashers.(a) Sampling plan for selection of units for testing. (1) The requirements of §429.11 are applicable to dishwashers; and (2) For each basic model of dishwashers, a sample of sufficient size shall be randomly selected and tested to ensure that— (i) Any represented value of estimated annual operating cost, energy or water consumption or other measure of energy or water consumption of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of: (A) The mean of the sample, where: Or, (B) The upper 971⁄2 percent confidence limit (UCL) of the true mean divided by 1.05, where:
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: Or, (B) The lower 971⁄2 percent confidence limit (LCL) of the true mean divided by 0.95, where: (b) Certification reports. (1) The requirements of §429.12 are applicable to dishwashers; and (2) Pursuant to §429.12(b)(13), a certification report shall include the following public product-specific information: The estimated annual energy use in kilowatt hours per year (kWh/yr) and the water consumption in gallons per cycle. (3) Pursuant to §429.12(b)(13), a certification report shall include the following additional product-specific information the capacity in number of place settings as specified in ANSI/AHAM DW-1-2010 (incorporated by reference, see §429.4), presence of a soil sensor (if yes, the number of cycles required to reach calibration), the water inlet temperature used for testing in degrees Fahrenheit ( °F), the cycle selected for energy testing and whether that cycle is soil-sensing, the options selected for the energy test, and presence of a built-in water softening system (if yes, the energy use in kilowatt-hours and the water use in gallons required for each regeneration of the water softening system, the number of regeneration cycles per year, and data and calculations used to derive these values). [76 FR 12451, Mar. 7, 2011; 76 FR 24766, May 2, 2011, as amended at 77 FR 31962, May 30, 2012; 77 FR 65977, Oct. 31, 2012; 81 FR 90118, Dec. 13, 2016] ## §429.20 Residential clothes washers.(a) Sampling plan for selection of units for testing. (1) The requirements of §429.11 are applicable to residential clothes washers; and (2) For each basic model of residential clothes washers, a sample of sufficient size shall be randomly selected and tested to ensure that— (i) Any represented value of the water factor, integrated water factor, the estimated annual operating cost, the energy or water consumption, or other measure of energy or water consumption of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of: (A) The mean of the sample, where: Or, (B) The upper 971⁄2 percent confidence limit (UCL) of the true mean divided by 1.05, where:
and (ii) Any represented value of the modified energy factor, integrated modified energy factor, or other measure of energy or water consumption of a basic model for which consumers would favor higher values shall be less than or equal to the lower of: (A) The mean of the sample, where: Or, (B) The lower 971⁄2 percent confidence limit (LCL) of the true mean divided by 0.95, where: (3) The capacity of a basic model reported in accordance with paragraph (b)(2) of this section shall be the mean of the measured clothes container capacity, C, of all tested units of the basic model. (4) The remaining moisture content (RMC) of a basic model reported in accordance with paragraph (b)(2) of this section shall be the mean of the final RMC value measured for all tested units of the basic model. (b) Certification reports. (1) The requirements of §429.12 are applicable to residential clothes washers; and (2) Pursuant to §429.12(b)(13), a certification report shall include the following public product-specific information: (i) For residential clothes washers tested in accordance with Appendix J1: The modified energy factor (MEF) in cubic feet per kilowatt hour per cycle (cu ft/kWh/cycle), the capacity in cubic feet (cu ft), the corrected remaining moisture content (RMC) expressed as a percentage, and, for standard-size residential clothes washers, a water factor (WF) in gallons per cycle per cubic foot (gal/cycle/cu ft). (ii) For residential clothes washers tested in accordance with Appendix J2: The integrated modified energy factor (IMEF) in cu ft/kWh/cycle, the integrated water factor (IWF) in gal/cycle/cu ft, the capacity in cu ft, the corrected remaining moisture content (RMC) expressed as a percentage, and the type of loading (top-loading or front-loading). (3) Pursuant to §429.12(b)(13), a certification report must include the following additional product-specific information: A list of all cycle selections comprising the complete energy test cycle for each basic model. (c) Reported values. Values reported pursuant to this subsection must be rounded as follows: MEF and IMEF to the nearest 0.01 cu ft/kWh/cycle, WF and IWF to the nearest 0.1 gal/cycle/cu ft, RMC to the nearest 0.1 percentage point, and clothes container capacity to the nearest 0.1 cu ft. [76 FR 12451, Mar. 7, 2011; 76 FR 24767, May 2, 2011, as amended at 77 FR 13936, Mar. 7, 2012; 77 FR 32379, May 31, 2012; 80 FR 46760, Aug. 5, 2015] ## §429.21 Residential clothes dryers.(a) Sampling plan for selection of units for testing. (1) The requirements of §429.11 are applicable to clothes dryers; and (2) For each basic model of clothes dryers a sample of sufficient size shall be randomly selected and tested to ensure that— (i) Any represented value of estimated annual operating cost, energy consumption or other measure of energy consumption of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of: (A) The mean of the sample, where: Or, (B) The upper 971⁄2 percent confidence limit (UCL) of the true mean divided by 1.05, where:
and (ii) Any represented value of the energy factor, combined energy factor, or other measure of energy consumption of a basic model for which consumers would favor higher values shall be less than or equal to the lower of: (A) The mean of the sample, where: Or, (B) The lower 971⁄2 percent confidence limit (LCL) of the true mean divided by 0.95, where: (3) The capacity of a basic model reported in accordance with paragraph (b)(2) of this section shall be the mean of the capacities measured for each tested unit of the basic model. (b) Certification reports. (1) The requirements of §429.12 are applicable to clothes dryers; and (2) Pursuant to §429.12(b)(13), a certification report shall include the following public product-specific information: When using appendix D, the energy factor in pounds per kilowatt hours (lb/kWh), the capacity in cubic feet (cu ft), the voltage in volts (V) (for electric dryers only), an indication if the dryer has automatic termination controls, and the hourly British thermal unit (Btu) rating of the burner (for gas dryers only); when using appendix D1, the combined energy factor in pounds per kilowatt hours (lb/kWh), the capacity in cubic feet (cu ft), the voltage in volts (V) (for electric dryers only), an indication if the dryer has automatic termination controls, and the hourly Btu rating of the burner (for gas dryers only); when using appendix D2, the combined energy factor in pounds per kilowatt hours (lb/kWh), the capacity in cubic feet (cu ft), the voltage in volts (V) (for electric dryers only), an indication if the dryer has automatic termination controls, the hourly Btu rating of the burner (for gas dryers only), and a list of the cycle setting selections for the energy test cycle as recorded in section 3.4.7 of appendix D2 to Subpart B of Part 430. [76 FR 12451, Mar. 7, 2011; 76 FR 24767, May 2, 2011, as amended at 78 FR 49644, Aug. 14, 2013] ## §429.22 Direct heating equipment.(a) Sampling plan for selection of units for testing. (1) The requirements of §429.11 are applicable to direct heating equipment; and (2) (i) For each basic model of direct heating equipment (not including furnaces) a sample of sufficient size shall be randomly selected and tested to ensure that— (1) The mean of the sample, where: Or, (2) The upper 971⁄2 percent confidence limit (UCL) of the true mean divided by 1.05, where:
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: Or, (2) The lower 971⁄2 percent confidence limit (LCL) of the true mean divided by 0.95, where: (ii) In calculating the measures of energy consumption for each unit tested, use the design heating requirement corresponding to the mean of the capacities of the units of the sample. (b) Certification reports. (1) The requirements of §429.12 are applicable to direct heating equipment; and (2) Pursuant to §429.12(b)(13), a certification report shall include the following public product-specific information: Direct heating equipment, the annual fuel utilization efficiency (AFUE) in percent (%), the mean input capacity in British thermal units per hour (Btu/h), and the mean output capacity in British thermal units per hour (Btu/h). [76 FR 12451, Mar. 7, 2011; 76 FR 24768, May 2, 2011, as amended at 76 FR 38292, June 30, 2011] ## §429.23 Cooking products.(a) Sampling plan for selection of units for testing. (1) The requirements of §429.11 are applicable to cooking products; and (2) For each basic model of cooking products a sample of sufficient size shall be randomly selected and tested to ensure that any represented value of estimated annual operating cost, standby mode power consumption, off mode power consumption, annual energy consumption, integrated annual energy consumption, or other measure of energy consumption of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of: (i) The mean of the sample, where:
and x̅ is the sample mean; n is the number of samples; and xi is the ith sample; Or, (ii) The upper 971⁄2 percent confidence limit (UCL) of the true mean divided by 1.05, where:
And x̅ is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.975 is the t statistic for a 97.5% one-tailed confidence interval with n-1 degrees of freedom (from appendix A). (b) Certification reports. (1) The requirements of §429.12 are applicable to conventional cooking tops, conventional ovens and microwave ovens; and (2) Pursuant to §429.12(b)(13), a certification report shall include the following public product-specific information: For conventional cooking tops and conventional ovens: the type of pilot light and a declaration that the manufacturer has incorporated the applicable design requirements. For microwave ovens, the average standby power in watts. [76 FR 12451, Mar. 7, 2011; 76 FR 24769, May 2, 2011, as amended at 77 FR 65977, Oct. 31, 2012; 78 FR 4025, Jan. 18, 2013; 78 FR 36368, June 17, 2013; 81 FR 91445, Dec. 16, 2016] ## §429.24 Pool heaters.(a) Sampling plan for selection of units for testing. (1) The requirements of §429.11 are applicable to pool heaters; and (2) For each basic model of pool heater a sample of sufficient size shall be randomly selected and tested to ensure that any represented value of the thermal efficiency or other measure of energy consumption of a basic model for which consumers would favor higher values shall be less than or equal to the lower of: (i) The mean of the sample, where: Or, (ii) The lower 971⁄2 percent confidence limit (LCL) of the true mean divided by 0.95, where: (b) Certification reports. (1) The requirements of §429.12 are applicable to pool heaters; and (2) Pursuant to §429.12(b)(13), a certification report shall include the following public product-specific information: The thermal efficiency in percent (%) and the input capacity in British thermal units per hour (Btu/h). [76 FR 12451, Mar. 7, 2011; 76 FR 24769, May 2, 2011] ## §429.25 Television sets.(a) Sampling plan for selection of units for testing. (1) The requirements of §429.11 are applicable to televisions; and (2) For each basic model of television, samples shall be randomly selected and tested to ensure that— (i) Any represented value of power consumption of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of: (A) The mean of the sample, where:
and x̅ is the sample mean; n is the number of samples; and xi is the ith sample; Or, (B) For on mode power consumption, the upper 95 percent confidence limit (UCL) of the true mean divided by 1.05, where:
and x̅ is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t-statistic for a 95% one-tailed confidence interval with n−1 degrees of freedom (from appendix A of this subpart). And (C) For standby mode power consumption and power consumption measurements in modes other than on mode, the upper 90 percent confidence limit (UCL) of the true mean divided by 1.10, where:
and x̅ is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.90 is the t-statistic for a 90% one-tailed confidence interval with n−1 degrees of freedom (from appendix A of this subpart). (ii) Any represented annual energy consumption of a basic model shall be determined by applying the AEC calculation in section 8.2 of Appendix H to subpart B of 10 CFR Part 430 to the represented values of power consumption as calculated pursuant to paragraph (a)(2)(i) of this section. (iii) Rounding requirements. The represented value of power consumption and the represented annual energy consumption shall be rounded as follows: (A) For power consumption in the on, standby, and off modes, the represented value shall be rounded according to the accuracy requirements specified in section 3.3.3 of Appendix H to subpart B of 10 CFR Part 430. (B) For annual energy consumption, the represented value shall be rounded according to the rounding requirements specified in section 8.3 of Appendix H to subpart B of 10 CFR Part 430. (b) [Reserved] [78 FR 63840, Oct. 25, 2013] ## §429.26 Fluorescent lamp ballasts.(a) Sampling plan for selection of units for testing. (1) The requirements of §429.11 are applicable to fluorescent lamp ballasts; and (2) For each basic model of fluorescent lamp ballasts, a sample of sufficient size, not less than four, shall be randomly selected and tested to ensure that— (i) Any represented value of estimated annual energy operating costs, energy consumption, or other measure of energy consumption of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of: (A) The mean of the sample, where: Or, (B) The upper 99 percent confidence limit (UCL) of the true mean divided by 1.01, where:
and (ii) Any represented value of the ballast luminous efficiency, power factor, or other measure of the energy efficiency or energy consumption of a basic model for which consumers would favor a higher value must be less than or equal to the lower of: (A) The mean of the sample, where:
Or, (B) The lower 99 percent confidence limit (LCL) of the true mean divided by 0.99, where: (b) Certification reports. (1) The requirements of §429.12 are applicable to fluorescent lamp ballasts; and (2) Pursuant to §429.12(b)(13), a certification report must include the following public product-specific information: The ballast luminous efficiency, the power factor, the number of lamps operated by the ballast, and the type of lamps operated by the ballast. (c) Rounding requirements. (1) Round ballast luminous efficiency to the nearest thousandths place. (2) Round power factor to the nearest hundredths place. [76 FR 12451, Mar. 7, 2011; 76 FR 24769, May 2, 2011, as amended at 81 FR 25600, Apr. 29, 2016] ## §429.27 General service fluorescent lamps, general service incandescent lamps, and incandescent reflector lamps.(a) Sampling plan for selection of units for testing. (1) The requirements of §429.11 are applicable to general service fluorescent lamps, general service incandescent lamps and incandescent reflector lamps; and (2)(i) For each basic model of general service fluorescent lamp and incandescent reflector lamp, samples of production lamps shall be obtained from a 12-month period, tested, and the results averaged. A minimum sample of 21 lamps shall be tested. The manufacturer shall randomly select a minimum of three lamps from each month of production for a minimum of 7 out of the 12-month period. In the instance where production occurs during fewer than 7 of such 12 months, the manufacturer shall randomly select 3 or more lamps from each month of production, where the number of lamps selected for each month shall be distributed as evenly as practicable among the months of production to attain a minimum sample of 21 lamps. Any represented value of lamp efficacy of a basic model shall be based on the sample and shall be less than or equal to the lower of: (A) The mean of the sample, where: Or, (B) The lower 95 percent confidence limit (LCL) of the true mean divided by .97, where: (ii) For each basic model of general service fluorescent lamp and general service incandescent lamp, the color rendering index (CRI) shall be measured from the same lamps selected for the lumen output and watts input measurements in paragraphs (a)(2)(i) and (a)(2)(iii) of this section, i.e., the manufacturer shall measure all lamps for lumens, watts input, and CRI. The CRI shall be represented as the average of a minimum sample of 21 lamps and shall be less than or equal to the lower of: (A) The mean of the sample, where: Or, (B) The lower 95 percent confidence limit (LCL) of the true mean divided by .97, where: (iii) For each basic model of general service incandescent lamp, for measurements of rated wattage and rated lumen output, samples of production lamps shall be obtained from a 12-month period, tested, and the results averaged. A minimum sample of 21 lamps shall be tested. The manufacturer shall randomly select a minimum of three lamps from each month of production for a minimum of 7 out of the 12-month period. In the instance where production occurs during fewer than 7 of such 12 months, the manufacturer shall randomly select 3 or more lamps from each month of production, where the number of lamps selected for each month shall be distributed as evenly as practicable among the months of production to attain a minimum sample of 21 lamps. Any represented value of rated wattage of a basic model shall be based on the sample and shall be greater than or equal to the higher of: (A) The mean of the sample, where:
and, x̅ is the sample mean; n is the number of samples; and xi is the ith sample; Or, (B) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.03, where:
and x̅ is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95% two-tailed confidence interval with n-1 degrees of freedom (from Appendix A to this subpart). (iv) For each basic model of general service incandescent lamp, for measurements of rated lifetime, a minimum sample of 21 lamps shall be tested. The manufacturer shall randomly select a minimum of three lamps from each month of production for a minimum of 7 out of the 12-month period. In the instance where production occurs during fewer than 7 of such 12 months, the manufacturer shall randomly select three or more lamps from each month of production, where the number of lamps selected for each month shall be distributed as evenly as practicable among the months of production to attain a minimum sample of 21 lamps. The lifetime shall be represented as the length of operating time between first use and failure of 50 percent of the sample size, in accordance with test procedures described in section 4.2 of Appendix R to subpart B of part 430 of this chapter. Compliance will be determined by the percentage of sample size that meets the minimum rated lifetime. (b) Certification reports. (1) The requirements of §429.12 are applicable to general service fluorescent lamps, general service incandescent lamps and incandescent reflector lamps; and (2) Pursuant to §429.12(b)(13), a certification report shall include the following public product-specific information: (i) General service fluorescent lamps: The testing laboratory's ILAC accreditation body's identification number or other approved identification assigned by the ILAC accreditation body, production dates of the units tested, the 12-month average lamp efficacy in lumens per watt (lm/W), lamp wattage (W), correlated color temperature in Kelvin (K), and the 12-month average Color Rendering Index (CRI). (ii) Incandescent reflector lamps: The testing laboratory's ILAC accreditation body's identification number or other approved identification assigned by the ILAC accreditation body, production dates of the units tested, the 12-month average lamp efficacy in lumens per watt (lm/W), and lamp wattage (W). (iii) General service incandescent lamps: The testing laboratory's ILAC accreditation body's identification number or other approved identification assigned by the ILAC accreditation body, production dates of the units tested, the 12-month average maximum rate wattage in watts (W), the 12-month average minimum rated lifetime (hours), and the 12-month average Color Rendering Index (CRI). (c) Test data. Manufacturers must include the production date codes and the accompanying decoding scheme corresponding to all of the units tested for a given basic model in the detailed test records maintained under §429.71. [76 FR 12451, Mar. 7, 2011; 76 FR 24770, May 2, 2011, as amended at 76 FR 38292, June 30, 2011; 77 FR 4215, Jan. 27, 2012; 81 FR 72503, Oct. 20, 2016] ## §429.28 Faucets.(a) Sampling plan for selection of units for testing. (1) The requirements of §429.11 are applicable to faucets; and (2) For each basic model of faucet, a sample of sufficient size shall be randomly selected and tested to ensure that any represented value of water consumption of a basic model for which consumers favor lower values shall be no less than the higher of the higher of: (i) The mean of the sample, where: Or, (ii) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.05, where: (b) Certification reports. (1) The requirements of §429.12 are applicable to faucets; and (2) Pursuant to §429.12(b)(13), a certification report shall include the following public product-specific information: For non-metering faucets, the maximum water use in gallons per minute (gpm) rounded to the nearest 0.1 gallon; for metering faucets, the maximum water use in gallons per cycle (gal/cycle) rounded to the nearest 0.01 gallon; and for all faucet types, the flow water pressure in pounds per square inch (psi). [76 FR 12451, Mar. 7, 2011; 76 FR 24771, May 2, 2011, as amended at 78 FR 62985, Oct. 23, 2013] ## §429.29 Showerheads.(a) Sampling plan for selection of units for testing. (1) The requirements of §429.11 are applicable to showerheads; and (2) For each basic model of a showerhead, a sample of sufficient size shall be randomly selected and tested to ensure that any represented value of water consumption of a basic model for which consumers favor lower values shall be greater than or equal to the higher of: (i) The mean of the sample, where: Or, (ii) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.05, where: (b) Certification reports. (1) The requirements of §429.12 are applicable to showerheads; and (2) Pursuant to §429.12(b)(13), a certification report shall include the following public product-specific information: The maximum water use in gallons per minute (gpm) rounded to the nearest 0.1 gallon, the maximum flow water pressure in pounds per square inch (psi), and a declaration that the showerhead meets the requirements of §430.32(p) pertaining to mechanical retention of the flow-restricting insert, if applicable. [76 FR 12451, Mar. 7, 2011; 76 FR 24771, May 2, 2011, as amended at 78 FR 62985, Oct. 23, 2013] ## §429.30 Water closets.(a) Sampling plan for selection of units for testing. (1) The requirements of §429.11 are applicable to water closets; and (2) For each basic model of water closet, a sample of sufficient size shall be randomly selected and tested to ensure that any represented value of water consumption of a basic model for which consumers favor lower values shall be greater than or equal to the higher of: (i) The mean of the sample, where: Or, (ii) The upper 90 percent confidence limit (UCL) of the true mean divided by 1.1, where: (b) Certification reports. (1) The requirements of §429.12 are applicable to water closets; and (2) Pursuant to §429.12(b)(13), a certification report shall include the following public product-specific information: The maximum water use in gallons per flush (gpf), rounded to the nearest 0.01 gallon. For dual-flush water closets, the maximum water use to be reported is the flush volume observed when tested in the full-flush mode. [76 FR 12451, Mar. 7, 2011; 76 FR 24771, May 2, 2011, as amended at 78 FR 62986, Oct. 23, 2013] ## §429.31 Urinals.(a) Sampling plan for selection of units for testing. (1) The requirements of §429.11 are applicable to urinals; and (2) For each basic model of urinal, a sample of sufficient size shall be randomly selected and tested to ensure that any represented value of water consumption of a basic model for which consumers favor lower values shall be greater than or equal to the higher of: (i) The mean of the sample, where: Or, (ii) The upper 90 percent confidence limit (UCL) of the true mean divided by 1.1, where: (b) Certification reports. (1) The requirements of §429.12 are applicable to urinals; and (2) Pursuant to §429.12(b)(13), a certification report shall include the following public product-specific information: The maximum water use in gallons per flush (gpf), rounded to the nearest 0.01 gallon, and for trough-type urinals, the maximum flow rate in gallons per minute (gpm), rounded to the nearest 0.01 gallon, and the length of the trough in inches (in). [76 FR 12451, Mar. 7, 2011; 76 FR 24771, May 2, 2011, as amended at 78 FR 62986, Oct. 23, 2013] ## §429.32 Ceiling fans.(a) Determination of represented value. Manufacturers must determine the represented value, which includes the certified rating, for each basic model of ceiling fan by testing, in conjunction with the following sampling provisions: (1) The requirements of §429.11 are applicable to ceiling fans; and (2) For each basic model of ceiling fan selected for testing, a sample of sufficient size must be randomly selected and tested to ensure that— (i) Any represented value of the efficiency or airflow is less than or equal to the lower of: (A) The mean of the sample, where: And x̅ is the sample mean; n is the number of samples; and xi is the ith sample; or (B) The lower 90 percent confidence limit (LCL) of the true mean divided by 0.9, where: And x̅ is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.90 is the t statistic for a 90% one-tailed confidence interval with n−1 degrees of freedom (from appendix A to subpart B); and (ii) Any represented value of the wattage is greater than or equal to the higher of: (A) The mean of the sample, where: And x̅ is the sample mean; n is the number of samples; and xi is the ith sample; or (B) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.1, where: And x̅ is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95% one-tailed confidence interval with n−1 degrees of freedom (from appendix A to this subpart). (b) Certification reports. (1) The requirements of §429.12 are applicable to ceiling fans; and (2) Pursuant to §429.12(b)(13), a certification report shall include the following public product-specific information: The number of speeds within the ceiling fan controls and a declaration that the manufacturer has incorporated the applicable design requirements. [76 FR 12451, Mar. 7, 2011, as amended at 81 FR 48639, July 25, 2016] ## §429.33 Ceiling fan light kits.(a) Determination of represented value. Manufacturers must determine represented values, which includes certified ratings, for each basic model of ceiling fan light kit in accordance with following sampling provisions. (1) The requirements of §429.11 are applicable to ceiling fan light kits, and (2) For each basic model of ceiling fan light kit, the following sample size requirements are applicable to demonstrate compliance with the January 1, 2007 energy conservation standards: (i) For ceiling fan light kits with medium screw base sockets that are packaged with compact fluorescent lamps, determine the represented values of each basic model of lamp packaged with the ceiling fan light kit in accordance with §429.35. (ii) For ceiling fan light kits with medium screw base sockets that are packaged with integrated light-emitting diode lamps, determine the represented values of each basic model of lamp packaged with the ceiling fan light kit in accordance with §429.56. (iii) For ceiling fan light kits with pin-based sockets that are packaged with fluorescent lamps, determine the represented values of each basic model of lamp packaged with the ceiling fan light kit in accordance with the sampling requirements in §429.35. (iv) For ceiling fan light kits with medium screw base sockets that are packaged with incandescent lamps, determine the represented values of each basic model of lamp packaged with the ceiling fan light kit in accordance with §429.27. (v) For ceiling fan light kits with sockets or packaged with lamps other than those described in paragraphs (a)(2)(i), (ii), (iii), or (iv) of this section, each unit must comply with the applicable design standard in §430.32(s)(5) of this chapter. (3) For ceiling fan light kits that require compliance with the January 21, 2020 energy conservation standards: (i) Determine the represented values of each basic model of lamp packaged with each basic model of ceiling fan light kit, in accordance with the specified section: (A) For compact fluorescent lamps, §429.35; (B) For general service fluorescent lamps, §429.27; (C) For incandescent lamps, §429.27; (D) For integrated LED lamps, §429.56. (E) For other fluorescent lamps (not compact fluorescent lamps or general service fluorescent lamps), §429.35; and (F) For other SSL lamps (not integrated LED lamps), §429.56. (ii) Determine the represented value of each basic model of integrated SSL circuitry that is incorporated into each basic model of ceiling fan light kit by randomly selecting a sample of sufficient size and testing to ensure that any represented value of the energy efficiency of the integrated SSL circuitry basic model is less than or equal to the lower of: (A) The mean of the sample, where: and, x̅ is the sample mean; n is the number of samples; and xi is the ith sample; Or, (B) The lower 95 percent confidence limit (LCL) of the true mean divided by 0.90, where: And x̅ is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95% one-tailed confidence interval with n-1 degrees of freedom (from appendix A to subpart B). (b) Certification reports. (1) The requirements of §429.12 are applicable to ceiling fan light kits; and (i) Ceiling fan light kits with sockets for medium screw base lamps: the rated wattage in watts (W) and the system's efficacy in lumens per watt (lm/W). (ii) Ceiling fan light kits with pin-based sockets for fluorescent lamps: the rated wattage in watts (W), the system's efficacy in lumens per watt (lm/W), and the length of the lamp in inches (in). (iii) Ceiling fan light kits with any other socket type: the rated wattage in watts (W) and the number of individual sockets. (3) Pursuant to §429.12(b)(13), a certification report shall include the following additional product-specific information: Ceiling fan light kits with any other socket type: a declaration that the basic model meets the applicable design requirement and the features that have been incorporated into the ceiling fan light kit to meet the applicable design requirement (e.g., circuit breaker, fuse, ballast). (c) Rounding requirements. Any represented value of initial lamp efficacy of CFLKs as described in paragraph (a)(3)(i)(E); system efficacy of CFLKs as described in paragraph (a)(2)(iii); luminaire efficacy of CFLKs as described in paragraph (a)(3)(ii) of this section must be expressed in lumens per watt and rounded to the nearest tenth of a lumen per watt. [76 FR 12451, Mar. 7, 2011; 76 FR 24772, May 2, 2011, as amended at 80 FR 80225, Dec. 24, 2015; 81 FR 632, Jan. 6, 2016; 81 FR 43425, July 1, 2016; 84 FR 8413, Mar. 8, 2019] ## §429.34 Torchieres.(a) Sampling plan for selection of units for testing. (1) The requirements of §429.11 are applicable to torchieres; and (2) Reserved (b) Certification reports. (1) The requirements of §429.12 are applicable to torchieres; and (2) Pursuant to §429.12(b)(13), a certification report shall include the following additional product-specific information: A declaration that the basic model meets the applicable design requirement and the features that have been incorporated into the torchiere to meet the applicable design requirement (e.g., circuit breaker, fuse, ballast). ## §429.35 Compact fluorescent lamps.(a) Determination of Represented Value. Manufacturers must determine represented values, which include the certified ratings, for each basic model of compact fluorescent lamp by testing, in conjunction with the following sampling provisions: (1) Units to be tested. (i) The requirements of §429.11(a) are applicable except that the sample must be comprised of production units; and (ii)(A) For each basic model of integrated compact fluorescent lamp, the minimum number of units tested shall be no less than 10 units when testing for the initial lumen output, input power, initial lamp efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40 percent of lifetime, lifetime, CCT, CRI, power factor, and standby mode power. If more than 10 units are tested as part of the sample, the total number of units must be a multiple of 2. The same sample of units must be used as the basis for representations for initial lumen output, input power, initial lamp efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40 percent of lifetime, lifetime, CCT, CRI, power factor, and standby mode power. No less than three units from the same sample of units must be used when testing for the start time. Exactly six unique units (i.e., units that have not previously been tested under this paragraph (a)(1)(ii) but are representative of the same basic model tested under this paragraph (a)(1)(ii)) must be used for rapid cycle stress testing. (B) For each basic model of non-integrated compact fluorescent lamp, the minimum number of units tested shall be no less than 10 units when testing for the initial lumen output, input power, initial lamp efficacy, lumen maintenance at 40 percent of lifetime, lifetime, CCT, and CRI. If more than 10 units are tested as part of the sample, the total number of units must be a multiple of 2. The same sample of units must be used as the basis for representations for initial lumen output, input power, initial lamp efficacy, lumen maintenance at 40 percent of lifetime, lifetime, CCT, and CRI. (iii) For each basic model, a sample of sufficient size shall be randomly selected and tested to ensure that: (A) Represented values of initial lumen output, initial lamp efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40 percent of lifetime, CRI, power factor, or other measure of energy consumption of a basic model for which consumers would favor higher values must be less than or equal to the lower of: (1) The mean of the sample,
Where: x is the sample mean, n is the number of units in the sample, and xi is the ith unit; Or, (2) The lower 97.5-percent confidence limit (LCL) of the true mean divided by 0.95,
Where: x is the sample mean of the characteristic value; s is the sample standard deviation; n is the number of units in the sample, and t (B) Represented values of input power, standby mode power, start time or other measure of energy consumption of a basic model for which consumers would favor lower values must be greater than or equal to the higher of: (1) The mean of the sample,
Where: x̅ is the sample mean, n x Or, (2) The upper 97.5-percent confidence limit (UCL) of the true mean divided by 1.05,
Where: x̅ is the sample mean of the characteristic value; s n t (C) The represented value of CCT must be equal to the mean of the sample,
Where: x̅ is the sample mean, n x (D) The represented value of lifetime must be equal to or less than the median time to failure of the sample (calculated as the arithmetic mean of the time to failure of the two middle sample units when the numbers are sorted in value order). (E) The represented value of the results of rapid cycle stress testing must be (1) Expressed in the number of surviving units and (2) Based on a lifetime value that is equal to or greater than the represented value of lifetime. (2) The represented value of life (in years) of a compact fluorescent lamp must be calculated by dividing the represented lifetime of a compact fluorescent lamp as determined in (a)(1) of this section by the estimated annual operating hours as specified in 16 CFR 305.15(b)(3)(iii). (3) The represented value of the estimated annual energy cost for a compact fluorescent lamp, expressed in dollars per year, must be the product of the input power in kilowatts, an electricity cost rate as specified in 16 CFR 305.15(b)(1)(ii), and an estimated average annual use as specified in 16 CFR 305.15(b)(1)(ii). (4) For compliance with standards specified in §430.32(u) as it appeared in 10 CFR parts 200-499 edition revised as of January 1, 2016, initial lamp efficacy may include a 3 percent tolerance added to the value determined in accordance with paragraph (a)(1)(iii)(A) of this section. (5) The represented value of lumen maintenance at 40 percent of lifetime must be based on a lifetime value that is equal to or greater than the represented value of lifetime. (6) Estimated values may be used for representations when initially testing a new basic model or when new/additional testing is required. (b) Certification reports. (1) The requirements of §429.12 are applicable to compact fluorescent lamps; and (2) Values reported in certification reports are represented values. Pursuant to §429.12(b)(13), a certification report shall include the following public product-specific information: (i) For each basic model of medium base CFL when certifying compliance to the standards in §430.32(u) as it appeared in 10 CFR parts 200-499 edition revised as of January 1, 2016, the testing laboratory's ILAC accreditation body's identification number or other approved identification assigned by the ILAC accreditation body, the date of first manufacture, the seasoning time in hours (h), the initial lumen output in lumens (lm), the input power in watts (W), the initial lamp efficacy in lumens per watt (lm/W), the number of sample units replaced during the seasoning period within each unique sample set used in determining the represented value, the lumen maintenance at 40 percent of lifetime in percent (%) (and whether value is estimated), the lifetime in hours (h) (and whether value is estimated), life in years (and whether value is estimated), the lumen maintenance at 1,000 hours in percent (%), and the results of rapid cycle stress testing in number of units passed. or the initial certification of new basic models or any subsequent certification based on new testing, estimates of lifetime, life, lumen maintenance at 40 percent of lifetime, and rapid cycle stress test surviving units may be reported (if indicated in the certification report) until testing is complete. When reporting estimated values, the certification report must specifically describe the prediction method, which must be generally representative of the methods specified in appendix W. Manufacturers are required to maintain records in accordance with §429.71 of the development of all estimated values and any associated initial test data. (ii) For each basic model of integrated CFL when certifying compliance with general service lamp energy conservation standards, the testing laboratory's ILAC accreditation body's identification number or other identification assigned by the ILAC accreditation body, the date of first manufacture, a statement that the compact fluorescent lamp is integrated, the seasoning time in hours (h), the initial lumen output in lumens (lm), the input power in watts (W), the initial lamp efficacy in lumens per watt (lm/W), the CCT in kelvin (K), CRI, the lumen maintenance at 1,000 hours in percent (%), the lumen maintenance at 40 percent of lifetime in percent (%) (and whether value is estimated), start time in milliseconds, power factor, standby mode energy consumption in watts (W), the results of rapid cycle stress testing in number of units passed, the lifetime in hours (h) (and whether value is estimated), life in years (and whether value is estimated), and the number of sample units replaced during the seasoning period within the sample set used in determining the represented value. Estimates of lifetime, life, lumen maintenance at 40 percent of lifetime, and rapid cycle stress test surviving units may be reported (if indicated in the certification report) until testing is complete. When reporting estimated values, the certification report must specifically describe the prediction method, which must be generally representative of the methods specified in appendix W. Manufacturers are required to maintain records in accordance with §429.71 of the development of all estimated values and any associated initial test data. (iii) For each basic model of non-integrated CFL when certifying compliance with general service lamp energy conservation standards, the testing laboratory's ILAC accreditation body's identification number or other identification assigned by the ILAC accreditation body, the date of first manufacture, a statement that the compact fluorescent lamp is non-integrated, the initial lumen output in lumens (lm), the input power in watts (W), the initial lamp efficacy in lumens per watt (lm/W), the CCT in kelvin (K), CRI, the lumen maintenance at 40 percent of lifetime in percent (%) (and whether value is estimated), the lifetime in hours (h) (and whether value is estimated), and the number of sample units replaced during the seasoning period within each unique sample set used in determining the represented value. Estimates of lifetime and lumen maintenance at 40 percent of lifetime may be reported (if indicated in the certification report) until testing is complete. When reporting estimated values, the certification report must specifically describe the prediction method, which must be generally representative of the methods specified in appendix W. Manufacturers are required to maintain records in accordance with §429.71 of the development of all estimated values and any associated initial test data. (c) Rounding requirements. For represented values, (1) Round input power to the nearest tenth of a watt. (2) Round lumen output to three significant digits. (3) Round initial lamp efficacy to the nearest tenth of a lumen per watt. (4) Round lumen maintenance at 1,000 hours to the nearest tenth of a percent. (5) Round lumen maintenance at 40 percent of lifetime to the nearest tenth of a percent. (6) Round CRI to the nearest whole number. (7) Round power factor to the nearest hundredths place. (8) Round lifetime to the nearest whole hour. (9) Round CCT to the nearest 100 kelvin (K). (10) Round standby mode power to the nearest tenth of a watt; and (11) Round start time to the nearest whole millisecond. [81 FR 59415, Aug. 29, 2016] ## §429.36 Dehumidifiers.(a) Sampling plan for selection of units for testing. (1) The requirements of §429.11 are applicable to dehumidifiers; and (2) For each basic model of dehumidifier selected for testing, a sample of sufficient size shall be randomly selected and tested to ensure that— (i) Any represented value of energy consumption or other measure of energy consumption of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of: (A) The mean of the sample, where:
Or, (B) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.10, where:
and (ii) Any represented value of the energy factor, integrated energy factor, or other measure of energy consumption of a basic model for which consumers would favor higher values shall be less than or equal to the lower of: (A) The mean of the sample, where:
Or, (B) The lower 95 percent confidence limit (LCL) of the true mean divided by 0.90, where: (3) The capacity of a basic model is the mean of the measured capacities for each tested unit of the basic model. Round the mean capacity value to two decimal places. (4) For whole-home dehumidifiers, the case volume of a basic model is the mean of the measured case volumes for each tested unit of the basic model. Round the mean case volume value to one decimal place. (5) Round the value of energy factor or integrated energy factor for a basic model to two decimal places. (6) Dehumidifiers distributed in commerce by the manufacturer with the ability to operate as both a portable and whole-home dehumidifier by means of installation or removal of an optional ducting kit, must be rated and certified under both configurations. (b) Certification reports. (1) The requirements of §429.12 are applicable to dehumidifiers; and (2) Pursuant to §429.12(b)(13), a certification report must include the following public product-specific information: (i) For dehumidifiers tested in accordance with appendix X: The energy factor in liters per kilowatt hour (liters/kWh) and capacity in pints per day. (ii) For dehumidifiers tested in accordance with appendix X1: The integrated energy factor in liters per kilowatt hour (liters/kWh), capacity in pints per day, and for whole-home dehumidifiers, case volume in cubic feet. [76 FR 12451, Mar. 7, 2011; 76 FR 24773, May 2, 2011, as amended at 77 FR 65977, Oct. 31, 2012; 80 FR 45824, July 31, 2015; 81 FR 38395, June 13, 2016] ## §429.37 External power supplies.(a) Sampling plan for selection of units for testing. (1) The requirements of §429.11 are applicable to external power supplies; and (2) For each basic model of external power supply selected for testing, a sample of sufficient size shall be randomly selected and tested to ensure that— (i) Any represented value of the estimated energy consumption of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of: (A) The mean of the sample, where:
Or, (B) The upper 97.5 percent confidence limit (UCL) of the true mean divided by 1.05, where:
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:
Or, (B) The lower 97.5 percent confidence limit (LCL) of the true mean divided by 0.95, where: (b) Certification reports. (1) The requirements of §429.12 are applicable to external power supplies except that required information may be reported on the basis of a basic model or a design family. If certifying using a design family, for §429.12(b)(6), report the individual manufacturer's model numbers covered by the design family. (i) External power supplies: The average active mode efficiency as a percentage (%), no-load mode power consumption in watts (W), nameplate output power in watts (W), and, if missing from the nameplate, the output current in amperes (A) of the basic model or the output current in amperes (A) of the highest- and lowest-voltage models within the external power supply design family. (ii) Switch-selectable single-voltage external power supplies: The average active mode efficiency as a percentage (%) value, no-load mode power consumption in watts (W) using the lowest and highest selectable output voltages, nameplate output power in watts (W), and, if missing from the nameplate, the output current in amperes (A). (iii) Adaptive single-voltage external power supplies: The average active-mode efficiency as a percentage (%) at the highest and lowest nameplate output voltages, no-load mode power consumption in watts (W), nameplate output power in watts (W) at the highest and lowest nameplate output voltages, and, if missing from the nameplate, the output current in amperes (A) at the highest and lowest nameplate output voltages. (iv) External power supplies that are exempt from no-load mode requirements under §430.32(w)(5) of this chapter: A statement that the product is designed to be connected to a security or life safety alarm or surveillance system component, the average active-mode efficiency as a percentage (%), the nameplate output power in watts (W), and if missing from the nameplate, the certification report must also include the output current in amperes (A) of the basic model or the output current in amperes (A) of the highest- and lowest-voltage models within the external power supply design family. (3) Pursuant to §429.12(b)(13), a certification report for external power supplies that are exempt from the energy conservation standards at §430.32(w)(1)(ii) pursuant to §430.32(w)(2) of this chapter must include the following additional information if, in aggregate, the total number of exempt EPSs sold as spare and service parts by the certifier exceeds 1,000 units across all models: The total number of units of exempt external power supplies sold during the most recent 12-calendar-month period ending on July 31, starting with the annual report due on September 1, 2017. (c) Exempt external power supplies. (1) For external power supplies that are exempt from energy conservation standards pursuant to §430.32(w)(2) of this chapter and are not required to be certified pursuant to §429.12(a) as compliant with an applicable standard, the importer or domestic manufacturer must, no later than September 1, 2017, and annually by each September 1st thereafter, submit a report providing the following information if, in aggregate, the total number of exempt EPSs sold as spare and service parts by the importer or manufacturer exceeds 1,000 units across all models: (i) The importer or domestic manufacturer's name and address; (ii) The brand name; and (iii) The number of units sold during the most recent 12-calendar-month period ending on July 31. (2) The report must be submitted to DOE in accordance with the submission procedures set forth in §429.12(h). [76 FR 12451, Mar. 7, 2011; 76 FR 24773, May 2, 2011, as amended at 76 FR 57899, Sept. 19, 2011; 80 FR 51440, Aug. 25, 2015; 81 FR 30163, May 16, 2016; 84 FR 442, Jan. 29, 2019] ## §429.38 Non-class A external power supplies. [Reserved]## §429.39 Battery chargers.(a) Determination of represented value. Manufacturers must determine represented values, which include certified ratings, for each basic model of battery charger in accordance with the following sampling provisions. (1) Represented values include: The unit energy consumption (UEC) in kilowatt-hours per year (kWh/yr), battery discharge energy (Ebatt) in watt hours (Wh), 24-hour energy consumption (E24) in watt hours (Wh), maintenance mode power (Pm) in watts (W), standby mode power (Psb) in watts (W), off mode power (Poff) in watts (W), and duration of the charge and maintenance mode test (tcd) in hours (hrs) for all battery chargers other than uninterruptible power supplies (UPSs); and average load adjusted efficiency (Effavg) for UPSs. (2) Units to be tested. (i) The general requirements of §429.11 are applicable to all battery chargers; and (ii) For each basic model of battery chargers other than UPSs, a sample of sufficient size must be randomly selected and tested to ensure that the represented value of UEC is greater than or equal to the higher of: (A) The mean of the sample, where:
and, x̅ is the sample mean; n is the number of samples; and xi is the UEC of the ith sample; or, (B) The upper 97.5-percent confidence limit (UCL) of the true mean divided by 1.05, where:
and x̅ is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.975 is the t-statistic for a 97.5-percent one-tailed confidence interval with n-1 degrees of freedom (from appendix A of this subpart). (iii) For each basic model of battery chargers other than UPSs, using the sample from paragraph (a)(2)(ii) of this section, calculate the represented values of each metric (i.e., maintenance mode power (Pm), standby power (Psb), off mode power (Poff), battery discharge energy (EBatt), 24-hour energy consumption (E24), and duration of the charge and maintenance mode test (tcd)), where the represented value of the metric is:
and, x̅ is the sample mean, n is the number of samples, and xi is the measured value of the ith sample for the metric. (iv) For each basic model of UPSs, the represented value of Effavg must be calculated using one of the following two methods: (A) A sample of sufficient size must be randomly selected and tested to ensure that the represented value of Effavg is less than or equal to the lower of: (1) The mean of the sample, where:
and, x̅ is the sample mean; n is the number of samples; and xi is the Effavg of the ith sample; or, (2) The lower 97.5-percent confidence limit (LCL) of the true mean divided by 0.95, where:
and x̅ is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.975 is the t-statistic for a 97.5-percent one-tailed confidence interval with n-1 degrees of freedom (from appendix A of this subpart). (B) The represented value of Effavg is equal to the Effavg of the single unit tested. (b) Certification reports. (1) The requirements of §429.12 are applicable to all battery chargers. (2) Pursuant to §429.12(b)(13), a certification report must include the following product-specific information for all battery chargers other than UPSs: The nameplate battery voltage of the test battery in volts (V), the nameplate battery charge capacity of the test battery in ampere-hours (Ah), and the nameplate battery energy capacity of the test battery in watt-hours (Wh). A certification report must also include the represented values, as determined in paragraph (a) of this section for the maintenance mode power (Pm), standby mode power (Psb), off mode power (Poff), battery discharge energy (Ebatt), 24-hour energy consumption (E24), duration of the charge and maintenance mode test (tcd), and unit energy consumption (UEC). (3) Pursuant to §429.12(b)(13), a certification report must include the following product-specific information for all battery chargers other than UPSs: The manufacturer and model of the test battery, and the manufacturer and model, when applicable, of the external power supply. (4) Pursuant to §429.12(b)(13), a certification report must include the following product-specific information for all UPSs: Supported input dependency mode(s); active power in watts (W); apparent power in volt-amperes (VA); rated input and output voltages in volts (V); efficiencies at 25 percent, 50 percent, 75 percent and 100 percent of the reference test load; and average load adjusted efficiency of the lowest and highest input dependency modes. [81 FR 89821, Dec. 12, 2016] ## §429.40 Candelabra base incandescent lamps and intermediate base incandescent lamps.(a) Sampling plan for selection of units for testing. (1) The requirements of §429.11 are applicable to candelabra base incandescent lamps; and (2) For each basic model of candelabra base incandescent lamp and intermediate base incandescent lamp, a minimum sample of 21 lamps shall be randomly selected and tested. Any represented value of lamp wattage of a basic model shall be based on the sample and shall be less than or equal to the lower of: (i) The mean of the sample, where:
Or, (ii) The lower 97.5 percent confidence limit (LCL) of the true mean divided by 0.95, where: (b) Certification reports. (1) The requirements of §429.12 are applicable to candelabra base and intermediate base incandescent lamps; and (i) Candelabra base incandescent lamp: The rated wattage in watts (W). (ii) Intermediate base incandescent lamp: The rated wattage in watts (W). [76 FR 12451, Mar. 7, 2011; 76 FR 24774, May 2, 2011] ## §429.41 Commercial warm air furnaces.(a) Determination of represented value. Manufacturers must determine the represented value, which includes the certified rating, for each basic model of commercial warm air furnace either by testing, in conjunction with the applicable sampling provisions, or by applying an AEDM. (1) Units to be tested. (i) If the represented value is determined through testing, the general requirements of §429.11 are applicable; and (ii) For each basic model selected for testing, a sample of sufficient size shall be randomly selected and tested to ensure that— (A) Any represented value of energy consumption or other measure of energy use of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of: (1) The mean of the sample, where:
and, x̅ is the sample mean; n is the number of samples; and xi is the ith sample; Or, (2) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.05, where:
And x̅ is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95% one-tailed confidence interval with n−1 degrees of freedom (from Appendix A to subpart B of part 429). And, (B) Any represented value of energy efficiency or other measure of energy consumption of a basic model for which consumers would favor higher values shall be less than or equal to the lower of: (1) The mean of the sample, where:
and, x̅ is the sample mean; n is the number of samples; and xi is the ith sample; Or, (2) The lower 95 percent confidence limit (LCL) of the true mean divided by 0.95, where:
And x̅ is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95% one-tailed confidence interval with n−1 degrees of freedom (from Appendix A to subpart B of part 429). (2) Alternative efficiency determination methods. In lieu of testing, a represented value of efficiency or consumption for a basic model of commercial warm air furnace must be determined through the application of an AEDM pursuant to the requirements of §429.70 and the provisions of this section, where: (i) Any represented value of energy consumption or other measure of energy use of a basic model for which consumers would favor lower values shall be greater than or equal to the output of the AEDM and less than or equal to the Federal standard for that basic model; and (ii) Any represented value of energy efficiency or other measure of energy consumption of a basic model for which consumers would favor higher values shall be less than or equal to the output of the AEDM and greater than or equal to the Federal standard for that basic model. (b) Certification reports. (1) The requirements of §429.12 are applicable to commercial warm air furnaces; and (2) Pursuant to §429.12(b)(13), a certification report must include the following public, equipment-specific information: The thermal efficiency in percent (%), and the maximum rated input capacity in British thermal units per hour (Btu/h). (3) Pursuant to §429.12(b)(13), a certification report must include the following additional equipment-specific information: (i) Whether the basic model is engineered-to-order; and (ii) For any basic model rated with an AEDM, whether the manufacturer elects the witness test option for verification testing. (See §429.70(c)(5)(iii) for options). However, the manufacturer may not select more than 10% of AEDM-rated basic models. (4) Pursuant to §429.12(b)(13), a certification report may include supplemental testing instructions in PDF format. If necessary to run a valid test, the equipment-specific, supplemental information must include any additional testing and testing set up instructions (e.g., specific operational or control codes or settings), which would be necessary to operate the basic model under the required conditions specified by the relevant test procedure. A manufacturer may also include with a certification report other supplementary items in PDF format (e.g., manuals) for DOE consideration in performing testing under subpart C of this part. [79 FR 25500, May 5, 2014, as amended at 80 FR 151, Jan. 5, 2015] ## §429.42 Commercial refrigerators, freezers, and refrigerator-freezers.(a) Determination of represented value. Manufacturers must determine the represented value, which includes the certified rating, for each basic model of commercial refrigerator, freezer, or refrigerator-freezer either by testing, in conjunction with the applicable sampling provisions, or by applying an AEDM. (1) Units to be tested. (i) If the represented value for a given basic model is determined through testing, the general requirements of §429.11 are applicable; and (ii) For each basic model selected for testing, a sample of sufficient size shall be randomly selected and tested to ensure that— (A) Any represented value of energy consumption or other measure of energy use of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of: (1) The mean of the sample, where:
And x̅ is the sample mean; n is the number of samples; and xi is the ith sample; or, (2) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.10, where:
And x̅ is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95% one-tailed confidence interval with n-1 degrees of freedom (from Appendix A to subpart B of part 429); And, (B) Any represented value of the energy efficiency or other measure of energy consumption of a basic model for which consumers would favor higher values shall be less than or equal to the lower of: (1) The mean of the sample, where:
And, x̅ is the sample mean; n is the number of samples; and xi is the ith sample; or, (2) The lower 95 percent confidence limit (LCL) of the true mean divided by 0.90, where:
And x̅ is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95% one-tailed confidence interval with n-1 degrees of freedom (from Appendix A to subpart B of part 429). (2) Alternative efficiency determination methods. In lieu of testing, a represented value of efficiency or consumption for a basic model of commercial refrigerator, freezer or refrigerator-freezer must be determined through the application of an AEDM pursuant to the requirements of §429.70 and the provisions of this section, where: (i) Any represented value of energy consumption or other measure of energy use of a basic model for which consumers would favor lower values shall be greater than or equal to the output of the AEDM and less than or equal to the Federal standard for that basic model; and (ii) Any represented value of energy efficiency or other measure of energy consumption of a basic model for which consumers would favor higher values shall be less than or equal to the output of the AEDM and greater than or equal to the Federal standard for that basic model. (b) Certification reports. (1) The requirements of §429.12 are applicable to commercial refrigerators, freezers, and refrigerator-freezers; and (2) Pursuant to §429.12(b)(13), a certification report must include the following public, equipment-specific information: (i) The daily energy consumption in kilowatt hours per day (kWh/day); (ii) The rating temperature (e.g. lowest product application temperature, if applicable) in degrees Fahrenheit ( °F); and (iii) The chilled or frozen compartment volume in cubic feet (ft3), the adjusted volume in cubic feet (ft3), or the total display area (TDA) in feet squared (ft2) (as appropriate for the equipment class). (3) Pursuant to §429.12(b)(13), a certification report must include the following additional, equipment-specific information: (i) Whether the basic model is engineered-to-order; and (ii) For any basic model rated with an AEDM, whether the manufacturer elects the witness test option for verification testing. (See §429.70(c)(5)(iii) for options). However, the manufacturer may not select more than 10% of AEDM-rated basic models. (4) Pursuant to §429.12(b)(13), a certification report must include supplemental information submitted in PDF format. The equipment-specific, supplemental information must include any additional testing and testing set up instructions (e.g., charging instructions) for the basic model; identification of all special features that were included in rating the basic model; and all other information (e.g., any specific settings or controls) necessary to operate the basic model under the required conditions specified by the relevant test procedure. A manufacturer may also include with a certification report other supplementary items in PDF format (e.g., manuals) for DOE to consider when performing testing under subpart C of this part. [76 FR 12451, Mar. 7, 2011; 76 FR 24775, May 2, 2011, as amended at 76 FR 38292, June 30, 2011; 78 FR 79593, Dec. 31, 2013; 79 FR 22307, Apr. 21, 2014; 79 FR 25501, May 5, 2014; 80 FR 151, Jan. 5, 2015] ## §429.43 Commercial heating, ventilating, air conditioning (HVAC) equipment.(a) Determination of represented value. Manufacturers must determine the represented value, which includes the certified rating, for each basic model of commercial HVAC equipment either by testing, in conjunction with the applicable sampling provisions, or by applying an AEDM. (1) Units to be tested. (i) If the represented value is determined through testing, the general requirements of §429.11 are applicable; and (A) Any represented value of energy consumption or other measure of energy use of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of: (1) The mean of the sample, where:
And, x̅ is the sample mean; n is the number of samples; and xi is the ith sample; or, (2) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.05, where:
And x̅ is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95% one-tailed confidence interval with n-1 degrees of freedom (from Appendix A to subpart B of part 429). And, (B) Any represented value of energy efficiency or other measure of energy consumption of a basic model for which consumers would favor higher values shall be less than or equal to the lower of: (1) The mean of the sample, where:
And, x̅ is the sample mean; n is the number of samples; and xi is the ith sample; or, (2) The lower 95 percent confidence limit (LCL) of the true mean divided by 0.95, where:
And x̅ is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95% one-tailed confidence interval with n-1 degrees of freedom (from Appendix A to subpart B of part 429). (iii) For packaged terminal air conditioners and packaged terminal heat pumps, the represented value of cooling capacity shall be the average of the capacities measured for the sample selected as described in (a)(1)(ii) of this section, rounded to the nearest 100 Btu/h. (iv) For air-cooled commercial package air-conditioning and heating equipment, the represented value of cooling capacity must be a self-declared value corresponding to the nearest appropriate Btu/h multiple according to Table 4 of ANSI/AHRI 340/360-2007 (incorporated by reference; see §429.4) that is no less than 95 percent of the mean of the capacities measured for the units in the sample selected as described in paragraph (a)(1)(ii) of this section. (2) Alternative efficiency determination methods. (i) In lieu of testing, a represented value of efficiency or consumption for a basic model of commercial HVAC equipment must be determined through the application of an AEDM pursuant to the requirements of §429.70 and the provisions of this section, where: (A) Any represented value of energy consumption or other measure of energy use of a basic model for which consumers would favor lower values shall be greater than or equal to the output of the AEDM and less than or equal to the Federal standard for that basic model; and (B) Any represented value of energy efficiency or other measure of energy consumption of a basic model for which consumers would favor higher values shall be less than or equal to the output of the AEDM and greater than or equal to the Federal standard for that basic model. (ii) For air-cooled commercial package air-conditioning and heating equipment, the represented value of cooling capacity must be the cooling capacity output simulated by the AEDM as described in paragraph (a)(2) of this section. (b) Certification reports. (1) The requirements of §429.12 are applicable to commercial HVAC equipment; and (2) Pursuant to §429.12(b)(13), a certification report must include the following public equipment-specific information: (i) Commercial package air-conditioning equipment (except commercial package air conditioning equipment that is air-cooled with a cooling capacity less than 65,000 Btu/h): (A) When certifying compliance with an EER standard: the energy efficiency ratio (EER in British thermal units per Watt-hour (Btu/Wh)), the rated cooling capacity in British thermal units per hour (Btu/h), and the type(s) of heating used by the basic model (e.g., electric, gas, hydronic, none). (B) When certifying compliance with an IEER standard: the integrated energy efficiency ratio (IEER in British thermal units per Watt-hour (Btu/Wh)), the rated cooling capacity in British thermal units per hour (Btu/h), and the type(s) of heating used by the basic model (e.g., electric, gas, hydronic, none). (ii) Commercial package heating equipment (except commercial package heating equipment that is air-cooled with a cooling capacity less than 65,000 Btu/h): (A) When certifying compliance with an EER standard: the energy efficiency ratio (EER in British thermal units per Watt-hour (Btu/Wh)), the coefficient of performance (COP), the rated cooling capacity in British thermal units per hour (Btu/h), and the type(s) of heating used by the basic model (e.g., electric, gas, hydronic, none). (B) When certifying compliance an IEER standard: the integrated energy efficiency ratio (IEER in British thermal units per Watt-hour (Btu/Wh)), the coefficient of performance (COP), the rated cooling capacity in British thermal units per hour (Btu/h), and the type(s) of heating used by the basic model (e.g., electric, gas, hydronic, none). (iii) Commercial package air conditioning equipment that is air-cooled with a cooling capacity less than 65,000 Btu/h (3-Phase): The seasonal energy efficiency ratio (SEER in British thermal units per Watt-hour (Btu/Wh)), and the rated cooling capacity in British thermal units per hour (Btu/h). (iv) Commercial package heating equipment that is air-cooled with a cooling capacity less than 65,000 Btu/h (3-Phase): The seasonal energy efficiency ratio (SEER in British thermal units per Watt-hour (Btu/Wh)), the heating seasonal performance factor (HSPF in British thermal units per Watt-hour (Btu/Wh)), and the rated cooling capacity in British thermal units per hour (Btu/h). (v) Packaged terminal air conditioners: The energy efficiency ratio (EER in British thermal units per Watt-hour (Btu/Wh)), the rated cooling capacity in British thermal units per hour (Btu/h), the wall sleeve dimensions in inches (in), and the duration of the break-in period (hours). (vi) Packaged terminal heat pumps: The energy efficiency ratio (EER in British thermal units per Watt-hour (Btu/W-h)), the coefficient of performance (COP), the rated cooling capacity in British thermal units per hour (Btu/h), the wall sleeve dimensions in inches (in), and the duration of the break-in period (hours). (vii) Single package vertical air conditioners: The energy efficiency ratio (EER in British thermal units per Watt-hour (Btu/Wh)) and the rated cooling capacity in British thermal units per hour (Btu/h). (viii) Single package vertical heat pumps: The energy efficiency ratio (EER in British thermal units per Watt-hour (Btu/Wh)), the coefficient of performance (COP), and the rated cooling capacity in British thermal units per hour (Btu/h). (ix) Variable refrigerant flow multi-split air conditioners with rated cooling capacity less than 65,000 Btu/h (3-Phase): The seasonal energy efficiency ratio (SEER in British thermal units per Watt-hour (Btu/Wh)) and rated cooling capacity in British thermal units per hour (Btu/h). (x) Variable refrigerant flow multi-split heat pumps with rated cooling capacity less than 65,000 Btu/h (3-Phase): The seasonal energy efficiency ratio (SEER in British thermal units per Watt-hour (Btu/Wh)), the heating seasonal performance factor (HSPF in British thermal units per Watt-hour (Btu/Wh)), and rated cooling capacity in British thermal units per hour (Btu/h). (xi) Variable refrigerant flow multi-split air conditioners with rated cooling capacity greater than or equal to 65,000 Btu/h: The energy efficiency ratio (EER in British thermal units per Watt-hour (Btu/Wh)), rated cooling capacity in British thermal units per hour (Btu/h), and the type(s) of heating used by the basic model (e.g., electric, gas, hydronic, none). (xii) Variable refrigerant flow multi-split heat pumps with rated cooling capacity greater than or equal to 65,000 Btu/h: The energy efficiency ratio (EER in British thermal units per Watt-hour (Btu/Wh)), the coefficient of performance (COP), rated cooling capacity in British thermal units per hour (Btu/h), and the type(s) of heating used by the basic model (e.g., electric, gas, hydronic, none). (xiii) Water source variable refrigerant flow heat pumps (all rated cooling capacities): The energy efficiency ratio (EER in British thermal units per Watt-hour (Btu/Wh)), the coefficient of performance (COP), rated cooling capacity in British thermal units per hour (Btu/h), and the type(s) of heating used by the basic model (e.g., electric, gas, hydronic, none). (xiv) Computer room air-conditioners: The net sensible cooling capacity in British thermal units per hour (Btu/h), the net cooling capacity in British thermal units per hour (Btu/h), the configuration (upflow/downflow), economizer presence (yes or no), condenser medium (air, water, or glycol-cooled), sensible coefficient of performance (SCOP), and rated airflow in standard cubic feet per minute (SCFM). (xv) Water source heat pumps (other than variable refrigerant flow): The energy efficiency ratio (EER in British thermal units per Watt-hour (Btu/Wh)), the coefficient of performance (COP), the rated cooling capacity in British thermal units per hour (Btu/h), and the type(s) of heating used by the basic model (e.g., electric, gas, hydronic, none). (3) Pursuant to §429.12(b)(13), a certification report must include the following additional equipment-specific information: (i) Whether the basic model is engineered-to-order; and (ii) For any basic model rated with an AEDM, whether the manufacturer elects the witness test option for verification testing. (See §429.70(c)(5)(iii) for options). However, the manufacturer may not select more than 10% of AEDM-rated basic models. (4) Pursuant to §429.12(b)(13), a certification report must include supplemental information submitted in PDF format. The equipment-specific, supplemental information must include any additional testing and testing set up instructions (e.g., charging instructions) for the basic model; identification of all special features that were included in rating the basic model; and all other information (e.g., operational codes or component settings) necessary to operate the basic model under the required conditions specified by the relevant test procedure. A manufacturer may also include with a certification report other supplementary items in PDF format (e.g., manuals) for DOE consideration in performing testing under subpart C of this part. The equipment-specific, supplemental information must include at least the following: (i) Commercial package air-conditioning equipment (except commercial package air conditioning equipment that is air-cooled with a cooling capacity less than 65,000 Btu/h): rated indoor airflow in standard cubic feet per minute (SCFM) for each fan coil; water flow rate in gallons per minute (gpm) for water-cooled units only; rated external static pressure in inches of water; frequency or control set points for variable speed components (e.g., compressors, VFDs); required dip switch/control settings for step or variable components; a statement whether the model will operate at test conditions without manufacturer programming; any additional testing instructions, if applicable; and if a variety of motors/drive kits are offered for sale as options in the basic model to account for varying installation requirements, the model number and specifications of the motor (to include efficiency, horsepower, open/closed, and number of poles) and the drive kit, including settings, associated with that specific motor that were used to determine the certified rating. When certifying compliance with an IEER standard, rated indoor airflow in SCFM for each part-load point used in the IEER calculation and any special instructions required to obtain operation at each part-load point, such as frequency or control set points for variable speed components (e.g., compressors, VFDs), dip switch/control settings for step or variable components, or any additional applicable testing instructions, are also required. (ii) Commercial package heating equipment (except commercial package heating equipment that is air-cooled with a cooling capacity less than 65,000 Btu/h): The rated heating capacity in British thermal units per hour (Btu/h); rated indoor airflow in standard cubic feet per minute (SCFM) for each fan coil (in cooling mode); rated airflow in SCFM for each fan coil in heating mode if the unit is designed to operate with different airflow rates for cooling and heating mode; water flow rate in gallons per minute (gpm) for water cooled units only; rated external static pressure in inches of water; frequency or control set points for variable speed components (e.g., compressors, VFDs); required dip switch/control settings for step or variable components; a statement whether the model will operate at test conditions without manufacturer programming; any additional testing instructions, if applicable; and if a variety of motors/drive kits are offered for sale as options in the basic model to account for varying installation requirements, the model number and specifications of the motor (to include efficiency, horsepower, open/closed, and number of poles) and the drive kit, including settings, associated with that specific motor that were used to determine the certified rating. When certifying compliance with an IEER standard, rated indoor airflow in SCFM for each part-load point used in the IEER calculation and any special instructions required to obtain operation at each part-load point, such as frequency or control set points for variable speed components (e.g., compressors, VFDs), dip switch/control settings for step or variable components, or any additional applicable testing instructions, are also required. (iii) Commercial package air conditioning equipment that is air-cooled with a cooling capacity less than 65,000 Btu/h (3-phase): The nominal cooling capacity in British thermal units per hour (Btu/h); rated airflow in standard cubic feet per minute (SCFM) for each fan coil; rated static pressure in inches of water; refrigeration charging instructions (e.g., refrigerant charge, superheat and/or subcooling temperatures); frequency or control set points for variable speed components (e.g., compressors, VFDs); required dip switch/control settings for step or variable components; a statement whether the model will operate at test conditions without manufacturer programming; any additional testing instructions, if applicable; if a variety of motors/drive kits are offered for sale as options in the basic model to account for varying installation requirements, the model number and specifications of the motor (to include efficiency, horsepower, open/closed, and number of poles) and the drive kit, including settings, associated with that specific motor that were used to determine the certified rating; and which, if any, special features were included in rating the basic model. (iv) Commercial package heating equipment that is air-cooled with a cooling capacity less than 65,000 Btu/h (3-phase): The nominal cooling capacity in British thermal units per hour (Btu/h); rated heating capacity in British thermal units per hour (Btu/h); rated airflow in standard cubic feet per minute (SCFM) for each fan coil; rated static pressure in inches of water; refrigeration charging instructions (e.g., refrigerant charge, superheat and/or subcooling temperatures); frequency or control set points for variable speed components (e.g., compressors, VFDs); required dip switch/control settings for step or variable components; a statement whether the model will operate at test conditions without manufacturer programming; any additional testing instructions, if applicable; if a variety of motors/drive kits are offered for sale as options in the basic model to account for varying installation requirements, the model number and specifications of the motor (to include efficiency, horsepower, open/closed, and number of poles) and the drive kit, including settings, associated with that specific motor that were used to determine the certified rating; and which, if any, special features were included in rating the basic model. (v) Variable refrigerant flow multi-split air conditioners with cooling capacity less than 65,000 Btu/h (3-phase): The nominal cooling capacity in British thermal units per hour (Btu/h); outdoor unit(s) and indoor units identified in the tested combination; components needed for heat recovery, if applicable; rated airflow in standard cubic feet per minute (SCFM) for each indoor unit; water flow rate in gallons per minute (gpm) for water-cooled units only; rated static pressure in inches of water; compressor frequency set points; required dip switch/control settings for step or variable components; a statement whether the model will operate at test conditions without manufacturer programming; any additional testing instructions, if applicable; if a variety of motors/drive kits are offered for sale as options in the basic model to account for varying installation requirements, the model number and specifications of the motor (to include efficiency, horsepower, open/closed, and number of poles) and the drive kit, including settings, associated with that specific motor that were used to determine the certified rating; and which, if any, special features were included in rating the basic model. Additionally, upon DOE request, the manufacturer must provide a layout of the system set-up for testing including charging instructions consistent with the installation manual. (vi) Variable refrigerant flow multi-split heat pumps with cooling capacity less than 65,000 Btu/h (3-phase): The nominal cooling capacity in British thermal units per hour (Btu/h); rated heating capacity in British thermal units per hour (Btu/h); outdoor unit(s) and indoor units identified in the tested combination; components needed for heat recovery, if applicable; rated airflow in standard cubic feet per minute (SCFM) for each indoor unit; water flow rate in gallons per minute (gpm) for water-cooled units only; rated static pressure in inches of water; compressor frequency set points; required dip switch/control settings for step or variable components; a statement whether the model will operate at test conditions without manufacturer programming; any additional testing instructions, if applicable; if a variety of motors/drive kits are offered for sale as options in the basic model to account for varying installation requirements, the model number and specifications of the motor (to include efficiency, horsepower, open/closed, and number of poles) and the drive kit, including settings, associated with that specific motor that were used to determine the certified rating; and which, if any, special features were included in rating the basic model. Additionally, upon DOE request, the manufacturer must provide a layout of the system set-up for testing including charging instructions consistent with the installation manual. (vii) Variable refrigerant flow multi-split air conditioners with cooling capacity greater than or equal to 65,000 Btu/h: The nominal cooling capacity in British thermal units per hour (Btu/h); outdoor unit(s) and indoor units identified in the tested combination; components needed for heat recovery, if applicable; rated airflow in standard cubic feet per minute (SCFM) for each indoor unit; water flow rate in gallons per minute (gpm) for water-cooled units only; rated static pressure in inches of water; compressor frequency set points; required dip switch/control settings for step or variable components; a statement whether the model will operate at test conditions without manufacturer programming; any additional testing instructions if applicable; if a variety of motors/drive kits are offered for sale as options in the basic model to account for varying installation requirements, the model number and specifications of the motor (to include efficiency, horsepower, open/closed, and number of poles) and the drive kit, including settings, associated with that specific motor that were used to determine the certified rating; and which, if any, special features were included in rating the basic model. Additionally, upon DOE request, the manufacturer must provide a layout of the system set-up for testing including charging instructions consistent with the installation manual. (viii) Variable refrigerant flow multi-split heat pumps with cooling capacity greater than or equal to 65,000 Btu/h: The nominal cooling capacity in British thermal units per hour (Btu/h); rated heating capacity in British thermal units per hour (Btu/h); outdoor unit(s) and indoor units identified in the tested combination; components needed for heat recovery, if applicable; rated airflow in standard cubic feet per minute (SCFM) for each indoor unit; water flow rate in gallons per minute (gpm) for water-cooled units only; rated static pressure in inches of water; compressor frequency set points; required dip switch/control settings for step or variable components; a statement whether the model will operate at test conditions without manufacturer programming; any additional testing instructions if applicable; if a variety of motors/drive kits are offered for sale as options in the basic model to account for varying installation requirements, the model number and specifications of the motor (to include efficiency, horsepower, open/closed, and number of poles) and the drive kit, including settings, associated with that specific motor that were used to determine the certified rating; and which, if any, special features were included in rating the basic model. Additionally, upon DOE request, the manufacturer must provide a layout of the system set-up for testing including charging instructions consistent with the installation manual. (ix) Water source variable refrigerant flow heat pumps: The nominal cooling capacity in British thermal units per hour (Btu/h); rated heating capacity in British thermal units per hour (Btu/h); rated airflow in standard cubic feet per minute (SCFM) for each indoor unit; water flow rate in gallons per minute (gpm); rated static pressure in inches of water; refrigeration charging instructions (e.g., refrigerant charge, superheat and/or subcooling temperatures); frequency set points for variable speed components (e.g., compressors, VFDs), including the required dip switch/control settings for step or variable components; a statement whether the model will operate at test conditions without manufacturer programming; any additional testing instructions if applicable; if a variety of motors/drive kits are offered for sale as options in the basic model to account for varying installation requirements, the model number and specifications of the motor (to include efficiency, horsepower, open/closed, and number of poles) and the drive kit, including settings, associated with that specific motor that were used to determine the certified rating; and which, if any, special features were included in rating the basic model. Additionally, upon DOE request, the manufacturer must provide a layout of the system set-up for testing including charging instructions consistent with the installation manual. (x) Water source heat pumps: The nominal cooling capacity in British thermal units per hour (Btu/h); rated heating capacity in British thermal units per hour (Btu/h); rated airflow in standard cubic feet per minute (SCFM) for each indoor unit; water flow rate in gallons per minute (gpm); rated static pressure in inches of water; refrigerant charging instructions, (e.g., refrigerant charge, superheat and/or subcooling temperatures); frequency set points for variable speed components (e.g., compressors, VFDs), including the required dip switch/control settings for step or variable components; a statement whether the model will operate at test conditions without manufacturer programming; any additional testing instructions if applicable; if a variety of motors/drive kits are offered for sale as options in the basic model to account for varying installation requirements, the model number and specifications of the motor (to include efficiency, horsepower, open/closed, and number of poles) and the drive kit, including settings, associated with that specific motor that were used to determine the certified rating; and which, if any, special features were included in rating the basic model. (xi) Single package vertical air conditioners: Any additional testing instructions, if applicable; if a variety of motors/drive kits are offered for sale as options in the basic model to account for varying installation requirements, the model number and specifications of the motor (to include efficiency, horsepower, open/closed, and number of poles) and the drive kit, including settings, associated with that specific motor that were used to determine the certified rating; and which, if any, special features were included in rating the basic model. (xii) Single package vertical heat pumps: Any additional testing instructions, if applicable; if a variety of motors/drive kits are offered for sale as options in the basic model to account for varying installation requirements, the model number and specifications of the motor (to include efficiency, horsepower, open/closed, and number of poles) and the drive kit, including settings, associated with that specific motor that were used to determine the certified rating; and which, if any, special features were included in rating the basic model. (xiii) Computer room air-conditioners: Any additional testing instructions, if applicable; and which, if any, special features were included in rating the basic model. (xiv) Package terminal air conditioners and package terminal heat pumps: Any additional testing instructions, if applicable. (c) Alternative methods for determining efficiency or energy use for commercial HVAC equipment can be found in §429.70 of this subpart. [76 FR 12451, Mar. 7, 2011; 76 FR 24775, May 2, 2011, as amended at 78 FR 79594, Dec. 31, 2013; 79 FR 25501, May 5, 2014; 80 FR 151, Jan. 5, 2015; 80 FR 37147, June 30, 2015; 80 FR 79668, Dec. 23, 2015] ## §429.44 Commercial water heating equipment.(a) For residential-duty commercial water heaters, all represented values must be determined in accordance with §429.17. (b) Determination of represented values for all types of commercial water heaters except residential-duty commercial water heaters. Manufacturers must determine the represented values, which includes the certified ratings, for each basic model of commercial water heating equipment except residential-duty commercial water heaters, either by testing, in conjunction with the applicable sampling provisions, or by applying an AEDM as set forth in §429.70. (1) Units to be tested. If the represented value for a given basic model is determined through testing: (i) The general requirements of §429.11 apply; and (ii) A sample of sufficient size must be randomly selected and tested to ensure that: (A) Any represented value of energy consumption or other measure of energy use of a basic model for which consumers would favor lower values must be greater than or equal to the higher of: (1) The mean of the sample, where: And, x̅ is the sample mean; n is the number of samples; and xi is the ith sample; or, (2) The upper 95-percent confidence limit (UCL) of the true mean divided by 1.05, where: And x̅ is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95-percent one-tailed confidence interval with n-1 degrees of freedom (from appendix A to subpart B of this part). And, (B) Any represented value of energy efficiency or other measure of energy consumption of a basic model for which consumers would favor higher values must be less than or equal to the lower of: (1) The mean of the sample, where: And, x̅ is the sample mean; n is the number of samples; and xi is the ith sample; or, (2) The lower 95-percent confidence limit (LCL) of the true mean divided by 0.95, where: And x̅ is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95-percent one-tailed confidence interval with n-1 degrees of freedom (from appendix A to subpart B of this part). (2) Alternative efficiency determination methods. In lieu of testing, a represented value of efficiency or consumption for a basic model must be determined through the application of an AEDM pursuant to the requirements of §429.70 and the provisions of this section, where: (i) Any represented value of energy consumption or other measure of energy use of a basic model for which consumers would favor lower values must be greater than or equal to the output of the AEDM and less than or equal to the Federal standard for that basic model; and (ii) Any represented value of energy efficiency or other measure of energy consumption of a basic model for which consumers would favor higher values must be less than or equal to the output of the AEDM and greater than or equal to the Federal standard for that basic model. (3) Rated input. The rated input for a basic model reported in accordance with paragraph (c)(2) of this section must be the maximum rated input listed on the nameplate for that basic model. (c) Certification reports. For commercial water heating equipment other than residential-duty commercial water heaters: (1) The requirements of §429.12 apply; and (2) Pursuant to §429.12(b)(13), a certification report must include the following public equipment-specific information: (i) Commercial electric storage water heaters with storage capacity less than or equal to 140 gallons: The standby loss in percent per hour (%/h) and the measured storage volume in gallons (gal). (ii) Commercial gas-fired and oil-fired storage water heaters with storage capacity less than or equal to 140 gallons: The thermal efficiency in percent (%), the standby loss in British thermal units per hour (Btu/h), the rated storage volume in gallons (gal), and the rated input in British thermal units per hour (Btu/h). (iii) Commercial water heaters and hot water supply boilers with storage capacity greater than 140 gallons: The thermal efficiency in percent (%); whether the storage volume is greater than 140 gallons (Yes/No); whether the tank surface area is insulated with at least R-12.5 (Yes/No); whether a standing pilot light is used (Yes/No); for gas or oil-fired water heaters, whether the basic model has a fire damper or fan-assisted combustion (Yes/No); and, if applicable, pursuant to §431.110 of this chapter, the standby loss in British thermal units per hour (Btu/h); the measured storage volume in gallons (gal); and the rated input in British thermal units per hour (Btu/h). (iv) Commercial gas-fired and oil-fired instantaneous water heaters with storage capacity greater than or equal to 10 gallons and gas-fired and oil-fired hot water supply boilers with storage capacity greater than or equal to 10 gallons: The thermal efficiency in percent (%); the standby loss in British thermal units per hour (Btu/h); the rated storage volume in gallons (gal); the rated input in British thermal units per hour (Btu/h); whether the water heater includes a storage tank with a storage volume greater than or equal to 10 gallons (Yes/No). For equipment that does not meet the definition of storage-type instantaneous water heaters (as set forth in 10 CFR 431.102), in addition to the requirements discussed previously in this paragraph (c)(2)(iv), the following must also be included in the certification report: whether the measured storage volume is determined using weight-based test in accordance with §431.106 of this chapter or the calculation-based method in accordance with §429.72; whether the water heater will initiate main burner operation based on a temperature-controlled call for heating that is internal to the water heater (Yes/No); whether the water heater is equipped with an integral pump purge functionality (Yes/No); if the water heater is equipped with integral pump purge, the default duration of the pump off delay (minutes). (v) Commercial gas-fired and oil-fired instantaneous water heaters with storage capacity less than 10 gallons and gas-fired and oil-fired hot water supply boilers with storage capacity less than 10 gallons: The thermal efficiency in percent (%); the rated storage volume in gallons (gal), the rated input in British thermal units per hour (Btu/h); and whether the measured storage volume is determined using weight-based test in accordance with §431.106 of this chapter or the calculation-based method in accordance with §429.72. (vi) Commercial unfired hot water storage tanks: The thermal insulation (i.e., R-value) and stored volume in gallons (gal). (3) Pursuant to §429.12(b)(13), a certification report must include the following additional, equipment-specific information: (i) Whether the basic model is engineered-to-order; and (ii) For any basic model rated with an AEDM, whether the manufacturer elects the witness test option for verification testing. (See §429.70(c)(5)(iii) for options.) However, the manufacturer may not select more than 10 percent of AEDM-rated basic models to be eligible for witness testing. (4) Pursuant to §429.12(b)(13), a certification report may include supplemental testing instructions in PDF format. If necessary to run a valid test, the equipment-specific, supplemental information must include any additional testing and testing set-up instructions (e.g., whether a bypass loop was used for testing) for the basic model and all other information (e.g., operational codes or overrides for the control settings) necessary to operate the basic model under the required conditions specified by the relevant test procedure. A manufacturer may also include with a certification report other supplementary items in PDF format for DOE's consideration in performing testing under subpart C of this part. For example, for oil-fired commercial water heating equipment (other than residential-duty commercial water heaters): The allowable range for CO2 reading in percent (%) and the fuel pump pressure in pounds per square inch gauge (psig). (d) Certification reports for residential-duty commercial water heaters. (1) The requirements of §429.12 apply; and (2) Pursuant to §429.12(b)(13), a certification report for equipment must include the following public, equipment-specific information: (i) Residential-duty commercial gas-fired and oil-fired storage water heaters: The uniform energy factor (UEF, rounded to the nearest 0.01), the rated storage volume in gallons (gal, rounded to the nearest 1 gal), the first-hour rating in gallons (gal, rounded to the nearest 1 gal), and the recovery efficiency in percent (%, rounded to the nearest 1%). (ii) Residential-duty commercial electric instantaneous water heaters: The uniform energy factor (UEF, rounded to the nearest 0.01), the rated storage volume in gallons (gal, rounded to the nearest 1 gal), the maximum gallons per minute (gpm, rounded to the nearest 0.1 gpm), and the recovery efficiency in percent (%, rounded to the nearest 1%). (e) Alternative methods for determining efficiency or energy use for commercial water heating equipment can be found in §429.70 of this subpart. [76 FR 12451, Mar. 7, 2011; 76 FR 24776, May 2, 2011, as amended at 78 FR 79594, Dec. 31, 2013; 79 FR 25504, May 5, 2014; 80 FR 151, Jan. 5, 2015; 79 FR 40565, July 11, 2014; 81 FR 79318, Nov. 10, 2016; 81 FR 96236, Dec. 29, 2016; 81 FR 96236, Dec. 29, 2016] ## §429.45 Automatic commercial ice makers.(a) Sampling plan for selection of units for testing. (1) The requirements of §429.11 are applicable to automatic commercial ice makers; and (2) For each basic model of automatic commercial ice maker selected for testing, a sample of sufficient size shall be randomly selected and tested to ensure that— (i) Any represented value of maximum energy use or other measure of energy consumption of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of: (A) The mean of the sample, where:
Or, (B) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.10, where:
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:
Or, (B) The lower 95 percent confidence limit (LCL) of the true mean divided by 0.90, where: (b) Certification reports. (1) The requirements of §429.12 are applicable to automatic commercial ice makers; and (2) Pursuant to §429.12(b)(13), a certification report shall include the following public product-specific information: The maximum energy use in kilowatt hours per 100 pounds of ice (kWh/100 lbs ice), the maximum condenser water use in gallons per 100 pounds of ice (gal/100 lbs ice), the harvest rate in pounds of ice per 24 hours (lbs ice/24 hours), the type of cooling, and the equipment type. [76 FR 12451, Mar. 7, 2011; 76 FR 24776, May 2, 2011] ## §429.46 Commercial clothes washers.(a) Sampling plan for selection of units for testing. (1) The requirements of §429.11 are applicable to commercial clothes washers; and (2) For each basic model of commercial clothes washers, a sample of sufficient size shall be randomly selected and tested to ensure that— (i) Any represented value of the water factor or other measure of energy or water consumption of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of: (A) The mean of the sample, where: Or, (B) The upper 971⁄2 percent confidence limit (UCL) of the true mean divided by 1.05, where:
and (ii) Any represented value of the modified energy factor or other measure of energy or water consumption of a basic model for which consumers would favor higher values shall be greater than or equal to the higher of: (A) The mean of the sample, where: Or, (B) The lower 971⁄2 percent confidence limit (LCL) of the true mean divided by 0.95, where: (b) Certification reports. (1) The requirements of §429.12 are applicable to commercial clothes washers; and (i) If testing was conducted using Appendix J1 to subpart B of part 430 of this chapter: The modified energy factor (MEF) in cubic feet per kilowatt hour per cycle (cu ft/kWh/cycle); and the water factor (WF) in gallons per cubic feet per cycle (gal/cu ft/cycle); (ii) If testing was conducted using Appendix J2 to subpart B of part 430 of this chapter: The modified energy factor (MEFJ2) in cu ft/kWh/cycle and the integrated water factor (IWF) in gal/cu ft/cycle. [76 FR 12451, Mar. 7, 2011; 76 FR 24777, May 2, 2011, as amended at 79 FR 71630, Dec. 3, 2014] ## §429.47 Distribution transformers.(a) Sampling plan for selection of units for testing. (1) The requirements of §429.11 are applicable to distribution transformers; and (2) For each basic model of distribution transformer, efficiency must be determined either by testing, in accordance with §431.193 and the provisions of this section, or by application of an AEDM that meets the requirements of §429.70 and the provisions of this section. (i) For each basic model selected for testing: (A) If the manufacturer produces five or fewer units of a basic model over 6 months, each unit must be tested. A manufacturer may not use a basic model with a sample size of fewer than five units to substantiate an AEDM pursuant to §429.70. (B) If the manufacturer produces more than five units over 6 months, a sample of at least five units must be selected and tested. (ii) Any represented value of efficiency of a basic model must satisfy the condition: (b) Certification reports. (1) The requirements of §429.12 are applicable to distribution transformers except that required information in paragraph (b) of this section may be reported by kVA grouping instead of by basic model and paragraph (b)(6) of this section does not apply; and (2) Pursuant to §429.12(b)(13), a certification report shall include the following public product-specific information: For the most and least efficient basic models within each “kVA grouping” for which part 431 prescribes an efficiency standard, the kVA rating, the insulation type (i.e., low-voltage dry-type, medium-voltage dry-type or liquid-immersed), the number of phases (i.e., single-phase or three-phase), and the basic impulse insulation level (BIL) group rating (for medium-voltage dry-types). (c) Alternative methods for determining efficiency or energy use for distribution transformers can be found in §429.70 of this subpart. (d) Kilovolt ampere (kVA) grouping. As used in this section, a “kVA grouping” is a group of basic models which all have the same kVA rating, have the same insulation type (i.e., low-voltage dry-type, medium-voltage dry-type or liquid-immersed), have the same number of phases (i.e., single-phase or three-phase), and, for medium-voltage dry-types, have the same BIL group rating (i.e., 20-45 kV BIL, 46-95 kV BIL or greater than or equal to96 kV BIL). ## §429.48 Illuminated exit signs.(a) Sampling plan for selection of units for testing. (1) The requirements of §429.11 are applicable to illuminated exit signs; and (2) For each basic model of illuminated exit sign selected for testing, a sample of sufficient size shall be randomly selected and tested to ensure that— (i) Any represented value of input power demand or other measure of energy consumption of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of: (A) The mean of the sample, where:
Or, (B) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.10, where:
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:
Or, (B) The lower 95 percent confidence limit (LCL) of the true mean divided by 0.90, where: (b) Certification reports. (1) The requirements of §429.12 are applicable to illuminated exit signs; and (2) Pursuant to §429.12(b)(13), a certification report shall include the following public product-specific information: The input power demand in watts (W) and the number of faces. [76 FR 12451, Mar. 7, 2011; 76 FR 24778, May 2, 2011] ## §429.49 Traffic signal modules and pedestrian modules.(a) Sampling plan for selection of units for testing. (1) The requirements of §429.11 are applicable to traffic signal modules and pedestrian modules; and (2) For each basic model of traffic signal module or pedestrian module selected for testing, a sample of sufficient size shall be randomly selected and tested to ensure that— (i) Any represented value of estimated maximum and nominal wattage or other measure of energy consumption of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of: (A) The mean of the sample, where:
Or, (B) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.10, where:
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:
Or, (B) The lower 95 percent confidence limit (LCL) of the true mean divided by 0.90, where: (b) Certification reports. (1) The requirements of §429.12 are applicable to traffic signal modules and pedestrian modules; and (2) Pursuant to §429.12(b)(13), a certification report shall include the following public product-specific information: The maximum wattage at 74 degrees Celsius (°C) in watts (W), the nominal wattage at 25 degrees Celsius (°C) in watts (W), and the signal type. [76 FR 12451, Mar. 7, 2011; 76 FR 24778, May 2, 2011] ## §429.50 Commercial unit heaters.(a) Sampling plan for selection of units for testing. (1) The requirements of §429.11 are applicable to commercial unit heaters; and (2) [Reserved] (b) Certification reports. (1) The requirements of §429.12 are applicable to commercial unit heaters; and (2) Pursuant to §429.12(b)(13), a certification report shall include the following public product-specific information: The type of ignition system and a declaration that the manufacturer has incorporated the applicable design requirements. ## §429.51 Commercial pre-rinse spray valves.(a) Sampling plan for selection of units for testing. (1) The requirements of §429.11 apply to commercial prerinse spray valves; and (2) For each basic model of commercial prerinse spray valve, a sample of sufficient size must be randomly selected and tested to ensure that any represented value of flow rate must be greater than or equal to the higher of: (i) The mean of the sample, where:
and, x̅ is the sample mean; n is the number of samples; and xi is the ith sample; Or, (ii) The upper 95-percent confidence limit (UCL) of the true mean divided by 1.10, where:
and, x̅ is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95-percent two-tailed confidence interval with n-1 degrees of freedom (from Appendix A of this subpart). (b) Certification reports. (1) The requirements of §429.12 are applicable to commercial prerinse spray valves; and (2) Pursuant to §429.12(b)(13), a certification report must include the following public product-specific information: The flow rate, in gallons per minute (gpm), rounded to the nearest 0.01 gpm, and the corresponding spray force, in ounce-force (ozf), rounded to the nearest 0.1 ozf. [76 FR 12451, Mar. 7, 2011; 76 FR 24779, May 2, 2011, as amended at 78 FR 62986, Oct. 23, 2013; 80 FR 81453, Dec. 30, 2015; 81 FR 4801, Jan. 27, 2016] ## §429.52 Refrigerated bottled or canned beverage vending machines.(a) Sampling plan for selection of units for testing. (1) The requirements of §429.11 are applicable to refrigerated bottled or canned beverage vending machine; and (2) For each basic model of refrigerated bottled or canned beverage vending machine selected for testing, a sample of sufficient size shall be randomly selected and tested to ensure that— (i) Any represented value of energy consumption or other measure of energy consumption of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of: (A) The mean of the sample, where:
Or, (B) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.10, where:
and (A) The mean of the sample, where:
Or, (B) The lower 95 percent confidence limit (LCL) of the true mean divided by 0.90, where: (3) The representative value of refrigerated volume of a basic model reported in accordance with paragraph (b)(2) of this section shall be the mean of the refrigerated volumes measured for each tested unit of the basic model and determined in accordance with the test procedure in §431.296. (b) Certification reports. (1) The requirements of §429.12 are applicable to refrigerated bottled or canned beverage vending machine; and (2) Pursuant to §429.12(b)(13), a certification report must include the following additional public, equipment-specific information: (i) When using appendix A of subpart Q of part 431of this chapter, the daily energy consumption in kilowatt hours per day (kWh/day), the refrigerated volume (V) in cubic feet (ft3), whether testing was conducted with payment mechanism in place and operational, and, if applicable, the lowest application product temperature in degrees Fahrenheit ( °F), if applicable. (ii) When using appendix B of subpart Q of part 431of this chapter, the daily energy consumption in kilowatt hours per day (kWh/day), the refrigerated volume (V) in cubic feet (ft3), whether testing was conducted with payment mechanism in place and operational, whether testing was conducted using an accessory low power mode, whether rating was based on the presence of a refrigeration low power mode, and, if applicable, the lowest application product temperature in degrees Fahrenheit ( °F). [76 FR 12451, Mar. 7, 2011; 76 FR 24779, May 2, 2011, as amended at 76 FR 38292, June 30, 2011; 80 FR 45792, July 31, 2015; 81 FR 1112, Jan. 8, 2016] ## §429.53 Walk-in coolers and walk-in freezers.(a) Determination of represented value. (1) The requirements of §429.11 apply to walk-in coolers and walk-in freezers; and (2) For each basic model of walk-in cooler and walk-in freezer refrigeration system, the annual walk-in energy factor (AWEF) must be determined either by testing, in accordance with §431.304 of this chapter and the provisions of this section, or by application of an AEDM that meets the requirements of §429.70 and the provisions of this section. (i) Applicable test procedure. If the AWEF is determined by testing, refer to the following for the appropriate test procedure to use: (A) Unit cooler test procedure. For unit coolers tested alone, use the test procedure in 10 CFR part 431, subpart R, appendix C. Follow the general testing provisions in appendix C, sections 3.1 and 3.2, and the equipment-specific provisions in appendix C, section 3.3. (B) Dedicated condensing unit test procedure. For dedicated condensing units tested alone, use the test procedure in 10 CFR part 431, subpart R, appendix C. Follow the general testing provisions in appendix C, sections 3.1 and 3.2, and the product-specific provisions in appendix C, section 3.4. Outdoor dedicated condensing refrigeration systems that are also designated for use in indoor applications must be tested and certified as both an outdoor dedicated condensing refrigeration system and indoor dedicated condensing refrigeration system. (C) Single-Package dedicated system test procedure. For single-package dedicated systems, use the test procedure in 10 CFR part 431, subpart R, appendix C. Follow the general testing provisions in appendix C, sections 3.1 and 3.2, and the product-specific provisions in appendix C, section 3.3. (D) Matched refrigeration system test procedure. For matched refrigeration systems, use the test procedure in 10 CFR part 431, subpart R, appendix C. Follow the general testing provisions in appendix C, sections 3.1 and 3.2, and the product-specific provisions in appendix C, section 3.3. It is not necessary to rate a matched refrigeration system if the constituent unit cooler(s) and dedicated condensing unit have been tested and rated as specified paragraphs (a)(2)(i)(A) and (B) of this section, respectively. However, if a manufacturer wishes to represent the efficiency of the matched refrigeration system as distinct from the efficiency of either constituent component, or if the manufacturer cannot rate one or both of the constituent components using the specified method, the manufacturer must test and certify the matched refrigeration system as specified in this paragraph (a)(2)(i)(D). (ii) Units to be tested. (A) If the represented value for a given refrigeration system basic model is determined through testing, the general requirements of §429.11 apply; and (B) For each basic model, a sample of sufficient size shall be randomly selected and tested to ensure that any represented value of AWEF or other measure of energy efficiency of a basic model for which consumers would favor higher values shall be less than or equal to the lower of: (1) The mean of the sample, where: And x̅ is the sample mean; n is the number of samples; and xi is the ith sample, or, (2) The lower 95 percent confidence limit (LCL) of the true mean divided by 0.95, where: And x̅ is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95% one-tailed confidence interval with n-1 degrees of freedom (from appendix A to subpart B). (C) The represented value of net capacity shall be the average of the capacities measured for the sample selected. (iii) Alternative efficiency determination methods. In lieu of testing, pursuant to the requirements of §429.70 and the provisions of this section, a represented value of AWEF for a basic model of a walk-in cooler or walk-in freezer refrigeration system may be determined through the application of an AEDM, where: (A) Any represented value of AWEF or other measure of energy efficiency of a basic model for which consumers would favor higher values shall be less than or equal to the output of the AEDM and greater than or equal to the Federal standard for that basic model. (B) The represented value of net capacity must be the net capacity simulated by the AEDM. (3) For each basic model of walk-in cooler and walk-in freezer panel, display door, and non-display door, the R-value and/or energy consumption must be determined by testing, in accordance with §431.304 of this chapter and the provisions of this section. (i) Applicable test procedure. Refer to the following for the appropriate test procedure: (A) Display door test procedure. For determining the energy consumption and rated surface area in square feet, use the test procedure in 10 CFR part 431, subpart R, appendix A. (B) Non-display door test procedure. For determining the energy consumption and rated surface area in square feet, use the test procedure in 10 CFR part 431, subpart R, appendix A. For determining the R-value, use the test procedure in 10 CFR part 431, subpart R, appendix B. (C) Panel test procedure. For determining the R-value, use the test procedure in 10 CFR part 431, subpart R, appendix B. (ii) Units to be tested. (A) The general requirements of §429.11 apply; and (B) For each basic model, a sample of sufficient size shall be randomly selected and tested to ensure that— (1) Any represented value of door energy consumption or other measure of energy use of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of: (i) The mean of the sample, where: And x̅ is the sample mean; n is the number of samples; and xi is the ith sample, or, (ii) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.05, where: And x̅ is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95% one-tailed confidence interval with n-1 degrees of freedom (from appendix A to subpart B). (2) Any represented R-value or other measure of energy efficiency of a basic model for which consumers would favor higher values shall be less than or equal to the lower of: (i) The mean of the sample, where:
And x˜ is the sample mean; n is the number of samples; and xi is the ith sample, or, (ii) The lower 95 percent confidence limit (LCL) of the true mean divided by 0.95, where:
And x˜ is the sample mean; s is the sample standard deviation; n is the number of samples; and t 0.95 is the statistic for a 95% one-tailed confidence interval with n-1 degree of freedom (from appendix A to subpart B). (b) Certification reports. (1) The requirements of §429.12 apply to manufacturers of walk-in cooler and walk-in freezer panels, doors, and refrigeration systems, and; (2) Pursuant to §429.12(b)(13), a certification report must include the following public product-specific information: (i) For doors: The door type, R-value of the door insulation, and a declaration that the manufacturer has incorporated the applicable design requirements. In addition, for those walk-in coolers and walk-in freezers with transparent reach-in doors and windows, the glass type of the doors and windows (e.g., double-pane with heat reflective treatment, triple-pane glass with gas fill), and the power draw of the antisweat heater in watts per square foot of door opening must also be included. (ii) For walk-in cooler and walk-in freezer panels: The R-value of the insulation. (iii) For walk-in cooler and walk-in freezer refrigeration systems: The installed motor's functional purpose (i.e., evaporator fan motor or condenser fan motor), its rated horsepower, and a declaration that the manufacturer has incorporated the applicable walk-in-specific design requirements into the motor. (3) Pursuant to §429.12(b)(13), starting on June 5, 2017, a certification report must include the following public product-specific information in addition to the information listed in paragraph (b)(2) of this section: (i) For walk-in cooler and walk-in freezer doors: The door energy consumption and rated surface area in square feet. (ii) For refrigeration systems that are medium-temperature dedicated condensing units, medium-temperature single-package dedicated systems, or medium-temperature matched systems: The refrigeration system AWEF, net capacity, the configuration tested for certification (e.g., condensing unit only, unit cooler only, single-package dedicated system, or matched-pair), and if an indoor dedicated condensing unit is also certified as an outdoor dedicated condensing unit and, if so, the basic model number for the outdoor dedicated condensing unit. (4) Pursuant to §429.12(b)(13), starting on June 5, 2017, a certification report must include the following product-specific information in addition to the information listed in paragraphs (b)(2) and (3) of this section: (i) For walk-in cooler and walk-in freezer doors: the rated power of each light, heater wire, and/or other electricity consuming device associated with each basic model of display and non-display door; and whether such device(s) has a timer, control system, or other demand-based control reducing the device's power consumption. (5) When certifying compliance to the AWEF refrigeration standards for WICF refrigeration systems except those specified in (b)(3)(ii) of this section, a certification report must include the following public product-specific information in addition to the information listed in paragraph (b)(2) of this section: For refrigeration systems that are low-temperature dedicated condensing units, low-temperature matched systems, low-temperature single-package dedicated systems, or medium and low-temperature unit coolers: The refrigeration system AWEF, net capacity, the configuration tested for certification (e.g., condensing unit only, unit cooler only, single-package dedicated system, or matched-pair), and if an indoor dedicated condensing unit is also certified as an outdoor dedicated condensing unit and, if so, the basic model number for the outdoor dedicated condensing unit. [81 FR 95799, Dec. 28, 2016] ## §429.54 Metal halide lamp ballasts and fixtures.(a) Sampling plan for selection of units for testing. (1) The requirements of §429.11 are applicable to metal halide lamp ballasts; and (2) For each basic model of metal halide lamp ballast selected for testing, a sample of sufficient size, not less than four, shall be selected at random and tested to ensure that: (i) Any represented value of estimated energy efficiency calculated as the measured output power to the lamp divided by the measured input power to the ballast (Pout/Pin), of a basic model is less than or equal to the lower of: (A) The mean of the sample, where:
Or, (B) The lower 99-percent confidence limit (LCL) of the true mean divided by 0.99. And x̅ is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.99 is the t statistic for a 99% two-tailed confidence interval with n-1 degrees of freedom (from appendix A). (b) Certification reports. (1) The requirements of §429.12 are applicable to metal halide lamp ballasts; and (2) Pursuant to §429.12(b)(13), a certification report shall include the following public product-specific information: The minimum ballast efficiency in percent (%), the lamp wattage in watts (W), and the type of ballast (e.g., pulse-start, magnetic probe-start, and non-pulse start electronic). [76 FR 12451, Mar. 7, 2011; 76 FR 24780, May 2, 2011; 76 FR 46202, Aug. 2, 2011] ## §429.56 Integrated light-emitting diode lamps.(a) Determination of Represented Value. Manufacturers must determine the represented value, which includes the certified rating, for each basic model of integrated light-emitting diode lamps by testing, in conjunction with the sampling provisions in this section. (1) Units to be tested. (i) The general requirements of §429.11 (a) are applicable except that the sample must be comprised of production units; and (ii) For each basic model of integrated light-emitting diode lamp, the minimum number of units tested must be no less than 10 and the same sample comprised of the same units must be used for testing all metrics. If more than 10 units are tested as part of the sample, the total number of units must be a multiple of two. For each basic model, a sample of sufficient size must be randomly selected and tested to ensure that: (A) Represented values of initial lumen output, lamp efficacy, color rendering index (CRI), power factor, or other measure of energy consumption of a basic model for which consumers would favor higher values are less than or equal to the lower of: (1) The mean of the sample, where:
and, x̅ is the sample mean; n is the number of units; and xi is the measured value for the ith unit; Or, (2) The lower 99 percent confidence limit (LCL) of the true mean divided by 0.96; or the lower 99 percent confidence limit (LCL) of the true mean divided by 0.98 for CRI and power factor, where:
and, x̅ is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.99 is the t statistic for a 99 percent one-tailed confidence interval with n-1 degrees of freedom (from appendix A to this subpart). (B) Represented values of input power, standby mode power or other measure of energy consumption of a basic model for which consumers would favor lower values are greater than or equal to the higher of: (1) The mean of the sample, where:
and, x̅ is the sample mean; n is the number of units; and xi is the measured value for the ith unit; Or, (2) The upper 99 percent confidence limit (UCL) of the true mean divided by 1.02, where:
and, x̅ is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.99 is the t statistic for a 99 percent one-tailed confidence interval with n-1 degrees of freedom (from appendix A to this subpart); (C) Represented values of correlated color temperature (CCT) of a basic model must be equal to the mean of the sample, where:
and, x̅ is the sample mean; n is the number of units in the sample; and xi is the measured CCT for the ith unit. (D) The represented value of lifetime of an integrated light-emitting diode lamp must be equal to or less than the median time to failure of the sample (calculated as the arithmetic mean of the time to failure of the two middle sample units when the numbers are sorted in value order) rounded to the nearest hour. (2) The represented value of life (in years) of an integrated light-emitting diode lamp must be calculated by dividing the lifetime of an integrated light-emitting diode lamp by the estimated annual operating hours as specified in 16 CFR 305.15(b)(3)(iii). (3) The represented value of estimated annual energy cost for an integrated light-emitting diode lamp, expressed in dollars per year, must be the product of the input power in kilowatts, an electricity cost rate as specified in 16 CFR 305.15(b)(1)(ii), and an estimated average annual use as specified in 16 CFR 305.15(b)(1)(ii). (b) Certification reports. (1) The requirements of §429.12 are applicable to integrated light-emitting diode lamps; (2) Values reported in certification reports are represented values. Pursuant to §429.12(b)(13), a certification report must include the following public product-specific information: The testing laboratory's NVLAP identification number or other NVLAP-approved accreditation identification, the date of manufacture, initial lumen output in lumens (lm), input power in watts (W), lamp efficacy in lumens per watt (lm/W), CCT in kelvin (K), power factor, lifetime in years (and whether value is estimated), and life (and whether value is estimated). For lamps with multiple modes of operation (such as variable CCT or CRI), the certification report must also list which mode was selected for testing and include detail such that another laboratory could operate the lamp in the same mode. Lifetime and life are estimated values until testing is complete. When reporting estimated values, the certification report must specifically describe the prediction method, which must be generally representative of the methods specified in appendix BB. Manufacturers are required to maintain records per §429.71 of the development of all estimated values and any associated initial test data. (c) Rounding requirements. (1) Round input power to the nearest tenth of a watt. (2) Round lumen output to three significant digits. (3) Round lamp efficacy to the nearest tenth of a lumen per watt. (4) Round correlated color temperature to the nearest 100 Kelvin. (5) Round color rendering index to the nearest whole number. (6) Round power factor to the nearest hundredths place. (7) Round lifetime to the nearest whole hour. (8) Round standby mode power to the nearest tenth of a watt. [81 FR 43425, July 1, 2016] ## §429.57 General service lamps.(a) Determination of represented value. Manufacturers must determine represented values, which includes certified ratings, for each basic model of general service lamp in accordance with following sampling provisions. (1) The requirements of §429.11 are applicable to general service lamps, and (2) For general service incandescent lamps, use §429.27(a); (3) For compact fluorescent lamps, use §429.35(a); (4) For integrated LED lamps, use §429.56(a); (5) For other incandescent lamps, use §429.27(a); (6) For other fluorescent lamps, use §429.35(a); and (7) For OLED lamps and non-integrated LED lamps, use §429.56(a). (b) Certification reports. (1) The requirements of §429.12 are applicable to general service lamps; (2) Values reported in certification reports are represented values; (3) For general service incandescent lamps, use §429.27(b); (4) For compact fluorescent lamps, use §429.35(b); (5) For integrated LED lamps, use §429.56(b); and (6) For other incandescent lamps, for other fluorescent lamps, for OLED lamps and non-integrated LED lamps, pursuant to §429.12(b)(13), a certification report must include the following public product-specific information: The testing laboratory's ILAC accreditation body's identification number or other approved identification assigned by the ILAC accreditation body, initial lumen output, input power, lamp efficacy, and power factor. For non-integrated LED lamps, the certification report must also include the input voltage and current used for testing. (c) Rounding requirements. (1) Round input power to the nearest tenth of a watt. (2) Round initial lumen output to three significant digits. (3) Round lamp efficacy to the nearest tenth of a lumen per watt. (4) Round power factor to the nearest hundredths place. (5) Round standby mode power to the nearest tenth of a watt. [81 FR 72503, Oct. 20, 2016] ## §429.58 Furnace fans.(a) Sampling plan for selection of units for testing. (1) The requirements of §429.11 are applicable to furnace fans; and (2) For each basic model of furnace fan within the scope of appendix AA of subpart B of part 430, a sample of sufficient size shall be randomly selected and tested to ensure that any represented value of fan energy rating (FER), rounded to the nearest integer, shall be greater than or equal to the higher of: (i) The mean of the sample, where: And, x̅ is the sample mean; n is the number of samples; and xi is the measured value for the ith sample; Or, (ii) The upper 90 percent confidence limit (UCL) of the true mean divided by 1.05, where: And x̅ is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.90 is the t statistic for a 90% one-tailed confidence interval with n-1 degrees of freedom (from Appendix A). (b) Certification reports. (1) The requirements of §429.12 are applicable to residential furnace fans; and (2) Pursuant to §429.12(b)(13), a certification report shall include the following public product-specific information: The fan energy rating (FER) in watts per thousand cubic feet per minute (W/1000 cfm); the calculated maximum airflow at the reference system external static pressure (ESP) in cubic feet per minute (cfm); the control system configuration for achieving the heating and constant-circulation airflow-control settings required for determining FER as specified in the furnace fan test procedure (10 CFR part 430, subpart B, appendix AA); the measured steady-state gas, oil, or electric heat input rate (QIN) in the heating setting required for determining FER; and for modular blowers, the manufacturer and model number of the electric heat resistance kit with which it is equipped for certification testing. [79 FR 520, Jan. 3, 2014, as amended at 79 FR 38208, July 3, 2014] ## §429.59 Pumps.(a) Determination of represented value. Manufacturers must determine the represented value, which includes the certified rating, for each basic model by testing (which includes the calculation-based methods in the test procedure), in conjunction with the following sampling provisions. Manufacturers must update represented values to account for any change in the applicable motor standards in §431.25 of this chapter and certify amended values as of the next annual certification. (1) Units to be tested. The requirements of §429.11 are applicable to pumps; and for each basic model, a sample of sufficient size shall be randomly selected and tested to ensure that— (i) Any value of the constant or variable load pump energy index or other measure of energy consumption must be greater than or equal to the higher of: (A) The mean of the sample, where: and x̅ is the sample mean; n is the number of samples; and xi is the maximum of the ith sample; Or, (B) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.05, where: and x̅ is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95 percent one-tailed confidence interval with n-1 degrees of freedom (from appendix A to subpart B of part 429); and (ii) Any representation of weighted energy factor of a basic model must be less than or equal to the lower of: (A) The mean of the sample, where: And x̅ is the sample mean; n is the number of samples; and xi is the maximum of the ith sample; or, (B) The lower 95 percent confidence limit (LCL) of the true mean divided by 0.95, where: And x̅ is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95 percent one-tailed confidence interval with n-1 degrees of freedom (from appendix A of this subpart). (2) Other representations—(i) Rated hydraulic horsepower. The representative value of rated hydraulic horsepower of a basic model of dedicated-purpose pool pump must be the mean of the rated hydraulic horsepower for each tested unit. (ii) Dedicated-purpose pool pump motor total horsepower. The representative value of dedicated-purpose pool pump motor total horsepower of a basic model of dedicated-purpose pool pump must be the mean of the dedicated-purpose pool pump motor total horsepower for each tested unit. (iii) True power factor (PFi). The representative value of true power factor at each load point i of a basic model of dedicated-purpose pool pump must be the mean of the true power factors at that load point for each tested unit of dedicated-purpose pool pump. (b) Certification reports. (1) The requirements of §429.12 are applicable to pumps; and (2) Pursuant to §429.12(b)(13), a certification report must include the following public product-specific information: (i) For a pump subject to the test methods prescribed in section III of appendix A to subpart Y of part 431 of this chapter: PEICL; pump total head in feet (ft.) at BEP and nominal speed; volume per unit time (flow rate) in gallons per minute (gpm) at BEP and nominal speed; the nominal speed of rotation in revolutions per minute (rpm); calculated driver power input at each load point i (Pini), corrected to nominal speed, in horsepower (hp); full impeller diameter in inches (in.); and for RSV and ST pumps, the number of stages tested. (ii) For a pump subject to the test methods prescribed in section IV or V of appendix A to subpart Y of part 431 of this chapter: PEICL; pump total head in feet (ft.) at BEP and nominal speed; volume per unit time (flow rate) in gallons per minute (gpm) at BEP and nominal speed; the nominal speed of rotation in revolutions per minute (rpm); driver power input at each load point i (Pini), corrected to nominal speed, in horsepower (hp); full impeller diameter in inches (in.); whether the PEICL is calculated or tested; and for RSV and ST pumps, number of stages tested. (iii) For a pump subject to the test methods prescribed in section VI or VII of appendix A to subpart Y of part 431 of this chapter: PEIVL; pump total head in feet (ft.) at BEP and nominal speed; volume per unit time (flow rate) in gallons per minute (gpm) at BEP and nominal speed; the nominal speed of rotation in revolutions per minute (rpm); driver power input (measured as the input power to the driver and controls) at each load point i (Pini), corrected to nominal speed, in horsepower (hp); full impeller diameter in inches (in.); whether the PEIVL is calculated or tested; and for RSV and ST pumps, the number of stages tested. (iv) For a dedicated-purpose pool pump subject to the test methods prescribed in §431.464(b) of this chapter: weighted energy factor (WEF) in kilogallons per kilowatt-hour (kgal/kWh); rated hydraulic horsepower in horsepower (hp); the speed configuration for which the pump is being rated (i.e., single-speed, two-speed, multi-speed, or variable-speed); true power factor at all applicable test procedure load points i (dimensionless), as specified in Table 1 of appendix B or C to subpart Y of part 431 of this chapter, as applicable; dedicated-purpose pool pump nominal motor horsepower in horsepower (hp); dedicated-purpose pool pump motor total horsepower in horsepower (hp); dedicated-purpose pool pump service factor (dimensionless); for self-priming pool filter pumps, non-self-priming pool filter pumps, and waterfall pumps: The maximum head (in feet) which is based on the mean of the units in the tested sample; a statement regarding whether freeze protection is shipped enabled or disabled; for dedicated-purpose pool pumps distributed in commerce with freeze protection controls enabled: The default dry-bulb air temperature setting (in °F), default run time setting (in minutes), and default motor speed (in rpm); for self-priming pool filter pumps a statement regarding whether the pump is certified with NSF/ANSI 50-2015 (incorporated by reference, see §429.4) as self-priming; and, for self-priming pool filter pumps that are not certified with NSF/ANSI 50-2015 as self-priming: The vertical lift (in feet) and true priming time (in minutes) for the DPPP model. (v) For integral cartridge-filter and sand-filter pool pumps, the maximum run-time (in hours) of the pool pump control with which the integral cartridge-filter or sand-filter pump is distributed in commerce. (3) Pursuant to §429.12(b)(13), a certification report may include the following public product-specific information: (i) For a pump subject to the test methods prescribed in section III of appendix A to subpart Y of part 431 of this chapter: Pump efficiency at BEP in percent (%) and PERCL. (ii) For a pump subject to the test methods prescribed in section IV or V of appendix A to subpart Y of part 431 of this chapter: Pump efficiency at BEP in percent (%) and PERCL. (iii) For a pump subject to the test methods prescribed in section VI or VII of appendix A to subpart Y of part 431 of this chapter: Pump efficiency at BEP in percent (%) and PERVL. (iv) For a dedicated-purpose pool pump subject to the test methods prescribed in §431.464(b) of this chapter: Calculated driver power input and flow rate at each load point i (Pi and Qi), in horsepower (hp) and gallons per minute (gpm), respectively. (4) Pursuant to §429.12(b)(13), a certification report will include the following product-specific information: (i) For a pump subject to the test methods prescribed in section III of appendix A to subpart Y of part 431 of this chapter: The pump configuration (i.e., bare pump); and for ST pumps, the bowl diameter in inches (in.). (ii) For a pump subject to the test methods prescribed in section IV or V of appendix A to subpart Y of part 431 of this chapter: The pump configuration (i.e., pump sold with an electric motor); for pumps sold with electric motors regulated by DOE's energy conservation standards for electric motors at §431.25, the nominal motor efficiency in percent (%) and the motor horsepower (hp) for the motor with which the pump is being rated; and for ST pumps, the bowl diameter in inches (in.). (iii) For a pump subject to the test methods prescribed in section VI or VII of appendix A to subpart Y of part 431 of this chapter: The pump configuration (i.e., pump sold with a motor and continuous or non-continuous controls); for pumps sold with electric motors regulated by DOE's energy conservation standards for electric motors at §431.25, the nominal motor efficiency in percent (%) and the motor horsepower (hp) for the motor with which the pump is being rated; and for ST pumps, the bowl diameter in inches (in.). (c) Individual model numbers. (1) For a pump subject to the test methods prescribed in appendix A to subpart Y of part 431 of this chapter, each individual model number required to be reported pursuant to §429.12(b)(6) must consist of the following:
(2) Or must otherwise provide sufficient information to identify the specific driver model and/or controls model(s) with which a bare pump is distributed. [81 FR 4144, Jan. 25, 2016, as amended at 81 FR 4430, Jan. 26, 2016; 82 FR 36918, Aug. 7, 2017] ## §429.60 Commercial packaged boilers.(a) Determination of represented value. Manufacturers must determine the represented value, which includes the certified rating, for each basic model of commercial packaged boilers either by testing in accordance with §431.86 of this chapter, in conjunction with the applicable sampling provisions, or by applying an AEDM. (1) Units to be tested. (i) If the represented value is determined through testing, the general requirements of §429.11 are applicable, except that, if the represented value is determined through testing pursuant to §431.86(c) of this chapter, the number of units selected for testing may be one; and (1) The mean of the sample, where:
and, x̅ is the sample mean; n is the number of samples; and xi is the ith sample; Or, (2) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.05, where:
And x̅ is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95% one-tailed confidence interval with n−1 degrees of freedom (from Appendix A to subpart B of part 429). And, (B) Any represented value of energy efficiency or other measure of energy consumption of a basic model for which consumers would favor higher values shall be less than or equal to the lower of: (1) The mean of the sample, where:
and, x̅ is the sample mean; n is the number of samples; and xi is the ith sample; Or, (2) The lower 95 percent confidence limit (LCL) of the true mean divided by 0.95, where:
And x̅ is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95% one-tailed confidence interval with n−1 degrees of freedom (from Appendix A to subpart B of part 429). (2) Alternative efficiency determination methods. In lieu of testing, a represented value of efficiency or consumption for a basic model of commercial packaged boiler must be determined through the application of an AEDM pursuant to the requirements of §429.70 and the provisions of this section, where: (i) Any represented value of energy consumption or other measure of energy use of a basic model for which consumers would favor lower values shall be greater than or equal to the output of the AEDM and less than or equal to the Federal standard for that basic model; and (ii) Any represented value of energy efficiency or other measure of energy consumption of a basic model for which consumers would favor higher values shall be less than or equal to the output of the AEDM and greater than or equal to the Federal standard for that basic model. (3) The rated input for a basic model reported in accordance with paragraph (b)(2) of this section must be the maximum rated input listed on the nameplate and in manufacturer literature for the commercial packaged boiler basic model. In the case where the nameplate and the manufacturer literature are not identical, DOE will use the nameplate on the unit for determining the rated input. (4) For a model of commercial packaged boiler capable of supplying either steam or hot water, representative values for steam mode must be based on efficiency in steam mode and representative values for hot water mode must be based on either the efficiency in hot water mode or steam mode in accordance with the test procedure in §431.86 of this chapter and the provisions of this section. (b) Certification reports. (1) The requirements of §429.12 are applicable to commercial packaged boilers; and (2) Pursuant to §429.12(b)(13), a certification report must include the following public, equipment-specific information: (i) If oil-fired, the manufacturer (including brand, if applicable) and model number of the burner; (ii) The rated input in British thermal units per hour (Btu/h); (iii) The combustion efficiency in percent (%) to the nearest tenth of one percent or thermal efficiency in percent (%) to the nearest one tenth of one percent, as specified in §431.87 of this chapter; and (iv) For a basic model of commercial packaged boiler that cannot be tested using the standard inlet temperatures required in appendix A to subpart E of part 431, the average inlet water temperature measured at Point B in Figure C9 of ANSI/AHRI Standard 1500-2015 (incorporated by reference, see §429.4) at which the model was tested. (3) Pursuant to §429.12(b)(13), a certification report must include the following additional equipment-specific information: (i) Whether the basic model is engineered-to-order; and (ii) For any basic model rated with an AEDM, whether the manufacturer elects the witness test option for verification testing. (See §429.70(c)(5)(iii) for options). However, the manufacturer may not select more than 10% of AEDM-rated basic models to be eligible for witness testing. (iii) For basic models of commercial packaged boilers that have a rated input greater than 5,000,000 Btu/h, a declaration about whether the certified efficiency rating is based on testing conducted pursuant to §431.86(c) of this chapter. (4) Pursuant to §429.12(b)(13), a certification report may include supplemental testing instructions in PDF format. If necessary to run a valid test, the equipment-specific, supplemental information must include any additional testing and testing set up instructions (e.g., specific operational or control codes or settings), which would be necessary to operate the basic model under the required conditions specified by the relevant test procedure. A manufacturer may also include with a certification report other supplementary items in PDF format (e.g., manuals) for DOE consideration in performing testing under subpart C of this part. (5) Any field tested pursuant to §431.86(c) of this chapter basic model of a commercial packaged boiler that has not been previously certified through testing or an AEDM must be certified within 15 days of commissioning. (c) Alternative methods for determining efficiency or energy use for commercial packaged boilers can be found in §429.70. [79 FR 25504, May 5, 2014, as amended at 80 FR 151, Jan. 5, 2015; 81 FR 89303, Dec. 9, 2016] ## §429.61 Consumer miscellaneous refrigeration products.(a) Sampling plan for selection of units for testing. (1) The requirements of §429.11 are applicable to miscellaneous refrigeration products; and (2) For each basic model of miscellaneous refrigeration product, a sample of sufficient size shall be randomly selected and tested to ensure that— (i) Any represented value of estimated annual operating cost, energy consumption, or other measure of energy consumption of a basic model for which consumers would favor lower values shall be greater than or equal to the higher of: (A) The mean of the sample, where: And, x̅ is the sample mean; n is the number of samples; and xi is the ith sample; or (B) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.10, where: And x̅ is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95% one-tailed confidence interval with n-1 degrees of freedom (from appendix A of this subpart). and (ii) Any represented value of the energy factor or other measure of energy consumption of a basic model for which consumers would favor higher values shall be less than or equal to the lower of: (A) The mean of the sample, where: And, x̅ is the sample mean; n is the number of samples; and xi is the ith sample; or (B) The lower 95 percent confidence limit (LCL) of the true mean divided by 0.90, where: And x̅ is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95% one-tailed confidence interval with n-1 degrees of freedom (from appendix A of this subpart). (3) The value of total refrigerated volume of a basic model reported in accordance with paragraph (b)(2) of this section shall be the mean of the total refrigerated volumes measured for each tested unit of the basic model or the total refrigerated volume of the basic model as calculated in accordance with §429.72(d). The value of adjusted total volume of a basic model reported in accordance with paragraph (b)(2) of this section shall be the mean of the adjusted total volumes measured for each tested unit of the basic model or the adjusted total volume of the basic model as calculated in accordance with §429.72(d). (b) Certification reports. (1) The requirements of §429.12 are applicable to miscellaneous refrigeration products; and (2) Pursuant to §429.12(b)(13), a certification report must include the following public product-specific information: The annual energy use in kilowatt hours per year (kWh/yr); the total refrigerated volume in cubic feet (cu ft) and the total adjusted volume in cubic feet (cu ft). (3) Pursuant to §429.12(b)(13), a certification report coolers or combination cooler refrigeration products shall include the following additional product-specific information: Whether the basic model has variable defrost control (in which case, manufacturers must also report the values, if any, of CTL and CTM (for an example, see section 5.2.1.3 in appendix A to subpart B of part 430 of this chapter) used in the calculation of energy consumption), whether the basic model has variable anti-sweat heater control (in which case, manufacturers must also report the values of heater Watts at the ten humidity levels 5%, 15%, through 95% used to calculate the variable anti-sweat heater “Correction Factor”), and whether testing has been conducted with modifications to the standard temperature sensor locations specified by the figures referenced in section 5.1 of appendix A to subpart B of part 430 of this chapter. (c) Rounding requirements for representative values, including certified and rated values. (1) The represented value of annual energy use must be rounded to the nearest kilowatt hour per year. (2) The represented value of total refrigerated volume must be rounded to the nearest 0.1 cubic foot. (3) The represented value of adjusted total volume must be rounded to the nearest 0.1 cubic foot. (d) Product category determination. Each basic model of miscellaneous refrigeration product must be certified according to the appropriate product category as defined in §430.2 based on compartment volumes and compartment temperatures. (1) Compartment volumes used to determine product category shall be the mean of the measured compartment volumes for each tested unit of the basic model according to the provisions in section 5.3 of appendix A to subpart B of part 430 of this chapter, or the compartment volumes of the basic model as calculated in accordance with §429.72(d); and (2) Compartment temperatures used to determine product category shall be the mean of the measured compartment temperatures at the coldest setting for each tested unit of the basic model according to the provisions section 5.1 of appendix A to subpart B of part 430 of this chapter. For cooler compartments with temperatures below 39 °F (3.9 °C) but no lower than 37 °F (2.8 °C), the compartment temperatures used to determine product category shall also include the mean of the measured compartment temperatures at the warmest setting for each tested unit of the basic model according to the provisions section 5.1 of appendix A to subpart B of part 430 of this chapter. [81 FR 46790, July 18, 2016] ## §429.62 Portable air conditioners.(a) Sampling plan for selection of units for testing. (1) The requirements of §429.11 are applicable to portable air conditioners; and (2) For each basic model of portable air conditioner, a sample of sufficient size must be randomly selected and tested to ensure that— (i) Any represented value of energy consumption or other measure of energy consumption of a basic model for which consumers would favor lower values is greater than or equal to the higher of: (A) The mean of the sample:
Where: x̅ is the sample mean; xi is the ith sample; and n is the number of units in the test sample. Or, (B) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.10:
Where: x̅ is the sample mean; s is the sample standard deviation; n is the number of units in the test sample; and t0.95 is the t statistic for a 95% one-tailed confidence interval with n-1 degrees of freedom. And, (ii) Any represented value of the combined energy efficiency ratio or other measure of energy consumption of a basic model for which consumers would favor higher values is less than or equal to the lower of: (A) The mean of the sample:
Where: x̅ is the sample mean; xi is the ith sample; and n is the number of units in the test sample. Or, (B) The lower 95 percent confidence limit (LCL) of the true mean divided by 0.90:
Where: x̅ is the sample mean; s is the sample standard deviation; n is the number of units in the test sample; and t0.95 is the t statistic for a 95% one-tailed confidence interval with n-1 degrees of freedom. And, (3) The value of seasonally adjusted cooling capacity of a basic model must be the mean of the seasonally adjusted cooling capacities for each tested unit of the basic model. Round the mean seasonally adjusted cooling capacity value to the nearest 50, 100, 200, or 500 Btu/h, depending on the magnitude of the calculated seasonally adjusted cooling capacity, in accordance with Table 1 of ANSI/AHAM PAC-1-2015, (incorporated by reference, see §429.4), “Multiples for reporting Dual Duct Cooling Capacity, Single Duct Cooling Capacity, Spot Cooling Capacity, Water Cooled Condenser Capacity and Power Input Ratings.” (4) Round the value of combined energy efficiency ratio of a basic model to the nearest 0.1 Btu/Wh. (5) Single-duct and dual-duct portable air conditioners distributed in commerce by the manufacturer with multiple duct configuration options that meet DOE's definitions for single-duct portable AC and dual-duct portable AC, must be rated and certified under both applicable duct configurations. (b) Certification reports. [Reserved] [81 FR 35264, June 1, 2016] ## §429.63 Compressors.(a) Determination of represented value. Manufacturers must determine the represented value, which includes the certified rating, for each basic model of compressor either by testing in conjunction with the applicable sampling provisions or by applying an AEDM. (1) Units to be tested. (i) If the represented value is determined through testing, the general requirements of §429.11 apply; and (ii) For each basic model selected for testing, a sample of sufficient size must be randomly selected and tested to ensure that— (A) Measures of energy efficiency. Any represented value of the full- or part-load package isentropic efficiency or other measure of energy efficiency of a basic model for which customers would favor higher values is less than or equal to the lower of: (1) The mean of the sample, where: And x̅ is the sample mean; n is the number of samples; and xi is the measured value for the ith sample; or, (2) The lower 95 percent confidence limit (LCL) of the true mean divided by 0.95, where: And x̅ is the sample mean; s is the sample standard deviation; n is the number of samples; and t0.95 is the t statistic for a 95 percent one-tailed confidence interval with n−1 degrees of freedom (from appendix A of this subpart); and (B) Package specific power. The representative value(s) of package specific power of a basic model must be the mean of the package specific power measurement(s) for each tested unit of the basic model. (2) Alternative efficiency determination methods. In lieu of testing, any represented value of efficiency, consumption, or other non-energy metrics listed in paragraph (a)(3) of this section for a basic model may be determined through the application of an AEDM pursuant to the requirements of §429.70 and the provisions of this section, where: (i) Any represented values of package isentropic efficiency or other measure of energy consumption of a basic model for which customers would favor higher values must be less than or equal to the output of the AEDM; and (ii) Any represented values of package specific power, pressure ratio at full-load operating pressure, full-load actual volume flow rate, or full-load operating pressure must be the output of the AEDM corresponding to the represented value of package isentropic efficiency determined in paragraph (a)(2)(i) of this section. (3) Representations of non-energy metrics—(i) Full-load actual volume flow rate. The representative value of full-load actual volume flow rate of a basic model must be either— (A) The mean of the full-load actual volume flow rate for the units in the sample; or (B) As determined through the application of an AEDM pursuant to the requirements of §429.70. (ii) Full-load operating pressure. The representative value of full-load operating pressure of a basic model must be less than or equal to the maximum full-flow operating pressure and greater than or equal to the lesser of— (A) 90 percent of the maximum full-flow operating pressure; or (B) 10 psig less than the maximum full-flow operating pressure, where the maximum full-flow operating pressure must either be determined as the mean of the maximum full-flow operating pressure values for the units in the sample or through the application of an AEDM pursuant to the requirements of §429.70. (iii) Pressure ratio at full-load operating pressure. The representative value of pressure ratio at full-load operating pressure of a basic model must be either be determined as the mean of the pressure ratio at full-load operating pressure for the units in the sample or through the application of an AEDM pursuant to the requirements of §429.70. (b) [Reserved] [82 FR 1099, Jan. 4, 2017] ## §429.70 Alternative methods for determining energy efficiency and energy use.(a) General applicability of an AEDM. A manufacturer of covered products or covered equipment explicitly authorized to use an AEDM in §§429.14 through 429.62 may not distribute any basic model of such equipment in commerce unless the manufacturer has determined the energy efficiency of the basic model, either from testing the basic model in conjunction with DOE's certification sampling plans and statistics or from applying an alternative method for determining energy efficiency or energy use (AEDM) to the basic model, in accordance with the requirements of this section. In instances where a manufacturer has tested a basic model, the manufacturer may not knowingly use an AEDM to overrate the efficiency (or underrate the consumption) of the model. (b) Testing. Testing for each covered product or covered equipment must be done in accordance with the sampling plan provisions established in §429.11 and the testing procedures in parts 430 and 431 of this chapter. (c) Alternative efficiency determination method (AEDM) for commercial HVAC (includes commercial warm air furnaces and commercial packaged boilers), WH, and refrigeration equipment—(1) Criteria an AEDM must satisfy. A manufacturer may not apply an AEDM to a basic model to determine its efficiency pursuant to this section unless: (i) The AEDM is derived from a mathematical model that estimates the energy efficiency or energy consumption characteristics of the basic model as measured by the applicable DOE test procedure; (ii) The AEDM is based on engineering or statistical analysis, computer simulation or modeling, or other analytic evaluation of performance data; and (iii) The manufacturer has validated the AEDM, in accordance with paragraph (c)(2) of this section with basic models that meet the current Federal energy conservation standards. (2) Validation of an AEDM. Before using an AEDM, the manufacturer must validate the AEDM's accuracy and reliability as follows: (i) The manufacturer must select at least the minimum number of basic models for each validation class specified in paragraph (c)(2)(iv) of this section to which the particular AEDM applies. Using the AEDM, calculate the energy use or efficiency for each of the selected basic models. Test a single unit of each selected basic model in accordance with paragraph (c)(2)(iii) of this section. Compare the results from the single unit test and the AEDM energy use or efficiency output according to paragraph (c)(2)(ii) of this section. The manufacturer is responsible for ensuring the accuracy and reliability of the AEDM. (ii) Individual model tolerances. (A) For those covered products with an energy-efficiency metric, the predicted efficiency for each model calculated by applying the AEDM may not be more than five percent greater than the efficiency determined from the corresponding test of the model. (B) For those covered products with an energy-consumption metric, the predicted energy consumption for each model, calculated by applying the AEDM, may not be more than five percent less than the energy consumption determined from the corresponding test of the model. (C) For all covered products, the predicted energy efficiency or consumption for each model calculated by applying the AEDM must meet or exceed the applicable federal energy conservation performance standard. (D) An AEDM that is validated based on test results obtained from one or more field tests (pursuant to §431.86(c)) can only be used to certify the performance of basic models of commercial packaged boilers with a certified rated input greater than 5,000,000 Btu/h. (iii) Additional test unit requirements. (A) Each AEDM must be supported by test data obtained from physical tests of current models; and (B) Test results used to validate the AEDM must meet or exceed current, applicable Federal standards as specified in part 431 of this chapter; and (C) Each test must have been performed in accordance with the DOE test procedure specified in parts 430 or 431 of this chapter or test procedure waiver for which compliance is required at the time the basic model is distributed in commerce. (iv) Validation classes.
(3) AEDM records retention requirements. If a manufacturer has used an AEDM to determine representative values pursuant to this section, the manufacturer must have available upon request for inspection by the Department records showing: (i) The AEDM, including the mathematical model, the engineering or statistical analysis, and/or computer simulation or modeling that is the basis of the AEDM; (ii) Product information, complete test data, AEDM calculations, and the statistical comparisons from the units tested that were used to validate the AEDM pursuant to paragraph (c)(2) of this section; and (iii) Product information and AEDM calculations for each basic model to which the AEDM has been applied. (4) Additional AEDM requirements. If requested by the Department and at DOE's discretion, the manufacturer must perform at least one of the following: (i) Conduct simulations before representatives of the Department to predict the performance of particular basic models of the product to which the AEDM was applied; (ii) Provide analyses of previous simulations conducted by the manufacturer; or (iii) Conduct certification testing of basic models selected by the Department. (5) AEDM verification testing. DOE may use the test data for a given individual model generated pursuant to §429.104 to verify the certified rating determined by an AEDM as long as the following process is followed: (i) Selection of units. DOE will obtain units for test from retail, where available. If units cannot be obtained from retail, DOE will request that a unit be provided by the manufacturer; (ii) Lab requirements. DOE will conduct testing at an independent, third-party testing facility of its choosing. In cases where no third-party laboratory is capable of testing the equipment, it may be tested at a manufacturer's facility upon DOE's request. (iii) Manufacturer participation. (A) Except when testing variable refrigerant flow systems (which are governed by the rules found at §431.96(f)), testing will be completed without a manufacturer representative on-site. In limited instances further described in paragraph (c)(5)(iii)(B) of this section, a manufacturer and DOE representative may be present to witness the test set-up. (B) A manufacturer's representative may request to be on-site to witness the test set-up if: (1) The installation manual for the basic model specifically requires it to be started only by a factory-trained installer; or (2) The manufacturer has elected, as part of the certification of that basic model, to have the opportunity to witness the test set-up. A manufacturer may elect to witness the test set-up for the initial verification test for no more than 10 percent of the manufacturer's basic models submitted for certification and rated with an AEDM per validation class specified in section (c)(2)(iv) of this paragraph. The 10-percent limit applies to all of the eligible basic models submitted for certification by a given manufacturer no matter how many AEDMs a manufacturer has used to develop its ratings. The 10-percent limit is determined by first calculating 10 percent of the total number of basic models rated with an AEDM per validation class, and then truncating the resulting product. Manufacturers who have submitted fewer than 10 basic models rated with an AEDM for certification may elect to have the opportunity to witness the test set-up of one basic model. A manufacturer must identify the basic models it wishes to witness as part of its certification report(s) prior to the basic model being selected for verification testing. (3) In those instances in which a manufacturer has not provided the required information as specified in §429.12(b)(13) for a given basic model that has been rated and certified as compliant with the applicable standards, a manufacturer is precluded from witnessing the testing set up for that basic model. (C) A DOE representative will be present for the test set-up in all cases where a manufacturer representative requests to be on-site for the test set-up. The manufacturer's representative cannot communicate with a lab representative outside of the DOE representative's presence. (D) If DOE has obtained through retail channels a unit for test that meets either of the conditions in paragraph (c)(5)(iii)(B) of this section, DOE will notify the manufacturer that the basic model was selected for testing and that the manufacturer may have a representative present for the test set-up. If the manufacturer does not respond within five calendar days of receipt of that notification, the manufacturer waives the option to be present for test set-up, and DOE will proceed with the test set-up without a manufacturer's representative present. (E) If DOE has obtained directly from the manufacturer a unit for test that meets either of the conditions in paragraph (c)(5)(iii)(B) of this section, DOE will notify the manufacturer of the option to be present for the test set-up at the time the unit is purchased. DOE will specify the date (not less than five calendar days) by which the manufacturer must notify DOE whether a manufacturer's representative will be present. If the manufacturer does not notify DOE by the date specified, the manufacturer waives the option to be present for the test set-up, and DOE will proceed with the test set-up without a manufacturer's representative present. (F) DOE will review the certification submissions from the manufacturer that were on file as of the date DOE purchased a basic model (under paragraph (c)(5)(iii)(D) of this section) or the date DOE notifies the manufacturer that the basic model has been selected for testing (under paragraph (c)(5)(iii)(E) of this section) to determine if the manufacturer has indicated that it intends to witness the test set-up of the selected basic model. DOE will also verify that the manufacturer has not exceeded the allowable limit of witness testing selections as specified in paragraph (c)(5)(iii)(B)(2) of this section. If DOE discovers that the manufacturer exceeded the limits specified in paragraph (c)(5)(iii)(B)(2), DOE will notify the manufacturer of this fact and deny its request to be present for the test set-up of the selected basic model. The manufacturer must update its certification submission to ensure it has not exceeded the allowable limit of witness testing selections as specified in paragraph (c)(5)(iii)(B)(2) to be present at set-up for future selections. At this time DOE will also review the supplemental PDF submission(s) for the selected basic model to determine that all necessary information has been provided to the Department. (G) If DOE determines, pursuant to paragraph (c)(5)(ii) of this section, that the model should be tested at the manufacturer's facility, a DOE representative will be present on site to observe the test set-up and testing with the manufacturer's representative. All testing will be conducted at DOE's direction, which may include DOE-contracted personnel from a third-party lab, as well as the manufacturer's technicians. (H) As further explained in paragraph (c)(5)(v)(B) of this section, if a manufacturer's representative is present for the initial test set-up for any reason, the manufacturer forfeits any opportunity to request a retest of the basic model. Furthermore, if the manufacturer requests to be on-site for test set-up pursuant to paragraph (c)(5)(iii)(B) of this section but is not present on site, the manufacturer forfeits any opportunity to request a retest of the basic model. (iv) Testing. At no time during verification testing may the lab and the manufacturer communicate without DOE authorization. All verification testing will be conducted in accordance with the applicable DOE test procedure, as well as each of the following to the extent that they apply: (A) Any active test procedure waivers that have been granted for the basic model; (B) Any test procedure guidance that has been issued by DOE; (C) The installation and operations manual that is shipped with the unit; (D) Any additional information that was provided by the manufacturer at the time of certification (prior to DOE obtaining the unit for test); and (E) If during test set-up or testing, the lab indicates to DOE that it needs additional information regarding a given basic model in order to test in accordance with the applicable DOE test procedure, DOE may organize a meeting between DOE, the manufacturer and the lab to provide such information. (v) Failure to meet certified rating. If a model tests worse than its certified rating by an amount exceeding the tolerance prescribed in paragraph (c)(5)(vi) of this section, DOE will notify the manufacturer. DOE will provide the manufacturer with all documentation related to the test set up, test conditions, and test results for the unit. Within the timeframe allotted by DOE, the manufacturer may then: (A) Present all claims regarding testing validity; and (B) If the manufacturer was not on site for the initial test set-up, request a retest of the previously tested unit with manufacturer and DOE representatives on-site for the test set-up. DOE will not conduct the retest using a different unit of the same basic model unless DOE and the manufacturer determine it is necessary based on the test results, claims presented, and DOE regulations. (vi) Tolerances. (A) For consumption metrics, the result from a DOE verification test must be less than or equal to the certified rating × (1 + the applicable tolerance). (B) For efficiency metrics, the result from a DOE verification test must be greater than or equal to the certified rating × (1 − the applicable tolerance).
(vii) Invalid rating. If, following discussions with the manufacturer and a retest where applicable, DOE determines that the verification testing was conducted appropriately in accordance with the DOE test procedure, DOE will issue a determination that the rating for the model is invalid. The manufacturer must elect, within 15 days, one of the following to be completed in a time frame specified by DOE, which is never to exceed 180 days: (A) Re-rate and re-certify the model based on DOE's test data alone; or (B) Discontinue the model through the certification process; or (C) Conduct additional testing and re-rate and re-certify the basic model based on all test data collected, including DOE's test data. (viii) AEDM use. (A) If DOE has determined that a manufacturer made invalid ratings on two or more models rated using the same AEDM within a 24 month period, the manufacturer must take the action listed in the table corresponding to the number of invalid certified ratings. The twenty-four month period begins with a DOE determination that a rating is invalid through the process outlined above. Additional invalid ratings apply for the purposes of determining the appropriate consequences if the subsequent determination(s) is based on selection of a unit for testing within the twenty-four month period (i.e., subsequent determinations need not be made within 24 months).
(B) If, as a result of eight or more invalid ratings, a manufacturer has lost the privilege of using an AEDM for rating, the manufacturer may regain the ability to use an AEDM by: (1) Investigating and identifying cause(s) for failures; (2) Taking corrective action to address cause(s); (3) Performing six new tests per validation class, a minimum of two of which must be performed by an independent, third-party laboratory to validate the AEDM; and (4) Obtaining DOE authorization to resume use of the AEDM. (d) Alternative efficiency determination method for distribution transformers—A manufacturer may use an AEDM to determine the efficiency of one or more of its untested basic models only if it determines the efficiency of at least five of its other basic models (selected in accordance with paragraph (d)(3) of this section) through actual testing. (1) Criteria an AEDM must satisfy. (i) The AEDM has been derived from a mathematical model that represents the electrical characteristics of that basic model; (ii) The AEDM is based on engineering and statistical analysis, computer simulation or modeling, or other analytic evaluation of performance data; and (iii) The manufacturer has substantiated the AEDM, in accordance with paragraph (d)(2) of this section, by applying it to, and testing, at least five other basic models of the same type, i.e., low-voltage dry-type distribution transformers, medium-voltage dry-type distribution transformers, or liquid-immersed distribution transformers. (2) Substantiation of an AEDM. Before using an AEDM, the manufacturer must substantiate the AEDM's accuracy and reliability as follows: (i) Apply the AEDM to at least five of the manufacturer's basic models that have been selected for testing in accordance with paragraph (d)(3) of this section, and calculate the power loss for each of these basic models; (ii) Test at least five units of each of these basic models in accordance with the applicable test procedure and §429.47, and determine the power loss for each of these basic models; (iii) The predicted total power loss for each of these basic models, calculated by applying the AEDM pursuant to paragraph (d)(2)(i) of this section, must be within plus or minus five percent of the mean total power loss determined from the testing of that basic model pursuant to paragraph (d)(2)(ii) of this section; and (iv) Calculate for each of these basic models the percentage that its power loss calculated pursuant to paragraph (d)(2)(i) of this section is of its power loss determined from testing pursuant to paragraph (d)(2)(ii) of this section, compute the average of these percentages, and that calculated average power loss, expressed as a percentage of the average power loss determined from testing, must be no less than 97 percent and no greater than 103 percent. (3) Additional testing requirements. (i) A manufacturer must select basic models for testing in accordance with the following criteria: (A) Two of the basic models must be among the five basic models with the highest unit volumes of production by the manufacturer in the prior year, or during the prior 12-calendar-month period beginning in 2003,1 whichever is later; 1When identifying these five basic models, any basic model that does not comply with Federal energy conservation standards for distribution transformers that may be in effect shall be excluded from consideration. (B) No two basic models should have the same combination of power and voltage ratings; and (C) At least one basic model should be single-phase and at least one should be three-phase. (ii) In any instance where it is impossible for a manufacturer to select basic models for testing in accordance with all of these criteria, the criteria shall be given priority in the order in which they are listed. Within the limits imposed by the criteria, basic models shall be selected randomly. (4) Subsequent verification of an AEDM. (i) Each manufacturer that has used an AEDM under this section shall have available for inspection by the Department of Energy records showing: (A) The method or methods used; (B) The mathematical model, the engineering or statistical analysis, computer simulation or modeling, and other analytic evaluation of performance data on which the AEDM is based; (C) Complete test data, product information, and related information that the manufacturer has generated or acquired pursuant to paragraph (d)(4) of this section; and (D) The calculations used to determine the efficiency and total power losses of each basic model to which the AEDM was applied. (ii) If requested by the Department, the manufacturer must perform at least one of the following: (A) Conduct simulations to predict the performance of particular basic models of distribution transformers specified by the Department; (B) Provide analyses of previous simulations conducted by the manufacturer; (C) Conduct sample testing of basic models selected by the Department; or (D) Conduct a combination of these. (e) Alternate Efficiency Determination Method (AEDM) for central air conditioners and heat pumps. This paragraph (e) sets forth the requirements for a manufacturer to use an AEDM to rate central air conditioners and heat pumps. (1) Criteria an AEDM must satisfy. A manufacturer may not apply an AEDM to an individual model/combination to determine its represented values (SEER, EER, HSPF, SEER2, EER2, HSPF2, and/or PW,OFF) pursuant to this section unless authorized pursuant to §429.16(d) and: (i) The AEDM is derived from a mathematical model that estimates the energy efficiency or energy consumption characteristics of the individual model or combination (SEER, EER, HSPF, SEER2, EER2, HSPF2, and/or PW,OFF) as measured by the applicable DOE test procedure; and (ii) The manufacturer has validated the AEDM in accordance with paragraph (e)(2) of this section. (2) Validation of an AEDM. Before using an AEDM, the manufacturer must validate the AEDM's accuracy and reliability as follows: (i) Follow paragraph (e)(2)(i)(A) of this section for requirements on minimum testing. Follow paragraph (e)(2)(i)(B) of this section for requirements on ensuring the accuracy and reliability of the AEDM. (A) Minimum testing. (1) For non-space-constrained single-split system air conditioners and heat pumps rated based on testing in accordance with appendix M to subpart B of part 430, the manufacturer must test each basic model as required under §429.16(b)(2). Until July 1, 2024, for non-space-constrained single-split-system air conditioners and heat pumps rated based on testing in accordance with appendix M1 to subpart B of part 430, the manufacturer must test a single-unit sample from 20 percent of the basic models distributed in commerce to validate the AEDM. On or after July 1, 2024, for non-space-constrained single-split-system air conditioners and heat pumps rated based on testing in accordance with appendix M1 to subpart B of part 430, the manufacturer must complete testing of each basic model as required under §429.16(b)(2). (2) For other than non-space-constrained single-split-system air conditioners and heat pumps, the manufacturer must test each basic model as required under §429.16(b)(2). (B) Using the AEDM, calculate the energy use or efficiency for each of the tested individual models/combinations within each basic model. Compare the represented value based on testing and the AEDM energy use or efficiency output according to paragraph (e)(2)(ii) of this section. The manufacturer is responsible for ensuring the accuracy and reliability of the AEDM and that their representations are appropriate and the models being distributed in commerce meet the applicable standards, regardless of the amount of testing required in paragraphs (e)(2)(i)(A) and (e)(2)(i)(B) of this section. (ii) Individual model/combination tolerances. This paragraph (e)(2)(ii) provides the tolerances applicable to individual models/combinations rated using an AEDM. (A) The predicted represented values for each individual model/combination calculated by applying the AEDM may not be more than four percent greater (for measures of efficiency) or less (for measures of consumption) than the values determined from the corresponding test of the individual model/combination. (B) The predicted energy efficiency or consumption for each individual model/combination calculated by applying the AEDM must meet or exceed the applicable federal energy conservation standard. (iii) Additional test unit requirements. (A) Each AEDM must be supported by test data obtained from physical tests of current individual models/combinations; and (B) Test results used to validate the AEDM must meet or exceed current, applicable Federal standards as specified in part 430 of this chapter; and (C) Each test must have been performed in accordance with the applicable DOE test procedure with which compliance is required at the time the individual models/combinations used for validation are distributed in commerce. (3) AEDM records retention requirements. If a manufacturer has used an AEDM to determine representative values pursuant to this section, the manufacturer must have available upon request for inspection by the Department records showing: (i) The AEDM, including the mathematical model, the engineering or statistical analysis, and/or computer simulation or modeling that is the basis of the AEDM; (ii) Product information, complete test data, AEDM calculations, and the statistical comparisons from the units tested that were used to validate the AEDM pursuant to paragraph (e)(2) of this section; and (iii) Product information and AEDM calculations for each individual model/combination to which the AEDM has been applied. (4) Additional AEDM requirements. If requested by the Department, the manufacturer must: (i) Conduct simulations before representatives of the Department to predict the performance of particular individual models/combinations; (ii) Provide analyses of previous simulations conducted by the manufacturer; and/or (iii) Conduct certification testing of individual models or combinations selected by the Department. (5) AEDM verification testing. DOE may use the test data for a given individual model/combination generated pursuant to §429.104 to verify the represented value determined by an AEDM as long as the following process is followed: (i) Selection of units. DOE will obtain one or more units for test from retail, if available. If units cannot be obtained from retail, DOE will request that a unit be provided by the manufacturer; (ii) Lab requirements. DOE will conduct testing at an independent, third-party testing facility of its choosing. In cases where no third-party laboratory is capable of testing the equipment, testing may be conducted at a manufacturer's facility upon DOE's request. (iii) Testing. At no time during verification testing may the lab and the manufacturer communicate without DOE authorization. If during test set-up or testing, the lab indicates to DOE that it needs additional information regarding a given individual model or combination in order to test in accordance with the applicable DOE test procedure, DOE may organize a meeting between DOE, the manufacturer and the lab to provide such information. (iv) Failure to meet certified value. If an individual model/combination tests worse than its certified value (i.e., lower than the certified efficiency value or higher than the certified consumption value) by more than 5 percent, or the test results in cooling capacity that is lower than its certified cooling capacity, DOE will notify the manufacturer. DOE will provide the manufacturer with all documentation related to the test set up, test conditions, and test results for the unit. Within the timeframe allotted by DOE, the manufacturer may present any and all claims regarding testing validity. (v) Tolerances. This paragraph specifies the tolerances DOE will permit when conducting verification testing. (A) For consumption metrics, the result from a DOE verification test must be less than or equal to 1.05 multiplied by the certified represented value. (B) For efficiency metrics, the result from a DOE verification test must be greater than or equal to 0.95 multiplied by the certified represented value. (vi) Invalid represented value. If, following discussions with the manufacturer and a retest where applicable, DOE determines that the verification testing was conducted appropriately in accordance with the DOE test procedure, DOE will issue a determination that the represented values for the basic model are invalid. The manufacturer must conduct additional testing and re-rate and re-certify the individual models/combinations within the basic model that were rated using the AEDM based on all test data collected, including DOE's test data. (vii) AEDM use. This paragraph (e)(5)(vii) specifies when a manufacturer's use of an AEDM may be restricted due to prior invalid represented values. (A) If DOE has determined that a manufacturer made invalid represented values on individual models/combinations within two or more basic models rated using the manufacturer's AEDM within a 24 month period, the manufacturer must test the least efficient and most efficient individual model/combination within each basic model in addition to the individual model/combination specified in §429.16(b)(2). The twenty-four month period begins with a DOE determination that a represented value is invalid through the process outlined above. (B) If DOE has determined that a manufacturer made invalid represented values on more than four basic models rated using the manufacturer's AEDM within a 24-month period, the manufacturer may no longer use an AEDM. (C) If a manufacturer has lost the privilege of using an AEDM, the manufacturer may regain the ability to use an AEDM by: (1) Investigating and identifying cause(s) for failures; (2) Taking corrective action to address cause(s); (3) Performing six new tests per basic model, a minimum of two of which must be performed by an independent, third-party laboratory from units obtained from retail to validate the AEDM; and (4) Obtaining DOE authorization to resume use of an AEDM. (f) Alternative efficiency determination method (AEDM) for walk-in refrigeration equipment— (1) Criteria an AEDM must satisfy. A manufacturer may not apply an AEDM to a basic model to determine its efficiency pursuant to this section unless: (i) The AEDM is derived from a mathematical model that estimates the energy efficiency or energy consumption characteristics of the basic model as measured by the applicable DOE test procedure; (ii) The AEDM is based on engineering or statistical analysis, computer simulation or modeling, or other analytical evaluation of performance data; and (iii) The manufacturer has validated the AEDM, in accordance with paragraph (f)(2) of this section. (2) Validation of an AEDM. Before using an AEDM, the manufacturer must validate the AEDM's accuracy and reliability as follows: (i) The manufacturer must select at least the minimum number of basic models for each validation class specified in paragraph (f)(2)(iv) of this section to which the particular AEDM applies. Test a single unit of each basic model in accordance with paragraph (f)(2)(iii) of this section. Using the AEDM, calculate the energy use or energy efficiency for each of the selected basic models. Compare the results from the single unit test and the AEDM output according to paragraph (f)(2)(ii) of this section. The manufacturer is responsible for ensuring the accuracy and repeatability of the AEDM. (ii) Individual model tolerances. (A) The predicted efficiency for each model calculated by applying the AEDM may not be more than five percent greater than the efficiency determined from the corresponding test of the model. (B) The predicted energy efficiency for each model calculated by applying the AEDM must meet or exceed the applicable federal energy conservation standard. (iii) Additional test unit requirements. (A) Each AEDM must be supported by test data obtained from physical tests of current models; and (B) Test results used to validate the AEDM must meet or exceed current, applicable Federal standards as specified in part 431 of this chapter; (C) Each test must have been performed in accordance with the applicable DOE test procedure with which compliance is required at the time the basic model is distributed in commerce; and (D) For rating WICF refrigeration system components, an AEDM may not simulate or model portions of the system that are not required to be tested by the DOE test procedure. That is, if the test results used to validate the AEDM are for either a unit cooler only or a condensing unit only, the AEDM must estimate the system rating using the nominal values specified in the DOE test procedure for the other part of the refrigeration system. (iv) WICF refrigeration validation classes.
(3) AEDM records retention requirements. If a manufacturer has used an AEDM to determine representative values pursuant to this section, the manufacturer must have available upon request for inspection by the Department records showing: (i) The AEDM, including the mathematical model, the engineering or statistical analysis, and/or computer simulation or modeling that is the basis of the AEDM; (ii) Equipment information, complete test data, AEDM calculations, and the statistical comparisons from the units tested that were used to validate the AEDM pursuant to paragraph (f)(2) of this section; and (iii) Equipment information and AEDM calculations for each basic model to which the AEDM has been applied. (4) Additional AEDM requirements. If requested by the Department the manufacturer must perform at least one of the following: (i) Conduct simulations before representatives of the Department to predict the performance of particular basic models of the product to which the AEDM was applied; (ii) Provide analyses of previous simulations conducted by the manufacturer; or (iii) Conduct certification testing of basic models selected by the Department. (5) AEDM verification testing. DOE may use the test data for a given individual model generated pursuant to §429.104 to verify the certified rating determined by an AEDM as long as the following process is followed: (i) Selection of units. DOE will obtain units for test from retail, where available. If units cannot be obtained from retail, DOE will request that a unit be provided by the manufacturer. (ii) Lab requirements. DOE will conduct testing at an independent, third-party testing facility of its choosing. In cases where no third-party laboratory is capable of testing the equipment, it may be tested at a manufacturer's facility upon DOE's request. (iii) Manufacturer participation. Testing will be performed without manufacturer representatives on-site. (iv) Testing. All verification testing will be conducted in accordance with the applicable DOE test procedure, as well as each of the following to the extent that they apply: (A) Any active test procedure waivers that have been granted for the basic model; (B) Any test procedure guidance that has been issued by DOE; (C) If during test set-up or testing, the lab indicates to DOE that it needs additional information regarding a given basic model in order to test in accordance with the applicable DOE test procedure, DOE may organize a meeting between DOE, the manufacturer and the lab to provide such information. (D) At no time during the process may the lab communicate directly with the manufacturer without DOE present. (v) Failure to meet certified rating. If a model tests worse than its certified rating by an amount exceeding the tolerance prescribed in paragraph (f)(5)(vi) of this section, DOE will notify the manufacturer. DOE will provide the manufacturer with all documentation related to the test set up, test conditions, and test results for the unit. Within the timeframe allotted by DOE, the manufacturer may then present all claims regarding testing validity. (vi) Tolerances. for efficiency metrics, the result from a DOE verification test must be greater than or equal to the certified rating × (1 − the applicable tolerance).
(vii) Invalid rating. If, following discussions with the manufacturer and a retest where applicable, DOE determines that the testing was conducted appropriately in accordance with the DOE test procedure, the rating for the model will be considered invalid. Pursuant to 10 CFR 429.13(b), DOE may require a manufacturer to conduct additional testing as a remedial measure. (g) Alternative determination of ratings for untested basic models of residential water heaters and residential-duty commercial water heaters. For models of water heaters that differ only in fuel type or power input, ratings for untested basic models may be established in accordance with the following procedures in lieu of testing. This method allows only for the use of ratings identical to those of a tested basic model as provided below; simulations or other modeling predictions for ratings of the uniform energy factor, volume, first-hour rating, or maximum gallons per minute (GPM) are not permitted. (1) Gas Water Heaters. For untested basic models of gas-fired water heaters that differ from tested basic models only in whether the basic models use natural gas or propane gas, the represented value of uniform energy factor, first-hour rating, and maximum gallons per minute for an untested basic model is the same as that for a tested basic model, as long as the input ratings of the tested and untested basic models are within ±10%, that is: (2) Electric Storage Water Heaters. Rate an untested basic model of an electric storage type water heater using the first-hour rating and the uniform energy factor obtained from a tested basic model as a basis for ratings of basic models with other input ratings, provided that certain conditions are met: (i) For an untested basic model, the represented value of the first-hour rating and the uniform energy factor is the same as that of a tested basic model, provided that each heating element of the untested basic model is rated at or above the input rating for the corresponding heating element of the tested basic model. (ii) For an untested basic model having any heating element with an input rating that is lower than that of the corresponding heating element in the tested basic model, the represented value of the first-hour rating and the uniform energy factor is the same as that of a tested basic model, provided that the first-hour rating for the untested basic model results in the same draw pattern specified in Table I of appendix E for the simulated-use test as was applied to the tested basic model. To establish whether this condition is met, determine the first-hour ratings for the tested and the untested basic models in accordance with the procedure described in section 5.3.3 of 10 CFR part 430, subpart B, appendix E, then compare the appropriate draw pattern specified in Table I of appendix E for the first-hour rating of the tested basic model with that for the untested basic model. If this condition is not met, then the untested basic model must be tested and the appropriate sampling provisions applied to determine its uniform energy factor in accordance with appendix E and this part. (h) Alternative efficiency determination method (AEDM) for compressors—(1) Criteria an AEDM must satisfy. A manufacturer may not apply an AEDM to a basic model to determine its efficiency pursuant to this section, unless: (i) The AEDM is derived from a mathematical model that estimates the energy efficiency or energy consumption characteristics of the basic model as measured by the applicable DOE test procedure; (ii) The AEDM is based on engineering or statistical analysis, computer simulation or modeling, or other analytic evaluation of performance data; and (iii) The manufacturer has validated the AEDM, in accordance with paragraph (h)(2) of this section. (i) AEDM overview. The manufacturer must select at least the minimum number of basic models for each validation class specified in paragraph (h)(2)(iv) of this section to which the particular AEDM applies. Using the AEDM, calculate the energy use or energy efficiency for each of the selected basic models. Test each basic model and determine the represented value(s) in accordance with §429.63(a). Compare the results from the testing and the AEDM output according to paragraph (h)(2)(ii) of this section. The manufacturer is responsible for ensuring the accuracy and repeatability of the AEDM. (ii) AEDM basic model tolerances. (A) The predicted representative values for each basic model calculated by applying the AEDM may not be more than five percent greater (for measures of efficiency) or less (for measures of consumption) than the represented values determined from the corresponding test of the model. (B) The predicted package isentropic efficiency for each basic model calculated by applying the AEDM must meet or exceed the applicable federal energy conservation standard. (iii) Additional test unit requirements. (A) Each AEDM must be supported by test data obtained from physical tests of current models; and (B) Test results used to validate the AEDM must meet or exceed current, applicable Federal standards as specified in part 431 of this chapter; and (C) Each test must have been performed in accordance with the applicable DOE test procedure with which compliance is required at the time the basic models used for validation are distributed in commerce. (iv) Compressor validation classes.
(3) AEDM Records Retention Requirements. If a manufacturer has used an AEDM to determine representative values pursuant to this section, the manufacturer must have available upon request for inspection by the Department records showing: (ii) Equipment information, complete test data, AEDM calculations, and the statistical comparisons from the units tested that were used to validate the AEDM pursuant to paragraph (h)(2) of this section; and (iii) Equipment information and AEDM calculations for each basic model to which the AEDM was applied. (4) Additional AEDM requirements. If requested by the Department, the manufacturer must: (i) Conduct simulations before representatives of the Department to predict the performance of particular basic models of the equipment to which the AEDM was applied; (ii) Provide analyses of previous simulations conducted by the manufacturer; and/or (iii) Conduct certification testing of basic models selected by the Department. [76 FR 12451, Mar. 7, 2011; 76 FR 24780, May 2, 2011, as amended at 78 FR 79595, Dec. 31, 2013; 79 FR 25505, May 5, 2014; 79 FR 27410, May 13, 2014; 80 FR 152, Jan. 5, 2015; 79 FR 40565, July 11, 2014; 81 FR 4145, Jan. 25, 2016; 81 FR 37054, June 8, 2016; 81 FR 89304, Dec. 9, 2016; 82 FR 1100, Jan. 4, 2017; 82 FR 1475, Jan. 5, 2017] ## §429.71 Maintenance of records.(a) The manufacturer of any covered product or covered equipment shall establish, maintain, and retain the records of certification reports, of the underlying test data for all certification testing, and of any other testing conducted to satisfy the requirements of this part, part 430, and part 431. Any manufacturer who chooses to use an alternative method for determining energy efficiency or energy use in accordance with §429.70 must retain the records required by that section, any other records of any testing performed to support the use of the alternative method, and any certifications required by that section, on file for review by DOE for two years following the discontinuance of all models or combinations whose ratings were based on the alternative method. (b) Such records shall be organized and indexed in a fashion that makes them readily accessible for review by DOE upon request. (c) The records shall be retained by the manufacturer for a period of two years from the date that the manufacturer or third party submitter has notified DOE that the model has been discontinued in commerce. (d) When considering if a pump is subject to energy conservation standards under part 431 of this chapter, DOE may need to determine if a pump was designed and constructed to the requirements set forth in Military Specifications: MIL-P-17639F, MIL-P-17881D, MIL-P-17840C, MIL-P-18682D, or MIL-P-18472G. In this case, a manufacturer must provide DOE with copies of the original design and test data that were submitted to appropriate design review agencies, as required by MIL-P-17639F, MIL-P-17881D, MIL-P-17840C, MIL-P-18682D, or MIL-P-18472G. Military specifications and standards are available for review at http://everyspec.com/MIL-SPECS. [76 FR 12451, Mar. 7, 2011, as amended at 81 FR 4145, Jan. 25, 2016] ## §429.72 Alternative methods for determining non-energy ratings.(a) General. Where §429.14 through §429.562 authorize the use of an alternative method for determining a physical or operating characteristic other than the energy consumption or efficiency, such characteristics must be determined either by testing in accordance with the applicable test procedure and applying the specified sampling plan provisions established in those sections or as described in the appropriate product-specific paragraph below. In all cases, the computer-aided design (CAD) models, measurements, and calculations used to determine the rating for the physical or operating characteristic shall be retained as part of the test records underlying the certification of the basic model in accordance with §429.71. (b) Testing. [Reserved] (c) Residential refrigerators, refrigerator-freezers, and freezers. The total refrigerated volume of a basic model of refrigerator, refrigerator-freezer, or freezer may be determined by performing a calculation of the volume based upon computer-aided design (CAD) models of the basic model in lieu of physical measurements of a production unit of the basic model. Any value of total refrigerated volume of a basic model reported to DOE in a certification of compliance in accordance with §429.14(b)(2) must be calculated using the CAD-derived volume(s) and the applicable provisions in the test procedures in 10 CFR part 430 for measuring volume, and must be within two percent, or 0.5 cubic feet (0.2 cubic feet for compact products), whichever is greater, of the volume of a production unit of the basic model measured in accordance with the applicable test procedure in 10 CFR part 430. (d) Miscellaneous refrigeration products. The total refrigerated volume of a miscellaneous refrigeration product basic model may be determined by performing a calculation of the volume based upon computer-aided design (CAD) models of the basic model in lieu of physical measurements of a production unit of the basic model. Any value of total adjusted volume and value of total refrigerated volume of a basic model reported to DOE in a certification of compliance in accordance with §429.61(b)(2) must be calculated using the CAD-derived volume(s) and the applicable provisions in the test procedures in part 430 of this chapter for measuring volume. The calculated value must be within two percent, or 0.5 cubic feet (0.2 cubic feet for products with total refrigerated volume less than 7.75 cubic feet (220 liters)), whichever is greater, of the volume of a production unit of the basic model measured in accordance with the applicable test procedure in part 430 of this chapter. (e) Commercial gas-fired and oil-fired instantaneous water heaters and hot water supply boilers. The storage volume of a commercial gas-fired or oil-fired instantaneous water heater or a commercial gas-fired or oil-fired hot water supply boiler basic model may be determined by performing a calculation of the stored water volume based upon design drawings (including computer-aided design (CAD) models) or physical dimensions of the basic model. Any value of storage volume of a basic model reported to DOE in a certification of compliance in accordance with §429.44(c)(2)(iv) and (v) must be calculated using the design drawings or physical dimensions, or measured as per the applicable provisions in the test procedures in 10 CFR 431.106. The storage volume determination must include all water contained within the water heater from the inlet connection to the outlet connection(s). The storage volume of water contained in the water heater must then be computed in gallons. [79 FR 22348, Apr. 21, 2014, as amended at 81 FR 4145, Jan. 25, 2016; 81 FR 46790, July 18, 2016; 81 FR 79320, Nov. 10, 2016] ## Appendix A to Subpart B of Part 429—Student's t-Distribution Values for Certification TestingFigure 1—t-Distribution Values for Certification Testing [One-Sided]
[76 FR 12451, Mar. 7, 2011; 76 FR 24780, May 2, 2011] ## Subpart C—Enforcement## §429.100 Purpose and scope.This subpart describes the enforcement authority of DOE to ensure compliance with the conservation standards and regulations. ## §429.102 Prohibited acts subjecting persons to enforcement action.(a) Each of the following actions is prohibited: (1) Failure of a manufacturer to provide, maintain, permit access to, or copying of records required to be supplied under the Act and this part or failure to make reports or provide other information required to be supplied under the Act and this part, including but not limited to failure to properly certify covered products and covered equipment in accordance with §429.12 and §§429.14 through 429.62; (2) Failure to test any covered product or covered equipment subject to an applicable energy conservation standard in conformance with the applicable test requirements prescribed in 10 CFR parts 430 or 431; (3) Deliberate use of controls or features in a covered product or covered equipment to circumvent the requirements of a test procedure and produce test results that are unrepresentative of a product's energy or water consumption if measured pursuant to DOE's required test procedure; (4) Failure of a manufacturer to supply at the manufacturer's expense a requested number of covered products or covered equipment to a designated test laboratory in accordance with a test notice issued by DOE; (5) Failure of a manufacturer to permit a DOE representative to observe any testing required by the Act and this part and inspect the results of such testing; (6) Distribution in commerce by a manufacturer or private labeler of any new covered product or covered equipment that is not in compliance with an applicable energy conservation standard prescribed under the Act; (7) Distribution in commerce by a manufacturer or private labeler of a basic model of covered product or covered equipment after a notice of noncompliance determination has been issued to the manufacturer or private labeler; (8) Knowing misrepresentation by a manufacturer or private labeler by certifying an energy use or efficiency rating of any covered product or covered equipment distributed in commerce in a manner that is not supported by test data; (9) For any manufacturer, distributor, retailer, or private labeler to distribute in commerce an adapter that— (i) Is designed to allow an incandescent lamp that does not have a medium screw base to be installed into a fixture or lamp holder with a medium screw base socket; and (ii) Is capable of being operated at a voltage range at least partially within 110 and 130 volts; or (10) For any manufacturer or private labeler to knowingly sell a product to a distributor, contractor, or dealer with knowledge that the entity routinely violates any regional standard applicable to the product. (b) When DOE has reason to believe that a manufacturer or private labeler has undertaken a prohibited act listed in paragraph (a) of this section, DOE may: (1) Issue a notice of noncompliance determination; (2) Impose additional certification testing requirements; (3) Seek injunctive relief; (4) Assess a civil penalty for knowing violations; or (5) Undertake any combination of the above. (c) Violations of regional standards. (1) It is a violation for a distributor to knowingly sell a product to a contractor or dealer with knowledge that the entity will sell and/or install the product in violation of any regional standard applicable to the product. (2) It is a violation for a distributor to knowingly sell a product to a contractor or dealer with knowledge that the entity routinely violates any regional standard applicable to the product. (3) It is a violation for a contractor or dealer to knowingly sell to and/or install for an end user a central air conditioner subject to regional standards with the knowledge that such product will be installed in violation of any regional standard applicable to the product. (4) A “product installed in violation” includes: (i) A complete central air conditioning system that is not certified as a complete system that meets the applicable standard. Combinations that were previously validly certified may be installed after the manufacturer has discontinued the combination, provided the combination meets the currently applicable standard. (ii) An outdoor unit with no match (i.e., that is not offered for sale with an indoor unit) that is not certified as part of a combination that meets the applicable standard. (iii) An outdoor unit that is part of a certified combination rated less than the standard applicable in the region in which it is installed. [76 FR 12451, Mar. 7, 2011, as amended at 81 FR 4145, Jan. 25, 2016; 81 FR 45402, July 14, 2016] ## §429.104 Assessment testing.DOE may, at any time, test a basic model to assess whether the basic model is in compliance with the applicable energy conservation standard(s). ## §429.106 Investigation of compliance.(a) DOE may initiate an investigation that a basic model may not be compliant with an applicable conservation standard, certification requirement or other regulation at any time. (b) DOE may, at any time, request any information relevant to determining compliance with any requirement under parts 429, 430 and 431, including the data underlying certification of a basic model. Such data may be used by DOE to make a determination of compliance or noncompliance with an applicable standard. ## §429.110 Enforcement testing.(a) General provisions. (1) If DOE has reason to believe that a basic model is not in compliance it may test for enforcement. (2) DOE will select and test units pursuant to paragraphs (c) and (e) of this section. (3) Testing will be conducted at a laboratory accredited to the International Organization for Standardization (ISO)/International Electrotechnical Commission (IEC), “General requirements for the competence of testing and calibration laboratories,” ISO/IEC 17025:2005(E) (incorporated by reference; see §429.4). If testing cannot be completed at an independent laboratory, DOE, at its discretion, may allow enforcement testing at a manufacturer's laboratory, so long as the lab is accredited to ISO/IEC 17025:2005(E) and DOE representatives witness the testing. In addition, for commercial packaged boilers with rated input greater than 5,000,000 Btu/h, DOE, at its discretion, may allow enforcement testing of a commissioned commercial packaged boiler in the location in which it was commissioned for use, pursuant to the test provisions at §431.86(c) of this chapter, for which accreditation to ISO/IEC 17025:2005(E) would not be required. (b) Test notice. (1) To obtain units for enforcement testing to determine compliance with an applicable standard, DOE will issue a test notice addressed to the manufacturer in accordance with the following requirements: (i) DOE will send the test notice to the manufacturer's certifying official or other company official. (ii) The test notice will specify the basic model that will be selected for testing, the method of selecting the test sample, the maximum size of the sample and the size of the initial test sample, the dates at which testing is scheduled to be started and completed, and the facility at which testing will be conducted. The test notice may also provide for situations in which the selected basic model is unavailable for testing and may include alternative models or basic models. (iii) DOE will state in the test notice that it will select the units of a basic model to be tested from the manufacturer, from one or more distributors, and/or from one or more retailers. If any unit is selected from a distributor or retailer, the manufacturer shall make arrangements with the distributor or retailer for compensation for or replacement of any such units. (iv) DOE may require in the test notice that the manufacturer of a basic model ship or cause to be shipped from a retailer or distributor at its expense the requested number of units of a basic model specified in such test notice to the testing laboratory specified in the test notice. The manufacturer shall ship the specified initial test unit(s) of the basic model to the testing laboratory within 5 working days from the time units are selected. (v) If DOE determines that the units identified are low-volume or built-to-order products, DOE will contact the manufacturer to develop a plan for enforcement testing in lieu of paragraphs (ii)-(iv) of this section. (2) [Reserved] (c) Test unit selection. (1) To select units for testing from a: (i) Manufacturer's warehouse, distributor, or other facility affiliated with the manufacturer. DOE will select a batch sample at random in accordance with the provisions in paragraph (e) of this section and the conditions specified in the test notice. DOE will randomly select an initial test sample of units from the batch sample for testing in accordance with appendices A through C of this subpart. DOE will make a determination whether an alternative sample size will be used in accordance with the provisions in paragraph (e)(1)(iv) of this section. (ii) Retailer or other facility not affiliated with the manufacturer. DOE will select an initial test sample of units at random that satisfies the minimum units necessary for testing in accordance with the provisions in appendices A through C of this subpart and the conditions specified in the test notice. Depending on the results of the testing, DOE may select additional units for testing from a retailer in accordance with appendices A through C of this subpart. If the full sample is not available from a retailer, DOE will make a determination whether an alternative sample size will be used in accordance with the provisions in paragraph (e)(1)(iv) of this section. (iii) Previously commissioned commercial packaged boilers with a rated input greater than 5,000,000 Btu/h. DOE may test a sample of at least one unit in the location in which it was commissioned for use. (2) Units tested in accordance with the applicable test procedure under this part by DOE or another Federal agency, pursuant to other provisions or programs, may count toward units in the test sample. (3) The resulting test data shall constitute official test data for the basic model. Such test data will be used by DOE to make a determination of compliance or noncompliance if a sufficient number of tests have been conducted to satisfy the requirements of paragraph (e) of this section and appendices A through C of this subpart. (d) Test unit preparation. (1) Prior to and during testing, a test unit selected for enforcement testing shall not be prepared, modified, or adjusted in any manner unless such preparation, modification, or adjustment is allowed by the applicable DOE test procedure. One test shall be conducted for each test unit in accordance with the applicable test procedures prescribed in parts 430 and 431. (2) No quality control, testing or assembly procedures shall be performed on a test unit, or any parts and subassemblies thereof, that is not performed during the production and assembly of all other units included in the basic model. (3) A test unit shall be considered defective if such unit is inoperative or is found to be in noncompliance due to failure of the unit to operate according to the manufacturer's design and operating instructions. Defective units, including those damaged due to shipping or handling, shall be reported immediately to DOE. DOE may authorize testing of an additional unit on a case-by-case basis. (e) Basic model compliance. DOE will evaluate whether a basic model complies with the applicable energy conservation standard(s) based on testing conducted in accordance with the applicable test procedures specified in parts 430 and 431 of this chapter, and with the following statistical sampling procedures: (1) For products with applicable energy conservation standard(s) in §430.32 of this chapter, and commercial prerinse spray valves, illuminated exit signs, traffic signal modules and pedestrian modules, commercial clothes washers, dedicated-purpose pool pumps, and metal halide lamp ballasts, DOE will use a sample size of not more than 21 units and follow the sampling plans in appendix A of this subpart (Sampling for Enforcement Testing of Covered Consumer Products and Certain High-Volume Commercial Equipment). (2) For automatic commercial ice makers; commercial refrigerators, freezers, and refrigerator-freezers; refrigerated bottled or canned vending machines; commercial air conditioners and heat pumps; commercial packaged boilers; commercial warm air furnaces; commercial water heating equipment; and walk-in cooler and walk-in freezer refrigeration systems, DOE will use an initial sample size of not more than four units and follow the sampling plans in appendix B of this subpart (Sampling Plan for Enforcement Testing of Covered Equipment and Certain Low-Volume Covered Products). (3) If fewer than four units of a basic model are available for testing (under paragraphs (e)(1) or (2) of this section) when the manufacturer receives the notice, then: (i) DOE will test the available unit(s); or (ii) If one or more other units of the basic model are expected to become available within 30 calendar days, DOE may instead, at its discretion, test either: (A) The available unit(s) and one or more of the other units that subsequently become available (up to a maximum of four); or (B) Up to four of the other units that subsequently become available. (4) For distribution transformers, DOE will use an initial sample size of not more than five units and follow the sampling plans in appendix C of this subpart (Sampling Plan for Enforcement Testing of Distribution Transformers). If fewer than five units of a basic model are available for testing when the manufacturer receives the test notice, then: (i) DOE will test the available unit(s); or (ii) If one or more other units of the basic model are expected to become available within 30 calendar days, DOE may instead, at its discretion, test either: (A) The available unit(s) and one or more of the other units that subsequently become available (up to a maximum of five); or (B) Up to five of the other units that subsequently become available. (5) For pumps subject to the standards specified in §431.465(a) of this chapter, DOE will use an initial sample size of not more than four units and will determine compliance based on the arithmetic mean of the sample. (6) For uninterruptible power supplies, if a basic model is certified for compliance to the applicable energy conservation standard(s) in §430.32 of this chapter according to the sampling plan in §429.39(a)(2)(iv)(A) of this chapter, DOE will use a sample size of not more than 21 units and follow the sampling plan in appendix A of this subpart (Sampling for Enforcement Testing of Covered Consumer Products and Certain High-Volume Commercial Equipment). If a basic model is certified for compliance to the applicable energy conservation standard(s) in §430.32 of this chapter according to the sampling plan in §429.39(a)(2)(iv)(B) of this chapter, DOE will use a sample size of at least one unit and follow the sampling plan in appendix D of this subpart (Sampling for Enforcement Testing of Uninterruptible Power Supplies). (7) Notwithstanding paragraphs (e)(1) through (6) of this section, if testing of the available or subsequently available units of a basic model would be impractical, as for example when a basic model has unusual testing requirements or has limited production, DOE may in its discretion decide to base the determination of compliance on the testing of fewer than the otherwise required number of units. (8) When DOE makes a determination in accordance with paragraph (e)(7) of this section to test less than the number of units specified in paragraphs (e)(1) through (6) of this section, DOE will base the compliance determination on the results of such testing in accordance with appendix B of this subpart (Sampling Plan for Enforcement Testing of Covered Equipment and Certain Low-Volume Covered Products) using a sample size (n1) equal to the number of units tested. (9) For the purposes of this section, available units are those that are available for distribution in commerce within the United States. [76 FR 12451, Mar. 7, 2011, as amended at 81 FR 4145, Jan. 25, 2016; 81 FR 31841, May 20, 2016; 81 FR 89304, Dec. 9, 2016; 81 FR 89822, Dec. 12, 2016; 81 FR 95800, Dec. 28, 2016; 82 FR 36918, Aug. 7, 2017] ## §429.114 Notice of noncompliance and notice to cease distribution of a basic model.(a) In the event that DOE determines a basic model is noncompliant with an applicable energy conservation standard, or if a manufacturer or private labeler determines a basic model to be in noncompliance, DOE may issue a notice of noncompliance determination to the manufacturer or private labeler. This notice of noncompliance determination will notify the manufacturer or private labeler of its obligation to: (1) Immediately cease distribution in commerce of the basic model; (2) Give immediate written notification of the determination of noncompliance to all persons to whom the manufacturer has distributed units of the basic model manufactured since the date of the last determination of compliance; and (3) Provide DOE, within 30 calendar days of the request, records, reports and other documentation pertaining to the acquisition, ordering, storage, shipment, or sale of a basic model determined to be in noncompliance. (b) In the event that DOE determines a manufacturer has failed to comply with an applicable certification requirement with respect to a particular basic model, DOE may issue a notice of noncompliance determination to the manufacturer or private labeler. This notice of noncompliance determination will notify the manufacturer or private labeler of its obligation to: (1) Immediately cease distribution in commerce of the basic model; (2) Immediately comply with the applicable certification requirement; and/or (3) Provide DOE within 30 days of the request, records, reports and other documentation pertaining to the acquisition, ordering, storage, shipment, or sale of the basic model. (c) If a manufacturer or private labeler fails to comply with the required actions in the notice of noncompliance determination as set forth in paragraphs (a) or (b) of this section, the General Counsel (or delegee) may seek, among other remedies, injunctive action and civil penalties, where appropriate. (d) The manufacturer may modify a basic model determined to be noncompliant with an applicable energy conservation standard in such manner as to make it comply with the applicable standard. Such modified basic model shall then be treated as a new basic model and must be certified in accordance with the provisions of this part; except that in addition to satisfying all requirements of this part, any models within the basic model must be assigned new model numbers and the manufacturer shall also maintain, and provide upon request to DOE, records that demonstrate that modifications have been made to all units of the new basic model prior to distribution in commerce. ## §429.116 Additional certification testing requirements.Pursuant to §429.102(b)(2), if DOE determines that independent, third-party testing is necessary to ensure a manufacturer's compliance with the rules of this part, part 430, or part 431, a manufacturer must base its certification of a basic model under subpart B of this part on independent, third-party laboratory testing. ## §429.118 Injunctions.If DOE has reason to seek an injunction under the Act: (a) DOE will notify the manufacturer, private labeler or any other person as required, of the prohibited act at issue and DOE's intent to seek a judicial order enjoining the prohibited act unless the manufacturer, private labeler or other person, delivers to DOE within 15 calendar days a corrective action and compliance plan, satisfactory to DOE, of the steps it will take to ensure that the prohibited act ceases. DOE will monitor the implementation of such plan. (b) If the manufacturer, private labeler or any other person as required, fails to cease engaging in the prohibited act or fails to provide a satisfactory corrective action and compliance plan, DOE may seek an injunction. ## §429.120 Maximum civil penalty.Any person who knowingly violates any provision of §429.102(a) may be subject to assessment of a civil penalty of no more than $460 for each violation. As to §429.102(a)(1) with respect to failure to certify, and as to §429.102(a)(2), (5) through (9), each unit of a covered product or covered equipment distributed in violation of such paragraph shall constitute a separate violation. For violations of §429.102(a)(1), (3), and (4), each day of noncompliance shall constitute a separate violation for each basic model at issue. [76 FR 12451, Mar. 7, 2011, as amended at 81 FR 41794, June 28, 2016; 81 FR 96351, Dec. 30, 2016; 83 FR 1291, Jan. 11, 2018; 83 FR 66083, Dec. 26, 2018] ## §429.122 Notice of proposed civil penalty.(a) The General Counsel (or delegee) shall provide notice of any proposed civil penalty. (b) The notice of proposed penalty shall: (1) Include the amount of the proposed penalty; (2) Include a statement of the material facts constituting the alleged violation; and (3) Inform the person of the opportunity to elect in writing within 30 calendar days of receipt of the notice to have the procedures of §429.128 (in lieu of those of §429.126) apply with respect to the penalty. ## §429.124 Election of procedures.(a) In responding to a notice of proposed civil penalty, the respondent may request: (1) An administrative hearing before an Administrative Law Judge (ALJ) under §429.126 of this part; or (2) Elect to have the procedures of §429.128 apply. (b) Any election to have the procedures of §429.128 apply may not be revoked except with the consent of the General Counsel (or delegee). (c) If the respondent fails to respond to a notice issued under §429.120 or otherwise fails to indicate its election of procedures, DOE shall refer the civil penalty action to an ALJ for a hearing under §429.126. ## §429.126 Administrative law judge hearing and appeal.(a) When elected pursuant to §429.124, DOE shall refer a civil penalty action brought under §429.122 of this part to an ALJ, who shall afford the respondent an opportunity for an agency hearing on the record. (b) After consideration of all matters of record in the proceeding, the ALJ will issue a recommended decision, if appropriate, recommending a civil penalty. The decision will include a statement of the findings and conclusions, and the reasons therefore, on all material issues of fact, law, and discretion. (c)(1) The General Counsel (or delegee) shall adopt, modify, or set aside the conclusions of law or discretion contained in the ALJ's recommended decision and shall set forth a final order assessing a civil penalty. The General Counsel (or delegee) shall include in the final order the ALJ's findings of fact and the reasons for the final agency actions. (2) Any person against whom a penalty is assessed under this section may, within 60 calendar days after the date of the final order assessing such penalty, institute an action in the United States Court of Appeals for the appropriate judicial circuit for judicial review of such order in accordance with chapter 7 of title 5, United States Code. The court shall have jurisdiction to enter a judgment affirming, modifying, or setting aside in whole or in part, the final order, or the court may remand the proceeding to the Department for such further action as the court may direct. ## §429.128 Immediate issuance of order assessing civil penalty.(a) If the respondent elects to forgo an agency hearing pursuant to §429.124, the General Counsel (or delegee) shall issue an order assessing the civil penalty proposed in the notice of proposed penalty under §429.122, 30 calendar days after the respondent's receipt of the notice of proposed penalty. (b) If within 60 calendar days of receiving the assessment order in paragraph (a) of this section the respondent does not pay the civil penalty amount, DOE shall institute an action in the appropriate United States District Court for an order affirming the assessment of the civil penalty. The court shall have authority to review de novo the law and the facts involved and shall have jurisdiction to enter a judgment enforcing, modifying, and enforcing as so modified, or setting aside in whole or in part, such assessment. ## §429.130 Collection of civil penalties.If any person fails to pay an assessment of a civil penalty after it has become a final and unappealable order under §429.126 or after the appropriate District Court has entered final judgment in favor of the Department under §429.128, the General Counsel (or delegee) shall institute an action to recover the amount of such penalty in any appropriate District Court of the United States. In such action, the validity and appropriateness of such final assessment order or judgment shall not be subject to review. ## §429.132 Compromise and settlement.(a) DOE may compromise, modify, or remit, with or without conditions, any civil penalty (with leave of court if necessary). (b) In exercising its authority under paragraph (a) of this section, DOE may consider the nature and seriousness of the violation, the efforts of the respondent to remedy the violation in a timely manner, and other factors as justice may require. (c) DOE's authority to compromise, modify or remit a civil penalty may be exercised at any time prior to a final decision by the United States Court of Appeals if §429.126 procedures are utilized, or prior to a final decision by the United States District Court, if §429.128 procedures are utilized. (d) Notwithstanding paragraph (a) of this section, DOE or the respondent may propose to settle the case. If a settlement is agreed to by the parties, the respondent is notified and the case is closed in accordance with the terms of the settlement. ## §429.134 Product-specific enforcement provisions.(a) General. The following provisions apply to assessment and enforcement testing of the relevant products and equipment. (b) Refrigerators, refrigerator-freezers, and freezers— (1) Verification of total refrigerated volume. The total refrigerated volume of the basic model will be measured pursuant to the test requirements of 10 CFR part 430 for each unit tested. The results of the measurement(s) will be averaged and compared to the value of total refrigerated volume certified by the manufacturer. The certified total refrigerated volume will be considered valid only if: (i) The measurement is within two percent, or 0.5 cubic feet (0.2 cubic feet for compact products), whichever is greater, of the certified total refrigerated volume, or (ii) The measurement is greater than the certified total refrigerated volume. (A) If the certified total refrigerated volume is found to be valid, the certified adjusted total volume will be used as the basis for calculation of maximum allowed energy use for the basic model. (B) If the certified total refrigerated volume is found to be invalid, the average measured adjusted total volume, rounded to the nearest 0.1 cubic foot, will serve as the basis for calculation of maximum allowed energy use for the tested basic model. (2) Test for models with two compartments, each having its own user-operable temperature control. The test described in section 3.3 of the applicable test procedure for refrigerators or refrigerator-freezers in appendix A to subpart B of 10 CFR part 430 shall be used for all units of a tested basic model before DOE makes a determination of noncompliance with respect to the basic model. (c) Clothes washers. (1) Determination of Remaining Moisture Content. The procedure for determining remaining moisture content (RMC) will be performed once in its entirety, pursuant to the test requirements of section 3.8 of appendix J1 and appendix J2 to subpart B of part 430, for each unit tested. (i) The measured RMC value of a tested unit will be considered the tested unit's final RMC value if the measured RMC value is within two RMC percentage points of the certified RMC value of the basic model (expressed as a percentage), or is lower than the certified RMC value. (ii) If the measured RMC value of a tested unit is more than two RMC percentage points higher than the certified RMC value of the basic model, DOE will perform two additional replications of the RMC measurement procedure, each pursuant to the provisions of section 3.8.5 of appendix J1 and appendix J2 to subpart B of part 430, for a total of three independent RMC measurements of the tested unit. The average of the three RMC measurements will be the tested unit's final RMC value and will be used as the basis for the calculation of per-cycle energy consumption for removal of moisture from the test load for that unit. (2) [Reserved] (d) Residential Water Heaters and Residential-Duty Commercial Water Heaters—(1) Verification of first-hour rating and maximum GPM rating. The first-hour rating or maximum gallons per minute (GPM) rating of the basic model will be measured pursuant to the test requirements of 10 CFR part 430 for each unit tested. The mean of the measured values will be compared to the rated values of first-hour rating or maximum GPM rating as certified by the manufacturer. The certified rating will be considered valid only if the measurement is within five percent of the certified rating. (i) If the rated value of first-hour rating or maximum GPM rating is found to be within 5 percent of the mean of the measured values, then the rated value will be used as the basis for determining the applicable draw pattern pursuant to the test requirements of 10 CFR part 430 for each unit tested. (ii) If the rated value of first-hour rating or maximum GPM rating is found to vary more than 5 percent from the measured values, then the mean of the measured values will serve as the basis for determining the applicable draw pattern pursuant to the test requirements of 10 CFR part 430 for each unit tested. (2) Verification of rated storage volume. The storage volume of the basic model will be measured pursuant to the test requirements of appendix E to subpart B of 10 CFR part 430 for each unit tested. The mean of the measured values will be compared to the rated storage volume as certified by the manufacturer. The rated value will be considered valid only if the measurement is within 3 percent of the certified rating. (i) If the rated storage volume is found to be within 3 percent of the mean of the measured value of storage volume, then the rated value will be used as the basis for calculation of the required uniform energy factor for the basic model. (ii) If the rated storage volume is found to vary more than 3 percent from the mean of the measured values, then the mean of the measured values will be used as the basis for calculation of the required uniform energy factor for the basic model. (e) Packaged terminal air conditioners and packaged terminal heat pumps—(1) Verification of cooling capacity. The total cooling capacity of the basic model will be measured pursuant to the test requirements of 10 CFR part 431 for each unit tested. The results of the measurement(s) will be averaged and compared to the value of cooling capacity certified by the manufacturer. The certified cooling capacity will be considered valid only if the average measured cooling capacity is within five percent of the certified cooling capacity. (i) If the certified cooling capacity is found to be valid, that cooling capacity will be used as the basis for calculation of minimum allowed EER (and minimum allowed COP for PTHP models) for the basic model. (ii) If the certified cooling capacity is found to be invalid, the average measured cooling capacity will serve as the basis for calculation of minimum allowed EER (and minimum allowed COP for PTHP models) for the tested basic model. (2) [Reserved] (f) Dehumidifiers—(1) Verification of capacity. The capacity will be measured pursuant to the test requirements of part 430 for each unit tested. The results of the measurement(s) will be averaged and compared to the value of capacity certified by the manufacturer for the basic model. The certified capacity will be considered valid only if the measurement is within five percent, or 1.00 pint per day, whichever is greater, of the certified capacity. (i) If the certified capacity is found to be valid, the certified capacity will be used as the basis for determining the minimum energy factor or integrated energy factor allowed for the basic model. (ii) If the certified capacity is found to be invalid, the average measured capacity of the units in the sample will be used as the basis for determining the minimum energy factor or integrated energy factor allowed for the basic model. (2) Verification of whole-home dehumidifier case volume. The case volume will be measured pursuant to the test requirements of part 430 for each unit tested. The results of the measurement(s) will be averaged and compared to the value of case volume certified by the manufacturer for the basic model. The certified case volume will be considered valid only if the measurement is within two percent, or 0.2 cubic feet, whichever is greater, of the certified case volume. (i) If the certified case volume is found to be valid, the certified case volume will be used as the basis for determining the minimum integrated energy factor allowed for the basic model. (ii) If the certified case volume is found to be invalid, the average measured case volume of the units in the sample will be used as the basis for determining the minimum integrated energy factor allowed for the basic model. (g) Air-cooled small (≥65,000 Btu/h and <135,000 Btu/h), large (≥135,000 Btu/h and <240,000 Btu/h), and very large (≥240,000 Btu/h and <760,000 Btu/h) commercial package air conditioning and heating equipment—verification of cooling capacity. The cooling capacity of each tested unit of the basic model will be measured pursuant to the test requirements of part 431 of this chapter. The mean of the measurement(s) will be used to determine the applicable standards for purposes of compliance. (h) Residential boilers—test protocols for functional verification of automatic means for adjusting water temperature. These tests are intended to verify the functionality of the design requirement that a boiler has an automatic means for adjusting water temperature for single-stage, two-stage, and modulating boilers. These test methods are intended to permit the functional testing of a range of control strategies used to fulfill this design requirement. Section 2, Definitions, and paragraph 6.1.a of appendix N to subpart B of part 430 of this chapter apply for the purposes of this paragraph (h). (1) Test protocol for all products other than single-stage products employing burner delay. This test is intended to verify whether an automatic means for adjusting water temperature other than burner delay produces an incremental change in water supply temperature in response to an incremental change in inferred heat load. (i) Boiler setup—(A) Boiler installation. Boiler installation in the test room shall be in accordance with the setup and apparatus requirements of section 6 of appendix N to subpart B of 10 CFR part 430. (B) Establishing flow rate and temperature rise. Start the boiler without enabling the means for adjusting water temperature. Establish a water flow rate that allows for a water temperature rise of greater than or equal to 20 °F at maximum input rate. (C) Temperature stabilization. Temperature stabilization is deemed to be obtained when the boiler supply water temperature does not vary by more than ±3 °F over a period of five minutes. (D) Adjust the inferential load controller. (1) Adjust the boiler controls (in accordance with the I&O manual) to the default setting that allows for activation of the means for adjusting water temperature. For boiler controls that do not allow for control adjustment during active mode operation, terminate call for heat and adjust the inferential load controller in accordance with the I&O manual and then reinitiate call for heat. (2) If the means for adjusting water temperature uses outdoor temperature reset, the maximum outdoor temperature setting (if equipped) should be set to a temperature high enough that the boiler operates continuously during the duration of this test (i.e., if the conditions in paragraph (h)(1)(ii)(A) of this section equal room ambient temperature, then the maximum outdoor temperature should be set at a temperature greater than the ambient air temperature during the test). (ii) Establish low inferred load conditions at minimum boiler supply water temperature—(A) Establish low inferred load conditions. (1) Establish the inferred load conditions (simulated using a controlling parameter, such as outdoor temperature, thermostat patterns, or boiler cycling) so that the supply water temperature is maintained at the minimum supply water temperature prescribed by the boiler manufacturer's temperature reset control strategy found in the I&O manual. (2) The minimum supply water temperature of the default temperature reset curve is usually provided in the I&O manual. If there is no recommended minimum supply water temperature, set the minimum supply water temperature equal to 20 °F less than the high supply water temperature specified in paragraph (h)(1)(iii)(A) of this section. (B) Supply water temperature stabilization at low inferred load. (1) Maintain the call for heat until the boiler supply water temperature has stabilized. Temperature stabilization is deemed to be obtained when the boiler supply water temperature does not vary by more than ±3 °F over a period of five minutes. The duration of time required to stabilize the supply water, following the procedure in paragraph (h)(1)(ii)(A) of this section, is dependent on the reset strategy and may vary from model to model. (2) Record the boiler supply water temperature while the temperature is stabilized. (iii) Establish high inferred load conditions at maximum boiler supply water temperature—(A) Establish high inferred load conditions. Establish the inferred load conditions so that the supply water temperature is set to the maximum allowable supply water temperature as prescribed in the I&O manual, or if there is no recommendation, set to a temperature greater than 170 °F. (B) Supply water temperature stabilization at high inferred load. (1) Maintain the call for heat until the boiler supply water temperature has stabilized. Temperature stabilization is deemed to be obtained when the boiler supply water temperature does not vary by more than ±3 °F over a period of five minutes. The duration of time required to stabilize the supply water, following the procedure in paragraph (h)(1)(iii)(A) of this section, is dependent on the reset strategy and may vary from model to model. (2) Record the boiler supply water temperature while the temperature is stabilized. (3) Terminate the call for heat. (iv) [Reserved] (2) Test protocol for single-stage products employing burner delay. This test will be used in place of paragraph (h)(1) of this section for products manufacturers have certified to DOE under §429.18(b)(3) as employing a burner delay automatic means strategy. This test verifies whether the automatic means in single-stage boiler products establishes a burner delay upon a call for heat until the means has determined that the inferred heat load cannot be met by the residual heat of the water in the system. (i) Boiler setup—(A) Boiler installation. Boiler installation in the test room shall be in accordance with the setup and apparatus requirements by section 6.0 of appendix N to subpart B of 10 CFR part 430. (B) Activation of controls. Adjust the boiler controls in accordance with the I&O manual at the default setting that allows for activation of the means for adjusting water temperature. (C) Adjustment of water flow and temperature. The flow and temperature of inlet water to the boiler shall be capable of being adjusted manually. (ii) Boiler heat-up—(A) Boiler start-up. Power up the boiler and initiate a call for heat. (B) Adjustment of firing rate. Adjust the boiler's firing rate to within ±5% of its maximum rated input. (C) Establishing flow rate and temperature rise. Adjust the water flow through the boiler to achieve a ΔT of 20 °F (±2 °F) or greater with an inlet water temperature equal to 140 °F (±2 °F). (D) Terminate the call for heating. Terminate the call for heat, stop the flow of water through the boiler, and record the time at termination. (iii) Verify burner delay—(A) Reinitiate call for heat. Within three (3) minutes of termination (paragraph (h)(2)(ii)(D) of this section) and without adjusting the inlet water flow rate or temperature as specified in paragraph (h)(2)(ii)(C) of this section, reinitiate the call for heat and water flow and record the time. (B) Verify burner ignition. At 15-second intervals, record time and supply water temperature until the main burner ignites. (C) Terminate the call for heat. (iv) [Reserved] (i) Pumps—(1) General purpose pumps. (i) The volume rate of flow (flow rate) at BEP and nominal speed of rotation of each tested unit of the basic model will be measured pursuant to the test requirements of §431.464 of this chapter, where the value of volume rate of flow (flow rate) at BEP and nominal speed of rotation certified by the manufacturer will be treated as the expected BEP flow rate. The results of the measurement(s) will be compared to the value of volume rate of flow (flow rate) at BEP and nominal speed of rotation certified by the manufacturer. The certified volume rate of flow (flow rate) at BEP and nominal speed of rotation will be considered valid only if the measurement(s) (either the measured volume rate of flow (flow rate) at BEP and nominal speed of rotation for a single unit sample or the average of the measured flow rates for a multiple unit sample) is within five percent of the certified volume rate of flow (flow rate) at BEP and nominal speed of rotation. (A) If the representative value of volume rate of flow (flow rate) at BEP and nominal speed of rotation is found to be valid, the measured volume rate of flow (flow rate) at BEP and nominal speed of rotation will be used in subsequent calculations of constant load pump energy rating (PERCL) and constant load pump energy index (PEICL) or variable load pump energy rating (PERVL) and variable load pump energy index (PEIVL) for that basic model. (B) If the representative value of volume rate of flow (flow rate) at BEP and nominal speed of rotation is found to be invalid, the mean of all the measured volume rate of flow (flow rate) at BEP and nominal speed of rotation values determined from the tested unit(s) will serve as the new expected BEP flow rate and the unit(s) will be retested until such time as the measured rate of flow (flow rate) at BEP and nominal speed of rotation is within 5 percent of the expected BEP flow rate. (ii) DOE will test each pump unit according to the test method specified by the manufacturer in the certification report submitted pursuant to §429.59(b). (2) Dedicated-purpose pool pumps. (i) The rated hydraulic horsepower of each tested unit of the basic model of dedicated-purpose pool pump will be measured pursuant to the test requirements of §431.464(b) of this chapter and the result of the measurement(s) will be compared to the value of rated hydraulic horsepower certified by the manufacturer. The certified rated hydraulic horsepower will be considered valid only if the measurement(s) (either the measured rated hydraulic horsepower for a single unit sample or the average of the measured rated hydraulic horsepower values for a multiple unit sample) is within 5 percent of the certified rated hydraulic horsepower. (A) If the representative value of rated hydraulic horsepower is found to be valid, the value of rated hydraulic horsepower certified by the manufacturer will be used to determine the standard level for that basic model. (B) If the representative value of rated hydraulic horsepower is found to be invalid, the mean of all the measured rated hydraulic horsepower values determined from the tested unit(s) will be used to determine the standard level for that basic model. (ii) To verify the self-priming capability of non-self-priming pool filter pumps and of self-priming pool filter pumps that are not certified with NSF/ANSI 50-2015 (incorporated by reference, see §429.4) as self-priming, the vertical lift and true priming time of each tested unit of the basic model of self-priming or non-self-priming pool filter pump will be measured pursuant to the test requirements of §431.464(b) of this chapter. (A) For self-priming pool filter pumps that are not certified with NSF/ANSI 50-2015 as self-priming, at a vertical lift of 5.0 feet, the result of the true priming time measurement(s) will be compared to the value of true priming time certified by the manufacturer. The certified value of true priming time will be considered valid only if the measurement(s) (either the measured true priming time for a single unit sample or the average of true priming time values for a multiple unit sample) is within 5 percent of the certified value of true priming time. (1) If the representative value of true priming time is found to be valid, the value of true priming time certified by the manufacturer will be used to determine the appropriate equipment class and standard level for that basic model. (2) If the representative value of true priming time is found to be invalid, the mean of the values of true priming time determined from the tested unit(s) will be used to determine the appropriate equipment class and standard level for that basic model. (B) For non-self-priming pool filter pumps, at a vertical lift of 5.0 feet, the result of the true priming time measurement(s) (either the measured true priming time for a single unit sample or the average of true priming time values, for a multiple unit sample) will be compared to the value of true priming time referenced in the definition of non-self-priming pool filter pump at §431.462 (10.0 minutes). (1) If the measurement(s) of true priming time are greater than 95 percent of the value of true priming time referenced in the definition of non-self-priming pool filter pump at §431.462 with a vertical lift of 5.0 feet, the DPPP model will be considered a non-self-priming pool filter pump for the purposes of determining the appropriate equipment class and standard level for that basic model. (2) If the conditions specified in paragraph (i)(2)(ii)(B)(1) of this section are not satisfied, then the DPPP model will be considered a self-priming pool filter pump for the purposes of determining the appropriate equipment class and standard level for that basic model. (iii) To verify the maximum head of self-priming pool filter pump, non-self-priming pool filter pumps, and waterfall pumps, the maximum head of each tested unit of the basic model of self-priming pool filter pump, non-self-priming pool filter pump, or waterfall pump will be measured pursuant to the test requirements of §431.464(b) of this chapter and the result of the measurement(s) will be compared to the value of maximum head certified by the manufacturer. The certified value of maximum head will be considered valid only if the measurement(s) (either the measured maximum head for a single unit sample or the average of the maximum head values for a multiple unit sample) is within 5 percent of the certified values of maximum head. (A) If the representative value of maximum head is found to be valid, the value of maximum head certified by the manufacturer will be used to determine the appropriate equipment class and standard level for that basic model. (B) If the representative value of maximum head is found to be invalid, the measured value(s) of maximum head determined from the tested unit(s) will be used to determine the appropriate equipment class and standard level for that basic model. (iv) To verify that a DPPP model complies with the applicable freeze protection control design requirements, the initiation temperature, run-time, and speed of rotation of the default control configuration of each tested unit of the basic model of dedicated-purpose pool pump will be evaluated according to the procedure specified in paragraph (i)(2)(iv)(A) of this section: (A)(1) Set up and configure the dedicated-purpose pool pump under test according to the manufacturer instructions, including any necessary initial priming, in a test apparatus as described in appendix A of HI 40.6-2014-B (incorporated by reference, see §429.4), except that the ambient temperature registered by the freeze protection ambient temperature sensor will be able to be measured and controlled by, for example, exposing the freeze protection temperature sensor to a specific temperature by submerging the sensor in a water bath of known temperature, by adjusting the actual ambient air temperature of the test chamber and measuring the temperature at the freeze protection ambient temperature sensor location, or by other means that allows the ambient temperature registered by the freeze protection temperature sensor to be reliably simulated, varied, and measured. Do not adjust the default freeze protection control settings or enable the freeze protection control if it is shipped disabled. (2) Activate power to the pump with the flow rate set to zero (i.e., the pump is energized but not circulating water). Set the ambient temperature to 42.0 ± 0.5 °F and allow the temperature to stabilize, where stability is determined in accordance with section 40.6.3.2.2 of HI 40.6-2014-B. After 5 minutes, decrease the temperature measured by the freeze protection temperature sensor by 1.0 ± 0.5 °F and allow the temperature to stabilize. After each reduction in ambient temperature and subsequent stabilization, record the DPPP rotating speed, if any, and freeze protection ambient temperature reading, where the “freeze protection ambient temperature reading” is representative of the temperature measured by the freeze protection ambient temperature sensor, which may be recorded by a variety of means depending on how the temperature is being simulated and controlled. If no flow is initiated, record zero rpm or no flow. Continue decreasing the temperature measured by the freeze protection temperature sensor by 1.0 ± 0.5 °F after 5.0 minutes of stable operation at the previous temperature reading until the pump freeze protection initiates water circulation or until the ambient temperature of 38.0 ± 0.5 °F has been evaluated (i.e., the end of the 5.0 minute interval of 38.0 °F), whichever occurs first. (3) If and when the DPPP freeze protection controls initiate water circulation, increase the ambient temperature reading registered by the freeze protection temperature sensor to a temperature of 42.0 ± 0.5 °F and maintain that temperature for 60.0 minutes. Do not modify or interfere with the operation of the DPPP freeze protection operating cycle. After 60.0 minutes, record the freeze protection ambient temperature and rotating speed, if any, of the dedicated-purpose pool pump under test. (B) If the dedicated-purpose pool pump initiates water circulation at a temperature greater than 40.0 °F; if the dedicated-purpose pool pump was still circulating water after 60.0 minutes of operation at 42.0 ± 0.5 °F; or if rotating speed measured at any point during the DPPP freeze protection control test in paragraph (i)(2)(iii)(A) of this section was greater than one-half of the maximum rotating speed of the DPPP model certified by the manufacturer, that DPPP model is deemed to not comply with the design requirement for freeze protection controls. (C) If none of the conditions specified in paragraph (i)(2)(iv)(B) of this section are met, including if the DPPP freeze protection control does not initiate water circulation at all during the test, the dedicated-purpose pool pump under test is deemed compliant with the design requirement for freeze protection controls. (j) Refrigerated bottled or canned beverage vending machines—(1) Verification of refrigerated volume. The refrigerated volume (V) of each tested unit of the basic model will be measured pursuant to the test requirements of 10 CFR 431.296. The results of the measurement(s) will be compared to the representative value of refrigerated volume certified by the manufacturer. The certified refrigerated volume will be considered valid only if the measurement(s) (either the measured refrigerated volume for a single unit sample or the average of the measured refrigerated volumes for a multiple unit sample) is within five percent of the certified refrigerated volume. (i) If the representative value of refrigerated volume is found to be valid, the certified refrigerated volume will be used as the basis for calculation of maximum daily energy consumption for the basic model. (ii) If the representative value of refrigerated volume is found to be invalid, the average measured refrigerated volume determined from the tested unit(s) will serve as the basis for calculation of maximum daily energy consumption for the tested basic model. (2) Verification of surface area, transparent, and non-transparent areas. The percent transparent surface area on the front side of the basic model will be measured pursuant to these requirements for the purposes of determining whether a given basic model meets the definition of Class A or Combination A, as presented at 10 CFR 431.292. The transparent and non-transparent surface areas shall be determined on the front side of the beverage vending machine at the outermost surfaces of the beverage vending machine cabinet, from edge to edge, excluding any legs or other protrusions that extend beyond the dimensions of the primary cabinet. Determine the transparent and non-transparent areas on each side of a beverage vending machine as described in paragraphs (j)(2)(i) and (ii) of this section. For combination vending machines, disregard the surface area surrounding any refrigerated compartments that are not designed to be refrigerated (as demonstrated by the presence of temperature controls), whether or not it is transparent. Determine the percent transparent surface area on the front side of the beverage vending machine as a ratio of the measured transparent area on that side divided by the sum of the measured transparent and non-transparent areas, multiplying the result by 100. (i) Determination of transparent area. Determine the total surface area that is transparent as the sum of all surface areas on the front side of a beverage vending machine that meet the definition of transparent at 10 CFR 431.292. When determining whether or not a particular wall segment is transparent, transparency should be determined for the aggregate performance of all the materials between the refrigerated volume and the ambient environment; the composite performance of all those materials in a particular wall segment must meet the definition of transparent for that area be treated as transparent. (ii) Determination of non-transparent area. Determine the total surface area that is not transparent as the sum of all surface areas on the front side of a beverage vending machine that are not considered part of the transparent area, as determined in accordance with paragraph (j)(2)(i) of this section. (k) Central air conditioners and heat pumps—(1) Verification of cooling capacity. The cooling capacity of each tested unit of the individual model (for single-package systems) or individual combination (for split systems) will be measured pursuant to the test requirements of §430.23(m) of this chapter. The mean of the measurement(s) (either the measured cooling capacity for a single unit sample or the average of the measured cooling capacities for a multiple unit sample) will be used to determine the applicable standards for purposes of compliance. (2) Verification of CD value. (i) For central air conditioners and heat pumps other than models of outdoor units with no match, if manufacturers certify that they did not conduct the optional tests to determine the Cc and/or Ch value for an individual model (for single-package systems) or individual combination (for split systems), as applicable, the default Cc and/or Ch value will be used as the basis for calculation of SEER or HSPF for each unit tested. If manufacturers certify that they conducted the optional tests to determine the Cc and/or Ch value for an individual model (for single-package systems) or individual combination (for split systems), as applicable, the Cc and/or Ch value will be measured pursuant to the test requirements of §430.23(m) of this chapter for each unit tested and the result for each unit tested (either the tested value or the default value, as selected according to the criteria for the cyclic test in 10 CFR part 430, subpart B, appendix M, section 3.5e) used as the basis for calculation of SEER or HSPF for that unit. (ii) For models of outdoor units with no match, DOE will use the default Cc and/or Ch value pursuant to 10 CFR part 430. (l) Miscellaneous refrigeration products—(1) Verification of total refrigerated volume. For all miscellaneous refrigeration products, the total refrigerated volume of the basic model will be measured pursuant to the test requirements of part 430 of this chapter for each unit tested. The results of the measurement(s) will be averaged and compared to the value of total refrigerated volume certified by the manufacturer. The certified total refrigerated volume will be considered valid only if: (i) The measurement is within two percent, or 0.5 cubic feet (0.2 cubic feet for products with total refrigerated volume less than 7.75 cubic feet (220 liters)), whichever is greater, of the certified total refrigerated volume; or (ii) The measurement is greater than the certified total refrigerated volume. (A) If the certified total refrigerated volume is found to be valid, the certified adjusted total volume will be used as the basis for calculating the maximum allowed energy use for the tested basic model. (B) If the certified total refrigerated volume is found to be invalid, the average measured adjusted total volume, rounded to the nearest 0.1 cubic foot, will serve as the basis for calculating the maximum allowed energy use for the tested basic model. (2) Test for models with two compartments, each having its own user-operable temperature control. The test described in section 3.3 of the applicable test procedure in appendix A to subpart B part 430 of this chapter shall be used for all units of a tested basic model before DOE makes a determination of noncompliance with respect to the basic model. (m) Commercial packaged boilers—(1) Verification of fuel input rate. The fuel input rate of each tested unit will be measured pursuant to the test requirements of §431.86 of this chapter. The results of the measurement(s) will be compared to the value of rated input certified by the manufacturer. The certified rated input will be considered valid only if the measurement(s) (either the measured fuel input rate for a single unit sample or the average of the measured fuel input rates for a multiple unit sample) is within two percent of the certified rated input. (i) If the measured fuel input rate is within two-percent of the certified rated input, the certified rated input will serve as the basis for determination of the appropriate equipment class(es) and the mean measured fuel input rate will be used as the basis for calculation of combustion and/or thermal efficiency for the basic model. (ii) If the measured fuel input rate for a gas-fired commercial packaged boiler is not within two-percent of the certified rated input, DOE will first attempt to increase or decrease the gas manifold pressure within the range specified in manufacturer's installation and operation manual shipped with the commercial packaged boiler being tested (or, if not provided in the manual, in supplemental instructions provided by the manufacturer pursuant to §429.60(b)(4) of this chapter) to achieve the certified rated input (within two-percent). If the fuel input rate is still not within two-percent of the certified rated input, DOE will attempt to increase or decrease the gas inlet pressure within the range specified in manufacturer's installation and operation manual shipped with the commercial packaged boiler being tested (or, if not provided in the manual, in supplemental instructions provided by the manufacturer pursuant to §429.60(b)(4)) to achieve the certified rated input (within two-percent). If the fuel input rate is still not within two-percent of the certified rated input, DOE will attempt to modify the gas inlet orifice if the unit is equipped with one. If the fuel input rate still is not within two percent of the certified rated input, the mean measured fuel input rate (either for a single unit sample or the average of the measured fuel input rates for a multiple unit sample) will serve as the basis for determination of the appropriate equipment class(es) and calculation of combustion and/or thermal efficiency for the basic model. (iii) If the measured fuel input rate for an oil-fired commercial packaged boiler is not within two-percent of the certified rated input, the mean measured fuel input rate (either for a single unit sample or the average of the measured fuel input rates for a multiple unit sample) will serve as the basis for determination of the appropriate equipment class(es) and calculation of combustion and/or thermal efficiency for the basic model. (2) Models capable of producing both hot water and steam. For a model of commercial packaged boiler that is capable of producing both hot water and steam, DOE may measure the thermal or combustion efficiency as applicable (see §431.87 of this chapter) for steam and/or hot water modes. DOE will evaluate compliance based on the measured thermal or combustion efficiency in steam and hot water modes, independently. (n) Commercial water heating equipment other than residential-duty commercial water heaters—(1) Verification of fuel input rate. The fuel input rate of each tested unit of the basic model will be measured pursuant to the test requirements of §431.106 of this chapter. The measured fuel input rate (either the measured fuel input rate for a single unit sample or the average of the measured fuel input rates for a multiple unit sample) will be compared to the rated input certified by the manufacturer. The certified rated input will be considered valid only if the measured fuel input rate is within two percent of the certified rated input. (i) If the certified rated input is found to be valid, then the certified rated input will serve as the basis for determination of the appropriate equipment class and calculation of the standby loss standard (as applicable). (ii) If the measured fuel input rate for gas-fired commercial water heating equipment is not within two percent of the certified rated input, DOE will first attempt to increase or decrease the gas outlet pressure within 10 percent of the value specified on the nameplate of the model of commercial water heating equipment being tested to achieve the certified rated input (within 2 percent). If the fuel input rate is still not within two percent of the certified rated input, DOE will attempt to increase or decrease the gas supply pressure within the range specified on the nameplate of the model of commercial water heating equipment being tested. If the measured fuel input rate is still not within two percent of the certified rated input, DOE will attempt to modify the gas inlet orifice, if the unit is equipped with one. If the measured fuel input rate still is not within two percent of the certified rated input, the measured fuel input rate will serve as the basis for determination of the appropriate equipment class and calculation of the standby loss standard (as applicable). (iii) If the measured fuel input rate for oil-fired commercial water heating equipment is not within two percent of the certified rated input, the measured fuel input rate will serve as the basis for determination of the appropriate equipment class and calculation of the standby loss standard (as applicable). (2) [Reserved] (o) Uninterruptible power supplies. (1) Determine the UPS architecture by performing the tests specified in the definitions of VI, VFD, and VFI in sections 2.28.1 through 2.28.3 of appendix Y to subpart B of 10 CFR part 430. (2) [Reserved] (p) Compressors—(1) Verification of full-load operating pressure. (i) The maximum full-flow operating pressure of each tested unit of the basic model will be measured pursuant to the test requirements of appendix A to subpart T of part 431 of this chapter, where 90 percent of the value of full-load operating pressure certified by the manufacturer will be the starting point of the test method prior to increasing discharge pressure. The measured maximum full-flow operating pressure (either the single measured value for a single unit sample or the mean of the measured maximum full-flow operating pressures for a multiple unit sample) will be compared to the certified rating for full-load operating pressure to determine if the certified rating is valid or not. The certified rating for full-load operating pressure will be considered valid only if the certified rating for full-load operating pressure is less than or equal to the measured maximum full-flow operating pressure and greater than or equal to the lesser of— (A) 90 percent of the measured maximum full-flow operating pressure; or (B) 10 psig less than the measured maximum full-flow operating pressure. (ii) If the certified full-load operating pressure is found to be valid, then the certified value will be used as the full-load operating pressure and will be the basis for determination of full-load actual volume flow rate, pressure ratio at full-load operating pressure, specific power, and package isentropic efficiency. (iii) If the certified full-load operating pressure is found to be invalid, then the measured maximum full-flow operating pressure will be used as the full-load operating pressure and will be the basis for determination of full-load actual volume flow rate, pressure ratio at full-load operating pressure, specific power, and package isentropic efficiency. (2) Verification of full-load actual volume flow rate. The measured full-load actual volume flow rate will be measured, pursuant to the test requirements of appendix A to subpart T of part 431 of this chapter, at the full-load operating pressure determined in paragraph (p)(1) of this section. The certified full-load actual volume flow rate will be considered valid only if the measurement(s) (either the measured full-load actual volume flow rate for a single unit sample or the mean of the measured values for a multiple unit sample) are within the percentage of the certified full-load actual volume flow rate specified in Table 1 of this section: Table 1 of §429.134—Allowable Percentage Deviation From the Certified Full-Load Actual Volume Flow Rate
(i) If the certified value of full-load actual volume flow rate is found to be valid, the full-load actual volume flow rate certified by the manufacturer will be used as the basis for determination of the applicable standard. (ii) If the certified value of full-load actual volume flow rate is found to be invalid, the entire sample (one or multiple units) will be considered as failing the enforcement test. (3) Ancillary equipment. Prior to testing each compressor, DOE will install any required ancillary equipment specified by the manufacturer in the certification report submitted pursuant to §429.63(b). (q) Walk-in coolers and walk-in freezers. (1) If DOE determines that a basic model of a panel, door, or refrigeration system for walk-in coolers or walk-in freezers fails to meet an applicable energy conservation standard, then the manufacturer of that basic model is responsible for the noncompliance. If DOE determines that a complete walk-in cooler or walk-in freezer or component thereof fails to meet an applicable energy conservation standard, then the manufacturer of that walk-in cooler or walk-in freezer is responsible for the noncompliance with the applicable standard, except that the manufacturer of a complete walk-in cooler or walk-in freezer is not responsible for the use of components that were certified and labeled (in accordance with DOE labeling requirements) as compliant by another party and later found to be noncompliant with the applicable standard(s). (2) Verification of refrigeration system net capacity. The net capacity of the refrigeration system basic model will be measured pursuant to the test requirements of 10 CFR part 431, subpart R, appendix C for each unit tested. The results of the measurement(s) will be averaged and compared to the value of net capacity certified by the manufacturer. The certified net capacity will be considered valid only if the average measured net capacity is within plus or minus five percent of the certified net capacity. (i) If the certified net capacity is found to be valid, the certified net capacity will be used as the basis for calculating the AWEF of the basic model. (ii) If the certified net capacity is found to be invalid, the average measured net capacity will serve as the basis for calculating the annual energy consumption for the basic model. (3) Verification of door surface area. The surface area of a display door or non-display door basic model will be measured pursuant to the requirements of 10 CFR part 431, subpart R, appendix A for each unit tested. The results of the measurement(s) will be averaged and compared to the value of the surface area certified by the manufacturer. The certified surface area will be considered valid only if the average measured surface area is within plus or minus three percent of the certified surface area. (i) If the certified surface area is found to be valid, the certified surface area will be used as the basis for calculating the maximum energy consumption (kWh/day) of the basic model. (ii) If the certified surface area is found to be invalid, the average measured surface area will serve as the basis for calculating the maximum energy consumption (kWh/day) of the basic model. (4) For each basic model of walk-in cooler and walk-in freezer door, DOE will calculate the door's energy consumption using the power listed on the nameplate of each electricity consuming device shipped with the door. If an electricity consuming device shipped with a walk-in door does not have a nameplate or such nameplate does not list the device's power, then DOE will use the device's “rated power” included in the door's certification report. [79 FR 22348, Apr. 21, 2014, as amended at 79 FR 40566, July 11, 2014; 80 FR 37148, June 30, 2015; 80 FR 45824, July 31, 2015; 80 FR 46760, Aug. 5, 2015; 80 FR 79669, Dec. 23, 2015; 81 FR 2646, Jan. 15, 2016; 81 FR 15426, Mar. 23, 2016; 81 FR 24009, Apr. 25, 2016; 81 FR 37055, June 8, 2016; 81 FR 38395, June 13, 2016; 81 FR 46791, July 18, 2016; 81 FR 79320, Nov. 10, 2016; 81 FR 96236, Dec. 29, 2016; 81 FR 89304, Dec. 9, 2016; 81 FR 89822, Dec. 12, 2016; 81 FR 95800, Dec. 28, 2016; 82 FR 1100, Jan. 4, 2017; 82 FR 36919, Aug. 7, 2017] ## Regional Standards Enforcement Procedures## §429.140 Regional standards enforcement procedures.Sections 429.140 through 429.158 provide enforcement procedures specific to the violations enumerated in §429.102(c). These provisions explain the responsibilities of manufacturers, private labelers, distributors, contractors and dealers with respect to central air conditioners subject to regional standards; however, these provisions do not limit the responsibilities of parties otherwise subject to 10 CFR parts 429 and 430. [81 FR 45402, July 14, 2016] ## §429.142 Records retention.(a) Record retention. The following entities must maintain the specified records—(1) Contractors and dealers. (i) Contractors and dealers must retain the following records for at least 48 months from the date of installation of a central air conditioner in the states of Alabama, Arizona, Arkansas, California, Delaware, Florida, Georgia, Hawaii, Kentucky, Louisiana, Maryland, Mississippi, Nevada, New Mexico, North Carolina, Oklahoma, South Carolina, Tennessee, Texas, or Virginia or in the District of Columbia: (A) For split-system central air conditioner outdoor units: The manufacturer name, model number, serial number, location of installation (including street address, city, state, and zip code), date of installation, and party from whom the unit was purchased (including person's name, full address, and phone number); and (B) For split-system central air conditioner indoor units: The manufacturer name, model number, location of installation (including street address, city, state, and zip code), date of installation, and party from whom the unit was purchased (including person's name, full address, and phone number). (ii) Contractors and dealers must retain the following, additional records for at least 48 months from the date of installation of a central air conditioner in the states of Arizona, California, Nevada, and New Mexico: (A) For single-package central air conditioners: The manufacturer name, model number, serial number, location of installation (including street address, city, state, and zip code), date of installation, and party from whom the unit was purchased (including person's name, full address, and phone number). (B) [Reserved] (2) Distributors. Beginning July 1, 2016, all distributors must retain the following records for no less than 54 months from the date of sale: (i) For split-system central air conditioner outdoor units: The outdoor unit manufacturer, outdoor unit model number, outdoor unit serial number, date unit was purchased from manufacturer, party from whom the unit was purchased (including company or individual's name, full address, and phone number), date unit was sold to contractor or dealer, party to whom the unit was sold (including company or individual's name, full address, and phone number), and, if delivered, delivery address. (ii) For single-package air conditioners: The manufacturer, model number, serial number, date unit was purchased from manufacturer, party from whom the unit was purchased (including company or individual's name, full address, and phone number), date unit was sold to a contractor or dealer, party to whom the unit was sold (including company or individual's name, full address, and phone number), and, if delivered, delivery address. (3) Manufacturers and private labelers. All manufacturers and private labelers must retain the following records for no less than 60 months from the date of sale: (i) For split system air conditioner outdoor units: The model number, serial number, date of manufacture, date of sale, and party to whom the unit was sold (including person's name, full address, and phone number); (ii) For split system central air conditioner indoor units: The model number, date of manufacture, date of sale, and party to whom the unit was sold (including person's name, full address, and phone number); and (iii) For single-package central air conditioners: The model number, serial number, date of manufacture, date of sale, and party to whom the unit was sold (including person's name, full address, and phone number). (b) [Reserved] [81 FR 45402, July 14, 2016] ## §429.144 Records request.(a) DOE must have reasonable belief a violation has occurred to request records specific to an on-going investigation of a violation of central air conditioner regional standards. (b) Upon request, the manufacturer, private labeler, distributor, dealer, or contractor must provide to DOE the relevant records within 30 calendar days of the request. (1) DOE, at its discretion, may grant additional time for records production if the party from whom records have been requested has made a good faith effort to produce records. (2) To request additional time, the party from whom records have been requested must produce all records gathered in 30 days and provide to DOE a written explanation of the need for additional time with the requested date for completing the production of records. [81 FR 45402, July 14, 2016] ## §429.146 Notice of violation.(a) If DOE determines a party has committed a violation of regional standards, DOE will issue a Notice of Violation advising that party of DOE's determination. (b) If, however, DOE determines a noncompliant installation occurred in only one instance, the noncompliant installation is remediated prior to DOE issuing a Notice of Violation, and the party has no history of prior violations, DOE will not issue such notice. (c) If DOE does not find a violation of regional standards, DOE will notify the party under investigation. [81 FR 45403, July 14, 2016] ## §429.148 Routine violator.(a) DOE will consider, inter alia, the following factors in determining if a person is a routine violator: Number of violations in current and past cases, length of time over which violations occurred, ratio of compliant to noncompliant installations or sales, percentage of employees committing violations, evidence of intent, evidence of training or education provided, and subsequent remedial actions. (b) In the event that DOE determines a person to be a routine violator, DOE will issue a Notice of Finding of Routine Violation. (c) In making a finding of Routine Violation, DOE will consider whether the Routine Violation was limited to a specific location. If DOE finds that the routine violation was so limited, DOE may, in its discretion, in the Notice of Finding of Routine Violation limit the prohibition on manufacturer and/or private labeler sales to a particular contractor or distribution location. [81 FR 45403, July 14, 2016] ## §429.150 Appealing a finding of routine violation.(a) Any person found to be a routine violator may, within 30 calendar days after the date of Notice of Finding of Routine Violation, request an administrative appeal to the Office of Hearings and Appeals. (b) The appeal must present information rebutting the finding of violation(s). (c) The Office of Hearings and Appeals will issue a decision on the appeal within 45 days of receipt of the appeal. (d) A routine violator must file a Notice of Intent to Appeal with the Office of Hearings and Appeals within three business days of the date of the Notice of Finding of Routine Violation, serving a copy on the Office of the Assistant General Counsel for Enforcement to retain the ability to buy central air conditioners during the pendency of the appeal. [81 FR 45403, July 14, 2016] ## §429.152 Removal of finding of “routine violator”.(a) A routine violator may be removed from DOE's list of routine violators through completion of remediation in accordance with the requirements in §429.154. (b) A routine violator that wants to remediate must contact the Office of the Assistant General Counsel for Enforcement via the point of contact listed in the Notice of Finding of Routine Violation and identify the distributor(s), manufacturer(s), or private labeler(s) from whom it wishes to buy compliant replacement product. (c) DOE will contact the distributor(s), manufacturer(s), or private labeler(s) and authorize sale of central air conditioner units to the routine violator for purposes of remediation within 3 business days of receipt of the request for remediation. DOE will provide the manufacturer(s), distributor(s), and/or private labeler(s) with an official letter authorizing the sale of units for purposes of remediation. (d) DOE will contact routine violators that requested units for remediation within 30 days of sending the official letter to the manufacturer(s), distributor(s), and/or private labeler(s) to determine the status of the remediation. (e) If remediation is successfully completed, DOE will issue a Notice indicating a person is no longer considered to be a routine violator. The Notice will be issued no more than 30 days after DOE has received documentation demonstrating that remediation is complete. [81 FR 45403, July 14, 2016] ## §429.154 Remediation.(a) Any party found to be in violation of the regional standards may remediate by replacing the noncompliant unit at cost to the violator; the end user cannot be charged for any costs of remediation. (1) If a violator is unable to replace all noncompliant installations, then the Department may, in its discretion, consider the remediation complete if the violator satisfactorily demonstrates to the Department that it attempted to replace all noncompliant installations. (2) The Department will scrutinize any “failed” attempts at replacement to ensure that there was indeed a good faith effort to complete remediation of the noncompliant unit. (b) The violator must provide to DOE the serial number of any outdoor unit and/or indoor unit installed not in compliance with the applicable regional standard as well as the serial number(s) of the replacement unit(s) to be checked by the Department against warranty and other replacement claims. (c) If the remediation is approved by the Department, then DOE will issue a Notice of Remediation and the violation will not count towards a finding of “routine violator”. [81 FR 45403, July 14, 2016] ## §429.156 Manufacturer and private labeler liability.(a) In accordance with §429.102, paragraphs (a)(10) and (c), manufacturers and private labelers are prohibited from selling central air conditioners and heat pumps to a routine violator. (1) To avoid financial penalties, manufacturers and/or private labelers must cease sales to a routine violator within 3 business days from the date of issuance of a Notice of Finding of Routine Violation. (2) If a Routine Violator files a Notice of Intent to Appeal pursuant to §429.150, then a manufacturer and/or private labeler may assume the risk of selling central air conditioners to the Routine Violator during the pendency of the appeal. (3) If the appeal of the Finding of Routine Violator is denied, then the manufacturer and/or private labeler may be fined in accordance with §429.120, for sale of any units to a routine violator during the pendency of the appeal that do not meet the applicable regional standard. (b) If a manufacturer and/or private labeler has knowledge of routine violation, then the manufacturer can be held liable for all sales that occurred after the date the manufacturer had knowledge of the routine violation. However, if the manufacturer and/or private labeler reports its suspicion of a routine violation to DOE within 15 days of receipt of such knowledge, then it will not be liable for product sold to the suspected routine violator prior to reporting the routine violation to DOE. [81 FR 45403, July 14, 2016] ## §429.158 Product determined noncompliant with regional standards.(a) If DOE determines a model of outdoor unit fails to meet the applicable regional standard(s) when tested in a combination certified by the same manufacturer, then the outdoor unit basic model will be deemed noncompliant with the regional standard(s). In accordance with §429.102(c), the outdoor unit manufacturer and/or private labeler is liable for distribution of noncompliant units in commerce. (b) If DOE determines a combination fails to meet the applicable regional standard(s) when tested in a combination certified by a manufacturer other than the outdoor unit manufacturer (e.g., ICM), then that combination is deemed noncompliant with the regional standard(s). In accordance with §429.102(c), the certifying manufacturer is liable for distribution of noncompliant units in commerce. (c) All such units manufactured and distributed in commerce are presumed to have been installed in a region where they would not comply with the applicable energy conservation standard; however, a manufacturer and/or private labeler may demonstrate through installer records that individual units were installed in a region where the unit is compliant with the applicable standards. [81 FR 45404, July 14, 2016] ## 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 §429.57(e)(1)(i). (b) Compute the mean of the measured energy performance (x1) for all tests as follows:
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: (d) Compute the standard error (sx1) of the measured energy performance from the n1 tests as follows: (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 — tsX1 X
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:
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: (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:
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:
where the t-statistic has the value obtained in Step (e)(1) and sx2 is the value obtained in Step (e)(5). (7) For an energy efficiency standard (EES), compare the combined sample mean (x2) to the lower control limit (LCL2) to determine one of the following: (i) If the mean of the combined sample (x2) is less than the lower control limit (LCL2) or 95 percent of the applicable energy efficiency standard (EES), whichever is greater, i.e., if x2<max (LCL2, 0.95 EES), the basic model is not compliant and testing is at an end. (iii) If the mean of the combined sample (x2) is equal to or greater than the lower control limit (LCL2) or 95 percent of the applicable energy efficiency standard (EES), whichever is greater, i.e., if x2≥max (LCL2, 0.95 EES), the basic model is in compliance and testing is at an end. (f)(1) Compute the upper control limit (UCL1) and lower control limit (LCL1) for the mean of the first sample using the applicable DOE energy consumption standard (ECS) as the desired mean and a probability level of 95 percent (two-tailed test) as follows:
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:
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: (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:
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:
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. ## Appendix B to Subpart C of Part 429—Sampling Plan for Enforcement Testing of Covered Equipment and Certain Low-Volume Covered ProductsThe Department will determine compliance as follows: (a) The first sample size (n1) must be four or more units, except as provided by §429.57(e)(1)(ii). (b) Compute the mean of the measured energy performance (x1) for all tests as follows:
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: (d) Compute the standard error (sx1) of the measured energy performance from the n1 tests as follows: (e)(1) For an energy efficiency standard (EES), determine the appropriate lower control limit (LCL1) according to: 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: And use whichever is less, where ECS is the energy consumption standard and t is a statistic based on a 97.5 percent, one-sided confidence limit and a sample size of n1. (f)(1) Compare the sample mean to the control limit. (i) The basic model is in compliance and testing is at an end if: (A) For an energy or water efficiency standard, the sample mean is equal to or greater than the lower control limit, or (B) For an energy or water consumption standard, the sample mean is equal to or less than the upper control limit. ## Appendix C to Subpart C of Part 429—Sampling Plan for Enforcement Testing of Distribution Transformers(a) When testing distribution transformers, the number of units in the sample (m1) shall be in accordance with §429.47(a) and DOE shall perform the following number of tests: (1) If DOE tests four or more units, it will test each unit once; (2) If DOE tests two or three units, it will test each unit twice; or (3) If DOE tests one unit, it will test that unit four times. (b) DOE shall determine compliance as follows: (1) Compute the mean (X1) of the measured energy performance of the n1 tests in the first sample as follows:
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: (3) Compute the standard error (SE(X1)) of the mean efficiency of the first sample as follows: (4) Compute the sample size discount (SSD(m1)) as follows:
where m1 is the number of units in the sample, and RE is the applicable DOE efficiency when the test is to determine compliance with the applicable energy conservation standard, or is the labeled efficiency when the test is to determine compliance with the labeled efficiency value. (5) Compute the lower control limit (LCL1) for the mean of (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: 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: (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: (Note that S1 is the value obtained above in (2).) (10) Set the lower control limit (LCL2) to,
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] ## Appendix D to Subpart C of Part 429—Sampling Plan for Enforcement Testing of Uninterruptible Power Supplies(a) The minimum sample size for enforcement testing will be one unit. (b) Compute the average load adjusted efficiency (Effavg) of the unit in the sample. (c) Determine the applicable DOE energy efficiency standard (EES). (d) If all Effavg are equal to or greater than EES, then the basic model is in compliance and testing is at an end. (e) If any Effavg is less than EES, then the basic model is in noncompliance and testing is at an end. [81 FR 89822, Dec. 12, 2016] |